California Code of Regulations › Title 2 - Administration › Division 2 - Financial Operations › Chapter 4 - Office of the State Treasurer › Subchapter 4 - Target Business Enterprise Participation Goals for Professional Bond Services › Article 4 - Negotiated Sales › Appendix B - State of California Office of the State Treasurer Target Business Enterprise Participation in Professional Bond Services Report

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
COMPETITIVE SALES
(To be completed by Senior Manager)
In accordance with the Notice of Sale, this report is to
						be completed and returned to the State Treasurer's Office, Trust Services
						Division; 915 Capitol Mall, Room 107; Sacramento, CA 95814
within 10
						days
of closing of the issue referenced below.
___________________________
Issuer
___________________________
Issue Description
Series ______________________________ Amount $
						__________________________________________________ Date Sold
						__________________________________________________
___________________________
Senior Manager
Contact Person
						________________________________________________________________________________
						Phone __________________________________________________
A. GROSS SPREAD
1. TAKEDOWN
Gross Takedown
___________________________$
Pricing Adjustment
___________________________
Less:
Allowable Concessions
Net Takedown
___________________________$
2. SYNDICATE PROFIT & LOSS
Net Proceeds from Sale of Bonds
___________________________$
Cost of Bonds Sold
___________________________
Gross Profit
___________________________$
Less Expenses:
___________________________
Net Profit
___________________________$
3. SUMMARY OF GROSS SPREAD
Gross Takedown
___________________________$
Expenses
___________________________
Syndicate Profit & Loss
___________________________
Total Gross Spread
___________________________$
4. RECONCILIATION OF GROSS SPREAD TO RE-OFFERING
						PRICE
Re-offering Price
___________________________$
Bid Price
___________________________
Difference between bid price & re-offering
								price
___________________________
Difference (Explain)
___________________________$
______________________________________________________
______________________________________________________
B. TBE PARTICIPATION
1. TBE firms1 Takedown and
						Share of Syndicate Profit & Loss.
Name of TBE Firm
Net Takedown ($)
%
Share of Syndicate ($)
P & L (%)
___________________________
___________________________
___________________________
___________________________
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___________________________
___________________________
___________________________
___________________________
2. Expenses incurred by the underwriter(s) and paid to
						TBE firms for "Professional Bond Services" (PBS). [Under the Treasurer's
						regulations, "Professional Bond Services" means services directly participating
						in the sale of bonds including, but not limited to, financial advisors,
						underwriters, bond counsel, underwriter's counsel, financial printers,
						feasibility consultants, accountants and auditors.]
Name of TBE Firm
Services Provided
Total Fees Paid ($)
Percentage of PBS Fees Paid to TBE (%)
___________________________
___________________________
___________________________
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