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 C - State of California Office of the State Treasurer Target Business Enterprise in Professional Bond Services Report Negotiated Sales

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
(To be completed by Senior Manager)
In accordance with the Purchase Agreement, 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 below mentioned issue.
___________________________
Issuer
___________________________
Issue Description
Series ______________________________ Amount $
						__________________________________________________ Date Sold
						__________________________________________________
___________________________
Senior Manager
Contact Person
						________________________________________________________________________________
						Phone__________________________________________________
1. MANAGEMENT FEE
Total: $__________
Lead Manager's share of management fee
						$______________________________ % of Total ______________________________
						%
Co-Managers' share of management fees:
Co-Manager(s)
TBE* Firm(s) Yes/No
Management Fee
% of Total
___________________________
___________________________
___________________________$
___________________________
%
___________________________
___________________________
___________________________$
___________________________
%
___________________________
___________________________
___________________________$
___________________________
%
___________________________
___________________________
___________________________$
___________________________
%
___________________________
___________________________
___________________________$
___________________________
%
___________________________
___________________________
___________________________$
___________________________
%
___________________________
___________________________
___________________________$
___________________________
%
* TBE --means target
								business enterprise which collectively includes minority business enterprises,
								or women business enterprises as both of these are defined in Section
								16851 of
								the Government Code, and disabled veteran business enterprise as defined in
								Section
								999
								of the Military and Veterans Code.
2. TAKEDOWN
a: Gross Takedown
___________________________$
Less Identified concessions
___________________________$
Net takedown
___________________________$
b: Takedown by Manager/Co-Managers/Syndicate
								member/Selling group member:
Firm
TBE Firm Yes/No
Takedown (Excluding Identified Concessions)
% of Total
___________________________
___________________________
___________________________$
___________________________
%
___________________________
___________________________
___________________________$
___________________________
%
___________________________
___________________________
___________________________$
___________________________
%
___________________________
___________________________
___________________________$
___________________________
%
___________________________
___________________________
___________________________$
___________________________
%
___________________________
___________________________
___________________________$
___________________________
%
___________________________
___________________________
___________________________$
___________________________
%
If necessary, continue in same format on an attachment
						labeled "Attachment A."
3. RISK
Total: $
___________________________
___________________________Lead Manager's risk: $
___________________________% of Total
%
Co-Managers/Syndicate members risk:
Name
TBE Firm Yes/No
Amount
% of Total
___________________________
___________________________
___________________________$
___________________________
%
___________________________
___________________________
___________________________$
___________________________
%
___________________________
___________________________
___________________________$
___________________________
%
___________________________
___________________________
___________________________$
___________________________
%
___________________________
___________________________
___________________________$
___________________________
%
___________________________
___________________________
___________________________$
___________________________
%
___________________________
___________________________
___________________________$
___________________________
%
If necessary, continue in same format on an attachment
						labeled "Attachment B."
4. EXPENSES
Total: $
___________________________
Professional Bond Services (PBS) Expenses
Firm
TBE Firm Yes/No
Compensation
Underwriter's Counsel
___________________________
___________________________
___________________________$
Underwriter's Co-Counsel
___________________________
___________________________
___________________________$
Printing--OS/POS
___________________________
___________________________
___________________________$
Printing--Bonds
___________________________
___________________________
___________________________$
Other PBS Expenses: (Identify)
___________________________
___________________________
___________________________
___________________________$
___________________________
___________________________
___________________________
___________________________$
___________________________
___________________________
___________________________
___________________________$
___________________________
___________________________
___________________________
___________________________$
All other Expensers (non-PBS)
___________________________
___________________________
___________________________
___________________________$
___________________________
___________________________
___________________________
___________________________$
___________________________
___________________________
___________________________
___________________________$
___________________________
___________________________
___________________________
___________________________$
5. GROSS SPREAD
Total: $
___________________________
6. DVBE GOOD FAITH EFFORTS
The Senior Managing Underwriter on this bond sale took
						the actions indicated below to demonstrate a good faith effort to include DVBE
						firm(s) in this bond sale (indicate by marking with an "X").
___ At least one DVBE firm was included in the financing
						team for this bond sale and the DVBE participation was in accordance with the
						Treasurer's DVBE participation goals.
___ Contact was made with the Treasurer's Office to
						identify Certified DVBEs;
___ At least one certified DVBE firm was invited to
						participate on the financing team for this bond sale;
___ The financing team was formed under the specific
						direction of the Treasurer's Office.
1. New
						section filed 4-10-89 as an emergency; operative 4-10-89 (Register 89, No.
						15).
A Certificate of Compliance must be transmitted to OAL within
						120 days or emergency language will be repealed on 8-8-89.
2.
						Certificate of Compliance transmitted to OAL 8-8-89 and filed 9-7-89 (Register
						89, No. 40).
Note: Authority cited: Section
						  16853,
						  Government Code. Reference: Section
						  16853,
						  Government Code.