HomeMy WebLinkAboutMINUTES - 04132010 - C.84RECOMMENDATION(S):
ADOPT Resolution No. 2010/156 authorizing, on behalf of the Antioch Unified School
District, the sale and issuance of Tax and Revenue Anticipation Notes (TRANs) in an
amount not to exceed $20,000,000.
FISCAL IMPACT:
There is no fiscal impact to the County.
BACKGROUND:
Under state law, the Contra Costa County Board of Supervisors is required to authorize the
sale and issuance of TRANs for school districts within the County. No financial obligation
is assumed with these authorizations. The County’s Treasurer/Tax Collector is the paying
agent for these notes.
The School District is issuing these TRANs to meet financial needs of the District for fiscal
year 2009-2010.
APPROVE OTHER
RECOMMENDATION OF CNTY ADMINISTRATOR RECOMMENDATION OF BOARD COMMITTEE
Action of Board On: 04/13/2010 APPROVED AS RECOMMENDED OTHER
Clerks Notes:
VOTE OF SUPERVISORS
AYE:John Gioia, District I Supervisor
Gayle B. Uilkema, District II
Supervisor
Mary N. Piepho, District III
Supervisor
Susan A. Bonilla, District IV
Supervisor
Federal D. Glover, District V
Supervisor
Contact: Lisa Driscoll, (925)
335-1023
I hereby certify that this is a true and correct copy of an action taken and entered on the minutes of the Board
of Supervisors on the date shown.
ATTESTED: April 13, 2010
David J. Twa, County Administrator and Clerk of the Board of Supervisors
By: EMY L. SHARP, Deputy
cc: TREASURER TAX COLLECTOR-BINS, COUNTY ADMINISTRATOR-DRISCOLL, COUNTY ADMINISTRATOR-EWELL
C. 84
To:Board of Supervisors
From:David Twa, County Administrator
Date:April 13, 2010
Contra
Costa
County
Subject:ANTIOCH UNIFIED SCHOOL DISTRICT $20,000,000 FY 2009-2010 TAX AND REVENUE
ANTICIPATION NOTES
ATTACHMENTS
Resolution No. 2010/156
2009/10 Antioch USD TRAN - Approved District
Resolution
2009/10 Antioch USD TRAN - Note Purchase Agreement
Quint & Thimmig LLP 03/09/10
01035.01
$___________
ANTIOCH UNIFIED SCHOOL DISTRICT
(Contra Costa County, California)
2009-10 Tax and Revenue Anticipation Notes
NOTE PURCHASE AGREEMENT
____________, 2010
Board of Supervisors
Contra Costa County
651 Pine Street, 11th Floor
Martinez, CA 94533
Board of Education
Antioch Unified School District
510 G Street
Antioch, CA 94509
Ladies and Gentlemen:
The undersigned, _________________ (the “Underwriter”), acting on behalf of itself,
offer to enter into this agreement with Contra Costa County, California (the “County”), and the
Antioch Unified School District (the “District”), which, upon your acceptance hereof, will be
binding upon the District, the County and the Underwriter. This offer is made subject to the
acceptance of the Note Purchase Agreement by the County and the District and written delivery
of such acceptance to the Underwriter at or prior to 11:59 P.M., Pacific Time, on the day next
proceeding the day of Closing, as hereinafter defined.
1. Purchase and Sale of the Notes. Upon the terms and conditions and in reliance upon
the representations, warranties and agreements herein set forth, the Underwriter hereby agrees
to purchase from the District for reoffering to the public, and the District hereby agrees to sell to
the Underwriter for such purpose, all (but not less than all) of $___________ aggregate principal
amount of the District’s 2009-10 Tax and Revenue Anticipation Notes (the “Notes”) issued in
the name of the District by the County; provided, that during the period from the execution of
the Note Purchase Agreement to and including the Closing date thereof, the District may retain
the right to reduce the aggregate principal amount of the Notes in order to comply with
applicable federal tax law once determined.
The Notes shall be dated the date of delivery thereof, which date is anticipated to be
___________, 2010, shall bear interest at a rate of _____% per annum (payable at maturity), and
shall mature on ___________. The purchase price to be paid by the Underwriter for the Notes
shall include a premium offered by the Underwriter for purchase of the Notes of $________, less
an Underwriter’s discount of $_________, making the net purchase price for the Notes
$___________. The reoffering price of the Notes is ________%, to yield ______%.
2. The Notes. The Notes shall be described in, and shall be issued and secured pursuant
to the provisions of the Resolution of the County adopted April 13, 2010 (the “County
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Resolution”), at the request of the District pursuant to a resolution adopted March 24, 2010 (the
“District Resolution”) (collectively, the “Resolutions”), and Article 7.6, Chapter 4, Part 1,
Division 2, Title 5 (commencing with section 53850) of the California Government Code (the
“Act”).
3. Use of Documents. The District hereby approves and authorizes the Underwriter to
use, in connection with the offer and sale of the Notes, this Note Purchase Agreement and an
official statement, in a form to be jointly approved by the District and the Underwriter (which,
together with all appendices thereto and with such changes therein and supplements thereto
consented to by the Underwriter, is herein called the “Official Statement”), the Resolutions and
all information contained herein and therein and all of the documents, certificates or statements
furnished by the District or the County to the Underwriter in connection with the transaction
contemplated by this Note Purchase Agreement.
4. Public Offering of the Notes. The Underwriter agrees to make a bona fide public
offering of all the Notes. A certificate is being delivered by the Underwriter in connection with
the issuance of the Notes (and as a condition of closing) wherein the Underwriter states and
certifies to the District that the initial reoffering price of the Notes to the general public
(excluding bond houses, brokers, or similar persons or organizations acting in the capacity of
underwriters or wholesalers), at which price at least ten percent (10%) of the Notes were sold, is
as set forth on the cover page of the Official Statement.
Subsequent to such initial public offering, the underwriter reserves the right to change
such initial public offering price or yield as it deems necessary in connection with the marketing
of the Notes.
5. Delivery of Official Statement. Prior to the closing, the District shall deliver to the
Underwriter such reasonable number of the Official Statement (as supplemented and amended
from time to time) as the Underwriter shall reasonably request as necessary to comply with
Rule 15c2-12 of the Securities and Exchange Commission under the Securities Exchange Act of
1934 (the “Rule”) and with Rule G-32 and all other applicable rules of the Municipal Securities
Rulemaking Board. The District agrees to deliver such Official Statement within seven (7)
business days after the execution thereof. The Underwriter will not confirm the sale of any
Notes unless the confirmation of sale is accompanied or preceded by the delivery of a copy of
the Official Statement.
6. Closing. At 8:00 A.M., Pacific Time, on ____________, 2010, or such other time or such
other date as shall have been mutually agreed upon by the District and the Underwriter (the
“Closing”), the District will deliver to the Underwriter, through the facilities of the Depository
Trust Company in New York, New York, or at such other place as the District and the
Underwriter may mutually agree upon, the Notes in definitive form, duly executed, together
with other documents hereinafter mentioned; and the Underwriter will accept such delivery
and pay the purchase price thereof in immediately available funds to the order of the County on
behalf of the District. The Notes will be initially issued in the form of a separate single fully
registered note. Upon initial issuance, the ownership of such Notes shall be registered in the
registration books kept at the County in the name of Cede & Co., as the nominee of the
Depository Trust Company. Notwithstanding anything to the contrary herein contained, if for
any reason whatsoever, the Notes shall not have been delivered by the District to the
Underwriter prior to the close of business, Pacific Time on March 9, 2010, then the obligation to
purchase Notes hereunder shall terminate and be of no further force or effect with respect to the
obligations of the District and the Underwriter under Section 11 hereof.
7. Representations, Warranties and Agreements of the County. The County hereby
represents, warrants and agrees with the Underwriter that:
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(a) The County is a political subdivision duly organized and validly existing under the
laws of the State of California (the “State”), with the power to issue the Notes pursuant to the
Act.
(b) At or prior to the Closing, (i) the County will have taken all action required to be
taken by it to authorize the issuance and delivery of the Notes; (ii) the County has full legal
right, power and authority to enter into this Note Purchase Agreement and to adopt the County
Resolution, and the County has full legal right, power and authority to issue and deliver the
Notes to the Underwriter in the name of the District and the County has full legal right, power
and authority to perform its obligations under each such document or instrument, and to carry
out and effectuate the transaction contemplated by this Note Purchase Agreement and the
Resolutions; (iii) the execution and delivery or adoption of, and the performance by the County
of the obligations contained in the Note, the Resolutions and this Note Purchase Agreement
have been duly authorized and such authorization shall be in full force and effect at the time of
the Closing; (iv) this Note Purchase Agreement constitutes a valid and legally binding
obligation of the County; and, (v) the County has authorized the consummation by it of all
transactions contemplated by this Note Purchase Agreement.
(c) No consent, approval, authorization, order, filing, registration, qualification, election
or referendum of or by any person, organization, court or governmental agency or public body
whatsoever is required in connection with the issuance, delivery or sale of the Notes or the
consummation of the other transactions effected or contemplated herein or hereby, except for
such actions as may be necessary to qualify the Notes for offer and sale under the Blue Sky and
or other securities laws and regulations of such states and jurisdictions of the United States as
the Underwriter may designate.
(d) The issuance of the Notes, the execution, delivery and performance of this Note
Purchase Agreement, the Resolutions and the Notes, and compliance with the provisions hereof
do not conflict with or constitute on the part of the County a violation of or a default under, the
Constitution of the State or any other existing law, charter, ordinance, regulation, decree order
or resolution and do not conflict with or result in a violation or breach of, or constitute a default
under, any agreement, indenture, mortgage, lease or other instrument to which the County is a
party or by which it is bound or to which it is subject.
(e) Except as disclosed in the Official Statement dated January 26, 2010, to my
knowledge, there is no action, suit, proceeding, inquiry or investigation, at law or in equity,
before or by any court or public body, pending, or threatened against the Board which:
(i) affects the existence of the Board or in any way challenges the respective
powers of the several offices or the titles of the officials of the Board to such offices,
(ii) seeks to restrain or enjoin the sale, issuance or delivery of any of the Notes,
the application of the proceeds of the sale of the Notes, or the collection of revenues of
the District pledged or to be pledged or available to pay the principal of and interest on
the Notes, or the pledge thereof, or in any way contests or affects the validity or
enforceability of the Notes, the Resolution, or contests the powers of the Board or its
authority with respect to the Notes or the Resolution, or
(iii) in the event of a final adverse decision could (A) materially adversely affect
the operations of the County or the consummation of the transactions contemplated by
the Resolution, (B) adversely affect the exemption of the interest paid on the Notes from
federal income and California personal income taxation.
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(f) Any certificates signed by any officer of the County and delivered to the Underwriter
shall be deemed a representation and warranty by the County, as the case may be, to the
Underwriter as to the statements made therein but not of the person signing the same.
8. Representations, Warranties and Agreements of the District. The District hereby
represents, warrants and agrees with the Underwriter that:
(a) The District is a school district duly organized and validly existing under the laws of
the State, with the power to request the issuance of the Notes pursuant to the Act.
(b) At or prior to the Closing, (i) the District will have taken all action required to be
taken by it to authorize the issuance and delivery of the Notes; (ii) the District has full legal
right, power and authority to enter into this Note Purchase Agreement and to adopt the District
Resolution, and the District has full legal right, power and authority to perform its obligations
under each such document or instrument, and to carry out and effectuate the transaction
contemplated by this Note Purchase Agreement and the Resolutions; (iii) the execution and
delivery or adoption of, and the performance by the District of the obligations contained in the
Notes, the Resolutions and this Note Purchase Agreement have been duly authorized and such
authorization shall be in full force and effect at the time of the Closing; (iv) this Note Purchase
Agreement constitutes a valid and legally binding obligation of the County and the District; and
(v) the County and the District have each authorized the consummation by it of all transactions
contemplated by this Note Purchase Agreement.
(c) No consent, approval, authorization, order, filing, registration, qualification, election
or referendum, of or by any person, organization, court or government agency or public body
whatsoever is required in connection with the issuance, delivery or sale of the Notes or the
consummation of the other transactions effected or contemplated herein or hereby, except for
such actions as may be necessary to qualify the Notes for offer and sale under the Blue Sky and
or other securities laws and regulations of such states and jurisdictions of the United States as
the Underwriter may designate.
(d) The issuance of the Notes, the execution, delivery and performance of this Note
Purchase Agreement, the Resolutions and the Notes, and compliance with the provisions hereof
do not conflict with or constitute on the part of the District a violation of or default under, the
Constitution of the State or any other existing law, charter, ordinance, regulation, decree order
or resolution and do not conflict with or result in a violation or breach of, or constitute a default
under, any agreement, indenture, mortgage, lease or other instrument to which the District is a
party or by which it is bound or to which it is subject.
(e) To the best of the District’s knowledge, no action, suit, proceeding, hearing or
investigation is pending or (to the knowledge of the District) threatened against the District: (i)
in any way affecting the existence of the District or in any way challenging the respective
powers of the several offices of the titles of the officials of the District to such offices; or (ii)
seeking to restrain or enjoin the sale, issuance or delivery of the Notes, the application of the
proceeds of the sale of the Notes, or the collection of the revenue or assets of the District
pledged or available to pay the principal and interest on the Notes, or the Pledge thereof, or in
any way contesting or affecting the validity or enforceability of the Notes, this Note Purchase
Agreement or the Resolutions or contesting the powers of the District or its authority with
respect to the Notes, the Resolutions or this Note Purchase Agreement; or (iii) in which a final
adverse decision could (a) materially adversely affect the operations of the District or the
consummation of the transactions contemplated by this Note Purchase Agreement and the
Resolutions, (b) declare this Note Purchase Agreement to be invalid or unenforceable in whole
or in material part, or (c) adversely affect the exclusion of the interest paid on the Notes from
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gross income for federal income tax purposes and the exemption of such interest from
California personal income taxation.
(f) Between the date hereof and the date of the Closing, the District has not, without
prior written consent of the Underwriter, borrowed any additional moneys except for such
borrowings as may be described in or contemplated by the official Statement.
(g) The District has not been notified of any listing or proposed listing by the Internal
Revenue Service to the effect that the District is a bond issuer whose arbitrage certificates may
not be relied upon.
(h) The information contained in the Official Statement, as of its date and as of the date
of Closing, does not and will not contain an untrue statement of a material fact or omit to state a
material fact necessary, in order to make the statements made therein, in light of the
circumstances under which they were made, not misleading.
(i) Any certificates signed by any officer of the District and delivered to the Underwriter
shall be deemed a representation and warranty by the District, as the case may be, to the
Underwriter as to the statements made therein but not of the person signing the same.
9. Covenants of the District. The District covenants and agrees with the Underwriter
that:
(a) The District will furnish such information, execute such instruments, and take such
action in cooperation with the Underwriter if and as the Underwriter may reasonably request in
order to qualify the Notes for offer or sale under the Blue Sky or other securities laws and
regulations or such states and jurisdictions, provided, however, that the District shall not be
required to consent to process in any jurisdiction.
(b) The District will apply the proceeds from the sale of the Notes for the purposes
specified in the Resolutions; and
(c) For a period of 90 days after the Closing or until such time (if earlier) as the
Underwriter shall no longer hold any of the Notes for sale, the District will adopt any
amendment of or supplement to the Official Statement if any event relating to or affecting the
District shall occur as a result of which it is necessary to amend or supplement the Official
Statement in order to make the Official Statement not misleading in light of the circumstances
existing at the time it is delivered to the purchaser. Any information supplied by the District for
inclusion in any amendment or supplement to the Official Statement will amend or supplement
the Official Statement so that it will not contain an untrue statement of a material fact or omit to
state a material fact necessary in order to make the statements therein, in light of the
circumstances existing at the time the Official Statement is delivered to a purchaser, not
misleading.
10. Conditions and Closing. The Underwriter has entered into this Note Purchase
Agreement in reliance upon the representations and warranties of the County and the District
contained herein and the performance by the District of its obligations hereunder, both as of the
date hereof and as of the date of Closing. The Underwriter’s obligations under this Note
Purchase Agreement are and shall be subject, at the option of the Underwriter, to the following
further conditions at the Closing:
(a) The representations and warranties of the County and the District contained herein
shall be true, complete and correct in all material respects as of the date hereof and as of the
date of Closing, as if made at and as of the Closing, and the statements made in all certificates
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and other documents delivered to the Underwriter at the Closing pursuant hereto shall be true,
complete and correct in all material respects on the date of the Closing; and the County and the
District shall be in compliance with each of the agreements made by it in this Note Purchase
Agreement.
(b) At the time of the Closing, (i) the Official Statement, this Note Purchase Agreement
and the Resolutions shall be in full force and effect and shall not have been amended, modified
or supplemented except as may have been agreed to in writing by the Underwriter; (ii) all
actions under the Act which, in the opinion of the firm of Quint & Thimmig LLP, bond counsel
(“Bond Counsel”), shall be necessary in connection with the transactions contemplated hereby,
shall have been duly taken and shall be in full force and effect; and, (iii) the County and the
District shall perform or have performed all of their obligations required under or specified in
the Resolutions, the Note Purchase Agreement or the Official Statement to be performed at or
prior to the Closing.
(c) No decision, ruling or finding shall have been entered by any court or governmental
authority since the date of this Note Purchase Agreement (and not reversed on appeal or
otherwise set aside), or to the best knowledge of the County and the District, pending or
threatened or contesting in any way the completeness or accuracy of the Official Statement.
(d) No order, decree or injunction of any court of competent jurisdiction, nor any order,
ruling or regulation of the Securities and Exchange Commission, shall have been issued or
made with the purpose or effect of prohibiting the issuance, offering or sale of the Notes as
contemplated hereby and no legislation shall have enacted, or a bill favorably reported for
adoption, or a decision by a court established under Article III of the Constitution of the United
States rendered, or a ruling, regulation, proposed regulation or official statement by or on
behalf of the Securities and Exchange Commission or other governmental agency having
jurisdiction of the subject matter shall be made or issued, to the effect that the Notes or any
securities of the County or of any similar body of the type contemplated herein are not exempt
from the registration, qualification or other requirements of the Securities Act of 1933, as
amended and as then in effect, or the Trustee Indenture Act of 1939, as amended and as then in
effect.
(e) At or prior to the date of the Closing, the Underwriter shall receive one copy of the
following documents in each case dated as of the Closing Date and satisfactory in form and
substance to the Underwriter:
(1) An approving opinion of Bond Counsel, as to the Notes, addressed to the
District
(2) A letter setting forth that the Underwriter can rely upon the approving
opinion of Bond Counsel.
(3) A certificate signed by appropriate officials of the District to the effect that
there is no action, suit, proceeding, inquiry or investigation, at law or in equity, before or
by any court or public body, pending, or to his or her knowledge, threatened against the
District or contesting in any way the completeness or accuracy of the Official Statement
(but in lieu of or in conjunction with such certification the Underwriter may, at its sole
discretion, accept certificates, opinions of the District Counsel or Bond Counsel, that in
their opinion the issues raised in any such pending or threatened litigation are without
substance and that the contentions of all plaintiffs therein are without merit).
(4) A certificate signed by appropriate officials of the County and the District to
the effect that (i) the representation, agreements and warranties of the County and the
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District herein are true and correct in all material respects as of the date of Closing; (ii)
the County and the District have complied with all the terms of the Resolutions and this
Note Purchase Agreement to be complied with by the Closing and such documents are
in full force and effect; and (iii) such officials have reviewed the Official Statement and,
on such basis, certify that the Official Statement does not contain an untrue statement of
a material fact or omit to state a material fact necessary, in order to make the statements
made therein, in light of the circumstances under which they were made, not
misleading.
(5) An opinion of Jones Hall, A Professional Law Corporation, San Francisco,
California, as disclosure counsel (“Disclosure Counsel”), addressed to the District and
the Underwriter, stating that, without passing upon or assuming any responsibility for
the accuracy, completeness or fairness of the statements contained in the Official
Statement and making no representation that they have independently verified the
accuracy, completeness or fairness of any such statements, based upon the information
made available to them in the course of their participation in the preparation of the
Official Statement, nothing has come to such counsel’s attention which would lead them
to believe that the Official Statement, including the cover page and all appendices
thereto (excluding therefrom financial statements and statistical data, information
regarding The Depository Trust Company, and its book entry system, as to which no
opinion need be expressed) contains an untrue statement of a material fact or omits to
state a material fact required to be stated therein or necessary to make the statements
therein, in the light of the circumstances under which they were made, not misleading.
(6) A non-arbitrage certificate of the District in form satisfactory to Bond
Counsel.
(7) Evidence satisfactory to the Underwriter that the Notes shall have been rated
“____” by Standard & Poor’s Ratings Services (“S&P”) (or such other equivalent rating
as such rating agency may give) and that such rating has not been revoked or
downgraded.
(8) A certificate, together with fully executed copies of the Resolutions, of the
District Clerk to the effect that (i) such copies are true and correct copies of the
Resolutions; and (ii) that the Resolutions were duly adopted and have not been
modified, amended rescinded or revoked and are in full force and effect on the date of
the Closing.
(9) Such additional legal opinion, certificates, proceedings, instruments and other
documents as the Underwriter may reasonably request to evidence compliance (i) by the
County and the District with legal requirements; (ii) the truth and accuracy, as of the
time of Closing, of the representations of the County and the District herein contained
and of the Official Statement; and (iii) the due performance or satisfaction by the County
and the District at or prior to such time of all agreements then to be performed and all
conditions then to be satisfied by the District.
If the County and/or the District shall be unable to reasonably satisfy the conditions
requested by the Underwriter to evidence compliance with the terms and conditions set forth in
this Note Purchase Agreement, the Underwriter’s obligations for the purchase of the Notes shall
be terminated for any reason permitted by this Note Purchase Agreement, and this Note
Purchase Agreement may be canceled by the Underwriter at, or at any time prior to, the time of
Closing. Notice of such cancellation shall be given to the County and the District in writing, or
by telephone or telegraph confirmed in writing. Notwithstanding any provision herein to the
contrary, the performance and any and all obligations of the County and the District hereunder
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and the performance of any and all conditions contained herein for the benefit of the
Underwriter may be waived by the Underwriter in writing at its sole discretion.
The Underwriter shall also have the right to cancel its obligation to purchase the Notes,
by written notice to the County and the District, if between the date hereof and the Closing: (i)
any event occurs or information becomes known, which, in the reasonable professional
judgment of the Underwriter, makes untrue any statement of a material fact set forth in the
Official Statement or results in an omission to state a material fact necessary to make the
statements therein, in light of the circumstances under which they were made, not misleading;
(ii) the market for the Notes or the market price of the Notes or the ability of the Underwriter to
enforce contracts for the sale of the Notes shall have been materially and adversely affected, in
the reasonable professional judgment of the Underwriter, by (a) legislation has been referred by
consideration, or by the legislature of the State, or a decision rendered by a court of the United
States or the State or by the United States Tax Court, or a ruling, order, or regulation (final or
temporary) made by the Treasury Department of the United States or the Internal Revenue
service or there federal or State authority, which would have the effect of changing, directly or
indirectly, the federal income tax consequences or State tax consequences of interest on
obligations of the general character of the Notes in the hands of the holders thereof, or (b) any
new outbreak of hostilities or other national or international calamity or crisis, the effect of such
outbreak on the financial markets of the United States begin such as, in the judgment of the
Underwriter, would affect materially and adversely the ability of the Underwriter to market the
Notes, or (c) a general suspension of trading on the New York Stock Exchange, or fixing of
minimum or maximum prices for trading or maximum ranges for prices for securities on the
New York Stock Exchange, whether by virtue or a determination by that Exchange or by order
of the Securities and Exchange Commission or any other governmental authority having
jurisdiction, or (d) a general banking moratorium declared by either federal or State authorities
having jurisdiction; or (iii) additional material restrictions not in force or being enforced as of
the date hereof shall have been imposed upon trading in securities generally by any
governmental authority or by any national securities exchange which, in the opinion of the
Underwriter, materially adversely affect the market price for the Notes.
11. Conditions to Obligations of the County and the District. The performance by the
County and the District of their obligations is conditioned upon (i) the performance by the
Underwriter of its obligations hereunder; and (ii) receipt by the District and the Underwriter of
opinions and certificates being delivered at the Closing by persons and entities other than the
County and the District.
12. Expenses. The District shall pay the expenses incident to the performance of its
obligations hereunder from the proceeds of the Notes (or from any other source of available
funds of the District) which expenses include and are limited to: (i) the cost of the preparation
and reproduction of the Resolutions; (ii) the fees and disbursements of Bond Counsel and
Disclosure Counsel; (iii) the fees and disbursements of KNN Public Finance, a division of Zions
First National Bank, as financial advisor to the District; (iv) the costs of the preparation, printing
and delivery of the Notes; (v) the costs of the preparation, printing and delivery of the Official
Statement and any amendment or supplement thereto in the quantity requested by the
Underwriter, and (vi) rating fees of S&P.
All other costs and expenses incurred by the Underwriter as a result of or in connection
with the purchase of the Notes shall be borne by the Underwriter, including, but not limited to:
(i) clearing house fees; (ii) DTC fees; (iii) CUSIP fees; (iv) CDIAC fees; (v) PSA fees; (vi) MSRB
fees; and (vii) costs or fees of qualifying the Notes for offer and sale in various states chosen by
the Underwriter and the costs or fees of preparing Blue Sky or legal investment memoranda to
be used in connection therewith.
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13. Notices. Any notice or other communication to be given under this Note Purchase
Agreement (other than the acceptance hereof as specified in the first paragraph hereof) may be
given by delivering the same in writing if to the County, to the Treasurer-Tax Collector of
Contra Costa County, if to the District, to the Assistant Superintendent, Business Services, or if
to the Underwriter to the attention of ______________________.
14. Parties in Interest; Survival of Representations and Warranties. This Note Purchase
Agreement when accepted by the District in writing as heretofore specified shall constitute the
entire agreement among the County, the District and the Underwriter. This Note Purchase
Agreement is made solely for the benefit of the County, the District and the Underwriter
(including the successors or assigns of the Underwriter). No person shall acquire or have any
rights hereunder or by virtue hereof. All the representations, warranties and agreements of the
County and the District in this Note Purchase Agreement shall survive regardless of (a) any
investigation or any statement in respect thereof made by or on behalf of the Underwriter, (b)
delivery of and payment by the Underwriters for the Notes hereunder, and (c) any termination
of this Note Purchase Agreement.
15. Execution in Counterparts. This Note Purchase Agreement may be executed in
several counterparts each of which shall be regarded as an original of all of which shall
constitute one and the same document.
16. Applicable Law. This Note Purchase Agreement shall be interpreted, governed and
enforced in accordance with the law of the State.
Very truly yours,
____________________, as Underwriter
By
Authorized Representative
The foregoing is hereby agreed to and
accepted as of the date first written above:
CONTRA COSTA COUNTY
By
Authorized Representative
ANTIOCH UNIFIED SCHOOL DISTRICT
By
Authorized Representative
Quint & Thimmig LLP 03/09/10
01035.01
$___________
ANTIOCH UNIFIED SCHOOL DISTRICT
(Contra Costa County, California)
2009-10 Tax and Revenue Anticipation Notes
NOTE PURCHASE AGREEMENT
____________, 2010
Board of Supervisors
Contra Costa County
651 Pine Street, 11th Floor
Martinez, CA 94533
Board of Education
Antioch Unified School District
510 G Street
Antioch, CA 94509
Ladies and Gentlemen:
The undersigned, _________________ (the “Underwriter”), acting on behalf of itself,
offer to enter into this agreement with Contra Costa County, California (the “County”), and the
Antioch Unified School District (the “District”), which, upon your acceptance hereof, will be
binding upon the District, the County and the Underwriter. This offer is made subject to the
acceptance of the Note Purchase Agreement by the County and the District and written delivery
of such acceptance to the Underwriter at or prior to 11:59 P.M., Pacific Time, on the day next
proceeding the day of Closing, as hereinafter defined.
1. Purchase and Sale of the Notes. Upon the terms and conditions and in reliance upon
the representations, warranties and agreements herein set forth, the Underwriter hereby agrees
to purchase from the District for reoffering to the public, and the District hereby agrees to sell to
the Underwriter for such purpose, all (but not less than all) of $___________ aggregate principal
amount of the District’s 2009-10 Tax and Revenue Anticipation Notes (the “Notes”) issued in
the name of the District by the County; provided, that during the period from the execution of
the Note Purchase Agreement to and including the Closing date thereof, the District may retain
the right to reduce the aggregate principal amount of the Notes in order to comply with
applicable federal tax law once determined.
The Notes shall be dated the date of delivery thereof, which date is anticipated to be
___________, 2010, shall bear interest at a rate of _____% per annum (payable at maturity), and
shall mature on ___________. The purchase price to be paid by the Underwriter for the Notes
shall include a premium offered by the Underwriter for purchase of the Notes of $________, less
an Underwriter’s discount of $_________, making the net purchase price for the Notes
$___________. The reoffering price of the Notes is ________%, to yield ______%.
2. The Notes. The Notes shall be described in, and shall be issued and secured pursuant
to the provisions of the Resolution of the County adopted April 13, 2010 (the “County
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Resolution”), at the request of the District pursuant to a resolution adopted March 24, 2010 (the
“District Resolution”) (collectively, the “Resolutions”), and Article 7.6, Chapter 4, Part 1,
Division 2, Title 5 (commencing with section 53850) of the California Government Code (the
“Act”).
3. Use of Documents. The District hereby approves and authorizes the Underwriter to
use, in connection with the offer and sale of the Notes, this Note Purchase Agreement and an
official statement, in a form to be jointly approved by the District and the Underwriter (which,
together with all appendices thereto and with such changes therein and supplements thereto
consented to by the Underwriter, is herein called the “Official Statement”), the Resolutions and
all information contained herein and therein and all of the documents, certificates or statements
furnished by the District or the County to the Underwriter in connection with the transaction
contemplated by this Note Purchase Agreement.
4. Public Offering of the Notes. The Underwriter agrees to make a bona fide public
offering of all the Notes. A certificate is being delivered by the Underwriter in connection with
the issuance of the Notes (and as a condition of closing) wherein the Underwriter states and
certifies to the District that the initial reoffering price of the Notes to the general public
(excluding bond houses, brokers, or similar persons or organizations acting in the capacity of
underwriters or wholesalers), at which price at least ten percent (10%) of the Notes were sold, is
as set forth on the cover page of the Official Statement.
Subsequent to such initial public offering, the underwriter reserves the right to change
such initial public offering price or yield as it deems necessary in connection with the marketing
of the Notes.
5. Delivery of Official Statement. Prior to the closing, the District shall deliver to the
Underwriter such reasonable number of the Official Statement (as supplemented and amended
from time to time) as the Underwriter shall reasonably request as necessary to comply with
Rule 15c2-12 of the Securities and Exchange Commission under the Securities Exchange Act of
1934 (the “Rule”) and with Rule G-32 and all other applicable rules of the Municipal Securities
Rulemaking Board. The District agrees to deliver such Official Statement within seven (7)
business days after the execution thereof. The Underwriter will not confirm the sale of any
Notes unless the confirmation of sale is accompanied or preceded by the delivery of a copy of
the Official Statement.
6. Closing. At 8:00 A.M., Pacific Time, on ____________, 2010, or such other time or such
other date as shall have been mutually agreed upon by the District and the Underwriter (the
“Closing”), the District will deliver to the Underwriter, through the facilities of the Depository
Trust Company in New York, New York, or at such other place as the District and the
Underwriter may mutually agree upon, the Notes in definitive form, duly executed, together
with other documents hereinafter mentioned; and the Underwriter will accept such delivery
and pay the purchase price thereof in immediately available funds to the order of the County on
behalf of the District. The Notes will be initially issued in the form of a separate single fully
registered note. Upon initial issuance, the ownership of such Notes shall be registered in the
registration books kept at the County in the name of Cede & Co., as the nominee of the
Depository Trust Company. Notwithstanding anything to the contrary herein contained, if for
any reason whatsoever, the Notes shall not have been delivered by the District to the
Underwriter prior to the close of business, Pacific Time on March 9, 2010, then the obligation to
purchase Notes hereunder shall terminate and be of no further force or effect with respect to the
obligations of the District and the Underwriter under Section 11 hereof.
7. Representations, Warranties and Agreements of the County. The County hereby
represents, warrants and agrees with the Underwriter that:
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(a) The County is a political subdivision duly organized and validly existing under the
laws of the State of California (the “State”), with the power to issue the Notes pursuant to the
Act.
(b) At or prior to the Closing, (i) the County will have taken all action required to be
taken by it to authorize the issuance and delivery of the Notes; (ii) the County has full legal
right, power and authority to enter into this Note Purchase Agreement and to adopt the County
Resolution, and the County has full legal right, power and authority to issue and deliver the
Notes to the Underwriter in the name of the District and the County has full legal right, power
and authority to perform its obligations under each such document or instrument, and to carry
out and effectuate the transaction contemplated by this Note Purchase Agreement and the
Resolutions; (iii) the execution and delivery or adoption of, and the performance by the County
of the obligations contained in the Note, the Resolutions and this Note Purchase Agreement
have been duly authorized and such authorization shall be in full force and effect at the time of
the Closing; (iv) this Note Purchase Agreement constitutes a valid and legally binding
obligation of the County; and, (v) the County has authorized the consummation by it of all
transactions contemplated by this Note Purchase Agreement.
(c) No consent, approval, authorization, order, filing, registration, qualification, election
or referendum of or by any person, organization, court or governmental agency or public body
whatsoever is required in connection with the issuance, delivery or sale of the Notes or the
consummation of the other transactions effected or contemplated herein or hereby, except for
such actions as may be necessary to qualify the Notes for offer and sale under the Blue Sky and
or other securities laws and regulations of such states and jurisdictions of the United States as
the Underwriter may designate.
(d) The issuance of the Notes, the execution, delivery and performance of this Note
Purchase Agreement, the Resolutions and the Notes, and compliance with the provisions hereof
do not conflict with or constitute on the part of the County a violation of or a default under, the
Constitution of the State or any other existing law, charter, ordinance, regulation, decree order
or resolution and do not conflict with or result in a violation or breach of, or constitute a default
under, any agreement, indenture, mortgage, lease or other instrument to which the County is a
party or by which it is bound or to which it is subject.
(e) Except as disclosed in the Official Statement dated January 26, 2010, to my
knowledge, there is no action, suit, proceeding, inquiry or investigation, at law or in equity,
before or by any court or public body, pending, or threatened against the Board which:
(i) affects the existence of the Board or in any way challenges the respective
powers of the several offices or the titles of the officials of the Board to such offices,
(ii) seeks to restrain or enjoin the sale, issuance or delivery of any of the Notes,
the application of the proceeds of the sale of the Notes, or the collection of revenues of
the District pledged or to be pledged or available to pay the principal of and interest on
the Notes, or the pledge thereof, or in any way contests or affects the validity or
enforceability of the Notes, the Resolution, or contests the powers of the Board or its
authority with respect to the Notes or the Resolution, or
(iii) in the event of a final adverse decision could (A) materially adversely affect
the operations of the County or the consummation of the transactions contemplated by
the Resolution, (B) adversely affect the exemption of the interest paid on the Notes from
federal income and California personal income taxation.
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(f) Any certificates signed by any officer of the County and delivered to the Underwriter
shall be deemed a representation and warranty by the County, as the case may be, to the
Underwriter as to the statements made therein but not of the person signing the same.
8. Representations, Warranties and Agreements of the District. The District hereby
represents, warrants and agrees with the Underwriter that:
(a) The District is a school district duly organized and validly existing under the laws of
the State, with the power to request the issuance of the Notes pursuant to the Act.
(b) At or prior to the Closing, (i) the District will have taken all action required to be
taken by it to authorize the issuance and delivery of the Notes; (ii) the District has full legal
right, power and authority to enter into this Note Purchase Agreement and to adopt the District
Resolution, and the District has full legal right, power and authority to perform its obligations
under each such document or instrument, and to carry out and effectuate the transaction
contemplated by this Note Purchase Agreement and the Resolutions; (iii) the execution and
delivery or adoption of, and the performance by the District of the obligations contained in the
Notes, the Resolutions and this Note Purchase Agreement have been duly authorized and such
authorization shall be in full force and effect at the time of the Closing; (iv) this Note Purchase
Agreement constitutes a valid and legally binding obligation of the County and the District; and
(v) the County and the District have each authorized the consummation by it of all transactions
contemplated by this Note Purchase Agreement.
(c) No consent, approval, authorization, order, filing, registration, qualification, election
or referendum, of or by any person, organization, court or government agency or public body
whatsoever is required in connection with the issuance, delivery or sale of the Notes or the
consummation of the other transactions effected or contemplated herein or hereby, except for
such actions as may be necessary to qualify the Notes for offer and sale under the Blue Sky and
or other securities laws and regulations of such states and jurisdictions of the United States as
the Underwriter may designate.
(d) The issuance of the Notes, the execution, delivery and performance of this Note
Purchase Agreement, the Resolutions and the Notes, and compliance with the provisions hereof
do not conflict with or constitute on the part of the District a violation of or default under, the
Constitution of the State or any other existing law, charter, ordinance, regulation, decree order
or resolution and do not conflict with or result in a violation or breach of, or constitute a default
under, any agreement, indenture, mortgage, lease or other instrument to which the District is a
party or by which it is bound or to which it is subject.
(e) To the best of the District’s knowledge, no action, suit, proceeding, hearing or
investigation is pending or (to the knowledge of the District) threatened against the District: (i)
in any way affecting the existence of the District or in any way challenging the respective
powers of the several offices of the titles of the officials of the District to such offices; or (ii)
seeking to restrain or enjoin the sale, issuance or delivery of the Notes, the application of the
proceeds of the sale of the Notes, or the collection of the revenue or assets of the District
pledged or available to pay the principal and interest on the Notes, or the Pledge thereof, or in
any way contesting or affecting the validity or enforceability of the Notes, this Note Purchase
Agreement or the Resolutions or contesting the powers of the District or its authority with
respect to the Notes, the Resolutions or this Note Purchase Agreement; or (iii) in which a final
adverse decision could (a) materially adversely affect the operations of the District or the
consummation of the transactions contemplated by this Note Purchase Agreement and the
Resolutions, (b) declare this Note Purchase Agreement to be invalid or unenforceable in whole
or in material part, or (c) adversely affect the exclusion of the interest paid on the Notes from
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gross income for federal income tax purposes and the exemption of such interest from
California personal income taxation.
(f) Between the date hereof and the date of the Closing, the District has not, without
prior written consent of the Underwriter, borrowed any additional moneys except for such
borrowings as may be described in or contemplated by the official Statement.
(g) The District has not been notified of any listing or proposed listing by the Internal
Revenue Service to the effect that the District is a bond issuer whose arbitrage certificates may
not be relied upon.
(h) The information contained in the Official Statement, as of its date and as of the date
of Closing, does not and will not contain an untrue statement of a material fact or omit to state a
material fact necessary, in order to make the statements made therein, in light of the
circumstances under which they were made, not misleading.
(i) Any certificates signed by any officer of the District and delivered to the Underwriter
shall be deemed a representation and warranty by the District, as the case may be, to the
Underwriter as to the statements made therein but not of the person signing the same.
9. Covenants of the District. The District covenants and agrees with the Underwriter
that:
(a) The District will furnish such information, execute such instruments, and take such
action in cooperation with the Underwriter if and as the Underwriter may reasonably request in
order to qualify the Notes for offer or sale under the Blue Sky or other securities laws and
regulations or such states and jurisdictions, provided, however, that the District shall not be
required to consent to process in any jurisdiction.
(b) The District will apply the proceeds from the sale of the Notes for the purposes
specified in the Resolutions; and
(c) For a period of 90 days after the Closing or until such time (if earlier) as the
Underwriter shall no longer hold any of the Notes for sale, the District will adopt any
amendment of or supplement to the Official Statement if any event relating to or affecting the
District shall occur as a result of which it is necessary to amend or supplement the Official
Statement in order to make the Official Statement not misleading in light of the circumstances
existing at the time it is delivered to the purchaser. Any information supplied by the District for
inclusion in any amendment or supplement to the Official Statement will amend or supplement
the Official Statement so that it will not contain an untrue statement of a material fact or omit to
state a material fact necessary in order to make the statements therein, in light of the
circumstances existing at the time the Official Statement is delivered to a purchaser, not
misleading.
10. Conditions and Closing. The Underwriter has entered into this Note Purchase
Agreement in reliance upon the representations and warranties of the County and the District
contained herein and the performance by the District of its obligations hereunder, both as of the
date hereof and as of the date of Closing. The Underwriter’s obligations under this Note
Purchase Agreement are and shall be subject, at the option of the Underwriter, to the following
further conditions at the Closing:
(a) The representations and warranties of the County and the District contained herein
shall be true, complete and correct in all material respects as of the date hereof and as of the
date of Closing, as if made at and as of the Closing, and the statements made in all certificates
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and other documents delivered to the Underwriter at the Closing pursuant hereto shall be true,
complete and correct in all material respects on the date of the Closing; and the County and the
District shall be in compliance with each of the agreements made by it in this Note Purchase
Agreement.
(b) At the time of the Closing, (i) the Official Statement, this Note Purchase Agreement
and the Resolutions shall be in full force and effect and shall not have been amended, modified
or supplemented except as may have been agreed to in writing by the Underwriter; (ii) all
actions under the Act which, in the opinion of the firm of Quint & Thimmig LLP, bond counsel
(“Bond Counsel”), shall be necessary in connection with the transactions contemplated hereby,
shall have been duly taken and shall be in full force and effect; and, (iii) the County and the
District shall perform or have performed all of their obligations required under or specified in
the Resolutions, the Note Purchase Agreement or the Official Statement to be performed at or
prior to the Closing.
(c) No decision, ruling or finding shall have been entered by any court or governmental
authority since the date of this Note Purchase Agreement (and not reversed on appeal or
otherwise set aside), or to the best knowledge of the County and the District, pending or
threatened or contesting in any way the completeness or accuracy of the Official Statement.
(d) No order, decree or injunction of any court of competent jurisdiction, nor any order,
ruling or regulation of the Securities and Exchange Commission, shall have been issued or
made with the purpose or effect of prohibiting the issuance, offering or sale of the Notes as
contemplated hereby and no legislation shall have enacted, or a bill favorably reported for
adoption, or a decision by a court established under Article III of the Constitution of the United
States rendered, or a ruling, regulation, proposed regulation or official statement by or on
behalf of the Securities and Exchange Commission or other governmental agency having
jurisdiction of the subject matter shall be made or issued, to the effect that the Notes or any
securities of the County or of any similar body of the type contemplated herein are not exempt
from the registration, qualification or other requirements of the Securities Act of 1933, as
amended and as then in effect, or the Trustee Indenture Act of 1939, as amended and as then in
effect.
(e) At or prior to the date of the Closing, the Underwriter shall receive one copy of the
following documents in each case dated as of the Closing Date and satisfactory in form and
substance to the Underwriter:
(1) An approving opinion of Bond Counsel, as to the Notes, addressed to the
District
(2) A letter setting forth that the Underwriter can rely upon the approving
opinion of Bond Counsel.
(3) A certificate signed by appropriate officials of the District to the effect that
there is no action, suit, proceeding, inquiry or investigation, at law or in equity, before or
by any court or public body, pending, or to his or her knowledge, threatened against the
District or contesting in any way the completeness or accuracy of the Official Statement
(but in lieu of or in conjunction with such certification the Underwriter may, at its sole
discretion, accept certificates, opinions of the District Counsel or Bond Counsel, that in
their opinion the issues raised in any such pending or threatened litigation are without
substance and that the contentions of all plaintiffs therein are without merit).
(4) A certificate signed by appropriate officials of the County and the District to
the effect that (i) the representation, agreements and warranties of the County and the
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District herein are true and correct in all material respects as of the date of Closing; (ii)
the County and the District have complied with all the terms of the Resolutions and this
Note Purchase Agreement to be complied with by the Closing and such documents are
in full force and effect; and (iii) such officials have reviewed the Official Statement and,
on such basis, certify that the Official Statement does not contain an untrue statement of
a material fact or omit to state a material fact necessary, in order to make the statements
made therein, in light of the circumstances under which they were made, not
misleading.
(5) An opinion of Jones Hall, A Professional Law Corporation, San Francisco,
California, as disclosure counsel (“Disclosure Counsel”), addressed to the District and
the Underwriter, stating that, without passing upon or assuming any responsibility for
the accuracy, completeness or fairness of the statements contained in the Official
Statement and making no representation that they have independently verified the
accuracy, completeness or fairness of any such statements, based upon the information
made available to them in the course of their participation in the preparation of the
Official Statement, nothing has come to such counsel’s attention which would lead them
to believe that the Official Statement, including the cover page and all appendices
thereto (excluding therefrom financial statements and statistical data, information
regarding The Depository Trust Company, and its book entry system, as to which no
opinion need be expressed) contains an untrue statement of a material fact or omits to
state a material fact required to be stated therein or necessary to make the statements
therein, in the light of the circumstances under which they were made, not misleading.
(6) A non-arbitrage certificate of the District in form satisfactory to Bond
Counsel.
(7) Evidence satisfactory to the Underwriter that the Notes shall have been rated
“____” by Standard & Poor’s Ratings Services (“S&P”) (or such other equivalent rating
as such rating agency may give) and that such rating has not been revoked or
downgraded.
(8) A certificate, together with fully executed copies of the Resolutions, of the
District Clerk to the effect that (i) such copies are true and correct copies of the
Resolutions; and (ii) that the Resolutions were duly adopted and have not been
modified, amended rescinded or revoked and are in full force and effect on the date of
the Closing.
(9) Such additional legal opinion, certificates, proceedings, instruments and other
documents as the Underwriter may reasonably request to evidence compliance (i) by the
County and the District with legal requirements; (ii) the truth and accuracy, as of the
time of Closing, of the representations of the County and the District herein contained
and of the Official Statement; and (iii) the due performance or satisfaction by the County
and the District at or prior to such time of all agreements then to be performed and all
conditions then to be satisfied by the District.
If the County and/or the District shall be unable to reasonably satisfy the conditions
requested by the Underwriter to evidence compliance with the terms and conditions set forth in
this Note Purchase Agreement, the Underwriter’s obligations for the purchase of the Notes shall
be terminated for any reason permitted by this Note Purchase Agreement, and this Note
Purchase Agreement may be canceled by the Underwriter at, or at any time prior to, the time of
Closing. Notice of such cancellation shall be given to the County and the District in writing, or
by telephone or telegraph confirmed in writing. Notwithstanding any provision herein to the
contrary, the performance and any and all obligations of the County and the District hereunder
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and the performance of any and all conditions contained herein for the benefit of the
Underwriter may be waived by the Underwriter in writing at its sole discretion.
The Underwriter shall also have the right to cancel its obligation to purchase the Notes,
by written notice to the County and the District, if between the date hereof and the Closing: (i)
any event occurs or information becomes known, which, in the reasonable professional
judgment of the Underwriter, makes untrue any statement of a material fact set forth in the
Official Statement or results in an omission to state a material fact necessary to make the
statements therein, in light of the circumstances under which they were made, not misleading;
(ii) the market for the Notes or the market price of the Notes or the ability of the Underwriter to
enforce contracts for the sale of the Notes shall have been materially and adversely affected, in
the reasonable professional judgment of the Underwriter, by (a) legislation has been referred by
consideration, or by the legislature of the State, or a decision rendered by a court of the United
States or the State or by the United States Tax Court, or a ruling, order, or regulation (final or
temporary) made by the Treasury Department of the United States or the Internal Revenue
service or there federal or State authority, which would have the effect of changing, directly or
indirectly, the federal income tax consequences or State tax consequences of interest on
obligations of the general character of the Notes in the hands of the holders thereof, or (b) any
new outbreak of hostilities or other national or international calamity or crisis, the effect of such
outbreak on the financial markets of the United States begin such as, in the judgment of the
Underwriter, would affect materially and adversely the ability of the Underwriter to market the
Notes, or (c) a general suspension of trading on the New York Stock Exchange, or fixing of
minimum or maximum prices for trading or maximum ranges for prices for securities on the
New York Stock Exchange, whether by virtue or a determination by that Exchange or by order
of the Securities and Exchange Commission or any other governmental authority having
jurisdiction, or (d) a general banking moratorium declared by either federal or State authorities
having jurisdiction; or (iii) additional material restrictions not in force or being enforced as of
the date hereof shall have been imposed upon trading in securities generally by any
governmental authority or by any national securities exchange which, in the opinion of the
Underwriter, materially adversely affect the market price for the Notes.
11. Conditions to Obligations of the County and the District. The performance by the
County and the District of their obligations is conditioned upon (i) the performance by the
Underwriter of its obligations hereunder; and (ii) receipt by the District and the Underwriter of
opinions and certificates being delivered at the Closing by persons and entities other than the
County and the District.
12. Expenses. The District shall pay the expenses incident to the performance of its
obligations hereunder from the proceeds of the Notes (or from any other source of available
funds of the District) which expenses include and are limited to: (i) the cost of the preparation
and reproduction of the Resolutions; (ii) the fees and disbursements of Bond Counsel and
Disclosure Counsel; (iii) the fees and disbursements of KNN Public Finance, a division of Zions
First National Bank, as financial advisor to the District; (iv) the costs of the preparation, printing
and delivery of the Notes; (v) the costs of the preparation, printing and delivery of the Official
Statement and any amendment or supplement thereto in the quantity requested by the
Underwriter, and (vi) rating fees of S&P.
All other costs and expenses incurred by the Underwriter as a result of or in connection
with the purchase of the Notes shall be borne by the Underwriter, including, but not limited to:
(i) clearing house fees; (ii) DTC fees; (iii) CUSIP fees; (iv) CDIAC fees; (v) PSA fees; (vi) MSRB
fees; and (vii) costs or fees of qualifying the Notes for offer and sale in various states chosen by
the Underwriter and the costs or fees of preparing Blue Sky or legal investment memoranda to
be used in connection therewith.
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13. Notices. Any notice or other communication to be given under this Note Purchase
Agreement (other than the acceptance hereof as specified in the first paragraph hereof) may be
given by delivering the same in writing if to the County, to the Treasurer-Tax Collector of
Contra Costa County, if to the District, to the Assistant Superintendent, Business Services, or if
to the Underwriter to the attention of ______________________.
14. Parties in Interest; Survival of Representations and Warranties. This Note Purchase
Agreement when accepted by the District in writing as heretofore specified shall constitute the
entire agreement among the County, the District and the Underwriter. This Note Purchase
Agreement is made solely for the benefit of the County, the District and the Underwriter
(including the successors or assigns of the Underwriter). No person shall acquire or have any
rights hereunder or by virtue hereof. All the representations, warranties and agreements of the
County and the District in this Note Purchase Agreement shall survive regardless of (a) any
investigation or any statement in respect thereof made by or on behalf of the Underwriter, (b)
delivery of and payment by the Underwriters for the Notes hereunder, and (c) any termination
of this Note Purchase Agreement.
15. Execution in Counterparts. This Note Purchase Agreement may be executed in
several counterparts each of which shall be regarded as an original of all of which shall
constitute one and the same document.
16. Applicable Law. This Note Purchase Agreement shall be interpreted, governed and
enforced in accordance with the law of the State.
Very truly yours,
____________________, as Underwriter
By
Authorized Representative
The foregoing is hereby agreed to and
accepted as of the date first written above:
CONTRA COSTA COUNTY
By
Authorized Representative
ANTIOCH UNIFIED SCHOOL DISTRICT
By
Authorized Representative