HomeMy WebLinkAboutRes 21-13 Authorizing a Depository Agreement with US Bank for Developer ReimbursementTOWN OF WESTLAKE
RESOLUTION NO. 21-13
A RESOLUTION OF THE TOWN COUNCIL OF THE TOWN OF WESTLAKE, TEXAS,
AUTHORIZING THE TOWN MANAGER TO EXECUTE A DEPOSITORY
AGREEMENT WITH U.S. BANK, N.A., FOR A DEVELOPER REIMBURSEMENT
AGREEMENT — PART B RELATED TO THE ENTRADA PARKING GARAGE.
WHEREAS, the Public Improvement District Assessment Act, Texas Local Government
Code, Chapter 372, as amended (the "Act"), authorizes the 'Town Council (the "Council") of the
Town of Westlake, Texas (the "Town"), to create a public improvement district within the Town;
and
WHEREAS, on February 24, 2014, the Council conducted a public hearing to consider a
petition received by the Town on October 18, 2013 titled "Petition for the Creation of a Public
Improvement District Within the Town of Westlake, Texas, for the Solaria Public Improvement
District" requesting the creation of a public improvement district; and
WHEREAS, on February 24, 2014, the Council approved Resolution No. 14-07 (the
"Authorization Resolution"), authorizing, establishing and creating the Solana Public
Improvement District (the "District"); and
WHEREAS, the Town Council finds that the proposed Depository Agreement with 'U.S'.
Bank, N.A., satisfies requirements for reimbursement to the developer to the construction ofbe
parking garage within Entrada; and
WHEREAS, the Town Council finds that the proposed Depository Agreement with 1.,S.
Bank, N.A., is in the best interest of the public.
NOW, THEREFORE, BE IT RESOLVED BY THE TOWN COUNCIL OF THE Tf: NVN
OF WESTLAKE, TEXAS:
SECTION 1: All matters stated in the Recitals above are found to be true and correct and
are incorporated herein by reference as if copied in their entirety.
SECTION 2: 'The Town Council of the Town of Westlake hereby approves the Depository
Agreement with U.S. Bank, N.A., for a Developer Reimbursement Agreement — Part B related to
the Entrada Parking Garage, attached as Exhibit "A", and further authorir es the 'Town Manager
to execute the agreement on behalf of the Town of Westlake, Texas.
SECTION 3: If any portion of this Resolution shall, for any reason, be declared invalid
by any court of competent jurisdiction, such invalidity shall not affect the remaining provisions
hereof and the Council hereby determines that it would have adopted this Resolution without the
invalid provision.
Resolution 21-13
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SECTION 4: That this resolution shall become effective from and after its date of
passage.
PASSED AND APPROVED ON THIS 26"' DAY OF APRIL 2021,
ATTEST:
Tod Wood, Town Secretary
APPROVED AS TO FORM:
I.. Stanton Lowry, Town Attorney
Laurel Wheat, Mayor
dma,2& 4A� _
Amanda DeGan, Town Manager
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Rosolution 21 -is
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EXHIBIT A
TOWN OF WESTLAKE, SOLANA PUBLIC IMPROVEMENT DISTRICT —
REIMBURSEMENT AGREEMENT — PART B
DEPOSIT AGREEMENT
THIS DEPOSIT AGREEMENT, dated as of ("Agreement"), is by and
between the Town of Westlake, Texas ("Depositor") and U.S. Bank National Association, a national
banking association, as depositary agent ("Agent").
BACKGROUND
WHEREAS, Depositor desires to deposit funds with Agent from time to time in connection with the
creation and implementation of the Town of Westlake, Texas Solana Public Improvement District
created pursuant to Texas Local Government Code Chapter 372; and
WHEREAS, Agent has agreed to accept, hold, and disburse the funds deposited with it and the
earnings thereon in accordance with the terms of this Agreement.
STATEMENT OF AGREEMENT
NOW THEREFORE, for good and valuable consideration, the receipt and
sufficiency of which are hereby acknowledged, the parties hereto, for themselves, their successors
and assigns, hereby agree as follows:
Definitions. The following terms shall have the following meanings when
used herein:
"Depositor Representative" shall mean the person(s) so designated on Schedule B
hereto or any other person designated in a writing signed by Depositor and delivered to Agent in
accordance with the notice provisions of this Agreement, to act as its representative under this
Agreement.
"Funds" shall mean the funds deposited with Agent pursuant to Section 3 of this
Agreement, together with any interest and other income thereon.
"Written Direction" shall mean a written direction executed by a Depositor
Representative and directing Agent to disburse all or a portion of the Funds or to take or refrain from
taking an action pursuant to this Agreement.
2. Appointment of and Acceptance byAgent. Depositor hereby appoints Agent
to serve hereunder. Agent hereby accepts such appointment and agrees to hold and disburse the
Funds in accordance with this Agreement.
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3. Deposit of Funds. Depositor will transfer the Funds from time to time, by
wire transfer of immediately available funds, to the depositary account identified in Schedule A
hereto (the "Deposit Account"). Depositor may transfer additional Funds to the Deposit Account
from time to time upon Agent's prior written approval.
4. Disbursements of Funds. Agent shall disburse Funds at any time and from
time to time, upon receipt of, and in accordance with, Depositor's Written Direction. Such Written
Direction shall contain wiring instructions or an address to which a check shall be sent. All
disbursements of funds from the Funds shall be subject to the fees and claims of Agent and the
Indemnified Parties (as defined below) pursuant to Section 9 and Section 10 below.
5. Suspension of Performance; Disbursement Into Court. If, at any time, Agent
is unable to determine, to Agent's sole satisfaction, the proper disposition of all or any portion of the
Funds or Agent's proper actions with respect to its obligations hereunder, then Agent may, in its sole
discretion, take either or both of the following actions:
a. suspend the performance of any of its obligations (including without
limitation any disbursement obligations) under this Agreement until such dispute or
uncertainty shall be resolved to the sole satisfaction of Agent,
b. petition (by means of an interpleader action or any other appropriate method)
any court of competent jurisdiction in Tarrant County, for instructions with respect to such
dispute or uncertainty, and to the extent required or permitted by law, pay into such court, for
holding and disposition in accordance with the instructions of such court, all Funds, after
deduction and payment to Agent of all fees and expenses (including court costs and
reasonable attorneys' fees) payable to, incurred by, Agent in connection with the
performance of its duties and the exercise of its rights hereunder.
Agent shall have no liability to Depositor or any other person with respect to any such suspension of
performance or disbursement into court, specifically including any liability or claimed liability that
may arise, or be alleged to have arisen, out of or as a result of any delay in the disbursement of the
Funds or any delay in or with respect to any other action required or requested of Agent.
6. Investments. Based upon Depositor's prior review of investment alternatives,
in the absence of further specific written direction to the contrary at any time that an investment
decision must be made, Agent is directed to invest and reinvest the Funds in the investment
identified in Schedule C. Agent will not provide supervision, recommendations or advice relating to
either the investment of Funds or the purchase or disposition of any investment and the Agent shall
not have any liability for any loss in an investment made pursuant to the terms of this Agreement.
Agent has no responsibility whatsoever to determine the market or other value of any investment and
makes no representation or warranty as to the accuracy of any such valuations. To the extent
applicable regulations grant rights to receive brokerage confirmations for certain security
transactions, Depositor waives receipt of such confirmations. Receipt of Funds and investment and
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reinvestment of Funds shall be confirmed by Agent by an account statement. Failure to inform Agent
in writing of any error or omission in any such account statement within 90 days after receipt shall
conclusively be deemed confirmation and approval by Depositor of such account statement. All
Funds held by the Agent shall be collateralized pursuant to Chapter 2257, Texas Government Code,
as amended.
7. Resignation or Removal of Agent. Agent may resign and be discharged from
the performance of its duties hereunder at any time by giving thirty (30) days' prior written notice to
the Depositor specifying a date when such resignation shall take effect and after such specified date,
notwithstanding any other provision of this Agreement, Agent's sole obligation will be to hold the
Funds pending appointment of a successor Agent. Similarly, Agent may be removed at any time by
Depositor giving at least thirty (30) days' prior written notice to Agent specifying the date when
such removal shall take effect. Upon the effective date of any such resignation or removal, Agent
shall return the Funds to or at the direction of the Depositor after deduction and payment to Agent of
all fees and expenses (including court costs and reasonable attorneys' fees) payable to, incurred by in
connection with the performance of its duties and the exercise of its rights hereunder. After Agent's
resignation or removal, the provisions of this Agreement shall inure to its benefit as to any actions
taken or omitted to be taken by it while it was acting under this Agreement.
8. Liability of Agent. Agent undertakes to perform only such duties as are
expressly set forth herein and no duties shall be implied. Agent has no fiduciary or discretionary
duties of any kind. Agent shall have no liability under and no duty to inquire as to the provisions of
any agreement other than this Agreement. Agent shall not be liable for any action taken or omitted
by it in good faith except to the extent that a court of competent jurisdiction determines, which
determination is not subject to appeal, that Agent's negligence or willful misconduct was the primary
cause of any loss to the Depositor. Agent's sole responsibility shall be for the safekeeping of the
Funds in accordance with Agent's customary practices and disbursement of the Funds in accordance
with the terms of this Agreement. Agent shall have no implied duties or obligations and shall not be
charged with knowledge or notice of any fact or circumstance not specifically set forth herein or
communicated in writing by the Deposit Representative. Agent may rely upon any notice,
instruction, request or other instrument, not only as to its due execution, validity and effectiveness,
but also as to the truth and accuracy of any information contained therein, which Agent believes to
be genuine and to have been signed or presented by the person or parties purporting to sign the same.
In no event shall Agent be liable for incidental, indirect, special, consequential or punitive damages
(including, but not limited to lost profits), even if Agent has been advised of the likelihood of such
loss or damage and regardless of the form of action. Agent shall not be obligated to take any legal
action or commence any proceeding in connection with the Funds, any account in which Funds are
deposited, or this Agreement, or to appear in, prosecute or defend any such legal action or
proceeding or to take any other action that in Agent's sole judgment may expose it to potential
expense or liability. Agent shall not be responsible or liable in any manner for the performance by
any party of their respective obligations under any other agreement. Agent may consult legal
counsel selected by it in the event of any dispute or question as to the construction of any of the
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provisions hereof or of any other agreement or of its duties hereunder, or relating to any dispute
involving any party hereto.
Agent is authorized, in its sole discretion, to comply with orders issued or process
entered by any court with respect to the Funds, without determination by Agent of such court's
jurisdiction in the matter. If any portion of the Funds is at any time attached, garnished or levied
upon under any court order, or in case the payment, assignment, transfer, conveyance or delivery of
any such property shall be stayed or enjoined by any court order, or in case any order, judgment or
decree shall be made or entered by any court affecting such property or any part thereof, then and in
any such event, Agent is authorized, in its sole discretion, to rely upon and comply with any such
order, writ, judgment or decree which it is advised by legal counsel selected by it is binding upon it
without the need for appeal or other action; and if Agent complies with any such order, writ,
judgment or decree, it shall not be liable to any of the parties hereto or to any other person or entity
by reason of such compliance even though such order, writ, judgment or decree may be subsequently
reversed, modified, annulled, set aside or vacated.
9. Indemnification of Agent. From and at all times after the date of this
Agreement, Depositor shall, to the extent permitted by law, defend, indemnify and hold harmless
Agent and each director, officer, employee and affiliate of Agent (each, an "Indemnified Party")
against any and all actions, claims (whether or not valid), losses, damages, liabilities, costs and
expenses of any kind or nature whatsoever (including without limitation reasonable attorneys' fees,
costs and expenses) incurred by or asserted against any Indemnified Party from and after the date
hereof, whether direct, indirect or consequential, as a result of or arising from or in any way relating
to any claim, demand, suit, action or proceeding (including any inquiry or investigation) by any
person, including without limitation Depositor, whether threatened or initiated, asserting a claim for
any legal or equitable remedy against any person under any statute or regulation or under any
common law or equitable cause or otherwise, arising from or in connection with the negotiation,
preparation, execution, performance or failure of performance of this Agreement or any transactions
contemplated herein, whether or not any such Indemnified Party is a party to any such action,
proceeding, suit or the target of any such inquiry or investigation; provided, however, that no
Indemnified Party shall have the right to be indemnified hereunder for any liability finally
determined by a court of competent jurisdiction, which determination is not subject to appeal, to
have resulted solely from the negligence or willful misconduct of such Indemnified Party. Depositor
further agrees to indemnify each Indemnified Party for all costs, including reasonable attorneys'
fees, incurred by such Indemnified Party in connection with the enforcement of Depositor's
indemnification obligations hereunder, provided that any services provided by the Agent after
termination of this Agreement will be pursuant to written agreement between the Depositor and the
Agent. The obligations of Depositor this Section 9 shall survive any termination of this Agreement
and the resignation or removal of Agent only with respect to actions taken prior to termination of this
Agreement or resignation or removal of the Agent.
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10. Compensation to Agent.
a. Fees and Expenses. Solely from funds deposited pursuant to this Agreement,
the Depositor shall compensate Agent for its services hereunder in accordance with Schedule A
attached hereto and, in addition, shall reimburse Agent for all of its reasonable out-of-pocket
expenses, disbursements, and advances, including without limitation the reasonable fees, expenses,
and disbursements of its agents and attorneys incurred or made by the Agent in connection with
entering into and performing under this Agreement. The additional provisions and information set
forth on Schedule A are hereby incorporated by this reference, and form a part of this Agreement.
All of the compensation and reimbursement obligations set forth in this Section 10 shall be payable
by Depositor upon invoicing to the Town by Agent. The obligations of Depositor under this Section
10 shall survive any termination of this Agreement and the resignation or removal of Agent,
provided that payments are to be made solely from Funds deposited pursuant to this Agreement, and
solely for services rendered under this Agreement and any fees incurred by the Agent after
termination of this Agreement shall not exceed a maximum of two -hundred thousand dollars
($200,000.00).
b. Disbursements from Funds to PayAgent. Agent is authorized to, and may,
disburse to itself from the Funds, from time to time, the amount of any compensation and
reimbursement due and payable hereunder after submission of an invoice to be paid and with written
direction from the Depositor (including any amount to which Agent is entitled to seek
indemnification pursuant to Section 9 hereof).
11. Representations and Warranties. Depositor makes the following
representations and warranties to Agent:
(i) It is duly organized, validly existing, and in good standing under the laws of
the state of its incorporation or organization, and has full power and authority to execute and
deliver this Agreement and to perform its obligations hereunder.
(ii) This Agreement has been duly approved by all necessary action, has been
executed by its duly authorized officers, and constitutes its valid and binding agreement
enforceable in accordance with its terms except as may be limited by laws heretofore or
hereafter enacted relating to bankruptcy insolvency, reorganization, moratorium, sovereign
immunity of political subdivisions or other similar laws affecting the rights of creditors of
political subdivisions and the exercise of judicial discretion in appropriate cases.
(iii) The execution, delivery, and performance of this Agreement will not violate,
conflict with, or cause a default under its articles of incorporation, articles of organization,
bylaws, management agreement or other organizational document, as applicable, any
applicable law or regulation, any court order or administrative ruling or decree to which it is
a party or any of its property is subject, or any agreement, contract, indenture.
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(iv) The applicable persons designated on Schedule B hereto have been duly
appointed to act as its representatives hereunder and have full power and authority to execute
and deliver any Written Direction. Any amendment, modification or waiver of any provision
of this Agreement will require action by the Town Council.
(v) No party other than the parties hereto has, or shall have, any lien, claim or
security interest in the Funds or any part thereof. No financing statement under the Uniform
Commercial Code is on file in any jurisdiction claiming a security interest in or describing
(whether specifically or generally) the Funds or any part thereof.
(vi) All of its representations and warranties contained herein are true and
complete as of the date hereof and will be true and complete at the time of any disbursement
of the Funds.
12. Patriot Act/Identifying Information. To help the government fight the funding
of terrorism and money laundering activities, Federal law requires all financial institutions to obtain,
verify, and record information that identifies each person who opens an account. For a non -
individual person such as a business entity, a charity, a trust, or other legal entity, Agent requires
documentation to verify its formation and existence as a legal entity. Agent may ask to see financial
statements, licenses, or identification and authorization documents from individuals claiming
authority to represent the entity or other relevant documentation. The Depositor acknowledges that a
portion of the identifying information set forth herein is being requested by Agent in connection with
the USA Patriot Act, Pub.L.107-56 (the "Act"), and agrees to provide any additional information
requested by Agent in connection with the Act or any other legislation or regulation to which Agent
is subject, in a timely manner. The Depositor represents that all identifying information set forth on
Schedule A or otherwise provided to Agent, including without limitation, its Taxpayer Identification
Number assigned by the Internal Revenue Service or any other taxing authority, is true and complete
on the date hereof and will be true and complete at the time of any disbursement of the Funds.
13. Consent to Jurisdiction and Venue. In the event that any party hereto
commences a lawsuit or other proceeding relating to or arising from this Agreement, the parties
hereto agree that Courts having jurisdiction and venue in Tarrant County, Texas shall have
jurisdiction over any such proceeding. If such court lacks federal subject matter jurisdiction, the
parties agree that Courts having jurisdiction and venue in Tarrant County, Texas shall have
jurisdiction. Any of these courts shall be proper venue for any such lawsuit or judicial proceeding
and the parties hereto waive any objection to such venue. The parties hereto consent to and agree to
submit to the jurisdiction of any of the courts specified herein and agree to accept service of process
to vest personal jurisdiction over them in any of these courts.
14. Notice. All notices, approvals, consents, requests, and other communications
hereunder shall be in writing (provided that each such communication to Agent must be manually
signed by the Sender) and shall be deemed to have been given when the writing is delivered if given
or delivered by hand, overnight delivery service or facsimile transmitter (with confirmed receipt) to
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the address or facsimile number set forth on Schedule A hereto, or to such other address as each
party may designate for itself by like notice, and shall be deemed to have been given on the date
deposited in the mail, if mailed, by first-class, registered or certified mail, postage prepaid, addressed
as set forth on Schedule A hereto, or to such other address as each party may designate for itself by
like notice.
15. Amendment, Waiver and Assignment. This Agreement may be changed,
waived, discharged or terminated only by a writing signed by the parties hereto. No delay or
omission by any party in exercising any right with respect hereto shall operate as a waiver. A waiver
on any one occasion shall not be construed as a bar to, or waiver of, any right or remedy on any
future occasion. Except as provided in Section 19, this Agreement may not be assigned by any party
without the written consent of the other party.
16. Severability. To the extent any provision of this Agreement is prohibited by
or invalid under applicable law, such provision shall be ineffective to the extent of such prohibition
or invalidity, without invalidating the remainder of such provision or the remaining provisions of
this Agreement.
17. Governing Law. This Agreement shall be construed and interpreted in
accordance with the internal laws of the State of Texas without giving effect to the conflict of laws
principles thereof.
18. Entire Agreement. This Agreement constitutes the entire agreement between
the parties relating to the holding, investment and disbursement of the Funds and sets forth in their
entirety the obligations and duties of Agent with respect to the Funds. Nothing in this Agreement,
express or implied, is intended to or shall confer upon any person other than the signatory parties
hereto and the Indemnified Parties any right, benefit or remedy of any nature whatsoever under or by
reason of this Agreement.
19. Binding Effect; Successors. All of the terms of this Agreement, as amended
from time to time, shall be binding upon, inure to the benefit of and be enforceable by the respective
successors and assigns of Depositor and Agent. If Agent consolidates, merges or converts into, or
transfers all or substantially all of its corporate trust business (including the account contemplated by
this Agreement) to another entity, the successor or transferee entity without any further act shall be
the successor Agent.
20. Execution in Counterparts. This Agreement may be executed in two or more
counterparts, which when so executed shall constitute one and the same agreement or direction. The
exchange of copies of this Agreement and of signature pages by facsimile transmission shall
constitute effective execution and delivery of this Agreement as to the parties and may be used in
lieu of the original Agreement for all purposes. Signatures of the parties transmitted by facsimile
shall be deemed to be their original signatures for all purposes.
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21. Termination. Upon the disbursement of all amounts in the Funds pursuant to
Written Directions or pursuant to Section 5, Section 7 or Section 8 hereof, this Agreement shall
terminate, Agent shall be released from its obligations hereunder and Agent shall have no further
liability with respect to the Fund, this Agreement, or any action or refusal to take action hereunder.
22. Dealings. Agent and any stockholder, director, officer or employee of Agent
may buy, sell, and deal in any of the securities of the Depositor and become financially interested in
any transaction in which Depositor may be interested, and contract and lend money to the Depositor
and otherwise act as fully and freely as though it were not acting as the depositary Agent under this
Agreement. Nothing herein shall preclude Agent from acting in any other capacity for the Depositor
or for any other person or entity.
23. Optional Security Procedures. In the event funds transfer instructions, address
changes or change in contact information are given (other than in writing at the time of execution of
this Agreement), whether in writing, by facsimile or otherwise, Agent is authorized but shall be
under no duty to seek confirmation of such instructions by telephone call-back to the person or
persons designated on Schedule B hereto, and Agent may rely upon the confirmation of anyone
purporting to be the person or persons so designated. The persons and telephone numbers for call-
backs may be changed only in writing actually received and acknowledged by Agent and shall be
effective only after Agent has a reasonable opportunity to act on such changes. Depositor agrees that
Agent may at its option record any telephone calls made pursuant to this Section. Agent in any funds
transfer may rely solely upon any account numbers or similar identifying numbers provided by
Depositor to identify (a) the beneficiary, (b) the beneficiary's Agent, or (c) an intermediary Agent.
Agent may apply any of the Funds for any payment order it executes using any such identifying
number, even when its use may result in a person other than the beneficiary being paid, or the
transfer of funds to an Agent other than the beneficiary's Agent or an intermediary Agent designated.
Depositor acknowledges that these optional security procedures are commercially reasonable.
25. Tax Reporting. Depositor agrees to assume all obligations imposed now or
hereafter by any applicable tax law or regulation with respect to payments or performance under this
Agreement. Upon Agent's request, Depositor shall provide Agent with a Form W-9 or Form W-8,
as applicable, for each payee, together with any other documentation and information requested by
Agent in connection with Agent's reporting obligations under the United States Internal Revenue
Code and related regulations (the "Code"). If such tax documentation is not so provided, Agent is
authorized to withhold taxes as required by the Code. Depositor shall accurately provide Agent with
all information requested by Agent in connection with Agent's reporting obligations under the Code.
Except as otherwise agreed by Agent in writing, Agent has no tax reporting or withholding
obligation except with respect to Form 1099-B reporting on payments of gross proceeds under Code
Section 6045 and Form 1099 and Form 1042-S reporting with respect to investment income, if any.
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26. Anti -Boycott Verification.
The Agent hereby verifies that it and its parent company, wholly- or majority -owned subsidiaries,
and other affiliates, if any, do not boycott Israel and, to the extent this Agreement is construed to be
a contract for goods or services, will not boycott Israel during the term of this Agreement. The
foregoing verification is made solely to comply with Section 2271.002, Texas Government Code,
but only to the extent such section is applicable, and to the extent such Section does not contravene
applicable Federal law. As used in the foregoing verification, `boycott Israel' means refusing to deal
with, terminating business activities with, or otherwise taking any action that is intended to penalize,
inflict economic harm on, or limit commercial relations specifically with Israel, or with a person or
entity doing business in Israel or in an Israeli -controlled territory, but does not include an action
made for ordinary business purposes. The Agent understands `affiliate' to mean an entity that
controls, is controlled by, or is under common control with the Agent and exists to make a profit.
27. Iran, Sudan and Foreign Terrorist Organizations
The Agent represents that neither it nor any of its parent company, wholly- or majority -owned
subsidiaries, and other affiliates is a company identified on a list prepared and maintained by the
Texas Comptroller of Public Accounts under Section 2252.153 or Section 2270.0201, Texas
Government Code, and posted on any of the following pages of such officer's internet website:
https://comptroller.texas.gov/purchasing/docs/sudan-list.pdf,
https:Hcomptroller.texas.gov/purchasing/does/iran-list.pdf, or
https:Hcomptroller.texas.gov/purchasing/does/fto-list.pdf. The foregoing representation is made
solely to comply with Section 2252.152, Texas Government Code, and to the extent such Section
does not contravene applicable Federal law and excludes the Agent and each of its parent company,
wholly- or majority -owned subsidiaries, and other affiliates, if any, that the United States
government has affirmatively declared to be excluded from its federal sanctions regime relating to
Sudan or Iran or any federal sanctions regime relating to a foreign terrorist organization. The Agent
understands "affiliate" to mean any entity that controls, is controlled by, or is under common control
with the Agent and exists to make a profit.
28. Ethics Disclosure.
Agent represents that it has completed a Texas Ethics Commission ("TEC") form 1295
("Form 1295") generated by the TEC's electronic filing application in accordance with the
provisions of Texas Government Code 2252.908 and the rules promulgated by the TEC. The Parties
agree that, with the exception of the information identifying the Town and the contract identification
number, the Town is not responsible for the information contained in the Form 1295. The
information contained in the Form 1295 has been provided solely by the Agent and the Town has not
verified such information.
29. Electronic Transmission; Electronic Signatures. Agent shall not have any duty to
confirm that the person sending any written notice or instruction (a "Notice") by electronic
transmission (including by e-mail, facsimile transmission, web portal or other electronic methods) is,
in fact, a person authorized to do so, as long as such signature on the electronic written
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communication is one on file with the Agent as authorized by the Depositor. Electronic signatures
believed by Agent to comply with the ESIGN Act of 2000 or other applicable law (including
electronic images of handwritten signatures and digital signatures provided by DocuSign, Orbit,
Adobe Sign or any other digital signature provider acceptable to Agent) shall be deemed original
signatures for all purposes. Each other party assumes all risks arising out of the use of electronic
signatures and electronic methods to send Notices to Agent, including without limitation the risk of
Agent acting on an unauthorized Notice, and the risk of interception or misuse by third parties.
Notwithstanding the foregoing, Agent may in any instance and in its sole discretion require that an
original document bearing a manual signature be delivered to Agent in lieu of, or in addition to, any
such electronic Notice.
IN WITNESS WHEREOF, the parties hereto have caused this Agreement to be
executed as of the date first above written.
DEPOSITOR
By:
Title:
U.S. BANK NATIONAL ASSOCIATION
By:
Title:
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SCHEDULE A
Initial Deposit and identification of Deposit Account.
Initial Deposit: $
U.S. Bank National Association
[ABA#
ATTN:
Re: [Account Name, #]]
2. Agent Fees.
Acceptance Fee:
Annual Fee:
Out -of -Pocket Expenses
Other Fees/Attorney, etc.:
at cost
at cost
The Acceptance Fee and the Annual Fee are payable upon execution of the agreement. In
the event the account is not funded, the Acceptance Fee and all related expenses, remain due
and payable, and if paid, will not be refunded. Annual fees cover a full year in advance, or
any part thereof, and thus are not pro -rated in the year of termination.
The fees quoted in this schedule apply to services ordinarily rendered in the administration of
an account and are subject to reasonable adjustment based on final review of documents, or
when Agent is called upon to undertake unusual duties or responsibilities, or as changes in
law, procedures, or the cost of doing business demand. Services in addition to and not
contemplated in this Agreement, including, but not limited to, document amendments and
revisions, non-standard cash and/or investment transactions, calculations, notices and
reports, , will be billed as extraordinary expenses. Any adjustments to this fee schedule must
be submitted to the Town and approved by the Town before such fees are effective.
Unless otherwise indicated, the above fees relate to the establishment of one account.
Additional sub -accounts governed by the same Agreement may incur an additional charge.
Transaction costs include charges for wire transfers, checks, internal transfers and securities
transactions.
3. Taxpayer Identification Numbers.
Depositor:
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5. Notice Addresses.
If to Depositor, at:
ATTN:
Facsimile:
Telephone:
E-mail:
Principal Place of Business,
if different
If to Agent, at: U.S. Bank National Association, as Agent
ATTN:
Facsimile:
Telephone:
E-mail:
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SCHEDULE B
Each of the following person(s) is a Depositor representative and each is authorized to
execute documents and direct Agent as to all matters, including fund transfers, address changes and
contact information changes, on Depositor's behalf:
Name
Name
Name
Specimen signature
Specimen signature
Specimen signature
Telephone No.
Telephone No
Telephone No
(Note: if only one person is identified above, please complete the following)
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f 1
Name
Telephone Number
DM48028084
SCHEDULE C
Based upon client's prior review of investment alternatives, in the absence of further specific written direction to the
contrary, U.S. Bank National Association ("USBNA") or U.S. Bank Trust National Association ("USBTNA") is
hereby directed to invest and reinvest proceeds and other available moneys in the following fund as permitted by the
operative documents:
First American Government Obligations Fund Class Y Shares
PLEASE REFER TO THE PROSPECTUS OF FIRST AMERICAN FUNDS, INC. WHICH YOU HEREBY
ACKNOWLEDGE HAS PREVIOUSLY BEEN PROVIDED. NOTE THAT THE ABOVE FUNDS'
INVESTMENT ADVISOR, CUSTODIAN, DISTRIBUTOR AND OTHER SERVICE PROVIDERS AS
DISCLOSED IN THE FUNDS PROSPECTUS ARE U.S. BANK NATIONAL ASSOCIATION AND
AFFILIATES THEREOF. U.S. BANK DOES NOT HAVE A DUTY NOR WILL IT UNDERTAKE ANY DUTY
TO PROVIDE INVESTMENT ADVICE TO YOU. U.S. BANK, WHEN ACTING AS AN INDENTURE
TRUSTEE OR IN A SIMILAR CAPACITY, IS NOT REQUIRED TO REGISTER AS A MUNICIPAL ADVISOR
WITH THE SECURITIES AND EXCHANGE COMMISSION FOR PURPOSES OF COMPLYING WITH THE
DODD-FRANK WALL STREET REFORM & CONSUMER PROTECTION ACT. INVESTMENT ADVICE, IF
NEEDED, SHOULD BE OBTAINED FROM YOUR FINANCIAL ADVISOR. FOR INFORMATION ABOUT
OTHER AVAILABLE SWEEP OPTIONS, CONTACT YOUR ACCOUNT MANAGER.
U.S. Bank National Association (or U.S. Bank Trust National Association) will not vote proxies for the First
American Funds. Proxies will be mailed to you for voting.
SHAREHOLDER COMMUNICATIONS ACT AUTHORIZATION
The Shareholder Communications Act of 1985 and its regulation require that banks and trust companies make an
effort to facilitate communication between registrants of U.S. securities and the parties who have the authority to
vote or direct the voting of those securities regarding proxy dissemination and other corporate communications.
Unless you indicate your objection below, we will provide the obligatory information to the registrant upon request.
Your objection will apply to all securities held for you in the account now and in the future unless you notify us in
writing.
I object to US Bank providing my name, address, and securities positions to requesting issuers.
(Initial, check, or place an X on the [blank] to indicate your objection)
Acknowledgments. Client Acknowledges that:
1.1. Shares of Mutual Funds are not deposits or obligations of, or guaranteed by, any bank, including any bank
affiliated with U.S. Bancorp. Nor does the Federal Deposit Insurance Corporations, the Federal Reserve Board, or
any other government agency insure such products. An investment in such products involves investment risks,
including the possible loss of principal, due to fluctuations in each product's net asset value.
1.2. Same -day Settlement. If USBNA (or USBTNA) receives a direction to purchase or redeem Sweep Vehicle
shares by the fund's established U.S. Bank cut-off time (the "Internal Trading Cut-off'), then such entity will settle
the purchase or redemption on the same business day, subject to the Sweep Vehicle's cut-off and policy for
determining when a purchase or redemption order is considered to be received. Meeting the Internal Trading Cut-
off does not guarantee same -business -day settlement.
1.3. Advance of Funds. If USBNA (or USBTNA) receives a direction to redeem Sweep Vehicle shares (the
"Redemption Direction") and to disburse or invest the proceeds thereof before the redeemed shares settle (the
"Proceeds Direction"), then they have the power to (i) determine the dollar amount of anticipated proceeds based on
the net asset value ("NAV") most recently determined (ii) advance funds in that dollar amount in furtherance of
settling the redemption and, as applicable, the purchase; (iii) determine the number of shares redeemed based on the
NAV at settlement; and (iv) as part of USBNA's (or USBTNA's)-compensation for servicing the Account, retain the
DM-#8028084
yield paid on Sweep Vehicle shares that were treated as redeemed. USBNA (or USBTNA) reserves the right not to
advance funds, including where the Sweep Vehicle has a floating NAV and the dollar amount of the Proceeds
Direction is at least 99% of the dollar value of all Sweep Vehicle shares in the Account based on the NAV most
recently determined.
1.4. Fund -level Fees. USBNA (or USBTNA), U.S. Bancorp Asset Management, Inc. ("USBAM"), U.S. Bancorp
Fund Services, LLC, ("USBFS") and Quasar Distributors, LLC ("Quasar") are affiliates of U.S. Bancorp
(collectively with U.S. Bancorp, "U.S. Bank"). USBAM is the investment advisor to the Mutual Funds in the First
American Funds, Inc. family (the "First American Funds"). U.S. Bank may enter into agreements with First
American Funds, other Mutual Funds, or any Mutual Funds' service providers (including investment advisers,
administrators, transfer agents, or distributors) whereby U.S. Bank provides services to Mutual Funds, including, as
applicable, services provided by USBAM (investment advisory, shareholder services), by USBNA (or USBTNA)
(custody, securities -lending, shareholder services, National Securities Clearing Corporation (NSCC) networking), by
USBFS (accounting, administration, transfer agency, sub -transfer agency), and by Quasar (distribution, principal
underwriting) and receives fees for these services. The fees received by Quasar may include distribution and service
fees paid under a plan of distribution adopted pursuant to Rule 12b-I under the Investment Company Act of 1940.
The fees may be received from the Mutual Fund or its investment advisor, administrator, transfer agent, distributor,
or other agent; are based on investment in a Mutual Fund, may vary by Mutual Fund and by class of shares issued by
the Mutual Fund, are charged against the Mutual Fund's assets, and reduce the Mutual Fund's average daily balance
and investment yields. From time to time, a Mutual Fund's service provider may voluntarily waive a portion of the
fees it is entitled to receive for serving the Mutual Fund. If a waiver is in effect, then the Client's approval of the
fees described herein includes approval up to the Sweep Vehicle's total annual operating expenses before waivers; if
the service provider terminates the waiver as provided in the Sweep Vehicle's prospectus, the approval persists.
1.5. Directed Account. USBNA (or USBTNA) (i) has no discretion to invest Account assets (such as discretion
to select the Sweep Vehicle; determine whether, or what amount of, Account assets will be used to purchase a
position in the Sweep Vehicle; or redeem Sweep Vehicle shares) and (ii) does not render investment advice with
respect to Account assets. Nor will USBNA's (or USBTNA's) power to advance funds in furtherance of settlement,
whether exercised or not, be deemed to be such discretion or advice.
1.6. Revocation. The Client acknowledges that as part of its account administration fee package, it has directed
investment in a money market fund that has several share classes. If client chooses to direct investment in a different
class of the fund (or any other sweep investment), client agrees to renegotiate its account administration fee package
in good faith.
2. Representations and Warranties. Represents and warrants that (i) the Client is independent of U.S. Bank;
has discretionary authority to select the investments and approve the fees described herein for the Account; received,
read, and understood the Sweep Vehicle's prospectus and fund fact -sheet, including the sections thereof describing
fees, gates, expenses, cut-offs, and compensation, before Account assets were first invested in the Sweep Vehicle;
and understands and approves the services and fees described herein; (ii) if the Account assets are subject to the
Employee Retirement Income Security Act of 1974, as amended, ("ERISA"), then the Client is a trustee under
ERISA §403(a) with respect to the assets, a "named fiduciary" with respect to the plan within the meaning of
ERISA §402(a), or an "investment manager" within the meaning of ERISA §3(38) with respect to the assets that has
been delegated the authority to manage, acquire, and dispose of such assets pursuant to ERISA §402(c)(3); and (iii)
the foregoing designation, direction, acknowledgments, representations and warranties are made according to the
Account's governing service agreement and are not contrary to applicable law.
Company Name
Trust Account Number — includes existing and
future sub -accounts unless otherwise designated.
Signature of Authorized Directing Party
Title
Date
DM-#8028084