HomeMy WebLinkAboutLB Resolution 2022.2023-06 Bond Resolution r
BUTLER I SNOW
MEMORANDUM
To: Clay County Utility Authority Board of Supervisors
From: Emily Magee, Esq.
Date: June 20, 2023
Subject: A Resolution Amending the Calculation of Annual Debt Service and the Issuance of
Additional Bonds
The proposed issuance by the Authority of its Utilities System Revenue Bond, Series 2023
(the"2023 Bond")is governed in part by the requirements of Resolution No. 93/94-27(as amended
and supplemented, the "Resolution"). In particular, Section 6.02 of the Resolution dictates the
financial requirements that must be satisfied for the issuance of additional debt (the "Additional
Bonds Test"). The Additional Bonds Test is currently geared towards long-term debt, rather than
short- or mid-term debt such as the 2023 Bond. Accordingly, based on the 8-year maturity of the
co Series 2023 Bond with a 3-year optional tender by the bank, the Authority is unable to satisfy the
d Additional Bonds Test for the 2023 Bond.
as
co
o r The Truist Bank affiliates which hold the Series 2015 Bond and the Series 2019 Bond have
3 agreed to waive the current Additional Bonds Test and consent to the issuance of the 2023 Bond,
ILI provided that the Authority adopt a supplemental resolution which amends the Additional Bonds
ce
Test going forward. A draft of the proposed supplemental resolution is attached hereto (the
"Supplemental Resolution"), amending the relevant sections of the Resolution relating to the
calculation of the annual debt service and the Additional Bonds Test. These amendments will
provide the Authority with greater financial flexibility to issue additional debt in the future and
keep pace with industry lending practices.
CERTIFICATE AS TO TRUE COPY
Resolution No. 2022/2023-06
I, Janice Loudermilk, Secretary of the Board of Supervisors of the Clay County Utility
Authority, DO HEREBY CERTIFY that attached hereto is a true and correct copy of Resolution No.
2022/2023-06 duly adopted by said Board of Supervisors on June 20, 2023. And that such resolution has
not been modified, changed or revoked, and is in full force and effect on the date hereof.
Dated this 20th day of June, 2023.
(SEAL)
Secretary, Board of Supervisors, Clay
County Utility Authority
69502736.v4
CLAY COUNTY UTILITY AUTHORITY
RESOLUTION NO.2022/2023-06
A RESOLUTION OF THE BOARD OF SUPERVISORS OF
THE CLAY COUNTY UTILITY AUTHORITY
SUPPLEMENTING RESOLUTION NO. 93/94-27 ADOPTED
BY THE BOARD OF COUNTY COMMISSIONERS OF CLAY
COUNTY, FLORIDA ON DECEMBER 14, 1993, AND
ASSUMED BY THE AUTHORITY PURSUANT TO
RESOLUTION NO. 94/95-5 ADOPTED BY THE BOARD OF
SUPERVISORS OF THE AUTHORITY ON OCTOBER 1, 1994,
AS AMENDED BY RESOLUTION NO. 2002/2003-10
ADOPTED BY THE BOARD OF SUPERVISORS OF THE
AUTHORITY ON FEBRUARY 18, 2003, WHICH
RESOLUTION PROVIDED FOR THE ISSUANCE OF
CERTAIN UTILITIES SYSTEM REVENUE BONDS TO
FINANCE OR REFINANCE THE COSTS OF THE
ACQUISITION, CONSTRUCTION AND INSTALLATION OF
CERTAIN ADDITIONS, EXTENSIONS AND
IMPROVEMENTS TO THE UTILITIES SYSTEM;
ACCEPTING THE PROPOSAL OF TRUIST COMMERCIAL
EQUITY, INC. TO PROVIDE THE AUTHORITY WITH A
LOAN IN A PRINCIPAL AMOUNT NOT TO EXCEED
$75,000,000 FOR THE PURPOSES OF FINANCING THE
COST OF THE ACQUISITION, CONSTRUCTION AND
INSTALLATION OF CERTAIN CAPITAL IMPROVEMENTS
TO THE SYSTEM AND PAYING RELATED CLOSING
COSTS;AUTHORIZING THE EXECUTION AND DELIVERY
OF A LOAN AGREEMENT WITH SAID LENDER AND A
RELATED UTILITIES SYSTEM REVENUE BOND, SERIES
2023, IN A PRINCIPAL AMOUNT NOT TO EXCEED
$75,000,000 TO SECURE THE LOAN AGREEMENT;
PROVIDING THAT SUCH SERIES 2023 BOND SHALL
CONSTITUTE AND BE SECURED AS AN "ADDITIONAL
BOND"UNDER SUCH RESOLUTION;APPROVING TRUIST
BANK AS ESCROW AGENT AND AUTHORIZING THE
EXECUTION AND DELIVERY OF THE FORM OF ESCROW
AGREEMENT; AUTHORIZING THE EXECUTION AND
DELIVERY OF OTHER DOCUMENTS IN CONNECTION
WITH SAID LOAN; AND PROVIDING AN EFFECTIVE
DATE.
BE IT RESOLVED BY THE BOARD OF SUPERVISORS OF THE CLAY COUNTY
UTILITY AUTHORITY:
SECTION 1. AUTHORITY FOR THIS RESOLUTION. This Resolution is adopted pursuant to
the provisions of Chapter 94-491,Laws of Florida, Special Acts of 1994,as amended,and other applicable
provisions of law (collectively, the "Act") and in accordance with Resolution 93/94-27 adopted by the
Board of County Commissioners of Clay County, Florida on December 14, 1993, as heretofore amended
and supplemented, and assumed by the Clay County Utility Authority (the "Issuer") pursuant to the
69502736.v4
provisions thereof and of the Act and Resolution No. 94/95-5 duly adopted by the Board of Supervisors
of the Issuer on October 1, 1994, as amended and supplemented from time to time,particularly as amended
by Resolution No. 2002/2003-10 duly adopted by the Board of Supervisors of the Issuer on February 18,
2003 (collectively, the "Original Resolution"). Capitalized terms used herein but not defined herein shall
have the meanings assigned to such terms in the Original Resolution.
SECTION 2. FINDINGS. It is hereby ascertained, determined and declared:
(A) The Issuer deems it necessary, desirable and in the best interests of the Issuer
that the Issuer undertake to(i)finance the cost of the acquisition, construction and installation of certain
capital improvements to the System in accordance with plans and specifications on file or to be on file
with the Issuer(collectively,the"Project")and(ii)pay related closing costs.
(B) The Issuer has obtained a proposal(the"Proposal")for a loan(the"Loan")in a
principal amount not to exceed $75,000,000 from Truist Commercial Equity, Inc. (the "Lender"), the
proceeds of which will be applied to pay the cost of the Project and pay related closing costs.
(C) The Loan will be secured by a pledge of the Pledged Funds under the Loan
Agreement between the Issuer and the Lender,substantially in the form attached hereto as Exhibit A(the
"Loan Agreement"), pursuant to which the Issuer will issue its Utilities System Revenue Bond, Series
2023 (the"Bond"),to secure the repayment of the Loan.
(D) The Original Resolution, in Section 6.02 thereof, provides for the issuance of
Additional Bonds payable from the Pledged Funds under the terms, limitations and conditions provided
therein. The Issuer will issue the Bond as an Additional Bond within the authorization contained in
Section 6.02 of the Original Resolution and with consent of a majority of the Holders of the Parity
Obligations (hereinafter defined). The Bond will be secured on a parity with the Issuer's outstanding
Utilities System Revenue Refunding Note, Series 2012, Utilities System Revenue Refunding Note,
Series 2015 and Utilities System Revenue Refunding Note, Series 2019 (collectively, the "Parity
Obligations").
(E) The estimated Pledged Funds will be sufficient to pay the principal of,
prepayment premium, if any, and interest on the Bond,as the same become due, and all other payments
provided for in the Original Resolution, as supplemented by this Supplemental Resolution and as the
same may from time to time be amended, modified or supplemented by any and all Supplemental
Resolutions adopted hereafter(collectively,the"Resolution").
(F) The principal of,prepayment premium, if any, and interest on the Bond and all
other payments provided for in the Resolution will be paid solely from the sources provided in the
Resolution in accordance with the terms thereof; and no ad valorem taxing power of the Issuer will ever
be exercised nor will any Holder of the Bond have the right to compel the exercise of such ad valorem
taxing power to pay the principal of or interest on the Bond or to make any other payments provided for
in the Resolution,and the Bond shall not constitute a lien upon any property of the Issuer or any property
situated within its corporate territorial limits, except the Pledged Funds as provided in the Resolution.
(G) The Issuer,working with the Issuer's financial advisor,PFM Financial Advisors
LLC (the"Financial Advisor"), sent a Request for Proposals("RFP")to provide the Loan and purchase
the Bond to all known financial institutions considered to be interested in submitting a response to the
RFP. The Issuer, having consulted with the Financial Advisor, Bond Counsel and Issuer's Counsel,
69502736.v4
determined that the Proposal submitted to the Issuer by the Lender contained terms which will be the
most favorable to the Issuer. Because of the nature of the Bond, prevailing market conditions and the
ability of the Issuer to negotiate a direct placement of the Bond with the Lender, the negotiated sale of
the Bond to the Issuer in substantial accordance with the Proposal is hereby found to be in the best
interests of the Issuer;provided that the provisions of the Resolution,the Loan Agreement and the Bond
shall control to the extent of any conflict with the provisions of the Proposal.
SECTION 3. AUTHORIZATION FOR PROJECT. The Issuer hereby authorizes the Project.
SECTION 4. ACCEPTANCE OF PROPOSAL. The Issuer hereby accepts the Proposal of the
Lender to provide the Issuer with the Loan.
SECTION 5. AUTHORIZATION OF LOAN AGREEMENT. The Loan and the repayment of the
Loan by the Issuer shall be pursuant to the terms and provisions of the Loan Agreement. The Issuer hereby
authorizes the Chairman to execute and the Secretary of the Board of Supervisors (the "Secretary") of the
Issuer to attest, and deliver on behalf of the Issuer the Loan Agreement by and between the Issuer and the
Lender substantially in the form attached hereto as Exhibit A(the"Loan Agreement"),with such changes,
insertions and additions as the Chairman may approve, such execution thereof being evidence of such
approval. The Loan Agreement is incorporated herein by reference and the Bond shall be an Additional
Bond under the Bond Resolution and all of the covenants contained in the Bond Resolution shall be fully
applicable to the Bond as if originally issued thereunder.
SECTION 6. AUTHORIZATION OF BOND. The Issuer hereby authorizes the issuance of the
Bond pursuant to the Original Resolution and the Loan Agreement in the principal amount of not
exceeding $75,000,000 for the purpose of providing the Issuer with sufficient funds to pay the cost of
the Project and pay related closing costs. The Chairman and the Secretary are hereby authorized to
execute,seal and deliver on behalf of the Issuer,the Bond and other documents,instruments,agreements
and certificates necessary or desirable to effectuate the Loan as provided in the Loan Agreement. The
Bond shall be issued in a principal amount not exceeding $75,000,000, shall bear interest at an interest
rate not exceeding 3.56%per annum(subject to adjustment to the Taxable Rate or the Default Rate (as
such terms are defined in the Loan Agreement)as provided in the Loan Agreement and the Bond), shall
have a final maturity date not exceeding eight (8) years from the date of the execution and delivery of
the Bond authorized herein with an optional tender date of May 1,2026,or such other date approved by
the Lender in accordance with the Loan Agreement, and shall have such other terms, all as set forth in
the Loan Agreement and the Bond authorized herein and executed and delivered in connection with
Loan.The Issuer hereby elects not to establish a separate subaccount in the Reserve Subaccount to secure
the Bond.
SECTION 7. LIMITED OBLIGATION. The obligation of the Issuer to pay the Bond is a
limited and special obligation payable solely from the Pledged Funds in the manner and to the extent
set forth in the Resolution and the Loan Agreement and shall not be deemed a pledge of the faith and
credit of the Issuer and such obligations shall not create a lien on any property whatsoever of or situated
within the Issuer other than the Pledged Funds.
SECTION 8. APPOINTMENT OF ESCROW AGENT; AUTHORIZATION OF ESCROW
AGREEMENT.Truist Bank,a North Carolina banking corporation,is hereby appointed Escrow Agent
(the "Escrow Agent") and the Issuer hereby authorizes the Chairman to execute and the Secretary of
the Issuer to attest,and deliver on behalf of the Issuer the Escrow Agreement by and between the Issuer
and the Escrow Agent substantially in the form attached hereto as Exhibit B(the"Escrow Agreement"),
with such changes,insertions and additions as the Chairman may approve,such execution thereof being
69502736.v4
evidence of such approval.
SECTION 9. GENERAL AUTHORIZATION. The members of the Board of Supervisors of
the Issuer and the Issuer's officers,attorneys and other agents and employees are authorized to execute
and deliver such documents, instruments and contracts, and are hereby authorized and directed to do
all acts and things required hereby as may be necessary for the full,punctual and complete performance
of all the terms, covenants, provisions and agreements herein contained, or as otherwise may be
necessary or desirable to effectuate the purpose and intent of this Supplemental Resolution.
SECTION 10. REPEAL OF INCONSISTENT DOCUMENTS.All ordinances,resolutions or
parts thereof in conflict herewith are hereby superseded and repealed to the extent of such conflict.
SECTION 11. EFFECTIVE DATE. This Supplemental Resolution shall take effect immediately
upon its adoption.
PASSED,APPROVED AND ADOPTED this 20th day of June, 2023.
CLAY COUNTY UTILITY AUTHORITY
(OFFICIAL SEAL)
Wendell Davis
Chairman,Board of Supervisors
ATTEST:
By:
Janice Loudermilk
Secretary,Board of Supervisors
69502736.v4
Exhibit A
Loan Agreement
to
69502736.v4
LOAN AGREEMENT
between
CLAY COUNTY UTILITY AUTHORITY
and
to TRUIST COMMERICAL EQUITY, INC.
Dated June 28, 2023
Relating to:
CLAY COUNTY UTILITY AUTHORITY
UTILITIES SYSTEM REVENUE BOND,
SERIES 2023
80045040.v5
TABLE OF CONTENTS
Page
ARTICLE 1
DEFINITION OF TERMS
Section 1.1 Definitions 1
Section 1.2 Interpretation 4
Section 1.3 Titles and Headings 5
ARTICLE 2
REPRESENTATIONS,WARRANTIES AND COVENANTS;
SECURITY FOR BOND
Section 2.1 Representations, Warranties and Covenants of the Authority. 5
Section 2.2 General Representations, Warranties and Covenants of the Lender 6
Section 2.3 Tax Covenants. 6
Section 2.4 Bond not to be Indebtedness of the Authority, the County or State. 7
Section 2.5 Security for Bond. 7
Section 2.6 Payment Covenant. 7
ARTICLE 3
DESCRIPTION OF BOND; PAYMENT TERMS;
TENDER; OPTIONAL PREPAYMENT
Section 3.1 Description and Payment Terms of the Bond. 7
Section 3.2 Optional Tender. 9
Section 3.3 Prepayment. 9
ARTICLE 4
MAKING OF LOAN
Section 4.1 Issuance of Bond 10
Section 4.2 Construction Fund Account; Application of Loan Proceeds. 11
ARTICLE 5
EVENTS OF DEFAULTS; REMEDIES
Section 5.1 Events of Default. 12
Section 5.2 Remedies 13
Section 5.3 Waiver of Jury Trial 13
80045040.v5
ARTICLE 6
MISCELLANEOUS
Section 6.1 Amendments, Changes or Modifications to the Agreement. 13
Section 6.2 Counterparts. 13
Section 6.3 Severability. 13
Section 6.4 Term of Agreement. 14
Section 6.5 Additional Rights of Bondholder; Defeasance. 14
Section 6.6 Notices. 14
Section 6.7 No Advisory or Fiduciary Relationship. 14
Section 6.8 Permission to Use Information. 15
Section 6.9 Applicable Law and Jury Trial. 15
Section 6.10 Patriot Act Notice. 15
Section 6.11 Incorporation by Reference 16
to
80045040.v5
LOAN AGREEMENT
This LOAN AGREEMENT(this"Agreement") is made and entered into as of June
28, 2023, between the CLAY COUNTY UTILITY AUTHORITY, a public body corporate and
politic created and existing under the laws of the State of Florida (the "Authority"), and TRUIST
COMMERICAL EQUITY, INC., a Delaware corporation, and its successors and assigns (the
"Lender");
WITNESSETH:
WHEREAS, the Authority is authorized pursuant to Chapter 94-491, Laws of
Florida, Special Acts of 1994, as amended, and other applicable provisions of law to, among other
things, (a)undertake to finance the cost of capital projects for the acquisition, construction and
installation of certain capital improvements to the System, (b)borrow money to finance the cost
of such projects, (c)borrow money to refinance the cost of such projects and (d) pledge the
Authority's revenues for payment of such debt as provided herein; and
WHEREAS, the Authority deems it necessary, desirable and in its best interest to
(i)finance the cost of the acquisition, construction and installation of certain capital improvements
to the System included in the Authority's capital improvement program in accordance with plans
and specifications on file or to be on file with the Authority (collectively, the "Project") and (ii)
pay related closing costs related to the Project; and
WHEREAS, the Lender is willing to make available to the Authority, and the
o Authority is willing to enter into, a loan pursuant to the terms and provisions of this Agreement in
the principal amount of$75,000,000, the proceeds of which the Authority will use to pay costs of
the Project and pay related closing costs.
NOW, THEREFORE, THIS AGREEMENT WITNESSETH:
That the parties hereto, intending to be legally bound hereby and in consideration
of the mutual covenants hereinafter contained, DO HEREBY AGREE as follows:
ARTICLE 1
DEFINITION OF TERMS
Section 1.1 Definitions.
Capitalized terms used herein and not otherwise defined are as defined in the
Original Resolution.
"Act" shall mean, collectively, Chapter 94-491, Laws of Florida, Special Acts of
1994, as amended,the Constitution of the State of Florida, and other applicable provisions of law.
"Agreement" shall mean this Loan Agreement dated June 28, 2023, between the
Authority and the Lender, and any and all modifications,alterations,amendments and supplements
hereto made in accordance with the provisions hereof.
80045040.v5 1
"Authority" shall mean the Clay County Utility Authority, a public body corporate
and politic of the State of Florida.
"Bond" shall mean the Authority's Utilities System Revenue Bond, Series 2023,
dated June 28, 2023.
"Bond Counsel" shall mean Butler Snow LLP, Jacksonville, Florida or any other
attorney at law or firm of attorneys of nationally recognized standing in matters pertaining to the
federal tax exemption of interest on obligations issued by states and political subdivisions, and
duly admitted to practice law before the highest court of any state of the United States of America.
"Bondholder" shall mean the Lender as the initial registered owner of the Bond, or
any other registered owner of or participant in the Bond.
"Bondholder Put Date" shall mean May 1, 2026, unless the Authority shall have
received written notice from the Bondholder not less than 90 days (or such shorter period of time
as shall have been agreed to by the Authority)prior to May 1,2026,that the Bondholder has elected
not to tender such Bond for purchase on such date and has extended such Bondholder Put Date for
an additional six (6) month period. From and after such notice, the succeeding Bondholder Put
Date shall be the date specified in such notice unless and until modified by subsequent notice
pursuant to the terms hereof.
"Business Day"shall mean any day other than a Saturday, Sunday or day on which
banking institutions within the State of Florida are authorized or required by law to remain closed.
"Chairman" shall mean the Chairman of the Board of Supervisors of the Authority
and such other person as may be duly authorized to act on his or her behalf.
"Code"shall mean the Internal Revenue Code of 1986, as amended, and applicable
rules and regulations thereto and thereunder.
"County" shall mean Clay County, Florida.
"Default Rate" shall mean the lesser of(i) 18% per annum and (ii) the maximum
lawful rate.
"Escrow Account" shall mean the account established and held by the Escrow
Agent pursuant to the related Escrow Agreement.
"Escrow Agent" shall mean Truist Bank, a North Carolina banking corporation.
"Escrow Agreement" shall mean an Escrow Agreement in form and substance
acceptable to and executed by the Authority,the Lender and the Escrow Agent,pursuant to which
an Escrow Account is established and administered.
"Event of Taxability" shall mean the occurrence after the date hereof of a final
decree or judgment of any Federal court or a final action of the Internal Revenue Service
determining that interest payable on all or a portion of the Bond is or was includable in the gross
2
80045040.v5
income of the Bondholder for Federal income tax purposes; provided, that no such decree,
judgment, or action will be considered final for this purpose, however, unless the Authority has
been given written notice and, if it is so desired and is legally allowed, has been afforded the
opportunity at the Authority's own expense to contest the same, either directly or in the name of
the Bondholder, and until the conclusion of any appellate review,if sought.An Event of Taxability
does not include and is not triggered by a change in law by Congress that causes the interest to be
includable under the Bondholder's gross income. For all purposes of this definition, the effective
date of any Event of Taxability will be the first date as of which interest is deemed includable in
the gross income of the Bondholder.
"Fiscal Year" shall mean the period commencing on October 1 of each year and
continuing through the next succeeding September 30, or such other period as may be prescribed
by law.
"Interest Payment Date" shall have the meaning ascribed thereto in Section 3.1(c)
hereof.
"Interest Rate" shall mean a per annum rate equal to 3.56%. Notwithstanding the
foregoing,however,after,and during the continuance of, an Event of Default,"Interest Rate"shall
mean the Default Rate, and if the Default Rate shall not be in effect,upon an Event of Taxability,
shall mean the Taxable Rate.
"Loan" shall mean the loan from the Lender to the Authority evidenced by the
Bond.
"Loan Documents" shall mean the Resolution, this Agreement, the Bond and the
other documents, instruments, agreements and certificates necessary or desirable to effectuate the
Loan.
"Maturity Date" shall mean May 1, 2031.
"Original Resolution" shall mean Resolution 93/94-27 adopted by the Board of
County Commissioners of Clay County, Florida on December 14, 1993, as heretofore amended
and supplemented, and assumed by the Authority pursuant to the provisions thereof and of the Act
and Resolution No. 94/95-5 duly adopted by the Board of Supervisors of the Authority on October
1, 1994, as amended by Resolution No. 2002/2003-10, adopted on February 18, 2003.
"Parity Obligations"shall mean the Series 2012 Note,the Series 2015 Note and the
Series 2019 Note.
"Register" shall mean, with respect to the Bond, the books maintained by the
Registrar in which are recorded the names and addresses of the holder of the Bond.
"Registrar" shall mean the Chief Financial Officer of the Authority, as the person
maintaining the Register.
3
80045040.v5
"Resolution"shall mean, collectively,the Original Resolution, as supplemented by
the Supplemental Resolution, and as may hereafter be amended and supplemented from time to
time.
"Secretary" shall mean the Secretary of the Board of Supervisors of the Authority
and such other person as may be duly authorized to act on his or her behalf.
"Series 2012 Note" shall mean the outstanding Clay County Utility Authority
Utilities System Revenue Refunding Note, Series 2012.
"Series 2015 Note" shall mean the outstanding Clay County Utility Authority
Utilities System Revenue Note, Series 2015.
"Series 2019 Note" shall mean the outstanding Clay County Utility Authority
Utilities System Revenue and Refunding Note, Series 2019.
"State" shall mean the State of Florida.
"Supplemental Resolution" shall mean Resolution No. 2022/2023-06 adopted by
the Authority on June 20, 2023, which among other things authorized the execution and delivery
of this Agreement and the issuance of the Bond, as the same may be amended and supplemented.
"Tax Certificate" shall have the meaning ascribed to such term in Section 2.3
hereof.
"Taxable Period"shall mean the period of time between(a)the date that interest on
the Bond is deemed to be includable in the gross income of the owner thereof for federal income
tax purposes as a result of an Event of Taxability, and (b) the date of the Event of Taxability and
after which the Bond bears interest at the Taxable Rate.
"Taxable Rate" shall mean the interest rate per annum that shall provide the
Bondholder with the same after-tax yield that the Bondholder would have otherwise received had
the Event of Taxability not occurred, taking into account the increased taxable income of the
Bondholder as a result of such Event of Taxability. The Bondholder shall provide the Authority
with a written statement explaining the calculation of the Taxable Rate, which statement shall, in
the absence of manifest error,be conclusive and binding on the Authority.
Section 1.2 Interpretation.
Unless the context clearly requires otherwise, words of the masculine gender shall
be construed to include correlative words of the feminine and neuter genders and vice versa, and
words of the singular number shall be construed to include correlative words of the plural number
and vice versa. Any capitalized terms used in this Agreement not herein defined shall have the
meanings ascribed to such terms the Original Resolution. This Agreement and all the terms and
provisions hereof shall be construed to effectuate the purpose set forth herein and to sustain the
validity hereof.
4
80045040.v5
Section 1.3 Titles and Headings.
The titles and headings of the articles and sections of this Agreement, which have
been inserted for convenience of reference only and are not to be considered a part hereof, shall
not in any way modify or restrict any of the terms and provisions hereof, and shall not be
considered or given any effect in construing this Agreement or any provision hereof or in
ascertaining intent, if any question of intent should arise.
ARTICLE 2
REPRESENTATIONS,WARRANTIES AND COVENANTS;
SECURITY FOR BOND
Section 2.1 Representations, Warranties and Covenants of the Authority.
The Authority represents, warrants and covenants that:
(a) The Authority is a corporate body and politic validly created and existing
under the laws of the State. Pursuant to the Resolution, the Authority(i)has duly authorized the
execution and delivery of this Agreement and the performance by the Authority of all of its
obligations hereunder, and (ii)has duly authorized the Bond and the performance by the
Authority of all its obligations relating thereto.
(b) The Authority has complied with all of the provisions of the Constitution and
laws of the State, and has full power and authority to enter into and consummate all transactions
contemplated by this Agreement or under the Bond, and to perform all of its obligations
hereunder and, to the best knowledge of the Authority, the transactions contemplated hereby do
not conflict with the terms of any statute, order, rule, regulation,judgment, decree, agreement,
instrument or commitment to which the Authority is a party or by which the Authority is bound.
(c) The Authority is duly authorized and entitled to issue the Bond. This
Agreement and the Bond will constitute legal, valid and binding obligations of the Authority
enforceable in accordance with their respective terms, subject as to enforceability to bankruptcy,
insolvency, moratorium, reorganization or other similar laws affecting creditors' rights
generally,or by the exercise of judicial discretion in accordance with general principles of equity.
(d) There are no actions, suits or proceedings pending or, to the best knowledge
of the Authority, threatened against or affecting the Authority, at law or in equity, or before or
by any governmental authority,that, if adversely determined,would materially impair the ability
of the Authority to perform the Authority's obligations under this Agreement or under the Bond.
(e) The Authority will furnish to the Lender (i) within 270 days after the end of
each Fiscal Year audited financial statements of the Authority for such Fiscal Year that shall
include a balance sheet, an income statement, a statement of cash flows and a statement of
changes in fund balance, prepared in accordance with generally accepted governmental
accounting principles by an independent certified public accountant selected by the Authority,
(ii)within 30 days of adoption,the Authority's annual budget, and(iii)promptly upon Lender's
5
80045040.v5
written request therefor, such additional information as the Lender may from time to time
reasonably request.
(f) No authorization, consent, approval, license, exemption of or registration or
filing with any court or governmental department, commission, board, bureau, agency or
instrumentality, domestic or foreign, has been or will be necessary for the valid execution,
delivery and performance by the Authority of this Agreement, the Bond and the related
documents, except such as have been obtained, given or accomplished and copies of which have
been provided to the Lender.
(g) Except as disclosed in writing to the Lender,the Authority is not in default in
the payment when due of any indebtedness of the Authority.
(h) The audited financial statement of the Authority for the Fiscal Year ending
September 30,2022, a copy of which has been furnished to the Lender,presents fairly the results
of the Authority's operations for the period then ended. Since September 30, 2022, there has
been no material adverse change in the financial condition,revenues,properties or operations of
the Authority, except as disclosed to the Lender.
Section 2.2 General Representations, Warranties and Covenants of the Lender.
The Lender hereby represents,warrants and agrees that it is a Delaware corporation
authorized to conduct business in the State and to execute and deliver this Agreement and to
perform its obligations hereunder, and such execution and delivery will not constitute a violation
of its charter, articles of incorporation or bylaws.
Section 2.3 Tax Covenants.
(a) The Authority hereby covenants with the holder of the Bond that in order to
maintain the exclusion from gross income for purposes of federal income taxation of interest on
the Bond, it shall comply with each requirement of the Code applicable to the Bond. In
furtherance of the covenant contained in the preceding sentence, the Authority agrees to
continually comply with the provisions of the Tax Certificate to be executed by the Authority
relating to the Bond, as such Tax Certificate may be amended from time to time, as a source of
guidance for achieving compliance with the Code.
(b) The Authority hereby covenants with the holder of the Bond that it shall make
any and all payments required to be made to the United States Department of the Treasury in
connection with the Bond pursuant to Section 148(f) of the Code.
(c) So long as necessary in order to maintain the exclusion from gross income of
interest on the Bond for federal income tax purposes,the covenants contained in this Section 2.3
shall survive the payment of the Bond and the interest thereon, including any payment or
defeasance thereof.
(d) The Authority hereby covenants with the holder of the Bond that it shall not
take or permit any action or fail to take any action which would cause the Bond to be "arbitrage
bonds"within the meaning of Section 148(a) of the Code.
6
80045040.v5
Section 2.4 Bond not to be Indebtedness of the Authority, the County or State.
The Bond, when delivered by the Authority pursuant to the terms of this
Agreement, shall not be or constitute an indebtedness of the Authority, the County, the State or
any political subdivision or agency thereof, within the meaning of any constitutional, statutory or
charter limitations of indebtedness, but shall be payable from and secured by a lien upon and
pledge of the Pledged Funds,in the manner and to the extent provided herein and in the Resolution.
No Bondholder shall ever have the right to compel the exercise of the ad valorem taxing power of
the County, the State or any political subdivision thereof, or taxation in any form on any property
therein to pay the Bond or the interest thereon. The Bond is a special and limited obligation payable
as to principal and interest from the Pledged Funds in the manner and to the extent provided herein
and in the Resolution.
Section 2.5 Security for Bond.
The Bond shall for all purposes be considered to be and constitute an Additional
Bond issued under the authority of Section 6.02 of the Original Resolution and shall be in all
respects entitled to all of the security, rights, protections and privileges provided in and by the
Resolution for Bonds.
The Bond shall be secured by and payable from the Pledged Funds ratably and on
a parity with the Parity Obligations and any outstanding Bonds issued hereafter pursuant to the
provisions of the Resolution. The pledge of and lien on the Pledged Funds shall attach at the time
of delivery of the Bond.
0
The Bond is not secured by a separate subaccount in the Reserve Subaccount.
Section 2.6 Payment Covenant.
The Authority covenants that it shall duly and punctually pay from the Pledged
Funds the principal of,prepayment premium,if any,and interest on the Bond at the dates and place
and in the manner provided herein and in the Bond according to the true intent and meaning
thereof, and all other amounts due under this Agreement.
ARTICLE 3
DESCRIPTION OF BOND; PAYMENT TERMS;
TENDER; OPTIONAL PREPAYMENT
Section 3.1 Description and Payment Terms of the Bond.
(a) The Authority shall,pursuant to authority granted under the Resolution, issue
and deliver the Bond to the Lender,which shall be designated as "Clay County Utility Authority
Utilities System Revenue Bond, Series 2023." The Bond shall constitute an Additional Bond
under the Original Resolution. The Bond shall be in the principal amount of SEVENTY-FIVE
MILLION DOLLARS ($75,000,000.00). The Authority shall pay interest upon the unpaid
principal balance of the Bond at the Interest Rate, subject to adjustment as provided herein.
Interest shall be calculated on the basis of a 360-day year based upon the actual number of days
7
80045040.v5
elapsed. The text of the Bond shall be substantially in the form attached hereto as Exhibit A,
with such omissions, insertions and variations as may be necessary and desirable to reflect the
terms of the Bond. The provisions of the form of the Bond are hereby incorporated in this
Agreement.
(b) The Bond shall be dated the date of its delivery, shall be in the principal
amount set forth therein and payable as set forth therein and shall bear interest from its date at
the rate or rates set forth therein. The Bond shall be executed in the name of the Authority by the
manual signature of the Chairman and the official seal of the Authority shall be affixed thereto
and attested by the manual signature of the Secretary. In case any one or more of the officers,
who shall have signed or sealed the Bond shall cease to be such officer of the Authority before
the Bond so signed and sealed shall have been actually delivered,the Bond may nevertheless be
delivered as herein provided and may be issued as if the person who signed or sealed the Bond
had not ceased to hold such office.The Bond may be signed and sealed on behalf of the Authority
by such person who at the actual time of the execution of such Bond held the proper office,
although at the date the Bond shall actually be delivered, such person may not have held such
office or may have been so authorized.
(c) Interest on the Bond shall be payable semi-annually on May 1 and November
1 of each year(each, an"Interest Payment Date"), commencing on November 1,2023. Principal
of the Bond shall be payable at the times and in the manner set forth therein. Notwithstanding
anything in the Resolution to the contrary, including, without limitation, Section 3.04 thereof,
the Bond will be payable without presentment except upon maturity.
(d) Except as otherwise provided herein, upon the occurrence of an Event of
Taxability and for as long as the Bond remains outstanding, the Interest Rate on the Bond shall
be converted to the Taxable Rate and this adjustment shall survive payment on the Bond until
such time as the federal statute of limitations under which the interest on the Bond could be
declared taxable under the Code shall have expired. In addition, if the interest payable on the
Bond becomes taxable due to any act or omission of the Authority, the interest rate payable on
such Bond will increase retroactively from the date on which interest on the Bond is first
includable in gross income of the Bondholder(which may be as early as the issuance date) to a
taxable equivalent rate and the Authority shall pay the Bondholder penalties on overdue interest
and additions to tax, if any. In addition, upon an Event of Taxability, the Authority shall,
immediately upon demand, pay to the Bondholder (or prior holders, if applicable) (i) an
additional amount equal to the difference between (A) the amount of interest actually paid on
the Bond during the Taxable Period and (B) the amount of interest that would have been paid
during the Taxable Period had the Bond borne interest at the Taxable Rate, and (ii) an amount
equal to any interest,penalties and additions to tax(as referred to in Subchapter A of Chapter 68
of the Code) owed by the Bondholder as a result of the Event of Taxability (the "Additional
Amount"). The Bondholder shall promptly notify the Authority in writing of any adjustments
pursuant hereto. Such adjustments shall become effective as of the effective date of the event
causing such adjustment.Adjustments pursuant hereto may be retroactive. The Bondholder shall
provide to the Authority in writing the Additional Amount, if any, due to such Bondholder as a
result of an adjustment pursuant hereto. Notwithstanding any provision hereto the contrary, in
no event shall the interest rate on the Bond exceed the maximum rate permitted by law.
8
80045040.v5
(e) All payments of principal and interest on the Bond shall be payable in any
coin or currency of the United States which, at the time of payment, is legal tender for the
payment of public and private debts and shall be made to the Lender by automatic debit from a
Truist Bank account.There will be no Lender fees to maintain the loan and the Bond.The Lender
shall pay for all of its costs relating to servicing the Loan and the Bond. The Authority agrees to
pay for fees of Lender's counsel in connection with the issuance of the Bond in an amount not
exceeding $25,000.
(f) The Bond shall not be subject to a book-entry system of registration and
transfer and such transfer and registration of the Bond shall be governed by the provisions of this
paragraph. The Registrar shall be responsible for maintaining the Register. The person in whose
name ownership of the Bond is shown on the Register shall be deemed the owner thereof by the
Authority and the Registrar, and any notice to the contrary shall not be binding upon the
Authority or the Registrar. The Authority and the Registrar may treat the registered owner as the
absolute owner of the Bond for all purposes,whether or not the Bond shall be overdue, and shall
not be bound by any notice to the contrary. Ownership of the Bond may be transferred only upon
the Register. Upon surrender to the Registrar for transfer of the Bond accompanied by an
assignment duly executed by the registered owner or its attorney duly authorized in writing, the
Registrar shall deliver in the name of the transferee a new fully registered Bond for the aggregate
principal amount of the Bond surrendered.
(g) In any case where the date of maturity of interest on or principal of the Bond
or the date fixed for prepayment of the Bond shall be other than a Business Day, then payment
of such interest or principal shall be made on the next succeeding Business Day with the same
force and effect as if paid on the date of maturity or the date fixed for prepayment, and no interest
on any such principal amount shall accrue for the period after such date of maturity or such date
fixed for prepayment.
Section 3.2 Optional Tender.
On the Bondholder Put Date, the Bondholder shall have the right to demand the
Authority purchase the Bond at a purchase price equal to 100% of the principal amount thereof,
plus accrued interest to the Bondholder Put Date and any past due amounts (the "Demand
Purchase Price").
In the event the Authority is unable to pay the Demand Purchase Price on the
Bondholder Put Date, the principal shall be payable semi-annually on each May 1 and November
1 as equal installments of the outstanding principal on such Bondholder Put Date, commencing on
the May 1 or November 1 which first succeeds the Bondholder Put Date, with the final principal
payment due on the Maturity Date of the Bond.
Section 3.3 Prepayment.
On any date other than a Bondholder Put Date, the Bond may be prepaid in whole
or in part on any Business Day, subject to the terms hereof and upon at least two (2) Business
Days' prior written notice to the Bondholder specifying the amount of the prepayment, by paying
to the Bondholder all of the principal amount of the Bond to be prepaid, together with the unpaid
9
80045040.v5
interest accrued on the amount of principal so prepaid to the date of such prepayment and the
additional fee redemption premium described in the succeeding paragraph.Any partial prepayment
shall be applied as determined by the Bondholder in its sole discretion.
The Authority shall, at the time of any prepayment, whether optional or at any other time
the Bond is paid earlier than its scheduled maturity (except upon a Bondholder Put Date), pay to
the Lender the interest accrued to the date of prepayment on the principal amount being prepaid
plus an additional fee redemption premium equal to the present value of the difference between
(1) the amount that would have been realized by the Lender on the prepaid amount for the
remaining term of the loan at the rate for fixed-rate payers in U.S. Dollar interest rate swaps as
quoted by Bloomberg (the "Swap Rate") for a term corresponding to the term of the Bond,
interpolated to the nearest month, if necessary, that was in effect three Business Days prior to the
issuance date of the Bond, and(2)the amount that would be realized by the Lender by reinvesting
such prepaid funds for the remaining term of the loan at the Swap Rate for fixed-rate payers in
U.S. Dollar interest rate swaps, interpolated to the nearest month,that was in effect three Business
Days prior to the loan repayment date, both discounted at the same interest rate utilized in
determining the applicable amount in (2). Should the present value have no value or a negative
value,the Authority may prepay with no additional fee or redemption premium. Should Bloomberg
no longer release rates for fixed-rate payers in U.S. Dollar interest rate swaps, the Bondholder my
substitute the Bloomberg index for rates for fixed-payers in U.S. Dollar interest rate swaps with
another similar index as determined by Truist Bank (or an affiliate thereof). The Lender shall
provide the Authority with a written statement explaining the calculation of the premium due,
which statement shall, in absence of manifest error,be conclusive and binding. The application of
such fee or prepayment premium is not intended to, and shall not be deemed to be, an increase in
the Interest Rate.
ARTICLE 4
MAKING OF LOAN
Section 4.1 Issuance of Bond.
(a) The Lender shall not be obligated to make any loan under this Agreement
unless at or prior to the date of issuance of the Bond the Authority delivers to the Lender the
following items in form and substance acceptable to the Lender:
(i) A certificate of the Authority, dated as of the date of issuance of the
Bond, to the effect that the representations and warranties of the Authority
contained in Section 2.1 hereof are true and correct as of such date;
(ii) A fully executed Tax Certificate relating to the Bond;
(iii) A copy of a completed and executed Form 8038-G relating to the
Bond to be filed with the Internal Revenue Service;
(iv) An opinion of Bond Counsel upon which the Lender may rely in
form and substance to the effect that (A) this Agreement and the Bond have been
duly authorized by the Authority and are enforceable obligations in accordance with
10
80045040.v5
their terms and the Resolution has been duly adopted and is enforceable in
accordance with its terms (enforceability of such instruments may be subject to
standard bankruptcy exceptions and the like), (B) the Bond constitutes an
Additional Bond under the Original Resolution secured by and payable from the
Pledged Funds ratably and on a parity with all outstanding Bonds, (C) interest on
the Bond shall be excluded from gross income for federal income tax purposes and
is not a direct preference item for purposes of the alternative minimum tax
applicable to individuals and (D) the Bond is exempt from registration under the
Securities Act of 1933, as amended, and the Loan Agreement and the Resolution
are exempt from qualification under the Trust Indenture Act of 1939, as amended;
(v) The fully executed Bond;
(vi) An opinion of counsel to the Authority acceptable to the Lender, and
upon which the Lender may rely regarding the due authorization, validity and
enforceability of this Agreement and the Bond and the due adoption of the
Resolution (enforceability may be subject to standard bankruptcy exceptions and
the like); and
(vii) Such additional certificates, instruments and other documents as the
Lender, or its counsel or Bond Counsel, or counsel to the Authority, may deem
necessary or appropriate.
(b) The Authority shall apply the proceeds of the Bond to pay the cost of the
Project and pay related closing costs.
Section 4.2 Construction Fund Account; Application of Loan Proceeds.
Pursuant to Section 4.03 of the Resolution, there is hereby created and established
within the Project Account (as defined in the Resolution) an account to be held by the Escrow
Agent under the Escrow Agreement to be designated the "2023 Project Construction Account"
(the "2023 Project Construction Account"). The 2023 Project Construction Account shall be kept
separate and apart from all other funds and accounts of the Authority. The proceeds of the Bond
in the amount of$75,000,000.00 shall be deposited into the 2023 Construction Account as directed
in the Escrow Agreement and a closing memorandum signed by the Authority. The moneys on
deposit in the 2023 Construction Account shall be withdrawn, used and applied by the Authority
solely for the payment of interest on the Bond and Costs of the Project in the manner provided in
the Resolution, including the costs of issuance of the Bond. Until the proceeds of the Bond are
needed to pay costs of the Project, such proceeds shall be retained in the 2023 Construction
Account to be invested and reinvested in Authorized Investments pursuant to Section 4.10 of the
Resolution at the direction of the Authority in accordance with the terms of the Escrow Agreement.
Additional accounts in the 2023 Construction Account may be created in the Escrow Agreement.
Amounts on deposit in the 2023 Construction Account shall be disbursed in accordance
with the terms hereof, the Resolution and the Escrow Agreement and by the Escrow Agent to pay
principal or interest on the Bond. All income derived from investment of funds in the 2023
11
80045040.v5
Construction Account shall be used to pay Costs of the 2023 Project, fund capitalized interest on
the Bond or to redeem the Bond as provided herein.
Upon completion of the Project any amounts then remaining in the 2023 Construction
Account and not reserved by the Authority for the payment of any remaining parts of the Costs of
the 2023 Project shall be used to pay debt service on the Bond or to redeem the Bond in the manner
that the Bond is permitted to be redeemed under the terms of the Resolution or the Loan
Agreement, or may be used for any other lawful purpose. Amounts on deposit in the 2023
Construction Account are hereby pledged to secure the payment of the Bond. On the Bondholder
Put Date, amounts on deposit in the 2023 Construction Account shall be applied by the Escrow
Agent to pay the debt service due thereon and such amounts shall be applied as determined by the
Bondholder in its sole discretion.
ARTICLE 5
EVENTS OF DEFAULTS; REMEDIES
Section 5.1 Events of Default.
An "Event of Default" shall be deemed to have occurred under this Agreement if:
(a)an Event of Default shall have occurred and be continuing under the Resolution,
including a default in the payment of the principal of, prepayment premium, if any, or interest on
the Bond when due; or
(b)the Authority shall default in the due and punctual performance of any other of
the covenants, conditions, agreements and provisions contained in the Bond or in this Agreement
on the part of the Authority to be performed and such default shall continue thirty (30) days after
the earlier of written notice of such default (i) shall have been received from the Bondholder or
(ii) written notice should have been provided to the Bondholder as provided in the following
paragraph. Notwithstanding the foregoing, the Authority shall not be deemed to be in default
hereunder if such default can be cured within a reasonable period of time and if the Authority, in
good faith, institutes appropriate curative action and diligently pursues such action until default
has been corrected; provided, however, that if such default is not cured within sixty (60) days, it
shall become an Event of Default under this Agreement and under the Resolution.
The Authority shall within five (5) days after it acquires knowledge of an
occurrence of a default, notify the Bondholder in writing upon the happening, occurrence, or
existence of any Event of Default and any event or condition which with the passage of time or
giving of notice, or both, would constitute an Event of Default, and shall provide the Bondholder,
with such written notice, a detailed statement by a responsible officer of the Authority of all
relevant facts and the action being taken or proposed to be taken by the Authority with respect
thereto. Regardless of the date of receipt of such notice by the Bondholder, such date shall not in
any way modify the date of occurrence of the actual Event of Default.
12
80045040.v5
Section 5.2 Remedies.
If any such Event of Default shall have occurred, the Bondholder may seek
enforcement of all remedies available to it under the Resolution and under applicable law. The
Bondholder shall be entitled to its reasonable costs and expenses (including reasonable fees and
expenses of counsel) incurred in enforcing any of its rights under this Agreement and the
Resolution after an Event of Default. Notwithstanding any other provision of this Agreement or
the Resolution,the obligation of the Authority to pay the Bondholder such costs and expenses shall
survive the defeasance or payment in full of the Bond. From and after any Event of Default
hereunder, interest shall accrue on the sum of the principal balance and accrued interest then
outstanding under the Bond at the Default Rate until such principal and interest have been paid in
full.
Section 5.3 Waiver of Jury Trial.
The Authority knowingly, voluntarily, and intentionally waives any right it may
have to a trial by jury,with respect to any litigation or legal proceedings based on or arising out of
the Resolution, this Agreement or the Bond, including any course of conduct, course of dealings,
verbal or written statement or actions or omissions of any party which in any way relates to the
Bond, the Resolution or this Agreement.
ARTICLE 6
MISCELLANEOUS
Section 6.1 Amendments, Changes or Modifications to the Agreement.
This Agreement and the Bond shall not be amended, changed or modified without
the prior written consent of the Bondholder and the Authority. Section 5.04 of the Resolution and
Article VI of the Resolution shall not be amended, changed or modified without the prior written
consent of the Bondholder. Amendments under 8.01(J) of the Resolution can only be made with
the prior written consent of the Bondholder.
Section 6.2 Counterparts.
This Agreement may be executed in any number of counterparts, each of which,
when so executed and delivered,shall be an original;but such counterparts shall together constitute
but one and the same Agreement, and,in making proof of this Agreement,it shall not be necessary
to produce or account for more than one such counterpart.
Section 6.3 Severability.
If any clause,provision or section of this Agreement shall be held illegal or invalid
by any court, the invalidity of such provisions or sections shall not affect any other provisions or
sections hereof, and this Agreement shall be construed and enforced to the end that the transactions
contemplated hereby be effected and the obligations contemplated hereby be enforced, as if such
illegal or invalid clause, provision or section had not been contained herein.
13
80045040.v5
Section 6.4 Term of Agreement.
This Agreement shall be in full force and effect from the date hereof and shall
continue in effect as long as the Bond is outstanding.
Section 6.5 Additional Rights of Bondholder; Defeasance.
The Bondholder, with respect to the Bond, shall be entitled to the rights and
remedies granted to an Insurer under Section 7.07 of the Resolution with respect to the Bonds
insured by such Insurer. Defeasance of the Bond pursuant to 9.01 of the Resolution can only be
accomplished with securities described in paragraph (A) of the definition of Authorized
Investments set forth in Section 1.01 of the Resolution. The Authority shall give prompt notice to
the Bondholder of any defeasance of the Bond pursuant to Section 9.01 of the Resolution.
Section 6.6 Notices.
Any notices or other communications required or permitted hereunder shall be
sufficiently given if delivered personally or sent registered or certified mail, postage prepaid, to
the Authority, at Clay County Utility Authority, 3176 Old Jennings Road, Middleburg, Florida
32068, Attention: Chief Financial Officer and Clay County Utility Authority, 3176 Old Jennings
Road, Middleburg, Florida 32068, Attention: Executive Director, and to the Lender, at Truist
Commercial Equity,Inc., 200 W. Forsyth Street, 5th Floor, Jacksonville, Florida 32202,Attention:
Lisa C. Hayes, Senior Vice President, or at such other address as shall be furnished in writing by
any such party to the other, and shall be deemed to have been given as of the date so delivered or
deposited in the United States mail.
Section 6.7 No Advisory or Fiduciary Relationship.
In connection with all aspects of each transaction contemplated hereunder
(including in connection with any amendment,waiver or other modification hereof or of any other
Loan Document),the Authority acknowledges and agrees,that: (a) (i)the Authority has consulted
its own legal, accounting, regulatory and tax advisors to the extent it has deemed appropriate, (ii)
the Authority is capable of evaluating, and understands and accepts,the terms,risks and conditions
of the transactions contemplated hereby and by the other Loan Documents, (iii)the Bondholder is
not acting as a municipal advisor or financial advisor to the Authority and(iv)the Bondholder has
no fiduciary duty pursuant to Section 15B of the Securities Exchange Act to the Authority with
respect to the transactions contemplated hereby and the discussions, undertakings and procedures
leading thereto (irrespective of whether the Bondholder has provided other services or is currently
providing other services to the Authority on other matters); (b)(i) the Bondholder is and has been
acting solely as a principal and, except as expressly agreed in writing by the relevant parties, has
not been, is not, and will not be acting as an advisor, agent or fiduciary, for the Authority, or any
other Person and (ii) the Bondholder has no obligation to the Authority, with respect to the
transactions contemplated hereby except those obligations expressly set forth herein and in the
other documents executed in connection herewith; (c) notwithstanding anything herein to the
contrary,it is the intention of the Authority and the Bondholder that the Loan Documents represent
a commercial loan transaction not involving the issuance and sale of a municipal security, and that
the bond,note or other debt instrument that may be delivered to the Bondholder is delivered solely
14
80045040.v5
to evidence the repayment obligations of the Authority under the Loan Documents; and (d) the
Bondholder may be engaged in a broad range of transactions that involve interests that differ from
those of Authority, and the Bondholder has no obligation to disclose any of such interests to the
Authority. To the fullest extent permitted by law, the Authority hereby waives and releases any
claims that it may have against the Bondholder with respect to any breach or alleged breach of
agency or fiduciary duty in connection with any aspect of any transactions contemplated hereby.
If the Authority would like a municipal advisor in this transaction that has legal fiduciary duties to
the Authority, the Authority is free to engage a municipal advisor to serve in that capacity. The
documents related to this loan are entered into pursuant to and in reliance upon the bank exemption
and/or the institutional buyer exemption provided under the municipal advisor rules of the
Securities and Exchange Commission, Rule 15Bal-1 et seq, to the extent that such rules apply to
the transactions contemplated hereunder.
Section 6.8 Permission to Use Information.
Authority agrees and consents that Bondholder shall be permitted to use
information related to the loan transaction in connection with marketing, press releases or other
transactional announcements or updates provided to investors or trade publications, including,but
not limited to, the placement of the logo or other identifying name on marketing materials or of
"tombstone" advertisements in publications of its choice at its own expense.
Section 6.9 Applicable Law and Jury Trial.
This Agreement shall be governed exclusively by and construed in accordance with
the applicable laws of the State of Florida. The Authority and the Bondholder waive any objection
either might otherwise have to venue in any judicial proceeding brought in connection herewith
lying in Clay County, Florida. The Authority and the Bondholder, by acceptance of the Bond,
hereby knowingly,voluntarily, intentionally, and irrevocably waive,to the fullest extent permitted
by applicable law, the right either of them may have to a trial by jury in respect to any litigation,
whether in contract or tort,at law or in equity,based hereon or arising out of,under or in connection
with the Bond and any other document or instrument contemplated to be executed in conjunction
with the Bond, or any course of conduct, course of dealing, statements (whether verbal or written)
or actions of any party hereto. This provision is a material inducement for the Bondholder entering
into or accepting the Bond. Further, the Authority hereby certifies that no representative or agent
of the Bondholder, nor the Bondholder's counsel, has represented, expressly or otherwise,that the
Bondholder would not, in the event of such litigation, seek to enforce this waiver of right to jury
trial provision.
Section 6.10 Patriot Act Notice.
The Bondholder hereby notifies the Authority that pursuant to the requirements of
the USA PATRIOT Act(Title III of Pub. L. 107-56 signed into law October 26, 2001,the"Act"),
the Bondholder may be required to obtain, verify and record information that identifies the
Authority, which information includes the name and address of the Authority and other
information that will allow the Bondholder to identify the Authority in accordance with the Act
15
80045040.v5
Section 6.11 Incorporation by Reference.
All of the terms and obligations of the Resolution are hereby incorporated herein
by reference as if said Resolution was fully set forth in this Agreement.
[Remainder of Page Intentionally Left Blank; Signature Page Follows.]
16
80045040.v5
IN WITNESS WHEREOF, the parties hereto have caused this Agreement to be
duly executed as of the date first set forth herein.
CLAY COUNTY UTILITY AUTHORITY
(OFFICIAL SEAL)
By:
ATTEST: Wendell Davis, Chairman, Board of
Supervisors
By:
Janice Loudermilk, Secretary, Board of
Supervisors
TRUIST COMMUNITY EQUITY,INC.
By:
Lisa C. Hayes, Authorized Agent
[Signature Page to Loan Agreement]
80045040.v5
EXHIBIT A
FORM OF BOND
UNITED STATES OF AMERICA
STATE OF FLORIDA
CLAY COUNTY UTILITY AUTHORITY
UTILITIES SYSTEM REVENUE BOND
SERIES 2023
Principal Sum Interest Rate Date of Issuance Final Maturity Date
$75,000,000 Interest Rate June 28, 2023 May 1, 2031
(as defined herein)
CLAY COUNTY UTILITY AUTHORITY (the "Authority"), for value received,
hereby promises to pay, solely from the Pledged Funds as described in the Resolution,to the order
of TRUIST COMMERICAL EQUITY, INC. or registered assigns (the "Bondholder"), the
principal sum specified above (the "Principal Sum"), which was loaned to the Authority pursuant
to the hereinafter described Resolution and under that certain Loan Agreement by and between the
Bondholder and the Authority, dated June 28, 2023 (the "Agreement"), and to pay interest on the
outstanding balance of such Principal Sum from the Date of Issuance specified above or from the
most recent date to which interest has been paid at the Interest Rate (as defined herein), subject to
adjustment as provided herein, on May 1 and November 1 of each year, commencing November
1,2023,until such Principal Sum shall have been paid. Interest shall be calculated based upon and
subject to adjustment as provided herein. Interest shall be calculated on the basis of a 360-day year
based upon the actual number of days elapsed. The Principal Sum hereof shall be payable in full
on the Maturity Date; provided, however, this Bond shall be subject to optional tender by the
Bondholder on the Bondholder Put Date and related repayment terms as provided herein and in
the Loan Agreement.
Such Principal Sum and interest are payable in any coin or currency of the United
States of America that,at the time of payment,is legal tender for the payment of public and private
debts.
This Bond is issued under the authority of and in full compliance with the
Constitution and laws of the State of Florida, including, particularly, Chapter 94-491, Laws of
Florida, Special Acts of 1994, as amended, and other applicable provisions of law, and Resolution
93/94-27 adopted by the Board of County Commissioners of Clay County, Florida on December
14, 1993, as heretofore amended and supplemented, and assumed by the Authority pursuant to the
provisions thereof and of the Act and Resolution No. 94/95-5 duly adopted by the Board of
Supervisors of the Authority on October 1, 1994, as such resolution may be amended and
supplemented from time to time (the "Original Resolution"), particularly as amended by
Resolution No. 2002/2003-10, adopted on February 18, 2003, and as supplemented by Resolution
No. 2022/2023-06 adopted by the Authority on June 20,2023 (the"Supplemental Resolution"and
together with the Original Resolution,the"Resolution"), and is subject to all terms and conditions
A-1
80045040.v5
of the Resolution and the Agreement. Any term used in this Bond and not otherwise defined shall
have the meaning ascribed to such term in the Agreement or in the Resolution.
This Bond is being issued to (i) pay cost of the Project and (ii)pay related closing
costs, as described in the Agreement and the Resolution. This Bond is secured by and shall be
payable from the Pledged Funds in accordance with the Agreement and as described in and in
accordance with the payment of Bonds as defined by the Original Resolution.
I
When used in this Bond, the following terms shall have the following meanings,
unless the context clearly otherwise requires:
"Bondholder Put Date" shall mean May 1, 2026, unless the Authority shall have
received written notice from the Bondholder not less than 90 days (or such shorter period of time
as shall have been agreed to by the Authority)prior to May 1,2026,that the Bondholder has elected
not to tender such Bond for purchase on such date and has extended such Bondholder Put Date for
additional six (6) month period. From and after such notice, the succeeding Bondholder Put Date
shall be the date specified in such notice unless and until modified by subsequent notice pursuant
to the terms hereof.
"Business Day" shall mean any day other than a Saturday, Sunday or day on which
banking institutions within the State of Florida are authorized or required by law to remain closed.
"Default Rate" shall mean the lesser of(i) 18% per annum and (ii) the maximum
lawful rate.
"Event of Taxability" shall mean the occurrence after the date hereof of a final
decree or judgment of any Federal court or a final action of the Internal Revenue Service
determining that interest payable on all or a portion of the Bond is or was includable in the gross
income of the Bondholder for Federal income tax purposes; provided, that no such decree,
judgment, or action will be considered final for this purpose, however, unless the Authority has
been given written notice and, if it is so desired and is legally allowed, has been afforded the
opportunity at the Authority's own expense to contest the same, either directly or in the name of
the Bondholder, and until the conclusion of any appellate review,if sought.An Event of Taxability
does not include and is not triggered by a change in law by Congress that causes the interest to be
includable under the Bondholder's gross income. For all purposes of this definition, the effective
date of any Event of Taxability will be the first date as of which interest is deemed includable in
the gross income of the Bondholder.
"Interest Rate" shall mean a per annum rate equal to 3.56%. Notwithstanding the
foregoing,however,after,and during the continuance of, an Event of Default,"Interest Rate"shall
mean the Default Rate, and if the Default Rate shall not be in effect,upon an Event of Taxability,
shall mean the Taxable Rate.
"Taxable Period"shall mean the period of time between(a)the date that interest on
the Bond is deemed to be includable in the gross income of the owner thereof for federal income
tax purposes as a result of an Event of Taxability, and (b) the date of the Event of Taxability and
after which the Bond bears interest at the Taxable Rate.
A-2
80045040.v5
"Taxable Rate" shall mean the interest rate per annum that shall provide the
Bondholder with the same after-tax yield that the Bondholder would have otherwise received had
the Event of Taxability not occurred, taking into account the increased taxable income of the
Bondholder as a result of such Event of Taxability. The Bondholder shall provide the Authority
with a written statement explaining the calculation of the Taxable Rate, which statement shall, in
the absence of manifest error,be conclusive and binding on the Authority.
Except as otherwise provided herein,upon the occurrence of an Event of Taxability
and for as long as this Bond remains outstanding,the Interest Rate on this Bond shall be converted
to the Taxable Rate and this adjustment shall survive payment on this Bond until such time as the
federal statute of limitations under which the interest on this Bond could be declared taxable under
the Code shall have expired. In addition, upon an Event of Taxability, the Authority shall,
immediately upon demand pay to the Bondholder(or prior holders, if applicable) (i) an additional
amount equal to the difference between (A) the amount of interest actually paid on this Bond
during the Taxable Period and (B) the amount of interest that would have been paid during the
Taxable Period had this Bond borne interest at the Taxable Rate, and (ii) an amount equal to any
interest, penalties and additions to tax (as referred to in Subchapter A of Chapter 68 of the Code)
owed by the Bondholder as a result of the Event of Taxability.
On the Bondholder Put Date, the Bondholder shall have the right to demand the
Authority purchase the Bond at a purchase price equal to 100% of the principal amount thereof,
plus accrued interest to the Bondholder Put Date and any past due amounts (the "Demand
Purchase Price").
In the event the Authority is unable to pay the Demand Purchase Price on the
Bondholder Put Date, the principal shall be payable semi-annually on each May 1 and November
1 as equal installments of the outstanding principal on such Bondholder Put Date, commencing on
the May 1 or November 1 which first succeeds the Bondholder Put Date, with the final principal
payment due on the Maturity Date of the Bond.
On any date other than a Bondholder Put Date, the Bond may be prepaid in whole
or in part on any Business Day, without premium or penalty, subject to the terms hereof and upon
at least two (2) Business Days' prior written notice to the Bondholder specifying the amount of
the prepayment,by paying to the Bondholder all of the principal amount of the Bond to be prepaid,
together with the unpaid interest accrued on the amount of principal so prepaid to the date of such
prepayment and the additional fee redemption premium described in the succeeding sentence.Any
partial prepayment shall be applied as determined by the Bondholder in its sole discretion.
The Authority shall, at the time of any prepayment,whether optional or at any other
time the Bond is paid earlier than its scheduled maturity(except upon a Bondholder Put Date),pay
to the Lender the interest accrued to the date of prepayment on the principal amount being prepaid
plus an additional fee redemption premium equal to the present value of the difference between
(1) the amount that would have been realized by the Lender on the prepaid amount for the
remaining term of the loan at the rate for fixed-rate payers in U.S. Dollar interest rate swaps as
quoted by Bloomberg (the "Swap Rate") for a term corresponding to the term of the Bond,
interpolated to the nearest month, if necessary, that was in effect three Business Days prior to the
issuance date of the Bond, and(2)the amount that would be realized by the Lender by reinvesting
A-3
80045040.v5
such prepaid funds for the remaining term of the loan at the Swap Rate for fixed-rate payers in
U.S. Dollar interest rate swaps, interpolated to the nearest month,that was in effect three Business
Days prior to the loan repayment date, both discounted at the same interest rate utilized in
determining the applicable amount in (2). Should the present value have no value or a negative
value,the Authority may prepay with no additional fee or redemption premium. Should Bloomberg
no longer release rates for fixed-rate payers in U.S. Dollar interest rate swaps, the Bondholder my
substitute the Bloomberg index for rates for fixed payers in U.S. Dollar interest rate swaps with
another similar index as determined by Truist Bank (or an affiliate thereof). The Lender shall
provide the Authority with a written statement explaining the calculation of the premium due,
which statement shall, in absence of manifest error,be conclusive and binding. The application of
such fee or prepayment premium is not intended to, and shall not be deemed to be, an increase in
the Interest Rate.
Notwithstanding any provision in this Bond to the contrary, in no event shall the
interest contracted for, charged or received in connection with this Bond(including any other costs
or considerations that constitute interest under the laws of the State of Florida which are contracted
for, charged or received) exceed the maximum rate of interest allowed in the State of Florida as
presently in effect.
This Bond,when delivered by the Authority pursuant to the terms of the Agreement
and the Resolution,shall not be or constitute a general indebtedness of the Authority,of the County
or of the State of Florida or any political subdivision or agency thereof,within the meaning of any
constitutional, statutory or charter limitations of indebtedness,but shall be payable solely from the
Pledged Funds, as provided in the Agreement and the Resolution. No Bondholder shall ever have
the right to compel the exercise of the ad valorem taxing power of the County or the State of
Florida, or taxation in any form on any property therein to pay this Bond or the interest thereon.
Upon the occurrence of an Event of Default relating to this Bond, the Bondholder
shall be entitled to the remedies as set forth in the Agreement and the Resolution. In the event the
Authority shall fail to make any of the payments required hereunder,the amount so in default shall
continue as an obligation of the Authority until fully paid and until paid shall bear interest at the
Default Rate (as defined in the Agreement). From and after the Final Maturity Date, all amounts
remaining unpaid or thereafter accruing under this Bond shall bear interest at the Default Rate.
The Authority hereby waives demand, protest and notice of dishonor. This Bond
shall not be required to be presented upon partial prepayment or upon payment of principal
installment payments, only upon final maturity.
No obligation under the Agreement or this Bond shall be or be deemed to be an
obligation of any officer, employee or agent of the Authority in his or her individual capacity, and
none of such persons executing the Agreement or this Bond shall be liable personally thereon or
hereon by reason thereof.
It is certified, recited and declared that all acts, conditions and things required to
exist, happen and be performed precedent to and in connection with the execution and delivery of
the Agreement and the issuance of this Bond do exist, have happened and have been performed in
due time, form and manner as required by law, and that the issuance of this Bond, together with
A-4
80045040.v5
all other obligations of the Authority under the Agreement, does not exceed or violate any
constitutional or statutory limitation.
[The remainder of this page is intentionally left blank; signature page follows.]
to
A-5
80045040.v5
IN WITNESS WHEREOF, the Clay County Utility Authority caused this Bond
to be signed by the manual signature of the Chairman of its Board of Supervisors and its official
seal to be affixed hereto or imprinted or reproduced hereon, and attested by the manual signature
of the Secretary of its Board of Supervisors, and this Bond to be dated the Date of Issuance set
forth above.
CLAY COUNTY UTILITY AUTHORITY
(OFFICIAL SEAL)
By
ATTEST: Chairman, Board of Supervisors
By:
Secretary, Board of Supervisors
CERTIFICATE OF AUTHENTICATION
This Bond is one of the"Bonds"of the Authority described in the within-mentioned
Resolution.
Date of Authentication: June 28, 2023
CHIEF FINANCIAL OFFICER, CLAY
COUNTY UTILITY AUTHORITY, as Registrar
Chief Financial Officer
[Signature Page to Series 2023 Bond]
A-1
80045040.v5
Exhibit B
Escrow Agreement
to
69502736.v4
ESCROW AGREEMENT
This ESCROW AGREEMENT (the "Escrow Agreement"), made and entered into
as of June 28, 2023, is by and among the Clay County Utility Authority (the "Authority"), Truist
Commercial Equity, Inc. (TRUCE) (the "Lender" and together with the Authority, the "Parties,"
and individually, a "Party") and Truist Bank, a North Carolina banking corporation, as escrow
agent("Escrow Agent").
WHEREAS, the Authority issued its Utilities System Revenue Bond, Series 2023
(the "Bond")pursuant to Resolution 93/94-27 adopted by the Board of County Commissioners of
Clay County, Florida on December 14, 1993, as heretofore amended and supplemented (the
"Original Resolution") and Resolution No. 2022/2023-06 adopted on June 20, 2023 (the
"Supplemental Resolution" and together with the Original Resolution, the "Bond Resolution");
and
WHEREAS, the Lender and the Authority are parties to a Loan Agreement dated
June 28, 2023 (as amended, the"Loan Agreement"); and
WHEREAS, the Parties desire for the Escrow Agent to open a trust account into
which the Lender will deposit the proceeds of the Bond to be held, disbursed and invested by the
Escrow Agent in accordance with this Escrow Agreement; and
WHEREAS, the Parties acknowledge that the Escrow Agent is not a party to, and
has no duties or obligations under the Bond Resolution or the Loan Agreement, that all references
in this Escrow Agreement to the Bond Resolution and the Loan Agreement are for convenience
only, and that the Escrow Agent shall have no implied duties beyond the express duties set forth
in this Escrow Agreement.
NOW, THEREFORE, in consideration of the premises herein, the Parties and the
Escrow Agent agree as follows:
I. Terms and Conditions
1.1. The Authority and the Lender hereby appoint the Escrow Agent as their escrow
agent for the purposes set forth herein, and the Escrow Agent hereby accepts such
appointment under the terms and conditions set forth herein.
1.2. Capitalized terms used but not defined herein shall have the meanings ascribed
thereto in the Bond Resolution, or if not defined therein, in the Loan Agreement.
1.3. The Lender created under the Loan Agreement, the 2023 Construction Account,
which account is to be held by the Escrow Agent, which account shall be held by the
Escrow Agent, which account shall be a trust account (the "Escrow Account"). Amounts
in the Escrow Account shall be disbursed to the Authority, all as provided in Section 1.6.
1.4. The Lender shall remit the Bond proceeds in the amount of $75,000,000.00, to be
held in the Escrow Account to the Escrow Agent, using the wire instructions below, to be
80061333.v2
held by the Escrow Agent and invested and disbursed as provided in this Escrow
Agreement.
Truist Bank
ABA: 053101121
Account: 5177521228015
Account Name: Escrow Services
Bank Address: 919 E. Main Street, Richmond, VA 23219
Reference: Clay County Utility Authority Series 2023 Escrow
Attention: Sarah B. Lemmerman, (904) 361-5283
1.5. Within two (2) Business Days after receipt of a Requisition in the form of Exhibit
C attached hereto, signed by an authorized representative of the Authority (each, an
"Authorized Officer") as set forth on such Party's Certificate of Incumbency provided to
the Escrow Agent pursuant to Section 4.13, the Escrow Agent shall disburse funds from
the Escrow Account to the Authority, all as provided in such Requisition, but only to the
extent that funds are collected and available. A Requisition may be submitted no more
frequently than once per month. For purposes of this Escrow Agreement, "Business Day"
shall mean any day other than a Saturday, Sunday or any other day on which the Escrow
Agent located at the notice address set forth in Section 4.5 is authorized or required by law
or executive order to remain closed.
II. Provisions as to Escrow Agent
2.1. This Escrow Agreement expressly and exclusively sets forth the duties of the
Escrow Agent with respect to any and all matters pertinent hereto, which duties shall be
deemed purely ministerial in nature, and no implied duties or obligations shall be read into
this Escrow Agreement against the Escrow Agent. The Escrow Agent shall in no event be
deemed to be a fiduciary to any Party or any other person or entity under this Escrow
Agreement. The permissive rights of the Escrow Agent to do things enumerated in this
Escrow Agreement shall not be construed as duties. In performing its duties under this
Escrow Agreement, or upon the claimed failure to perform its duties, the Escrow Agent
shall not be liable for any damages, losses or expenses other than damages, losses or
expenses which have been finally adjudicated by a court of competent jurisdiction to have
directly resulted from the Escrow Agent's willful misconduct or gross negligence. In no
event shall the Escrow Agent be liable for incidental, indirect, special, consequential or
punitive damages of any kind whatsoever(including but not limited to lost profits), even if
the Escrow Agent has been advised of the likelihood of such loss or damage and regardless
of the form of action. The Escrow Agent shall not be responsible or liable for the failure
of any Party to take any action in accordance with this Escrow Agreement. Any wire
transfers of funds made by the Escrow Agent pursuant to this Escrow Agreement will be
made subject to and in accordance with the Escrow Agent's usual and ordinary wire transfer
procedures in effect from time to time. The Escrow Agent shall have no liability with
respect to the transfer or distribution of any funds affected by the Escrow Agent pursuant
to wiring or transfer instructions provided to the Escrow Agent in accordance with the
provisions of this Escrow Agreement. The Escrow Agent shall not be obligated to take
any legal action or to commence any proceedings in connection with this Escrow
80061333.v4
2
Agreement or any property held hereunder or to appear in,prosecute or defend in any such
legal action or proceedings.
2.2. The Parties acknowledge and agree that the Escrow Agent acts hereunder as a
depository only, and is not responsible or liable in any manner whatsoever for the
sufficiency, correctness, genuineness or validity of the subject matter of this Escrow
Agreement or any part thereof, or of any person executing or depositing such subject
matter. No provision of this Escrow Agreement shall require the Escrow Agent to risk or
advance its own funds or otherwise incur any financial liability or potential financial
liability in the performance of its duties or the exercise of its rights under this Escrow
Agreement.
2.3. This Escrow Agreement, the Bond Resolution and the Loan Agreement constitute
the entire agreement between the Escrow Agent and the Parties in connection with the
subject matter of this Escrow Agreement, and no other agreement entered into between the
Parties, or any of them, including, without limitation, the Bond Resolution or the Loan
Agreement, shall be considered as adopted or binding,in whole or in part,upon the Escrow
Agent notwithstanding that any such other agreement may be deposited with the Escrow
Agent or the Escrow Agent may have knowledge thereof.
2.4. The Escrow Agent shall in no way be responsible for nor shall it be its duty to notify
any Party or any other person or entity interested in this Escrow Agreement of any payment
required or maturity occurring under this Escrow Agreement or under the terms of any
instrument deposited herewith unless such notice is explicitly provided for in this Escrow
Agreement.
2.5. The Escrow Agent shall be protected in acting upon any written instruction,notice,
request,waiver,consent,certificate,receipt,authorization,power of attorney or other paper
or document which the Escrow Agent in good faith believes to be genuine and what it
purports to be, including,but not limited to, items directing investment or non-investment
of funds, items requesting or authorizing release, disbursement or retainage of the subject
matter of this Escrow Agreement and items amending the terms of this Escrow Agreement.
The Escrow Agent shall be under no duty or obligation to inquire into or investigate the
validity, accuracy or content of any such notice, request, waiver, consent, certificate,
receipt, authorization, power of attorney or other paper or document. The Escrow Agent
shall have no duty or obligation to make any formulaic calculations of any kind hereunder.
2.6. The Escrow Agent may execute any of its powers and perform any of its duties
hereunder directly or through affiliates or agents. The Escrow Agent shall be entitled to
seek the advice of legal counsel with respect to any matter arising under this Escrow
Agreement and the Escrow Agent shall have no liability and shall be fully protected with
respect to any action taken or omitted pursuant to the advice of such legal counsel. The
Parties shall be jointly and severally liable for and shall promptly pay upon demand by the
Escrow Agent the reasonable and documented fees and expenses of any such legal counsel.
2.7. In the event of any disagreement between any of the Parties, or between any of
them and any other person or entity,resulting in adverse claims or demands being made in
80061333.v4
3
connection with the matters covered by this Escrow Agreement, or in the event that the
Escrow Agent, in good faith, is in doubt as to what action it should take hereunder, the
Escrow Agent may, at its option, refuse to comply with any claims or demands on it, or
refuse to take any other action hereunder, so long as such disagreement continues or such
doubt exists, and in any such event, the Escrow Agent shall not be or become liable in any
way or to any Party or other person or entity for its failure or refusal to act, and the Escrow
Agent shall be entitled to continue to refrain from acting until (i) the rights of the Parties
and all other interested persons and entities shall have been fully and finally adjudicated
by a court of competent jurisdiction, or (ii) all differences shall have been settled and all
doubt resolved by agreement among all of the Parties and all other interested persons and
entities, and the Escrow Agent shall have been notified thereof in writing signed by the
Parties and all such persons and entities. Notwithstanding the preceding,the Escrow Agent
may in its discretion obey the order,judgment, decree or levy of any court, whether with
or without jurisdiction, or of an agency of the United States or any political subdivision
thereof, or of any agency of any State of the United States or of any political subdivision
of any thereof, and the Escrow Agent is hereby authorized in its sole discretion to comply
with and obey any such orders, judgments, decrees or levies. The rights of the Escrow
Agent under this sub-paragraph are cumulative of all other rights which it may have by law
or otherwise.
In the event of any disagreement or doubt,as described above,the Escrow Agent shall have
the right, in addition to the rights described above and at the election of the Escrow Agent,
to tender into the registry or custody of any court having jurisdiction,all funds and property
held under this Escrow Agreement, and the Escrow Agent shall have the right to take such
other legal action as may be appropriate or necessary, in the sole discretion of the Escrow
Agent. Upon such tender,the Parties agree that the Escrow Agent shall be discharged from
all further duties under this Escrow Agreement;provided,however,that any such action of
the Escrow Agent shall not deprive the Escrow Agent of its compensation and right to
reimbursement of expenses hereunder arising prior to such action and discharge of the
Escrow Agent of its duties hereunder.
2.8. To the extent permitted by law,the Authority agrees to indemnify, defend and hold
harmless the Escrow Agent and each of the Escrow Agent's officers, directors, agents and
employees (the "Indemnified Parties") from and against any and all losses, liabilities,
claims made by any Party or any other person or entity, damages, expenses and costs
(including, without limitation, reasonable attorneys' fees and expenses) of every nature
whatsoever (collectively, "Losses") which any such Indemnified Party may incur and
which arise directly or indirectly from this Escrow Agreement or which arise directly or
indirectly by virtue of the Escrow Agent's undertaking to serve as Escrow Agent hereunder;
provided,however,that no Indemnified Party shall be entitled to indemnity with respect to
Losses that have been finally adjudicated by a court of competent jurisdiction to have been
directly caused by such Indemnified Party's gross negligence or willful misconduct. The
provisions of this section shall survive the termination of this Escrow Agreement and any
resignation or removal of the Escrow Agent.
2.9. Any entity into which the Escrow Agent may be merged or converted or with which
it may be consolidated, or any entity to which all or substantially all the escrow business
80061333.v4
4
of the Escrow Agent may be transferred, shall be the Escrow Agent under this Escrow
Agreement without further act.
2.10. The Escrow Agent may resign at any time from its obligations under this Escrow
Agreement by providing written notice to the Parties. Such resignation shall be effective
on the date set forth in such written notice, which shall be no earlier than thirty (30) days
after such written notice has been furnished. In such event, the Authority shall promptly
appoint a successor escrow agent. In the event no successor escrow agent has been
appointed on or prior to the date such resignation is to become effective,the Escrow Agent
shall be entitled to tender into the custody of any court of competent jurisdiction all funds
and other property then held by the Escrow Agent hereunder and the Escrow Agent shall
thereupon be relieved of all further duties and obligations under this Escrow Agreement;
provided, however,that any such action of the Escrow Agent shall not deprive the Escrow
Agent of its compensation and right to reimbursement of expenses hereunder arising prior
to such action and discharge of the Escrow Agent of its duties hereunder. The Escrow
Agent shall have no responsibility for the appointment of a successor escrow agent
hereunder.
2.11. The Escrow Agent and any director, officer or employee of the Escrow Agent may
become financially interested in any transaction in which any of the Parties may be
interested and may contract with and lend money to any Party and otherwise act as fully
and freely as though it were not escrow agent under this Escrow Agreement. Nothing
herein shall preclude the Escrow Agent from acting in any other capacity for any Party.
III. Compensation of Escrow Agent
3.1. The Authority agrees to pay to the Escrow Agent compensation, and to reimburse
the Escrow Agent for costs and expenses, all in accordance with the provisions of Exhibit
B hereto, which is incorporated herein by reference and made a part hereof. The fees
agreed upon for the services rendered hereunder are intended as full compensation for the
Escrow Agent's services as contemplated by this Escrow Agreement; provided, however,
that in the event that the conditions for the disbursement of funds are not fulfilled, or the
Escrow Agent renders any service not contemplated in this Escrow Agreement, or there is
any assignment of interest in the subject matter of this Escrow Agreement or any material
modification hereof,or if any dispute or controversy arises hereunder,or the Escrow Agent
is made a party to any litigation pertaining to this Escrow Agreement or the subject matter
hereof, then the Parties jointly and severally agree to compensate the Escrow Agent for
such extraordinary services upon receipt of an invoice therefor, and to reimburse the
Escrow Agent for all costs and expenses,including reasonable attorneys'fees and expenses,
occasioned by any such event. In the event the Escrow Agent is authorized to make a
distribution of funds to the Authority (or at the direction of the Authority) pursuant to the
terms of this Escrow Agreement, and fees or expenses are then due and payable to the
Escrow Agent pursuant to the terms of this Escrow Agreement (including, without
limitation, amounts owed under this Section 3.1 and Section 2.8) by the Authority, the
Escrow Agent is not authorized to offset and deduct such amounts due and payable to it
from such distribution due to the tax-exempt nature of the Bond, but shall invoice the
Authority for the fees or expenses then due. The provisions of this section shall survive
80061333.v4
5
the termination of this Escrow Agreement and any resignation or removal of the Escrow
Agent.
IV. Miscellaneous
4.1. The Escrow Agent shall make no disbursement, investment or other use of funds
until and unless it has collected funds. The Escrow Agent shall not be liable for collection
items until the proceeds of the same in actual cash have been received or the Federal
Reserve has given the Escrow Agent credit for the funds.
4.2. The Escrow Account shall be held and invested in Truist Bank Corporate Trust&
Escrow Services Collateralized Public Funds Plus Deposit Option. The Parties recognize
and agree that the Escrow Agent will not provide supervision,recommendations or advice
relating to the investment of moneys held hereunder or the purchase,sale,retention or other
disposition of any investment, and the Escrow Agent shall not be liable to any Party or any
other person or entity for any loss incurred in connection with any such investment. The
Escrow Agent is hereby authorized to execute purchases and sales of investments through
the facilities of its own trading or capital markets operations or those of any affiliated entity.
The Escrow Agent or any of its affiliates may receive compensation with respect to any
investment directed hereunder including without limitation charging any applicable agency
fee in connection with each transaction. The Escrow Agent shall use its best efforts to
invest funds on a timely basis upon receipt of such funds; provided, however, that the
Escrow Agent shall in no event be liable for compensation to any Party or other person or
entity related to funds which are held un-invested or funds which are not invested timely.
The Escrow Agent is authorized and directed to sell or redeem any investments as it deems
necessary to make any payments or distributions required under this Escrow Agreement.
Any investment earnings and/or interest income on the Escrow Account shall become part
of the Escrow Account and shall be disbursed in accordance with this Escrow Agreement.
4.3. The Escrow Agent shall provide monthly reports of transactions and holdings to
the Authority as of the end of each month, at the addresses provided by the Authority in
Section 4.5.
4.4. The Parties agree that all interest and income from the investment of the funds shall
be reported as having been earned by the Authority as of the end of each calendar year
whether or not such income was disbursed during such calendar year and to the extent
required by the Internal Revenue Service. On or before the execution and delivery of this
Escrow Agreement, the Authority shall provide to the Escrow Agent a correct, duly
completed, dated and executed current United States Internal Revenue Service Form W-9
or Form W-8, whichever is appropriate or any successor forms thereto, in a form and
substance satisfactory to the Escrow Agent including appropriate supporting
documentation and/or any other form, document, and/or certificate required or reasonably
requested by the Escrow Agent to validate the form provided. Notwithstanding anything
to the contrary herein provided, except for the delivery and filing of tax information
reporting forms required pursuant to the Internal Revenue Code of 1986, as amended, to
be delivered and filed with the Internal Revenue Service by the Escrow Agent, as escrow
agent hereunder,the Escrow Agent shall have no duty to prepare or file any Federal or state
80061333.v4
6
tax report or return with respect to any funds held pursuant to this Escrow Agreement or
any income earned thereon. With respect to the preparation, delivery and filing of such
required tax information reporting forms and all matters pertaining to the reporting of
earnings on funds held under this Escrow Agreement, the Escrow Agent shall be entitled
to request and receive written instructions from the Authority, and the Escrow Agent shall
be entitled to rely conclusively and without further inquiry on such written instructions.
To the extent permitted by law, the Authority agrees to indemnify, defend and hold the
Escrow Agent harmless from and against any tax, late payment, interest, penalty or other
cost or expense that may be assessed against the Escrow Agent on or with respect to the
Escrow Fund or any earnings or interest thereon unless such tax, late payment, interest,
penalty or other cost or expense was finally adjudicated by a court of competent jurisdiction
to have been directly caused by the gross negligence of willful misconduct of the Escrow
Agent. The indemnification provided in this section is in addition to the indemnification
provided to the Escrow Agent elsewhere in this Escrow Agreement and shall survive the
resignation or removal of the Escrow Agent and the termination of this Escrow Agreement.
4.5. Any notice, request for consent, report, or any other communication required or
permitted in this Escrow Agreement shall be in writing and shall be deemed to have been
given when delivered (i) personally, (ii) by facsimile transmission with written
confirmation of receipt, (iii)by electronic mail to the e-mail address given below (subject
to the language provided below), and written confirmation of receipt is obtained promptly
after completion of the transmission, (iv) by overnight delivery with a reputable national
overnight delivery service, or (v) by United States mail, postage prepaid, or by certified
mail, return receipt requested and postage prepaid, in each case to the appropriate address
set forth below or at such other address as any party hereto may have furnished to the other
parties hereto in writing:
If to Escrow Agent: Truist Bank
Attn: Corporate Trust and Escrow Services
2713 Forest Hills Road
Building 2, Floor 2
Wilson,NC 27893
Client Manager: Sarah B. Lemmerman
Phone: 904-361-5283
Email: Sarah.lemmerman@Truist.com
If to the Authority: Clay County Utility Authority
3176 Old Jennings Road,
Middleburg, Florida 32068,
Attention: Executive Director
Phone: 904-213-2477
E-mail:jjohnston@clayutility.org
If to the Lender: Truist Commercial Equity, Inc. (TRUCE)
200 West Forsyth Street, 5th Floor
Jacksonville, Florida 32202
Phone: 904-632-2599
80061333.v4
7
E-mail: lisa.c.hayes @trui st.com
Any party hereto may unilaterally designate a different address by giving notice of each
change in the manner specified above to each other party hereto. Notwithstanding anything
to the contrary herein provided, the Escrow Agent shall not be deemed to have received
any notice, request, report or other communication hereunder prior to the Escrow Agent's
actual receipt thereof.
The Escrow Agent shall have the right to accept and act upon instructions or directions,
including funds transfer instructions,pursuant to this Agreement sent by Electronic Means.
As used in this Section, "Electronic Means" means unsecured e-mail as a portable
document format ("pdf') or other replicating image attached to an email, facsimile
transmission, secure electronic transmission containing applicable authorization codes,
passwords and/or authentication keys issued by the Escrow Agent, or another method or
system specified by the Escrow Agent as available for use in connection with its services
hereunder). If the Authority elects to give the Escrow Agent instructions via Electronic
Means and the Escrow Agent in its discretion elects to act upon such instructions, the
Escrow Agent's understanding of such instructions shall be deemed controlling. The
Authority agrees that the Escrow Agent cannot determine the identity of the actual sender
of such instructions and that the Escrow Agent shall conclusively presume that instructions
that purport to have been sent by an Authorized Officer listed on the incumbency certificate
provided to the Escrow Agent in accordance with Section 4.15 hereof have been sent by
such Authorized Officer. The Authority shall be responsible for ensuring that only
Authorized Officers transmit such instructions to the Escrow Agent, and the Authority and
the Authorized Officers are responsible to safeguard the use and confidentiality of
applicable user and authorization codes, passwords and authentication keys provided by
the Escrow Agent. The Escrow Agent shall not be liable for any losses, costs, or expenses
arising directly or indirectly from the Escrow Agent's reliance upon and compliance with
such instructions notwithstanding such instructions conflict or are inconsistent with a
subsequent written instruction. The Authority agrees (i) to assume all risks arising out of
the use of such Electronic Means to submit instructions and direction to the Escrow Agent,
including without limitation the risk of the Escrow Agent acting on unauthorized
instructions and the risk or interception and misuse by third parties; (ii) that it is fully
informed of the protections and risks associated with the various methods of transmitting
instructions to the Escrow Agent and that there may be more secure methods of
transmitting instructions than the method(s) selected by the Authority; (iii)that the security
procedures (if any) to be followed in connection with its transmission of instructions
provide to it a commercially reasonable degree of protection in light of its particular needs
and circumstances; and(iv)that it will notify the Escrow Agent immediately upon learning
of any compromise or unauthorized use of the security procedures.
4.6. This Escrow Agreement is being made in and is intended to be construed according
to the laws of the State of Florida. Except as permitted in Section 2.9,neither this Escrow
Agreement nor any rights or obligations hereunder may be assigned by any party hereto
without the express written consent of each of the other parties hereto. This Escrow
Agreement shall inure to and be binding upon the Parties and the Escrow Agent and their
respective successors, heirs and permitted assigns.
80061333.v4
8
4.7. The terms of this Escrow Agreement may be altered,amended,modified or revoked
only by an instrument in writing signed by all the Parties and the Escrow Agent.
4.8. This Escrow Agreement is for the sole benefit of the Indemnified Parties,the Parties
and the Escrow Agent, and their respective successors and permitted assigns, and nothing
herein, express or implied, is intended to or shall confer upon any other person or entity
any legal or equitable right,benefit or remedy of any nature whatsoever under or by reason
of this Escrow Agreement.
4.9. No party to this Escrow Agreement shall be liable to any other party hereto for
losses due to, or if it is unable to perform its obligations under the terms of this Escrow
Agreement because of, acts of God, fire, war, terrorism, floods, strikes, electrical outages,
equipment or transmission failure, or other causes reasonably beyond its control.
4.10. This Escrow Agreement shall terminate on the date on which all of the funds and
property held by the Escrow Agent under this Escrow Agreement have been disbursed.
Upon the termination of this Escrow Agreement and the disbursement of all of the funds
and property held hereunder, this Escrow Agreement shall be of no further effect except
that the provisions of Sections 2.8, 3.1 and 4.4 shall survive such termination.
4.11. All titles and headings in this Escrow Agreement are intended solely for
convenience of reference and shall in no way limit or otherwise affect the interpretation of
any of the provisions hereof.
4.12. This Escrow Agreement may be executed in one or more counterparts, each of
which shall be deemed an original but all of which together shall constitute one and the
same instrument.
4.13. Contemporaneously with the execution and delivery of this Escrow Agreement and,
if necessary, from time to time thereafter, each of the Parties shall execute and deliver to
the Escrow Agent a Certificate of Incumbency substantially in the form of Exhibit A hereto,
as applicable (a "Certificate of Incumbency"), for the purpose of establishing the identity
and authority of persons entitled to issue notices, instructions or directions to the Escrow
Agent on behalf of each such party,including notices sent by Electronic Means. Until such
time as the Escrow Agent shall receive an amended Certificate of Incumbency replacing
any Certificate of Incumbency theretofore delivered to the Escrow Agent, the Escrow
Agent shall be fully protected in relying, without further inquiry, on the most recent
Certificate of Incumbency furnished to the Escrow Agent. Whenever this Escrow
Agreement provides for joint written notices,joint written instructions or other joint actions
to be delivered to the Escrow Agent, the Escrow Agent shall be fully protected in relying,
without further inquiry, on any joint written notice, instructions or action executed by
persons named in such Certificate of Incumbency.
[Signature page follows]
80061333.v4
9
IN WITNESS WHEREOF, the Parties hereto have caused this Agreement to be executed
as of the date first above written.
TRUIST BANK, as Escrow Agent
By:
Sarah B. Lemmerman, Vice President
CLAY COUNTY UTILITY AUTHORITY
By:
Wendell Davis, Chairman, Board of Supervisors
TRUIST COMMERCIAL EQUITY, INC.
(TRUCE)
By:
Lisa C. Hayes, Authorized Agent
80061333.v4
10
EXHIBIT A
Certificate of Incumbency
(List of Authorized Officers)
Client Name: Clay County Utility Authority
As an Authorized Officer of the above referenced entity, I hereby certify that each person listed
below is an authorized signor for such entity, and that the title and signature appearing beside
each name is true and correct.
Name Title Signature Phone Email Address
Number(s)
Wendell Davis Chairman
Jeffrey S. Chief Financial
Wesselman Officer
0
IN WITNESS WHEREOF, this certificate has been executed by a duly authorized officer on
June 28, 2023:
I
By:
Name: Janice Loudermilk'
Its: Secretary
I
I
I
I
Exhibit A
EXHIBIT B
Truist Bank, as Escrow Agent
Schedule of Fees & Expenses
Acceptance/Legal Review Fee: Waived — $ — one time only payable at the time of
signing the Escrow Agreement. This fee will be invoiced to
the Authority when the account is funded.
The Legal Review Fee includes review of all related documents and accepting the appointment of
Escrow Agent on behalf of Truist Bank. The fee also includes setting up the required account(s)
and accounting records, document filing, and coordinating the receipt of funds/assets for deposit
to the Escrow Account. This is a one-time fee payable upon execution of the Escrow Agreement.
As soon as Truist Bank's attorney begins to review the Escrow Agreement, the legal review fee is
subject to payment regardless if the Parties decide to appoint a different escrow agent or a decision
is made that the Escrow Agreement is not needed.
Administration Fee: Waived — $ per year — payable at the time of
funding the Escrow Account. This fee will be invoiced to
the Authority.
The Administration Fee includes providing routine and standard services of an Escrow Agent. The
fee includes administering the escrow account, performing investment transactions, processing
cash transactions (including wires and check processing), disbursing funds in accordance with the
Agreement(note any pricing considerations below), and providing trust account statements to the
Parties for a twelve(12)month period. Extraordinary expenses,including reasonable legal counsel
fees, will be billed as out-of-pocket. The Administration Fee is due upon funding of the Escrow
Account and shall be invoiced to the Authority. The fees shall be deemed earned in full upon
receipt by the Escrow Agent, and no portion shall be refundable for any reason, including without
limitation, termination of the agreement.
Out-of-Pocket Expenses: At Cost
Out-of-pocket expenses such as,but not limited to,postage, courier, overnight mail, wire transfer,
travel, reasonable legal fees and expenses (out-of-pocket to counsel) or accounting, will be billed
at cost and shall be invoiced to the Authority.
Note: This fee schedule is based on the assumption that the escrowed funds will be invested
in the Truist Deposit Option. If any other investment options are chosen, this fee schedule
will become subject to change.
Deb Spitale, Senior Vice President
Deb.spitale@Truist.com
Cell: 404-844-7533
Work: 440-588-7191
Exhibit B
EXHIBIT C
Form of Requisition
[Date]
Truist Bank
Attn: Escrow Services
Mail Code: VA-HDQ-1205
919 East Main Street, 5th Floor
Richmond, Virginia 23219
Re: Request for disbursement of funds from proceeds held under the Escrow
Agreement dated June 28, 2023 (the "Escrow Agreement") among Truist
Bank(the"Escrow Agent"), Truist Commercial Equity, Inc. (TRUCE) (the
"Lender") and the Clay County Utility Authority(the"Borrower")
Pursuant to the terms and conditions of the Escrow Agreement, the Borrower requests a
disbursement of funds.
This is requisition number
This Requisition Request is for a disbursement from the Escrow Account to the Borrower
in the amount of$
With respect to this requisition, the Borrower makes the following representations:
1. The Borrower has provided the Lender with any purchase orders, cost receipts or
other construction documents requested by the Lender to date.
2. No default or event of default is continuing under Loan Agreement dated June 28,
2023, between the Borrower and the Lender, (as amended from time to time, the
"Loan Agreement"),or the Borrower's Utilities System Revenue Bond, Series 2023
(the "Bond") and no event or condition is existing which, with notice or lapse of
time or both, would become a default or an event of default thereunder.
3. The Borrower certifies that the disbursements requested under this requisition are
eligible Costs of the Project in accordance with the Bond Resolution and the Loan
Agreement.
CLAY COUNTY UTILITY AUTHORITY
By:
Name:
Title:
Exhibit C