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HomeMy WebLinkAbout34333 / 87-563 . . , , � � The City Council of the City of Oshkosh, Winnebago County, Wisconsin, met in regular, open, public session at its regular meeting place on March 19, 1987, at 7:00 o'clock, P.M., with the following members present: Councii Members oonald rressley, James Mather, Thomas Binner, Killian Spanhauer, Kathleen Propn and Flovd Chapin. and the following members absent: council wember non xurchera. • # + i (Other Business) The fotlowing resolution was introduced by wather and was read in fWl, and pursuant to motion mede by Mather .. and seconded by � s�wauer was adopted bp the following vote: Aye: pzesslev, Mather, Snanbauer, Propo, Chapin Nay: None Absent or not voting: xutchera Votina oresenb Rinner ( RESOLUTION determining to issue $ 7,475.000 - Refunding Bonds, Series 1987, of the City of Oshkosh, Winnebago County� Wisconsin, providing details, pre- scribing the form of bond, awarding the bonds, and levying taxes. WHEREAS, pursuant to resolution duly adopted by the City Council of the City of Oshkosh, Winnebago County, Wisconsin (the "City") on March 4, 1985, the City has previously issued E30,560,000 aggregate principal amount of General Obligation Refunding Bonds, Series 1985, dated March 1, 1985, and $5,035,000 outstanding aggregate principal amount of such bonds mature on and after May 1, 1996 (the "Refunding Honds"); and WHEREAS, pursuant to resotution duly adopted by the City Council of the Issuer on April 18, 1965, the City has previously issued $740,000 aggregate principa] amount of Sewer Bonds, Series 1985, dated May 1, 1985, which are currently outstanding in the aggregete principal amount of $740,000 (the "Sewer Bonds"); and WHEREAS, by initia] resolution duly adopted on February 19, 1987, there have been authorized to be issued not exceeding $9,000,000 bonds oF the City of Oshkosh for the public purpose of refunding in advance of maturity certain general obligation bonds and notes of the Cityg and _ WHEREAS, official notice of the adoption of said initial resolution was published on February 20, 1987, in The Oshkosh Northwestern, and, to the date of this resolution, no petition has been filed with the City Clerk requesting that said initial resolution be submitted to the electors; and WHEREAS� to refund the Refunding Bonds and the Sewer Bonds and interest thereon, it is now neeessary to authorize and sel] the Refunding Bonds, Series 1987 (the "Bonds") of the City; and WHEREAS, the City has negotiated with First Wisconsin National Bank of Milwaukee, in Milwaukee, Wisconsin, and Stern Brothers bc Co., in Denver, Colorado, which have offereG to purchase the Bonds from the City at the price set forth herein, the Bonds to mature, bear interest and have the terms set forth herein; NOW� THEREPORE, Be It Resolved by the City Council oF the City oF Oshkosh, Winnebago County, Wisconsin, as follows: Section 1. The negotiation Dy the officers of the City for the sale of the Bonds, as aforesaid, is hereby in all respects ratified and confirmed. 3ection Y. Definitions. For all purposes of this Resolution, except as otherwise expressly provided herein or unless the eontext otherwise requires, the terms defined in this Section 2 shall have the meanings set forth below, and shall include the plural as well es the singular. "Bond" or "Bonds" shall mean one or more of the Refunding Bonds, Series � 1987, of the City, authorized to be issued by the terms of this Resolution. -2- < "Bond Register" shall mean the books of the City kept by the Registrar to evidence the registration and transfer of the Bonds. "City" shall mean the City of Oshkosh, Winnebago County, Wisconsin. � "Escrow Account" shall mean the irrevocable trust Pund created under the terms of the Escrow Agreement. "Escrow Agent" shall mean First Wisconsin Trust Company, as escrow agent under the Escrow Agreement, or any succcessor thereto. "ESCrow AgreemenN' shall mean the Escrow Agreement dated as of April 1� 1987, by and between the City and the Escrow Agent, in substantially the same form as Exhibit A attaehed hereto and made a part hereof. "Governing Body" shall mean the CiTy Council of the City. "Prior Bonds" shall mean the Refunding Bonds and the Sewer Bonds. "Refunding Bonds" shall mean the $5,035,000 outstanding aggregate principal emount of General Obligation Refunding Bonds, Series 1987, of the City, dated March 1� 1985� meturing on and after May 1, 1996. "Registrar" shall mean First Wisconsin Trust Company, in Milwaukee, Wisconsin� or a successor designated as Registrar hereunder. "Resolution" shall mean this resolution as adopted by the Governing Body of the City. "Sewer Honds" shell mean the 5740,000 outstanding aggregate principal amount of Sewer Bonds> Series 1985> of the Ci[y, dated May 1, 1985. "Statute" shall mean Chapter 67 of the Wisconsin Statutes, as supplemented and amended. Section 3. Authorization. The issuance and sale of $ 7,475,000 aggregate principal amount of the 8onds is hereby authorized For the purpose of providing funds in that amount to be applied to the refunding of the Prior Honds and interest thereon. The Bonds shell be designeted "Refunding Bonds, Series 1987," shall be dated April 1, 1987, as originally issued, flnd shall also bear the date oF their authentication by the Registrar. The Bonds shall be in fully registered form, shall be in denominations of 55�000 each and integral multiples thereof (but no single Bond shall represent installments of principal maturing on more than one date), shall be lettered R and numbered consecutively commencing with number one, shal] mature serially on the dates and in the amounts, and shall bear interest at the rates per annum, as follows: -3- � Maturity Principfll Interest Maturity Principal Interest Date Amount Rate Dflte Amount Rate November 1, 1987 E325,000 3.75% May 1, 1996 5740,000 5.� May 1� 1988 70,000 4.0 May 1, 1997 820,000 5.8 May 1, 1989 70,000 4.3 May 1, 1998 795,000 6.0 May 1, 1990 75,000 4.5 May 1, 1999 860,000 6. 15 May 1� 1991 -- -- May 1, 2000 830,000 6.3 May 1, 1992 -- -- May 1, 2001 630,000 6.45 May 1, 1993 150,000 5.2 May 1, 2002 635,000 6.5 May 1, 1994 IS5,000 5.4 11ay 1, 2Q03 615,000 6.5 Mfly 1, 1995 215,000 5.5 May 1, 2004 460,000 6.5 Section 4. Interest� Payment Provisions. The Bonds shall bear interest from their dete or from the most recent interest payment date to which interest has been paid or duly provided for, at the rates set out above, such interest (computed upon the basis of a 360-day year of twelve 30-day months) being payable on the first days of May and November oY each year, commencing on November 1, 1987. [nterest on each Bond shall be paid by check or draft of the Registrar to the person in whose name such Bond is registered at the close of business on the fifteenth day of the calendar month next preceding the applieable interest payment date. The principal of each Bond shall be payable in lawful money of the United States of America upon presentation and surrender of such Bond at the principal corporate trust office of the Registrar in Milwaukee, Wisconsin. Seetion 5. Execution; Authentication. The Bonds shall be executed on behalf of the City with the facsimile signature of the City Manager and with the fac- simile signature of the City Clerk, and sealed with the o£Ficial seal of the City or a printed facsimile thereof. In case any officer whose signature shall appear on any Bond shall cease to be sueh officer before the delivery of such Bond, such signeture shall nevertheless be valid and sufficient for all purposes, the same as if such officer had remained in office until delivery. Al] Bonds shall have thereon a certificate of authentication substantiaily in the form hereinafter set forth duly executed by the Registrar as authenticating agent of the City and showing the daYe of authentication. No Bond shall be valid or obligatory for any purpose or be entitled to any security or benefit under this Resolution unless and until sueh certificflte of authentication shall have been dWy executed by the Registrar by manual signature, and such certificete of authentication upon any such Bond shall be conclusive evidence that such Bond hes been authenticated and delivered under this Resolution. The eertificate of authentication on any Bond shall be deemed to have been executed by the Registrar if signed by an authorized officer of the Registrar, but it shall not be necessary that the same officer sign the certificate of authentication on all of the Bonds issued hereunder. Section 6. Regish�ation of Bonds; Persons lteated es Owners. The City shall cause books (the "Hond Register") for the registration and for the transfer of the Bonds as provided in this Resolution to be kept at the principal corporate trust office of the Registrar, which is hereby constituted and appointed the registrar of the City with respect to the Bonds herein authorized. -4- , ; Upon surrender Yor transfer of eny Bond at the principal corporate trust office of the Registrar duly endorsed by, or accompanied by a written instrument or instruments of transfer in Form satisfactory to the Registrar and duly executed by, the registered owner thereof or his attorney duly authorized in writing, the City shall execute and the Registrar shflll authenticate, date and deliver in the name of the transferee or transferees a new fully registered Bond or Bonds of the same maturity of authorized denominations, for a like aggrega[e principal amount. Any fully registered Bond or Bonds mey be exchanged at said office of the Registrar for a like aggregate principal amount of Bond or Bonds of the same maturity of other authorized denomina- tions. The execution by the City of any fully registered Bond shall constitote full and due authorization of such Bond, and the Registrar shall therebp be authorized to authenticate, date and deliver such Bond7 provided� however� that the principal amount of the outstanding Bonds authen[ica[ed by the Registrar shall never ezceed the authorized principal amount of the Bonds� less previous retirements. The Registrar may, but shall not be required to, transfer or exchange any Bond during the period oY fifteen (15) days next preceding any interest payment date on such Bond, or to transfer or exchange any Bond after notice calling such Bond for redemption prior to maturity has been mailed nor during the period of fiFteen (15) days next preceding mailing of fl notice of redemption of any Bonds prior to maturity. The person in whose name any Bond shall be registered shall be deemed and regarded as the absolute owner thereof for all purposes, and payment of the principal of, premium (iF any) or interest on any Bond shall be made only to or upon the order of the registered owner thereof or his legal representative. All such payments shall be valid and effectual to satisfy and discharge the liability upon such Bond to the extent of the sum or sums so paid. No service charge shall be made for any transfer or exchange of Bonds, but the City or the Registrar may require payment of a sum sufficient to cover any tax or other governmental charge that may be imposed in connection with any transfer or exchange of Honds, except in the case of the issuance of a Bond or Bonds for the unre- � deemed portion of a Bond surrendered for redemption. The Registrar shall never register any Bond to bearer. Section 4. Prior Redemption. Bonds maturing ort and after May 1, 1996, shall be subject to redemption prior to maturity et the option of the City as a whole, or in part in inverse order of their maturity and within a maturity by ]ot, on May 1, 1995, and on any interest payment date thereafteq at the redemption price of par plus accrued interest to the date Fixed Yor redemption. The Bonds shall be redeemed only in the principal amount of $5,000 each and in[egral multiples thereof. At least forty-five (45) days prior to the date Fixed for redemption (unless a shorter notice shel] be satisfectory to the Registrar), the City shall notify the Registrar of such date fixed for redemption and of the principal amount of Bonds to be redeemed on such date. For purposes of any redemption of less than all of the outstanding Bonds of a single maturity, the particWar Bonds or portions of Bonds to be redeemed shall be selected by lot by the Registrar from the outstanding Bonds of the longest maturity then outstanding, and the Registrar may provide for the selection For -5- redemption of Bonds or portions of Bonds in principal amounts of $5,000 and integral multiples thereof. The Registrar shall promptly notify the City in writing af the Honds or portions of Bonds selected for redemption and, in the case of any Bond selected for partial redemption, the principal amount thereof to be redeemed. Section 8. Redemption Procedure. Unless waived by any owner of Honds (or portions thereof) to be redeemed, notice of the call for any such redemption shall be given by the Registrar on behalf af the City by maiiing the redemption notice by registered or certified mail, postage prepaid, not ]ess than thirty (30) days prior to the date fixed for redemption to the registered owner of the Bond or Bonds to be redeemed at the address shown on the Bond Register or at such other address as is furnished in writing by such registered owner to the Registrar. FaiWre to give such mtice by mailing to any owner of any Bond, or any defect therein, shall not affect the validity of any proceedings for the redemption of any other Bonds. All notices of redemption shall state: (1) the redemption dete, (2) the redemption price, (3) if less than all outstanding Bonds are to be redeemed, the identification (and, in the case of partial redemption, the respective principal amounts) of the Bonds to be redeemed� (4) that on the date fixed for redemption the redemption price will become due and payable upon each such Bond or portion thereof called for redemption, and that interest thereon shall eease to accrue from and after said date, and (5) the place where such Bonds are to be surrendered for payment of the redemption price, whieh place of payment shall be the principal corporate trust office of the Registrar. Prior to any redemption date, the City shall deposit with the Registrar an amount of money sufficient to pay the redemp[ion price of all the Bonds or portions oF Bonds which are to be redeemed on that date. Notice of redemption heving been given as aforesaid, the Bonds or portions of Bonds so to be redeemed shall, on the date fixed for redemption, become due and payable at the redemption price therein specified� and from and after such dflte (uNess the City shal] default in the payment of the redemption price) such Bonds or portions of Bonds shall cease to bear interest. Upon surrender of such Honds for redemption in accordance with sflid notice, such Bonds shall be paid by the Registrar at the redemption price. Installments of interest due on or prior to the date fixed for redemption shall be payable as herein provided for the payment of interest. Upon surrender for any partial redemption of any Bond, there shal] be prepared for the registered owner a new Bond or Bonds ot the same maturity in the amount of the unpaid principal. All Bonds which have been redeemed shall be cancelled and destroyed by the Registrar and shall not be reissued. -6- Section 9. Form of Bonds. The Bonds, the certificate of authentication to be endarsed thereon and the form of assignment to be endorsed thereon shall ell be in substantielly the following Yorms with necessary and appropriate variations, omissions and insertions as permitted or required by this Resolution: (Form of Bond) United States of America State of Wisconsin County of Winnebago Ci[y of Oslilcosh Refunding Hond, Series 1987 See Reverse Side For Additional Provisions No. Rate of Interest Maturity Date Dated Date Cusip Number 1� April l, 1987 Registered Owner: Principal Amount: %NOW ALL MEN BY THESE PRESENTS: That the City of Oshkosh, in the County of Winnebago� Wisconsin (the "City"), hereby acknowledges itself to owe and for velue received promises to pay [o the Registered Owner hereinabove identified, or regis- tered essigns as hereinafter provided, on the Maturity Date hereinabove identified, the Principal Amount hereinabove identified and to pay interest (computed on the basis of a 360-day year of twelve 30-day months) on such principel amount from the date of this Bond ar from the most recent interest pflyment date to which interest has been paid at the Rate of Interest per annum hereinabove identified on May 1 and November 1 of eaeh yeaq commencing on November 1, 198?, unti] said principal sum is paid, except as the provisions hereinflfter set forth with respect to redemption prior to maturity may be and become applicable hereto. The principal of this Bond is payable in lawfu] money of the United States of America upon presentation and surrender of this Bond at the principal corporate trust office of First Wisconsin Trust Company, in Milwaukee, Wisconsin, as registrar and peying agent (the "Registrar"). Payment of each installment of interest shall be made to the registered owner hereof who shall appear on the registration books of the City main- tained by the Registrar at the close of business on the fifteenth day of the calendar month next preceding the applicable interest payment date, and shall be paid by check or 'q_ dreft of the Registrar mailed to such registered owner at his address as it appears on such registration books or at such other address as may be furnished in writing by such registered owner to the Registrar. Reference is hereby made to the further provisions of this Hond set Forth on the reverse side hereof, and such further provisions shall for all purposes have the same effect as if set forth on the front side hereof. It is hereby certified, recited and declared that all acts� conditions flnd things required to be done, exist, happen and be perFormed precedent to and in the issu- ance of this Bond have been done, have existed, have happened and have been performed in due time, form and manner as required by the Constitution and statutes of the State of Wisconsin, thet this Bond, together with all other indebtedness of the City, does not exceed any limitation prescribed by law> and that the City has levied a direct annual irrepealable tax sufficient to pay the interest hereon when it falls due and also to pay and discharge the principal hereof at meturity. The full faith, credit and resources of the City are hereby pledged For the payment of the principal of and interest on this Bond and the issue oF which it is a part as the same respectively become due and for the ]evy and collection of sufficient taxes far that purpose. This Bond shell not be valid or become obligatory for any purpose until the certificate of authentication hereon shall have been signed by the Registrar. IN WITNESS WHEREOF the City of Oshkosh, Winnebago County, Wisconsin, by its City Council, has caused this Hond to be executed with the duly authorized fac- simile signature of its City Manager and with the duly authorized facsimile signature oF its City Clerk and its official seal or e facsimile thereof to be impressed ar reoroduced hereon� as of the Dated Date hereinabove identified. (facsimile signature) (facsimile signature) City Clerk City 17anager [SEAL] CERTIFICATE OF AUTHENTICATION This Bond is one of the Bonds described in the within mentioned Resolution and is one of the Refunding Bonds, Series 1987, of the City of Oshkosh, Winnebago County, Wisconsin. Date of Authentication: FIRST WISCONSIN TRUST COMPANY� as Bond Registrar By Authorized Officer -8- [Form of Bond - Reverse Side] This Bond is one of an authorized issue of Bonds of like date aggregating the principal amount of $ (the "Honds") issued to refund certain bonds of the City and the interest thereon, pursuant to and in all respects in compliance with Chapter 67 of the Wisconsin Stetutes and a resolution adopted by the City Couneil of said City on March 19, 1987. Bonds of the issue of which this Bond is one maturing on and after May 1, 1996, ere subject to redemption prior to maturity at the option oF the City as a whole, or in part in inverse order of their maturity and within a maturity by lot, on May 1, 1995, and on any interest payment d8te thereaFter, at the redemption price of par plus accrued interest to the date fixed For redemption. Notice of any intended redemption shall be sent by registered or certified mail, postage prepaid, not Less than thirty (30) days prior to the date fixed for redemption to the registered owner of each Bond to be redeemed (in whole or in pert) at the address shown on the registration books of the City maintained by the Registrar or at such other address as is furnished in writing by such registered owner to the Registrar. � When so called for redemption prior to maturity, this Bond, ar the portion thereof being so called for redemption, will cease to bear interest on the specified redemption dete, provided funds for redemption are on deposit at the place of payment at that time, and shall not be deemed to be outstanding. This Bond is transferable by the registered owner hereof in person or by his attorney duly authorized in writing at the principal corporate trust office of the Regis- trar in Milwaukee, Wisconsin, but only in the manner, subject to the ]imitations and upon payment of the charges provided in the authorizing resolution, and upon surrender and cancelletion of this Bond. Opon sueh transFer a new Bond or Bonds of authorized denom- inations of the same maturity and for the same aggregate principal amount will be issued to the transferee in exchange herefor. The Bonds are issuable in fully registered form in denominations oF $5,000 each and integral multiples thereof. This Bond may be exchanged at the principal corpo- rate trust office of the Registrar for a ]ike aggregate principal amount of Bonds of the same maturity of other authorized denominations, upon the terms set Yorth in the author- izing resolution. The City and the Registrar may deem and treat the registered owner hereof as the absolute owner hereof for the purpose of receiving payment of or on account of principal hereof� premium� if any� hereon and interest due hereon and for all other purposes and neither the City nor the Registrar shall be affected by any notice to the contrary. -9- ASSIG U M ENT FOR VALUE RECEIVED, the undersigned sells, assigns and transfers unto (Name and Address of Assignee) the within Bond and does hereby irrevocably constitute and appoint , or its s�ccessor as Registrar, to transfer the said Hond on the books kept for registration thereof with full power of s�bstitution in the premises. Dated: NOTICE: The signature to this assignment must correspond with the name of the registered owner as it appears upon the face of the within Bond in every particular, without alteration or enlargement or any change whatever. Signature guaranteed: NOTICE: Signature(s) must be guaranteed by a member of the New York Stock Exchange or a commercial bank or trust company. Section 10. Sale of Bonds. The sale of the Bonds to First Wisconsin National Bank of Milwaukee, in Milwaukee, Wisconsin, Stern Brothers & Co., in Denver, Colorado, and associates at the price of $7,461 ,949.47 plus accrued interest to the date of delivery is hereby confirmed. The City Treasurer of the City is hereby authorized to deliver the Bonds to said purchasers upon payment of said purchase price. The City Manager of the City is hereby authorized and directed to execute, and the City Clerk of the City is hereby authorized and directed to attest, and said City Manager and City Cterk are hereby authorized and directed to deliver, a Bond Purchase Agreement between the City and First Wisconsin National Bank of Milwaukee on behalf of the underwriters, in substantialiy the same form as the Bond Parchase Agreement before this meeting, or with such changes therein as shall be approved by the officer of the City executing the Bond Purchase Agreement, his execution thereof Lo constitute conclusive evidence of his approva] of any and all changes and revisions therein from the form of � Bond Purchase Agreement before this meeting. Section 11. Use of Proceeds7 No Arbitrage; Bonds to Remain in Registered Form. The proceeds of the Bonds shall be deposited as follows: (i) Accrued interest on the Bonds shall be deposited in the Series 1987 Refunding Bond Account of the Debt Service Fund of the City, created in Section 15 of [his Resolution; and (ii) The principal proceeds from the sale of the Bonds shall be deposited in escrow in the Escrow Account with the Escrow Agent, shall be held and invested as provided in the Escrow �greement, and shall be used, together with the investment income thereon, to refund the Prior Bonds and interest thereon and to pay the costs, fees and espenses related to the issuance oF the Bonds and the refunding of the Prior Bonds, all as provided in the F.scrow Agreement. -10- The City Manager of the City is hereby authorized and directed to execute, end the City Clerk of the City is hereby authorized and directed to flttest, and said City Mflnager and City Clerk are hereby authorized flnd directed to deliver, the Escrow Agreement in substantially the same form es Exhibit A attached hereto and made a part hereof, or with such changes therein as shall be approved by the officer of the City executing the Escrow Agreement, his executian thereof to constitute conclusive evidence oF his approvel of any and all changes and revisions therein from the form of Escrow Agreement before this meeting. The prineipal proceeds from the sale of the Bonds shall be used oNy for the aforesaid purposes, and the Governing Body hereby covenants and agrees that said principal proceeds shall be devoted to and used with due diligence for such purposes. The City recognizes that the purchasers end owners of the Bonds will have accepted them on, and paid therefor a price which reflects, the understanding that interest thereon is exempt from federal income taxation under laws in force at the time the Bonds shall have been delivered. In this connection the City agrees that it shall take no action which may render the interest on any of the Bonds subjeM to federal income taxation and thet the principal proceeds of the sale of the Bonds shal] be devoted to and used with due diligence for the purpose for whieh the Bonds are hereby authorized to be issued. The City Manager, the City Clerk, the City Finance Director and the City Treasurer of the City, or any of them, are hereby authorized to execute on behalf of the City an Arbitrage Certificate or a Certificate and Agreement with Respect to Tax Exemption (or similar document) to assure the purchasers and owners of the Bonds that the proceeds of the Bonds are not expected to be used in a manner which would or might result in the Bonds being "arbitrage bonds" under Section 148 of the lnternal Revenue Code of 1986 (the "Code") or the regulations of the United States Treasurg Department promulgated or proposed pursuant to the Code. Such Arbitrage Certificate or Certificate and Agreement with Respect to Tax Exemption (or similar document) shall eonstitute a representation and certification of the City, and no investment of Bond proceeds or of moneys accumulated to pay the Bonds herein authorized shall be made in violation oF the expectations prescribed by said Arbitrage Certificate or Certificate and Agreement with Respect to Tex Exemption (or similar document). The City further recognizes that Section 149(a) of the Code requires the Bonds to be issued and to remain in fully registered Form in order tha[ the interest thereon is exempt from federa] income taxation under ]aws in force at the time the Bonds are delivered. In this eonnection� the City agrees that it will not take any ection to permit the Bonds to be issued in, or converted into, bearer or coupon form. 3ection 12. Duties of Registrar. If requested by the Registrar, the City Manager of the City is authorized and directed to execute, and the City Clerk of the City is authorized and directed to attest, and said City Manager and City Clerk are hereby authorized and directed to deliver, an agreement between the City end the Registrar with respect to the obligetions and duties of the Registrar hereunder, which shflll include the following: (a) to act es Registrar, authenticating agent, paying agent and transfer agent as provided herein; (b) to give notice of redemption of Bonds as provided herein; -11- (c) to cancel and destroy Honds which have been paid at maturity or upon earlier redemption or submitted for exchange or transfer; (d) to furnish the City at least ann�ally a certificate of destruction with respect to Bonds cancelled and destroyed; and (e) to furnish the City at least annually an eudit confirmation of Bonds paid> Bonds outstanding and payments made with respect to interest on the Bonds. Section 13. Tax Levy. [n order to provide for the collection of a direct annuel tax sufficient to pay the interest on the Bonds and to pay and discharge the prin- cipal thereof at maturity, there is hereby levied upon all the taxable property in the City of Oshkosh a direct annual tax in amounts sufficient for that purpose, to-wit: Year Amount Year Amount 1987 5 1.,085.446 1996 $ 1 , 148,445 1988 498>160 1997 1 ,075,8�5 1989 499,968 1998 1 ,090,5z0 1990 423,230 1999 1 ,007,930 1991 423,280 2000 761 ,468 1992 569,380 2001 725,5�3 1993 595,485 2002 664,888 1994 614,578 2003 474,950 1995 1 ,112,945 In each of said years from 1987 to 2003, inclusive, the direct annual tax ebove levied shall be extended upon the tax rolls of the City in the same manner and time as taxes for general city purposes, and when collected the proceeds of said taxes shall be deposited into the account of the debt service fund established in favor of the Bonds, to be used solely Yor paying the principal of and interest on the Bonds as long as any Bonds remain outstanding. Section 14. Sufficiency. Interest or principal maturing at any time during the life of the Bonds when there shall be ins�fficient funds on hand from the above tax levy to pay the same shall be paid promptly when due £rom the general fund oF the City, and seid fund shall De reimbursed in a like amount out of the proceetls of taxes hereby levied when the same shall have been collected. 9ection 15. Debt Service Fund. There has been ordered to be established in the City Treasury of the City a fund seperate and distinet from all other funds of the City, designated the "Debt Service Fund;' whieh fund is to be used solely £or the purpose oP paying principal of and interest on municipal obligations issued pursuant to Chapter 67 of the Wisconsin Statutes. There is hereby created, and there shall be deposited in� an account known as the "Series 1987 Refunding Bond Account" to be held as a part of the Debt Service Fund, all accrued interest paid on the Bonds at the time the Bonds are delivered to the purchasers; all money raised by taxation pursuant to Section 13 hereof; flnd such other sums as may be necessary to pay interest on the Bonds when the same shall become due end to retire the Bonds at their respective maturity dates. -12- Section 16. Severabilitp. If any section, paragraph or provision of this Resolution shall be held to be invalid or unenforceable for any reason, the invalidity or unenforceability or such section, paragraph or provision shall not affect any of the remaining provisions of this Resolution. Sectton 17. Ot6er pocuments. The City Manager, the City Clerk, the City Treasurer, the City Pinance Director and all other officers of the City are hereby authorized to execute all documents and certificates necessary in connection with the authorization and delivery of the Bonds, including without limitation an official Statement describing the Bonds and the City. Section 18. Conflicting Proceedings Superseded. Al] ordinances, resolutions or orders� or parts thereof, heretofore enected, adopted or entered, in conflict with the provisions of this Hesolution, shall be and in the same are hereby superseded to the extent of such conFlict, and this Resolution shall be in effect From and after its passage. Adopted March 19, 1987. Approved March 19 , 1987. Recorded Merch 19 , 1987. �� r� � ayor (SGAL) Attest: n . ,�ii,� City Clerk -13- STATE OF WISCONSIN ) ) SS. COUNTY OF WINNEBAGO ) I, Donna C. Serwas, hereby certify that I am the duly quslified and acting City Clerk of the City of Oshkosh, Winnebago County, Wisconsin, end as such officie] I further certify that attached hereto is a copy of excerpts from the minutes of the meeting of the City Council of said City held on March 19, 1987; that I have compared said copy with the original minute record of said meeting in my official custody; and that said copy is a true, correct and complete transcript from said original minute record insofar as said original record relates to the proposed $ �,475,00o aggregate principal amount of Refunding Bonds, Series 1987, of said City, dated April 1, 1987. WITNESS my official signature and the seal of said City this i9th day of March � 1987. �J � . �,c�lt��---- City Clerk (SEAL) EXHIHIT A ESCROW AGREEMENT This ESCROW AGREEMENT dated as of April 1, 1987, by flnd between the CITY OF OSHKOSH, WINNEBAGO COUNTY, WISCONSIN, a municipal corporation and a political Subdivision dWy orgenized and validly existing under the Constitution and the laws of the State of Wisconsin (the "Municipfllity"), and FIRST WISCONSIN TRUST COMPANY, a trust compflny duly organized and validly existing under the laws of the State of Wiscansin, with its principal corporate trust office located at 777 East Wisconsin Avenue, Milwaukee, Wisconsin 53201, not individually but in the capacity as hereinafter described, for and in consideration of Ten Dollars ($10.00) duly paid by the Municipality to sflid Bank, the receipt whereof is hereby acknowledged; WITNESSETR: ARTICLE I. DEFINITIONS The following words and terms used in this Escrow Agreement shall have the following meanings unless the context or use elearly indicates another or different meaning: Section 1.01. "AgreemenP' means this Escrow Agreement dated as of Apri1 1, 1987, by and between the Municipality and the Escrow Agent. Section 1.02. "BOnd Counsel" means any bond counsel or tax counsel nationally recognized as having an expertise in the area of tax-exempt municipal bonds. Section 1.03. "Bond Resolution" means the resolution duly adopted by the Common Council of the Municipality on March 19, 1987, authorizing the issuance and sale of the Bonds. Section 1.04. "Bonds" means the $ aggregate principal amount of ReYunding Bonds, Series 1987, of the Municipality, dated April 1, 1987, authorized to be issued pursuant to the Hond Resolution. Section 1.05. "Defeasance Report" means the report of Price Waterhouse, Certified Public Accountants, Denver, Colorado, dated , 1987, to the effect that the principal of, interest on and profit realized from the Escrow Investments, when received, and the beginning deposits on demand held hereunder will be sufficient at all times to pay ell of the principal oE and premium, if eny, on the Prior Bonds called for redemption prior to maturity es herein provided and interest on such Prior Bonds as it comes due. Seetion 1.06. "Escrow Account" means the irrevocable trust Fund created under the terms of this Agreement and comprised of the Escrow Investments and certain beginning deposits, as more fully described in Section 2.02 hereof. - Section 1.07. "Escrow Agent" means First Wisconsin Trust Company, e trust company duly organized and validly existing under the laws of the State of Wisconsin, with its principal corporate trust office located at 777 East Wisconsin Avenue, Milwaukee, Wisconsin 53201, not individually but in the capaeity and for the uses and purposes hereinafter mentioned, or any successor thereto. Section 1.08. "Escrow Investments" means the Open Markets and the SLG's. Section 1.09. "Municipality" means the City of Oshkosh, Winnebago County, Wisconsin, a municipal corporation and a political subdivision duly organized and validly existing under the Constitution and the laws of the State of Wisconsin. Section 1.10. "Open Markets" means United States Treasury Securities, purchased with funds of the Municipality on hand and legally available for the purpose, and deposited hereunder, as more particularly described in Part I of Exhibit A attached hereto and made a part hereof. Section 1.11. "Paying AgenP' means the paying agent on the Prior Bonds� namely First Wisconsin Trust Company, in Milwaukee� Wisconsin. Section 1.12. "Prior Bonds" means the Refunding Bonds and the Sewer Bonds. Seetion 113. "Refunding Bonds" means the $5,035,000 outstanding aggregate principal amount of General Obligation Refunding Bonds, Series 1985, of the Municipality, dated March 1, 1985, maturing on and after May 1, 1996, which Refunding Bonds will be called for redemption prior to maturity on May 1, 1995. Section 1.14. "Sewer Bonds" means the $740,000 o�tstanding aggregete principal amount of Sewer Bonds, Series 1985, oF the Municipality, dated May 1, 1985, which Sewer Bonds will be called for redemption prior to maturity on May 1, 1990. Section 1.15. "SLG's" means United States Treasury Certificetes of IndebC edness, Notes and Bonds, State and Local Government Series, pvrchased with the pro- ceeds of the Bonds, as more particularly described in Part II of Exhibit A attached hereto and mede a part hereof. Section 1.16. '"Reasurer" meens the City Treasurer/Director oF Finance of the Municipality. ARTICLE II. CREATION OF ESCROW Section 2.01. The Municipality, by the Bond Resolution, has authorized the issuance and delivery of the Bonds, a portion of the proceeds of which, together with certain funds of the Municipality on hand and legally available for such purpose and not -2- derived from flny borrowing, are to be used to refund the Prior Bonds, to pay costs of issuance of the Bonds and to pay certain escrow and paying agent fees and other expenses related to the refunding of the Prior Bonds� by the deposit with the Escrow Agent� in the form of an irrevocable trust, of moneys sufficient to provide beginning deposits on demand, to purchase the Escrow Investments on behalf of the Municipality and to pay the aforesaid costs� fees and expenses related to the issuance of the Bonds and the refunding of the Prior Bonds. It has been determined that such deposits and Escrow Investments are sufficient to provide all moneys necessary to pay the principal of, premium, if any, and interest on the Prior Bonds, when due and upon redemption prior to maturity and to pay the aforesaid costs, fees and expenses related to the issuance o£ the Bonds and the refunding of the Prior Bonds. Section 2.02. The proceeds o£ the Bonds in the amount oF $ together with $ of other funds of the M�nicipality on hand and legally available for the purpose and not derived from any borrowing, are hereby deposited with the Escrow Agent. E shall be deposited with the Escrow Agent as a beginning deposit on demand in the Escrow Account, and (except for $ which shall be retained until used to pay debt service on the Prior Bonds) shall be disbursed by the Escrow Agent for the payment of the costs, fees and expenses related to the issuance of the Bonds flnd the refunding of the Prior Bonds� es set forth in Exhibit B attached hereto and made a part hereof. S is to be applied by the Escrow 9gent to the purchese of the Escrow Investments, as set forth in Exhibit A attaehed hereto and made a part hereof. The beginning deposits and the Escrow [nvestments are held as an ir- revocable trust [und account for the Municipality for the benefit of the owners of the Prior Bonds to pay the principal of, premium, if any, and interest on the Prior Bonds when due and upon Call for redemption prior to maturity as hereinafter provided. -3- Section 2.03. The Municipality has given the Paying Agent irrevocable instructions to call the Refunding Bonds for redemption prior to maturity on May 1, 1995, at a redemption price of par plus accrued interest to the date Fixed for redemption. The Municipality has given the Paying Agent (which is also the Bond Registrar for the Sewer Bonds) irrevocable instructions to call the Sewer Bonds for redemption prior to maturity an May 1, 1990, at a redemption price of par plus accrued interest to the date fixed for redemption and a premium of two pereent (2%). Section 2.04. The Municipality and the Escrow Agent have each received the Defeasance Report. ARTICLE Ill. COVENANTS OF ESCROW AGENT The Escrow Agent covenants and agrees with the Municipality as follows: Section 3.01. The Escrow Agent will hold the Escrow Investments, begin- ning demand depasits and all interest, income and profit derived therefrom and all unin- vested cash in a segregated flnd separate trust account for the benefit of the M�nici- pality and the owners of the Prior Bonds to be used solely for the purposes set forth in this Agreement. Section 3.02. The Escrow Agent will hold the Escrow Investments and all ather moneys in thcee (3) separate portions, namely: (a) The Open Markets and all reinvestments oF said securities; (b) The SLG's and all reinvestments of said securities; and (c) The remaining beginning deposit on demand. Seetion 3.03. To the eztent possible, the Escrow Agent wil] make all payments required of it for payment of the Prior Bonds and the interest and premium, if any, thereon from the proceeds of the Escrow Investments; provided, however, this direction shal] not require or authorize the Escrow Agent ta liquidate any of the Escrow Investments prior to maturity. _q' Section 3.04. The Escrow Agent will� whenever possible� invest and re- invest available uninvested balances (rounded to an even $S00) in the Escrow Account on deposit from time to time, whenever said balances exceed $1,000 (other than the beginning deposit on demand in the amount of $ to be used for the payment of certein costs, fees and expenses related to the issuance of the Bonds and the refunding of the Prior Bonds, which amount shall not be invested, except� as otherwise provided herein), but only in zero-yield obligetions issued directly by the Bureau of Public Debt of the United States Treasury. Investments so made shell be scheduled to mature not later then the day of nor more than five (5) days prior to the immediately following interest payment date on the Prior Bonds. The Escrow Agent shall hold all belances not so invested or reinvested as hereinabove described on deposit in the Escrow Account on demand and in trust for the purposes hereof and shall secure same in accordance with epplicable Wisconsin law for the securing of public £unds. Section 3.05. The Escrow Agent will pay the costs, fees and expenses related to the issuance of the Bonds and the refunding of the Prior Bonds, as set forth in Exhibit B attached hereto and mede a part hereof, promptly upon issuance of the Bonds. The Municipality shal] pay all other costs oF the issuance of the Bonds and the other fees and expenses in connection with the issuance of the Bonds and the refunding of [he Prior Bonds, and none of such other Fees and expenses shall be paid From moneys on deposit in the Escrow Account or the Escrow Investments. Section 3.06. The Eserow Agent will take no action in the investment or securing of the proceeds of the Escrow Investments or any other moneys in the Escrow Account which would cause the Bonds to be classified as "arbitrage bonds" under Section 148 of the Interna] Revenue Code of 1986 and all lawful regulations promulgated or proposed thereunder; provided, that it shall be under no duty to affirmatively inquire -5- whether the Escrow Investments as deposited are properly invested under said Section 148; provided further, that it may rely on all specific directions in this Agreement in the investment or reinvestment of balances held hereunder. Section 3.07. The Escrow Agent wilt promptly collect the principal oP, interest on and income and profit Prom the Escrow Investments and promptly apply the same solely and oNy to the payment of the principal of, premium, if any, and interest on the Prior Bands as the same come due and upon call for redemption prior ta maturity as herein above provided and to such other purposes as are herein expressly stated. Section 3.08. The Escrow Agent will remit ta the Paying Agent in good funds on or before the speciFied redemption date and each interest payment date of the Prior Bonds moneys sufficient to pay such principal of, premium, if any, and interest as will meet the requirements for the timely payment of the Prior Bonds as set out in the DeYeasance Report, and each such remittance shall fully release and discharge the Escrow Agent from any further duty or obligation thereto under this Agreement. Section 3.09. Except as otherwise provided in Exhibit B attached hereto and made a part hereof, the Escrow Agent will not make payment of fees of the Escrow Agent or the Paying Agent or any other charges from the moneys or Escrow Investments in the Escrow Account. Except as provided above, the Escrow Agent agrees with the Municipality that the charges, fees and expenses of the Escrow Agent shall be paid by the Municipality from its own funds and not from the Escrow Account. Section 3.10. The Eseraw Agent has all the powers and duties herein set forth with no liability in connection with any act or omission to act hereunder, except for its own negligence or willful breach of trust, flnd shall be under no obligation to institute any suit or action or other proceeding under this Agreement or to enter eny appearance in any suit, action or proceeding in which it may be a defendant or to take any steps in the enforcement to have failed to take any such action, unless and until it shall have been indemnified by the Municipality to its satisfaction against any and all costs and -6- expenses, outlays, counsel fees and other disbursements, including its own reasonable fees, and if any judgment, decree or recovery be obtained by the Escrow Agent, payment oY all sums due it, as aforesaid, shal] be e first charge against the amount of any such judgment, decree or reeovery. Seetion 3.11. The Escrow Agent will submit to the Treasurer a statement within twenry (20) days after the First day of Mey and November of each year, commencing on November 1, 1987, itemizing all moneys received by it and all payments made by it vnder the provisions of this Agreement, and also listing the Escrow [nvestments on deposit therein during the period of said report, including all moneys held by it and received as interest on or profit from the collection of said Escrow Investments. Section 3.12. If at any time it shall appear to the Escrow Agent that the available proceeds of the Escrow Investments and deposits on demand in the Escrow Account will not be sufficient to make any payment due to the owners oF any of the Prior Bonds, the Escrow Agent shall notify the Municipality not less than fi£teen (15) days prior to such.date, and the Municipality agrees that it will, from any £unds lawfully available For such purpose, make up the anticipated deficit so that no default in the mflking of any such payment will oecur. ARTICLE IV. COVENANTS OF MUNICIPALITY The Municipality covenants and agrees with the Escrow Agent as follows: Section 4.01. The Escrow Agent shall have no responsibility or liability whatsoever for (e) any af the recitals of the Municipality herein, (b) the perFormance oF or compliance with any covenant, condition, term or provision of the Bond Resolution, and (c) any undertaking or statement of the Municipality hereunder or under the Bond Resolution. _q_ Section 4.02. The Municipality will promptly and without delay remit to the Escrow Agent, within five (5) days after receipt of its written request, such sum or sums of money, if any, fls are necessary to make the payments required of the Munici- pality under Sections 3.05, 3.09 and 3.12 hereof end to fully pay and discharge eny obligation or obligat3ons or cherges, fees or expenses incurred by the Escrow Agent in carrying out any of the duties� terms or provisions of this Agreement. The Municipality will promptly pey all fees of the Escrow Agent and the Paying Agent, which are required to be paid by the Municipality, as submitted. Section 4.03. Except es otherwise provided herein, all payments to be made by, and all acts and things required to be done by, the Escrow Agent under the terms and provisions hereof shall be made and done by said Escrow Agent without any £urther direction or authority of the Municipality or ihe Treasurer. ARTICLE V. AMENDMENTS� REINVESTMENT OF FUNDS, IRREVOCABILITY OF AGREEMENT Section 5.01. This Agreement may be amended or supplemented, the Escrow Investments or any portion thereof sold or redeemed, and moneys derived there- from invested, reinvested or disbursed in any manner provided (any such amendment, supplement, direction to sell or redeem or invest, reinvest or disburse to be referred to as s "Subsequent Action"), upon submission to the Escrow Agent oF each of the following: (1) A certified wpy of proceedings of the Common Council of the :Yt�nici- pality authorizing the Subsequent Action and a copy of the document effecting the Subsequent Actian signed by duly designflted of£icers of the Municipality. (2) An opinian of Bond Counsel that the Subsequent Aetion will not cause the Bonds or the Prior Bonds to become taxable under the laws of the United States of America providing for the taxation of income, nor vialate the covenants of the Munici- pality not to cause the Bonds or the Prior Bonds to become "arbitrage bonds" under -8- Section 148 oY the Internal Revenue Code of 198fi, and that the Subsequent Action does not materially adversely affect the legal rights of the owners of the Bonds or the Prior Bonds. (3) An opinion of a firm of nationally recognized independent certified public aecountants that the amounts (which will consist of funds held in trust or receipts from direct full faith and credit obligatians of the United States of America, all of which shall be held hereunder) eveilable or to be available for payment oF the principal of, premium, if any, and interest on the Prior Bonds will remain sufficient to pay when due upon cflll for prior redemption ell principal of, premium, if any� and interest on the Prior Bonds after the taking of the Subsequent Action. Section 5.02. The Municipality and the Escrow Agent may amend or add to the terms oF this Agreement to correct errors� clariFy ambiguities or insert inadvertently omitted material. Section 5.03. Except as provided in Sections 5.01 and 5.02 hereof, all of the rights, powers� duties and obligations oF the Escrow Agent hereunder shall be irre- vocable� shall not be subject to amendment by the Escrow Agent and shall be binding on any successor to the Escrow Agent during the term of this Agreement. Section 5.04. Except as provided in Sections 5.01 and 5.02 hereof, all of the rights, powers, duties and obligations of the Manicipality hereunder shall be irrevo- cable, shall not be subject to amendment by the Municipality and shal] be binding on any successor to the officisls now comprising the City Council of the Municipality during the term of this Agreement. Section 5.05. Except as provided in Sections 5.01 and 5.02 hereof, all oF the rights, powers, duties and obligetions of the Treasurer hereunder shall be irrevocable, shall not be subject to emendment by the Treasurer end shall be binding on any successor to said official now in office during the term of this Agreement. 'g_ ARTICLE VI. NOTICES TO THE MUNICIPALITY THE, TREASURER AND THE ESCROW AGENT Section 6.01. All notices and communications to the Municipality shall be addressed in writing to: City of Oshkosh� Wisconsin City Hall 215 Chureh Avenue Oshkosh, Wisconsin 54902-1130 Attention: City Attorney or at such other flddress as mey be directed from time to time by the Municipality by written instruction. Section 6.02. All notices and communications to the Escrow Agent shall be addressed in writing to: First Wisconsin Trust Company 777 East Wisconsin Avenue Milwaukee� Wisconsin 53201 Attention: or at such other address as may be directed from time to time by the Escrow Agent by written instruction. Section 6.03. All notices and communications to the Treasurer shal] be addressed in writing to: City Treasarer City of Oshkosh� Wisconsin City Hall 215 Church Avenue Oshkosh, Wisconsin 54902-1130 or at such other address as mfly be directed from time to time by the Treasurer by writ- ten instruction. ARTICLE V[I. RESIGNAT[ON OF ESCROW AGENT The Escrow Agent may at any time resign as Escrow Agent under this Agreement by giving thirty (30) days' written natice to the Municipality, and such resig- nation shall take effect upon the appointment of a successor Escraw Agent by the Munic- -io- ipfllity. The Municipelity mey select fls successor Escrow Agent any financial institution with capital, surplus and undivided profits of at least $25,000,000 and which is authorized to maintain trust accounts under Wisconsin law. ARTICLE VIII. TERMINATION OF AGREEMENT I Section 8A1. Upon the Final disbursement for the peyment of the principal of, premium, if any� and interest on the Prior Bonds as hereinabove provided, the Escrow IAgent will transfer any balance remaining in the Escrow Account to the Treasurer with ' due notice thereof mailed to the Municipality, and thereupon this Agreement shell terminate. Section 8.02. If any provision of this Agreement shall be held or deemed to be invalid or shall, in fact, be illegal, inoperative or unenforceable, the same shall not affect any other provision or provisions herein contained or render the same invalid, inoperative or unenforceable to any extent whatsoever. Section 8.03. This Agreement shall be governed by and construed in accor- dance with the Iflws of the State of Wisconsin. Section 8.04. This Agreement may be executed in several counterparts, each of which shall be deemed to be an original and al] of which counterparts shall constitute one and the same Agreement. IN WITNESS WHEREOF� the City of Oshkosh, Winnebago County, Wisconsin, has caused this Agreement to be signed in its name by the City Manager of the Municipality and to be attested by the City Clerk of the Municipality under its municipal sea] hereunto affixed; and First Wisconsin Trust Company, not individually, but in the capecity as hereinabove described, has caused this Agreement to be signed in its -11- corporate name by one of its and to be attested by one of its � under its corporate seal hereunto affixed, a11 as oF the date first above written. CITY OF OSHKOSH, WINNEBAGO COUNTY, WISCONSIN By City Manager (SEAL) Attest: City Clerk FIRST WISCONSIN TRUST COMPANY By Its (SEAL) Attest: Its SU4MITTLD BY APPFOVED� �� -12- ERfIIBIT A SCHEDULE OP E3CROWINVESTMENTS Part I Open Markets Principal Purchase Maturity Interest Description Amount Price Date Rate Part Q SLG's Principal Maturity Interest Description Amount Date Rate Y EXF�HIT B COSfS. FEE$ AND ERPENSES Expense Amount 5 i ao a � � � A.�. � c w � mz � a~ � � �� ip 7N rn ' y _ � vi w vao 0 A -GO � � "' TT� �O OC NVI� OJ 7ri s, 2� V n � � y V r � N I\ N D w c c W _. m �+ W 0 � N � b � V