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2008_08.28 CC Packetiii �...� � '` •;� Notice is hereby given that a Special Meeting will commence at 7:00 p.m. by the governing body of the City of Kennedale, Texas, on the 28 day of August 2008 at 405 Municipal Drive, Kennedale Municipal Building, Kennedale, Texas at which time the following subjects will be discussed to wit: (SEE ATTACHED NOTICE) Dated this 25 day of August 2008. By: Bryan Lankhorst, Mayor I, the undersigned authority, do hereby certify that the above Notice of Meeting of the governing body of the City of Kennedale, Texas is a true and correct copy of said Notice and that I posted a true and correct copy of said Notice on the bulletin board of City Hall of said City in Kennedale, Texas, a place convenient and readily accessible to the general public at all times, and said Notice was posted on August 25, 2008 at 4:00 P.M. and remained so posted continuously for at least 72 hours preceding the scheduled time of said Meeting. Persons with disabilities who plan to attend this meeting and who may need auxiliary aids or services such as interpreters for persons who are deaf or hearing impaired, readers, large print, are requested to contact the City Secretary's Office at (817) 483 -1296 five (5) work days prior to the meeting so that appropriate arrangements can be made. ed. this the 25 day of August 2008. D D D� 9 9c 4 J By. Kathy Turner, TRMC City Secretary CITY OF KENNEDALE, TEXAS OFFICE OF THE CITY SECRETARY COUNCIL MEETING ROLL CALL DATE: AUGUST 28, 2008 START TIME: . PM END TIME: PM ROLL CALL: CITY STAFF PRESENT: I I PRESENT I ABSENT I CITY MANAGER PRESENT ABSENT MAYOR, BRYAN LANKHORST MAYOR PRO TEM JOHN CLARK COUNCILMEMBER BRIAN JOHNSON �^ COUNCILMEMBER JERRY MILLER COUNCILMEMBER KELLY TURNER COUNCILMEMBER DAVID GREEN CITY STAFF PRESENT: I I PRESENT I ABSENT I CITY MANAGER BOB HART CITY SECRETARY KATHY TURNER CITY ATTORNEY WAYNE K. OLSON STREET SUP. �^ LARRY HOOVER POLICE CHIEF TOMMY WILLIAMS FIRE CHIEF MIKE MCMURRAY DIR. OF FINANCE CAROLYN MARSHALL tZ DIR. PUBLIC WORKS LARRY LEDBETTER CODE ENFORCEMENT GLEN GREENWOOD KEDC DIRECTOR MIKE SOAB e 2008 Property Tax Elates in City of Kennedale2008. This notice concerns 2008 property tax rates for City of Kennedale 2008. It presents information about three tax rates. Last year's tax rate is the actual rate the taxing unit used to determine property taxes last year. This year's effective tax rate would impose the same total taxes as last year if you compare propertiestaxed in both years. This year's rollback tax rate is the highest tax rate the taxing unit can set before taxpayers can start tax rollback procedures. In each case these rates are found by dividing the total amount of taxes by the tax base (the total value of taxable property) with adjustments as required by state law. The rates are given per $100 of property value. Last year's tax rate: Last year's operating taxes $ 2,492,653 Last year's debt taxes $ 652,191 Last year's total taxes $ 3,144,844 Last year's tax base $ 435,272,526 Last year's total tax rate 0.722500 /$100 This year's effective tax rate: 0.069570 /$100 Last year's adjusted taxes $ 3,140,078 (after subtracting taxes on lost property) This year's adjusted tax base $ 466,402,015 (after subtracting value of new property) = This year's effective tax rate 0.673255 /$100 (Maxinnun rate unless unit publishes notices and holds hearings) This year's rollback tax rate: Last year's adjusted operating taxes (after $ 2,824,075 subtracting taxes on lost property and adjusting for any transferred function, tax increment financing, state criminal justice mandate, and /or enhanced indigent health care expenditures) This year's adjusted tax base $ 466,402,015 = This year's effective operating rate 0.605502 /$100 x 1.08 = this year's maximum operating rate 0.653942 /$100 + This year's debt rate 0.153303 /$100 = This year's total rollback rate 0.807245 /$100 Sales tax adjustment rate 0.069570 /$100 = Rollback tax rate 0.737675 /$100 Statement of Increase/Decrease If City of Kennedale2008 adopts a 2008 tax rate equal to the effective tax rate of $0.673255 per $100 of value, taxes would increase compared to2007 taxes by $98,257. Schedule A - Unencumbered Fund Balances The following estimated balances will be left in the units property tax accounts at the end of the fiscal year. These balances are not encumbered by a corresponding debt obligation. Type of Pr Tax Fund DEBT SERVICE Balance $41,000 Schedule B - 2008 Debt Service I CITY OF KENNEDALE, TEXAS OFFICE OF THE CITY SECRETARY COUNCIL MEETING MINUTE SLIP DATE: AUGUST 28, 2008 REGULAR ITEMS: ITEM NUMBER: II -a MOTION: COUNCIL MEMBERS MOTION SECOND AYE NAY ABSTAIN /ABSENT CLARK JOHNSON MILLER GREEN TURNER ORDINANCE/RESOLUTION NO. 4 0S CARRIED 4-:� CONTRACT /AGREEMENT NO. FAILED FOLLOW UP: 9 CITY SECRETARY'S FOLLOW UP: ORDINANCE NO. ORDINANCE AUTHORIZING THE ISSUANCE, SALE AND DELIVERY OF "CITY OF KENNEDALE, TEXAS COMBINATION TAX AND REVENUE CERTIFICATES OF OBLIGATION, SERIES 2008 "; SECURING THE PAYMENT THEREOF BY AUTHORIZING THE LEVY OF AN ANNUAL AD VALOREM TAX AND A PLEDGE OF SURPLUS REVENUES OF THE CITY'S WATERWORKS AND SANITARY SEWER SYSTEM; APPROVING AND AUTHORIZING THE EXECUTION OF ALL INSTRUMENTS AND PROCEDURES RELATED THERETO INCLUDING A PURCHASE CONTRACT, AN OFFICIAL STATEMENT, AND A PAYING AGENT/REGISTRAR AGREEMENT; AND PROVIDING FOR AN IMMEDIATE EFFECTIVE DATE SALE DATE: AUGUST 28, 2008 TABLE OF CONTENTS RECITALS.............................. ............................... I Section 1. AMOUNT AND PURPOSE OF THE CERTIFICATES ................ 1 Section 2. DESIGNATION, DATE, DENOMINATIONS, NUMBERS, AND MATURITIES OF THE CERTIFICATES ........................... 2 Section 3. INTEREST ..................... ............................... 3 Section 4. CHARACTERISTICS OF THE CERTIFICATES ..................... 3 (a) Registration, Transfer, and Exchange; Authentication ............... 3 (b) Payment of Certificates of Obligation and Interest .................. 4 (c) In General .................. ............................... 4 (d) Substitute Paying Agent /Registrar .............................. 4 (e) Delivery of Initial Certificate of Obligation ....................... 5 Section 5. FORM OF CERTIFICATE OF OBLIGATION ....................... 5 Section 6. INTEREST AND SINKING FUND; TAX LEVY ..................... 12 Section 7. SURPLUS REVENUES .......... ............................... 12 Section 8. CONSTRUCTION FUND ......... ............................... 13 Section 9. INVESTMENTS ................ ............................... 13 Section 10. DEFEASANCE OF CERTIFICATES ............................... 13 (a) Defeased Certificates of Obligation .............................. 13 (b) Defeasance Securities .......... ............................... 14 (c) Investment in Defeasance Securities ............................. 14 (d) Paying Agent/Registrar Services . ............................... 15 (e) Selection of Certificates of Obligation for Defeasance ............... 15 Section 11. DAMAGED, MUTILATED, LOST, STOLEN, OR DESTROYED CERTIFICATES .... ............................... 15 (a) Replacement Certificates of Obligation .......................... 15 (b) Application for Replacement Certificates of Obligation ............. 15 (c) No Default Occurred .......... ............................... 15 (d) Charge for Issuing Replacement Certificates of Obligation ........... 15 (e) Authority for Issuing Replacement Certificates of Obligation ......... 16 H Section 12. CUSTODY, APPROVAL, AND REGISTRATION OF CERTIFICATES; BOND COUNSEL'S OPINION; CUSIP NUMBERS; AND OTHER MATTERS .............. ............................... 16 Section 13. COVENANTS REGARDING TAX EXEMPTION OF INTEREST ON THE CERTIFICATES ........ ............................... 16 (a) Covenants ................... ............................... 16 (b) Rebate Fund ................. ............................... 17 (c) Proceeds .................... ............................... 18 (d) Allocation Of, and Limitation On Expenditures for the Project ........ 18 (e) Disposition of Project .......... ............................... 18 (f) Qualified Tax - Exempt Obligations ............................... 18 Section 14. SALE AND DELIVERY OF CERTIFICATES ....................... 19 Section 15. APPROVAL OF OFFICIAL STATEMENT .......................... 19 Section 16. AUTHORITY FOR OFFICERS TO EXECUTE DOCUMENTS ......... 20 Section 17. ORDINANCE A CONTRACT; AMENDMENTS ..................... 20 Section 18. REMEDIES IN EVENT OF DEFAULT ............................. 21 Section 19. SECURITY INTEREST .......... ............................... 21 Section 20. INTERESTED PARTIES ......... ............................... 21 Section 21. CONTINUING DISCLOSURE UNDERTAKING ..................... 22 Section 22. INCORPORATION OF RECITALS . ............................... 22 Section 23. SEVERABILITY ................ ............................... 22 Section 24. CHOICE OF LAW .............. ............................... 22 Section 25. EFFECTIVE DATE .............. ............................... 22 SIGNATURES PAYING AGENT /REGISTRAR AGREEMENT .............................. Exhibit A FORM OF PURCHASE CONTRACT ....... ............................... Exhibit B DESCRIPTION OF ANNUAL FINANCIAL INFORMATION .................. Exhibit C 11 ORDINANCE AUTHORIZING THE ISSUANCE, SALE AND DELIVERY OF "CITY OF KENNEDALE, TEXAS COMBINATION TAX AND REVENUE CERTIFICATES OF OBLIGATION, SERIES 2008 "; SECURING THE PAYMENT THEREOF BY AUTHORIZING THE LEVY OF AN ANNUAL AD VALOREM TAX AND A PLEDGE OF SURPLUS REVENUES OF THE CITY'S WATERWORKS AND SANITARY SEWER SYSTEM; APPROVING AND AUTHORIZING THE EXECUTION OF ALL INSTRUMENTS AND PROCEDURES RELATED THERETO INCLUDING A PURCHASE CONTRACT, AN OFFICIAL STATEMENT, AND A PAYING AGENT/REGISTRAR AGREEMENT; AND PROVIDING FOR AN IMMEDIATE EFFECTIVE DATE STATE OF TEXAS § COUNTY OF TARRANT § CITY OF KENNEDALE § WHEREAS, the City Council of CITY OF KENNEDALE, TEXAS (the "City ") hereby determines that it is necessary and desirable to acquire right -of -ways and construct street, curb, and sidewalk improvements, together with utility relocation and drainage improvements incidental thereto and pay for professional services rendered in connection therewith; and WHEREAS, on July 10, 2008, the City Council adopted a resolution authorizing and directing the City Secretary to give notice of intention to issue certificates of obligation pursuant to the provisions of Subchapter C of Chapter 271, Texas Local Government Code, as amended, to finance the Project (the "Notice "); and WHEREAS, the Notice stated that the City Council proposed to authorize the issuance of the certificates of obligation at a regular meeting on Thursday, August 28, 2008; and WHEREAS, the Notice was duly published in the Star Telegram, which is a newspaper of general circulation in the City, in its issues of July 17, 2008 and July 24, 2007; and WHEREAS, the City received no petition signed by at least five percent of the qualified electors of the City protesting the issuance of such certificates of obligation; and WHEREAS, it is considered to be in the best interest of the City that said interest bearing certificates of obligation be issued; and WHEREAS, it is hereby officially found and determined that the meeting at which this Ordinance was passed was open to the public, and public notice of the time, place, and purpose of said meeting was given, all as required by Chapter 551, Texas Government Code. THEREFORE, BE IT ORDAINED BY THE CITY COUNCIL OF CITY OF KENNEDALE, TEXAS: SECTION 1. AMOUNT AND PURPOSE OF THE CERTIFICATES. The certificate or certificates of the City further described in Section 2 of this Ordinance and referred to herein as the "Certificates of Obligation" are hereby authorized to be issued and delivered in the aggregate princi- pal amount of $4,500,000 FOR PAYING, IN WHOLE OR IN PART, THE CITY'S CONTRACTUAL OBLIGATIONS INCURRED TO ACQUIRE RIGHT -OF -WAYS AND CONSTRUCT STREET, CURB, AND SIDEWALK IMPROVEMENTS, TOGETHER WITH UTILITYRELOCATIONANDDRAINAGEIMPROVEMENTSINCIDENTAL THERETO, PAY FOR PROFESSIONAL SERVICES RENDERED IN CONNECTION THEREWITH AND PAYING FOR COSTS OF ISSUANCE. SECTION 2. DESIGNATION, DATE, DENOMINATIONS, NUMBERS AND MATURITIES OF CERTIFICATES. Each certificate issued pursuant to and for the purpose described in Section 1 of this Ordinance shall be designated: "CITYOFKENNEDALE, TEXAS COMBINATION TAX AND REVENUE CERTIFICATE OF OBLIGATION, SERIES 2008 ", and initially there shall be issued, sold and delivered hereunder one fully registered certificate, without interest coupons, dated August 15, 2008, in the aggregate principal amount of $4,500,000, numbered T -1 (the "Initial Certificate of Obligation "), with Certificates of Obligation issued in replacement thereof being in the denomination of $5,000 or any integral multiple thereof and numbered consecutively from R -1 upward, all payable to the initial registered owner thereof (with the Initial Certificate of Obligation being payable to the initial purchaser designated in Section 14 hereof), or to the registered assignee or assignees of said certificates or any portion or portions thereof (in each case, the "Registered Owner "), and the Certificates of Obligation shall mature and be payable serially on February 15 in each of the years and in the principal amounts, respectively, as set forth in the following schedule: YEAR OF MATURITY INTEREST RATE %) YEAR OF MATURITY INTEREST RATE 2009 2019 2010 2020 2011 2021 2012 2022 2013 2023 2014 2024 2015 2025 2016 2026 2017 2027 2018 1 2028 The term "Certificates of Obligation" as used in this Ordinance shall mean and include the Certificates of Obligation initially issued and delivered pursuant to this Ordinance and all substitute certificates of obligation exchanged therefor, as well as all other substitute certificates of obligation and replacement certificates of obligation issued pursuant hereto, and the term "Certificate of Obligation" shall mean any of the Certificates of Obligation. 2 SECTION 3. INTEREST. The Certificates of Obligation shall bear interest calculated on the basis of a 360 -day year composed of twelve 30 -day months from the dates specified in the FORM OF CERTIFICATE OF OBLIGATION set forth in this Ordinance to their respective dates of maturity or prior redemption at the following rates per annum: YEAR OF MATURITY PRINCIPAL AMOUNT YEAR OF MATURITY PRINCIPAL AMOUNT 2009 2019 2010 2020 2011 2021 2012 2022 2013 2023 2014 2024 2015 2025 2016 2026 2017 2027 2018 2028 Said interest shall be payable in the manner provided and on the dates stated in the FORM OF CERTIFICATE OF OBLIGATION set forth in this Ordinance. SECTION 4. CHARACTERISTICS OF THE CERTIFICATES. (a) Registration, Transfer, and Exchange; Authentication The City shall keep or cause to be kept at the designated corporate trust office of Wells Fargo Bank, N.A., Austin, Texas (the "Paying Agent /Registrar ") books or records for the registration of the transfer and exchange of the Certificates of Obligation (the "Registration Books "), and the City hereby appoints the Paying Agent/Registrar as its registrar and transfer agent to keep such books or records and make such registrations of transfers and exchanges under such reasonable regulations as the City and Paying Agent /Registrar may prescribe; and the Paying Agent /Registrar shall make such registrations, transfers and exchanges as herein provided. Attached hereto as Exhibit A is a copy of the Paying Agent /Registrar Agreement between the City and the Paying Agent/Registrar which is hereby approved in substantially final form, and the Mayor and City Secretary of the City are hereby authorized to execute the Paying Agent /Registrar Agreement and approve any changes in the final form thereof. The Paying Agent /Registrar shall obtain and record in the Registration Books the address of the registered owner of each Certificate of Obligation to which payments with respect to the Certificates of Obligation shall be mailed, as herein provided; but it shall be the duty of each registered owner to notify the Paying Agent/Registrar in writing of the address to which payments shall be mailed, and such interest payments shall not be mailed unless such notice has been given. To the extent possible and under reasonable circumstances, all transfers of Certificates of Obligation shall be made within three business days after request and presentation thereof. The City shall have the right to inspect the Registration Books during regular business hours of the Paying Agent /Regis- trar, but otherwise the Paying Agent /Registrar shall keep the Registration Books confidential and, unless otherwise required by law, shall not permit their inspection by any other entity. The Paying Agent /Registrar's standard or customary fees and charges for making such registration, transfer, exchange and delivery of a substitute Certificate of Obligation or Certificates of Obligation shall be paid as provided in the FORM OF CERTIFICATE OF OBLIGATION set forth in this Ordinance. Registration of assignments, transfers and exchanges of Certificates of Obligation shall be made in the manner provided and with the effect stated in the FORM OF CERTIFICATE OF OBLIGATION set forth in this Ordinance. Each substitute Certificate of Obligation shall bear a letter and /or number to distinguish it from each other Certificate of Obligation. Except as provided in (c) below, an authorized representative of the Paying Agent/Registrar shall, before the delivery of any such Certificate of Obligation, date and manually sign the Paying Agent/Registrar's Authentication Certificate, and no such Certificate of Obligation shall be deemed to be issued or outstanding unless such Certificate is so executed. The Paying Agent /Registrar promptly shall cancel all paid Certificates of Obligation and Certificates of Obligation surrendered for transfer and exchange. No additional ordinances, orders, or resolutions need be passed or adopted by the governing body of the City or any other body or person so as to accomplish the foregoing transfer and exchange of any Certificate of Obligation or portion thereof, and the Paying Agent/Registrar shall provide for the printing, execution, and delivery of the substitute Certificates of Obligation in the manner prescribed herein, and said Certificates of Obligation shall be of type composition printed on paper with lithographed or steel engraved borders of customary weight and strength. Pursuant to Subchapter D of Chapter 1201, Texas Government Code, the duty of transfer and exchange of Certificates of Obligation as aforesaid is hereby imposed upon the Paying Agent /Registrar, and, upon the execution of said Certificate, the transferred and exchanged Certificate of Obligation shall be valid, incontestable, and enforceable in the same manner and with the same effect as the Certificates of Obligation which initially were issued and delivered pursuant to this Ordinance, approved by the Attorney General, and registered by the Comptroller of Public Accounts. (b) Payment ofCerti rcates o Obli ation and Interest The City hereby further appoints the Paying Agent/Registrar to act as the paying agent for paying the principal of and interest on the Certificates of Obligation, all as provided in this Ordinance. The Paying Agent/Registrar shall keep proper records of all payments made by the City and the Paying Agent /Registrar with respect to the Certificates of Obligation. (c) In General The Certificates of Obligation (i) shall be issued in fully registered form, without interest coupons, with the principal of and interest on such Certificates of Obligation to be payable only to the registered owners thereof, (ii) may be redeemed prior to their scheduled maturities (notice of which shall be given to the Paying Agent /Registrar by the City at least 50 days prior to any such redemption date), (iii) may be transferred and assigned, (iv) may be exchanged for other Certificates of Obligation, (v) shall have the characteristics, (vi) shall be signed, sealed, executed and authenticated, (vii) the principal of and interest on the Certificates of Obligation shall be payable, and (viii) shall be administered and the Paying Agent/Registrar and the City shall have certain duties and responsibilities with respect to the Certificates of Obligation, all as provided, and in the manner and to the effect as required or indicated, in the FORM OF CERTIFICATE OF OBLIGATION set forth in this Ordinance. The Initial Certificate of Obligation is not required to V be, and shall not be, authenticated by the Paying Agent/ Registrar, but on each substitute Certificate of Obligation issued in exchange for the Initial Certificate of Obligation issued under this Ordinance the Paying Agent /Registrar shall execute the PAYING AGENT /REGISTRAR'S AUTHENTICATION CERTIFICATE, in the form set forth in the FORM OF CERTIFICATE OF OBLIGATION. In lieu of the executed Paying Agent /Registrar's Authentication Certificate described above, the Initial Certificate of Obligation delivered on the closing date (as further described in subparagraph (i) below) shall have attached thereto the Comptroller's Registration Certificate substantially in the form set forth in the FORM OF CERTIFICATE OF OBLIGATION below, manually executed by the Comptroller of Public Accounts of the State of Texas or by his duly authorized agent, which certificate shall be evidence that the Initial Certificate of Obligation has been duly approved by the Attorney General of the State of Texas and that it is a valid and binding obligation of the City, and has been registered by the Comptroller. (d) Substitute Paving j eg nt /Registrar The City covenants with the registered owners of the Certificates of Obligation that at all times while the Certificates of Obligation are outstanding the City will provide a competent and legally qualified bank, trust company, financial institution, or other entity to act as and perform the services of Paying Agent /Registrar for the Certificates of Obligation under this Ordinance, and that the Paying Agent /Registrar will be one entity and shall be an entity registered with the Securities and Exchange Commission. The City reserves the right to, and may, at its option, change the Paying Agent /Registrar upon not less than 120 days written notice to the Paying Agent/Registrar, to be effective not later than 60 days prior to the next principal or interest payment date after such notice. In the event that the entity at any time acting as Paying Agent/Registrar (or its successor by merger, acquisition, or other method) should resign or otherwise cease to act as such, the City covenants that promptly it will appoint a competent and legally qualified bank, trust company, financial institution, or other agency to act as Paying Agent /Registrar under this Ordinance. Upon any change in the Paying Agent/Registrar, the previous Paying Agent/Registrar promptly shall transfer and deliver the Registration Books (or a copy thereof), along with all other pertinent books and records relating to the Certificates of Obligation, to the new Paying Agent /Registrar designated and appointed by the City. Upon any change in the Paying Agent /Registrar, the City promptly will cause a written notice thereof to be sent by the new Paying Agent/Registrar to each registered owner of the Certificates of Obligation, by United States mail, first -class postage prepaid, which notice also shall give the address of the new Paying Agent/Registrar. By accepting the position and performing as such, each Paying Agent/Registrar shall be deemed to have agreed to the provisions of this Ordinance, and a certified copy of this Ordinance shall be delivered to each Paying Agent /Registrar. (e) Book -Entry Only System for Certificates of Obligation The Certificates of Obligation issued in exchange for the Certificates of Obligation initially issued to the purchaser specified in Section 14 herein shall be initially issued in the form of a separate single fully registered Certificate of Obligation for each of the maturities thereof. Upon initial issuance, the ownership of each such Certificate of Obligation shall be registered in the name of Cede & Co., as nominee of The Depository Trust Company of New York ( "DTC "), and except as provided in subsection (i) hereof, all of the outstanding Certificates of Obligation shall be registered in the name of Cede & Co., as nominee of DTC. With respect to Certificates of Obligation registered in the name of Cede & Co., as nominee of DTC, the City and the Paying Agent/Registrar shall have no responsibility or obligation to any securities brokers and dealers, banks, trust companies, clearing corporations and certain other organizations on whose behalf DTC was created ( "DTCParticipant ") to hold securities to facilitate the clearance and settlement of securities transaction among DTC Participants or to any person on behalf of whom such a DTC Participant holds an interest in the Certificates of Obligation. Without limiting the immediately preceding sentence, the City and the Paying Agent /Registrar shall have no responsibility or obligation with respect to (i) the accuracy of the records of DTC, Cede & Co. or any DTC Participant with respect to any ownership interest in the Certificates of Obligation, (ii) the delivery to any DTC Participant or any otherperson, other than a registered owner ofthe Certificates of Obligation, as shown on the Registration Books, of any notice with respect to the Certificates of Obligation, or (iii) the payment to any DTC Participant or any other person, other than a registered owner of Certificates of Obligation, as shown in the Registration Books of any amount with respect to principal of or interest on the Certificates of Obligation. Notwithstanding any other provision of this Ordinance to the contrary, the City and the Paying Agent/Registrar shall be entitled to treat and consider the person in whose name each Certificate of Obligation is registered in the Registration Books as the absolute owner of such Certificate of Obligation for the purpose of payment of principal and interest with respect to such Certificate of Obligation, for the purpose of registering transfers with respect to such Certificate of Obligation, and for all other purposes whatsoever. The Paying Agent/Registrar shall pay all principal of and interest on the Certificates of Obligation only to or upon the Ordinance of the registered owners, as shown in the Registration Books as provided in this Ordinance, or their respective attorneys duly authorized in writing, and all such payments shall be valid and effective to fully satisfy and discharge the City's obligations with respect to payment of principal of and interest on the Certificates of Obligation to the extent of the sum or sums so paid. No person other than a registered owner, as shown in the Registration Books, shall receive a Certificate of Obligation certificate evidencing the obligation of the City to make payments of principal and interest pursuant to this Ordinance. Upon delivery by DTC to the Paying Agent /Registrar of written notice to the effect that DTC has determined to substitute a new nominee in place of Cede & Co., and subject to the provisions in this Ordinance with respect to interest checks being mailed to the registered owner at the close of business on the Record Date, the words "Cede & Co." in this Ordinance shall refer to such new nominee of DTC. 69 Successor Securities Depository' Transfers Outside Book -Entry Only Systems In the event that the City determines that DTC is incapable of discharging its responsibilities described herein and in the representation letter of the City to DTC or that it is in the best interest of the beneficial owners of the Certificates of Obligation that they be able to obtain certificated Certificates of Obligation, the City shall (i) appoint a successor securities depository, qualified to act as such under Section 17(a) of the Securities and Exchange Act of 1934, as amended, notify DTC and DTC Participants of the appointment of such successor securities depository and transfer one or more separate Certificates of Obligation to such successor securities depository or (ii) notify DTC and DTC Participants of the availability through DTC of Certificates of Obligation and transfer one or more separate Certificates of Obligation to DTC Participants having Certificates of Obligation credited to their DTC accounts. In such event, the Certificates of Obligation shall no longer be restricted to being registered in the Registration Books in the name of Cede & Co., as nominee of DTC, but may be registered in the name of the successor securities depository, or its nominee, or in whatever name or names registered owners transferring or exchanging Certificates of Obligation shall designate, in accordance with the provisions of this Ordinance. (g) Payments to Cede & Co . Notwithstanding any other provision of this Ordinance to the contrary, so long as any Certificate of Obligation is registered in the name of Cede & Co., as nominee for DTC, all payments with respect to principal of and interest on such Certificate of M Obligation and all notices with respect to such Certificate of Obligation shall be made and given, respectively, in the manner provided in the representation letter of the City to DTC. (h) DTC Letter ofRepresentation The officers of the City are herein authorized for and on behalf of the City and as officers of the City to enter into one or more Letters of Representation with DTC establishing the book -entiy only system with respect to the Certificates of Obligation. (i) Delivery of Initial Certi icate of Obligation On the closing date, one Initial Certificate of Obligation representing the entire principal amount of the respective series of Certificates of Obligation, payable in stated installments to the initial registered owner named in Section 14 of this Ordinance or its designee, executed by manual or facsimile signature of the Mayor or Mayor Pro- Tern and City Secretary of the City, approved by the Attorney General of Texas, and registered and manually signed by the Comptroller of Public Accounts of the State of Texas, will be delivered to the initial purchaser or its designee. Upon payment for the Initial Certificate of Obligation, the Paying Agent/Registrar shall cancel the Initial Certificate of Obligation and deliver to the initial registered owner or its designee one registered definitive Certificate of Obligation for each year of maturity of the Certificates of Obligation, in the aggregate principal amount of all of the Certificates of Obligation for such maturity. SECTION 5. FORM OF CERTIFICATE OF OBLIGATION. The form of the Certificates of Obligation, including the form of Paying Agent/Registrar's Authentication Certificate, the form of Assignment and the form of Registration Certificate of the Comptroller of Public Accounts of the State of Texas (to be attached only to the Certificates of Obligation initially issued and delivered pursuant to this Ordinance), shall be, respectively, substantially as follows, with such appropriate variations, omissions, or insertions as are permitted or required by this Ordinance: [The remainder of this page intentionally left blank] FORM OF CERTIFICATE OF OBLIGATION IM UNITED STATES OF AMERICA STATE OF TEXAS CITY OF KENNEDALE, TEXAS COMBINATION TAX AND REVENUE CERTIFICATE OF OBLIGATION, SERIES 2008 PRINCIPAL AMOUNT DATE OF INTEREST RATE MATURITY DATE SERIES CUSIP NO. REGISTERED OWNER: August 15, 2008 PRINCIPAL AMOUNT: DOLLARS ON THE MATURITY DATE specified above, CITY OF KENNEDALE, TEXAS (the "City "), being a political subdivision of the State of Texas, hereby promises to pay to the Registered Owner set forth above, or registered assigns (hereinafter called the 'Registered Owner ") the Principal Amount set forth above, and to pay interest thereon from August 15, 2008, at the Interest Rate per annum specified above, on February 15, 2009, and semiannually on each August 15 and February 15 thereafter to the Maturity Date specified above or date of redemption prior to maturity; except that if this Certificate of Obligation is required to be authenticated and the date of its authentication is later than the first Record Date (hereinafter defined), such Principal Amount shall bear interest from the interest payment date next preceding the date of authentication, unless such date of authentication is after any Record Date but on or before the next following interest payment date, in which case such Principal Amount shall bear interest from such next following interest payment date; provided, however, that if on the date of authentication hereof the interest on the Certificate of Obligation or Certificates of Obligation, if any, for which this Certificate of Obligation is being exchanged or converted from is due but has not been paid, then this Certificate of Obligation shall bear interest from the date to which such interest has been paid in full. THE PRINCIPAL OFAND INTEREST ON THIS CERTIFICATE are payable in lawful money of the United States of America, without exchange or collection charges. The principal of this Certificate of Obligation shall be paid to the Registered Owner hereof upon presentation and surrender of this Certificate of Obligation at maturity or redemption prior to maturity, at the designated corporate trust office of Wells Fargo Bank, N.A., Austin, Texas which is the "Paying Agent/Registrar" for this Certificate of Obligation. The payment of interest on this Certificate of Obligation shall be made by the Paying Agent/Registrar to the Registered Owner hereof on each interest payment date by check or draft, dated as of such interest payment date, drawn by the Paying Agent /Registrar on, and payable solely from, funds of the City required by the order authorizing the issuance of the Certificates of Obligation (the "Certificate of Obligation Ordinance ") to be on deposit with the Paying Agent /Registrar for such purpose as hereinafter provided; and such check or draft shall be sent by the Paying Agent/Registrar by United States mail, first -class postage pre- paid, on each such interest payment date, to the Registered Owner hereof, at its address as it appeared on the last business day of the month next preceding each such date (the "Record Date ") on the Registration Books kept by the Paying Agent/Registrar, as hereinafter described. In addition, interest may be paid by such other method, acceptable to the Paying Agent /Registrar, requested by, and at the risk and expense of, the Registered Owner. In the event of a non - payment of interest on a scheduled payment date, and for 30 days thereafter, a new record date for such interest payment (a "Special Record Date ") will be established by the Paying Agent /Registrar, if and when funds for the payment of such interest have been received from the City. Notice of the Special Record Date and of the scheduled payment date of the past due interest (which shall be 15 days after the Special Record Date) shall be sent at least five business days prior to the Special Record Date by United States mail, first -class postage prepaid, to the address of each owner of a Certificate of Obligation appearing on the Registration Books at the close of business on the last business day next preceding the date of mailing of such notice. Any accrued interest due upon the redemption of this Certificate of Obligation prior to maturity as provided herein shall be paid to the Registered Owner upon presentation and surrender of this Certificate of Obligation for redemption and payment to the Paying Agent/Registrar at the Designated Trust Office (unless the redemption date is a regularly scheduled interest payment date, in which case accrued interest on such redeemed Certificates of Obligation shall be payable in the regular manner described above). The City covenants with the Registered Owner of this Certificate of Obligation that on or before each principal payment date and interest payment date for this Certificate of Obligation it will make available to the Paying Agent /Registrar, from the "Interest and Sinking Fund" created by the Certificate of Obligation Ordinance, the amounts required to provide for the payment, in immediately available funds, of all principal of and interest on the Certificates of Obligation, when due. 1 IF THE DATE FOR ANY PAYMENT DUE on this Certificate of Obligation shall be a Saturday, Sunday, a legal holiday, or a day on which banking institutions in the city where the Designated Trust Office of the Paying Agent/Registrar is located are authorized by law or executive order to close, then the date for such payment shall be the next succeeding day which is not such a Saturday, Sunday, legal holiday, or day on which banking institutions are authorized to close, and payment on such date shall have the same force and effect as if made on the original date payment was due. THIS CERTIFICATE OF OBLIGATIONIS ONE OFA SERIES OF CERTIFICATES OF OBLIGATION, dated as of August 15, 2008, authorized in accordance with the Constitution and laws of the State of Texas in the principal amount of $4,500,000 FOR PAYING, IN WHOLE OR IN PART, THE, CITY'S CONTRACTUAL OBLIGATIONS INCURRED TO ACQUIRE RIGHT- OF- WA YSAND CONSTR UCTSTREET, CURB, AND SIDE WALKIMPR 0 VEMENTS, TOGETHER WITH UTILITY RELOCATION AND DRAINAGE IMPROVEMENTS INCIDENTAL THERETO, PAY FOR PROFESSIONAL SERVICES RENDERED IN CONNECTION THEREWITHAND PAYING FOR COSTS OF ISSUANCE. ONFEBRUARYI5, 2018, or on any date thereafter, the Certificates of Obligation of this Series maturing on and after February 15, 2019, may be redeemed prior to their scheduled maturities, at the option of the City, with funds derived from any available and lawful source, as a whole, or in part (provided that a portion of a Certificate of Obligation may be redeemed only in an integral multiple of $5,000), at the redemption price of the principal amount of Certificates of Obligation called for redemption, plus accrued interest thereon to the date fixed for redemption. The I City shall determine the maturity or maturities, and the principal amount of Certificates of Obligation within each maturity, to be redeemed. If less than all Certificates of Obligation of a maturity are to be redeemed, the particular Certificates of Obligation to be redeemed shall be selected by the Paying Agent/Registrar at random and by lot. AT LEAST 30 days prior to the date fixed for any optional redemption of the Certificate of Obligation or portions thereof prior to maturity a written notice of such redemption shall be sent by the City by United States mail, first -class postage prepaid, to the registered owner at its address as it appeared on the Registration Books on the day such notice of redemption is mailed; provided, however, that the failure of the registered owner to receive such notice, or any defect therein or in the sending or mailing thereof, shall not affect the validity or effectiveness of the proceedings for the redemption of this Certificate of Obligation. By the date fixed for any such redemption, due provision shall be made for the payment of the required redemption price for the Certificate of Obligation or portions thereof which are to be so redeemed. If such written notice of redemption is sent and if due provision for such payment is made, all as provided above, the Certificate of Obligation or portions thereof which are to be so redeemed thereby automatically shall be treated as redeemed prior to its scheduled maturity, and shall not bear interest after the date fixed for redemption, and shall not be regarded as being outstanding except for the right of the registered owner to receive the redemption price from the City out of the funds provided for such payment. ALL CERTIFICA TES OFTHISSERIESare issuable solely as fully registered Certificates of Obligation, without interest coupons, in the denomination of any integral multiple of $5,000. As provided in the Certificate of Obligation Ordinance, this Certificate of Obligation may, at the request of the Registered Owner or the assignee or assignees hereof, be assigned, transferred, converted into and exchanged for a like aggregate amount of fully registered Certificates of Obligation, without interest coupons, payable to the appropriate Registered Owner, assignee or assignees, as the case may be, having any authorized denomination or denominations as requested in writing by the appro- priate Registered Owner, assignee or assignees, as the case may be, upon surrender of this Certificate of Obligation to the Paying Agent/Registrar for cancellation, all in accordance with the form and procedures set forth in the Certificate of Obligation Ordinance. Among other requirements for such assignment and transfer, this Certificate of Obligation must be presented and surrendered to the Paying Agent/Registrar, together with proper instruments of assignment, in form and with guarantee of signatures satisfactory to the Paying Agent/Registrar, evidencing assignment of this Certificate of Obligation or any portion or portions hereof in any authorized denomination to the assignee or assignees in whose name or names this Certificate of Obligation or any such portion or portions hereof is or are to be registered. The form of Assignment printed or endorsed on this Certificate of Obligation may be executed by the Registered Owner to evidence the assignment hereof, but such method is not exclusive, and other instruments of assignment satisfactory to the Paying Agent/Registrar may be used to evidence the assignment of this Certificate of Obligation or any portion or portions hereof from time to time by the Registered Owner. The Paying Agent/Regis- trar's reasonable standard or customary fees and charges for assigning, transferring, converting and exchanging any Certificate of Obligation or portion thereof will be paid by the City. In any cir- cumstance, any taxes or governmental charges required to be paid with respect thereto shall be paid by the one requesting such assignment, transfer, conversion or exchange, as a condition precedent to the exercise of such privilege. The Paying Agent /Registrar shall not be required to make any such transfer or exchange of a Certificate of Obligation (i) during the period commencing with the close of business on any Record Date immediately preceding a principal or interest payment date for such Certificate of Obligation and ending with the opening of business on the next following principal 10 or interest payment date, or (ii) with respect to any Certificate of Obligation or any portion thereof called for redemption prior to maturity, within 45 days prior to its redemption date; provided, however, such limitation of transfer shall not be applicable to an exchange by the Registered Owner of an unredeemed balance of a Certificate of Obligation called for redemption in part. IN THE E VENTANY PA YING A GENTIREGISTRAR for the Certificates of Obligation is changed by the City, resigns, or otherwise ceases to act as such, the City has covenanted in the Certificate of Obligation Ordinance that it promptly will appoint a competent and legally qualified substitute therefor, and cause written notice thereof to be mailed to the registered owners of the Certificates of Obligation. IT IS HEREBY CERTIFIED, RECITED, AND COVENANTED that this Cert ificate of Obligation has been duly and validly authorized, issued, and delivered; that all acts, conditions, and things required or proper to be performed, exist, and be done precedent to or in the authorization, issuance and delivery of this Certificate of Obligation have been performed, existed, and been done in accordance with law; that this Certificate of Obligation is a general obligation of the City, issued on the full faith and credit thereof, and that ad valorem taxes sufficient to provide for the payment of the interest on and principal of this Certificate of Obligation, as such interest comes due, and as such principal matures, have been levied and ordered to be levied against all taxable property in the City, and have been pledged for such payment, within the limits provided by law, and that this Certificate of Obligation is additionally secured by a lien on and pledge of Surplus Revenues received by the City from the ownership and operation of the City's waterworks and sanitary sewer system. THE CITY HAS RESERVED THE RIGHT TO AMEND the Certificate of Obligation Ordinance as provided therein, and under some (but not all) circumstances amendments thereto must be approved by the registered owners of a majority in aggregate principal amount of the outstanding Certificates of Obligation. BYBECOMING THEREGISTERED OWNER of this Certificate of Obligation, the Regis- tered Owner thereby acknowledges all of the terms and provisions of the Certificate of Obligation Ordinance, agrees to be bound by such terms and provisions, acknowledges that the Certificate of Obligation Ordinance is duly recorded and available for inspection in the official minutes and records of the governing body of the City, and agrees that the terms and provisions of this Certificate of Obligation and the Certificate of Obligation Ordinance constitute a contract between each Registered Owner hereof and the City. [The remainder of this page intentionally left blank.] 11 IN WITNESS WHEREOF, the City has caused this Certificate of Obligation to be signed with the manual or facsimile signature of the Mayor of the City, countersigned with the manual or facsimile signature of the City Secretary of the City, and has caused the official seal of the City to be duly impressed, or placed in facsimile, on this Certificate of Obligation. Countersigned: (facsimile signature) (facsimile signature) City Secretary Mayor City of Kennedale, Texas City of Kennedale, Texas (SEAL) FORM OF REGISTRATION CERTIFICATE OF THE COMPTROLLER OF PUBLIC ACCOUNTS COMPTROLLER'S REGISTRATION CERTIFICATE: REGISTER NO. I hereby certify that this Certificate of Obligation has been examined, certified as to validity, and approved by the Attorney General of the State of Texas, and that this Certificate of Obligation has been registered by the Comptroller of Public Accounts of the State of Texas. Witness my signature and seal this Comptroller of Public Accounts (COMPTROLLER'S SEAL) of the State of Texas FORM OF PAYING AGENT /REGISTRAR'S AUTHENTICATION CERTIFICATE PAYING AGENT/REGISTRAR'S AUTHENTICATION CERTIFICATE (To be executed if this Certificate of Obligation is not accompanied by an executed Registration Certificate of the Comptroller of Public Accounts of the State of Texas) It is hereby certified that this Certificate of Obligation has been issued under the provisions of the Certificate of Obligation Ordinance described in the text of this Certificate of Obligation; and that this Certificate of Obligation has been issued in conversion or replacement of, or in exchange for, a certificate, certificates, or a portion of a certificate or certificates of a Series which originally was approved by the Attorney General of the State of Texas and registered by the Comptroller of Public Accounts of the State of Texas. Dated Wells Fargo Bank, N.A. Austin, Texas Paying Agent /Registrar By Authorized Representative 12 FORM OF ASSIGNMENT ASSIGNMENT FOR VALUE RECEIVED, the undersigned Registered Owner of this Certificate of Obligation, or duly authorized representative or attorney thereof, hereby assigns this Certificate of Obligation to (Assignee's Social Security or (Print or typewrite Assignee's name and address, Taxpayer Identification) including zip code) and hereby irrevocably constitutes and appoints attorney to register the transfer of the Certificate of Obligation on the books kept for registration thereof, with full power of substitution in the premises. Dated: Signature Guaranteed: NOTICE: Signature(s) must be guaranteed by a member firm of the New York Stock Exchange or a commercial bank or trust company. NOTICE: The signature above must correspond with the name of the Registered Owner as it appears upon the front of this Certificate of Obligation in every particular, without alteration or enlargement or any change whatsoever. INITIAL CERTIFICATE OF OBLIGATION INSERTIONS The Initial Certificate of Obligation shall be in the respective form set forth above except that: (A) Immediately under the name of the Certificate of Obligation, the heading "MATURITY DATE" shall be completed with the words "As shown below ". (B) The first paragraph shall be deleted and the following shall be inserted: "ON THE RESPECTIVE MA TURITYDA TES specified below, CITY OFKENNEDALE, TEXAS (the "City "), being a political subdivision of the State of Texas, hereby promises to pay to the Registered Owner specified above, or registered assigns (hereinafter called the "Registered Owner "), the respective Principal Installments specified below, and to pay interest thereon (calculated on the basis of a 360 -day year composed of twelve 30 -day months) from August 15, 2008, at the Interest Rate per annum specified above, payable on February 15, 2009, and semiannually on each August 15 and February 15 thereafter to the respective Maturity Dates specified below, or the date of redemption prior to maturity. The respective Maturity Dates and Principal Installments for this Certificate of Obligation are set forth in the following schedule: 13 MATURITY DATE I PRINCIPAL INSTALLMENT (FEBRUARY 15) [Insert information from Sections 2 and 3 above] (C) The Initial Certificate of Obligation shall be numbered "T -1." SECTION 6. INTEREST AND SINKING FUND; TAX LEVY. A special "Interest and Sinking Fund" is hereby created and shall be established and maintained by the City at an official depository bank of the City. Said Interest and Sinking Fund shall be kept separate and apart from all other funds and accounts of the City, and shall be used only for paying the interest on and the principal of said Certificates of Obligation. All ad valorem taxes levied and collected for and on account of said Certificates of Obligation shall be deposited, as collected, to the credit of said Interest and Sinking Fund. For each fiscal year while any of the Certificates of Obligation or interest thereon are outstanding and unpaid, the governing body of the City shall compute and ascertain a rate and amount of ad valorem tax which will be sufficient to raise and produce the money required to pay the interest on the Certificates of Obligation as such interest comes due, and to provide and maintain a sinking fund adequate to pay the principal of the Certificates of Obligation as such principal matures (but never less than 2% of the original principal amount of each series of the Certificates of Obligation as a sinking fund each year); and said tax shall be based on the latest approved tax rolls of the City, with full allowance being made for tax delinquencies and the cost of tax collection. Said rate and amount of ad valorem tax is hereby levied, and is hereby ordered to be levied, against all taxable property in the City for each year while any of the Certificates of Obligation or interest thereon are outstanding and unpaid; and said tax shall be assessed and collected each such year and deposited to the credit of the Interest and Sinking Fund created by this Ordinance. Said ad valorem taxes sufficient to provide for the payment of the interest on and principal of the Certificates of Obligation, as such interest comes due and such principal matures, are hereby pledged for such payment, within the limit prescribed by law. SECTION 7. SURPLUS REVENUES. Pursuant to Section 271.052, Texas Local Government Code, as amended, and Section 1502.052, Texas Government Code, as amended, the Certificates of Obligation additionally shall be payable from and secured by surplus revenues derived by the City from the ownership and operation of the City's waterworks and sanitary sewer system (the "Utilities System ") remaining after (a) payment of all amounts constituting operation and maintenance expenses of said Utilities System, and (b) payment of all debt service, reserve, and other requirements and amounts required to be paid under all ordinances heretofore or hereafter authorizing (i) all bonds and (ii) all other obligations not on a parity with the Certificates of Obligation, which are payable from and secured by any Utilities System revenues, and (c) payment of all amounts payable from any Utilities System revenues pursuant to contracts heretofore or hereafter entered into by the City in accordance with law (the "Surplus Revenues "). If for any reason the City fails to deposit ad valorem taxes levied pursuant to Section 6 hereof to the credit of the Interest and Sinking Fund relating to the Certificates of Obligation in an amount sufficient to 14 pay, when due, the principal of and interest on the Certificates of Obligations, then Surplus Revenues may be deposited to the credit of such Interest and Sinking Fund and used to pay such principal and /or interest. The City reserves, and shall have, the right to issue bonds and other obligations not on a parity with the Certificates of Obligation, and to enter into contracts, in accordance with applicable laws, to be payable from and secured by any Utilities System revenues. SECTION 8. CONSTRUCTION FUND. There is hereby created and established on the financial records of the City or in the depository of the City, a fund to be called the "City of Kennedale, Texas Certificates of Obligation (Series 2008) Construction Fund" (herein called the "Construction Fund "). All proceeds from the sale and delivery of the Certificates of Obligation (other than accrued interest and any premium on the Certificates of Obligation, if any, that is not used by the City to pay costs of issuance in accordance with the provisions of Section 1201.042(d), Texas Government Code, as amended, which amounts shall be deposited into the Interest and Sinking Fund) shall be deposited into the Construction Fund. Money in the Construction Fund shall be subject to disbursements by the City for payment of costs of issuance and all costs incurred in carrying out the purpose for which the Certificates of Obligation are issued, including, but not limited to, costs for construction, engineering, architecture, financing, financial consultants and legal services related to the project being financed with proceeds of the Certificates of Obligation and the issuance of the Certificates of Obligation. All funds remaining on deposit in the Construction Fund upon completion of construction of the project being financed with the proceeds from the Certificates of Obligation, if any, shall be transferred to the Interest and Sinking Fund. SECTION 9. INVESTMENTS. Funds on deposit in the Interest and Sinking Fund and the Construction Fund shall be secured by the depository bank of the City in the manner and to the extent required by law to secure other public funds of the City and may be invested from time to time in any investment authorized by applicable law, including but not limited to the Public Funds Investment Act (Chapter 2256, Texas Government Code), and the City's investment policy adopted in accordance with the provisions of the Public Funds Investment Act; provided, however, that investments purchased for and held in each Interest and Sinking Fund shall have a final maturity no later than the next principal or interest payment date on which such funds will be needed, and investments purchased for and held in the Construction Fund shall have a final maturity of not later than the date the City reasonably expects the funds from such investments will be required to pay costs of the projects for which the Certificates of Obligation were issued.. Income and profits from such investments shall be deposited in the respective Fund which holds such investments; however, any such income and profits from investments in the Construction Fund may be withdrawn by the City and deposited in the Interest and Sinking Fund to pay all or a portion of the interest next coming due on the Certificates of Obligation. It is further provided, however, that any interest earnings on certificate proceeds which are required to be rebated to the United States of America pursuant to Section 13 hereof in order to prevent the Certificates of Obligation from being arbitrage certificates shall be so rebated and not considered as interest earnings for the purposes of this Section. Section 10. DEFEASANCE OF CERTIFICATES. (a) Defeased Certificates of Obligation Any Certificate of Obligation and the interest thereon shall be deemed to be paid, retired and no longer Outstanding (a "Defeased Certificate of Obligation "), except to the extent provided in subsection (d) of this Section, when payment of the principal of such Certificate of Obligation, plus interest thereon to the due date (whether such due date be by reason of maturity or otherwise) either (i) shall have been made or caused to be made in accordance with the terms 15 thereof, or (ii) shall have been provided for on or before such due date by irrevocably depositing with or making available to the Paying Agent /Registrar (or another entity permitted by Section 1207.061, Texas Government Code, as amended, or other applicable law, which entity, together with the Paying Agent /Registrar, are referred to collectively in this Section as the " Defeasance Agent "), in accordance with the requirements of Chapter 1207, Texas Government Code, as amended, or other applicable law (which may include the use of an escrow agreement or other similar instrument - the "Future Escrow Agreement "): (1) lawful money of the United States of America sufficient to make such payment or (2) " Defeasance Securities" (as defined below) that mature as to principal and interest in such amounts and at such times as will insure the availability, without reinvestment, of sufficient money to provide for such payment, and when proper arrangements have been made by the City with the Defeasance Agent for the payment of its services until all Defeased Certificates of Obligation shall have become due and payable. At such time as a Certificate of Obligation shall be deemed to be a Defeased Certificate of Obligation hereunder, as aforesaid, such Certificate of Obligation and the interest thereon shall no longer be secured by, payable from, or entitled to the benefits of, the ad valorem taxes or revenues herein levied and pledged as provided in this Ordinance, and such principal and interest shall be payable solely from such money or Defeasance Securities. Notwithstanding any other provision of this Ordinance to the contrary, it is hereby provided that any determination not to redeem Defeased Certificates of Obligation that is made in conjunction with the payment arrangements specified in subsection (a)(i) or (ii) of this Section shall not be irrevocable, provided that: (1) in the proceedings providing for such payment arrangements, the City expressly reserves the right to call the Defeased Certificates of Obligation for redemption; (2) gives notice of the reservation of that right to the owners of the Defeased Certificates of Obligation immediately following the making of the payment arrangements; and (3) directs that notice of the reservation be included in any redemption notices that it authorizes. (b) Defeasance Securities The term " Defeasance Securities" means (i) direct, noncallable obligations of the United States of America, including obligations that are unconditionally guaranteed by the United States of America., (ii) noncallable obligations of an agency or instrumentality of the United States of America, including obligations that are unconditionally guaranteed or insured by the agency or instrumentality and that, on the date of the purchase thereof are rated as to investment quality by a nationally recognized investment rating firm not less than AAA or its equivalent, and (iii) noncallable obligations of a state or an agency or a county, municipality, or other political subdivision of a state that have been refunded and that, on the date on the date the governing body of the City adopts or approves the proceedings authorizing the financial arrangements are rated as to investment quality by a nationally recognized investment rating firm not less than AAA or its equivalent. (c) Investment in Defeasance Securities Any moneys so deposited with the Defeasance Agent may at the written direction of the City be invested in Defeasance Securities, maturing in the amounts and times as hereinbefore set forth, and all income from such Defeasance Securities received by the Defeasance Agent that is not required for the payment of the Certificates of Obligation and interest thereon, with respect to which such money has been so deposited, shall be turned over to the City, or deposited as directed in writing by the City. Any account or Future Escrow Agreement pursuant to which the money and /or Defeasance Securities are held for the payment of Defeased Certificates of Obligation may contain provisions permitting the investment or reinvestment of such moneys in Defeasance Securities or the substitution of other Defeasance Securities upon the satisfaction of the requirements specified in subsections (a)(i) or (ii) of this Section. All income from such Defeasance Securities received by the Defeasance Agent which is 1L not required for the payment of the Defeased Certificates of Obligation, with respect to which such money has been so deposited, shall be remitted to the City or deposited as directed in writing by the City. (d) PayingAgent /Registrar Services Until all Defeased Certificates of Obligation shall have become due and payable, the Paying Agent /Registrar shall perform the services of Paying Agent /Registrar for such Defeased Certificates of Obligation the same as if they had not been defeased, and the City shall make proper arrangements to provide and pay for such services as required by this Ordinance. (e) Selection of Certificates of Obligation for De easance In the event that the City elects to defease less than all of the principal amount of Certificates of Obligation of a maturity, the Paying Agent/Registrar shall select, or cause to be selected, such amount of Certificates of Obligation by such random method as it deems fair and appropriate. SECTION 11. DAMAGED, MUTILATED, LOST, STOLEN, OR DESTROYED CERTIFICATES. (a) Replacement Certificates of Obli ag tion In the event any outstanding Certificate of Obligation is damaged, mutilated, lost, stolen, or destroyed, the Paying Agent/Regis- trar shall cause to be printed, executed, and delivered, a new certificate of the same principal amount, maturity, and interest rate, as the damaged, mutilated, lost, stolen, or destroyed Certificate of Obligation, in replacement for such Certificate of Obligation in the manner hereinafter provided. (b) Application for Replacement Certificates of Obligation Application for replacement of damaged, mutilated, lost, stolen, or destroyed Certificates of Obligation shall be made by the registered owner thereof to the Paying Agent/Registrar. In every case of loss, theft, or destruction of a Certificate of Obligation, the registered owner applying for a replacement certificate shall furnish to the City and to the Paying Agent /Registrar such security or indemnity as may be required by them to save each of them harmless from any loss or damage with respect thereto. Also, in every case of loss, theft, or destruction of a Certificate of Obligation, the registered owner shall furnish to the City and to the Paying Agent/Registrar evidence to their satisfaction of the loss, theft, or destruction of such Certificate of Obligation. In every case of damage or mutilation of a Certificate of Obligation, the registered owner shall surrender to the Paying Agent /Registrar for cancellation the Certificate of Obligation so damaged or mutilated. (c) No Default Occurred Notwithstanding the foregoing provisions of this Section, in the event any such Certificate of Obligation shall have matured, and no default has occurred which is then continuing in the payment of the principal of or interest on the Certificate of Obligation, the City may authorize the payment of the same (without surrender thereof except in the case of a damaged or mutilated Certificate of Obligation) instead of issuing a replacement Certificate of Obligation, provided security or indemnity is furnished as above provided in this Section. (d) Charge for Issuing Replacement Certificates of Oblgation Prior to the issuance of any replacement certificate, the Paying Agent/Registrar shall charge the registered owner of such Certificate of Obligation with all legal, printing, and other expenses in connection therewith. Every replacement certificate issued pursuant to the provisions of this Section by virtue of the fact that any Certificate of Obligation is lost, stolen, or destroyed shall constitute a contractual obligation of the City whether or not the lost, stolen, or destroyed Certificate of Obligation shall be found at any time, 17 or be enforceable by anyone, and shall be entitled to all the benefits of this Ordinance equally and proportionately with any and all other Certificates of Obligation duly issued under this Ordinance. (e) AuthoriU for Issuing Replacement Certificates of Obligation In accordance with Chapter 1201, Texas Government Code, as amended, this Section of this Ordinance shall constitute authority for the issuance of any such replacement certificate without necessity of further action by the governing body of the City or any other body or person, and the duty of the replacement of such certificates is hereby authorized and imposed upon the Paying Agent /Registrar, and the Paying Agent/Registrar shall authenticate and deliver such Certificates of Obligation in the form and manner and with the effect, as provided in Section 4(a) of this Ordinance for Certificates of Obligation issued in conversion and exchange for other Certificates of Obligation. SECTION 12. CUSTODY, APPROVAL, AND REGISTRATION OF CERTIFICATES; BOND COUNSEL'S OPINION; CUSIP NUMBERS; AND OTHER MATTERS. The Mayor of the City is hereby authorized to have control of the Certificates of Obligation initially issued and delivered hereunder and all necessary records and proceedings pertaining to the Certificates of Obligation pending their delivery and their investigation, examination, and approval by the Attorney General of the State of Texas, and their registration by the Comptroller of Public Accounts of the State of Texas. Upon registration of the Certificates of Obligation said Comptroller of Public Accounts (or a deputy designated in writing to act for said Comptroller) shall manually sign the Comptroller's Registration Certificate attached to such Certificates of Obligation, and the seal of said Comptroller shall be impressed, or placed in facsimile, on such Certificate. The approving legal opinion of the City's Bond Counsel (with an appropriate certificate pertaining thereto executed by facsimile signature of the City Secretary of the City) and the assigned CUSIP numbers (if obtained) may, at the option of the City, be printed on the Certificates of Obligation issued and delivered under this Ordinance, but neither shall have any legal effect, and shall be solely for the convenience and information of the registered owners of the Certificates of Obligation. SECTION 13. COVENANTS REGARDING TAX EXEMPTION OF INTEREST ON THE CERTIFICATES. (a) Covenants The City covenants to take any action necessary to assure, or refrain from any action which would adversely affect, the treatment of the Certificates of Obligation as obligations described in section 103 of the Internal Revenue Code of 1986, as amended (the "Code "), the interest on which is not includable in the "gross income" of the holder for purposes of federal income taxation. In furtherance thereof, the City covenants as follows: (1) to take any action to assure that no more than 10 percent of the proceeds of the Certificates of Obligation or the projects financed or refinanced therewith (less amounts deposited to a reserve fund, if any) are used for any "private business use," as defined in section 141(b)(6) of the Code or, if more than 10 percent of the proceeds or the projects financed or refinanced therewith are so used, such amounts, whether or not received by the City, with respect to such private business use, do not, under the terms of this Ordinance or any underlying arrangement, directly or indirectly, secure or provide for the payment of more than 10 percent of the debt service on the Certificates of Obligation, in contravention of section 141(b)(2) of the Code; (2) to take any action to assure that in the event that the "private business use" described in subsection (1) hereof exceeds 5 percent of the proceeds of the Certificates of Obligation or the projects financed or refinanced therewith (less amounts deposited into a 18 reserve fund, if any) then the amount in excess of 5 percent is used for a "private business use" which is "related" and not "disproportionate," within the meaning of section 141(b)(3) of the Code, to the governmental use; (3) to take any action to assure that no amount which is greater than the lesser of $5,000,000, or 5 percent of the proceeds of the Certificates of Obligation (less amounts deposited into a reserve fund, if any) is directly or indirectly used to finance loans to persons, other than state or local governmental units, in contravention of section 141(c) of the Code; (4) to refrain from taking any action which would otherwise result in the Certificates of Obligation being treated as "private activity bonds" within the meaning of section 141(b) of the Code; (5) to refrain from taking any action that would result in the Certificates of Obligation being "federally guaranteed" within the meaning of section 149(b) of the Code; (6) to refrain from using any portion of the proceeds of the Certificates of Obligation, directly or indirectly, to acquire or to replace funds which were used, directly or indirectly, to acquire investment property (as defined in section 148(b)(2) of the Code) which produces a materially higher yield over the term of the Certificates of Obligation, other than investment property acquired with -- (A) proceeds of the Certificates of Obligation invested for a reasonable temporary period of 3 years or less or, in the case of a refunding certificate, for a period of 30 days or less until such proceeds are needed for the purpose for which the certificates are issued, (B) amounts invested in a bona fide debt service fund, within the meaning of section 1.148 -1(b) of the Treasury Regulations, and (C) amounts deposited in any reasonably required reserve or replacement fund to the extent such amounts do not exceed 10 percent of the proceeds of the Certificates of Obligation; (7) to otherwise restrict the use of the proceeds of the Certificates of Obligation or amounts treated as proceeds of the Certificates of Obligation, as may be necessary, so that the Certificates of Obligation do not otherwise contravene the requirements of section 148 of the Code (relating to arbitrage) and, to the extent applicable, section 149(d) of the Code (relating to advance refundings); and (8) to pay to the United States of America at least once during each five -year period (beginning on the date of delivery of the Certificates of Obligation) an amount that is at least equal to 90 percent of the 'Excess Earnings," within the meaning of section 148(f) of the Code and to pay to the United States of America, not later than 60 days after the Certificates of Obligation have been paid in full, 100 percent of the amount then required to be paid as a result of Excess Earnings under section 148(f) of the Code. 19 (b) Rebate Fund In order to facilitate compliance with the above covenant (8), a "Rebate Fund" is hereby established by the City for the sole benefit of the United States of America, and such fund shall not be subject to the claim of any other person, including without limitation the certificateholders. The Rebate Fund is established for the additional purpose of compliance with section 148 of the Code. (c) Proceeds The City understands that the term "proceeds" includes "disposition proceeds" as defined in the Treasury Regulations and, in the case of refunding certificates, transferred proceeds (if any) and proceeds of the refunded certificates expended prior to the date of issuance of the Certificates of Obligation. It is the understanding of the City that the covenants contained herein are intended to assure compliance with the Code and any regulations or rulings promulgated by the U.S. Department of the Treasury pursuant thereto. In the event that regulations or rulings are hereafter promulgated which modify or expand provisions of the Code, as applicable to the Certificates of Obligation, the City will not be required to comply with any covenant contained herein to the extent that such failure to comply, in the opinion of nationally recognized bond counsel, will not adversely affect the exemption from federal income taxation of interest on the Certificates of Obligation under section 103 of the Code. In the event that regulations or rulings are hereafter promulgated which impose additional requirements which are applicable to the Certificates of Obligation, the City agrees to comply with the additional requirements to the extent necessary, in the opinion of nationally recognized bond counsel, to preserve the exemption from federal income taxation of interest on the Certificates of Obligation under section 103 of the Code. In furtherance of such intention, the City hereby authorizes and directs the Finance Director to execute any documents, certificates or reports required by the Code and to make such elections, on behalf of the City, which may be permitted by the Code as are consistent with the purpose for the issuance of the Certificates of Obligation. (d) Allocation Of and Limitation On. Expenditures for the Project The City covenants to account for the expenditure of sale proceeds and investment earnings to be used for the purposes described in Section 1 of this Ordinance (the "Project ") on its books and records in accordance with the requirements of the Internal Revenue Code. The City recognizes that in order for the proceeds to be considered used for the reimbursement of costs, the proceeds must be allocated to expenditures within 18 months of the later of the date that (1) the expenditure is made, or (2) the Project is completed; but in no event later than three years after the date on which the original expenditure is paid. The foregoing notwithstanding, the City recognizes that in order for proceeds to be expended under the Internal Revenue Code, the sale proceeds or investment earnings must be expended no more than 60 days after the earlier of (1) the fifth anniversary of the delivery of the Certificates of Obligation, or (2) the date the Certificates of Obligation are retired. The City agrees to obtain the advice of nationally - recognized bond counsel if such expenditure fails to comply with the foregoing to assure that such expenditure will not adversely affect the tax - exempt status of the Certificates of Obligation. For purposes hereof, the City shall not be obligated to comply with this covenant if it obtains an opinion that such failure to comply will not adversely affect the excludability for federal income tax purposes from gross income of the interest. (e) Disposition o Proms The City covenants that the property constituting the Project will not be sold or otherwise disposed in a transaction resulting in the receipt by the City of cash or other compensation, unless the City obtains an opinion of nationally- recognized bond counsel that such sale or other disposition will not adversely affect the tax - exempt status of the Certificates of Obligation. For purposes of the foregoing, the portion of the property comprising personal property F�17 and disposed in the ordinary course shall not be treated as a transaction resulting in the receipt of cash or other compensation. For purposes hereof, the City shall not be obligated to comply with this covenant if it obtains an opinion that such failure to comply will not adversely affect the excludability for federal income tax purposes from gross income of the interest. (f) Qualified Tax - Exempt Obligations The City hereby designates the Certificates of Obligation as "qualified tax - exempt obligations" as defined in section 265(b)(3) of the Code. In furtherance of such designation, the City represents, covenants and warrants the following: (a) that during the calendar year in which the Certificates of Obligation are issued, the City (including any subordinate entities) has not designated nor will designate bonds or other obligations, which when aggregated with the Certificates of Obligation, will result in more than $10,000,000 of "qualified tax - exempt obligations" being issued; (b) that the City reasonably anticipates that the amount of tax - exempt obligations issued during the calendar year in which the Certificates of Obligation are issued by the City (or any subordinate entities) will not exceed $10,000,000; and, (c) that the City will take such action or refrain from such action as necessary, and as more particularly set forth in this Section, in order that the Certificates of Obligation will not be considered "private activity bonds" within the meaning of section 141 of the Code. Section 14. SALE AND DELIVERY OF THE CERTIFICATES OF OBLIGATION. The Certificates of Obligation are hereby initially sold and shall be delivered to FIRST SOUTHWEST COMPANY, as representative of the initial purchasers of the Certificates of Obligation (the "Underwriters "), at a price of $ (which amount is equal to par, plus a net original issue premium of $ ' and less Underwriters' discount of $ ), plus accrued interest on the Certificates of Obligation from August 15, 2008, to the date of initial delivery thereof, all pursuant to the terms and provisions of a Purchase Contract in substantially the form attached hereto as Exhibit B which the Mayor or Mayor Pro -Tem of the City is hereby authorized to execute and deliver, and which the City Secretary is hereby authorized to attest. The City will deliver to the Underwriters an Initial Certificate of Obligation in the aggregate principal amount of $4,500,000 payable in principal installments on the dates and in the principal amounts shown in Section 2 hereof, and bearing interest at the rates for each respective maturity as shown in Section 3 hereof. The Initial Certificate of Obligation shall be registered in the name of FIRST SOUTHWEST COMPANY. SECTION 15. APPROVAL OF OFFICIAL STATEMENT. The City hereby approves the form and content of the Official Statement relating to the Certificates of Obligation and any addenda, supplement, or amendment thereto, and approves the distribution of the Official Statement in the reoffering of the Certificates of Obligation by the Underwriters in final form, with such changes therein or additions thereto as the officer executing the same may deem advisable, such determination to be conclusively evidenced by his execution thereof. The distribution and use of the Preliminary Official Statement for the Certificates of Obligation, dated August 22, 2008, prior to the date hereof is hereby ratified and confirmed. The City Council finds and determines that the Preliminary Official Statement and the Official Statement were and are "deemed final" as of each of their respective dates within the meaning, and for the purpose, of Rule 15c2 -12 promulgated under authority granted by the Federal Securities and Exchange Act of 1934. Section 16. AUTHORITY FOR OFFICERS TO EXECUTE DOCUMENTS. The Mayor, City Manager, City Secretary, and all other officers of the City, and each of them, shall be and they are hereby expressly authorized, empowered, and directed from time to time and at any 21 time to do and perform all such acts and things and to execute, acknowledge, and deliver in the name and under the corporate seal and on behalf of the City all such instruments, whether or not herein mentioned, as may necessary or desirable in order to carry out the terms and provisions of this Ordinance, the Certificates of Obligation, the sale of the Certificates of Obligation, and the Paying Agent /Registrar Agreement. In case any officer whose signature shall appear on any Certificate of Obligation shall cease to be such officer before the delivery of such Certificate of Obligation, such signature shall nevertheless be valid and sufficient for all purposes the same as if such officer had remained in office until such delivery. SECTION 17. ORDINANCE A CONTRACT; AMENDMENTS. This Ordinance shall constitute a contract with the Registered Owners of the Certificates of Obligation, binding on the City and its successors and assigns, and shall not be amended or repealed by the City as long as any Certificate of Obligation remains outstanding except as permitted in this Section. The City may, without the consent of or notice to any Registered Owners, amend, change, or modify this Ordinance as may be required (i) by the provisions hereof, (ii) for the purpose of curing any ambiguity, inconsistency, or formal defect or omission herein, or (iii) in connection with any other change which is not to the prejudice of the Registered Owners. The City may, with the written consent of the Registered Owners of a majority in aggregate principal amount of the Certificates of Obligation then outstanding affected thereby, amend, change, modify, or rescind any other provisions of this Ordinance; provided that without the consent of all of the Registered Owners affected, no such amendment, change, modification, or rescission shall (i) extend the time or times of payment of the principal of and interest on the Certificates of Obligation, or reduce the principal amount thereof or the rate of interest thereon, (ii) give any preference to any Certificate of Obligation over any other Certificate of Obligation, (iii) extend any waiver of default to subsequent defaults, or (iv) reduce the aggregate principal amount of Certificates of Obligation required for consent to any such amendment, change, modification, or rescission. Whenever the City shall desire to make any amendment or addition to or rescission of this Ordinance requiring consent of the Registered Owners, the City shall cause notice of the amendment, addition, or rescission to be sent by first class mail, postage prepaid, to the Registered Owners at the respective addresses shown on the Registration Books. Whenever at any time within one year after the date of the giving of such notice, the City shall receive an instrument or instruments in writing executed by the Registered Owners of a majority in aggregate principal amount of the Certificates of Obligation then outstanding affected by any such amendment, addition, or rescission requiring the consent of the Registered Owners, which instrument or instruments shall refer to the proposed amendment, addition, or rescission described in such notice and shall specifically consent to and approve the adoption thereof in substantially the form of the copy thereof referred to in such notice, thereupon, but not otherwise, the City may adopt such amendment, addition, or rescission in substantially such form, except as herein provided. No Registered Owner may thereafter object to the adoption of such amendment, addition, or rescission, or to any of the provisions thereof, and such amendment, addition, or rescission shall be fully effective for all purposes. SECTION 18. REMEDIES IN EVENT OF DEFAULT. In addition to all the rights and remedies provided by the laws of the State of Texas, it is specifically covenanted and agreed particularly that in the event the City (i) defaults in the payment of the principal, premium, if any, or interest on the Certificates of Obligation, (ii) defaults in the deposits and credits required to be made to the Interest and Sinking Fund, or (iii) defaults in the observance or performance of any other of the covenants, conditions or obligations set forth in this Ordinance, the failure to perform which materially, adversely affects the rights of the Holders of the Certificates of Obligation, 22 including but not limited to their prospect or ability to be repaid in accordance with this Ordinance and the continuation thereof for a period of 60 days after notice of such default is given by any Holder to the City, the Holders of any of the Certificates of Obligation shall be entitled to seek a writ of mandamus issued by a court of proper jurisdiction compelling and requiring the governing body of the City and other officers of the City to observe and perform any covenant, condition or obligation prescribed in this Ordinance. No delay or omission to exercise any right or power accruing upon any default shall impair any such right or power or shall be construed to be a waiver of any such default or acquiescence therein, and every such right and power may be exercised from time to time and as often as may be deemed expedient. The specific remedy herein provided shall be cumulative of all other existing remedies, and the specification of such remedy shall not be deemed to be exclusive. SECTION 19. SECURITY INTEREST. Chapter 1208, Texas Government Code, applies to the issuance of the Certificates of Obligation and the pledge of the ad valorem taxes granted by the City under Section 6 and 7 of this Ordinance, and is therefore valid, effective, and perfected. If Texas law is amended at any time while the Certificates of Obligation are outstanding and unpaid such that the pledge of the ad valorem taxes granted by the City under Section 6 of this Ordinance is to be subject to the ding requirements of Chapter 9, Texas Business & Commerce Code, then in order to preserve to the registered owners of the Certificates of Obligation the perfection of the security interest in said pledge, the City agrees to take such measures as it determines are reasonable and necessary under Texas law to comply with the applicable provisions of Chapter 9, Texas Business & Commerce Code, and enable a filing to perfect the security interest in said pledge to occur. SECTION 20. INTERESTED PARTIES. Nothing in this Ordinance expressed or implied is intended or shall be construed to confer upon, or to give to, any person or entity, other than the City and the registered owners of the Certificates of Obligation, any right, remedy or claim under or by reason of this Ordinance or any covenant, condition or stipulation hereof, and all covenants, stipulations, promises and agreements in this Ordinance contained by and on behalf of the City shall be for the sole and exclusive benefit of the City and the registered owners of the Certificates of Obligation. Section 21. CONTINUING DISCLOSURE UNDERTAKING. (a) Definitions. As used in this Section, the following terms have the meanings ascribed to such terms below: WSRB" means the Municipal Securities Rulemaking Board. "ARM'SIR" means each person whom the SEC or its staff has determined to be a nationally recognized municipal securities information repository within the meaning of the Rule from time to time. "Rule" means SEC Rule 15c2 -12, as amended from time to time. "SEC" means the United States Securities and Exchange Commission. 23 "SID" means any person designated by the State of Texas or an authorized department, officer, or agency thereof as, and determined by the SEC or its staff to be, a state information depository within the meaning of the Rule from time to time. (b) Annual Reports. The City shall provide annually to each NRMSIR and any SID, within six months after the end of each fiscal year ending in or after 2007, financial information and operating data with respect to the City of the general type included in the final Official Statement authorized by this Ordinance being the information described in Exhibit C hereto. Any financial statements so to be provided shall be (1) prepared in accordance with the accounting principles described in Exhibit B hereto, or such other accounting principles as the City may be required to employ from time to time pursuant to state law or regulation, and (2) audited, if the City commissions an audit of such statements and the audit is completed within the period during which they must be provided. If the audit of such financial statements is not complete within such period, then the City shall provide (1) unaudited financial statements for such fiscal year within such six month period, and (2) audited financial statements for the applicable fiscal year to each NRMSIR and any SID, when and if the audit report on such statements become available. If the City changes its fiscal year, it will notify each NRMSIR and any SID of the change (and of the date of the new fiscal year end) prior to the next date by which the City otherwise would be required to provide financial information and operating data pursuant to this paragraph (b). The financial information and operating data to be provided pursuant to this paragraph (b) may be set forth in full in one or more documents or may be included by specific reference to any document (including an official statement or other offering document, if it is available from the MSRB) that theretofore has been provided to each NRMSIR and any SID or filed with the SEC. (c) Material Event Notices The City shall notify any SID and either each NRMSIR or the MSRB, in a timely manner, of any of the following events with respect to the Certificates of Obligation, if such event is material within the meaning of the federal securities laws: A. Principal and interest payment delinquencies; B. Non - payment related defaults; C. Unscheduled draws on debt service reserves reflecting financial difficulties; D. Unscheduled draws on credit enhancements reflecting financial difficulties; E. Substitution of credit or liquidity providers, or their failure to perform; F. Adverse tax opinions or events affecting the tax - exempt status of the Certificates of Obligation; G. Modifications to rights of holders of the Certificates of Obligation; H. Certificate of Obligation calls; Defeasances; ►ll such changed circumstances and (2) either (a) the Holders of a majority in aggregate principal amount (or any greater amount required by any other provision of this Ordinance that authorizes such an amendment) of the Outstanding Certificates of Obligation consent to such amendment or (b) a person that is unaffiliated with the City (such as nationally recognized bond counsel) determined that such amendment will not materially impair the interest of the Holders and beneficial owners of the Certificates of Obligation. The City may also amend or repeal the provisions of this continuing disclosure agreement if the SEC amends or repeals the applicable provision of the Rule or a court of final jurisdiction enters judgment that such provisions of the Rule are invalid, but only if and to the extent that the provisions of this sentence would not prevent an underwriter from lawfully purchasing or selling Certificates of Obligation in the primary offering of the Certificates of Obligation. If the City so amends the provisions of this Section, it shall include with any amended financial information or operating data next provided in accordance with paragraph (b) of this Section an explanation, in narrative form, of the reason for the amendment and of the impact of any change in the type of financial information or operating data so provided. Section 22. INCORPORATION OF RECITALS. The City hereby finds that the statements set forth in the recitals of this Ordinance are true and correct, and the City hereby incorporates such recitals as a part of this Ordinance. SECTION 23. SEVERABILITY. If any provision of this Ordinance or the application thereof to any circumstance shall be held to be invalid, the remainder of this Ordinance and the application thereof to other circumstances shall nevertheless be valid, and this governing body hereby declares that this Ordinance would have been enacted without such invalid provision. SECTION 24. CHOICE OF LAW. This Ordinance shall be governed by and construed in accordance with the laws of the State of Texas. SECTION 25. EFFECTIVE DATE. This Ordinance shall become effective immediately after its adoption. [The remainder of this page intentionally left blank.] I.. EXHIBIT A FORM OF PAYING AGENT/REGISTRAR AGREEMENT THE PAYING AGENT/REGISTRAR AGREEMENT IS OMITTED AT THIS POINT AS IT APPEARS IN EXECUTED FORM ELSEWHERE IN THIS TRANSCRIPT OF PROCEEDINGS. A -1 EXHIBIT C DESCRIPTION OF ANNUAL FINANCIAL INFORMATION The following information is referred to in Section 21 of this Ordinance. Annual Financial Statements and Operating Data The financial information and operating data with respect to the City to be provided annually in accordance with such Section are as specified (and included in the Appendix or under the headings of the Official Statement referred to) below: 1. The annual audited financial statements of the City or the unaudited financial statements of the City in the event audited financial statements are not completed within six months after the end of any fiscal year. 2. All quantitative financial information and operating data with respect to the City of the general type included in the Official Statement under Table 1 and in Appendix A to the Official Statement under Tables 1 through 10. Accounting Principles The accounting principles referred to in such Section are the accounting principles described in the notes to the financial statements referred to in paragraph 1 above. C -1 CITY OF KENNEDALE, TEXAS OFFICE OF THE CITY SECRETARY COUNCIL MEETING MINUTE SLIP DATE: AUGUST 28, 2008 REGULAR ITEMS: ITEM NUMBER: II -b MOTION: COUNCIL MEMBERS MOTION SECOND AYE NAY ABSTAIN /ABSENT CLARK JOHNSON MILLER GREEN TURNER ORDINANCE/RESOLUTION NO. CARRIED CONTRACT /AGREEMENT NO. FAILED FOLLOW UP: CITY SECRETARY'S FOLLOW UP: f �J V Y 1 1.1 lY 5 W To the Honorable Mayor and City Council Date: August 28, 2008 Agenda Item No: 11 -b Subject: Review and consider action to award bids for health /dental /life /vision and ad & d insurance. Originated by: Kathy Turner, City Secretary Summary: Recommendation: Staff recommends the following: Appoint Gaylon Thompson as Insurance Agent of Record for the period of October 1, 2008 to December 31, 2009, and award bids as follows: Health: BCBS of Texas PPO Plan Number M -09a — Employee Cost $477.40 PPO Plan Number M -26a — Employee Cost $360.46 Health Savings Account — MH4 -a — Employee Cost $366.41 Dental Insurance — Ameritas Group — Employee Cost $23.73 Vision — Ameritas Group — Employee Cost $7.16 Life Insurance & AD & D Insurance — Boston Mutual Employee Cost $0.10/$0.02 Disposition by Council: f C a 0 p Q Z 0 0 0 OO 0 0 0 ���� \o °\ o\ ���� 0 p ® X a 0 0 0 0 0 0 g 0 O 0 0 0 0 0 0 O O to O O O I I i 1 r-. r f i� (, P I P" ie i� I� 0 O Q Ln rl Ln N = ®U m Y o 0 0 0 C:) 0 0 0 0 0 0 0 0 0 0 a° 0 0 0 0 O ® rl 00 O3 Ln O m rl N j Ln O LOAO 00000 00 00 00 0000 0 O� z N N 00000 00 00 00 0000 O 0 n oOrlN c Ln Ln ri rl r) rl t rl rl i rl - i rl V e rl rl vq O M N N Cf W 0 CD 000 0a° 0� 0a° 00 a° 0 0 1 4 6 ®O 0 0 000 O O 00 00 O ,�00 00 O N O M Ln 1Z I 00 1 i I I Ln 1� /, Ln Ln oo Ln 0 O m Ln a O g 00 n. m rn 0 �to� m V-1 O Co U o 0 p 0 O o 40 O- 0 0 00 CL 0 00 0 0 0 o O IONd rl Ht0 C3 3 0 0 0 0 O 00 O 00 ® z NL ®o pU ®0+ 00 �� 0 Lo MNN� 1% t4 uli- 0 Q 0 0 0 0 00 00 0 0 00 0 a°o 0 o 00 000 0 0 00 00 0 0 0 00 0 0 l0 tD I� I� 00 l0 i� n n N n W O to to C O 6 O Ln d 00 r1 en m `' p !1 O m m - � o 00 4�0 L o 0 � f�6 CL ° \ 0 0 \ ® 0 d tG MIEN N UD , 00 0� O 0Ln 0 Oo u0 O0 o O OO 0 ® I� d r-: v-4 . m0 00 � Ln OHO V-i 00 0000 00. 0 �MNLLA c - Ln O O f� E O s U c u C 3; to O W ® B Q � O @ O O O O +® Q U I D u U th ro d Q Q E O! O �u tko in u of U ® W u O 0) cfl QJ W O ai °' ® L •> C w E .� 453 w - C U P4� 0.- Qd � �+ � � ®� 01 � fL• � O � � E U E N ` @� ® � L O 0- LL OJ O O OA O °� ®f ! ® tai 0 V) 0- ® °4 ®� 3: X 3' Pte! �3 W City of Kennedale, Texas Primary Credit Analysts ' Brian J Marshall US$4.5 mil Combination Tax and Revenue Certificates of Obligation, Series 2008 dated 08/15/2008, Dallas (1) 214 - 871 -1414 due 02/15/2028 brian_marshall@ Long Term Rating A /Stable New standardandpoors.com secondary Credit Analysts Imes Breeding Dallas Rationale (1) 214 - 871 -1407 james_breedingo Standard & Poor's Ratings Services assigned its 'A' rating and stable outlook to Kennedale, standardandpoors.com Texas' combination tax and revenue certificates of obligation, series 2008. The rating reflects the city's: ■ Participation in the deep and diverse economy of the Fort Worth - Dallas metropolitan area, which boosts income levels; and ■ Very strong financial position. These factors are offset, in part, by the city's: ® Limited economic base; and ® Ivioderately high debt burden. The city's full Faith and credit within the bounds of Texas state statute secures the certificates. City officials will use certificate proceeds for street and drainage improvements. Kennedale, a primarily residential community of about 6,350, is located in Tarrant County (AAA/Stable general obligation rating), 12 miles south of Fort Worth. City residents have access to the metropolitan area via Interstate 20. The city's taxable assessed value (AV) growth has been steady, averaging 8% annually over the past five years, to $435 million in fiscal 2008. There is no concentration among the city's RatingsDirect top taxpayers. Residential building activity continues, albeit at a slower pace because of Publication Date Publication housing market downturn. These single - family residential developments will add roughly 450 Aug. 26, City ofIfennedale, Texas homes at prices ranging from $100,0004400,000, with an average price closer to $300,000. City median household income levels are strong at 120% of the national average. Kennedale's financial position has historically been very strong; each of the past five fiscal years has closed with reserves above 27% of operations. The city finished fiscal 2007 with an unreserved fund balance of $2.2 million, or 36% of operations. Management expects to finish fiscal 2008 with a $250,000 operational deficit due to planned capital outlays tied to community redevelopment. Officials adopted a budget for fiscal 2009 that conservatively includes a $50,000 drawdown. 1Vlost of the city's operational revenue comes from property taxes (44% of general fund revenue), sales taxes (17 %), and franchise fees (12 %). The city's fiscal property tax is above average at 72.5 cents per $100 of AV and has been at that level for the past four years. Officials budgeted for a 1.6% increase in sales tax in fiscal 2008 and project to end the year with collections close to budget. No sales tax increase was budgeted for fiscal 2009. Kennedale's management practices are considered "good" under Standard & Poor's Financial Management Assessment methodology, indicating practices exist in most areas, although not all may be formalized or regularly monitored by governance officials. City officials have a formal general fund reserve policy to maintain at least 25% of operations in reserve. The city has a formal long -term capital improvement plan and reviews it with the council annually. Management calculates revenue and expenditure estimates using historical sales tax trends, AV growth, and personnel costs. The council performs budget amendments, as needed, to address expenditure reclassifications and additional expenses; the council approves these amendments according to management's recommendation. The city has a formal investment policy in which staff and the council review compliance monthly. The overall.debt burden is moderately high at 6.5% of AV. Carrying charges were a low 5% at fiscal year -end 2007. The amortization schedule is average, with more than 50% of principal due to be retired in 10 years and all debt fully retired by 2028. City officials may issue $2.5 million of debt in 2010 to support street improvements. Outlook The stable outlook reflects the local economy's access and participation in the broader economy of Fort Worth. It is also our expectation that city officials will continue to maintain healthy reserves in line with their policy. Given limited near -term capital needs, there is little additional stress on the city's overall debt burden. Standard & Poor's I ANALYSIS SOURCES AND USES OF FUNDS City of Kennedale, Texas County Road Projects CO, Series 2008 Dated Date 08/15/2008 Delivery Date 09/23/2008 Sources: Bond Proceeds: Par Amount 4,500,000.00 Accrued Interest 21,010.04 4,521,010.04 Uses: Other Fund Deposits: Accrued Interest 21,010.04 Other Uses of Funds: Additional Proceeds 4,500,000.00 4,521,010.04 Aug 28, 2008 9:45 am Prepared by Southwest Securities (Kennedale:KEN -CO08) Page 1 BOND DEBT SERVICE City of Kennedale, Texas County Road Projects CO, Series 2008 Dated Date 08/15/2008 Delivery Date 09/23/2008 Period Ending Principal Coupon Interest Debt Service Annual Debt Service 02/15/2009 200,000 4.500% 99,521.25 299,521.25 08/15/2009 95,021.25 95,021.25 09/30/2009 394,542.50 02/15/2010 95,000 4.500% 95,021.25 190,021.25 08/15/2010 92,883.75 92,883.75 09/30/2010 282,905.00 02/15/2011 60,000 4.500% 92,883.75 152,883.75 08/15/2011 91,533.75 91,533.75 09/30/2011 244,417.50 02/15/2012 105,000 4.500% 91,533.75 196,533.75 08/15/2012 89,171.25 89,171.25 09/30/2012 285,705.00 02/15/2013 105,000 4.500% 89,171.25 194,171.25 08/15/2013 86,808.75 86,808.75 09/30/2013 280,980.00 02/15/2014 135,000 4.500% 86,808.75 221,808.75 08/15/2014 83,771.25 83,771.25 09/30/2014 305,580.00 02/15/2015 160,000 4.500% 83,771.25 243,771.25 08/15/2015 80,171.25 80,171.25 09/30/2015 323,942.50 02/15/2016 190,000 4.500% 80,171.25 270,171.25 08/15/2016 75,896.25 75,896.25 09/30/2016 346,067.50 02/15/2017 225,000 4.500% 75,896.25 300,896.25 08/15/2017 70,833.75 70,833.75 09/30/2017 371,730.00 02/15/2018 235,000 4.500% 70,833.75 305,833.75 08/15/2018 65,546.25 65,546.25 09/30/2018 371,380.00 02/15/2019 245,000 4.000% 65,546.25 310,546.25 08/15/2019 60,646.25 60,646.25 09/30/2019 371,192.50 02/15/2020 260,000 4.000% 60,646.25 320,646.25 08/15/2020 55,446.25 55,446.25 09/30/2020 376,092.50 02/15/2021 265,000 4.250% 55,446.25 320,446.25 08/15/2021 49,815.00 49,815.00 09/30/2021 370,261.25 02/15/2022 280,000 4.250% 49,815.00 329,815.00 08/15/2022 43,865.00 43,865.00 09/30/2022 373,680.00 02/15/2023 295,000 4.400% 43,865.00 338,865.00 08/15/2023 37,375.00 37,375.00 09/30/2023 376,240.00 02/15/2024 310,000 4.400% 37,375.00 347,375.00 08/15/2024 30,555.00 30,555.00 09/30/2024 377,930.00 02/15/2025 315,000 4.500% 30,555.00 345,555.00 08/15/2025 23,467.50 23,467.50 09/30/2025 369,022.50 02/15/2026 330,000 4.500% 23,467.50 353,467.50 08/15/2026 16,042.50 16,042.50 09/30/2026 369,510.00 02/15/2027 335,000 4.650% 16,042.50 351,042.50 Aug 28, 2008 9:45 am Prepared by Southwest Securities (Kennedale:KEN -0008) Page 2 DETAILED BOND DEBT SERVICE City of Kennedale, Texas County Road Projects CO, Series 2008 Dated Date 08/15/2008 Delivery Date 09/23/2008 County Road Project (CIB) Period C, �� e e p rvicc r Ending Principal Coupon Interest 09/30/2009 150,000 4.500% 129,217.50 279,217.50 09/30/2010 45,000 4.500% 124,830.00 169,830.00 09/30/2011 10,000 4.500% 123,592.50 133,592.50 09/30/2012 50,000 4.500% 122,242.50 172,242.50 09/30/2013 50,000 4.500% 119,992.50 169,992.50 09/30/2014 75,000 4.500% 117,180.00 192,180.00 09/30/2015 100,000 4.500% 113,242.50 213,242.50 09/30/2016 125,000 4.500% 108,180.00 233,180.00 09/30/2017 155,000 4.500% 101,880.00 256,880.00 09/30/2018 165,000 4.500% 94,680.00 259,680.00 09/30/2019 170,000 4.000% 87,567.50 257,567.50 09/30/2020 180,000 4.000% 80,567.50 260,567.50 09/30/2021 185,000 4.250% 73,036.25 258,036.25 09/30/2022 195,000 4.250% 64,961.25 259,961.25 09/30/2023 205,000 4.400% 56,307.50 261,307.50 09/30/2024 215,000 4.400% 47,067.50 262,067.50 09/30/2025 220,000 4.500% 37,387.50 257,387.50 09/30/2026 230,000 4.500% 27,262.50 257,262.50 09/30/2027 230,000 4.650% 16,740.00 246,740.00 09/30/2028 245,000 4.650% 5,696.25 250,696.25 3,000,000 1,651,631.25 4,651,631.25 Aug 28, 2008 9:45 atn Prepared by Southwest Securities (Kennedale:KEN -CO08) Page 4 DETAILED BOND DEBT SERVICE City of Kennedale, Texas County Road Projects CO, Series 2008 Dated Date 08/15/2008 Delivery Date 09/23/2008 Dick Price Road (CIB2) _ t, Period Ending Principal Coupon Interest Debt Service 09/30/2009 50,000 4.500% 65,325.00 115,325.00 09/30/2010 50,000 4.500% 63,075.00 113,075.00 09/30/2011 50,000 4.500% 60,825.00 110,825.00 09/30/2012 55,000 4.500% 58,462.50 113,462.50 09/30/2013 55,000 4.500% 55,987.50 110,987.50 09/30/2014 60,000 4.500% 53,400.00 113,400.00 09/30/2015 60,000 4.500% 50,700.00 110,700.00 09/30/2016 65,000 4.500% 47,887.50 112,887.50 09/30/2017 70,000 4.500% 44,850.00 114,850.00 09/30/2018 70,000 4.500% 41,700.00 111,700.00 09/30/2019 75,000 4.000% 38,625.00 113,625.00 09/30/2020 80,000 4.000% 35,525.00 115,525.00 09/30/2021 80,000 4.250% 32,225.00 112,225.00 09/30/2022 85,000 4.250% 28,718.75 113,718.75 09/30/2023 90,000 4.400% 24,932.50 114,932.50 09/30/2024 95,000 4.400% 20,862.50 115,862.50 09/30/2025 95,000 4.500% 16,635.00 111,635.00 09/30/2026 100,000 4.500% 12,247.50 112,247.50 09/30/2027 105,000 4.650% 7,556.25 112,556.25 09/30/2028 110,000 4.650% 2,557.50 112,557.50 1,500,000 762,097.50 2,262,097.50 Aug 28, 2008 9:45 am Prepared by Southwest Securities (Kennedale:KEN -0008) Page 5 BOND SUMMARY STATISTICS City of Kennedale, Texas County Road Projects CO, Series 2008 Dated Date 08/15/2008 Delivery Date 09/23/2008 Last Maturity 02/15/2028 Arbitrage Yield 4.428255% True Interest Cost (TIC) 4.428255% Net Interest Cost (NIC) 4.435778% All -In TIC 4.428255% Average Coupon 4.435778% Average Life (years) 11.987 Duration of Issue (years) 8.996 Par Amount 4,500,000.00 Bond Proceeds 4,521,010.04 Total Interest 2,413,728.75 Net Interest 2,413,728.75 Total Debt Service 6,913,728.75 Maximum Annual Debt Service 394,542.50 Average Annual Debt Service 355,396.55 Underwriter's Fees (per $1000) Average Takedown Other Fee Total Underwriter's Discount Bid Price Bond Component 100.000000 Par Average Average Value Price Coupon Life Dick Price Road 1,500,000.00 100.000 4.439% 11.341 County Road Project 3,000,000.00 100.000 4.435% 12.309 4,500,000.00 11.987 All -In Arbitrage TIC TIC Yield Par Value • Accrued Interest +Premium (Discount) - Underwriter's Discount - Cost of Issuance Expense - Other Amounts Target Value Target Date Yield 4,500,000.00 4,500,000.00 4,500,000.00 21,010.04 21,010.04 21,010.04 4,521,010.04 09/23/2008 4.428255% 4,521,010.04 09/23/2008 4.428255% 4,521,010.04 09/23/2008 4.428255% Aug 28, 2008 9:45 am Prepared by Southwest Securities (Kennedale:KEN -CO08) Page 6 V N 0 L x a. 00 ~ o Q N � CL Y x a� 0 o Q o U o 0 V- 0 6o N � W a O o O o O O O O o a O o 0 0 Q 0 0 0 0 U) o v_r ° � 0 (n Cl) NNM 06 63 63 64 63 a (6 O O • Q O N a.E�� U Y ❑ m _I (n 0 0 0 0 O 00 O O O E L6 & Lo Qco Oo0 r o M — ti u)�� 6 M 9 a M ") U � a� c a� h T 1 1 . 0 N M 0 v v 0 L ( L MMN 4t-- )MM ;: - ui M Lo CC) - r-� N M M LO W M ti M 41 N O N w m O LL) L V• M M M M M N M M O LO 'It LO M O N (O CS) (O O o O U LO I'- M — tiMM G (O , f Ln M 0 r r (N 6p,69 61) 613� (1469 61) 61� m � Z O In n O M C N O N C C ) M M M (A V � � r O Lb N (O '>m N C, tt 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