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Engagement Agreement

 

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Title:

Engagement Agreement

Entities:

W. G. Nielsen & Co.; Sardy House LLC

Date:

2003

Size:

Preview shows 3KB of 15KB total

Price:

$32

ID:

#160617

 

 

► Fee Agreements ► Engagement Agreements

 

 

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ENGAGEMENT AGREEMENT
BY AND BETWEEN
W. G. NIELSEN & CO. AND SARDY HOUSE LLC


This Engagement Agreement (also referred herein as the "Engagement" or the
"Agreement") confirms our mutual understanding regarding the retention of W.G.
NIELSEN & Co (also referred to as the "Advisor") and SARDY HOUSE LLC (also
referred to as the "Company"), and the Company's sole member, North and South
Aspen, L.L.C. (also referred to herein as the "Holder"), as their exclusive
financial advisor and underwriter with respect to the proposed Transaction. As
used in this Engagement Agreement the term "Transaction" shall refer to the
public, registered sale, on a best efforts all or none minimum, best efforts
maximum basis, of the Company's newly issued membership interests to investors
(the "Offering").

As the Company's financial advisor and underwriter, we will act on behalf of the
Company and will provide independent advice and counsel on issues of a financial
nature pertaining to this Engagement. Advisor will report directly to Daniel
Delano and Frank Peters as the authorized representatives of the Company's
Manager and Member. Advisor will keep same apprised of our activities as
requested to our progress on a going forward basis.

In carrying out this assignment, Advisor recognizes that sales of membership
interests pursuant to the Offering may be solicited by the Company or by the
Holder. The Company and Holder recognize that any such solicitation needs to be
in strict compliance with all applicable federal and state securities laws and
regulations. The Company, Holder and Advisor will coordinate their efforts and
work closely with each other and the Company's in-house staff to assist the
Company and Holder in their overall program to achieve various corporate
objectives and remain in compliance with all applicable federal and state
securities laws and regulations.

1. The financial and investment banking services and activities Advisor
anticipates performing over the entire course of this Engagement for the
Company can be generally described as follows:

PREPARATION OF THE OFFERING MATERIALS. Advisor will work with the Company
and its counsel to prepare all necessary documentation for the Offering.
This includes, but is not limited to, the preliminary prospects, final

 

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