Call for Redemption
REMINDER
Citizens Financial Group, Inc.
| Issuer Name | Citizens Financial Group, Inc. |
| Security Name | Depositary Shares Each Representing a 1/40th Interest in a Share of 6.350% Fixed-to-Floating Rate Non-Cumulative Perpetual Preferred Stock, Series D |
| Security Ticker Symbol | CFG PRD |
| Exchange | NYSE |
| Security CUSIP | 174610204 |
| Announcement Date | May 23, 2024 |
| Redemption Price | USD 25.00 |
| Redemption Date | July 8, 2024 |
| Note | Because the Redemption Date is a dividend payment date for the Series D Preferred Stock, the Redemption Price does not include declared and unpaid dividends. The regular quarterly dividend on the Depositary Shares was separately declared and will be paid separately on July 8, 2024 to holders of record on the record date for such dividend payment in the customary manner. |
| Issuer Name | Citizens Financial Group, Inc. |
| Security Name | Depositary Shares Each Representing a 1/40th Interest in a Share of 6.350% Fixed-to-Floating Rate Non-Cumulative Perpetual Preferred Stock, Series D |
| Security Ticker Symbol | CFG PRD |
| Exchange | NYSE |
| Security CUSIP | 174610204 |
| Suspension Date | July 8, 2024 Effective before the Open |
| Trading Schedule | Trading to be suspended on July 8, 2024 Effective before the Open |
Liquidation
REMINDER
Goldman Sachs ETF Trust
| Issuer Name | Goldman Sachs ETF Trust |
| Security Name | Goldman Sachs Defensive Equity ETF |
| Security Symbol | GDEF |
| Exchange | NYSE Arca |
| Security CUSIP | 38149W655 |
| Liquidation Date | July 8, 2024 |
| Issuer Name | Goldman Sachs ETF Trust |
| Security Name | Goldman Sachs Defensive Equity ETF |
| Security Ticker Symbol | GDEF |
| Exchange | NYSE Arca |
| Security CUSIP | 38149W655 |
| Suspension Date | July 5, 2024 Effective before the Open |
| Trading Schedule | Trading to be suspended on July 5, 2024 Effective before the Open. |
Change in Domicile
The Reincorporation will automatically become effective after the Close on July 2, 2024.
Hannon Armstrong Sustainable Infrastructure Capital, Inc.
| Issuer Name | Hannon Armstrong Sustainable Infrastructure Capital, Inc. |
| Security Name | Common Stock |
| Security Ticker Symbol | HASI |
| Exchange | NYSE |
| Security CUSIP | 41068X100 |
| Type of Change | State of Incorporation |
| Current Domicile | Maryland |
| New Domicile | Delaware |
| Issuer Name | Hannon Armstrong Sustainable Infrastructure Capital, Inc. |
| Security Name | Common Stock |
| Security Symbol | HASI |
| Exchange | NYSE |
| Security CUSIP | 41068X100 |
| New Issuer Name | HA Sustainable Infrastructure Capital, Inc. |
| Trading Schedule | Trading under the New Name to begin at the market open on July 3, 2024. |
| Meeting Of Shareholders | June 6, 2024 |
| Reference | Proxy Statement dated April 15, 2024 |
Offer to Purchase
Hagerty, Inc.
| Issuer Name | Hagerty, Inc. |
| Security Name | Warrants, each whole warrant entitles the holder thereof to purchase one share of Class A common stock at a price of $11.50 per share |
| Security Ticker Symbol | HGTY WS |
| Exchange | NYSE |
| Security CUSIP | 405166117 |
| Purchase Type | Exchange Offer |
| Purchaser Role | Self-Tender |
| Terms | Stock |
| Terms Summary | 0.20 shares of Hagerty, Inc. Class A Common Stock, without interest, less any applicable fee, and tax, for each Warrants, each whole warrant entitles the holder thereof to purchase one share of Class A common stock at a price of $11.50 per share of Hagerty, Inc. held. |
| Quantity | All |
| Expiration Date | July 2, 2024 |
| Expiration Time | At one minute after 11:59 P.M. EST (Eastern Standard Time) |
| Withdrawal Date | July 2, 2024 |
| Guaranteed Delivery Period | Within One NYSE Trading Days |
| Reference | Prospectus dated July 1, 2024 |
| Transfer / Depositary Agent | Continental Stock Transfer & Trust Co. |
| Information Agent | D.F. King & Co., Inc. |
Concurrently with the Offer, the Company is also soliciting consents (the "Consent Solicitation") from Holders to amend both the IPO Warrant Agreement (the "IPO Warrant Amendment") and the Business Combination Warrant Agreement (the "Business Combination Warrant Amendment," and collectively with the IPO Warrant Amendment, the "Warrant Amendments") to permit the Company to require that each Warrant that is outstanding upon the closing of the Offer be exchanged for 0.18 shares of Class A Common Stock per Warrant, which is a ratio 10% less than the exchange ratio applicable to the Offer. Pursuant to the terms of the IPO Warrant Agreement, the IPO Warrant Amendment requires the vote or written consent of Holders of both (i) 50% of the Public Warrants outstanding and (ii) 50% of the Private Placement Warrants outstanding. Pursuant to the terms of the Business Combination Warrant Agreement, the Business Combination Warrant Amendment requires the vote or written consent of Holders of 50% of the PIPE Warrants outstanding.
Warrants not exchanged for shares of the Company's Class A Common Stock pursuant to the Offer will remain outstanding subject to their current terms, or amended terms if the Warrant Amendments are approved. The Company reserves the right to redeem any of the Warrants, as applicable, pursuant to their current terms at any time, including prior to the completion of the Offer and Consent Solicitation, and, if the Warrant Amendments are approved, the Company intends to require the conversion of all outstanding Warrants to shares of Class A Common Stock as provided in the Warrant Amendments.
Rights Offering (Non-Transferable)
High Income Securities Fund
| Issuer Name | High Income Securities Fund |
| Security Name | Shares of Beneficial Interest |
| Security Ticker Symbol | PCF |
| Exchange | NYSE |
| Security CUSIP | 42968F108 |
| Ex Date | July 8, 2024 |
| Record Date | July 8, 2024 |
| 1933 Act Effectiveness | Pending |
| Securities Offering | High Income Securities Fund Shares of Beneficial Interest |
| Rights | Each right consists of a basic subscription right and an over-subscription privilege. |
| Rights Required Per Purchase | 1 |
| Shares Issued Per Each Purchase | 1 |
| Summary Terms of the Offer | Every 1 Rights will entitle holders to purchase 1 share of High Income Securities Fund Shares of Beneficial Interest at the greater of (1) 97% of the volume weighted average price of the Fund's shares for the three-day period ending on the expiration date, and (2) 85% of the net asset value (NAV) of the Fund's shares on the expiration date of August 9, 2024 unless extended. |
| Fractional Shares | The number of Rights to be issued will be to the nearest number of Rights evenly divisible by 1. |
| Expiration Date | August 9, 2024 |
| Expiration Time | 5:00 PM EST (Eastern Standard Time) |
| Over-Subscription Privilege | Yes |
| Note | These subscription Rights are non-transferable and will not be traded on the Exchange. Therefore no adjustment will be made on the NYSE established ex-date. "Regular Way" purchases of High Income Securities Fund Shares of Beneficial Interest must have been made on or prior to in order to become a holder of record and receive the non-transferable rights. Member Organizations are reminded of Exchange Rule 440 B.14 (Ownership of Securities) and Exchange Rule 440C (Deliveries against Short Sales). |
| Information Agent | InvestorCom, Inc. |