Thank you all so much for your responses.
An Underwriting Agreement is usually filed as an Exhibit 1 to an 8-K.
However, it is not a required filing, so sometimes you can find one and
sometimes not.
When I searched just the exhibits of this company's Edgar filings for
"Underwriter Agreement" I found some older ones, but not the particular
2008 transaction I was looking for. That means it probably wasn't
filed.
Another helpful suggestion was to direct my question to the BUS-LIB
listserv.
Again, many thanks for all your assistance.
-Bonnie
________________________________
From: owner-law-lib@ucdavis.edu [mailto:owner-law-lib@ucdavis.edu] On
Behalf Of Bonnie W. Jordan
Sent: Wednesday, November 19, 2008 12:23 PM
To: law-lib@ucdavis.edu
Subject: [LAW-LIB:57314] Underwriting Agreement
I'm investigating an offering of preferred stock by Public Company X
this year. There were five underwriters on the offering: Merrill, Citi,
Morgan Stanley, UBS and Wachovia.
Is it possible to find the Underwriter Agreement by and between these
parties? (Either online or through a document retrieval service.)
My attorney is "guessing" it's a public record, but I have my doubts.
I have already searched Edgar filings. I found the 8-K that announced
the stock offering but not the Underwriter Agreement. (Would it be a
paper filing that is not available online?)
Any ideas? Or can anyone confirm that this information is NOT publicly
available?
Many thanks,
Bonnie
Lindquist & Vennum PLLP
4200 IDS Center, 80 South Eighth Street
Minneapolis, MN 55402
Office: 612-371-5762
www.lindquist.com<http://www.digitechbranding.com/lindquist/usercard.php
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