EFTA00293484Dataset 9
2013-11-309p2,204w
…discussed the written appraisal report of Globalview Advisors LLC (the "Valuation Finn"), dated as of November 30, 2013, which report meets the requirements specified for such reports in the Treasury regulations under Internal Revenue Code Section 409A and concludes that the Company's Common Stock had a fair market value of $0.21 per share as of November 30, 2013 (the "Report Date"); and WHEREAS, the Valuation Firm's report was completed less than 12 months ago and no developments…
https://www.justice.gov/epstein/files/DataSet%209/EFTA00293484.pdf
EFTA00805860Dataset 9
2017-10-2342p9,147w
…purposes of this investor update, valuation information, to the extent available, has been provided for your reference. Values have been reported on the following basis: • Stock investments are valued based on Internal Revenue Code Section 409A valuations, most recent funding rounds (subsequent to the Fund's investment), and certain other methods, as provided by the portfolio companies. If no valuation information is available or the Fund participated in the most recent funding round, then the stock investment is held at…
https://www.justice.gov/epstein/files/DataSet%209/EFTA00805860.pdf
EFTA01108368Dataset 9
2013-05-097p3,417w
…to comply with the applicable provisions of such section. To the extent necessary to avoid the imposition of tax or penalty under Section 409A, any payment by the Company or any Subsidiary or Affiliate to the Participant (if the Participant is then a "specified employee" as defined in Code Section 409A(aX2XB)(i) and Treasury Regulation §I.409A-10XID of "deferred compensation," whether pursuant to this Cash Incentive Award Agreement or otherwise, arising solely due to a "separation from service…
https://www.justice.gov/epstein/files/DataSet%209/EFTA01108368.pdf
EFTA01102119Dataset 9
2007-07-1320p8,591w
…should be prohibited from performing his responsibilities and duties, and (b) during such period Executive shall continue to serve on the Executive Committee unless otherwise prohibited from doing so pursuant to the Agreement Among Principals. (e) Section 409k. To the extent required to avoid the imposition of tax under Section 409A of the Code ("Section 409A"), if Executive is a "specified employee" for purposes of Section 409A, amounts that would otherwise be payable under this Section 5 during the six…
https://www.justice.gov/epstein/files/DataSet%209/EFTA01102119.pdf
EFTA01116307Dataset 9
13p5,224w
…suit, arbitration or other proceeding (or portion thereof) initiated by Executive, unless authorized or ratified by the Company. Section 15. Amendment; No Waiver; Code Section 409A. (a) No provisions of this Agreement may be amended, modified, waived or discharged except by a written document signed by Executive and a duly authorized officer of the Company (other than Executive). The failure of a party to insist upon strict adherence to any term of this Agreement on any occasion shall not be…
https://www.justice.gov/epstein/files/DataSet%209/EFTA01116307.pdf
EFTA01102107Dataset 9
2013-02-1312p5,119w
…the Company to the maximum extent provided by law, but not for any action, suit, arbitration or other proceeding (or portion thereof) initiated by Executive, unless authorized or ratified by the Company. Section 15. Amendment: No Waiver: Code Section 409A. (a) No provisions of this Agreement may be amended, modified, waived or discharged except by a written document signed by Executive and a duly authorized officer of the Company (other than Executive). The failure of a party to insist upon…
https://www.justice.gov/epstein/files/DataSet%209/EFTA01102107.pdf