EFTA01268273Dataset 10
2019-05-232p679w
t Page 1 of 2) Transfer Out - Depository Trust and ID Amoritrado Clearing (DTC) Transfer Form For use when requesting a Charitable Mall or Fax to: Gift or Outbound partial transfer to PO Box 2760 • Omaha, NE 68103-2760 another financial institution. Fax: 886-468-6268 ,con bibV Account Number: Contact Nu 2. ELECTRONIC TRANSFER INSTRUCTIONS Charitable Gift For lax purposes, please contact recipient of coming donation. Consult with a tax professional on any lax issues. Please review the guidelines…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01268273.pdf
EFTA01361716Dataset 10
2015-01-311p925w
…partial redemption, pursuant to FINRA Rule 4340, Pershing must have procedures in place that are designed to treat clients fairly in accordance with an impartial lottery process. When an issuer initiates a partial caN of securities, the depository holding such securities (typically, the Depository Trust Clearing and Corporation, or DTCC) conducts an impartial, computerized lottery using an incremental random number technique to determine the allocation of called securities to participants for which it holds securities on deposit (including Pershing). Because…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01361716.pdf
EFTA01376196Dataset 10
1p667w
…None of the Co- Issuers, the Trustee or any Paying Agent will have any responsibility or liability for any aspects of the records maintained by the Depository or its nominee or any of the Agent Members relating to or for payments made thereby on account of beneficial interests in, a Global Security. As a condition to final payment due on the Stated Maturity of any Outstanding Security, the Holder thereof shall present and surrender such Security at the office designated…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01376196.pdf
EFTA01366359Dataset 10
1p946w
…street name," to either tender thcir certificates to our transfer agent prior to the date set forth in the tender offer documents or proxy materials mailed to such holders, or up to two business days prior to the vote on the proposal to approve the business combination in the event we distribute proxy materials, or to deliver their shares to the transfer agent electronically using Depository Trust Company's DWAC (Deposit/Withdrawal At Custodian) System, at the holder's option…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01366359.pdf
EFTA01365422Dataset 10
1p668w
…None of the Co- Issuers, the Trustee or any Paying Agent will have any responsibility or liability for any aspects of the records maintained by the Depository or its nominee or any of the Agent Members relating to or for payments made thereby on account of beneficial interests in, a Global Security. As a condition to final payment due on the Stated Maturity of any Outstanding Security, the Holder thereof shall present and surrender such Security at the office designated…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01365422.pdf
EFTA01368418Dataset 10
1p546w
…210(cX9)(A) of the Dodd-Frank Act, 12 U.S.C. 5390(c)(9XA), or 12 U.S.C. 182I(eX9XA). 9.5 Each party agrees to give notice to the other party if it becomes, or ceases to be, a financial company (as defined in the Dodd-Frank Act) or an Insured Depository Institution. 6395 598 PART B - PAGE 7 6393998 CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0060151 CONFIDENTIAL SDNY_GM_00206335 EFTA01368418
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01368418.pdf
EFTA01389092Dataset 10
1p511w
…12 U.S.C. 1821(e)(9XA). 10.5 Each party agrees to give notice to the other party if it becomes, or ceases to be, a financial company (as defined in the Dodd-Frank Act) or an Insured Depository Institution. 11. CONFIDENTIALITY. 11.1 Client hereby authorizes DB to disclose confidential information (including, without limitation, material confidential information) that is provided to DB by Client or on Client's behalf and is identified to DB as such ("Confidential Information…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01389092.pdf
EFTA01361642Dataset 10
2015-01-311p756w
…partial redemption, pursuant to FINRA Rule 4340, Pershing must have procedures in place that are designed to treat clients fairly in accordance with an impartial lottery process. When an issuer initiates a partial call of securities, the depository holding such securities (typically, the Depository Trust Clearing and Corporation, or DTCC) conducts an impartial, computerized lottery using an incremental random number technique to determine the allocation of called securities to participants for which it holds securities on deposit (including Pershing). Because…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01361642.pdf
EFTA01379399Dataset 10
2017-12-221p416w
…10mn Tenor: 1 - 10 years Bid/ask spread: 10 - 20bps Avg. daily vol: USD 10-20mn Ref. source: Reuters page <PYKRW> <IKRWIRS> Floating Leg: 6M LIBOR Conventions: Semi-Annual KRW Fixed Act/365 versus 6M USD LIBOR Floating. Act/360 Clearing and settlement regulation The Korea Securities Depository (KSD), the country's sole central securities depository, conducts the clearing and settlement of securities. KSD is under the supervision of the Ministry of Strategy and Finance, the Financial Supervisory Commission (FSC)…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01379399.pdf
EFTA01376706Dataset 10
1p500w
…12 U.S.C. 5390(cX9XA), or t2 U.S.C. 1821(e)(9XA). 10.5 Each party agrees to giVe notice to the other party if it becomes, or creases to be, a financial company (as defined in the Dodd-Frank Act) or art Insured Depository institution. II. CONFIDENTIALITY. 11.1 Client hereby .authorizes DB to disclose confidential information (including; without limitation; material confidential. information) that 'is provided to DB by Client or an Client's behalf and is…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01376706.pdf
EFTA01366368Dataset 10
1p632w
…such holders, or up to two combination was approved. the company business days prior to the vote on the would contact such stockholders to arrange proposal to approve the business for them to deliver their certificate to verify combination in the event we distribute ownership. proxy materials, or to deliver their shares to the transfer agent electronically using Depository Trust Company's DWAC (Deposit/Withdrawal At Custodian) System, at the holder's option. The tender offer or proxy materials, as…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01366368.pdf