Epstein Files Search

EFTA01376084Dataset 10

1p699w

…integral multiples of U.S. $1,000 in excess thereof, except in the case of certain Income Notes held by Knowledgeable Employees as permitted by the Indenture. Rule 144A Global Notes The Senior Notes initially sold in the United States or to U.S. Persons (as defined in Regulation S under the Securities Act) pursuant to Rule 144A under the Securities Act will be represented by one or more permanent global notes per Class in defmitive, fully registered form without…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01376084.pdf

EFTA01365276Dataset 10

1996-04-301p710w

…under the Investment Company Act. In this regard. the offering of the Securities has been structured to comply with Section 3(e)(7) of the Investment Company Act, which exempts those non-U.S. issuers (i) whose investors residing in the United States arc Qualified Purchasers (or Knowledgeable Employees) and (ii) which do not make a public offering of their securities in the United States. In general terms. Qualified Purchaser is defined to mean, among other things, (i) natural persons…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01365276.pdf

EFTA01376102Dataset 10

1996-04-301p709w

…under the Investment Company Act. In this regard. the offering of the Securities has been structured to comply with Section 3(e)(7) of the Investment Company Act, which exempts those non-U.S. issuers (i) whose investors residing in the United States arc Qualified Purchasers (or Knowledgeable Employees) and (ii) which do not make a public offering of their securities in the United States. In general terms. Qualified Purchaser is defined to mean, among other things, (i) natural persons…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01376102.pdf

EFTA01365285Dataset 10

1p738w

…Section 3(cX7) of the Investment Company Act. To satisfy Section 3(eX7). the Issuer must have a "reasonable belief' that all purchasers of interests in the Rule 144A Global Notes and all purchasers of Certificated Notes (including initial purchasers and subsequent transferees) are Qualified Purchasers or Knowledgeable Employees and that all purchasers of interests in Regulation S Global Notes (including the initial purchasers and subsequent transferees) are non-U.S. Persons. The Issuer will establish such a reasonable belief…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01365285.pdf

EFTA01376400Dataset 10

1p342w

… Yes Notes? The Notes shall be issuable in minimum denominations of $500,000 and integral multiples of $1,000 in excess thereof, provided that up to 2 Income Notes held by Accredited Investors that are Knowledgeable Employees may have minimum denominations of $10,000 and integratal multiple of $1,000 in excess thereof (such applicable minimum denominations, "Authorized Denominations"). Section 2.4 Intentionally Omitted. Section 2.5 Execution, Authentication, Delivery and Dating. The Securities shall be executed on behalf of…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01376400.pdf

EFTA01365538Dataset 10

1p532w

…Institutional Buyers that are also Qualified Purchasers and. in the case of the Subordinated Securities. Accredited Investors that arc also (i) Qualified Purchasers or (ii) in the case of Subordinated Securities. Knowledgeable Employees in reliance on an exemption under the Securities Act or (B) non-U.S. persons in accordance with the requirements of Regulation S and (C) in accordance with any other applicable law. Transfer of the Securities is subject to certain restrictions. Each purchaser (including transferees) will be…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01365538.pdf

EFTA01376108Dataset 10

1p737w

…Section 3(cX7) of the Investment Company Act. To satisfy Section 3(eX7). the Issuer must have a "reasonable belief' that all purchasers of interests in the Rule 144A Global Notes and all purchasers of Certificated Notes (including initial purchasers and subsequent transferees) are Qualified Purchasers or Knowledgeable Employees and that all purchasers of interests in Regulation S Global Notes (including the initial purchasers and subsequent transferees) are non-U.S. Persons. The Issuer will establish such a reasonable belief…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01376108.pdf

EFTA01367458Dataset 10

1p937w

…Act of 1940, as amended (the "Investment Company Act"), and the rules promulgated thereunder or (ii) employees of BlackRock Financial Management, Inc. or its affiliates who are Knowledgeable Employees. Certain offers and sales may also be made to persons who are both (A) 'qualified purchasers," as such term is defined in Section 2(a)(51)(A) of the Investment Company Act, and (B) "non-U.S. persons," as such term is defined under Regulation S of the Securities Act, in …

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01367458.pdf

EFTA01365249Dataset 10

1p700w

…integral multiples of U.S. $1,000 in excess thereof, except in the case of certain Income Notes held by Knowledgeable Employees as permitted by the Indenture. Rule 144A Global Notes The Senior Notes initially sold in the United States or to U.S. Persons (as defined in Regulation S under the Securities Act) pursuant to Rule 144A under the Securities Act will be represented by one or more permanent global notes per Class in defmitive, fully registered form without…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01365249.pdf

EFTA01365217Dataset 10

2007-01-171p875w

…1940. as amended (the -Investment Company Act"). The Senior Notes are being offered in the United States only to Qualified Institutional Buyers that are also Qualified Purchasers. The Income Notes are being offered in the United States only to Qualified Institutional Buyers or Accredited Investors that in either case are also Qualified Purchasers or Knowledgeable Employees. The Securities are being offered to non-U.S. Persons in offshore transactions in reliance on Regulation S under the Securities Act ("Regulation 5")…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01365217.pdf

EFTA01376086Dataset 10

1p758w

…Issuer or on its behalf, the transferor or the transferee has provided an opinion of counsel to each of the Issuer and the Trustee that such transfer may be made pursuant to an exemption from registration under the Securities Act and any applicable state securities law) that in each case are also Qualified Purchasers or Knowledgeable Employees or (2) in the form of an interest in a Regulation S Global Security to non-U.S. Persons in offshore transactions in…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01376086.pdf

EFTA01365580Dataset 10

1p716w

…Qualified Institutional Buyers that are also Qualified Purchasers and, in the case of the Subordinated Securities, to Accredited Investors that are also either (i) Qualified Purchasers or (ii) in the case of the Subordinated Securities. Knowledgeable Employees in reliance on an exemption under the Securities Act and (b) through Credit Suisse Securities (Europe) Limited acting as its sales agent to non-U.S. persons in offshore transactions in reliance on Regulation S. Any offer or sale of Securities in the…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01365580.pdf

EFTA01384621Dataset 10

1p568w

…is registered as an investment company by virtue of Section 3(c)(7) of the Investment Company Act of 1940, as amended (the "Company Act"), because each offers interests only to "accredited investors," as defined in Regulation D promulgated under the Securities Act of 1933, as amended (the "Securities Act"), and "qualified purchasers" or "knowledgeable employees," as defined under the Company Act, and only on a private placement basis. DOC m- 10746057.132 - - CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01384621.pdf

EFTA01376068Dataset 10

1p530w

…ii) outside the United States to non-U.S. Persons in offshore transactions in reliance on Regulation S. The Income Notes am being offered (i) in the United States only to Qualified Institutional Buyers or Accredited Investors that in either case are also Qualified Purchasers or "knowledgeable employees" as defined in Rule 3c-5 under the Investment Company Act ("Knowledgeable Employees") and (ii) outside the United States to non-U.S. Persons in offshore transactions in reliance on Regulation S…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01376068.pdf

EFTA01376312Dataset 10

1p715w

…Qualified Institutional Buyers that are also Qualified Purchasers and, in the case of the Subordinated Securities, to Accredited Investors that are also either (i) Qualified Purchasers or (ii) in the case of the Subordinated Securities. Knowledgeable Employees in reliance on an exemption under the Securities Act and (b) through Credit Suisse Securities (Europe) Limited acting as its sales agent to non-U.S. persons in offshore transactions in reliance on Regulation S. Any offer or sale of Securities in the…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01376312.pdf

EFTA01365253Dataset 10

1p759w

…Issuer or on its behalf, the transferor or the transferee has provided an opinion of counsel to each of the Issuer and the Trustee that such transfer may be made pursuant to an exemption from registration under the Securities Act and any applicable state securities law) that in each case are also Qualified Purchasers or Knowledgeable Employees or (2) in the form of an interest in a Regulation S Global Security to non-U.S. Persons in offshore transactions in…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01365253.pdf

EFTA01365227Dataset 10

1p532w

…ii) outside the United States to non-U.S. Persons in offshore transactions in reliance on Regulation S. The Income Notes am being offered (i) in the United States only to Qualified Institutional Buyers or Accredited Investors that in either case are also Qualified Purchasers or "knowledgeable employees" as defined in Rule 3c-5 under the Investment Company Act ("Knowledgeable Employees") and (ii) outside the United States to non-U.S. Persons in offshore transactions in reliance on Regulation S…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01365227.pdf

EFTA01376287Dataset 10

1p532w

…Institutional Buyers that are also Qualified Purchasers and. in the case of the Subordinated Securities. Accredited Investors that arc also (i) Qualified Purchasers or (ii) in the case of Subordinated Securities. Knowledgeable Employees in reliance on an exemption under the Securities Act or (B) non-U.S. persons in accordance with the requirements of Regulation S and (C) in accordance with any other applicable law. Transfer of the Securities is subject to certain restrictions. Each purchaser (including transferees) will be…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01376287.pdf

EFTA01376274Dataset 10

2011-06-151p885w

…a) UNDER REGULATION D UNDER THE SECURITIES ACT), THAT ARE ALSO (i) "QUALIFIED PURCHASERS" FOR PURPOSES OF THE INVESTMENT COMPANY ACT OR (ii) IN THE CASE OF THE SUBORDINATED SECURITIES. "KNOWLEDGEABLE EMPLOYEES" (AS DEFINED IN RULE 3c-6 UNDER THE INVESTMENT COMPANY ACT) OR (B) TO NON-U.S. PERSONS IN ACCORDANCE WITH THE REQUIREMENTS OF REGULATION S UNDER THE SECURITIES ACT AND (C) IN ACCORDANCE WITH ANY OTHER APPLICABLE LAW. FOR A DESCRIPTION OF CERTAIN RESTRICTIONS ON RESALE OR…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01376274.pdf

EFTA01422826Dataset 10

2011-06-15323p90,065w

…a) UNDER REGULATION D UNDER THE SECURITIES ACT), THAT ARE ALSO (i) "QUALIFIED PURCHASERS" FOR PURPOSES OF THE INVESTMENT COMPANY ACT OR (ii) IN THE CASE OF THE SUBORDINATED SECURITIES, "KNOWLEDGEABLE EMPLOYEES" (AS DEFINED IN RULE 3c-5 UNDER THE INVESTMENT COMPANY ACT) OR (B) TO NON-U.S. PERSONS IN ACCORDANCE WITH THE REQUIREMENTS OF REGULATION S UNDER THE SECURITIES ACT AND (C) IN ACCORDANCE WITH ANY OTHER APPLICABLE LAW. FOR A DESCRIPTION OF CERTAIN RESTRICTIONS ON RESALE OR…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01422826.pdf