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"Qualified Purchasers"
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EFTA01451788
Dataset 10
1p
384w
…by a natural person, there may be included any "investment" held jointly or as community property with such person's spouse. In determining whether spouses who arc making a joint investment in the Onshore Feeder Fund are
Qualified Purchasers
, there may be included in the amount of each spouse's "investments" any "investments" owned by the other spouse (whether or not such "investments" are held jointly). In determining whether a natural person is a Qualified Purchaser, there may be included…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01451788.pdf
EFTA00300022
Dataset 9
4p
2,210w
…that all holders of the outstanding securities of an issuer relying on Section 3(c)(7) (or. in the case of a non-U.S. issuer, all holders that are U.S. Persons) be "
qualified purchasers
- ("QPs") as defined in Section 2(a)(51)(A) of the Investment Company Act and related rules. Under the rules, the issuer must have a "reasonable belief' that all holders of its outstanding securities (or. in the case of a non-U.S. issuer…
https://www.justice.gov/epstein/files/DataSet%209/EFTA00300022.pdf
EFTA00313329
Dataset 9
4p
2,210w
…that all holders of the outstanding securities of an issuer relying on Section 3(c)(7) (or. in the case of a non-U.S. issuer, all holders that are U.S. Persons) be "
qualified purchasers
- ("QPs") as defined in Section 2(a)(51)(A) of the Investment Company Act and related rules. Under the rules, the issuer must have a "reasonable belief' that all holders of its outstanding securities (or. in the case of a non-U.S. issuer…
https://www.justice.gov/epstein/files/DataSet%209/EFTA00313329.pdf
EFTA01452246
Dataset 10
1p
383w
…by a natural person, there may be included any "investment" held jointly or as community property with such person's spouse. In determining whether spouses who arc making a joint investment in the Onshore Feeder Fund are
Qualified Purchasers
, there may be included in the amount of each spouse's "investments" any "investments" owned by the other spouse (whether or not such "investments" are held jointly). In determining whether a natural person is a Qualified Purchaser, there may be included…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01452246.pdf
EFTA01376403
Dataset 10
1p
583w
…Other Exchanges. In the event that a Global Security is exchanged for Securities in definitive registered form without interest coupons pursuant to Section 2.11 hereof, such Securities may be exchanged for one another only in accordance with such procedures as are substantially consistent with the provisions above (including certification requirements intended to insure that such transfers are made only to holders who are
Qualified Purchasers
and comply with Rule 144A or are to non-U.S. Persons, or otherwise…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01376403.pdf
EFTA01386448
Dataset 10
1p
496w
…the suitability• of an investment for such Recipient. This Presentation is not intended for distribution. and shall not be distributed. in arty iurisdiction•rirtere such distribution weeeld violate applicable securities laws. This Presentation can only be offered to Accredited investors &
Qualified Purchasers
. This material is personal to each offense and may only be used by those persons to whom it has been handed out. It is being provided to you upon your request for information concerning the Fund Strictly not…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01386448.pdf
EFTA01355284
Dataset 10
1p
494w
…the suitability• of an investment for such Recipient. This Presentation is not intended for distribution. and shall not be distributed. in arty jurisdiction•rirtere such distribution weiuld violate applicable securities laws. This Presentation can only be offered to Accredited investors &
Qualified Purchasers
. This material is personal to each offense and may only be used by those persons to whom it has been handed out. Its being provided to you upon your request tor information concerning the Fund Strictly not tor…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01355284.pdf
EFTA01386893
Dataset 10
2018-02-29
1p
707w
RIN II • 094 Alpha Group Capital LLC investments, a natural person or company, acting for its own account or the accounts of other
Qualified Purchasers
, who owns and invests on a discretionary basis not less than $25,000,000 in investments and certain trusts, and a company if each beneficial owner of the company's securities is a qualified purchaser. Each purchaser letter delivered pursuant to the PS Purchase Agreement will contain representations and restrictions on transfer designed to assure…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01386893.pdf
EFTA01354417
Dataset 10
1p
493w
…the suitability• of an investment for such Recipient. This Presentation is not intended for distribution. and shall not be distributed. in arty jurisdiction•rmere such distribution weuld violate applicable securities laws. This Presentation can only be offered to Accredited investors &
Qualified Purchasers
. This material is personal to each offense and may only be used by those persons to whom it has been banded out. It is being provided to you upon your request for information concerning the Fund Strictly not…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01354417.pdf
EFTA01355545
Dataset 10
1p
494w
…the suitability• of an investment for such Recipient. This Presentation is not intended for distribution. and shall not be distributed. in arty iurisdiction•rirtere such distribution taauld violate applicable securities laws. This Presentation can only be offered to Accredited investors &
Qualified Purchasers
. This material is personal to each offeree and may only be used by those persons to whom rt has been handed out. Its being provided to you upon your request ter information concerning the Fund Strictly not tor…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01355545.pdf
EFTA01394353
Dataset 10
1p
497w
…and shall not be dist; ibuted. in arty jurisdiction 'where such distribution weeeld violate applicable securities laws. This Presentation can only be offered to Accredited Investors &
Qualified Purchasers
. This material is personal to each offense and may only be used by those persons to whom it has been handed out. It is being provided to you upon your request for information concerning the Fund Strictly not tor redistribution. Please refer to the 'Important Information,' 'Key Definitions.' important Infonnation on the…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01394353.pdf
EFTA01392558
Dataset 10
1p
495w
…the suitability• of an investment for such Recipient. This Presentation is not intended for distribution. and shall not be distributed. in arty jurisdiction 'where such distribution weald violate applicable securities laws. This Presentation can only be offered to Accredited Investors &
Qualified Purchasers
. This material is personal to each offense and may only be used by those persons to whom it has been handed out. It is being provided to you upon your request for information concerning the Fund Strictly not…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01392558.pdf
EFTA01387401
Dataset 10
2019-07-18
1p
289w
Subject:
RXR QO2 Fund Call - July 24 @ 11AM
From:
Andrew King
To:
Paul Barrett
…01e Funds fundratsing effort, and status of the development ct thesis properties in the pipeline portloko. Tuesday, July 23/1, 2019 11:00 a.m. ET Room 2408 President and Chief Financial Officer Dial In Number: Conference 1D: Replay Number: This invitation is not transferable For
qualified purchasers
and accredited investors only. ra "Deutsche Bank' means Deutsche Bank AG and its attihated composes Deutsch. Bank Sec-ambers Inc. is a member of FINRA. NYSE and SIPC. Bank.ng and lending…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01387401.pdf
EFTA01114518
Dataset 9
5p
2,690w
…benefit. 4. Estate tax-free death benefit if owned by an irrevocable trust. V Private Placement Life insurance — A Quick Summary? PPLI is a security under federal securities law and is limited to accredited investors and
qualified purchasers
. PPLI is a state of the art institutionally priced variable universal life insurance policy that allows for customized investment options including a wide range of investment options such as hedge funds and private equity funds. VI Structured Settlement Life Insurance a. The…
https://www.justice.gov/epstein/files/DataSet%209/EFTA01114518.pdf
EFTA01376086
Dataset 10
1p
758w
…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
EFTA01365580
Dataset 10
1p
716w
…described under "Transfer and Exchange.- The Co-Issuers have been advised by the Initial Purchaser that it proposes to resell the Securities (a) only to 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…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01365580.pdf
EFTA01376078
Dataset 10
1p
871w
…Act in reliance on the exemption provided by Section 3(c)(7) of the Investment Company Act. In general terms. Section 3(c)(7) excepts from the provisions of the Investment Company Act those issuers (i) whose investors residing in the United States are
Qualified Purchasers
and (ii) which do not make a public offering of their securities in the United States. The Co-Issuer has not registered with the Commission as an investment company based on the fact that…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01376078.pdf
EFTA01364514
Dataset 10
1p
495w
…the suitability• of an investment for such Recipient. This Presentation is not intended for distribution. and shall not be distributed. in arty iurisdiction•rirtere such distribution weeeld violate applicable securities laws. This Presentation can only be offered to Accredited investors &
Qualified Purchasers
. This material is personal to each offense and may only be used by those persons to whom it has been handed out. It is being provided to you upon your request for information concerning the Fund Strictly not…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01364514.pdf
EFTA01365239
Dataset 10
1p
872w
…Act in reliance on the exemption provided by Section 3(c)(7) of the Investment Company Act. In general terms. Section 3(c)(7) excepts from the provisions of the Investment Company Act those issuers (i) whose investors residing in the United States are
Qualified Purchasers
and (ii) which do not make a public offering of their securities in the United States. The Co-Issuer has not registered with the Commission as an investment company based on the fact that…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01365239.pdf
EFTA01376431
Dataset 10
1p
511w
…i) The Issuer shall direct DTC to include the "3O" marker in the DTC 20-character security descriptor and the 48-character additional descriptor for the Rule 144A Global Securities in order to indicate that sales are limited to
Qualified Purchasers
that are Qualified Institutional Buyers. (ii) The Issuer shall direct DTC to cause each physical DTC delivery order ticket delivered by DTC to purchasers to contain the 20-character security descriptor and shall direct DTC to cause each DTC…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01376431.pdf
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