Epstein Files Search

EFTA01384656Dataset 10

2018-01-031p475w

…application, resulting in uncertainty. It is impossible to predict when these restrictions will be imposed, what the interim or permanent restrictions will be and/or the effect of such restrictions on an Underlying Fund's strategies. An Underlying Fund may be materially adversely affected by the foregoing restrictions. Brexit The United Kingdom has notified the European Council of its intention to withdraw from the European Union. The ongoing withdrawal process could cause an extended period of uncertainty and market volatility…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01384656.pdf

EFTA01384662Dataset 10

1p606w

…position as compared to securities and other debt owed by the issuer. There may be defenses to trade claims — for example, the services or products furnished not meeting specifications — of which the Management Company and/or the General Partner may not be aware at the time of an Underlying Fund's acquisition of such claims. Convertible Securities An Underlying Fund invests in convertible securities that it may acquire in the open market or directly from issuers, their affiliates and others…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01384662.pdf

EFTA01384651Dataset 10

1p514w

…due to such counterparty's own financial difficulties, which could result in a forced liquidation of a substantial portion of the Underlying Fund's portfolio. Moreover, a disruption in the derivative trading, financing, derivative intermediation, and prime brokerage services provided by any such relationships before the Underlying Fund establishes additional relationships could have a significant impact on the Underlying Fund's business due to the Underlying Fund's reliance on such counterparties. These risks are accentuated for contracts with longer…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01384651.pdf

EFTA01354084Dataset 10

1p583w

…the applicable Fund charges its fees based on the value of the Fund's investments, including any performance-based compensation charged by such Fund. The general partner (or its affiliates, as applicable) of each Fund may also benefit from any overvaluation of an Underlying Fund's investments if the management fee for those Funds is based on the net asset value of a Fund's investment in the Underlying Fund. Educational Programs. iCapital may, from time to time, offer (and…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01354084.pdf

EFTA01394443Dataset 10

1p584w

…the applicable Fund charges its fees based on the value of the Fund's investments, including any performance-based compensation charged by such Fund. The general partner (or its affiliates, as applicable) of each Fund may also benefit from any overvaluation of an Underlying Fund's investments if the management fee for those Funds is based on the net asset value of a Fund's investment in the Underlying Fund. Educational Programs. iCapital may, from time to time, offer (and…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01394443.pdf

EFTA01390028Dataset 10

1p583w

…the applicable Fund charges its fees based on the value of the Fund's investments, including any performance-based compensation charged by such Fund. The general partner (or its affiliates, as applicable) of each Fund may also benefit from any overvaluation of an Underlying Fund's investments if the management fee for those Funds is based on the net asset value of a Fund's investment in the Underlying Fund. Educational Programs. iCapital may, from time to time, offer (and…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01390028.pdf

EFTA01392277Dataset 10

1p583w

…the applicable Fund charges its fees based on the value of the Fund's investments, including any performance-based compensation charged by such Fund. The general partner (or its affiliates, as applicable) of each Fund may also benefit from any overvaluation of an Underlying Fund's investments if the management fee for those Funds is based on the net asset value of a Fund's investment in the Underlying Fund. Educational Programs. iCapital may, from time to time, offer (and…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01392277.pdf

EFTA01384678Dataset 10

1p520w

…other kinds of markets) are often complex and difficult to interpret, implement and monitor, and are subject to re-interpretation, which could expose the Partnership, the General Partner and their respective affiliates to liability. (See "Litigation," below.) Litigation With regard to certain of an Underlying Fund's investments, the Management Company, the Partnership and/or the Underlying Fund may be plaintiffs or defendants in private civil proceedings. The expense of prosecuting claims, for which there is no guarantee of success…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01384678.pdf

EFTA01384665Dataset 10

1p601w

…The value of futures, options and derivative agreements also depends upon the price of the assets that are underlying them. In addition, an Underlying Fund's assets are also subject to the risk of the failure of any of the clearinghouses or counterparties. Additional risks associated with derivatives trading include: Tracking. When used for hedging purposes, an imperfect or variable degree of correlation between price movements of the derivative and the underlying investment sought to be hedged may prevent an…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01384665.pdf

EFTA01354072Dataset 10

1p653w

…a private equity fund, factors specific to a portfolio company may have an adverse effect on the underlying private equity funds' investment in such company. iCapital may rely upon an Underlying Fund Manager's or Sub- Adviser's projections concerning an underlying Fund's or a security's future performance in making investment decisions. Such projections are inherently subject to uncertainty and to certain factors beyond the control of such Fund and iCapital. Consequences of Default. In the event that…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01354072.pdf

EFTA01386511Dataset 10

1p584w

…the applicable Fund charges its fees based on the value of the Fund's investments, including any performance-based compensation charged by such Fund. The general partner (or its affiliates, as applicable) of each Fund may also benefit from any overvaluation of an Underlying Fund's investments if the management fee for those Funds is based on the net asset value of a Fund's investment in the Underlying Fund. Educational Programs. iCapital may, from time to time, offer (and…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01386511.pdf

EFTA01384640Dataset 10

1p540w

…trading; (iii) convertibles; and (iv) credit. Illustrative Trading Strategies and Techniques Certain of the specific trading strategies and techniques (including sub-strategies) that have historically been used for the Underlying Funds are outlined below for illustrative purposes. The following does not purport to be a complete list of all trading strategies employed, and certain of an Underlying Fund's trades may involve a combination of, or a departure from, these strategies. At different times, an Underlying Fund may employ certain…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01384640.pdf

EFTA01391292Dataset 10

1p653w

…a private equity fund, factors specific to a portfolio company may have an adverse effect on the underlying private equity funds' investment in such company. iCapital may rely upon an Underlying Fund Manager's or Sub- Adviser's projections concerning an underlying Fund's or a security's future performance in making investment decisions. Such projections are inherently subject to uncertainty and to certain factors beyond the control of such Fund and iCapital. Consequences of Default. In the event that…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01391292.pdf

EFTA01384649Dataset 10

1p567w

…be no assurance, however, that such prime brokers will either continue such arrangements with an Underlying Fund or that such prime brokers and other lenders will approve extensions of credit to an Underlying Fund at the levels requested by the Underlying Fund. Any restriction on the availability of credit from such parties could adversely affect the Underlying Fund's performance. The access to and cost of capital also could be impaired by many factors, including market forces, judicial action or…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01384649.pdf

EFTA01384664Dataset 10

1p666w

…s) in respect of which such determination is made and, possibly, on the Underlying Fund's ability to continue to effectively pursue this investment strategy. An Underlying Fund could be held jointly and severally liable with the issuer to the persons purchasing Securities from it for damages based upon misstatements or omissions of material facts in a prospectus or oral communication delivered or made in connection with such offer or sale. An Underlying Fund relies on certain exemptions from the…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01384664.pdf

EFTA01394434Dataset 10

1p654w

…a private equity fund, factors specific to a portfolio company may have an adverse effect on the underlying private equity funds' investment in such company. iCapital may rely upon an Underlying Fund Manager's or Sub- Adviser's projections concerning an underlying Fund's or a security's future performance in making investment decisions. Such projections are inherently subject to uncertainty and to certain factors beyond the control of such Fund and iCapital. Consequences of Default. In the event that…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01394434.pdf

EFTA01384653Dataset 10

1p541w

HUBUS133 Alpha Group Capital number of entities and jurisdictions that may be involved, it is impossible to generalize about the effect of such an insolvency on the Underlying Fund and its assets. Investors should assume that the insolvency of any such counterparty or sub-custodian would result in significant delays in recovering the Underlying Fund's assets from, or the payment of claims therefor by, such counterparty and a loss to the Underlying Fund, which could be material. Commodity Interest…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01384653.pdf

EFTA01386568Dataset 10

1p451w

…IV. LP, an English private fund limited partnership (together with its parallel funds and alternative investment vehicles, if applicable, the -Underlying Fund"), as an equity holder thereof in accordance with the temis set forth in the Underlying Fund's constituent documents. The principal investment objective of the Underlying Fund is to generate attractive risk-adjusted investment returns, principally in the fonn of capital appreciation, through the acquisition, holding, financing, refinancing and disposition of a diverse portfolio of investments including buyout…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01386568.pdf

EFTA01393599Dataset 10

1p744w

…will not register under the Exchange Act, (iv) the Interests of which will be subject to restrictions on transfer and will have no public market, (v) which will not be permitted to make full or partial withdrawals from the Underlying Fund pursuant to the terms of the Underlying Fund's governing agreement (except in very limited circumstances) and (vi) with respect to which, investors may lose the entire amount of their investment. In addition, there can be no assurance that…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01393599.pdf

EFTA01391983Dataset 10

1p449w

…IV. LP, an English private fund limited partnership (together with its parallel funds and alternative investment vehicles, if applicable, the -Underlying Fund"), as an equity holder thereof in accordance with the temis set forth in the Underlying Fund's constituent documents. The principal investment objective of the Underlying Fund is to generate attractive risk-adjusted investment returns, principally in the fonn of capital appreciation, through the acquisition, holding, financing, refinancing and disposition of a diverse portfolio of investments including buyout…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01391983.pdf