EFTA01386905Dataset 10
1p771w
…payment of interest, (ii) pays in cash all accrued and unpaid interest accrued since the time of purchase and (iii) commences payment of all current interest in cash.] "Delayed Drawdown Collateral Obligation": A Collateral Obligation (other than a Revolving Collateral Obligation) that (a) requires the Issuer to make one or more future advances to the borrower under the Underlying Instruments relating thereto, (b) specifies a maximum amount that can be borrowed on one or more fixed borrowing dates, and (c…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01386905.pdf
EFTA01365608Dataset 10
1p592w
…the sum of the Funded Amount and the maximum aggregate amount of unfunded advances or other extensions of credit, or payments of principal amounts, at any one time outstanding that the Issuer could be required to make to the obligor under the Underlying Instruments relating thereto. "Companies Law": The Companies Law (2010 Revision) of the Cayman Islands, as amended from time to time. "Controlling Class": So long as any Class A-1 Notes are Outstanding, the Class A-1 Notes…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01365608.pdf
EFTA01376295Dataset 10
1p903w
…time will vary, and may vary substantially, from the price at which that Collateral Obligation was initially purchased and from the principal amount of such Collateral Obligation, due to market volatility, changes in relative credit quality. availability of financial information and remedies under the Underlying Instruments of such Collateral Obligation. general economic conditions, the level of interest rates, changes in exchange rates, the supply of below investment grade debt obligations and other factors that are difficult to predict. In addition…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01376295.pdf
EFTA01118864Dataset 9
46p21,591w
…off-exchange option contracts, interest rate and credit default swaps, and swaptions are valued in good faith by the General Partner based on pricing models developed by the General Partner or broker quotations. Commodity forward contracts and commodity and equity swaps are valued based on the settlement prices of the underlying instruments (in accordance with the policies described above). In the absence of a settlement price, valuations are determined using broker quotations. Equity securities traded on exchanges or included in…
https://www.justice.gov/epstein/files/DataSet%209/EFTA01118864.pdf
EFTA01365548Dataset 10
1p903w
…time will vary, and may vary substantially, from the price at which that Collateral Obligation was initially purchased and from the principal amount of such Collateral Obligation, due to market volatility, changes in relative credit quality. availability of financial information and remedies under the Underlying Instruments of such Collateral Obligation. general economic conditions, the level of interest rates, changes in exchange rates, the supply of below investment grade debt obligations and other factors that are difficult to predict. In addition…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01365548.pdf
EFTA00237366Dataset 9
7p4,630w
…value of the underlying instrument : C Uncovered option editing is a only for the knowledgeable investor who understands the asks, has the financial cepa(e gand willingness to°Cur potentially substantial losses, and has SultiCient liquid assets to meet applicable margin requirements in this r aid, it the value of the underlying instruments moves against an uncovered !I'S options position. the investor's Financial Advisdi may request significant additional margin tents 1 an investor does not make such margin payments…
https://www.justice.gov/epstein/files/DataSet%209/EFTA00237366.pdf
EFTA01070909Dataset 9
17p5,094w
…off-exchange option contracts, interest rate and credit default swaps, and swaptions are valued in good faith by Nikolic based on pricing models developed by Nikolic or broker quotations. 6. COMMODITY FORWARD CONTRACTS AND COMMODITY AND EQUITY SWAPS. Commodity forward contracts and commodity and equity swaps are valued based on the settlement prices of the underlying instruments (in accordance with the valuation methods above). In the absence of a Settlement Price, valuations are determined using broker quotations. 15 EFTA01070923 7. …
https://www.justice.gov/epstein/files/DataSet%209/EFTA01070909.pdf
EFTA01452032Dataset 10
1p587w
…DEEMED TO CONSTITUTE, ANY OFFER OR SALE OF SECURITIES IN THE STATE OF QATAR OR IN THE QATAR FINANCIAL CENTRE OR THE INWARD MARKETING OF AN INVESTMENT FUND OR AN ATTEMPT TO DO BUSINESS. AS A BANK, AN INVESTMENT COMPANY OR OTHERWISE IN THE STATE OF QATAR OR IN THE QATAR FINANCIAL CENTRE. THIS MEMORANDUM AND THE UNDERLYING INSTRUMENTS HAVE NOT BEEN APPROVED, REGISTERED OR LICENSED BY THE QATAR CENTRAL BANK, THE QATAR FINANCIAL CENTRE'S REGULATORY AUTHORITY, THE QATAR…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01452032.pdf
EFTA01376176Dataset 10
1p430w
…as of any date of determination, the outstanding principal amount of such Pledged Obligation; provided, that: (a) the Principal Balance of any Collateral Obligation received upon acceptance of an Offer for another Collateral Obligation, which Offer expressly states that failure to accept such Offer may result in a default under the Underlying Instruments, will be determined as if such Collateral Obligation were a Defaulted Obligation until such time as interest and principal, as applicable, are received when due with respect…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01376176.pdf
EFTA01365395Dataset 10
1p431w
…as of any date of determination, the outstanding principal amount of such Pledged Obligation; provided, that: (a) the Principal Balance of any Collateral Obligation received upon acceptance of an Offer for another Collateral Obligation, which Offer expressly states that failure to accept such Offer may result in a default under the Underlying Instruments, will be determined as if such Collateral Obligation were a Defaulted Obligation until such time as interest and principal, as applicable, are received when due with respect…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01365395.pdf
EFTA01365376Dataset 10
1p402w
…Collection Account": The Interest Collection Account or the Principal Collection Account, as applicable. "Commitment Amount": With respect to any Credit Facility, the sum of the Funded Amount and the maximum aggregate amount of unfunded advances or other extensions of credit, or payments of principal amounts, at any one time outstanding that the Issuer could be required to make to the obligor under the Underlying Instruments relating thereto. 12 LNG IM CLO 2011-1 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01365376.pdf
EFTA01451631Dataset 10
1p587w
…DEEMED TO CONSTITUTE, ANY OFFER OR SALE OF SECURITIES IN THE STATE OF QATAR OR IN THE QATAR FINANCIAL CENTRE OR THE INWARD MARKETING OF AN INVESTMENT FUND OR AN ATTEMPT TO DO BUSINESS. AS A BANK, AN INVESTMENT COMPANY OR OTHERWISE IN THE STATE OF QATAR OR IN THE QATAR FINANCIAL CENTRE. THIS MEMORANDUM AND THE UNDERLYING INSTRUMENTS HAVE NOT BEEN APPROVED, REGISTERED OR LICENSED BY THE QATAR CENTRAL BANK, THE QATAR FINANCIAL CENTRE'S REGULATORY AUTHORITY, THE QATAR…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01451631.pdf
EFTA00237359Dataset 9
5p2,751w
…who understands the risks, has the financial capacity and willingness to incur potentially substantial losses, and has sufficient liquid assets to meet applicable margin requirements. In this regard, d the value of the underlying instruments moves against an uncovered writer's options position, the investor's Financial Advisor may request significant additional margin payments If an investor does not make such margin payments, the Financial Advisor may liquidate stock or options positions in the investor's account, with little or…
https://www.justice.gov/epstein/files/DataSet%209/EFTA00237359.pdf