document_description: This document is a Salesforce record for Southern Trust Company, Inc., detailing customer information, relationship type, ownership, creation and modification details, status, client satisfaction, industry, revenue tier, net worth, investable assets, and income estimates.

title: Southern Trust Company, Inc. Salesforce Record

key_people:
Cynthia Rodriguez
Stewart Oldfield
Komal Shahani

document_subtype: Salesforce Customer Record

key_organizations:
Southern Trust Company, Inc.
Relational Junction


source: doj

document_description: This document contains detailed financial and organizational information about Southern Trust Company, Inc., including account details, contact information, and investment opportunities. It lists key individuals associated with the company and provides a snapshot of its financial activities and status as of 2017.

title: Southern Trust Company, Inc. — Salesforce - Unlimited Edition

key_people:
Jeffrey Epstein
Darren Indyke
Richard Kahn
Bella Klein
Cynthia Rodriguez

document_type: tabular


document_description: This document contains various records and activities related to Southern Trust Company, Inc. in Salesforce. It includes case records, open activities, activity history, notes and attachments, annual client updates, and other sections like lending approvals, ticklers, client complaints, AIS requests, SPG approval requests, and contact deduplication. No records are displayed for some sections.

key_people:
Paul Morris
Cynthia Rodriguez
Banna Fowler
Amanda Kirby
Aracely Sanchez
Dhru Yaday


document_description: Salesforce account history and audit trail for Southern Trust Company, Inc. showing changes in customer ownership and fund status.

key_people:
Paul Morris
Stewart Oldfield
Komal Shahani

key_organizations:
Southern Trust Company, Inc.
Salesforce


document_description: Ariane Dwyer's contact information and confidentiality notice from Deutsche Bank Securities Inc.

document_type: correspondence

key_locations: 345 Park Avenue, New York, NY, 10154-0004

key_organizations:
Deutsche Bank Securities Inc
Deutsche Asset & Wealth Management


document_description: Deutsche Bank Securities Inc. proposes to introduce a client to Vy Capital Management Company Limited for potential investment in Space Exploration Technologies Corp. DB will receive a referral fee if the client invests. The letter includes a disclosure of the arrangement and requires the client's acknowledgment of receipt and understanding of the investment risks.

document_subtype: Disclosure Letter

key_organizations:
Deutsche Bank Securities Inc.
Vy Capital Management Company Limited
Space Exploration Technologies Corp.


document_description: This document is an agreement outlining the terms and conditions between the parties involved. It includes clauses on legal actions, relationship between parties, entire agreement, assignment, return of confidential information, severability, counterparts, notices, governing law, and public information. The agreement is governed by English law and any legal proceedings are to be brought to the London Court of International Arbitration (LCIA).

document_type: legal

document_subtype: Agreement


document_description: The document is a forwarded email chain discussing an urgent need for amended confirmation related to Southern Financial LLC. Soumya DR from DBOI Global Services Pvt Ltd is coordinating the communication, with alternative contacts provided for escalation.

key_people:
Soumya DR
Nitesh
Anil-S Kumar
Ambaji Mane
Sagar-A Valecha

key_organizations:
DBOI Global Services Pvt Ltd
Southern Financial LLC


document_description: This document appears to be a business card or part of an email signature for Prabhuling-C Kottalagi from OBOI Global Services Private Limited, working in Derivative Documentation. It includes partially obscured contact information and a company slogan 'Passion to Perform'.


document_description: A table listing various entities registered in the State of Delaware under the name 'Southern Financial'.

key_locations:
State of Delaware
Jaipur, India

document_subtype: business registry

key_organizations:
Southern Financial Capital Trust I
Southern Financial Capital Trust III
Southern Financial Consultants LLC
Southern Financial Corp.
Southern Financial Group, Inc.
Southern Financial Holding Company
Southern Financial Resource Group, LLC
Southern Financial Sales, Inc.
Southern Financial Services, Inc.
DBOI Global Services Prrvale Limited


document_description: A memorandum instructing a wire transfer of $25,000 from a specified account to a beneficiary bank in Stockholm.

key_people:
Darren Indyke
Vahe
Bella Klein

document_type: financial

document_subtype: wire transfer instruction

key_organizations: J. Epstein Virgin Islands Foundation Inc.


document_description: A communication from Daniel Sabba, Director at Deutsche Bank Securities Inc, discussing potential catalysts for a EUR sell-off, including ECB monetary expansion, weak German data, and a stronger USD due to faster US recovery. The communication includes a note on 3m ATmF implied vol in EURUSD and a disclaimer about the nature and risks of derivatives.


document_description: This document is a confidential communication from Deutsche Bank, emphasizing the confidentiality and potential legal privilege of the information contained within. It warns against unauthorized use, disclosure, or copying and provides instructions for notifying the sender in case of receipt in error.


document_description: This document contains a historical chart of eDerivatives values from 2008 to 2014, along with a table of series quantiles and percentile rankings. It includes implied volatility data for SPX 36M-Maturity ATM-Strike, 110%-Strike, and 120%-Strike.

title: eDerivatives Historical Chart


document_description: The document discusses the benefits of buying long-dated call options for investors seeking equity exposure. It highlights the attractive pricing of long-dated calls on the SPX index and their embedded risk management characteristics. The note is divided into three parts: current pricing attractiveness, historical performance of different long-dated call structures, and the relative magnitude of risks in long call positions.

title: US Derivatives Spotlight


document_description: The document discusses the current state of call option pricing, highlighting that low interest rates, high dividend yields, and low implied volatility levels make long-dated calls historically cheap. It includes figures showing the drivers of call option pricing and their historical levels, as well as the distribution of call pricing for different maturities and strikes over the past decade.

title: US Derivatives Spotlight


document_description: The document discusses the impact of low US interest rates and increasing dividend payments on SPX forward values and call premia. It includes data on US swap rates and SPX forward/spot values over time, highlighting the effects of repo rates on call prices.

title: US Derivatives Spotlight


document_description: The document discusses the attractive pricing of long-dated call options due to low forward rates and depressed long-dated implied volatility. It compares historical performances of different long-dated call strategies against SPX Index returns, highlighting that call spreads tend to have the highest risk-adjusted returns. The document includes backtest results for SPX 18M and 36M options, noting that option strategies generally perform better in downturns but underperform in rising markets.

title: US Derivatives Spotlight


document_description: The document compares the performance of equity versus various 36-month call option strategies rolled after 24 months over different market periods. It highlights that while the total return on the SPX was positive, the option strategies underperformed the SPX. However, when adjusted for realized volatility, the option strategies showed better performance compared to equity. The document includes a table and figures illustrating these comparisons.

title: US Derivatives Spotlight

key_organizations:
Deutsche Bank
Bloomberg Finance LP


document_description: The document discusses the relative performance of ATM - 1M 2% vs. ATM options, highlighting the risks and performance of short 1M calls and call spreads. It includes a table of relative performance data and analysis of 1M SPX returns distribution over a historical period. The document emphasizes the risk-adjusted performance of call spreads compared to other strategies.

title: US Derivatives Spotlight

key_organizations:
Deutsche Bank
Bloomberg Finance LP
Deutsche Bank Securities Inc.


document_description: The document provides an analysis of annualized returns and realized volatility for various equity and derivative strategies, sourced from Deutsche Bank and Bloomberg Finance LP. It discusses the attractiveness of long-dated call options and compares outright call options with call spreads, suggesting strategies for scaling call spread notionals to achieve similar delta exposure as outright calls. Historical backtests indicate better returns and risk-adjusted returns for call spreads after scaling.

title: US Derivatives Spotlight


document_description: The document provides an analysis of annualized returns and realized volatility for various derivatives strategies, including outright and spread positions. It discusses the benefits of rolling call spread positions prior to expiry to achieve higher risk-adjusted returns and manage delta exposure. The document includes multiple tables with data on different strategies and roll periods.

title: US Derivatives Spotlight


document_description: The document provides an analysis of volatility, rate, and dividend yield risks for long-dated call options. It discusses the sensitivity of options to implied volatility (vega) and how changes in rates and dividends impact call prices. The document includes a detailed examination of the effects of spot rallies on implied volatilities, highlighting the term-structure and skew effects. It presents data on the median change in fixed-strike implied volatilities contingent on market rallies, with a focus on long-dated options.

title: US Derivatives Spotlight


document_description: The document provides simulated profit and loss (P/L) figures for 36-month (36M) and 18-month (18M) at-the-money (ATM) options under various volatility and spot change scenarios after one year. It highlights the impact of time decay on option value and the sensitivity of option prices to spot moves. The tables show detailed P/L percentages for different volatility changes and spot price changes.

title: US Derivatives Spotlight


document_description: The document discusses the impact of interest rate levels on the pricing of call options, focusing on the concept of 'rho', which measures the sensitivity of an option to interest rates. It explains how interest rates affect call options through discounting and forward effects, and provides tables showing the relationship between interest rates, call prices, and rho as a percentage of option price. The document also includes simulated P/L scenarios under different rate and spot conditions.

title: US Derivatives Spotlight - Rho: Interest Rate Sensitivity


document_description: The document contains simulated profit and loss (P/L) scenarios for options under various rate, spot, and dividend yield changes. It includes tables showing the impact of these changes on 36M and 18M options after certain periods have passed. The analysis assumes volatility slides down the curve and highlights the sensitivity of option prices to dividend yield changes compared to rate changes.

title: US Derivatives Spotlight


document_description: The document compares the impact on current SPX call premium from changes in spot, implied volatility, rates, and dividend yields. Delta risk is identified as the prominent driver. Parameters have been adjusted to scale relative movements, with a parallel adjustment across the term structure.

title: US Derivatives Spotlight


document_description: The document presents a backtest analysis comparing the performance of equity versus various 18-month call option strategies under different market conditions. It includes detailed return and volatility metrics for different periods and strategies.

title: Appendix A: Backtest Results - US Derivatives Spotlight

document_subtype: financial analysis

key_organizations:
Deutsche Securities Bank
Deutsche Bank


document_description: The document presents a comparative analysis of equity performance against various 36-month call option strategies over different market periods. It includes data on returns and volatility for each strategy during specified time frames.

title: Comparing performance under rising and falling markets: Equity vs. various 36M call option strategies

key_organizations:
Spotlight Derivatives US
Deutsche Bank Securities Inc.


document_description: This document is a research report from Deutsche Bank Securities Inc. It includes important disclosures, an analyst certification, and a hypothetical disclaimer regarding backtested performance results. The report emphasizes that past hypothetical results are not indicators of future returns and that actual results may vary significantly.

title: US Derivatives Spotlight

document_type: other


document_description: This document is a global disclaimer from Deutsche Bank AG, outlining the reliability of information, potential conflicts of interest, and the risks associated with financial instruments discussed in their reports. It includes details on Deutsche Bank's global locations and the legal responsibilities of their branches in various countries.

title: Deutsche Bank Global Disclaimer

key_people:
David Folkerts-Landau
Guy Ashton
Marcel Cassard
Richard Smith
Steve Pollard
Michael Spencer
Ralf Hoffmann
Andreas Neubauer

key_locations:
Sydney, Australia
London, United Kingdom
Frankfurt, Germany
New York, USA
Hong Kong
Tokyo, Japan

document_subtype: disclaimer

key_organizations:
Deutsche Bank AG
Deutsche Bank Securities Inc.
Deutsche Securities Inc.


document_description: Wire transfer of 15,000 Euros from The Haze Trust to Fondation Alberto et Annette Giacometti – Comité Giacometti via Société Générale Agence Palais Royal Paris.

key_people:
Darren K. Indyke
Vahe

document_subtype: wire transfer


document_description: This document is a communication sheet from Deutsche Bank Wealth Management regarding a non-USD wire transfer request. It includes details about the verification process, method of callback, and confirmation of the client's authorization to act on the account. The asset movement amount is $15,000, and the person spoken with for verification is Darren Indyke.

key_people:
Darren Indyke
Valie Stepanian

document_subtype: Wire Transfer Authorization


document_description: A trade idea document from Deutsche Bank's Equities Structuring Group for U.S. Key Client Partners, focusing on AAPL in November 2014. It is marked for institutional use only and is confidential under Fed. R. Crim. P. 6(e).

title: AAPL Trade Idea

document_date: November 2014

document_subtype: trade idea

key_organizations:
Deutsche Bank
Equities Structuring Group


document_description: The document analyzes the daily stock return of Apple (AAPL) and its correlation with the day of the week since 2011. It highlights that Monday's performance is statistically significant compared to Friday's underperformance. The document includes average stock price performance by day of the week for two time periods (2008-2010 and 2011-Present) and discusses the statistical significance of these findings over time.

title: Apple Stock Price Performance Analysis


document_description: The document provides an overview of the history, listing, purpose, and trading patterns of weekly options, particularly focusing on AAPL stock. It highlights the introduction and expansion of weekly options by the CBOE, the trading patterns associated with AAPL options, and the types of traders involved.

title: Overview of Weekly Options

document_subtype: report

key_organizations:
CBOE
Deutsche Bank


document_description: The document analyzes the trading behavior of directional market participants, specifically retail investors, in the AAPL options market. It attributes 'customer' transactions to retail investors and 'firm' transactions to hedged market participants. The analysis focuses on the opening and closing of positions throughout the week, highlighting a trend where the majority of Monday trades are opening transactions, predominantly bullish, while Friday trades are mostly closing transactions. The data is sourced from CBOE and covers the period from July 2010 to February 2014.

title: Analysis of OBOE AAPL Option Trading Data


document_description: The document provides an analysis of Apple Inc.'s option trading volume and its comparison with the S&P 500 from 2008 to 2014. It highlights the growth in option trading volume, the ratio of calls to puts, and Apple's position among the top S&P 100 companies by option open interest.

title: AAPL Option Volume Analysis

key_organizations:
Apple Inc.
S&P 500
Deutsche Bank
Bloomberg


document_description: The document outlines a financial strategy proposed by Deutsche Bank, focusing on Monday outperformance and Friday underperformance versus SPY. The strategy involves trading SPY and AAPL, with gains or losses reinvested daily. It includes transaction costs and assumes dividends are reinvested on the ex-date. The report provides annual returns, volatility, and Sharpe ratios for different periods.

title: Strategy Implementation Report

document_subtype: financial strategy report

key_organizations:
Deutsche Bank
Bloomberg Finance L.P.


document_description: A disclaimer from Deutsche Bank stating that they are not acting as a financial adviser and do not provide investment, legal, tax, or accounting advice. The document emphasizes that the information provided is for internal use only and should not be relied upon for investment decisions. It also disclaims liability for any errors or omissions in the information provided.

key_organizations: BaFin - Federal Financial Supervising Authority


document_description: This document is a disclaimer related to backtesting results and financial instruments. It outlines the limitations of backtested performance results, the risks associated with certain financial products, and the lack of insurance for these instruments. It also mentions the involvement of Deutsche Bank and its affiliates.

key_organizations:
Deutsche Bank
Deutsche Bank Private Wealth Management
Deutsche Bank Alex. Brown


document_description: A memo discussing a premium neutral trade idea on long dated EUR downside using Digital Risk Reversals. The trade benefits from high forwards, elevated levels of vols and skew, and involves a 3-year structure with zero net premium. Comparison with vanilla risk reversals is also provided.

document_subtype: memo


document_description: This document is a confidential communication intended for the addressee, containing disclaimers about unauthorized use, disclosure, or copying. It mentions that the information may be attorney-client privileged or constitute inside information. The communication is associated with Deutsche Bank and includes instructions for handling if received in error.


document_description: A memo from Daniel Sabba, Director at Deutsche Bank Securities Inc, discussing derivatives as financial transactions based on market factors. It highlights the risks involved in over-the-counter (OTC) derivative transactions, including market, counterparty default, and illiquidity risks.

key_locations: 345 Park Avenue, 26th Floor, New York, NY 10154


document_description: The document provides a tabular overview of metal prices, changes, support, and resistance levels, followed by a detailed analysis of market trends and forecasts. It discusses the impact of Chinese stimulus, currency fluctuations, and oil prices on metal markets, with specific focus on copper, nickel, aluminium, zinc, and lead. The document also includes stock data for Shanghai and LME, volatility changes, and upcoming economic data releases.

key_people:
Rio Tinto
BHP Billiton

key_locations:
China
Gansu province
Shandong
Arizona
Escondida in Chile
Australia
Phillipines

key_organizations: Australia's Bureau of Resource and Energy Economics


document_description: A message from Daniel to Jeffrey discussing the use of short dated structured notes for single name stocks, with a sample transaction for AAPL and BK.

key_people: Jeffrey Lesley Daniel

key_organizations:
BNP Paribas
Apple Inc
Bank of New York Mellon


document_description: The document contains a list of participant dial-in numbers for various countries and cities, along with a reservation number and replay information for a call. It includes a confidentiality notice and contact information for Torsten Slok, Chief International Economist at Deutsche Bank Securities.

key_locations: 60 Wall Street, New York, New York 10005


document_description: A communication from Torsten Slok, Chief International Economist at Deutsche Bank Securities, regarding the addition of a colleague to a distribution list. The message includes a confidentiality notice and a disclaimer about legal and tax advice.


document_description: A client buys a 3-year digital put option struck at 1.0750 and sells a 3-year digital call option struck at 1.3175, both with European observation, resulting in a net premium of zero. The memo compares this with vanilla risk reversals, noting that a 3-year structure with a 1.0750/1.2300 vanilla reversal also results in zero net premium. The memo includes a disclaimer about the confidentiality and intended use of the information.


document_description: This document is a confidential communication from Deutsche Bank, emphasizing the confidentiality and potential attorney-client privilege of the information contained within. It warns against unauthorized use, disclosure, or copying of the communication and provides instructions for notifying the sender in case of receipt in error.


document_description: The document contains a table with data on near expiry and other expiry volume averages over a 20-day period. It includes various numerical values and appears to be related to financial or trading data.


document_description: The document analyzes the daily stock return of Apple (AAPL) and its correlation with the day of the week since 2011. It highlights that Monday's performance is statistically significant compared to Friday's. The document includes average stock price performance by day of the week for two periods (2008-2010 and 2011-present) and discusses the statistical significance of these findings over time.

title: Apple Stock Price Performance Analysis


document_description: The document analyzes the performance of trading Apple (AAPL) stock against the S&P 500 from January 2, 2008, to November 3, 2014. It highlights the gains from a strategy of going long on AAPL and short on the S&P 500, particularly on Mondays, and contrasts it with a strategy of shorting AAPL and going long on the S&P 500 on Fridays. The analysis shows significant gains with limited downside risk, especially when combining both strategies. The document includes a line chart showing the performance trend from December 2007 to December 2013, with a notable increase from late 2010 onwards.

title: Apple Stock Price Performance Analysis


document_description: The document analyzes the trading behavior of directional market participants, specifically retail investors, in the AAPL options market. It attributes 'customer' transactions to retail investors and 'firm' transactions to hedged market participants. The analysis focuses on the opening and closing of option positions throughout the week, highlighting a trend where retail investors predominantly open bullish positions on Mondays and close them by Fridays. The data is sourced from the CBOE and covers the period from July 2010 to February 2014.


document_description: The document analyzes AAPL listed option trades from January 2013 to February 2014, focusing on net delta activity and its correlation with stock returns. It highlights that Fridays tend to see more selling activity while Mondays see more buying activity. The analysis includes average net delta data and its impact on stock returns, with a noted correlation between net delta activity and stock performance on specific days of the week.


document_description: The document outlines a financial strategy proposed by Deutsche Bank, focusing on Monday outperformance and Friday underperformance against SPY. It includes annual returns, volatility, and Sharpe ratios for different periods, incorporating transaction costs and dividend reinvestment assumptions.

title: Strategy Implementation Report


document_description: Disclaimer from Deutsche Bank stating that they are not acting as a financial adviser and do not provide investment, legal, tax, or accounting advice. The document emphasizes that the information provided is for internal use only and should not be the primary basis for any investment decision. It also disclaims liability for any errors or omissions in the information provided.

key_locations: Germany UK US

key_organizations:
Deutsche Bank
Deutsche Bank AG
Deutsche Bank Securities Inc.


document_description: This document is a disclaimer related to backtesting results and financial instruments. It outlines the limitations of backtested performance results, the risks associated with certain financial products, and the lack of insurance for these instruments. It also mentions the involvement of Deutsche Bank and its affiliates.


document_description: A list of entities related to Southern Financial, provided by Sagar-A Valecha from DBOI Global Services Private Limited. The document is marked confidential and includes reference numbers.

key_organizations:
DBOI Global Services Private Limited
Southern Financial


document_description: Internal communication regarding the creation of Southern Financial LLC with Wilmington, Delaware, USA Domicile. Request for registry address proof and assistance in making changes to a confirmation document.

key_people:
Sowmya-D R
Jay Lipman
Prabhuling-C Kottalagi
Sanjay Mehta
Adrian De-Nicola
Daniel Sabba
Vahe Stepanian

document_subtype: email correspondence

key_organizations:
Southern Financial LLC
DBOI Global Services Pvt Ltd


document_description: This document contains key information about an individual named Prabhuling-C Kottalagi, who works in the Derivative Documentation department at OBOI Global Services Private Limited, located in Velankani Tech Park, Bangalore, India. Contact details and escalation contacts are redacted. The company's slogan is 'Passion to Perform'.


document_description: Internal communication regarding the creation of Southern Financial LLC with Wilmington, Delaware, USA domicile. Request for registry address proof and assistance in making changes to a confirmation document, including removal of Jeff Epstein's name and ensuring consistent address usage.

key_people:
Soumya DR
Anil-S Kumar
Ambaji Mane
Prabhuling-C Kottalagi
Jay Lipman
Sowmya-D R
Sanjay Mehta
Adrian De-Nicola
Daniel Sabba
Vahe Stepanian
Mark Whyman

key_locations: 6100 Red Hook Quarter, ST Thomas, VI 00802

document_subtype: internal memo

key_organizations:
DBOI Global Services Pvt Ltd
Deutsche Bank Securities Inc


document_description: Internal communication regarding amendments to EDI for Southern Financial LLC, with a request to reflect 'Virgin Island'.

document_type: email


document_description: Email correspondence regarding document recreation and address confirmation for Southern Financial LLC. Jay Lipman requests Sowmya to make changes to a document to reflect a specific address. Sagar-A Valecha confirms the address as per a search in db car.


document_description: The document is a Master KYC Profile for Southern Financial LLC, indicating a high global risk rating and no SRC Nexus. It includes address information and an entity information table detailing adoption location, business line, KYC status, AML escalation, conditional approval status, risk rating, and review dates.

key_people:
Jay Lipman
Sowmya-D R
Nitesh Gupta
Sagar-A Valecha
Prabhuling-C Kottalagi
Sanjay Mehta
Kumar Sambhav
Vahe Stepanian

document_subtype: KYC Profile


document_description: A request for confirmation of entity names from the Delaware registry document to assist with current address information.

document_subtype: letter

key_organizations:
DBOI Global Services Private Limited
State of Delaware


document_description: A letter from Sagar-A Valecha of DBOI Global Services Private Limited requesting confirmation of entity names from the Delaware registry document to assist with providing current addresses.

key_locations:
Delaware
Jaipur, India


document_description: Internal communication regarding the creation of the fund Southern Financial LLC with Wilmington, Delaware, USA as its domicile. Request for registry address proof used for mapping the fund to this domicile.

title: GCO Account-Opening

key_people:
Soumya DR
Jay Lipman
Prabhuling C. Kottalagi
Sanjay Mehta
Anil-S Kumar
Ambaji Mane


document_description: Internal memo regarding an outstanding deal with Southern Financial LLC traded on January 27, 2015, with Twitter Inc as the underlying. The memo seeks advice on dispatching documents for countersignature to the client contact with a Gmail domain.

key_people:
Mark
Prabhuling-C Kottalagi
Michael-C Krueger
Mark Whyman

key_organizations:
Southern Financial LLC
Twitter Inc
DBOI Global Services Private Limited


document_description: Wire transfer instruction from J. Epstein Virgin Islands Foundation Inc. to transfer 75,000 Euros to UAB Fors Projektai in Vilnius, Lithuania.


document_description: A confidential document related to the Jeffrey Epstein case, marked pursuant to Federal Rule of Criminal Procedure 6(e).


document_description: This document contains contact information and case details related to Darren Indyke, including associations with Deutsche Bank and Salesforce cases. It includes details such as contact owner, last modified by, and created by information.

title: Contact Information for Darren Indyke

key_people:
Darren Indyke
Paul Morris
Amanda Kirby
Kusam Saini

document_subtype: contact information

key_organizations:
Deutsche Bank
Salesforce


document_description: This document is marked as confidential and is related to the Jeffrey Epstein case. It is subject to Federal Rule of Criminal Procedure 6(e), which pertains to grand jury secrecy. The document contains reference numbers but no specific content is provided.


document_description: A memorandum from Darren K. Indyke to Vahe instructing a wire transfer of 15,000 Euros from a specified account to Societe Generale Agence Palais Royal Paris for the Fondation Alberto et Annette Giacometti.

key_organizations:
The Haze Trust
Societe Generale
Fondation Alberto et Annette Giacometti


document_description: A request to call Darren for confirmation, with several attachments related to financial transactions and legal matters, deleted by Margaux Mcgrath. The correspondence is marked as confidential under Federal Rule of Criminal Procedure 6(e).

key_people:
Darren
Margaux Mcgrath
Richard Kahn


document_description: This document is a communication sheet from Deutsche Bank Wealth Management regarding a high-risk media transaction involving a USD wire transfer of $75,000. The transaction was verified through voice recognition and callback procedures.

key_people:
Darren Indyke
Vahe Stepanian


document_description: A memorandum instructing a wire transfer of 75,000 Euros from J. Epstein Virgin Islands Foundation Inc. to UAB Fors Projektai in Vilnius, Lithuania.


document_description: This document outlines a financial derivative payout structure based on the EURUSD exchange rate at expiry. It includes a payout of USD10 million if EURUSD is at or below 1.2000 at expiry, and USD0 if above. The expiry date is February 1, 2015, with a premium offer of USD1 million. The document also discusses the implied volatility in EURUSD and potential market catalysts for a EUR sell-off.

title: EURUSD Derivative Payout and Market Analysis

key_organizations:
Deutsche Bank Securities Inc
Deutsche Asset & Wealth Management


document_description: This document is a communication from Deutsche Bank discussing the risks associated with over-the-counter (OTC) derivative transactions, including market, counterparty default, and illiquidity risks. It emphasizes that derivatives can lead to significant financial losses and that the information is confidential and may be privileged. The document also states that Deutsche Bank does not provide legal or tax advice.


document_description: This document is a confidential communication, possibly containing privileged information, intended only for the addressee. It includes disclaimers about unauthorized use and mentions Deutsche Bank's non-provision of legal or tax advice.


document_description: Wire transfer instruction to send 30,000 Euros from a specified account to Banque Populaire Rives De Paris for the benefit of Ass Des Amis De Valerie Lang.

key_people:
Darren K Indyke
Vahe

key_organizations: J. Epstein Virgin Islands Foundation Inc.


document_description: A confidential document with references to legal proceedings under Federal Rule of Criminal Procedure 6(e).


document_description: Jay Lipman discusses the complexity of ACATs due to exotic assets and provides instructions for completing brokerage documents for Jeepers Inc. Amanda Kirby follows up on ACATs for Southern Trust and Southern Financial, and mentions KYC approval for Jeepers Inc.

title: ACATS for Southern Financial/Trust [I]

key_people:
Jay Lipman
Amanda Kirby
Tazia Smith
Vahe Stepanian

key_organizations:
Deutsche Bank Securities Inc
Deutsche Asset & Wealth Management
Southern Trust
Southern Financial
Jeepers Inc


document_description: Authorization for asset movement for non-retirement accounts, allowing Deutsche Bank Alex. Brown to wire $50,000 to MIT Federal Credit Union for beneficiary Joscha Bach. Includes provisions for checks, journals, and free deliveries, with standing authorization options and risk acknowledgments.

key_people:
Darren Indyke
Joscha Bach

document_subtype: Authorization for Asset Movement

key_organizations:
Deutsche Bank Alex. Brown
MIT Federal Credit Union
Virgin Islands Foundation Inc.


document_description: This document is a Salesforce case management record related to Jeffrey Epstein. It includes relationship details, KYC (Know Your Customer) requirements, and resolutions for various issues regarding account setup and entity descriptions. The document lists several resolved issues and a new issue requiring full searches on J.

title: Salesforce Case 01082293

key_people:
Jeffrey Epstein
Paul Morris

document_subtype: case management record

key_organizations:
Southern Trust Company Inc
Southern Financial LLC
Financial Trust Company Inc


document_description: A document detailing the risk assessment and client introduction process for Jeffrey Epstein at JPMorgan. It includes information about the introduction of Epstein to JPMorgan by a mutual friend/colleague of Paul, a JPMorgan employee. The document also contains various checks and their results, such as RDC, PCR, OFAC, BIS, and Denial Orders checks.

key_people:
Jeffrey Epstein
Paul


document_description: The document summarizes the results of database searches related to Jeffrey Epstein and associated entities. It includes AML clearance and court case status for various entities linked to Epstein. No negative media or court cases were found for Southern Financial LLC, Southern Trust Inc, and Financial Informatics Inc. J. Epstein & Co. has been cleared of reputational risk. Financial Trust & Co's alert has been cleared by compliance. Epstein has been convicted of a criminal offense but has no litigation against Deutsche Bank AG. No financial associations with high-risk countries for money laundering were found.

key_people:
Jeffrey Epstein
Chip Packard
Pat Hams

document_subtype: AML Compliance Report

key_organizations:
Southern Financial LLC
Southern Trust Inc
Financial Informatics Inc
J. Epstein & Co.
Financial Trust & Co
Deutsche Bank AG


document_description: This document contains a table of approvals related to Jeffrey Epstein, including various approvers and their approval dates. It also includes contact information for Jeffrey Epstein, noting his status as active and his relation to the customer as self.

title: Approvals and Contact Information for Jeffrey Epstein

key_people:
Jeffrey Epstein
Paul Morris
Brian M. Biggar
Armen Brash
Janice Franklin

document_subtype: Approval Table


document_description: This document contains customer account information from Salesforce, including contact details, address information, and privacy preferences for Southern Financial LLC. The document is marked confidential and is related to a legal case.

key_locations: 6100 Red Hook Quarter B3, St. Thomas, 00802, USVI

key_locations: Litte Saint James, Saint Thomas, 00802, US Virgin Islands

document_subtype: Customer Account Information


document_description: Know Your Customer (KYC) information related to Jeffrey Epstein and associated entities, including Southern Financial LLC and Southern Trust Company, Inc. The document includes details about Epstein's business nature, account contributions, and entity types.

document_subtype: KYC Information

key_organizations:
Southern Financial LLC
Southern Trust Company, Inc.


document_description: The document contains information about KYC (Know Your Customer) accounts related to Southern Financial, LLC and Southern Trust Company, Inc. Jeffrey Epstein is listed as a KYC Party Contact with roles such as Signatory or Full POA and Sole Shareholder of Southern Trust. The document includes last modified dates for the entries.

document_subtype: KYC Database

key_organizations:
Southern Financial, LLC
Southern Trust Company, Inc.


document_description: The document contains KYC information and case history for Southern Financial, LLC, detailing roles and ownership, including Jeffrey Epstein as the sole shareholder. It also includes a case history of changes in case ownership and status by various users.

key_people:
Jeffrey Epstein
Janice Franklin
Armen Brash
Amanda Kirby

document_subtype: KYC and Case History


document_description: This document provides details on the relationship between Deutsche Bank and Jeffrey Epstein, including KYC updates, risk assessments, and introduction details. It highlights the approval of Darren Indyke and Harry Beller as signers on Epstein's account and mentions the need for a rush on confirming the addition of a signer by February 27, 2014.

title: Jeffrey Epstein Relationship Details

key_people:
Jeffrey Epstein
Paul Morris
Darren Indyke
Harry Beller

key_organizations:
Deutsche Bank
JP Morgan


document_description: The document is a KYC and compliance report detailing the results of various database searches for individuals and entities associated with Jeffrey Epstein. It includes checks such as RDC, PCR, OFAC, BIS, and others, with most results showing no negative findings. Specific individuals and entities like Darren Indyke, Harry Beller, Jeanne Brennan, Jeffrey Epstein, Southern Financial LLC, Southern Trust Inc, Financial Informatics Inc, J. Epstein & Co., and Financial Trust & Co. are mentioned with their respective compliance statuses.

key_people:
Darren Indyke
Harry Beller
Jeanne Brennan
Jeffrey Epstein
Chip Packard
Pat Harris

document_subtype: KYC and Compliance Report

key_organizations:
Southern Financial LLC
Southern Trust Inc
Financial Informatics Inc
J. Epstein & Co.
Financial Trust & Co.


document_description: This document is a client risk assessment form for Deutsche Bank AG related to Jeffrey Epstein. It includes questions about past litigation, financial associations, and money laundering risks, all answered negatively. The document also lists approvals from various officers and compliance personnel.

key_people:
Paul Morris
Brian M. Biggar
Gwen Hill
Janice Franklin
Jeffrey Epstein

document_subtype: Client Risk Assessment


document_description: Salesforce contact information for Jeffrey Epstein, including customer details, contact owner, and status.

key_people:
Jeffrey Epstein
Paul Morris
Tanuj Sharma

document_subtype: Contact Information


document_description: Business information for Southern Financial LLC, including addresses, legal details, and business nature.

document_subtype: Business Information


document_description: KYC report detailing related parties and account holders associated with Jeffrey Epstein, including entities and individuals contributing to accounts or wealth.

key_people:
Jeffrey Epstein
Harry Beller
Darren Indyke
Jeanne Brennan

document_subtype: KYC Report


document_description: KYC document listing Jeffrey Epstein as a signatory or full POA and sole shareholder for Southern Trust Company, Inc. and Southern Financial, LLC. It also lists Southern Trust Company, Inc. and Southern Financial, LLC as account holders.

document_subtype: KYC Document

key_organizations:
Southern Trust Company, Inc.
Southern Financial, LLC


document_description: The document provides KYC (Know Your Customer) information related to Southern Financial, LLC and Jeffrey Epstein. Southern Trust Company, Inc. is identified as a significant shareholder of Southern Financial, LLC, with Jeffrey Epstein as the sole shareholder of Southern Trust. Jeffrey Epstein is also listed as an account holder and signatory or full POA, with Harry Beller also noted as a KYC contact for Epstein.

key_people:
Jeffrey Epstein
Harry Beller


document_description: KYC information for Southern Trust Company, Inc., Southern Financial, LLC, and Jeffrey Epstein, listing Darren Indyke and Harry Beller as signatories or full POA.

key_people:
Darren Indyke
Harry Beller
Jeffrey Epstein


document_description: The document contains a table with information related to Southern Financial, LLC and Southern Trust Company, Inc. It includes KYC (Know Your Customer) details, contact persons, roles, and modification dates. There are also comments and attachments related to KYC processes, including a risk calculator and various PDF and Excel files.

key_people:
Harry Beller
Jeanne Brennan
Gwen Hill
Denise Thompson
Janice Franklin


document_description: The document contains trade execution information provided by Deutsche Bank Securities Inc. as an accommodation at the recipient's request. It is marked as confidential pursuant to Federal Rule of Criminal Procedure 6(e).

document_subtype: trade execution information


document_description: Authorization for asset movement for non-retirement accounts, specifically for J. Epstein Virgin Islands Foundation Inc. at Deutsche Bank Alex. Brown. Includes instructions for wire transfer of $10,000 to US Bank for beneficiary Naichung C. Leung. Contains provisions for standing authorization and verbal instructions.

key_people:
Darren Indyke
Naichung C. Leung


document_description: A confidential document related to the Jeffrey Epstein case, marked pursuant to Federal Rule of Criminal Procedure 6(e).


document_description: Contact information for Daniel Sabba at Deutsche Bank Securities Inc. marked as confidential under Federal Rule of Criminal Procedure 6(e).


document_description: A memorandum from Darren K Indyke to Amanda Kirby instructing a wire transfer of $665 from a specified debit account to Alfa Bank in Moscow, Russia, via Wells Fargo Bank N.A. as the correspondent bank.

key_people:
Darren K Indyke
Amanda Kirby
Bella Klein

document_subtype: wire transfer

key_organizations:
Wells Fargo Bank N.A.
Alfa Bank


document_description: The document contains confidential information related to a legal case, as indicated by the reference to Federal Rule of Criminal Procedure 6(e). It includes document identifiers such as DB-SDNY-0055836, SDNY_GM_00202020, and EFTA01365170.


document_description: The document contains financial data related to the S&P 500 Index, including current index values, historical highs and lows, and options trading data. It includes a table of call and put options with details such as bid, ask, last price, implied volatility, and open interest for various strike prices.

document_subtype: financial data


document_description: A questionnaire regarding the purpose and nature of a client's relationship with Deutsche Bank (DB), including business restrictions, prohibited factors, and source of funds.

key_locations:
BVI
Bahamas
Cayman Islands
Panama
Switzerland

document_subtype: questionnaire


document_description: A memo from Michael Valencia, KYC Outreach Analyst at Deutsche Bank, requesting information about a client's source of funds, source of wealth, confidentiality agreements, regulatory status, and any politically exposed person (PEP) relationships. The memo seeks confirmation on whether future sources of funds differ from current ones, details on the client's wealth sources, any confidentiality agreements, changes in regulatory status, and any new adverse information or PEP relationships.

document_subtype: memo


document_description: A memorandum instructing a wire transfer of 120 Euros from a specified account to BNP Paribas for Andre Chenue SA.

key_organizations:
The Haze Trust
BNP Paribas
Andre Chenue SA


document_description: A questionnaire assessing the client's relationship with Deutsche Bank (DB), including business restrictions, prohibited business factors, nature of relationship, bearer shares, and source of funds.


document_description: A memo from Michael Valencia, KYC Outreach Analyst at Deutsche Bank, requesting information about a client's source of wealth, confidentiality agreements, regulatory status, and any politically exposed person (PEP) or adverse information related to the client. The memo also mentions reaching out to the client for required documentation and includes contact information for further inquiries.


document_description: Discussion of a trade idea involving a long-dated knock-in call option on WTI crude oil, with the expectation that crude prices will fall in the short term but rally in the long term. The option has a strike price of $100/bbl, expiring on 14-Nov-18, and only activates if the CL1 settlement price falls below $55/bbl before expiry. The offer price is $1.12/bbl, compared to $4.30/bbl for a vanilla call. Potential for high payout if oil prices drop to $50 and then rise to $125.


document_description: A KYC (Know Your Customer) review document for Jeffrey Epstein's relationship with a financial institution. The document lists various resolved issues related to account opening dates, legal entity marking, client introduction, source of wealth description, entity descriptions, shareholder information, and required attachments such as LLC operating agreements and articles of incorporation.

document_subtype: KYC Review


document_description: KYC document for Jeffrey Epstein, detailing his introduction to JPMorgan through a mutual friend/colleague of Paul. The document includes risk assessments, database search results, and identification details.

key_organizations:
Epstein & Co.
JP Morgan


document_description: The document summarizes the results of database searches related to Jeffrey Epstein and associated entities. It includes AML compliance clearance for Jeffrey Epstein and related companies, indicating no negative media or court cases for most entities. However, J. Epstein & Co. is noted for negative media but cleared of reputational risk. The document confirms no criminal convictions or litigation against Deutsche Bank AG by the client or related parties. It also states no financial associations with high-risk countries for money laundering.

key_people:
Jeffrey Epstein
Chip Packard
Pat Harris

document_subtype: AML Compliance Report

key_organizations:
Southern Financial LLC
Southern Trust Inc
Financial Infomatics Inc
J. Epstein & Co.
Financial Trust & Co.
Deutsche Bank AG


document_description: Approval record for a case related to salesforce.com Unlimited Edition, involving multiple approvers and dates. The document includes contact information for Jeffrey Epstein.

key_people:
Paul Morris
Brian M. Biggar
Armen Brash
Janice Franklin
Jeffrey Epstein

document_subtype: approval record


document_description: This document contains customer account information from Salesforce, including contact details, privacy information, and address information for Southern Financial LLC. The document is marked as confidential and is related to a case in the Southern District of New York.

title: Salesforce Customer Account Information

document_subtype: Customer Account Information


document_description: Know Your Customer (KYC) document related to Jeffrey Epstein and associated entities, detailing contact information, business nature, and relationships.


document_description: KYC database accounts related to Southern Financial, LLC and Southern Trust Company, Inc. with Jeffrey Epstein as a key contact and signatory or full POA.

document_subtype: KYC Database


document_description: The document details the case history of Southern Financial, LLC's KYC process, including changes in case ownership and status updates by various users.

key_people:
Janice Franklin
Armen Brash
Amanda Kirby
Jeffrey Epstein

document_subtype: case history


document_description: This document is a log of actions taken on a Salesforce case, detailing changes in case ownership, status, and approvals from May 28, 2013, to August 14, 2013. Key actions include status changes for AML & Business Risk Approval and changes in case ownership among various users.

title: Case: 01082293 — salesforce.com - Unlimited Edition

key_people:
Armen Brash
Amanda Kirby
Brian Biggar
Paul Morris

document_subtype: case management log


document_description: This document outlines the relationship details for Jeffrey Epstein as a client of Deutsche Bank. It includes information about the primary officer, reason for KYC, status, office location, and reasons for updates or exceptions. It also mentions the introduction details between Paul Morris and Jeffrey Epstein, highlighting their connection through a mutual friend at JPMorgan. The document notes the need for a rush to confirm the addition of a signer by February 27, 2014.

title: Jeffrey Epstein Relationship Details

document_subtype: KYC (Know Your Customer) Document


document_description: The document contains a checklist and results of database searches related to individuals and entities associated with Jeffrey Epstein. It includes KYC approvals, negative media checks, and court case statuses.


document_description: This document is an approval form related to a client or related party's involvement with Deutsche Bank AG. It includes responses to questions about litigation, financial associations, and money laundering risks. The document also contains approval details from various officers and compliance approvers.

document_subtype: Approval Form


document_description: This document contains contact information for Jeffrey Epstein, including details such as name, customer name, contact owner, birthdate, status, and various custom links related to customer accounts and due diligence.

title: Jeffrey Epstein Contact Information

document_subtype: Contact Information


document_description: Business information for Southern Financial LLC, including addresses, legal details, and business nature.

key_locations: 6100 Red Hook Quarter B3, St. Thomas, USVI

key_locations: Litte Saint James, Saint Thomas, US Virgin Islands

document_subtype: Business Information


document_description: KYC report detailing related parties and account holders associated with Jeffrey Epstein, including entities like Southern Financial LLC and Southern Trust Company, Inc., and individuals such as Harry Beller, Darren Indyke, and Jeanne Brennan.

document_subtype: KYC Report


document_description: The document contains KYC (Know Your Customer) information related to Southern Trust Company, Inc., Southern Financial, LLC, and Jeffrey Epstein. It lists Jeffrey Epstein as the sole shareholder and signatory or full POA for Southern Trust and Southern Financial. The document also identifies Southern Trust Company, Inc. and Southern Financial, LLC as account holders.

title: Southern Trust Company, Inc. KYC Information

document_subtype: KYC Information


document_description: The document provides KYC (Know Your Customer) information for Southern Financial, LLC and Jeffrey Epstein. Southern Trust Company, Inc. is identified as a significant shareholder of Southern Financial, LLC, with Jeffrey Epstein as the sole shareholder of Southern Trust. Jeffrey Epstein is also listed as an account holder and signatory or full POA, with Harry Beller also noted as a KYC contact for Epstein.

document_subtype: KYC Document


document_description: KYC records for Southern Trust Company, Inc., Southern Financial, LLC, and Jeffrey Epstein, listing Darren Indyke and Harry Beller as contacts with roles as Signatory or Full POA. Last modified dates are provided for each entry.


document_description: This document contains KYC (Know Your Customer) information for Southern Financial, LLC and Southern Trust Company, Inc. It includes contact details, roles, and modification dates. It also references attachments related to Jeffrey Epstein and others.

key_people:
Harry Beller
Jeanne Brennan
Gwen Hill
Denise Thompson
Janice Franklin
D. Indyke
J. Epstein


document_description: This document is a log of actions taken on a case in Salesforce, detailing changes in case ownership and status by various users over a period from February 24, 2014, to March 20, 2014.

key_people:
Amanda Kirby
Janice Franklin
Brian Biggar
Paul Morris

key_organizations:
Compliance KYC
New York KYC


document_description: This document is an electronic copy of the Offering Circular related to the offering by Clear Lake CLO, Ltd. and Clear Lake CLO, Corp. of various classes of notes. It specifies that no registration statement has been filed with the U.S. Securities and Exchange Commission and that the securities will be offered pursuant to an exemption from registration requirements. The document outlines restrictions on distribution and disclosure of its contents.

title: Offering Circular Notice

document_subtype: notice

key_organizations:
Clear Lake CLO, Ltd.
Clear Lake CLO, Corp.
U.S. Securities and Exchange Commission


document_description: The document is an offering circular for Clear Lake CLO, Ltd. and Clear Lake CLO, Corp. It details the issuance of various classes of floating rate notes due in 2020, totaling $343,000,000. The notes are issued by Clear Lake CLO, Ltd., a Cayman Islands company, and co-issued by Clear Lake CLO, Corp., a Delaware corporation. The circular outlines the terms, conditions, and ratings of the notes, as well as the collateral securing them. It also mentions the application for listing on the Irish Stock Exchange and the associated risks and restrictions.

title: Clear Lake CLO Offering Circular

key_people:
Moody's Investors Service, Inc.
Standard & Poor's
Citigroup Global Markets Inc.

key_locations:
Cayman Islands
Delaware
Irish Stock Exchange

document_subtype: Offering Circular

key_organizations:
Clear Lake CLO, Ltd.
Clear Lake CLO, Corp.
Citigroup Global Markets Inc.
Moody's Investors Service, Inc.
Standard & Poor's


document_description: This document is an Offering Circular for securities, outlining terms, risk factors, issuer details, note descriptions, security, collateral management, and purchase restrictions. It emphasizes the confidentiality and jurisdictional limitations of the offer.

key_organizations:
Initial Purchaser
Placement Agent


document_description: This document is a table of contents listing various sections related to financial notes, tax considerations, and legal matters. It includes sections on transferees of interests in senior and income notes, ERISA considerations, income tax considerations, and Cayman Islands tax considerations.

document_subtype: table of contents


document_description: This document contains legal notices to purchasers of securities in various jurisdictions, including New Hampshire, Florida, Georgia, and the United Kingdom. It outlines the legal requirements and exemptions applicable to securities transactions in these regions.

key_locations:
New Hampshire
Florida
Georgia
United Kingdom

document_subtype: legal notice

key_organizations:
Secretary of State
Financial Services and Markets Act 2000
FSMA
Florida Securities Act
Georgia Securities Act of 1973


document_description: This document contains legal notices regarding the offering of securities in Spain, Singapore, and Korea. It specifies the legal restrictions and exemptions applicable to the offering and sale of securities in these jurisdictions. Additionally, it outlines the conditions under which stabilization actions may be undertaken by the initial purchaser and placement agent.

key_locations: Spain Singapore Korea

document_subtype: offering circular

reference_numbers: Article 30bis of the Spanish Securities Market Law

reference_numbers: Section 274 of the Securities and Futures Act of Singapore

reference_numbers: Section 275 of the Securities and Futures Act of Singapore


document_description: This document is an offering circular for securities that are not registered under the Securities Act and are subject to various restrictions on transfer. The securities are limited recourse debt obligations and are suitable only for financially sophisticated investors. The document outlines the responsibilities of the co-issuers and disclaimers from other parties involved.

key_organizations:
Co-Issuers
Initial Purchaser
Placement Agent
Collateral Manager
Trustee
Collateral Administrator
Share Trustee


document_description: This document is an offering circular related to securities, indicating that no U.S. regulatory authority has approved or disapproved the securities or passed upon the merits of the offering. It clarifies that various parties involved in the offering, such as the initial purchaser, placement agent, and others, do not assume responsibility for the performance of obligations or the validity of the securities. The document also mentions disclosure permissions related to tax treatment and structure, while maintaining confidentiality under Fed. R. Crim. P. 6(e).

key_organizations:
Securities and Exchange Commission
U.S. Regulatory Authority


document_description: The document outlines the delivery of information to security holders and prospective purchasers as required by Rule 1.44A(d)(1) under the Securities Act. It includes forward-looking statements based on assumptions that may not materialize, and legal investment considerations for institutions subject to regulatory restrictions. The document advises consulting legal advisers for investment decisions and highlights potential liquidity issues due to legal uncertainties.

document_subtype: investment considerations and forward-looking statements

key_organizations: Office of the Comptroller of the Currency

key_organizations: Federal Financial Institutions Examination Council


document_description: The document discusses the legal considerations for enforcing judgments against an issuer incorporated in the Cayman Islands. It highlights the lack of a treaty between the United States and the Cayman Islands for reciprocal recognition and enforcement of judgments in civil and commercial matters. The issuer has appointed an agent in New York for service of process.

key_locations:
Cayman Islands
United States
New York

document_subtype: legal advisory

key_organizations:
Issuer
Walkers
Corporation Service Company


document_description: This document is a summary of terms for the issuance of Senior Notes and Income Notes by Clear Lake CLO, Ltd., a Cayman Islands exempted company, and Clear Lake CLO, Corp., a Delaware corporation. The document outlines the roles of various entities involved, including Jefferies Capital Management, Inc. as the Collateral Manager and Wells Fargo Bank as the Trustee. It details the issuance of several classes of Senior Notes and Income Notes, their ratings, and the conditions for their issuance.

title: Summary of Terms for Clear Lake CLO, Ltd.

document_subtype: Offering Circular Summary

key_organizations:
Clear Lake CLO, Ltd.
Clear Lake CLO, Corp.
Jefferies Capital Management, Inc.
Wells Fargo Bank, National Association
Citigroup Global Markets Inc.


document_description: The document outlines the offering and use of proceeds from the issuance of securities, including Senior Notes and Income Notes. It details the ratings, use of proceeds, offering conditions, transfer restrictions, and payment terms for the securities.

document_subtype: Offering Memorandum

key_organizations:
Moody's
Standani & Poor's


document_description: This document outlines the payment structure and priority for interest and principal payments on various classes of notes, including Senior Notes and Income Notes. It details the conditions under which payments are made, the calculation of interest, and the priority of payments among different classes of notes. It also discusses conditions for mandatory redemption and deferred interest.

document_subtype: financial agreement


document_description: The document outlines the terms and conditions for the redemption and management of notes, including optional redemption after a non-call period or a tax event, coverage tests for different classes of notes, and the role of Jefferies Capital Management, Inc. as the Collateral Manager. It details the security for the notes, which includes collateral obligations and eligible investments, and the priority of payments.

document_subtype: Collateral Management Agreement


document_description: This document outlines the risk factors associated with the purchase of certain Notes, highlighting limited liquidity, limited collateral for payments, and subordination of payments among different classes of Notes. It emphasizes the lack of an active trading market, the reliance on collateral for payment, and the subordination hierarchy that affects payment priorities.

document_subtype: Risk Factors


document_description: The document outlines the subordination and payment structure of Income Notes in relation to Senior Notes. It details the priority of payments, the risks associated with the Income Notes, and the factors affecting returns. The document also discusses the potential impact of market changes and collateral sales on the payments to note holders.


document_description: The document discusses the risks and characteristics of Income Notes and Senior Notes, which are leveraged investments in collateral. It highlights the potential for up to 100% loss, the impact of market changes on the value of these notes, and the conditions under which notes may be redeemed. It also covers the redemption process, the role of the Collateral Manager, and factors affecting the maturity and average life of the notes.

document_subtype: Investment Notes


document_description: The document discusses tax considerations and investment risks related to securities issued by an entity. It outlines the issuer's expectations regarding tax treatment, potential tax liabilities, and the implications of being classified as a passive foreign investment company. The document also addresses the diversion of interest proceeds during the reinvestment period and the nature of the collateral, which includes non-investment grade loans and other financial instruments subject to various risks.

key_locations:
Cayman Islands
United States

document_subtype: tax considerations and investment risks


document_description: The document discusses the risks and obligations associated with Synthetic Securities and Collateral Obligations. It highlights the lack of voting rights, credit risk, and potential conflicts of interest involving Synthetic Security Counterparties. It also covers the implications of Defaulted Obligations, including potential restructuring and limited liquidity. Additionally, it outlines the Ramp-Up Risk related to the acquisition of Collateral Obligations and the impact of market conditions on the Issuer's ability to meet Investment Criteria.

key_organizations:
Moody's
S&P
Issuer
Synthetic Security Counterparty
Collateral Manager
Initial Purchaser
Placement Agent


document_description: The document discusses potential legal risks associated with Collateral Obligations, including fraudulent conveyance, insolvency, and interest rate risk. It also addresses the implications of credit ratings on these obligations.

document_subtype: legal analysis


document_description: The document outlines the terms and conditions under which the Collateral Manager and its Affiliates manage the Issuer's investments. It details the Collateral Manager's ability to acquire or sell securities for its own account or for its customers, while ensuring fair allocation procedures. The document also discusses potential conflicts of interest, the Collateral Manager's freedom to engage in other business activities, and the procedures for obtaining best execution for orders related to the Collateral.

key_organizations:
Collateral Manager
Issuer


document_description: The document outlines the roles and responsibilities of the Collateral Manager and the Issuer in managing collateral and conducting transactions. It specifies restrictions on transactions with Affiliates of the Collateral Manager and the formation of an independent advisory committee to review principal trades. It also discusses agency cross transactions and the potential conflicts of interest involving the Initial Purchaser, Placement Agent, and their Affiliates.

key_organizations:
Collateral Manager
Issuer
Initial Purchaser
Placement Agent


document_description: The document outlines the roles and relationships of the Initial Purchaser, Placement Agent, and their affiliates in relation to the Issuer and Co-Issuer. It discusses their ability to engage in various financial activities, including acting as dealers, administrative agents, and underwriters. The document also highlights potential conflicts of interest and the lack of representation regarding the legal and financial implications of owning the Notes. Additionally, it describes the structure and assets of the Issuer and Co-Issuer, both newly incorporated entities with no prior operating history.

key_locations:
Cayman Islands
Delaware

key_organizations:
Initial Purchaser
Placement Agent
Co-Issuers
Issuer
Collateral Manager
Trustee


document_description: The document outlines the investment and compliance considerations for the Issuer and Co-Issuer, including their reliance on Section 3(c)(7) of the Investment Company Act to avoid registration with the SEC. It discusses the requirements for Qualified Purchasers and the potential consequences of failing to register as an investment company. Additionally, it covers anti-money laundering obligations under Cayman Islands law.

key_locations:
United States
Cayman Islands

document_subtype: Investment and Compliance Document

key_organizations: United States Securities and Exchange Commission


document_description: The document discusses the European Union's directives related to securities markets harmonization, including the Prospectus Directive, Transparency Directive, and Market Abuse Directive. These directives regulate securities offers, financial reporting obligations, and market abuse in E.U. regulated markets. The listing of Senior Notes on the Irish Stock Exchange would subject the Co-Issuers to these regulations, although specific requirements are not fully clarified. The Indenture allows the Co-Issuers to delist if compliance becomes burdensome.

document_subtype: regulatory directive

key_organizations:
European Union
Irish Stock Exchange
European Commission


document_description: Clear Lake CLO, Ltd. was incorporated in the Cayman Islands on June 9, 2006, with its registered office at Walkers SPV Limited, Grand Cayman. It has no prior operating history and is involved in the issuance of securities secured by pledged assets. The authorized share capital consists of 1,000 voting Ordinary Shares. The Board of Directors includes David Egglishaw, John Cullinane, and Derrie Boggess. Clear Lake CLO, Corp. was incorporated in Delaware on the same date for co-issuing notes and has no substantial assets.

title: Clear Lake CLO, Ltd. and Clear Lake CLO, Corp. Incorporation Details

key_people:
David Egglishaw
John Cullinane
Derrie Boggess

document_subtype: corporate document

key_organizations:
Clear Lake CLO, Ltd.
Clear Lake CLO, Corp.
Walkers SPV Limited


document_description: The document provides a summary of certain provisions of the Securities, the Indenture, and the Collateral Administration Agreement. It outlines the issuance limits, payment schedules, and conditions for the Notes, including Class A-1, A-2, B, C, D, and Income Notes. It details the interest accrual, payment priorities, and conditions for optional redemption of the Notes.

document_subtype: Securities Summary


document_description: The document outlines the payment hierarchy and conditions for Class A, B, C, and D Notes, including interest and principal payment conditions. It also details the determination of LIBOR for interest rate calculations, including procedures for when standard rates are unavailable.


document_description: This document outlines the interest accrual and payment procedures for Senior Notes and Income Notes, including the determination of interest rates, priority of payments, and conditions under which Income Notes receive distributions. It specifies the roles of the Indenture Calculation Agent and the Trustee in managing payments and interest rate determinations.

key_organizations:
Co-Issuers
Trustee
Irish Stock Exchange
Collateral Manager
Euroclear
Clearstream


document_description: This document outlines the payment sequence and conditions for various classes of notes (Class A, B, C, D) following the Ramp-Up End Date. It specifies the conditions under which payments should be made to satisfy coverage tests for each class of notes and details the handling of deferred interest. It also addresses actions to be taken if rating agencies do not confirm ratings by a specified date and during the Reinvestment Period if certain financial ratios are not met.


document_description: This document outlines the priority of payments for interest and principal proceeds, detailing the order in which payments are to be made to various parties, including the Collateral Manager, Holders of Income Notes, and Class D Notes. It specifies conditions under which payments are made, such as the satisfaction of Class D Coverage Tests and confirmation of ratings by Rating Agencies.

document_subtype: payment priority document

key_organizations:
Collateral Manager
Trustee


document_description: This document outlines the payment priorities and redemption procedures for a financial agreement involving Senior Notes and Income Notes. It specifies the order of payments, conditions for optional redemption, and the calculation of redemption prices. The document also details the maturity date for the securities and the conditions under which an optional redemption can occur.


document_description: The document outlines the procedures for optional and mandatory redemption of notes, including notice requirements, conditions for redemption, and actions in case of failure to meet coverage tests. It specifies the roles of the Co-Issuers, Trustee, Collateral Manager, and Paying Agents, and details the financial criteria and agreements necessary for redemption.

document_subtype: Optional Redemption Procedures

key_organizations:
Irish Stock Exchange
NCB Stockbrokers Limited
Trustee
Collateral Manager
Co-Issuers


document_description: The document outlines the terms for Special Redemption and cancellation of notes, as well as the form, denomination, and registration of notes under Rule 144A and Regulation S. It specifies conditions under which payments will be made, notes will be canceled, and how notes can be transferred or exchanged between different forms and denominations.

document_subtype: financial instrument terms

key_organizations:
Depository Trust Company
Cede & Co.


document_description: The document outlines the transfer and exchange procedures for interests in Rule 144A Global Notes and Regulation S Global Notes. It specifies the conditions under which these notes can be transferred or exchanged, including restrictions for Benefit Plan Investors and requirements for Qualified Institutional Buyers and Accredited Investors. The document also details the roles of DTC, Euroclear, and Clearstream in the process.

document_subtype: Indenture

key_organizations: DTC Euroclear Clearstream


document_description: The document outlines the restrictions and conditions for the transfer of interests in Regulation S Global Notes and Rule 144A Global Notes. It specifies the requirements for purchasers to be Qualified Institutional Buyers or Qualified Purchasers and the actions the Issuer can take if these conditions are not met. It also details the book entry registration process for Global Notes and the circumstances under which physical notes may be issued.


document_description: This document outlines the procedures and responsibilities related to payments and transfers of beneficial ownership interests in a Global Note through DTC, Euroclear, and Clearstream systems. It details the roles of Co-Issuers, DTC, participants, and other entities in managing these transactions, including the crediting of accounts, transfer restrictions, and settlement processes.

key_locations:
New York
Brussels
Luxembourg


document_description: The document outlines procedures and restrictions related to the transfer of Certificated Income Notes, including the roles of DTC, Clearstream, and Euroclear in facilitating transfers. It specifies that Income Notes sold in the U.S. will be issued as physical certificates and details the conditions under which these notes can be transferred. The document also addresses the responsibilities of the Co-Issuers, Trustee, and Paying Agent, and mentions restrictions related to Benefit Plan Investors.

document_subtype: Indenture and Transfer Procedures

key_organizations:
DTC
Clearstream
Euroclear
Co-Issuers
Trustee
Paying Agent


document_description: The document outlines the reporting requirements, closing date statement by independent accountants, and conditions for modification of the Indenture related to the Collateral Administration Agreement. It specifies the monthly and payment date valuation reports to be provided by the Issuer, the role of independent accountants in confirming information and calculations, and the conditions under which the Indenture can be modified without the consent of note holders.

document_subtype: Indenture and Collateral Administration Agreement

key_organizations:
Issuer
Trustee
Collateral Manager
Rating Agencies
Holders of the Notes
Co-Issuers
Irish Stock Exchange


document_description: The document outlines provisions for amending or modifying the terms of an indenture related to Senior Notes. It includes conditions under which the Issuer, Trustee, and Holders of Notes can agree to changes, including the need for consent from Rating Agencies and Holders of Notes. It also specifies actions to prevent tax liabilities and maintain compliance with investment regulations.

document_subtype: contract


document_description: The document outlines conditions under which modifications to the Indenture are permitted, including restrictions on creating liens, reducing consent percentages, and modifying payment calculations. It also defines 'Events of Default' as specific defaults in payment or performance under the Indenture.


document_description: The document outlines the conditions under which an Event of Default may occur under the Indenture, including failure to meet certain financial tests, material misrepresentations, or insolvency events. It details the rights and actions available to the Trustee and Noteholders in the event of a default, including acceleration of payments and potential liquidation of collateral. The document also specifies the rights of Noteholders to initiate proceedings under the Indenture.


document_description: The document outlines the conditions under which proceedings can be initiated under the Indenture, the hierarchy of note classes, and the satisfaction and discharge of the Indenture. It also details the roles and compensation of the Trustee and Collateral Administrator, Wells Fargo Bank, National Association, under the Indenture and Collateral Administration Agreement.

key_people:
Trustee
Collateral Administrator


document_description: The document outlines the terms for trustee fees, expenses, and the conditions under which a trustee may resign or be removed. It also specifies the governing law for the Indenture and the Notes.

key_organizations:
Trustee
Co-Issuers
Holders of the Notes
Collateral Manager
Rating Agency


document_description: The document outlines the security for notes, detailing the collateral securing the notes, which includes the issuer's rights, title, and interest in various assets. It specifies the criteria for collateral obligations, including eligibility criteria for purchase by the issuer and pledge to the trustee. The obligations must be denominated in U.S. Dollars, have specific ratings, and not be defaulted or subordinated. The document also specifies interest payment terms and restrictions on acquisition offers.

document_subtype: Collateral Agreement


document_description: This document outlines the terms and conditions for financial obligations, including criteria for payment, tax implications, domicile requirements, credit ratings, and eligibility for purchase by the issuer. It also includes a section on the Collateral Quality Test, which sets requirements for the issuer's collateral obligations.

document_subtype: financial obligation terms


document_description: The document outlines the criteria for the Collateral Quality Test and the Portfolio Profile Test, which are financial metrics used to assess the quality and composition of collateral obligations. The tests include various thresholds for recovery rates, coupon rates, and the composition of collateral obligations by rating, domicile, and type. The Collateral Quality Test is not applicable during the Ramp-Up Period, and defaulted obligations are excluded from its calculation. The Portfolio Profile Test includes limits on the concentration of obligations by rating, domicile, and industry classification.

document_subtype: Collateral Quality and Portfolio Profile Test


document_description: This document outlines the limitations on the Aggregate Principal Balance of various types of Collateral Obligations in relation to the Collateral Principal Amount. It specifies percentage limits for different categories such as DIP Loans, Current Pay Obligations, Structured Finance Obligations, and others. Additionally, it includes a table detailing the Single and Aggregate Counterparty Limits based on Moody's and S&P Ratings.

document_subtype: financial agreement

key_organizations: Moody's S&P


document_description: The document outlines the Portfolio Profile Test and Coverage Tests related to Synthetic Securities and Senior Notes. It specifies the Overcollateralization and Interest Coverage Ratios required for different classes of notes and describes the Ramp-Up Period criteria for purchasing Collateral Obligations.


document_description: The document outlines the responsibilities and actions required by the Collateral Manager and Issuer regarding the management and sale of Collateral Obligations. It includes criteria for sales, conditions for maintaining ratings, and procedures for redeeming Senior Notes if ratings are not confirmed.

key_organizations:
Collateral Manager
Issuer
Rating Agency
Trustee
Moody's


document_description: This document outlines the conditions under which the Collateral Manager may direct the Trustee to invest in additional Collateral Obligations during and after the Reinvestment Period, provided no Event of Default has occurred. It specifies tests and criteria that must be satisfied for such investments, including Collateral Quality Test, Portfolio Profile Test, and Coverage Tests. It also details conditions for reinvestment of Unscheduled Principal Payments and Sale Proceeds, and the exercise of warrants held in the Collateral.


document_description: The document outlines the management and investment of cash and securities related to a Collection Account and Ramp-Up Account under a Collateral Management Agreement. It details the processes for investing cash in Eligible Investments, the management of Interest and Principal Collection Subaccounts, and the use of funds in the Ramp-Up Account for purchasing additional Collateral Obligations. The document also specifies the roles of the Issuer, Trustee, and Collateral Manager in these processes.

document_subtype: Collateral Management Agreement

key_organizations:
Issuer
Trustee
Collateral Manager


document_description: The document outlines the management of various financial reserve accounts related to the issuance of Notes, including the Revolving Reserve Account, Expense Reserve Account, and Synthetic Security Counterparty Account. It details the procedures for depositing, maintaining, and utilizing funds in these accounts, as well as the conditions under which funds can be transferred or used.

key_people:
Collateral Manager
Trustee

document_subtype: financial account management


document_description: The document outlines the Collateral Management Agreement between the Issuer and the Collateral Manager, JCM, which is a subsidiary of Jefferies Group. The agreement includes restrictions on the Collateral Manager's ability to manage Collateral Obligations. Key personnel involved in managing the Collateral are Mark D. Senkpiel, Wade T. Winter, and Richard J. Barger.

key_people:
Mark D. Senkpiel
Wade T. Winter
Richard J. Barger

key_organizations:
JCM
Jefferies Group
Jefferies & Company Inc.
Trust Company of the West
Allstate Insurance Company
Four Corners Capital Management
ING Capital Advisors
Deutsche Bank
Union Bank of California
Heller Financial


document_description: The document provides a summary of the Collateral Management Agreement, detailing the roles and responsibilities of key individuals at JCM and their previous experiences. It includes information about the professional backgrounds of individuals such as Mr. Barger, Jonathan S. David, Alyssa M. Tabora, Jeremy C. Johnson, David I. McLean-Armour, Swill Pradhan, and Katie D. Bun. The document also mentions the structuring of various CLOs and CDOs by JCM.

key_people:
Mr. Barger
Jonathan S. David
Alyssa M. Tabora
Jeremy C. Johnson
David I. McLean-Armour
Swill Pradhan
Katie D. Bun

key_locations:
Texas A&M University
Stanford University
University of Southern California
University of California
Tufts University
California State University
University of California, Santa Cruz
University of California, Berkeley
University of California, Los Angeles

document_subtype: Collateral Management Agreement Summary

key_organizations:
JCM
Four Corners Capital Management
ING Capital Advisors
SunAmerica Inc.
Far East National Bank
City National Bank
TCW
RS1vI EquiCo
Morgan Stanley
Alta Group LLC
Sterling Johnston Capital Management LP
Turner Broadcasting System Inc.
Banc of America Securities
Marin Partners/KMS Investments
iRise Inc.
ValiCert Inc.
Ernst & Young LLP
Citicorp Investment Services
Oppenheimer & Company
Merrill Lynch
Sony Pictures Entertainment


document_description: The document outlines the Collateral Management Agreement between the Issuer and the Collateral Manager, detailing the administrative and advisory functions the Collateral Manager will perform with respect to the Collateral. It includes the selection of Initial Collateral Obligations, decision-making regarding acquisition, disposition, sale, or tender of Collateral Obligations and Eligible Investments, and compliance with the Indenture's restrictions. The Collateral Manager is entitled to rely on counsel or advisors for investment determinations and may engage in other business activities. Compensation for the Collateral Manager includes a Senior Management Fee, Subordinate Management Fee, and a percentage of remaining Interest and Principal Proceeds.


document_description: The Collateral Management Agreement outlines the responsibilities and restrictions of the Collateral Manager in directing the Trustee to purchase or sell Collateral Obligations or Eligible Investments. It prohibits transactions with affiliated parties unless certain conditions are met, including board approval and compliance with procedures. An independent advisory committee may be formed to oversee such transactions. The agreement also details the conditions under which the Collateral Manager can be removed, either for cause or without cause, with specified notice periods.


document_description: The document outlines the terms and conditions under which a Collateral Manager may resign or be removed from their position. It specifies the process for appointing an Approved Replacement Manager and the conditions under which a Key Manager Event occurs. The document also details the voting process for approving a Proposed Key Manager and the consequences of failing to appoint a replacement manager within a specified timeframe.

key_organizations:
Collateral Manager
Issuer
Trustee
Rating Agency


document_description: The document outlines the conditions under which the Reinvestment Period can be terminated by the Requisite Securityholders. It defines the Requisite Securityholders and their voting requirements based on the satisfaction of the Class A Overcollateralization Test. It also mentions the responsibilities of the Collateral Manager and potential conflicts of interest.


document_description: The document outlines the allocation of net proceeds from the issuance of Notes, detailing amounts for expenses, purchase of Collateral Obligations, and deposits into various accounts.

document_subtype: Use of Proceeds Statement


document_description: The document outlines the purchase and transfer restrictions for securities that have not been registered under the Securities Act or any state 'Blue Sky' laws. It details the conditions under which these securities can be reoffered, resold, pledged, or transferred, emphasizing compliance with the Indenture and the Investment Company Act. The document also defines 'Qualified Purchaser' and includes a legend for Senior Notes regarding compliance with applicable laws.

document_subtype: Securities Offering Document


document_description: This document outlines the transfer restrictions and conditions for the sale or transfer of certain notes, including compliance with the Securities Act and ERISA regulations. It specifies the requirements for purchasers and transferees, including being a Qualified Institutional Buyer or Qualified Purchaser, and the necessity to adhere to specific legends and representations. The document also addresses the conditions under which Class D Notes can be owned and the restrictions on prohibited transactions under ERISA and the Internal Revenue Code.

document_subtype: note transfer restrictions


document_description: This document outlines the representations and warranties related to the purchase and transfer of Rule 144A Global Notes. It specifies the conditions under which the Notes can be purchased or transferred, including compliance with the Securities Act and applicable state securities laws. The document also details the responsibilities and acknowledgments of the beneficial owner regarding investment decisions and legal compliance.

document_subtype: Securities Purchase Agreement

key_organizations:
Co-Issuers
Collateral Manager
Initial Purchaser
Placement Agent
Collateral Administrator


document_description: This document outlines the terms and conditions for the purchase and holding of Class A, B, C, and D Notes. It specifies the requirements for purchasers, including restrictions related to ERISA and similar laws, and the consequences of false representations. The document also details the issuer's rights to demand the sale of notes under certain conditions.

document_subtype: investment agreement

key_organizations:
Issuer
Trustee
Initial Purchaser
Placement Agent
Collateral Manager


document_description: This document outlines the terms and conditions for the purchase of Notes, including tax treatment, investment intent, and regulatory compliance. It includes representations and warranties by the purchaser regarding tax status, investment purpose, and compliance with U.S. and international regulations. The document also details the reliance on Regulation S for exemption from registration and the associated transfer restrictions.

key_organizations:
Issuer
DTC
Co-Issuers
Trustee
Collateral Manager
Initial Purchaser
Placement Agent
Collateral Administrator

reference_numbers:
Section 881(c)(3XA)
Section 7701(aX30)


document_description: The document outlines the terms and conditions related to the holding and transfer of beneficial interests in Regulation S Global Notes and Income Notes. It specifies compliance requirements with Regulation S and Rule 144A, the necessity for certification of non-U.S. Person status for certain transactions, and the reliance on these representations by various parties involved. It also includes a legend regarding the non-registration of Income Notes under U.S. securities laws.

key_organizations:
Issuer
Euroclear
Clearstream
Trustee
Co-Issuer
Collateral Manager
Initial Purchaser
Placement Agent
Collateral Administrator


document_description: This document outlines the transfer restrictions and requirements for Income Notes as set forth in the Indenture. It specifies the conditions under which these notes can be transferred, including compliance with the Securities Act, the Investment Company Act, and other applicable laws. The document also details the qualifications required for transferees, such as being a 'Qualified Purchaser' or 'Qualified Institutional Buyer.' It emphasizes that any transfer in violation of these terms will be void and that the issuer has the right to compel the resale of non-permitted interests.


document_description: This document outlines the certification requirements for initial purchasers and subsequent transferees of Certificated Income Notes. It specifies the qualifications and representations needed to comply with the Indenture and Securities Act exemptions.

document_subtype: certification

key_organizations: Issuer Trustee


document_description: The document outlines the terms and conditions related to the purchase of Income Notes, including acknowledgments by the purchaser regarding the lack of governmental endorsement, the involvement of various parties in the issuance process, and the risks associated with the investment. It also details the representations required from purchasers of Income Notes in the form of Regulation S Global Notes, including compliance with Regulation S and transfer restrictions.

document_subtype: Offering Circular

key_organizations:
Issuer
Trustee
Initial Purchaser
Placement Agent
Collateral Manager
Collateral Administrator


document_description: The document outlines the terms and conditions related to the sale and transfer of beneficial interests in Regulation S Global Securities. It specifies the requirements for holders of beneficial interests in Temporary Regulation S Global Securities to provide certification of non-U.S. Person status before receiving payments or exchanging interests. It also details the restrictions on resales to U.S. Persons and the indemnification obligations of holders. The document references compliance with Section 3(c)(7) of the Investment Company Act, requiring purchasers to be Qualified Purchasers or Knowledgeable Employees.

document_subtype: Indenture and Securities Agreement

key_organizations:
Euroclear
Clearstream
Issuer
Trustee
Initial Purchaser
Placement Agent
Collateral Manager
Collateral Administrator


document_description: The document outlines the plan of distribution for Senior and Income Notes offered by Citigroup Global Markets Inc. The Senior Notes are offered by the Initial Purchaser under a Purchase Agreement, while the Income Notes are offered by the Issuer through a Placement Agency Agreement. The document details the restrictions on sales within the United States, indemnification agreements, and the lack of obligation to create a trading market for the securities.

key_locations: 390 Greenwich Street, New York, New York 10013

document_subtype: Plan of Distribution


document_description: The document outlines the required ratings for different classes of notes by Moody's and Standard & Poor's as a condition for the issuance of securities. It also details the responsibilities of the Co-Issuers regarding rating confirmations and notifications to the Irish Stock Exchange.

document_subtype: Securities Rating

key_organizations:
Moody's
Standard & Poor's
Irish Stock Exchange


document_description: This document outlines certain considerations under the Employee Retirement Income Security Act (ERISA) for employee benefit plans and fiduciaries. It discusses the requirements for investment prudence and diversification, prohibited transactions, and the implications of the Plan Asset Regulation. The document also addresses the classification of certain notes as equity interests and the potential consequences for plans investing in these notes.

document_subtype: ERISA Considerations

reference_numbers:
29 CFR Section 2510.3-101
Section 3(3) of ERISA
Section 406 of ERISA
Section 4975 of the Code
Section 3(42) of ERISA
Section 4975(e)(1) of the Code


document_description: The document outlines restrictions on investment in Class D Notes and Income Notes by Benefit Plan Investors and Controlling Persons. It specifies representation and covenant requirements for purchasers and transferees to ensure compliance with ERISA and Code regulations, including maintaining ownership below a 25% threshold by Benefit Plan Investors. It also discusses potential prohibited transactions and applicable exemptions under ERISA and the Code.

document_subtype: investment restrictions

key_organizations:
Issuer
Trustee
Investment Manager
Collateral Administrator
Placement Agent
Initial Purchaser

reference_numbers:
Section 406 of ERISA
Section 4975 of the Code
Section 408(b)(17) of ERISA
Section 4975(d)(20) of the Code
PTCE 96-23
PTCE 95-60
PTCE 91-38
PTCE 84-14
PTCE 90-1


document_description: The document provides a summary of certain U.S. federal income tax and Cayman Islands tax consequences related to the purchase, ownership, and disposition of Notes. It includes a disclaimer regarding IRS Circular 230, advising prospective investors to seek independent tax advice. The document outlines the tax treatment of the issuer, noting that the issuer expects not to be engaged in a trade or business within the U.S., thus avoiding U.S. federal income tax. However, it acknowledges the possibility of changes in tax laws that could affect this status.

document_subtype: tax considerations

key_organizations:
Internal Revenue Service
U.S. federal government


document_description: The document discusses the tax implications and legal considerations for an Issuer, particularly in relation to U.S. federal income taxes and withholding taxes. It highlights the potential risks of the Issuer being treated as engaged in a trade or business in the U.S., which could lead to substantial taxes. The role and liability of the Collateral Manager under the Collateral Management Agreement are also outlined. Additionally, it covers the tax treatment of U.S. holders of Class A Notes, including the treatment of interest and original issue discount (OID).

document_subtype: tax opinion


document_description: The document discusses the tax implications for U.S. holders of Income Notes related to Qualified Electing Fund (QEF) elections and Controlled Foreign Corporations (CFC). It outlines the potential tax consequences of not making a QEF election, the treatment of excess distributions, and the implications of the Issuer being classified as a CFC. The document advises U.S. holders to consider the tax consequences carefully and consult with advisors.

document_subtype: tax document

key_organizations:
Issuer
U.S. Shareholders
IRS


document_description: The document provides a summary of tax implications for holders of Notes issued by an exempted company in the Cayman Islands. It outlines that holders are not subject to Cayman Islands taxes on holding, selling, or receiving payments from the Notes. It also discusses the potential for stamp duty if Notes are brought into the Cayman Islands and the tax concessions granted to the Issuer under the Tax Concessions Law (1999 Revision).

document_subtype: tax advisory

key_organizations:
Issuer
Governor-in-Cabinet
Cayman Islands


document_description: The document discusses the application for listing Notes on the Irish Stock Exchange and the implications of European directives on securities markets. It outlines the regulatory requirements and obligations for issuers, including financial reporting and disclosure of non-public information. The document also mentions the authorization of securities issuance by the Board of Directors and the clearance of Regulation S Global Notes through Euroclear and Clearstream.

key_locations:
Europe
European Union
Cayman Islands
Delaware

document_subtype: Listing and General Information

key_organizations:
Irish Stock Exchange
European Commission
Euroclear
Clearstream


document_description: The document discusses the legal representation for the Co-Issuers and Citigroup Global Markets Inc. in relation to the Notes. Cleary Gottlieb Steen & Hamilton LLP will handle legal matters for the Co-Issuers and Citigroup Global Markets Inc. Walkers will address Cayman Islands law for the Issuer, and McDermott Will & Emery LLP will handle legal matters for the Collateral Manager.

key_organizations:
Cleary Gottlieb Steen & Hamilton LLP
Citigroup Global Markets Inc.
Walkers
McDermott Will & Emery LLP


document_description: This document provides definitions for certain terms used in an Offering Circular, including terms related to financial agreements, administrative roles, and investment classifications.

document_subtype: Offering Circular Glossary


document_description: The document provides definitions and terms related to financial instruments and obligations, including applicable advance rates for collateral obligations, definitions of business days, and excess calculations for Caa and CCC collateral obligations.

key_locations:
New York City
Dublin, Ireland

key_organizations:
Moody's
Cede & Co.