document_description: This document outlines specific sections of a partnership agreement for AGP LP 519 Alpha Group Capital, focusing on the allocation of capital gains and losses, procedures for partner withdrawals, and conditions related to the death or incapacitation of a partner. It specifies how capital gains and losses are allocated among partners, including special allocations for retiring partners and allocations in the event of a partner's death. It also details the procedures for permissible withdrawals from capital accounts and the conditions under which these withdrawals can occur, including special provisions in the event of the death or incapacitation of a key partner, Panayotis Sparaggis.


source: doj

document_description: The document outlines the terms and conditions for capital account withdrawals by partners in AGP LP 519 Alpha Group Capital. It specifies the conditions under which partners, including the General Partner, can withdraw their capital accounts, the process for mandatory withdrawals, and the options for distributions in cash or in kind. It also details the circumstances under which withdrawals can be suspended.


document_description: The document outlines the terms and conditions for the dissolution and winding up of a partnership, AGP LP 519 Alpha Group Capital, managed by Paul Barrett. It specifies the conditions under which the partnership can be dissolved, the process for winding up, and the distribution of assets. The partnership is set to continue until December 31, 2035, unless dissolved earlier by the General Partner. The document also details the order of priority for settling debts and distributing remaining capital to partners.


document_description: The document outlines the procedures for winding up the partnership, including the distribution of assets and the handling of payments to partners who have retired, died, become bankrupt, or incapacitated. It specifies that the partnership's name and goodwill will remain the property of the General Partner and details the process for preparing a final statement after winding up. It also covers the payment of a partner's Liquidating Share and the establishment of a reserve for liabilities.


document_description: This document is a confidential private offering memorandum supplement for Alkeon Growth PW Partners, LP, dated July 2016. It is related to the Alternative Investment Fund Managers Directive (AIFMD) and supplements the original memorandum dated June 2016. The document is marked confidential under Federal Rule of Criminal Procedure 6(e) and is intended for limited distribution.


document_description: The document outlines the collateral requirements and risk management strategies for the Master Fund managed by Alkeon Capital Management, LLC. It details the collateral delivery process to trading counterparties and brokers, the role of the Investment Manager, and the risk management principles applied at both holding and portfolio levels.


document_description: The document outlines the investment management practices of AGP LP 519 Alpha Group Capital, including the use of leverage, risk management, and prime brokerage services. It details the role of Credit Suisse Securities (USA) LLC as a prime broker and custodian for the Master Fund, including the terms of the Credit Suisse Prime Brokerage Agreement and compliance with US SEC regulations.


document_description: The document outlines agreements and obligations between the Master Fund and financial institutions Credit Suisse and Morgan Stanley. It details indemnification clauses, liability limitations, and the terms under which these agreements can be modified or terminated. The document also describes the security interests and rights of Morgan Stanley over the Master Fund's assets, in compliance with SEC regulations.


document_description: The document outlines the terms and conditions of the Morgan Stanley Prime Brokerage Agreement with the Master Fund, including indemnification clauses, modification rights, and liability limitations. It specifies the roles and responsibilities of Morgan Stanley and the Prime Brokers, as well as the allocation of assets and decision-making responsibilities. The document also addresses fees, charges, and expenses related to the services provided.


document_description: The document discusses the risks and legal considerations associated with the Master Fund's interactions with Prime Brokers, including issues related to insolvency, omnibus accounts, and systemic risk. It also addresses potential conflicts of interest involving the Investment Manager and Prime Brokers, and mentions the insertion of a new paragraph in the Limited Partnership Agreement regarding reports to partners.


document_description: The document is an annual report prepared pursuant to Article 22 of the AIFM Directive for the financial year ending December 31, 2015. It includes legal implications of investment in the partnership, highlighting the limited liability of Limited Partners and the lack of direct rights against service providers. It also discusses the recognition of foreign judgments in U.S. courts under the Judgments Recognition Act. Additionally, it outlines the periodic disclosures required under the AIFM Directive, including reporting on illiquid assets.


document_description: The document outlines the management of liquidity, risk profile, and leverage for the Partnership and Master Fund managed by Alpha Group Capital. It specifies notification procedures for changes in liquidity management, risk management systems, and leverage. It also mentions the communication of changes to collateral re-use rights and guarantees under leveraging arrangements.


document_description: This document provides disclosure information as required by the AIFM Directive for Alkeon Growth PW Farmers, L.P. as of July 1, 2016. It includes details on leverage levels, net asset value, historical performance, and liquidity management arrangements.


document_description: The document is an investment report from Alkeon Capital Management for September 2017, detailing the performance of the Alkeon Growth Partners fund. The report highlights a 0.47% return for the month, with positive performance in the US and Asia, and negative in Europe. It discusses the fund's strategy, exposure, and the main drivers of portfolio performance, emphasizing the potential for continued success in high-quality growth sectors like technology and healthcare.


document_description: The document discusses the seasonality of MSCI US performance, highlighting median monthly performance and the percentage of time the market is up for each month. It also compares the Forward EV/EBITDA for Alkeon Growth (AGP) against indices like MSCI World and S&P from 2003 to September 2017. The document notes that the portfolio trades at a forward EV/EBITDA multiple discount to the market, despite superior growth rates, suggesting an attractive risk/reward ratio.


document_description: The document provides a performance report for Alkeon Asia Growth and MS Alkeon UCITS Fund for September 2017. Alkeon Asia Growth returned 4.58% for the month, with positive performance in most countries except Taiwan, and strong results in technology and industrials. The MS Alkeon UCITS Fund returned 2.27%, with positive results in the US and Asia, and mixed results in Europe. Both funds show a growth-oriented portfolio with significant discounts in EV/EBITDA multiples compared to their respective indices.


document_description: The document is a financial correspondence from Alkeon Capital Management discussing the performance data of various investment vehicles, including Alkeon Growth Partners, LP (AGP) and other funds managed by Alkeon. It provides details on management fees, performance metrics, and comparisons to indices like the MSCI World Index. The document emphasizes the speculative nature of investments in Alkeon Funds and includes disclaimers about the accuracy and completeness of the information provided.


document_description: This document outlines the investment risks and legal notices for investors in various regions including Switzerland, Hong Kong, Korea, Singapore, and the United Kingdom. It emphasizes the lack of assurance on investment returns and the specific legal frameworks applicable in each region for the Alkeon Growth Offshore Fund, Ltd (AGO).


document_description: This document is a supplemental disclosure by Deutsche Bank Securities Inc. and Deutsche Bank Trust Company Americas, acting as a solicitation agent for a fund. It emphasizes the importance of independent assessment of transactions, highlights the risks involved, and clarifies that past performance does not guarantee future results. The document also states that the securities are not insured by the FDIC and are subject to investment risks. It mentions potential compensation arrangements and clarifies that Deutsche Bank does not provide accounting, tax, or legal advice.


document_description: This document provides important notices regarding investments in funds managed by Alkeon Capital Management, LLC. It emphasizes the need for prospective investors to carefully review offering documents and understand the substantial risks involved. The investment objective of the Alkeon Funds is long-term capital appreciation, and current income is not a goal. The document also states that Alkeon may change its investment strategies based on market conditions and does not guarantee the success of its investment programs.


document_description: The document describes the Alkeon Growth Strategy, a long/short global growth equity strategy managed by Alkeon since 1998. It details the history and performance of the strategy, including its management by Panayotis 'Takis' Sparaggis, and the operations of related funds such as AGP PW and AGO. The document emphasizes the strategy's track record and management continuity.


document_description: The document outlines a disciplined approach to portfolio construction by AGP LP 519 Alpha Group Capital, led by Paul Barrett. It includes stages such as sourcing from the stock universe, using inputs from various sources, applying analytical modeling, implementing risk management controls, and producing a portfolio.


document_description: The document provides an example of portfolio construction for Alkeon Growth Strategy, focusing on global growth equities with a net long bias. It outlines the market capitalization, sectors, net and gross exposure ranges, position costs, number of positions, and underlying instruments.


document_description: The document provides a performance report for AGP LP 519 Alpha Group Capital, highlighting strong excess returns on both long and short portfolios compared to equity indices from January 2001 to September 2017. The AGS net cumulative return was 360.2%, with the long portfolio gross cumulative return at 241.4% and the short portfolio gross cumulative return at 27.8%. These returns significantly exceeded the MSCI World and MSCI AC World indices, which had cumulative returns of 63.8% and 67.8% respectively.


document_description: The document provides a performance summary of Alpha Group Capital, highlighting superior stock selection and excess return generation (Alpha) from January 1998 to September 2017. It includes annualized alpha generation and Sortino Ratio comparisons against benchmarks such as MSCI AC World and MSCI World.


document_description: The document provides a performance report for AGP LP 519 Alpha Group Capital, highlighting asymmetric upside/downside participation from January 1998 to December 2016. It shows a combination of strong double Alpha and net-long bias resulting in significant upside participation and limited downside participation over periods greater than one year. The report includes average annual return percentages captured versus MSCI World and MSCI AC World indices, indicating higher upside capture compared to downside.


document_description: The document provides a performance report for AGP LP 519 Alpha Group Capital, highlighting strong performance in difficult markets from January 1998 to December 2016. It includes two-year cumulative returns for the Alkeon Growth Strategy compared to MSCI World and MSCI AC World indices, showing AGS's resilience with only one losing period (2001-2002) and substantial alpha generation over two-year periods.


document_description: The document outlines the trade execution and business continuity strategies of AGP LP 519 Alpha Group Capital, led by Paul Barrett. It includes details on global trading operations, electronic trading systems, access to trading networks, team expertise, disaster recovery plans, and adherence to best-execution practices.


document_description: The document provides information about the Alkeon Fundamental Analyst Team, listing team members along with their previous positions and educational background.


document_description: The document contains a table listing members of the Alkeon Fundamental Analyst Team, including their names, positions, and professional backgrounds. It also includes a confidentiality notice and document identifiers.


document_description: This document is a confidential appendix related to AGP LP 519 Alpha Group Capital and Paul Barrett, managed by Alkeon Capital Management. It is marked as confidential pursuant to Federal Rule of Criminal Procedure 6(e).


document_description: The document provides financial performance data for Alkeon Growth PW Partners, LP, including gross and net exposure from August 2010 to August 2017, and monthly and year-to-date net performance from 2010 to 2017. Gross exposure consistently exceeds net exposure. The document also includes a disclaimer about the reliability of past performance as an indicator of future results and notes the fees applicable to investors.


document_description: The document provides financial data on the Alkeon Growth Offshore Fund, Ltd., including gross and net exposure percentages from 2003 to 2017, and monthly and year-to-date net performance from 2003 to 2017. It includes comparisons with MSCI World and MSCI AC World indices. The data is sourced from Bloomberg, BNY Mellon, and Morgan Stanley Prime Brokerage. The document is marked confidential and is related to a legal case under Fed. R. Crim. P. 6(e).


document_description: The document provides the product terms for Alkeon Growth PW Partners, LP and Alkeon Growth Offshore Fund, Ltd., managed by Alkeon Capital Management, LLC. It includes details such as strategy and fund launch dates, portfolio and risk managers, minimum investment, management and incentive fees, lockup periods, liquidity, redemption fees, notice periods, and service providers like auditors, prime brokers, and administrators.


document_description: This document is a glossary of financial terms related to fund performance and market exposure, sourced from Hedgetund.net and Morgan Stanley Prime Brokerage. It includes definitions and explanations of terms such as Alpha, Beta, Annualized Alpha Generation, Compounded Monthly Return, Delta and Delta Adjusted Exposure, Gross Exposure, Liquidity Bucket, Market Capitalization, Net Exposure, Downside Deviation, Sortino Ratio, and Sharpe Ratio. The document is marked as confidential and is associated with Alkeon Capital Management.


document_description: The document outlines the risk considerations for investing in Alkeon Growth PW Partners, LP and Alkeon Growth Offshore Fund, Ltd. It highlights the speculative nature of the investment program, the use of leverage, active trading, short sales, and derivative instruments, and the associated substantial risks. The document emphasizes that the fund is not a mutual fund and is subject to high fees, which reduce profits. It also discusses the risks of investing in equity securities, foreign issuers, and companies in emerging markets.


document_description: This document is a confidential financial disclosure from Alkeon Capital Management, LLC, detailing the performance and management of various funds under the Alkeon Growth Strategy. It includes disclaimers about the confidentiality of the information, the nature of investment advice, historical performance data, and the risks associated with investing in Alkeon funds. The document emphasizes that past performance is not indicative of future results and highlights the illiquid nature of the investments.


document_description: This document contains disclaimers related to Alkeon Capital Management's investment processes and performance comparisons. It emphasizes that references to specific companies or securities are illustrative and not recommendations. It discusses the use of indices for performance evaluation, sources of information, proprietary rights, and the nature of statements made in the document, including forward-looking statements. It clarifies that the document is not an investment offer and has not been reviewed by regulatory bodies.


document_description: This document contains disclaimers and notices for investors in Hong Kong, Switzerland, the United Kingdom, Singapore, and Korea regarding the offering and sale of interests or securities related to Alkeon Growth Offshore Fund, Ltd. It specifies the legal restrictions and conditions under which these securities can be offered in each jurisdiction, emphasizing that the document is not a prospectus and has not been approved by relevant financial authorities.


document_description: This document is a supplemental disclosure by Deutsche Bank Securities Inc. and Deutsche Bank Trust Company Americas, acting as a solicitation agent for a fund. It emphasizes the importance of independent assessment of transactions, highlights the risks associated with securities, and clarifies that past performance does not guarantee future results. The document also states that Deutsche Bank does not provide accounting, tax, or legal advice and authorizes the disclosure of the structure and tax aspects of the transaction.


document_description: This document is a confidential private offering memorandum for limited partnership interests in Alkeon Growth PW Partners, LP, a Delaware limited partnership. It is intended solely for the recipient's consideration of an investment and cannot be reproduced or shared without prior written consent from Alkeon Capital Advisers, LLC.


document_description: This document is an investment memorandum for AGP LP 519 Alpha Group Capital, outlining the terms and conditions for prospective investors. It emphasizes that investors should rely solely on the information contained within the memorandum and not on any external statements or materials. The memorandum also details the exemption from registration as a Commodity Pool Operator filed by the General Partner with the CFTC, and the conditions under which the partnership will operate regarding commodity interests.


document_description: This document is a legal agreement for the limited partnership of AGP LP 519 Alpha Group Capital, managed by Paul Barrett. It includes sections on investment objectives, organizational structure, management, fees, profit allocation, risk factors, partner admissions, withdrawals, brokerage, taxation, and anti-money laundering procedures.


document_description: The document is a summary of the Confidential Private Offering Memorandum for Alkeon Growth PW Partners, LP, a Delaware limited partnership designed for sophisticated investors. The partnership invests through a master-feeder fund structure in Alkeon Growth Master Fund, Ltd., a Cayman Islands exempted company. The general partner is Alkeon Capital Advisers, LLC, and the investment manager is Alkeon Capital Management, LLC. The investment objective is to achieve capital appreciation by investing in long and short positions in publicly-traded and private companies globally.


document_description: The document outlines the structure and terms of limited partnership interests in AGP LP 519 Alpha Group Capital, managed by Paul Barrett. It describes four series of interests, each with different management fees and withdrawal rights. Series One, Two, Three, and Four have management fees of 2.0%, 1.5%, 1.25%, and 1.25% per annum, respectively, with varying withdrawal conditions. The minimum initial investment is $1,000,000, and the minimum additional investment is $25,000. The General Partner must maintain a capital contribution of at least $100,000 or 1% of total capital accounts.


document_description: The document outlines the risk factors, management fee structure, incentive allocation, and expenses related to investing in AGP LP 519 Alpha Group Capital. It highlights the significant risks involved, the management fee percentages for different series of interests, the incentive allocation to the General Partner, and the expenses that the Partnership will incur.


document_description: The document outlines the offering of limited partnership interests by AGP LP 519 Alpha Group Capital, managed by Paul Barrett. It details the conditions for investment, withdrawal, reporting, regulatory, and tax matters related to the partnership. The offering is restricted to accredited and qualified investors, with specific terms for capital contributions and withdrawals. The partnership is not registered under the Investment Company Act, and investors are advised to consult tax advisors regarding federal income tax implications.


document_description: This document is a directory listing key entities associated with AGP LP 519 Alpha Group Capital, including counsel, auditors, administrator, prime brokers, and back-up custodians.


document_description: The document is a Confidential Private Offering Memorandum for Alkeon Growth PW Partners, LP, a Delaware limited partnership. The partnership is formed to invest its assets according to its investment objectives and operates under a master-feeder fund structure. Alkeon Capital Advisers, LLC is the general partner, and Alkeon Capital Management, LLC is the investment manager. The memorandum outlines the investment objectives, operation methods, and principal terms of the partnership agreement. It invites prospective limited partners to review materials and ask questions about the offering.


document_description: The document outlines the management structure and fees for AGP LP 519 Alpha Group Capital. The General Partner is Alkeon Capital Advisers, LLC, and the Investment Manager is Alkeon Capital Management, LLC. Panayotis Sparaggis is the principal Portfolio Manager. The management fee structure is detailed, with different rates for various series of interests.


document_description: The document outlines the financial structure and expense allocation for AGP LP 519 Alpha Group Capital, managed by Paul Barrett. It details the expenses incurred by the Investment Manager on behalf of the Partnership, including legal, audit, and management fees, and how these are allocated between the Partnership and the Master Fund. The document also explains the allocation of net profits and losses among partners, the Incentive Allocation mechanism, and the conditions under which these allocations can be adjusted. The fiscal year for the Partnership ends on December 31 each year.


document_description: The document outlines provisions in the Partnership Agreement for AGP LP 519 Alpha Group Capital, managed by Paul Barrett. It includes a loss carryforward provision, rules for purchasing new issues under FINRA regulations, and allocation of prior fiscal period items. The document also highlights risk factors associated with the partnership, emphasizing its speculative nature and the broad discretion of the Investment Manager in making investments.


document_description: The document outlines the investment strategy and risks of the Alpha Group Capital Partnership, focusing on equity and equity-related investments with flexibility in investment types and sectors. It highlights potential risks associated with technology and growth company securities, as well as the lack of diversification and sector concentration risks.

document_type: correspondence

document_subtype: investment memorandum


document_description: The document outlines the risks and considerations associated with investing in non-U.S. securities, emerging markets, currency risks, and short sales. It highlights the potential challenges and opportunities in these investment areas, including exchange rate changes, political instability, and market volatility.


document_description: This document outlines the risks associated with short selling, leverage, options, and currency options for the Alpha Group Capital Partnership. It discusses regulatory restrictions, legal challenges, and the inherent risks of using leverage and options in investment strategies.

document_subtype: memo


document_description: The document outlines the investment strategies and associated risks for AGP LP 519 Alpha Group Capital, managed by Paul Barrett. It discusses potential losses in the event of bankruptcy or insolvency of exchanges or clearinghouses, and details investment strategies in Exchange Traded Funds (ETFs), fixed-income securities, small and mid-cap stocks, and special situations. The document highlights the risks and fees associated with these investments, including the potential for double advisory fees when investing in ETFs.

document_type: financial

document_subtype: investment strategy document


document_description: The document outlines various risks associated with the Partnership's investment strategies, including transaction risks, lack of liquidity, active management risks, valuation challenges, and counterparty risks. It highlights the potential for financial loss due to market conditions, management decisions, and counterparty defaults.

document_subtype: investment risk disclosure


document_description: This document outlines the custody risks and alternative arrangements associated with the Partnership's dealings with custodians and prime brokers, as well as the terms for limited withdrawal and transfer rights for Limited Partners. It highlights the potential risks of bankruptcy or insolvency of custodians, especially in non-U.S. jurisdictions, and the possibility of different terms for certain Limited Partners.

key_organizations: Morgan Stanley Private Bank National Association


document_description: This document outlines the business and regulatory risks associated with hedge funds, particularly in light of the Dodd-Frank Act. It discusses potential adverse effects on hedge funds due to legal, tax, and regulatory changes, including increased compliance costs and restrictions on trading strategies. The document highlights the impact of the Dodd-Frank Act on OTC derivatives markets, including mandatory clearing and margin requirements, and the potential for increased costs for market participants.

document_type: legal

document_subtype: Hedge Fund Regulatory Risks Memorandum

key_organizations:
AGP LP
Alpha Group Capital
Seward & Kissel LLP
SEC
Commodity Futures Trading Commission


document_description: The document outlines the terms and conditions for investing in AGP LP 519 Alpha Group Capital, specifically focusing on Series Four Interests. It details the management fee, withdrawal terms, and eligibility criteria for Limited Partners investing through a wrap fee program. It also covers capital contribution requirements and the potential for admitting additional general partners.

document_subtype: investment document


document_description: This document outlines the terms and conditions related to sales charges, fees, and withdrawal rights for Limited Partners in a limited partnership managed by Alpha Group Capital. It specifies the conditions under which financial advisors may charge sales fees, the withdrawal process for Limited Partners, and the rights of the General Partner regarding withdrawals.

key_organizations:
Alpha Group Capital
FINRA


document_description: The document outlines conditions under which the partnership may face challenges in disposing of investments or determining the value of its net assets, and the procedures for distributions to partners upon withdrawal or retirement. It also details the brokerage and custody arrangements, including the use of 'soft dollars' for obtaining research and brokerage services under Section 28(e) of the Securities Exchange Act of 1934.

document_subtype: partnership agreement


document_description: The document outlines the tax implications and structure of a partnership agreement for AGP LP 519 Alpha Group Capital. It discusses the potential tax treatment of the partnership under Section 7704 of the Internal Revenue Code, the master-feeder structure involving a Cayman Islands exempted company, and the allocation of taxable gains or losses. It also covers the determination of the Master Fund's status as a trader or investor for tax purposes and the deductibility of expenses.

document_subtype: Partnership Agreement

key_organizations:
AGP LP 519 Alpha Group Capital
Internal Revenue Service
Master Fund


document_description: The document outlines the tax positions and implications for the partnership and its limited partners, including the treatment of income and losses, foreign taxes, short sales, Section 1256 contracts, PFIC provisions, leverage, and tax shelter regulations.

document_subtype: partnership tax position document

key_organizations:
AGP LP
Alpha Group Capital


document_description: This document provides information on the tax implications for Foreign Partners investing in the Partnership, particularly concerning U.S. Federal income tax, the HIRE Act, and estate tax. It outlines the conditions under which Foreign Partners may be subject to U.S. taxes and the requirements for compliance with the HIRE Act.

key_organizations:
Alpha Group Capital
Partnership
Master Fund
IRS

reference_numbers:
Section 897
Section 1471(d)(4)


document_description: This document provides a summary of laws and regulations applicable to retirement plan investments, specifically focusing on ERISA and related regulations. It outlines the conditions under which the Partnership's assets will not be considered plan assets subject to ERISA or Section 4975 of the Code. The document also discusses the responsibilities of fiduciaries and the reporting requirements for ERISA Plans, including the filing of Form 5500. The summary is based on legal advice from Seward & Kissel LLP.

document_subtype: ERISA and Retirement Plan Matters Summary

key_organizations:
Alpha Group Capital
Seward & Kissel LLP


document_description: This document outlines specific provisions of the Limited Partnership Agreement for AGP LP 519 Alpha Group Capital, including the term of the partnership, liability and indemnification clauses, amendment procedures, and dissolution conditions. The partnership is set to continue until December 31, 2035, with specific conditions for liability and indemnification of the General Partner and others. Amendments to the agreement can be made by the General Partner or with the consent of the Limited Partners. The dissolution process is detailed, including conditions under which the partnership may be dissolved and wound up.

title: AGP LP 519 Alpha Group Capital Partnership Agreement Provisions

key_people:
Paul Barrett
Mr. Sparaggis

document_subtype: Limited Partnership Agreement


document_description: This document outlines the terms and conditions of the partnership agreement for AGP LP 519 Alpha Group Capital, including the assignability of limited partnership interests, reporting to partners, fiscal year and periods, and anti-money laundering procedures. It specifies that limited partnership interests are not assignable without the General Partner's consent, and details the reporting and auditing processes. The document also includes anti-money laundering procedures requiring prospective partners to verify their identities and confirm they are not involved in prohibited activities.

key_organizations: U.S. Treasury Department's Office of Foreign Assets Control


document_description: This document is a disclosure statement from Deutsche Bank Securities Inc., acting through its Asset & Wealth Management division, regarding an agreement with Alkeon Capital Management, LLC and related funds. It outlines the compensation arrangement for referring clients to the funds and potential conflicts of interest. Investors are required to acknowledge receipt and understanding of the disclosure.

key_people:
Paul Barrett
Alex Litvin

key_locations: 5022 Gate Parkway, Suite 400, Jacksonville, FL 32256

document_subtype: Disclosure Statement

key_organizations:
Deutsche Bank Securities Inc.
Alkeon Capital Management, LLC
Alkeon Growth PW Partners, LP
Alkeon Growth Offshore Fund, Ltd.


document_description: This brochure provides information about the qualifications and business practices of Alkeon Capital Management, LLC. It includes contact information and a statement that there have been no material changes since the last update.

title: Alkeon Capital Management, LLC Brochure

document_subtype: brochure

key_organizations:
Alkeon Capital Management, LLC
Alpha Group Capital


document_description: This document is a table of contents for a financial advisory document from AGP LP 519 Alpha Group Capital, listing various items such as advisory business, fees, performance-based fees, types of clients, methods of analysis, disciplinary information, and more.

document_type: tabular

document_subtype: Table of Contents


document_description: Alkeon, a Delaware limited liability company, manages discretionary assets of approximately $3.566 billion as of December 31, 2015. It provides portfolio management and subadvisory services to various private domestic and offshore investment funds, registered investment funds, and other products. Key partnerships include Oppenheimer Asset Management Inc., ALPRO Funds Management Limited, MS Alkeon UCITs Fund, and SALI Fund Management, LLC. Alkeon acts as the investment manager for Alkeon Growth Funds and Alkeon Select Funds, which are organized in a master-feeder structure.

key_locations:
Delaware
Cayman Islands
Ireland

document_subtype: advisory business summary

key_organizations:
Alkeon
Oppenheimer Asset Management Inc.
ALPRO Funds Management Limited
MS Alkeon UCITs Fund
SALI Fund Management, LLC


document_description: The document provides information about Alkeon's investment management activities, including its role in managing various funds such as the Xanthus Fund, Global Growth Fund, ALPRO Growth, MS UCITs, and Insurance Series. It outlines Alkeon's investment strategies, discretionary authority, and fee structures. Alkeon invests in long or short positions of publicly-traded and private companies globally and charges asset-based and incentive fees.

key_locations: Ireland Delaware

document_subtype: business document

key_organizations:
AGP LP
Alpha Group Capital
Xanthus Fund
Global Growth Fund
OAM
Alkeon
AAMM
AAM
ALPRO
MS UCITs
FundLogic Alternatives plc
SALI Fund Partners, LLC
SALI Multi-Series Fund, L.P.


document_description: The document provides details about the Alkeon Growth Funds, including Alkeon Growth Partners, LP, Alkeon Growth Partners II, LP, and Alkeon Growth PW Partners, LP. It outlines the different series of interests within each fund, distinguished by management fees and liquidity rights. Each series has specific fee structures and withdrawal conditions.

document_subtype: Investment Fund Details

key_organizations:
Alkeon Growth Partners, LP
Alkeon Growth Partners II, LP
Alkeon Growth PW Partners, LP
Alpha Group Capital


document_description: The document outlines the fee structures and redemption policies for various investment funds managed by Alkeon. It details the fees charged to investors in different sub-classes of shares within the Alkeon Growth Offshore Fund, Ltd. and Alkeon Growth Offshore Fund II, Ltd., as well as the conditions under which investments can be redeemed. The document also mentions specific classes of shares available to high net worth and institutional investors.

key_organizations:
AGP LP
Alpha Group
Alkeon Growth RI Partners, LP
Alkeon Growth Offshore Fund, Ltd.
Alkeon Growth Offshore Fund II, Ltd.
Growth Master Fund


document_description: The document outlines the fee structures and redemption terms for various investment funds managed by Alkeon. It details the management fees, incentive allocations, and redemption conditions for different classes of shares and feeder funds, including the AGP LP 519 Alpha Group, Alkeon Select Funds, Alkeon Asia Growth Funds, and Alkeon Capital Partners Funds.

document_subtype: Investment Fund Fees and Terms

key_organizations:
AGP LP 519 Alpha Group
Alkeon
Alkeon Select Funds
Alkeon Asia Growth Funds
Alkeon Capital Partners Funds


document_description: The document outlines the investment terms and fees associated with Alkeon Capital Partners and its related funds, including the Alkeon Capital Partners Master Fund, Alkeon Capital Partners Offshore Feeder, Global Alpha US Feeder, and Global Alpha Offshore Feeder. It details management fees, withdrawal and redemption conditions, and incentive allocations.

key_organizations:
Alkeon Capital Partners
Alkeon Capital Partners Master Fund
Alkeon Capital Partners Offshore Feeder
Global Alpha US Feeder
Global Alpha Offshore Feeder


document_description: The document outlines the fee structures and compensation arrangements for Alkeon and its associated funds, including Xanthus Fund, Global Growth Fund, Global Growth Offshore Fund, ALPRO Growth, MS UCITs, and Insurance Series. It details the management and performance fees charged by these funds and the portion allocated to Alkeon.

document_subtype: Fee Structure Document

key_organizations:
Alkeon
Xanthus Fund
Global Growth Fund
Global Growth Offshore Fund
ALPRO Growth
MS UCITs
Insurance Series
SALI


document_description: The document outlines the financial disclosures related to Alkeon Capital Management's investment strategies and fee structures. It discusses the use of the 'alternative reporting option' for reporting Alkeon's compensation as 'eligible indirect compensation' on the Schedule C of the plan's Form 5500. It also details the performance-based fees, types of clients, and investment strategies employed by Alkeon.

document_subtype: Investment Disclosure

key_organizations:
Alkeon Capital Management
Alpha Group Capital


document_description: The document outlines Alkeon Capital Partners' investment strategies, focusing on equity securities of companies with growth potential. It discusses the analytical process, general disclosures, and risk factors associated with investing in Alkeon's funds.

document_subtype: investment strategy disclosure

key_organizations:
Alkeon Capital Partners
Alkeon Global Alpha Funds


document_description: The document outlines various risks and considerations associated with Alkeon's investment strategies, including the use of leverage, options trading, liquidity issues, active management, counterparty risks, and regulatory concerns. It also highlights the lack of certain investor protections and the need for investors to seek their own legal counsel.


document_description: The document outlines potential risks and affiliations related to Alkeon Capital Management. It highlights possible adverse tax consequences, conflicts of interest, and affiliations with other financial entities. It also mentions Alkeon's role as a sub-adviser to a registered investment fund.

document_subtype: financial disclosure

key_organizations:
Alkeon Capital Management
SilverBay Capital Management, LLC
ACAP Strategic Fund
Bluepoint Investment Series Trust
Breakwater Group, LLC
Alkeon Capital Advisers, LLC


document_description: The document outlines the Code of Ethics for Alkeon employees, emphasizing their fiduciary duty to prioritize client interests over personal investments. It details the requirements for preclearing trades, monitoring by the Compliance Director, and the prohibition of using non-public information. The document also addresses potential conflicts of interest in managing multiple accounts and the firm's approach to resolving them fairly.

title: Code of Ethics, Participation or Interest In Client Transactions and Personal Trading

key_people:
Paul Barren
Jennifer Shufro

document_subtype: Code of Ethics

key_organizations:
Alkeon
Alpha Group Capital


document_description: The document outlines the brokerage practices of Alkeon, detailing how they select brokers and negotiate commission rates. It discusses the use of 'soft dollar' relationships for acquiring research and services, and mentions that Alkeon does not consider broker-dealer marketing efforts in their selection process.

document_subtype: investment policy document

key_organizations:
AGP LP
Alpha Group Capital
Alkeon


document_description: The document outlines Alkeon's trading and allocation procedures for its managed funds, including IPO allocation, handling of simultaneous trades by different portfolio managers, and review of accounts. It discusses scenarios where trades may not be allocated pro-rata and the potential for performance variations among funds.

key_people:
Paul Barrett
Panayotis Sparaggis
Steven M. Ahn

document_subtype: memo


document_description: The document outlines various operational aspects of Alkeon Capital Management, including client communications, referrals, custody, investment discretion, and proxy voting policies. It details how Alkeon communicates with investors, manages custody of funds, exercises investment discretion, and handles proxy voting through Institutional Shareholder Services (ISS).

key_people:
Paul Barrett
Greg Jakubowsky

document_subtype: investment fund correspondence


document_description: This document is a brochure supplement for Alkeon Capital Management, LLC, providing information about supervised persons and supplementing Alkeon's main brochure. It includes contact information for inquiries.

title: Brochure Supplement of Alkeon Capital Management, LLC

key_people:
Paul Barrett
Gre Jakubowsky

key_locations: 350 Madison Avenue, 9th Floor, New York, NY 10017

document_subtype: brochure supplement


document_description: Educational and business background information for Panayotis 'Takis' Sparaggis and Steven M. Ahn, associated with Alkeon Capital Management, LLC.

key_people:
Panayotis 'Takis' Sparaggis
Steven M. Ahn

key_locations:
National Technical University of Athens
University of Massachusetts at Amherst
University of Michigan

key_organizations:
Alkeon Capital Management, LLC
Mainsail Group LLC
CIBC World Markets Corp.
CIBC Oppenheimer Corp.
Oppenheimer & Co., Inc.
Circle T Partners
Scopia Capital
Credit Suisse First Boston


document_description: The document provides information about Alkeon Capital Management's business activities, disciplinary information, additional compensation, and supervision. It mentions Alkeon's affiliation with SilverBay Capital Management and Breakwater Group, LLC.

key_people:
Greg Jakubowsky
Jennifer Shufro

key_organizations:
Alkeon Capital Management
SilverBay Capital Management
Breakwater Group, LLC
ACAP Strategic Fund
Bluepoint Investment Series Trust


document_description: This document is a Letter of Authorization for Fund Investment related to a subscription to Alkeon Growth PW Partners LP, managed by Alkeon Capital Management, LLC, and sold by Deutsche Bank Securities Inc. and Deutsche Bank Trust Company Americas. It outlines the requirement for Deutsche Bank to provide KYC information to Alkeon as part of their AML process and seeks authorization for the transfer of funds for investment into the Fund.

document_subtype: Letter of Authorization

key_organizations:
Alpha Group Capital
Alkeon Capital Management, LLC
Deutsche Bank Securities Inc.
Deutsche Bank Trust Company Americas


document_description: Instructions for becoming a limited partner of Alkeon Growth PW Partners, LP, including completing a Subscription Agreement, executing a Limited Partnership Agreement, and making a capital contribution via wire transfer.

document_subtype: Subscription Agreement Instructions

key_organizations:
Alpha Group Capital
Alkeon Growth PW Partners, LP
Alkeon Capital Advisers, LLC
The Bank of New York Mellon


document_description: This document outlines the criteria for determining if an entity or individual qualifies as a 'qualified purchaser' under the Investment Company Act and the Investment Advisers Act. It includes categories for different types of investors and entities, such as employee benefit plans, private investment funds, and qualified institutional buyers. Each new limited partner must complete the form to assist Alkeon Capital Management, LLC in fulfilling reporting requirements.

document_subtype: investment qualification document

key_organizations:
Alpha Group Capital
Alkeon Capital Management, LLC


document_description: The document outlines the criteria for determining the Benefit Plan Investor status of a new limited partner in a partnership. It includes definitions and representations related to ERISA and the Internal Revenue Code, and provides options for the new partner to declare their status.

document_subtype: investment document


document_description: This document outlines the representations, warranties, and agreements of a New Limited Partner entering into a partnership with Alkeon Capital Advisers, LLC. It includes conditions for notifying the General Partner of any changes in representation, the New Limited Partner's reliance on provided documents, their understanding of investment risks, and restrictions on transferring partnership interests.

document_subtype: Partnership Agreement

key_organizations:
Alpha Group Capital
Alkeon Capital Advisers, LLC


document_description: This document is a form used to determine the restricted person status of a new limited partner in AGP LP 519 Alpha Group Capital. It includes a checklist of criteria to identify if the new limited partner falls under any restricted categories, such as being a broker-dealer, an officer or employee of a broker-dealer, or having significant ownership in a public reporting company.

document_subtype: determination of restricted person status form


document_description: This document is an investment eligibility form for AGP LP 519 Alpha Group Capital, involving the determination of eligibility for participation in New Issues under FINRA Rule 5130. It includes sections for identifying if the New Limited Partner is a Restricted Person or a Covered Investor, with specific criteria and instructions for each category.

document_subtype: investment eligibility form


document_description: This document outlines the criteria for determining the exempted entity status of a new limited partner in relation to participation in New Issues. It specifies the conditions under which a new limited partner, who is a restricted person or a covered investor, can still participate in New Issues by qualifying as an exempted entity. The document lists various categories and conditions that qualify an entity as exempted, such as being a publicly-traded entity, an investment company, or a tax-exempt charitable organization, among others.

document_subtype: Exempted Entity Status Determination

key_organizations:
AGP LP
Alpha Group Capital


document_description: This document outlines the terms and conditions for a New Limited Partner joining a partnership, including representations about the partner's authority, investment limits, and authorized individuals for communication. It includes clauses about the partner's investment proportion relative to net assets and the requirement to notify the partnership if certain conditions change.

key_organizations:
Alpha Group Capital
The Bank of New York Mellon


document_description: The document outlines the terms and conditions for a new limited partner joining the AGP LP 519 Alpha Group Capital. It specifies that the partnership will not hold 'plan assets' subject to ERISA or similar laws, and details the responsibilities and acknowledgments required from the new limited partner. It includes provisions on fiduciary responsibilities, tax implications, expense sharing, brokerage arrangements, and risk factors. The document also specifies conditions under which funds may be transferred to the new limited partner.

key_organizations:
AGP LP 519 Alpha Group Capital
Alkeon Growth Master Fund, Ltd.
Seward & Kissel LLP


document_description: This document outlines the representations, warranties, and covenants required of a New Limited Partner in a partnership agreement with AGP LP 519 Alpha Group Capital. It includes clauses on anti-money laundering compliance, beneficial ownership disclosure, and indemnification. The document specifies actions the partnership may take if representations are found to be false, including freezing investments and reporting to authorities.

document_subtype: partnership agreement


document_description: This document outlines the terms and conditions for a New Limited Partner's investment in a partnership, including electronic delivery of information, confidentiality obligations, and indemnification clauses. It specifies the process for electronic communication and the responsibilities of the New Limited Partner regarding email instructions and confidentiality.

document_subtype: investment agreement

key_organizations:
Alpha Group Capital
AGP LP


document_description: This document is a signature page for a partnership agreement involving Alkeon Capital Advisers, LLC as the General Partner and a New Limited Partner whose details are not filled in. It includes sections for joint accounts and tenants in common, purchaser representative, and capital contribution details, all of which are incomplete.

title: Alkeon Growth PW Partners, LP Signature Page

key_organizations:
Alkeon Capital Advisers, LLC
Alpha Group Capital


document_description: A document related to a new limited partner investing through a financial advisor, requiring details of the advisor.

document_subtype: Investment Document

key_organizations:
Alpha Group Capital
Alkeon Growth PWPartners, LP


document_description: This document is an additional representation agreement for investment from an IRA or self-directed pension plan, or by a custodian or directed trustee, into AGP LP 519 Alpha Group Capital. It outlines the responsibilities and authority of the Fiduciary in directing the investment and executing the agreement.

key_organizations:
AGP LP 519 Alpha Group Capital
Alkeon Growth PWPartners, LP


document_description: This document is a consent form for electronic delivery of documents related to Alkeon Growth PW Partners, LP. It outlines the terms and conditions for receiving reports and communications electronically, including the responsibilities of the investor and the security measures taken by The Bank of New York Mellon.

title: Consent to Electronic Delivery of Documents

key_locations: 350 Madison Avenue, New York, New York 10017

document_subtype: consent form

key_organizations:
Alkeon Growth PW Partners, LP
The Bank of New York Mellon
Alkeon Capital Management, LLC


document_description: Consent to the Electronic Delivery of Documents for AGP LP 519 Alpha Group Capital, with instructions for revocation and contact details for BNY Mellon and Alkeon Capital Management.

key_locations:
Bellevue Parkway, Wilmington, Delaware
350 Madison Avenue, New York, New York

key_organizations:
AGP LP 519 Alpha Group Capital
BNY Mellon
Alkeon Capital Management, LLC


document_description: A confidential document related to Alpha Group Capital with placeholders for authorized representative details and signatures. It includes confidentiality notes and reference numbers.

document_type: other

document_subtype: confidential document


document_description: Instructions for completing Form W-9 for acceptance by the Partnership's administrator. It includes guidelines on filling out the form, such as completing all sections, using one color of ink, and signing and dating the form. Specific instructions are provided for entities with and without their own employer identification number.

document_subtype: Form W-9 Instructions


document_description: Instructions for completing Form W-9, including details on tax classification, exemptions from backup withholding, and FATCA reporting codes. Provides guidance on entering taxpayer identification numbers and addresses.

key_organizations:
AGP LP
Alptta Group Capital


document_description: This document is a Form W-9, which is used to provide a correct Taxpayer Identification Number (TIN) to persons required to file information returns with the IRS. It includes instructions on certification requirements, identity theft protection, and privacy act notice.

title: Form W-9 Certification and Instructions

document_subtype: Form W-9


document_description: This document outlines the rules for determining ownership in investments for the purposes of Section THIRD of the Agreement. It specifies how investments should be valued, what types of investments are included or excluded, and considerations for joint ownership and retirement accounts.

title: Determination of Investments for Purposes of Section THIRD of the Agreement

document_subtype: investment worksheet


document_description: Instructions for a New Limited Partner to qualify as a 'qualified institutional buyer' under Rule 144A of the Securities Act. It outlines the requirements for dealers and plans to be considered qualified purchasers.

title: Special instructions for a New Limited Partner

document_subtype: investment instructions


document_description: The document outlines the definition of 'U.S. Person' for legal purposes, specifying exceptions for certain international organizations and U.S. agencies or branches located outside the United States.

document_subtype: legal definition

key_organizations: International Bank for Reconstruction and Development


document_description: This document outlines the criteria for determining 'beneficial owners' under Rule 13d-3 of the Securities Exchange Act of 1934. It specifies the conditions under which a person is considered a beneficial owner of a security, including voting and investment power, and the use of trusts or other arrangements to evade reporting requirements. It also addresses the aggregation of securities and the rights to acquire beneficial ownership.

title: Determination of 'Beneficial Owners' for Purposes of Section TWENTY-FIRST of the Agreement

document_subtype: Appendix


document_description: Document outlines the requirements for a new limited partner to join AGP LP 519 Alpha Group Capital. It specifies the categories of partners and the necessary documentation for each category, including identification, source of funds, and compliance with anti-money laundering regulations.

document_subtype: investment documentation


document_description: A brief statement explaining the source of the funds being invested by Alpha Group Capital, represented by Paul Barrett.

title: Source of Funds Statement

document_subtype: investment document


document_description: This document is an AML Certification Form for a fund of funds or entity investing on behalf of third parties. It certifies compliance with anti-money laundering laws, including the USA PATRIOT Act and OFAC regulations. The entity confirms it has policies to verify the identity of beneficial holders or underlying investors and their sources of funds, ensuring they do not violate AML/OFAC laws. The entity agrees to notify Alkeon Select Partners LP of any changes in these representations.

title: AML Certification Form for Fund of Funds or Entity that Invests on Behalf of Third Parties

document_subtype: AML Certification Form

key_organizations: U.S. Department of the Treasury's Office of Foreign Assets Control


document_description: This document is an Annex D form to be completed by funds of funds, entities that invest on behalf of third parties, and privately held entities. It requires the disclosure of the name, address, and citizenship of beneficial owners with 10% or more equity interest, as well as directors, general partners, or members.

title: Annex D for Funds of Funds and Privately Held Entities

document_subtype: Annex D form


document_description: This document is a form to be completed by entity investors that are trusts. It requires the listing of every current beneficiary with a 10% or more interest in the trust, every person who contributed assets to the trust, and every trustee. The form also requires the listing of intermediaries up the chain of ownership until individuals are listed.

title: Annex E - Entity Investors That Are Trusts

document_subtype: Trust Information Form


document_description: A certification letter from a financial institution confirming compliance with anti-money laundering regulations and the verification of an investor's identity.

title: Anti-Money Laundering Certification

document_subtype: certification letter

key_organizations:
Alpha Group Capital
FATF-Member Banking Institution


document_description: This document is a form for additional capital contributions to Alkeon Growth PW Partners, LP. It includes sections for both entity and individual limited partners to provide their information and signatures. The form is marked as confidential under Federal Rule of Criminal Procedure 6(e).

title: Alkeon Growth PW Partners, LP Additional Capital Contribution Form

document_subtype: form

key_organizations:
Alpha Group Capital
Alkeon Growth PW Partners, LP


document_description: A withdrawal request form for limited partners in Alkeon Growth PW Partners, L.P., allowing for full or partial redemption of capital. The form requires submission at least 20 calendar days prior to the requested withdrawal date and must be confirmed with Alkeon Capital Management.

title: Withdrawal Request for Alkeon Growth PW Partners, L.P.

document_subtype: Withdrawal Request

key_organizations:
Alpha Group Capital
Alkeon Growth PW Partners, L.P.
Alkeon Capital Management


document_description: KYC document for ALMISI HAL RELATIONSHIP managed by Shahin Ahdieh at Deutsche Bank, New York. The relationship includes accounts for Adil Hasan Almisihal and Lujain Holdings Limited. The relationship has existed since 2014, originally referred by DB GVA RM Walid Gomaa. No retrocession or similar compensation is paid for the introduction of this relationship.

title: DB PWM GLOBAL KYC/NCA PART A

key_people:
Shahin Ahdieh
Adil Hasan Almisihal
Walid Gomaa

document_subtype: KYC Document

key_organizations:
Deutsche Bank
Lujain Holdings Limited


document_description: KYC document for an account at UBS Geneva detailing expected inflows/outflows, asset volume, and related parties.

key_organizations:
UBS Geneva
Lujain Holdings Limited


document_description: This document provides Know Your Customer (KYC) details for Adil Hasan Almisihal, including personal information, professional background, and wealth details. It confirms his role as Chairman of the Al Misehal Group, a supplier of high technology systems in Saudi Arabia, and outlines his business ventures and contributions to the telecom infrastructure in Saudi Arabia.

title: KYC Print for Adil Hasan Almisihal

key_people:
Adil Hasan Almisihal
Shahin Ahdieh
Stephan Wessels

key_locations:
Riyadh
Kingdom of Saudi Arabia

key_organizations:
Al Misehal Group
Deutsche Bank


document_description: KYC document detailing financial and legal entity information for Mr. Almisihal and Lujain Holdings Limited. It includes estimated income, net worth, and assets under management, as well as details about the legal entity's structure and purpose.

key_people:
Mr. Almisihal
Adil Hasan Almisihal

key_locations:
Saudi Arabia
Cayman Islands
Switzerland

key_organizations:
Saudi Government
General Dynamics
Lujain Holdings Limited
Deutsche Bank
UBS Geneva


document_description: KYC document for Lujain Holdings Limited, a newly formed entity with no corporate assets, conducting business on behalf of Adil Hasan Almisihal. The document outlines the nature of the business, wealth profile, and potential investments with Deutsche Bank.

key_organizations:
Lujain Holdings Limited
Deutsche Bank
DB Geneva


document_description: This document is a Know Your Customer (KYC) form for the ALMISIHAL RELATIONSHIP, classified as high risk and booked in New York. It includes compliance checks such as RDC, PCR, OFAC, BIS, and Denial Orders, all of which returned no negative results. The Almisehal Group is noted as a large telecommunications provider in Saudi Arabia, and Adil Hasan Almisihal is mentioned in an Offshore Leak. No criminal convictions or litigation against Deutsche Bank AG are reported. Corporate documentation is attached, but no undisclosed principal form is completed.

title: DB PWM GLOBAL KYC/NCA: US/LatAm/Int'l PART B

key_people:
Adil Hasan Almisihal
Yoonsun Chung

key_locations:
Saudi Arabia
New York

key_organizations:
Almisehal Group
Deutsche Bank AG


document_description: This document provides instructions for completing Form W-9, which is used to provide a taxpayer identification number (TIN) to a requester. It includes definitions of a U.S. person, special rules for partnerships, and instructions for foreign persons. It also covers backup withholding, FATCA reporting, penalties for non-compliance, and specific instructions for filling out the form.

title: Form W-9 Instructions

document_subtype: tax document


document_description: Instructions for completing Form W-9, including details on business names, tax classification, exemptions from backup withholding, and FATCA reporting codes. Provides guidance on entering taxpayer identification numbers (TIN) and applying for TINs if not available.

title: Form W-9 Instructions

document_subtype: tax form instructions


document_description: This document is a Form W-9 used to establish that the individual is a U.S. person or resident alien for tax purposes. It includes instructions for certification, signature requirements, and guidelines for providing the correct Taxpayer Identification Number (TIN) for various types of accounts. It also provides information on identity theft prevention and the Privacy Act Notice related to the use of the TIN.

title: Form W-9 (Rev. 12-2014)

key_organizations: Treasury Inspector General for Tax Administration


document_description: The letter provides an update on the performance of Alkeon Growth Partners, LP for September 2017, highlighting a return of 0.47%. It discusses the positive performance in the US and Asia, negative performance in Europe, and the outlook on global investment opportunities. The letter emphasizes the potential for stock-picking in the current market environment and the undervaluation of high-quality growth sectors like technology and healthcare.

title: Alkeon Growth Partners Investment Letter

document_date: September 2017

key_locations:
New York
Hong Kong
Boston

document_subtype: investment letter

key_organizations:
Alkeon Capital Management
Alkeon Growth Partners
MSCI World
MSCI AC World


document_description: The document contains historical performance data for equity investments, highlighting seasonality trends and portfolio performance metrics. It includes two tables: one showing median MSCI US performance by month and another comparing annual performance of AGP, MSCI World, and S&P indices from 2003 to 2017.

key_organizations:
Alpha Group Capital
J.P. Morgan


document_description: The document provides a performance report for Alkeon Asia Growth and MS Alkeon UCITS Fund for September 2017. It includes performance metrics, portfolio information, and market analysis. Alkeon Asia Growth showed a 4.58% return in September, with strong performance in technology and industrials, while MS Alkeon UCITS Fund returned 2.27%, with positive results in technology and financials. Both funds are growth-oriented with significant exposure to long positions.

title: Alkeon Asia Growth and MS Alkeon UCITS Fund Performance Report

key_locations: Asia US Europe Taiwan

document_subtype: financial report

key_organizations:
Alkeon Asia Growth
MS Alkeon UCITS Fund
MSCI AC Asia
MSCI World
MSCI AC World


document_description: This document is a correspondence from Alkeon Capital Management discussing the performance data of their investment vehicles, particularly Alkeon Growth Partners, LP (AGP) and other related funds. It includes details about management fees, performance metrics, and comparisons to various indices. The document also contains disclaimers about the risks of investment and the nature of the information provided.

key_organizations:
Alkeon Capital Management
Alpha Group Capital


document_description: This document is a disclaimer and notice to investors regarding the risks and legal considerations of investing in Alkeon funds. It includes specific notices for investors in Switzerland, Hong Kong, Korea, Singapore, and the United Kingdom, highlighting the legal restrictions and requirements for offering and selling fund shares in these regions.

key_locations:
Zurich
Hong Kong
Korea
Singapore
United Kingdom

document_subtype: investment disclaimer and legal notice

key_organizations:
Alkeon
Alkeon Growth Offshore Fund, Ltd (AGO)
FIRST INDEPENDENT FUND SERVICES LTD.
NPB Neue Privat Bank AG


document_description: This document is a supplemental disclosure by Deutsche Bank Securities Inc. and Deutsche Bank Trust Company Americas, acting as a solicitation agent for a fund. It outlines the nature of the information provided, the risks involved in transactions, and the lack of guarantees on securities. It also clarifies that Deutsche Bank does not provide accounting, tax, or legal advice and authorizes the recipient to disclose the structure and tax aspects of the potential transaction.

title: Supplemental Disclosure by Deutsche Bank Securities Inc. and Deutsche Bank Trust Company Americas

document_subtype: disclosure

key_organizations:
Deutsche Bank Securities Inc.
Deutsche Bank Trust Company Americas
AGP LP S10 Alpha Group Capital


document_description: Document outlines the core strengths of Alkeon Capital Management, including their experienced investment team, disciplined investment process, focus on both long and short profit strategies, and strong business and compliance infrastructure.

key_organizations:
Alpha Group Capital
Alkeon Capital Management


document_description: The document outlines Alkeon's investment strategy, focusing on long and short investments, growth philosophy, and global mandate. It emphasizes long positions in growth companies with strong fundamentals and short positions in low-quality businesses. The strategy aims to identify growth cycles independent of economic cycles and maintain an active short investment book. The global mandate includes pursuing growth opportunities in emerging markets.

title: Alkeon's Main Investment Elements

document_subtype: Investment Strategy Document


document_description: The document outlines the research-intensive approach to investing by AGP LP 519 Alpha Group Capital, emphasizing deep domain expertise. It covers business analysis, industry understanding, communication with industry leaders, and data analysis from an ownership perspective.

title: AGP LP 519 Alpha Group Capital Paul Barrett - Idea Generation: Deep Domain Expertise

document_subtype: business strategy document

key_organizations:
AGP LP 519 Alpha Group Capital
ALKEON CAPITAL MANAGEMENT


document_description: The document outlines the risk management strategies of AGP LP 519 Alpha Group Capital, emphasizing strong business and compliance infrastructure, prudent use of leverage, strong liquidity, high diversification, and investing in businesses with healthy cash positions. It also highlights the approach to volatility, distinguishing it from risk.

title: Risk Management Overview

document_subtype: memo

key_organizations:
AGP LP 519 Alpha Group Capital
ALKEON Capital Management


document_description: This document outlines the disciplined approach to portfolio construction by Alpha Group Capital, detailing the input sources and processing steps involved in creating a portfolio.

title: AGP LP 519 Alpha Group Capital Paul Barrett Portfolio Construction

document_subtype: Portfolio Construction


document_description: The document provides a performance report for AGP LP 519 Alpha Group Capital, highlighting strong excess returns on both long and short portfolios compared to equity indices from January 2001 to September 2017. The report includes cumulative returns for AGS and comparisons with MSCI World and MSCI AC World indices.

title: AGP LP 519 Alpha Group Capital Performance Report

document_date: January 2001 to September 2017

document_subtype: financial performance report

key_organizations:
Alpha Group Capital
Alkeon Capital Management
Morgan Stanley


document_description: The document provides a performance summary of AGP LP 519 Alpha Group Capital, highlighting asymmetric upside/downside participation from January 1998 to December 2016. It shows strong double Alpha and net-long bias resulting in significant upside participation and limited downside participation over periods greater than one year. The document includes average annual return percentages captured versus MSCI World and MSCI AC World indices.

title: AGP LP 519 Alpha Group Capital Performance Summary


document_description: The document provides a performance report for AGP LP 519 Alpha Group Capital, highlighting strong performance in difficult markets from January 1998 to December 2016. It includes two-year cumulative returns for the Alkeon Growth Strategy, MSCI World, and MSCI AC World indices, sorted from worst to best for each series. The report emphasizes the strategy's ability to generate strong alpha and limit downside, with only one losing two-year period (2001-2002).


document_description: The document provides monthly updates on exposures available on Alkeon's website for AGS, including Measurisk reporting, weekly performance estimates, liquidity profile, geographic profile, historical performance attribution, and gross and net exposure. It also mentions investor letters and the client servicing team.

key_organizations:
AGP LP
Alpha Group Capital
Alkeon


document_description: The document outlines the trade execution and business continuity strategies of AGP LP 519 Alpha Group Capital, including global trading, electronic trading systems, access to large crossing networks, an experienced trading team, disaster recovery plans, and best-execution practices.

title: Trade Execution and Business Continuity

document_subtype: business document


document_description: A list of analysts and their professional backgrounds, including previous positions and educational qualifications.

title: Alkeon Fundamental Analyst Team

key_people:
Steve Ahn
David Goldberger
Andrew Hendley
Tom In
David Kandel
Xiao Liu

key_locations:
University of Michigan
The Wharton School
University of Pennsylvania
University of California at Berkeley
Bernard Baruch College
University of Arizona
Stanford University
Beijing Foreign Studies University

document_subtype: team roster

key_organizations:
Circle T Partners
Scopia Capital
CSFB
Partner Fund Management
Fortress
JP Morgan
Hambrecht & Quist
RCM Capital
Amgis Capital
SAC/Sigma
Galleon Group
Oppenheimer Asset Management
Spear Leeds & Kellogg
Morgan Stanley


document_description: This document lists members of the Alkeon Fundamental Analyst Team along with their professional backgrounds and qualifications.

title: Alkeon Fundamental Analyst Team

key_people:
Cranston Paull
Raj Shah
Takis Sparaggis
Jeff Stedman
William Zeng

key_locations: Massachusetts Institute of Technology (MIT)

key_organizations:
Oppenheimer
Prudential
Value Line
Dartmouth
Castlerock Management
Post Road Cap
Molecular Assoc/Lipe & Co
JPM/Schroders
Alkeon Capital Management
Pequot
Qualcomm Ventures


document_description: This document is a confidential appendix related to Alkeon Capital Management, marked as confidential pursuant to Federal Rule of Criminal Procedure 6(e).


document_description: The document provides a detailed financial report on Alkeon Growth PW Partners, LP, including gross and net exposure percentages from August 2010 to August 2017, and monthly and year-to-date net performance from 2010 to 2017. It includes comparisons with MSCI World and MSCI AC World indices. The report also mentions management fees and incentive allocations for investors.

title: Alkeon Growth PW Partners, LP Gross/Net Exposure and Net Performance

key_organizations:
Alpha Group Capital
Alkeon Capital Management
BNY Mellon
Morgan Stanley Prime Brokerage


document_description: The document provides a breakdown of liquidity and gross exposure by country for the Alkeon Growth Offshore Fund, Ltd. as of September 2017. It includes data on liquidity buckets and country exposure percentages, with the United States having the highest exposure at 72.79%. The data is sourced from Morgan Stanley Prime Brokerage and is based on holdings of the Alkeon Growth Master Fund, Ltd.

title: Alkeon Growth Offshore Fund, Ltd. Country & Liquidity

key_locations:
United States of America
Japan
People's Republic of China
Hong Kong
Korea, South
Taiwan
Australia
Germany
Netherlands
Argentina
Great Britain
France
Spain
Canada
India
Switzerland
Denmark
Finland
Sweden
Ireland

key_organizations:
Alpha Group Capital
Alkeon Growth Offshore Fund, Ltd.
Alkeon Growth Master Fund, Ltd.
Morgan Stanley Prime Brokerage
Alkeon Capital Management


document_description: This document outlines the terms for Alkeon Growth PW Partners, LP and Alkeon Growth Offshore Fund, Ltd., including details on investment management, strategy and fund launch dates, portfolio and risk managers, minimum investment, management and incentive fees, lockup periods, liquidity, redemption fees, notice periods, auditors, prime brokers, and administrators.

title: Alkeon Product Terms

key_people:
Takis Sparaggis
George Mykoniatis

document_subtype: financial terms

key_organizations:
Alkeon Capital Management, LLC
RSM US LLP
Morgan Stanley
Credit Suisse
BNY Mellon


document_description: This document provides definitions and explanations of various financial terms related to fund performance and market exposure, sourced from Hedgetund.net and Morgan Stanley Prime Brokerage. It includes terms like Alpha, Beta, Annualized Alpha Generation, Compounded Monthly Return, Delta and Delta Adjusted Exposure, Gross Exposure, Net Exposure, Downside Deviation, Sortino Ratio, and Sharpe Ratio.

title: Glossary of Terms

key_organizations:
Alpha Group Capital
Morgan Stanley
Alkeon Capital Management


document_description: The document outlines the risk considerations for investing in Alkeon Growth PW Partners, LP and Alkeon Growth Offshore Fund, Ltd. It highlights the speculative nature of the investment program, the use of leverage, active trading, short sales, and derivative instruments, and the associated risks. It also discusses the potential impact of market volatility, foreign investments, and investments in emerging markets on the fund's net asset value.

document_subtype: investment risk disclosure

key_organizations:
Alpha Group Capital
Alkeon Growth PW Partners, LP
Alkeon Growth Offshore Fund, Ltd.
ALKEON Capital Management


document_description: This document is a disclaimer from Alkeon Capital Management, LLC, outlining the confidentiality and restrictions on distribution of the document, performance results of Alkeon Growth Strategy, and various disclaimers regarding investment risks and performance calculations.

document_subtype: disclaimer

key_organizations:
Alkeon Capital Management, LLC
Advantage Advisers Global Growth LLC
CIBC Oppenheimer Corp.
CIBC World Markets Corp.
Alkeon Growth Offshore Fund, Ltd.
Alkeon Growth PW Partners, LP


document_description: This document contains disclaimers and notices for investors in various regions including Hong Kong, Switzerland, the United Kingdom, Singapore, and Korea. It outlines the legal restrictions and conditions under which investment interests or securities may be offered or sold in these regions.

key_locations:
Hong Kong
Switzerland
United Kingdom
Singapore
Korea

key_organizations: Securities and Futures Commission of Hong Kong

reference_numbers:
cap. 571
cap. 622
Financial Services and Markets Act 2000
Securities and Futures Act, Chapter 289


document_description: This document is a supplemental disclosure by Deutsche Bank Securities Inc. and Deutsche Bank Trust Company Americas, acting as a solicitation agent for a fund. It outlines the nature of the information provided, the risks involved in transactions, and the lack of guarantees on securities. It also clarifies that Deutsche Bank does not provide accounting, tax, or legal advice and authorizes the recipient to disclose the structure and tax aspects of the potential transaction.

key_organizations:
Deutsche Bank Securities Inc.
Deutsche Bank Trust Company Americas
Alpha Group Capital


document_description: The document is a daily deposit report listing large, zero, and negative balances for various accounts, including those associated with Jeffrey Epstein and other entities. It also details a large incoming transaction for Jeffrey Epstein.

title: RM0082289 Daily Deposit Report

key_people:
Jeffrey Epstein
Todd Wanek
Karen Wanek
Darren K. Indyke

key_organizations:
Southern Trust Company, Inc.
Southern Financial LLC
Neptune, LLC
JEGE, Inc
JEGE, LLC
NES, LLC
Zorro Development Corp.
LSJE, LLC
Wanek Trust of 2000
KWF 2007 LLC
SSW 2007 LLC
Gratitude America, Ltd


document_description: The document contains a table with financial information related to bonds from Bank of America and Frontier Communications, including CUSIP numbers, dates, and amounts. It also includes an email from Richard Kahn requesting bid-ask prices for selling these bonds.

key_people:
Richard Kahn
Vahe Stepanian
Daniel Sabba
Stewart Oldfield

key_organizations:
Bank of America
Southern Financial LLC
Frontier Communications
Haze Trust
HBRK Associates Inc.
Deutsche Bank


document_description: A check issued by Jeffrey Epstein from Deutsche Bank Trust Company Americas to the Insurance Office of Central Ohio for the amount of $36,918.00. The check is marked for deposit only to Fifth Third Bank, with account details for the Insurance Office of Central Ohio provided.

key_locations:
St. Thomas, USVI
New York, New York
New Albany, OH

document_subtype: check

key_organizations:
Deutsche Bank Trust Company Americas
Insurance Office of Central Ohio
Fifth Third Bank


document_description: The document provides indications for premium neutral risk reversals on WTI futures, requiring Credit Risk sign off and assessment of potential credit charges before trading. It includes notional details and option expiration dates with call and put strike prices for different future references.

key_organizations:
Deutsche Bank Securities Inc.
Southern Financial


document_description: A financial transaction involving a settled amount of USD 42,455.00 with a clearing reference of 11531444. The transaction was ordered by a suspense account and was unable to be applied due to an invalid beneficiary account.

document_subtype: bank transaction


document_description: A client briefing document from Deutsche Bank Wealth Management detailing a meeting with Brad Wechsler, Managing Partner of Elysium Management, LLC, and Leon Black, Chairman and CEO of Apollo Global Management, LLC. The meeting took place on June 28, 2016, at Brad Wechsler's office in NYC.

title: Deutsche Bank Wealth Management Client Briefing

key_people:
Leon Black
Brad Wechsler
Fabrizio Campelli
Stewart Oldfield

document_subtype: client briefing

key_organizations: Academy of Motion Picture Arts and Sciences


document_description: Meeting notes discussing Deutsche Bank's interest in partnering with Elysium, a family office led by Leon Black, to provide investment advice. The focus is on structuring Mr. Black's real estate, art, and other holdings, and transitioning the office to an investment-focused organization. The document includes a biography of Leon Black and outlines key discussion points and asks for the meeting.

key_people:
Leon Black
Brad Wechsler
Patty Newburger
Paul Morris
Stewart Oldfield

document_subtype: meeting notes

key_organizations:
Deutsche Bank
Elysium
Apollo Management, L.P.
Tribeca Film Institute
Museum of Modern Art
Mt. Sinai Hospital
The Asia Society
The Council on Foreign Relations
FasterCures
Port Authority Task Force


document_description: Business card of Stewart Oldfield, Director at Deutsche Bank Trust Company Americas, Deutsche Bank Wealth Management.

document_subtype: business card

key_organizations:
Deutsche Bank Trust Company Americas
Deutsche Bank Wealth Management
Deutsche Bank Securities Inc.


document_description: Contact information for Stewart Oldfield, Director at Deutsche Bank Trust Company Americas, including address and phone number.

key_organizations:
Deutsche Bank Trust Company Americas
Deutsche Bank Wealth Management


document_description: The document is a daily deposit report listing large, zero, and negative balances for various accounts associated with Jeffrey Epstein and related entities as of October 11, 2016. It includes account names, categories, balances, and a large transaction for Southern Trust Company, Inc.

title: RM0082289 Daily Deposit Report 20161012

key_people:
Jeffrey Epstein
Darren K. Indyke

document_subtype: financial report

key_organizations:
Southern Financial LLC
Neptune, LLC
JEGE, INC
JEGE, LLC
NES, LLC
LSJE, LLC
Southern Trust Company, Inc.
Wanek Trust of 2000
Gratitude America, Ltd
Kati Forsythe 2014 GRAT


document_description: Internal communication regarding an alert review for Richard Kahn, identified as a false positive. Forwarded email content is redacted.

key_people:
Dmitri Saks
Manikandan Muralidharan
Richard Kahn

document_subtype: internal memo

key_organizations:
Southern Financial LLC
DBOI Global Services Private Limited


document_description: The document is a correspondence regarding alerts related to an individual named Richard Kahn. It discusses false positive alerts and mentions that no escalation is required. The correspondence is marked as confidential and is for internal use only.

key_people:
Richard Kahn
Syed-Anzar Ahmed
Manikandan Muralidharan

key_organizations:
Southern Financial LLC
DBOI Global Services Private Limited
RDC LOOKBACK TEAM


document_description: Request for revised ownership confirmation for Southern Financial LLC as advised by AML Compliance. Forwarded email from Dmitri Saks regarding EDD package and document validation for Southern Financial LLC.

key_people:
Manikandan Muralidharan
Anastasia Pringle
Dmitri Saks
Jofin Varghese
Ganesh Balaji
Bharath-Kumar MS
Karthik
Balaji
Sujith Shetty
Kumud Sharma

key_organizations:
DBOI Global Services Private Limited
Southern Financial LLC
Southern Trust Company, Inc.


document_description: Resolution executed by the directors of Financial Trust Company, Inc.

key_people:
Jeffrey E. Epstein
Darren K. Wascher
Darren K. Indyke
Richard Kahn

document_subtype: Board Resolution

key_organizations:
Financial Trust Company, Inc.
DBOI Global Services Private Limited


document_description: A communication from Deutsche Bank Trust Company Americas and Deutsche Bank Wealth Management, containing a disclaimer about confidentiality and the nature of the information provided. It mentions that Deutsche Bank does not provide legal or tax advice.


document_description: The document is a daily deposit report detailing account balances and large transactions for various entities associated with Jeffrey Epstein. It includes account names, categories, and balances, as well as descriptions and amounts of large transactions.

title: RM0082289 Daily Deposit Report

key_people:
Jeffrey Epstein
Darren K. Indyke
Todd R. Wanek
Karen A. Wanek

key_organizations:
Neptune, LLC
Hyperion Air, LLC
JEGE, Inc
JEGE, LLC
HBRK Associates, Inc
NES, LLC
Zorro Development Corp.
LSJE, LLC
Gratitude America, Ltd
Zorro Management, LLC
Prytanee, LLC
CRW 2007 LLC
GEW 2007 LLC
Wanek Trust of 2000
Southern Trust Company, Inc.
Southern Financial LLC
SSW 2007 LLC
KWF 2007 LLC
Shari Wagner 2014 GRAT
Kati Forsythe 2014 GRAT


document_description: Shalini Goyal requests information on payment approval, overdraft fee decision, and how the overdraft will be covered.

document_subtype: email

key_organizations:
DBOI Global Services Private Limited
COO Wealth Management Operations


document_description: Three instances of an overdraft notice from Deutsche Bank Trust Co. Americas indicating an overdraft of $1,274.88 as of 06-02-17. The notices request a deposit to cover the overdraft and mention a fee deducted for handling the overdraft. A preauthorized debit of $1,462.54 to Ossa Properties is listed as causing the overdraft.

document_subtype: bank notice

key_organizations:
Deutsche Bank Trust Co. Americas
Ossa Properties


document_description: An issue occurred while sending files to FIS due to a transmission problem via NDM. The issue has been fixed, and files were manually sent to FIS. Some transactions from 6/20/17 have not posted to banking accounts, affecting balances in IBS Insight and DB Private Wealth Online Plus. Outgoing wires initiated via Online Banking are also affected. The root cause was network-level encryption, which has been removed to fix the issue.

key_organizations:
FIS
DB Private Wealth Online Plus
IBS Insight
PWM IT US


document_description: Escalation contacts for Deutsche Bank provided by HCL. The document is marked as confidential under Federal Rule of Criminal Procedure 6(e).

key_organizations:
HCL
Deutsche Bank


document_description: This document is marked as confidential and is produced in native format pursuant to Federal Rule of Criminal Procedure 6(e). It contains identifiers such as DB-SDNY-0068849, SDNY_GM_00215033, and EFTA01374248.


document_description: Internal communication regarding false positive alerts related to Richard Kahn and Southern Financial LLC. The alerts were determined to be mismatches with individuals involved in unrelated activities.

title: Fw EDD package for the RID: ONB-120902 LKYCUS-3443

key_people:
Richard Kahn
Richard Jeffrey Kahn
Syed-Anzar Ahmed

key_organizations:
Southern Financial LLC
Wells Fargo
DBOI Global Services Private Limited
COB - RDC LOOKBACK TEAM


document_description: Internal communication regarding the validation of key statements in a Board resolution document related to Southern Financial LLC and Southern Trust Company, Inc. The document requires validation of Epstein's role as the sole shareholder and the relationship between the two entities. Supporting documentation is requested for verification.

key_people:
Epstein
Dmitri Saks

key_organizations:
Southern Financial LLC
Southern Trust Company, Inc.
Deutsche Bank Securities Inc.


document_description: This document is a board resolution for Southern Trust Company, Inc., a U.S. Virgin Islands corporation. It certifies that certain resolutions were unanimously adopted by the Board of Directors on March 19, 2013. The directors listed are Jeffrey Epstein, Darren K. Indyke, and Richard Kahn. The resolution was executed in lieu of a meeting, in accordance with the General Corporation Law of the United States Virgin Islands.

title: Consent of the Board of Directors of Southern Trust Company, Inc.

key_people:
Jeffrey Epstein
Darren K. Indyke
Richard Kahn


document_description: This document is a Termination Agreement between Deutsche Bank AG and Southern Financial LLC, terminating their Global Master Repurchase Agreement (GMRA) effective December 7, 2016. It confirms that no transactions, obligations, or balances exist under the GMRA as of the termination date. The agreement is governed by the laws of England and can be executed via electronic mail or facsimile.

document_subtype: Termination Agreement

key_organizations:
Deutsche Bank AG
Southern Financial LLC


document_description: This document is an amendment agreement executed by Southern Financial LLC and Deutsche Bank AG. It includes signatures from Jeffrey Epstein as Manager of Southern Financial LLC and Mary Breslin as Vice President of Deutsche Bank AG. Steven Kassler is also listed as a Director.

key_people:
Jeffrey Epstein
Mary Breslin
Steven Kassler

document_subtype: Amendment Agreement

key_organizations:
Southern Financial LLC
Deutsche Bank AG


document_description: This document is a Termination Agreement between Deutsche Bank AG (Party A) and Southern Trust Company, Inc. (Party B) to terminate a Global Master Repurchase Agreement (GMRA) dated February 26, 2015. The agreement confirms that there are no outstanding transactions, obligations, or liabilities under the GMRA as of the termination date. It includes a waiver of notice period and states that the agreement is governed by the laws of England. The agreement can be executed via electronic mail or facsimile.

title: Termination Agreement between Deutsche Bank AG and Southern Trust Company, Inc.

key_organizations:
Deutsche Bank AG
Southern Trust Company, Inc.


document_description: This document is an execution copy of an agreement between Southern Trust Company, Inc. and Deutsche Bank AG, signed by Jeffrey Epstein and Mary Breslin.

title: Execution Copy

key_people:
Jeffrey Epstein
Mary Breslin
Stoven Kessler

document_subtype: contract

key_organizations:
Southern Trust Company, Inc.
Deutsche Bank AG


document_description: This document is a Termination Agreement dated December 7, 2016, between Deutsche Bank AG and Southern Trust Company, Inc. It terminates the ISDA Master Agreement dated October 28, 2013, between the parties. The agreement confirms that no transactions, obligations, or payments are outstanding under the Master Agreement as of the termination date. It also includes a waiver of notice period and specifies that the agreement is governed by New York State law.


document_description: An Amendment Agreement executed by Southern Financial, LLC and Deutsche Bank AG, with signatures from Jeffrey Epstein, Eduardo Waite, and Sebastian Marcilese.

key_people:
Jeffrey Epstein
Eduardo Waite
Sebastian Marcilese

key_organizations:
Southern Financial, LLC
Deutsche Bank AG


document_description: This document is marked as confidential under Federal Rule of Criminal Procedure 6(e) and contains identifiers related to a legal case or investigation in the Southern District of New York.


document_description: Contact information for Davide Sferrazza, an analyst at Deutsche Bank Securities, Inc. and Deutsche Bank Wealth Management.

key_organizations:
Deutsche Bank Securities, Inc.
Deutsche Bank Wealth Management


document_description: This document is marked as confidential and is related to a legal matter, likely involving the Southern District of New York (SDNY). It references Federal Rule of Criminal Procedure 6(e), which pertains to grand jury secrecy.


document_description: Kimberly Hart is requesting information on Domestic PEP Accounts, Foreign PEP Accounts, and High Risk Industry Accounts. Wayne Salit acknowledges data quality issues in the High Risk Industry Accounts field and advises describing these issues when reporting to Kim.

title: AML Risk Assessment - PRIME DATA NEEDED

key_people:
Kimberly Hart
Wayne Salit
Julie Cataudella
Armen Brash
Vaishali-P Mehta
Janice Franklin

document_subtype: email correspondence

key_organizations: Deutsche Investment Management Americas Inc.


document_description: The document is a daily deposit report listing large, zero, and negative balances for various accounts as of March 14, 2018. It includes account names and balances, with notable entries for Jeffrey Epstein and The Haze Trust.

title: RM0082289 Daily Deposit Report

key_people:
Jeffrey Epstein
Noel Volpe
Nancy DeVane
Michael DeVane
Darren K. Indyke

key_organizations:
The Jockey Club
The Jockey Club Safety Net Foundation
The Grayson Jockey Club
Equibase Company
Southern Financial LLC
Neptune, LLC
Plan D, LLC
JEGE, LLC
HBRK Associates, Inc
NES, LLC
JSC Interiors LLC
LSJE, LLC
Gratitude America, Ltd
Blood-Horse LLC
Zorro Management, LLC
Prytanee, LLC
The Haze Trust
CRW 2007 LLC
GEW 2007 LLC
Wanek Trust of 2000
Kati Wanek-Forsythe 2015 GRAT
The 2017 Caterpillar Trust
Axcis Information Network Inc
Southern Trust Company, Inc.
SSW 2007 LLC
KWF 2007 LLC
Shari Wagner 2014 GRAT
Kati Forsythe 2014 GRAT
CRW 2009 LLC
GEW 2009 LLC


document_description: The document is a daily deposit report listing large, zero, and negative balances for various accounts as of March 21, 2018. It includes account numbers, names, categories, and balances.

title: RM0082289 Daily Deposit Report 20180322

key_people:
Noel Volpe
Jeffrey Epstein
Nancy and Michael Devane
Darren K. Indyke

document_subtype: Daily Deposit Report

key_organizations:
The Jockey Club
The Jockey Club Safety Net Foundation
The Grayson Jockey Club
Equibase Company
Southern Financial LLC
Neptune, LLC
Plan D, LLC
JEGE, LLC
HBRK Associates, Inc
NES, LLC
JSC Interiors LLC
LSJE, LLC
Gratitude America, Ltd
Blood-Horse LLC
Zorro Management, LLC
Prytanee, LLC
The Haze Trust
Wanek Trust of 2000
Axcis Information Network Inc
Southern Trust Company, Inc.
SSW 2007 LLC
KWF 2007 LLC
Shari Wagner 2014 GRAT
Kati Forsythe 2014 GRAT
CRW 2009 LLC
GEW 2009 LLC
The 2017 Caterpillar Trust


document_description: A confidential communication from Deutsche Bank stating that they do not provide legal or tax advice.


document_description: A confidential memo from Samantha Harmon, Sales Support Analyst at Deutsche Bank Trust Company Americas, located at 345 Park Avenue, New York, NY. The document is marked as confidential pursuant to Federal Rule of Criminal Procedure 6(e).

document_subtype: memo


document_description: The document contains a disclaimer from Deutsche Bank regarding legal and tax advice, and mentions confidentiality under Federal Rule of Criminal Procedure 6(e).


document_description: The document is a daily deposit report listing large, zero, and negative balances for various accounts as of June 19, 2018. It includes account names, categories, and balances.

title: Daily Deposit Report

key_people:
Jeffrey Epstein
Nancy DeVane
Michael DeVane
Kati Wanek-Forsythe
Cameron Wanek
Shari Wagner
Darren K. Indyke

key_organizations:
The Jockey Club
Equibase Company
Incompass Solutions Inc
Southern Financial LLC
Neptune, LLC
Hyperion Air, LLC
Plan D, LLC
JEGE, LLC
HBRK Associates, Inc
NES, LLC
JSC Interiors LLC
LSJE, LLC
Gratitude America, Ltd
Blood-Horse LLC
Zorro Management, LLC
Prytanee, LLC
The Haze Trust
Butterfly Trust
Southern Trust Company, Inc.
SSW 2007 LLC
KWF 2007 LLC
CRW 2009 LLC
GEW 2009 LLC


document_description: A table listing various trusts and individuals with associated amounts, mostly zero, except for two entries with amounts of 149,967.76.

key_people:
Kati Wanek-Forsythe
Cameron Wanek
Travis Wagner
Shari Wagner
Robert S Forsythe
Todd R Wanek
Ronald Wanek
Joyce Wanek


document_description: The document with reference number EFTA01374284 does not contain any specific information or context to classify it under a particular category. It lacks identifiable content such as emails, legal information, financial data, or government-related material.


document_description: A financial transaction involving a check from Nicholas Ribis to Jeffrey Epstein dated January 3, 2018, drawn from America's Most Convenient Bank.

key_people:
Jeffrey Epstein
Nicholas Ribis


document_description: A deposit slip for Jeffrey Epstein indicating a mobile deposit option.

document_subtype: deposit slip


document_description: A communication from Stewart Oldfield, Director at Deutsche Bank Wealth Management, containing confidential information and disclaimers about the nature of the communication. It includes contact information and a confidentiality notice.

key_organizations:
Deutsche Bank Trust Company
Deutsche Bank Wealth Management
Deutsche Bank Securities Inc.


document_description: An event attendee acknowledgement document from Deutsche Bank Securities Inc. outlining terms and conditions for attendees of a specific event. It includes disclaimers about the nature of information provided, the lack of investment advice, and the responsibilities of attendees. It also mentions the potential recording of the event and the use of attendee information.

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

document_subtype: event acknowledgement


document_description: This document outlines the terms and conditions for attending an event organized by DBSI. It includes clauses on the use of personal data, representation and warranties, indemnification, and disclaimers of liability. The terms are governed by the laws of the State of New York, and any disputes must be resolved in specified New York courts.

key_locations: United States District Court for the Southern District of New York

key_locations: Supreme Court of the State of New York for the County of New York

document_subtype: terms and conditions


document_description: This document appears to be a confidential legal document related to a case in the Southern District of New York, as indicated by the references to 'DB-SDNY-0068919', 'SDNY_GM_00215103', and 'EFTA01374295'. It is marked as confidential pursuant to Federal Rule of Criminal Procedure 6(e).


document_description: The document is marked as confidential and is not producible due to corruption or being unprintable.


document_description: This document provides a justification for opening a deposit account for The 2017 Caterpillar Trust associated with Jeffrey Epstein, despite high-risk factors due to his legal history. The account is intended for annual annuity payments. The memo acknowledges Epstein's high-risk status due to past court cases, including a settled civil fraud action and a prison sentence for fraud and sexual offenses. Despite these factors, AML Compliance has reviewed and approved the continuation of the relationship.

title: Account Opening Justification for Jeffrey Epstein

key_people:
Jeffrey Epstein
Cynthia Rodriguez
Bill Clinton
Prince Andrew

key_organizations:
Deutsche Bank Trust Company Americas
Deutsche Bank Wealth Management


document_description: This document appears to be a questionnaire or form related to client relationship management, specifically for Deutsche Bank (DB). It includes questions about the establishment of the client relationship, the client's rationale for opening an account, the ability to issue bearer shares, the source of funds, and the source of wealth. The document is marked as confidential under Federal Rule of Criminal Procedure 6(e).

key_locations:
BM
Bahamas
Cayman Islands
Panama
Switzerland

document_subtype: questionnaire


document_description: A memo from Michael Valencia, KYC Outreach Analyst at Deutsche Bank, inquiring about confidentiality agreements, regulatory status changes, and politically exposed persons related to a client. The memo requests information on any NDAs, regulatory changes, or adverse information that could pose a reputational risk to Deutsche Bank.