document_description: The document outlines the risks and conditions associated with the acquisition and management of Collateral Obligations by an Issuer. It discusses the potential impact of market factors on the price and availability of Collateral Obligations, the restrictions under the Indenture and Investment Management Agreement, and the reinvestment risks associated with lower yielding instruments. The document also highlights the challenges in trading Leveraged Loans due to their customized nature and the associated reinvestment risks.


source: doj

document_description: The document discusses the risks and volatility associated with Collateral Obligations, particularly those that are below investment grade. It highlights the potential for defaults, market and credit spread volatility, and the illiquidity of certain Collateral Obligations. The document also covers the impact of these factors on the market value of Collateral Obligations and the Issuer's ability to manage them. Additionally, it addresses securities lending and the implications of credit ratings on debt obligations.


document_description: The document discusses the potential conflicts of interest related to the Investment Manager and its Affiliates in the context of purchasing Subordinated Notes and other securities. It highlights the possibility of conflicts arising from the Investment Manager's activities and relationships with companies whose securities are included in the Collateral. The document also outlines the Investment Manager's obligations and practices regarding investment opportunities and conflicts resolution.


document_description: The document outlines the terms of the Investment Management Agreement, including restrictions on transactions with affiliates, potential conflicts of interest, and the calculation of incentive fees. It also discusses the restructuring plan of ING Group, which may impact the Investment Manager's operations.


document_description: The document discusses potential conflicts of interest involving the Initial Purchaser and its Affiliates in relation to Collateral Obligations. It outlines the roles and responsibilities of the Initial Purchaser, its Affiliates, and the Investment Manager in the accumulation and management of obligations prior to the Closing Date. The document also details the financing arrangements provided by Credit Suisse International and the potential risks associated with the market value of assets owned by the Issuer on the Closing Date.


document_description: The document discusses various risk factors associated with collateralized debt obligations (CDOs) issued by recently incorporated Co-Issuers. It highlights the lack of operating history, limited funds for operating expenses, potential third-party litigation, and the impact of rating agency confirmations on the Co-Issuers' operations. Additionally, it addresses recent legal and regulatory developments, including the Dodd-Frank Act, in response to the financial crisis.


document_description: The document discusses various legal considerations related to securities, including lender liability, equitable subordination, insolvency considerations for non-U.S. issuers, and the lack of registration under the Securities Act and the Investment Company Act of 1940. It highlights potential legal risks and consequences for issuers and investors, such as the possibility of claims from creditors, the impact of debtor-friendly insolvency regimes, and the lack of certain investor protections due to non-registration.


document_description: The document outlines the incorporation and governance details of the Issuer and Co-Issuer, including their formation dates, principal offices, and management structure. The Issuer is incorporated in the Cayman Islands, and the Co-Issuer in Delaware. It details the roles of directors and administrators, and the agreements governing their operations.


document_description: The document outlines the initial proposed capitalization and indebtedness of the Issuer as of the Closing Date, detailing the amounts for various classes of notes and shares. It also describes the use of proceeds from the issuance of securities.


document_description: The document outlines the security for notes issued by the Issuer, detailing the collateral obligations and eligible investments. It specifies the types of collateral obligations, primarily leveraged loans, and the conditions under which the Issuer can invest and reinvest. The document also defines what constitutes a 'Collateral Obligation' and the requirements for such obligations.


document_description: This document outlines specific criteria for investment obligations managed by the Investment Manager. It includes conditions related to credit risk, ratings, currency, tax implications, margin regulations, conversion options, interest payments, maturity, and security types.


document_description: The document outlines the concentration limits for the Issuer's commitment to purchase Collateral Obligations, specifying minimum and maximum limitations for various collateral types.


document_description: This document outlines the collateral type requirements and limitations for a portfolio, specifying minimum and maximum percentages of the portfolio principal balance for various countries and financial instruments. It includes exceptions and additional requirements for each category.


document_description: The document outlines the responsibilities and limitations of the Investment Manager in managing the Issuer's assets, including the disposal of unsaleable assets, consent to solicitations for extending maturity of collateral obligations, and reinvestment requirements during and after the Reinvestment Period.


document_description: The document outlines the reinvestment requirements and conditions for unscheduled principal payments and sale proceeds of credit risk obligations. It specifies conditions for purchasing collateral obligations, including S&P ratings, purchase price, and compliance with collateral quality tests. It also details the coverage tests for interest and overcollateralization, and the criteria for securities lending by the investment manager.


document_description: The document outlines the terms and conditions of Securities Lending Agreements, including limitations on the Aggregate Principal Balance of Collateral Obligations, requirements for Securities Lending Counterparties, and actions to be taken in case of a downgrade by Rating Agencies. It also details the handling of Securities Lending Collateral and the role of the Investment Manager.


document_description: The document outlines the roles and responsibilities of the Investment Manager, ING Alternative Asset Management LLC, in managing the Issuer's investment portfolio. It details the Investment Management Agreement, potential conflicts of interest, and financial transactions related to the Closing Date. The document also provides background information on ING Alternative Asset Management LLC and its parent company, ING Group.


document_description: The document is an offering memorandum detailing the investment process and restructuring plan of the ING Senior Loan Group, part of ING Group. It outlines the group's management of over $9 billion in assets, the planned divestment of ING's life insurance and investment management businesses, and the potential impacts of this restructuring. The document also describes the investment process, including macroeconomic research, industry analysis, and fundamental credit analysis, as well as the role of the Investment Committee in approving investments.


document_description: The document provides information about the investment process and personnel of ING's Senior Loan Group. It details the roles and experience of key personnel including Dan Norman, Jeff Bakalar, and Ralph E. Bucher, highlighting their responsibilities and backgrounds in investment and credit risk management.


document_description: The document provides profiles of four team leaders in the ING Senior Loan Group, detailing their roles, responsibilities, and career backgrounds. It includes information about Mare Boatwright, Mark F. Haak, Charles LeMieux, and Michel Prince, highlighting their areas of coverage, previous positions, and educational backgrounds.


document_description: Biographical information about Olivier Struben and Robert Wilson, both senior figures in the ING Senior Loan Group, detailing their career history and roles within the organization.


document_description: The document outlines the terms and conditions for the issuance of additional securities by the Issuer, including the rights of Subordinated Securities holders, opinions of counsel required, and conditions for Optional Redemption. It also covers the issuance of Replacement Notes and the treatment of Surrendered Notes.


document_description: The document outlines procedures for Rated Notes Redemption, Equity Redemption, and Refinancing. It specifies the roles of the Investment Manager and Issuer, conditions for redemption and refinancing, and financial arrangements such as Redemption Financing and Replacement Notes issuance.


document_description: The document outlines the procedures and conditions for Optional Redemption and Special Redemption of securities, as well as the payment of interest on Rated Notes. It specifies the conditions under which an Optional Redemption can be canceled, the notice requirements for redemption, and the process for Special Redemption during the Reinvestment Period. It also details the calculation and payment of interest on Distribution Dates, including the handling of Deferred and Defaulted Interest, and the diversion of Interest Proceeds to satisfy Coverage Tests or purchase additional Collateral Obligations.


document_description: This document outlines the legal and financial provisions related to the payment of interest and principal on certain securities, including LIBOR determination, principal payments, post-acceleration payments, and legal provisions for preferred shares. It specifies the roles of the Calculation Agent, Trustee, and Fiscal Agent, and details the conditions under which payments are made or withheld.


document_description: The document outlines the order of distribution for Interest Proceeds and Principal Proceeds on each Distribution Date. It specifies the sequence of payments, including taxes, administrative expenses, reserve accounts, management fees, hedge agreements, and interest on various classes of notes. It also addresses coverage tests for different classes of notes.


document_description: This document outlines the payment priorities and procedures for a financial instrument, including conditions for payment of principal and interest, handling of collateral obligations, and management fees. It specifies actions to be taken in case of various test failures and during the reinvestment period.


document_description: This document outlines the payment priorities and procedures for principal and interest proceeds related to Rated Notes, including conditions for Special Redemption, Reinvestment Period, and Event of Default. It specifies the Principal Payment Sequence and Priority of Post-Acceleration Payments.


document_description: This document outlines the payment priorities and procedures for various classes of notes and hedge agreements. It details the order of payments to hedge counterparties, interest and principal on different classes of notes, administrative expenses, and subordinated investment management fees. It also describes the allocation of proceeds to subordinated securities and the investment manager incentive fee. Additionally, it covers the use of proceeds from refinancing to pay redemption prices and related expenses.


document_description: The document outlines the responsibilities and agreements related to the Fiscal Agent and the Investment Manager. The Fiscal Agent is instructed to retain funds in certain circumstances and pay them as directed by the Issuer. The Issuer may enter into Hedge Agreements with counterparties, which can be terminated if the counterparty fails to meet certain ratings. The Investment Manager is responsible for managing Collateral Obligations, advising the Issuer, and preparing necessary reports. The Investment Manager is indemnified against losses except in cases of bad faith, willful misconduct, or gross negligence.


document_description: The document outlines the conditions under which the Investment Manager can assign or delegate its responsibilities under the Investment Management Agreement. It specifies the need for consent from securityholders and Rating Agency Confirmation for certain assignments, and details the conditions under which the Investment Manager can be removed for cause. It also defines 'cause' for removal and the process for addressing breaches of the agreement.


document_description: The document outlines the conditions under which the Investment Manager can be terminated or removed for cause, including willful violations, incorrect representations, bankruptcy events, breaches of duties, or criminal activities. It also details the process for removal due to a Key Person Event and the requirements for resignation, including obtaining Rating Agency Confirmation for a successor manager.


document_description: The Investment Management Agreement outlines the terms for the termination, compensation, and amendment of the agreement between the Issuer and the Investment Manager. It specifies the conditions under which the agreement will terminate, the fees payable to the Investment Manager, and the conditions for amending the agreement. The agreement also allows the Investment Manager to engage in transactions for its own account or for clients.


document_description: The document outlines the roles and responsibilities of the Investment Manager, Trustee, Fiscal Agent, and Indenture Registrar in managing and distributing securities. It details the procedures for selling collateral obligations, maintaining business relationships, and indemnification provisions for the Trustee and Fiscal Agent. The plan of distribution for securities is also described, including the roles of the Initial Purchaser and conditions for resale.


document_description: The document outlines the responsibilities and obligations of the Initial Purchaser, events of default under the Indenture, and the conditions for acceleration of maturity. It specifies that the Initial Purchaser has no responsibility for monitoring the Issuer or Investment Manager and details the events that constitute a default, such as payment defaults, failure to comply with obligations, and bankruptcy. It also describes the process for acceleration of maturity if an event of default occurs.


document_description: The document outlines the rights and procedures for holders of securities under an Indenture agreement, including the process for obtaining a list of registered holders, payment procedures after an event of default, and conditions for amending the Indenture. It specifies that securities owned by the issuer or affiliates are disregarded in determining consent. Amendments can be made without consent under certain conditions, but require Rating Agency Confirmation from S&P.


document_description: The document outlines provisions for amending the Indenture related to Class A-I and Class A-1 Notes. It includes conditions for issuing additional securities, tax compliance, stock exchange listing requirements, and changes required by law. It also covers conditions for redemption financing, securities lending, and amendments that do not adversely affect noteholders. Consent requirements from various parties, including the Investment Manager and Rating Agencies, are specified for certain amendments.


document_description: The document outlines the conditions under which the Issuer, Fiscal Agent, and Share Registrar can amend the Fiscal Agency Agreement without Shareholder consent, as well as conditions requiring consent. Amendments without consent are allowed if they have no material adverse effect on Preferred Shares or for specific purposes such as succession, covenant addition, tax prevention, and legal conformity. Amendments with material adverse effects require consent from a majority of Preferred Shares, with certain changes requiring unanimous consent.


document_description: This document outlines the method of payment, notices, voting rights, and procedures for holder meetings related to securities. Payments on the securities will be made in U.S. dollars, with specific instructions for record dates and payment methods. Notices to securityholders will be sent by mail, and voting rights are detailed for certifying persons and preferred shareholders. The document also describes the process for calling and conducting holder meetings under the indenture.


document_description: The document outlines the role of DTC (Depository Trust Company) in holding securities for its participants and facilitating transactions between them. It explains the process of ownership and transfer of securities through DTC's system, including the involvement of Participants and Indirect Participants. The document also discusses the limitations and procedures related to Global Securities, including the lack of physical certificates and the implications for beneficial owners.


document_description: The document outlines the practices and procedures of the Depository Trust Company (DTC) and its Participants regarding the handling of payments and transfers of securities. It details how payments are credited to Participants' accounts, the settlement of trades, and the transfer of securities between DTC, Euroclear, and Clearstream. The document also notes the responsibilities and limitations of the Co-Issuers and the Trustee in relation to these processes.


document_description: The document discusses the replacement of certificates for securities, compulsory sales of notes for non-compliance with FATCA, and the establishment of segregated trust accounts by the Trustee. It also outlines transfer and exchange restrictions under Rule 144A and Regulation S, advising investors to consult legal counsel before making transactions.


document_description: This document outlines the conditions and representations required for the purchase of securities by a U.S. person. It specifies that the purchaser must be a Qualified Purchaser or Knowledgeable Employee, acquiring the securities for their own account and not for resale. The document emphasizes compliance with the Securities Act and the Indenture or Fiscal Agency Agreement, and highlights the risks involved in the investment. It also clarifies that no Transaction Party is acting as a fiduciary or adviser for the purchaser.


document_description: This document outlines the conditions under which certain securities can be offered, sold, pledged, or transferred. It specifies that the securities are not registered under the United States Securities Act of 1933 or the Investment Company Act of 1940. The document details the requirements for purchasers, including being a qualified purchaser or a qualified institutional buyer, and the conditions under which transactions can be exempt from registration. It also mentions the issuer's rights under the indenture to compel ineligible holders to sell their interests.


document_description: The document outlines the representations and agreements required under the Fiscal Agency Agreement for the transfer of securities. It specifies conditions for Benefit Plan Investors and Controlling Persons regarding ERISA Limited Securities, including transfer restrictions and indemnification clauses.


document_description: The document outlines the terms and conditions for purchasers of Notes and Preferred Shares, including compliance with FATCA, restrictions on sales in Japan, and representations required under Rule 144A. It specifies the obligations of purchasers to provide necessary documentation to tax authorities and comply with specific sections of the Indenture. It also details the restrictions on resale of Class A-I Notes in Japan and the representations required for purchasers of Rule 144A Global Securities.


document_description: The document outlines the terms and conditions for the purchase of securities, including restrictions on transfer and ownership. It specifies that the purchaser will be the sole beneficial owner and will not sell participation interests. It also details compliance requirements for transfers involving Rule 144A Global Securities and Regulation S Global Securities, and restrictions related to ERISA Limited Securities.


document_description: The document outlines the transfer regulations for beneficial interests in Regulation S Global Securities and Definitive Securities. It specifies the requirements for transferors, including providing a Transfer Certificate and ensuring compliance with Rule 144A and other applicable securities laws. The document also details the role of the Trustee and the Issuer in managing transfers and appointing transfer agents. It includes provisions for transfers between participants in DTC, Eureckar, and Clcarstream, and the rights of the Issuer to manage Ineligible Holders.


document_description: This document outlines the minimum authorized denominations for various classes of notes and preferred shares, as well as certain U.S. federal income tax and Cayman Islands tax considerations related to the purchase, ownership, and disposition of these securities. It includes a table detailing the minimum denominations for Regulation S Sales and Rule 144A Sales, and provides a notice regarding IRS Circular 230 compliance.


document_description: The document discusses tax considerations for securities in the Cayman Islands and the U.S. It highlights potential withholding or deduction of taxes on securities payments and advises prospective purchasers to consult tax advisers. It defines 'U.S. holder' and 'non-U.S. holder' for tax purposes and outlines the tax treatment of the issuer as a foreign corporation for U.S. federal income tax purposes. The issuer aims to avoid being treated as engaged in a U.S. trade or business to prevent U.S. federal income tax liability. The document includes a legal opinion from Cleary Gottlieb Steen & Hamilton LLP regarding the issuer's tax status, but notes potential risks and uncertainties.


document_description: The document discusses the tax implications for the Issuer and U.S. holders of various classes of notes, including potential withholding and gross income taxes, the issuance of notes, and the tax treatment of U.S. holders of rated notes. It highlights the conditions under which the Issuer may acquire collateral obligations and enter into securities lending agreements, and the potential tax liabilities that may arise. The document also outlines the tax treatment of interest and original issue discount (OID) for different classes of notes.


document_description: This document discusses the tax implications for U.S. holders of Rated Notes and Subordinated Securities issued by an entity that qualifies as a passive foreign investment company (PFIC). It covers topics such as capital gains, ordinary income, and the potential need for U.S. holders to make a Qualified Electing Fund (QEF) election to avoid adverse tax consequences. The document also addresses the treatment of the Subordinated Notes as equity for U.S. federal income tax purposes, despite being characterized as debt under Cayman Islands law.


document_description: This document discusses the tax implications for U.S. shareholders holding Subordinated Securities in a Passive Foreign Investment Company (PFIC) or a Controlled Foreign Corporation (CFC). It covers the treatment of net capital gains, distributions, and the sale or exchange of Subordinated Securities under U.S. federal income tax rules. The document also addresses the potential treatment of Subordinated Notes as debt and the associated tax regulations.


document_description: The document discusses the tax treatment of Subordinated Notes for U.S. and non-U.S. holders, including potential income tax characterization, unrelated business taxable income (UBTI) for tax-exempt U.S. holders, and withholding tax implications for non-U.S. holders. It also covers information reporting and backup withholding requirements, as well as reporting requirements for U.S. holders transferring property to foreign corporations.


document_description: The document discusses tax reporting requirements for U.S. holders of Subordinated Securities, including the need to file Form 5471 and FBAR, and the implications of the Foreign Account Tax Compliance Act (FATCA). It highlights potential penalties for non-compliance and the impact of withholding taxes on payments related to the securities.


document_description: The document outlines the tax implications for securities under Cayman Islands law, stating that payments on securities are not subject to taxation or withholding in the Cayman Islands. It also mentions the absence of income, corporation, capital gains, estate duty, inheritance, or gift taxes in the Cayman Islands. The issuer, incorporated as an exempted company, has obtained a tax concession undertaking from the Governor in Cabinet, ensuring no future taxes on profits, income, or gains for twenty years from March 1, 2011. The document advises investors to consult tax advisers for personalized advice.


document_description: The document discusses the implications of the U.S. Employee Retirement Income Security Act of 1974 (ERISA) on employee benefit plans and fiduciaries. It outlines the requirements for investment prudence and diversification, and the prohibition of certain transactions involving ERISA Plan assets. The document also mentions potential penalties for engaging in prohibited transactions and lists exemptions that may apply. It advises fiduciaries of governmental, non-U.S., and certain church plans to consult legal counsel before purchasing securities.


document_description: The document discusses the U.S. Department of Labor regulation, 29 C.F.R. Section 2510.3-101, related to the Plan Asset Regulation under ERISA. It outlines the conditions under which a Plan's assets include equity interests in an entity and the implications for fiduciary responsibility. The document also details the Co-Issuers' intentions regarding the treatment of Rated Notes and Preferred Shares as equity interests, and the limitations on equity participation by Benefit Plan Investors to avoid significant ownership that would trigger ERISA considerations.


document_description: The document outlines the limitations and conditions for purchasing ERISA Limited Securities, including restrictions on Benefit Plan Investors and Controlling Persons. It also details the application for listing on the Irish Stock Exchange and related expenses. The document emphasizes the need for fiduciaries to ensure compliance with ERISA and the Code when investing in these securities.


document_description: This document contains legal definitions related to financial instruments and obligations, including terms like Aggregate Outstanding Amount, Aggregate Principal Balance, and Applicable Break-Even Default Rate. It outlines criteria for Appreciated Obligations and defines terms such as Bridge Loan and Business Day.


document_description: This document provides definitions and tests related to collateral obligations, excess amounts, and coverage tests for different classes of notes. It includes terms like Caa Collateral Obligation, CCC Collateral Obligation, and various coverage and overcollateralization tests for Class A and Class B notes.


document_description: The document outlines various financial tests and agreements related to Class C and Class D securities, including interest coverage and overcollateralization tests. It also defines terms related to financial instruments and agreements, such as the Collateral Administration Agreement and Collection Account.


document_description: The document contains a table outlining the percentage limits for participations with selling institutions based on their credit ratings. It also defines various financial terms such as 'Coverage Tests', 'Cov-Lite Loan', 'Credit Facility', 'Credit Facility Reserve Account', 'Credit Risk Criteria', and 'Credit Risk Obligation'.


document_description: The document defines various terms related to Collateral Obligations, including 'Current Pay Obligation', 'Current Portfolio', 'Defaulted Loaned Collateral Obligation', and 'Defaulted Obligation'. It outlines the conditions under which a Collateral Obligation is considered defaulted, including payment defaults, bankruptcy proceedings, and credit ratings. The document is marked as confidential under Federal Rule of Criminal Procedure 6(e).


document_description: The document outlines various financial terms and definitions related to securities and loans, including conditions under which certain obligations may be excluded from being considered defaulted, and the characteristics of different types of loans and securities.


document_description: The document outlines various financial terms and conditions related to Collateral Obligations, including definitions for Discount Obligation, Dissolution Expenses, Distressed Exchange Offer, Diversity Test, Due Period, Effective Date, and Effective Date Moody's Condition. It specifies criteria for determining Discount Obligations, expenses related to dissolution, conditions for distressed exchange offers, and the calculation of diversity scores. The Effective Date is defined as the earlier of November 22, 2011, or the date specified by the Investment Manager when certain financial conditions are met.


document_description: This document contains definitions related to financial ratios, investments, and securities as part of a legal agreement or indenture. It includes terms such as Effective Date Overcollateralization Ratio, Effective Date Ratings Confirmation Failure, Eligible Investment, and others, which are likely part of a structured finance or collateralized loan obligation (CLO) agreement.


document_description: The document outlines the terms and conditions related to interest coverage tests, interest periods, and interest proceeds for a financial agreement. It specifies the calculations for distribution dates, interest coverage tests for different classes, and the components of interest proceeds. The document also details the treatment of payments received in relation to defaulted obligations.


document_description: The document outlines financial terms related to Distribution Dates, including amounts received from Hedge Agreements, Closing Date Interest Deposits, and proceeds from Additional Equity Issuance. It defines terms such as Internal Rate of Return, Investment Management Fee, Knowledgeable Employee, and LIBOR. The document specifies how LIBOR is determined and the role of Reference Banks.


document_description: This document provides definitions and explanations of various financial terms and conditions related to LIBOR calculations, loan assignments, securities, and market value determinations. It includes details on how percentages and dollar amounts are rounded, definitions of LIBOR Banking Day and Determination Date, and criteria for determining market value and measurement dates.


document_description: This document outlines definitions and terms related to financial instruments and obligations, including Participation, Permissible Replacement Collateral Obligation, Person, PIK Securities, Portfolio Principal Balance, Pre-Funded Letter of Credit, and Pre-Funded Letter of Credit Reserve Account. It specifies conditions and requirements for these financial terms within a credit facility context.


document_description: This document outlines the treatment of excess market value in collateral obligations, detailing how defaulted obligations are determined and the calculation of principal balances. It also defines 'Principal Proceeds' and lists the components that contribute to it, including payments, recoveries, and fees.


document_description: This document outlines various financial terms and definitions related to collateral obligations, hedge agreements, and securities. It includes definitions for terms such as 'Proposed Portfolio,' 'Prospectus,' 'Qualified Institutional Buyer,' and 'Recovery Approved Country.' The document also discusses the conditions for receiving proceeds from collateral obligations and hedge agreements, as well as the requirements for rating agency confirmations.


document_description: This document provides definitions and explanations of various financial and legal terms related to securities, redemption, and credit facilities. It includes terms such as Redemption Date, Redemption Price, Refinancing Proceeds, and others, detailing their meanings and conditions under which they apply.


document_description: This document contains definitions and explanations of various financial terms and tests related to collateral obligations, loans, and securities. It includes terms like S&P Weighted Average Recovery Rate, Sale Proceeds, Second Lien Loan, Securities Lending Agreement, and others. These definitions are likely part of a larger legal or financial agreement.


document_description: This document contains definitions and terms related to financial transactions, tax events, and securities. It outlines specific conditions and criteria for various financial instruments and entities, such as Synthetic Security, Tax Event, Tax Jurisdiction, Tax Subsidiary, Temporary Global Security, Transaction Party, Transfer Certificate, Underlying Instrument, and Unfunded Amount.


document_description: The document outlines various financial terms and tests related to Collateral Obligations, including definitions for Unscheduled Principal Payments, Voting Rights, Weighted Average Life Test, Weighted Average Moody's Rating Factor, and Weighted Average Rating Factor Test. It includes a table specifying the Weighted Average Life for different dates.


document_description: The document outlines Moody's rating definitions and procedures for assigning ratings to debt obligations, bonds, and corporate family ratings. It includes details on Moody's Default Probability Rating and adjustments based on reviews for possible downgrades or upgrades.


document_description: This document outlines the methodology for determining the Moody's Equivalent Senior Unsecured Rating for a Collateral Obligation and its Obligor. It specifies the order of priority for using various ratings, including Assigned Moody's Ratings, Issuer Ratings, and Corporate Family Ratings, as well as ratings from S&P. The document provides detailed conditions under which each type of rating is applied.


document_description: This document outlines the criteria for determining the Moody's Equivalent Senior Unsecured Rating for an Obligor based on various conditions, including the presence of a senior secured obligation with a monitored public rating from S&P, the Obligor's financial health, and default history. It specifies different rating outcomes based on these conditions and includes a clause limiting the percentage of Collateral Obligations that can be rated based on S&P ratings.


document_description: This document contains tables detailing Moody's Rating Factors and Recovery Rates for Collateral Obligations. It includes a table of Moody's Ratings and their corresponding factors, as well as a table for determining recovery rates based on the difference between Moody's Obligation Rating and Default Probability Rating.


document_description: The document outlines the calculation of Moody's Spread Modifier based on the Moody's Weighted Average Recovery Rate. It specifies different conditions and corresponding values for the modifier. Additionally, it defines the term 'Obligor' as the issuer of a Bond or the obligor under a Loan.


document_description: The document contains a table of recovery rates for different classes of notes (Class A-1, A-2, B, C, D) with corresponding S&P recovery rates. It also includes a detailed explanation of how S&P ratings are determined for collateral obligations, including conditions for upgrades or downgrades based on watch status, DIP loans, structured finance obligations, and current pay obligations.


document_description: This document outlines the methods for determining the S&P Rating of Collateral Obligations when certain conditions apply. It specifies the procedures for using Moody's ratings to determine S&P Ratings, the application for S&P rating estimates, and the handling of Structured Finance Obligations and Current Pay Obligations. It includes clauses for different scenarios and limitations on the percentage of Collateral Obligations that can be rated based on Moody's ratings.


document_description: The document outlines the transfer restrictions and conditions for holding and transferring Income Notes. It specifies compliance with the Securities Act and applicable state securities laws, and details the qualifications required for purchasers and transferees. It also addresses prohibited transactions under ERISA and the Code, and includes indemnification clauses for the Issuer and related parties.


document_description: The document outlines the terms and conditions for the payment of interest and principal on various classes of notes, including Senior Notes and Income Notes. It specifies the conditions under which principal and interest payments are made, the priority of payments, and the requirements for tax withholding and certification. Payments are to be made in U.S. Dollars, with specific instructions for wire transfers and check payments. The document also details the process for final payment upon maturity of a security.


document_description: This document outlines the conditions and certifications required for the authentication and delivery of securities, including officer and accountant certificates, collateral management agreements, and the grant of collateral obligations. It specifies the issuer's ownership and the status of collateral obligations as of the closing date.


document_description: The document outlines the responsibilities and actions taken by the Issuer to ensure the Trustee's security interest in the Collateral. It includes steps for identifying the Trustee in records, filing financing statements, and ensuring no unauthorized pledges of the Collateral. It also details conditions for the satisfaction and discharge of the Indenture.


document_description: The document outlines the conditions under which the Trustee may sell or retain the Collateral securing the Senior Notes. It specifies the procedures for determining the anticipated proceeds from the sale or liquidation of the Collateral and the conditions under which the Trustee may enforce claims without possession of the Notes.


document_description: The document outlines the rights and remedies of Noteholders and the Trustee under an Indenture agreement. It specifies conditions under which Noteholders can institute proceedings, the unconditional rights of Noteholders to receive payments, and the cumulative nature of rights and remedies. It also addresses the restoration of rights if proceedings are discontinued or determined adversely, and clarifies that delays or omissions do not constitute a waiver of rights.


document_description: The document outlines the provisions for the succession and appointment of co-trustees in a corporate trust agreement. It specifies the conditions under which a successor trustee can assume responsibilities without additional documentation and details the process for appointing co-trustees to meet jurisdictional requirements. The document also describes the rights and duties of co-trustees and the conditions under which they operate.


document_description: This document outlines the responsibilities and procedures for the appointment and operation of a Paying Agent by the Applicable Issuers. It specifies the conditions under which a Paying Agent, other than the Trustee, is to be appointed, including the requirement for certain credit ratings and the need for the Paying Agent to be a depository institution or trust company. The document also details the obligations of the Paying Agent in handling payments to Note Holders and the conditions under which excess funds should be managed.


document_description: The document outlines the responsibilities of the Issuer and Co-Issuer under an Indenture agreement, including maintaining corporate formalities, protecting collateral, and ensuring legal compliance within the United States. It emphasizes the need for legal opinions to avoid U.S. taxes and details actions to maintain the security interest of the Trustee in the collateral.


document_description: The document outlines the responsibilities of the Issuer and Trustee regarding the management and security of the Collateral. It includes provisions for tax payments, registration of the Indenture, and the filing of necessary legal documents. The Trustee is authorized to act on behalf of the Issuer in certain legal matters, and there are specific conditions under which the Collateral can be moved or altered. The document also requires annual legal opinions to ensure the continued effectiveness of the security interest in the Collateral.


document_description: The document outlines specific obligations and restrictions related to the Collateral and the Co-Issuer's investment activities. It includes compliance requirements for the Issuer and Co-Issuer, conditions for consolidation or merger, and the necessity for notifications to Rating Agencies and the Trustee. The document emphasizes maintaining the priority and enforceability of liens and adhering to legal requirements for mergers or asset transfers.


document_description: This document outlines the conditions and requirements for a merger or consolidation involving a Merging Entity and a Successor Entity. It specifies the legal and financial obligations, including the delivery of Officer's certificates and Opinions of Counsel, compliance with the Investment Company Act, and ensuring no adverse tax consequences. It also addresses the maintenance of security interests and the notification of Rating Agencies.


document_description: The document outlines the responsibilities of the Issuer regarding the rating and reporting of Senior Notes, including continuous rating surveillance by S&P and Moody's, and the provision of 'Rule 144A Information' to note holders. It also details the appointment and responsibilities of a Calculation Agent for calculating LIBOR for the Senior Notes.


document_description: The document outlines provisions for amending or modifying a financial indenture agreement, including conditions for accommodating securities settlement, preventing tax liabilities, and ensuring compliance with investment regulations. It also details the process for incorporating changes based on Rating Agency modifications.


document_description: The document outlines the procedures and conditions under which supplemental indentures can be executed with or without the consent of the holders of notes. It specifies the requirements for obtaining consent from rating agencies and noteholders, and the limitations on modifications that can be made to the indenture without unanimous consent from affected noteholders.


document_description: This document outlines the procedures and conditions for the optional redemption of notes by the issuer. It specifies the roles of the Collateral Manager and the Issuer in the redemption process, including the sale of collateral obligations to meet redemption prices and the notification requirements to trustees and rating agencies.


document_description: The document outlines the requirements for compliance calculations and reporting related to the Portfolio Profile Test, Coverage Test, and Collateral Quality Test as per the Indenture. It also details the procedures for handling discrepancies in Monthly Reports and the responsibilities of the Issuer and Trustee in resolving them. Additionally, it describes the Payment Date Accounting process and the distribution of Payment Date Reports.


document_description: This document outlines the terms and conditions related to the payment and distribution of notes, the standard of conduct for holders, and the form of documents delivered to the trustee. It specifies the obligations of junior and priority class note holders, the standard of conduct for exercising rights under the indenture, and the requirements for certifications and opinions delivered to the trustee.


document_description: This document outlines the procedures for delivering notices and communications to various parties involved in a financial transaction, including the Trustee, Co-Issuers, Collateral Manager, Citigroup Global Markets Inc., and Rating Agencies. It specifies the acceptable methods of delivery, such as mail, courier, or facsimile, and provides contact details for each party.


document_description: This document outlines various provisions related to the Indenture, including notice requirements, effects of headings, successors and assigns, separability, benefits of the Indenture, and governing law. It specifies that notices to holders of securities listed on the Irish Stock Exchange must be published by the Irish Paying Agent. The document is governed by the law of the State of New York.


document_description: The document outlines the terms and conditions under which the Issuer and the Collateral Manager can amend or modify the Collateral Management Agreement. It specifies the requirements for consent from noteholders and rating confirmations for amendments. It also details the conditions under which the Collateral Manager will continue to serve without receiving due payments and restrictions on filing bankruptcy petitions against Co-Issuers.


document_description: The document outlines the methodology for calculating the Diversity Score, which is the sum of Industry Diversity Scores. It includes steps for calculating Issuer Par Amount, Average Par Amount, Equivalent Unit Score, Aggregate Industry Equivalent Unit Score, and Industry Diversity Score. It also addresses the treatment of affiliates and modifications by Moody's.


document_description: This document is an account agreement between Gratitude America, LTD. and Deutsche Bank Securities Inc. It outlines the terms and conditions governing the brokerage account, including client representations, rights of DBSI, cash account classification, order execution, and compliance with applicable laws.


document_description: This document outlines the terms and conditions for the purchase and sale of securities through DBSI. It includes clauses on cash account requirements, restrictions on trading, handling of restricted securities, order placement, and the role of third parties like Pershing. It also details the security interest and lien DBSI holds over client assets to secure obligations.


document_description: This document is a margin agreement for a corporation, partnership, trust, or other entity, specifically for Gratitude America, Ltd. It includes acknowledgments of the terms of the margin agreement, authority to borrow, and signatures from authorized parties.


document_description: Consent form for electronic delivery of materials and communications from Deutsche Bank.


document_description: Consent form for electronic delivery of materials and communications from Deutsche Asset & Wealth Management, signed by Richard Kahn for GRATITUDE AMERICA, LTD.


document_description: Client authorization document for the use of free credit balances at Deutsche Bank Securities Inc. for GRATITUDE AMERICA, LTD. The client elects to maintain non-interest-bearing free credit balances awaiting investment.


document_description: This document is a Corporate Account Authorization and Officer's Certificate for GRATITUDE AMERICA LTD. It certifies resolutions adopted by the Board of Directors on December 22, 2015, authorizing designated persons to manage brokerage accounts at Deutsche Bank Securities Inc. The document includes the names and positions of authorized individuals and outlines their powers regarding securities transactions.


document_description: A corporate resolution certifying the powers and actions of a corporation organized under the laws of the Virgin Islands. The document includes a pre-dispute arbitration clause and requires a second certifying officer's signature if the first is listed in a specific section.


document_description: Internal due diligence process for opening a new account at Deutsche Bank Securities Inc. Ari is available to provide additional information if needed.


document_description: Ascena Retail Group revised its earnings projection for the year through July 25 to 57-60 cents per share, down from 70-75 cents. The company is facing challenges with declining mall traffic and clearing older merchandise. Ascena's stock fell significantly following the announcement. The company recently agreed to acquire Ann Inc. for $2.16 billion.


document_description: A questionnaire regarding the client's relationship with Deutsche Bank (DB), focusing on the purpose and nature of the relationship, business restrictions, prohibited business factors, and source of funds. It includes questions about the client's engagement with DB, the rationale for establishing the relationship, and the ability to issue bearer shares.


document_description: A financial questionnaire assessing the source of funds, source of wealth, confidentiality agreements, regulatory status, and politically exposed person (PEP) status related to a client. It includes questions about third-party fund sources, future sources of funds, and the client's wealth origins. It also inquires about any confidentiality agreements, changes in regulatory status, and any adverse information or PEP relationships that could pose reputational risks.


document_description: Michael Valencia, a KYC Outreach Analyst at Deutsche Bank, communicates about reaching out to a client for required documentation and offers to answer any questions. A spreadsheet is attached for more details.


document_description: A memo discussing the rationale and implementation of a USD curve steepener trade, including indicative terms and potential market catalysts.


document_description: A table showing the relationship between CMS 5s10s at Expiry and Profit/Loss (PnL) at Expiry. The chart indicates a loss area when CMS 5s10s is below 60 bps and a profit area when it is above 60 bps. The current CMS 5s10s level is 71 bps.


document_description: The document contains financial information related to risk reversal pricing for USD/JPY options, including specific strike prices, notional amounts, and expiry dates. It also includes a settlement note and pricing details for certain financial instruments.


document_description: The document discusses the Bank of Japan's (BoJ) concerns about missing its inflation target and the potential need for additional easing if the economy does not gain momentum. It highlights changes in the BoJ's assessment of risks to prices and the findings of a research study on the impact of quantitative easing (QE). The central bank chief is cautious about missing the original 2-year timeframe for inflation targets and the implications for fiscal policy.


document_description: Ariane Dwyer's contact information and confidentiality notice.


document_description: A memorandum from Darren Indyke to Vahe Stepanian instructing a wire transfer of GBP 17,559.00 to The Oxford Group for books related to the Arab-Israeli conflict.


document_description: Internal memo from Deutsche Bank Trust Company Americas regarding an account inquiry on a January 2014 wire transfer involving Jeepers, Inc. and Charles D. Barnett IOTA Trust Account. The memo requests information on the nature of Jeepers, Inc.'s business activities, its connection to Charles D. Barnett, and the purpose of the transaction.


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


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


document_description: Ariane Dwyer from Deutsche Bank Securities Inc. sends a memo regarding attached KYCs for Southern Financial.


document_description: Authorization for asset movement for non-retirement accounts, specifically for J. Epstein Virgin Islands Foundation Inc. at Deutsche Bank Alex. Brown. Includes instructions for wire transfer of $10,000 to EasCorp Federal Credit Union, with ultimate beneficiary Joscha Bach. Contains provisions for checks, journal funds, and free deliveries, though these sections are incomplete. Includes standing authorization and verbal instruction clauses.


document_description: A forwarded message marked as confidential under Federal Rule of Criminal Procedure 6(e).


document_description: Authorization for asset movement for non-retirement accounts, specifically for J. Epstein Virgin Islands Foundation Inc. at Deutsche Bank Alex. Brown. Includes instructions for wire transfer of $10,000 to EasCorp Federal Credit Union, with ultimate beneficiary Joscha Bach. Contains provisions for checks, journal funds, and free deliveries, with standing authorization options.


document_description: This document is a facsimile agreement confirming the terms and conditions of a transaction between Deutsche Bank AG London and Southern Financial LLC. Deutsche Bank Securities Inc. acted as an agent in this transaction. The document references ISDA Definitions and is subject to an ISDA 2002 Master Agreement.


document_description: A confirmation letter from Deutsche Bank AG, London Branch, detailing the standard settlement instructions and contact information for payments to Party B. It includes instructions for contacting various offices during specific business hours and requests confirmation of the transaction terms.


document_description: This document appears to be a formal agreement or confirmation involving Deutsche Bank Securities Inc. and Southern Financial LLC, with authorized signatories from both parties. It includes details about the management and regulatory status of Deutsche Bank AG.


document_description: Trade details between Federative Republic of Brazil and Southern Financial LLC with effective date 14-Jan-2015 and maturity date 20-Mar-2020. Notional amount is USD 10 million. Spreads are provided for various dates with a consistent spread of 205 bps.


document_description: A table listing various entities under the name 'Southern Financial' with their corresponding file numbers.


document_description: Authorization for asset movement for non-retirement accounts from Deutsche Bank Alex. Brown for J. Epstein Virgin Islands Foundation Inc. Includes instructions for wire transfer of $10,000 to EasCorp Federal Credit Union, with ultimate beneficiary Joscha Bach. Contains provisions for checks, journal funds, and free deliveries, with standing authorization options. Signed by Darren Indyke.


document_description: A note from Torsten 510k, Ph.D., Chief International Economist and Managing Director at Deutsche Bank Securities, regarding adding a colleague to a distribution list.


document_description: Internal communication regarding wire transfers related to Epstein and Tom Shapiro's IRA.


document_description: This document contains trade details for a financial transaction involving the Federative Republic of Brazil. It includes information on credit events, ISDA definitions, pricing, upfront fees, and deal information spreads. The trade is a standard trade with hardwiring, not cleared through a clearing house, and involves a sell position with Southern Financial LLC as the counterparty.


document_description: This document is a communication from Deutsche Bank, emphasizing the confidentiality and privileged nature of the information contained within. It states that Deutsche Bank is not responsible for discrepancies between informal execution reports and official trade confirmations or account statements. The document also clarifies that Deutsche Bank does not provide legal or tax advice.


document_description: A list of entities under the name 'Southern Financial' with various suffixes such as Capital Trust, Consultants LLC, Corp., Group, Inc., Holding Company, Resource Group, Sales, and Services. The correspondence is from Sagar-A Valecha, associated with DBOI Global Services, and includes contact information and a forwarded email regarding Southern Financial LLC.


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


document_description: This document is an account agreement between a client and Deutsche Bank Securities Inc. (DBSI) for brokerage accounts. It outlines the terms and conditions governing the accounts, including client representations, rights of DBSI, cash account classification, order execution, and compliance with applicable laws.


document_description: This document outlines the terms and conditions for trading securities with DBSI. It covers the purchase and sale of securities, restrictions on trading, handling of restricted securities, order placement and cancellation, aggregation of orders, transmission of instructions, the role of third parties, and liens on securities and other property. It specifies the responsibilities and rights of both the client and DBSI, including the handling of unpaid balances, short sales, and the use of third-party clearing agents like Pershing.


document_description: This document is a tax election/declaration form for Southern Financial LLC, indicating their tax status as a U.S. person or non-U.S. person. It includes a certification of taxpayer identification number and backup withholding status.


document_description: This document is an account agreement acknowledgment signed by Jeffrey Epstein for an individual or joint account and a corporation, partnership, trust, or other entity account with DBSI. It includes acknowledgments of tax and compliance responsibilities, a pre-dispute arbitration clause, and information for ERISA employee benefit plan clients.


document_description: This document is a margin disclosure from Deutsche Bank Securities Inc. (DBSI) outlining the risks and terms associated with trading securities on margin. It explains the potential for losing more funds than deposited, the ability of DBSI to sell securities without prior notice, and the lack of entitlement to choose which securities are sold. It also covers the possibility of increased maintenance margin requirements and the risks associated with short sales and securities lending.


document_description: This document is a margin agreement for Southern Financial LLC, signed by Jeffrey Epstein on behalf of the entity. It includes a confirmation of authority to borrow and is subject to a pre-dispute arbitration clause.


document_description: This document is an account agreement between Jeepers, Inc and Deutsche Bank Securities Inc. It outlines the terms and conditions governing the brokerage account(s) of the client, including client representations, rights of DBSI, cash account classification, order execution, and compliance with applicable laws.


document_description: This document outlines the terms and conditions for securities transactions between a client and DBSI. It covers the purchase and sale of securities, restrictions on trading, handling of restricted securities, order placement and cancellation, aggregation of orders, transmission of instructions, the role of third parties, and liens on securities and other property. The document specifies the responsibilities and rights of both the client and DBSI, including the handling of unpaid balances, interest charges, and the use of third-party clearing agents like Pershing.

document_type: legal

document_subtype: contract

key_organizations: DBSI Pershing


document_description: This document is a tax election/declaration form for a U.S. citizen or resident alien, indicating the tax status and taxpayer identification number (TIN) certification. It includes a substitute Form W9 request for TIN and certification, with a signature dated September 11, 2013.


document_description: Account agreement document for Jeepers, Inc. acknowledging terms and conditions, tax responsibilities, and arbitration clause. Signed by Jeffrey Epstein as an officer of the entity.

document_type: financial

document_subtype: Account Agreement

key_organizations:
Jeepers, Inc
DBSI


document_description: The document outlines terms and conditions related to client accounts managed by DBSI, including notice provisions, potential conflicts of interest, SIPC coverage, and considerations for tax-exempt entities. It also provides definitions for key terms used in the agreement.

document_type: correspondence

document_subtype: account agreement

key_organizations: Securities Investor Protection Corporation (SIPC)


document_description: A margin agreement document for Jeepers Inc, signed by Jeffrey Epstein, confirming authority to borrow under a trust or other fiduciary account.

document_subtype: Margin Agreement


document_description: This document is an officer's certificate for Jeepers, Inc., authorizing Jeffrey Epstein as President to open and maintain brokerage accounts at Deutsche Bank Securities Inc. and perform various financial transactions on behalf of the corporation.

title: Corporate Account Authorization and Terms and Conditions

key_people:
Jeffrey Epstein
Davenk Indyke

document_subtype: Corporate Account Authorization

key_organizations:
Jeepers, Inc.
Deutsche Bank Securities Inc.


document_description: A corporate resolution certifying the powers and actions of a corporation organized under the laws of the U.S. Virgin Islands. It includes a pre-dispute arbitration clause and requires a second certifying officer's signature if the first is listed in section 2.

key_people:
Dament
Darren KI

document_subtype: corporate resolution


document_description: This document outlines the terms and conditions for corporate accounts with Deutsche Bank Securities Inc. (DBSI). It covers various aspects such as confirmations and transmission of instructions, cash account requirements, short and long orders, liens, authority to borrow, interest charges, and credit information and investigation. The document specifies the responsibilities and obligations of the client and DBSI, including the handling of securities and other property, and the application of New York State and United States laws.

title: Terms and Conditions Corporate Accounts

document_subtype: Terms and Conditions

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


document_description: This document outlines the terms and conditions for trading securities with DBSI. It covers the purchase and sale of securities, restrictions on trading, handling of restricted securities, order placement and cancellation, aggregation of orders, transmission of instructions, the role of third parties, and liens on securities and other property. Key points include the requirement for sufficient funds in cash accounts, the handling of short sales, the role of Pershing as a third-party clearing agent, and the granting of a security interest in securities to DBSI.


document_description: This document is a tax election/declaration form for clients to certify their tax status as either U.S. Persons or Non-U.S. Persons. It includes sections for U.S. citizens to provide their taxpayer identification number and certify their tax status under penalties of perjury. Non-U.S. persons are required to submit a Form W-8 to certify their foreign status.

document_subtype: Tax Election/Declaration

key_organizations:
DBSI
Internal Revenue Service


document_description: This document is an account agreement acknowledgment for clients, including terms and conditions, arbitration clause, tax and compliance responsibilities, and specific instructions for joint accounts. It includes a section for ERISA employee benefit plan clients and a confirmation of tax responsibilities for corporations, partnerships, trusts, or other entities.

key_organizations:
DBSI
Southem Trust Company Inc


document_description: This document outlines definitions related to a financial agreement involving DBSI and a client. It includes terms such as 'Branch Supervisor', 'Cash Sweep Options', 'DBSI Privacy Statement', 'Party or Parties', 'Restricted Securities', and 'Securities and Other Property'.


document_description: This document is a margin disclosure from Deutsche Bank Securities Inc. (DBSI) outlining the risks and terms associated with trading securities on margin. It explains the potential for loss, the rights of DBSI to sell securities or assets without notice, and the conditions under which margin calls are issued. It also covers the rights of DBSI and Pershing to loan securities held as collateral.

title: Margin Disclosure Document

document_subtype: Margin Disclosure

key_organizations:
Deutsche Bank Securities Inc.
DBSI
Pershing


document_description: Form W-9 for Southern Trust Company, Inc, an S Corporation, providing taxpayer identification number and certification. The form includes the company's address in St. Thomas, USVI, and certifies that the company is not subject to backup withholding.

document_subtype: Form W-9


document_description: A document marked as confidential under Federal Rule of Criminal Procedure 6(e), containing contact information and reference numbers.

document_type: other


document_description: Entity information and email correspondence regarding Southern Financial LLC with high risk rating and urgent request for amended confirmation.

title: Southern Financial LLC Entity Information

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

document_type: tabular

key_locations: 6100 Red Hook Quarter B3, St Thomas, VI, 00802

document_subtype: Entity Information

key_organizations:
Southern Financial LLC
DBOI Global Services Pvt Ltd


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

title: Southern Financial Entities in Delaware

document_subtype: business registry

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


document_description: Facsimile transmission from Deutsche Bank AG London to Jeff Epstein regarding a transaction confirmation. The document requests the execution and return of the confirmation by facsimile and mentions the need for a copy of the authorized signature list. It includes contact information for further queries.

key_people:
Jeff Epstein
Prabhuling Kottalagi
Dr. Paul Achleitner
Jürgen Fitschen
Anshu Jain
Stefan Krause
Stephan Leithner
Stuart Lewis
Rainer Neske
Henry Ritchotte
Christian Sewing

key_locations:
London
New York
Virgin Islands

document_subtype: facsimile

key_organizations:
Deutsche Bank AG
Deutsche Bank Securities Inc
Southern Financial LLC


document_description: This document is a facsimile agreement confirming the terms and conditions of a transaction between Deutsche Bank AG London and Southern Financial LLC. Deutsche Bank Securities Inc. acted as an agent in this transaction. The document references ISDA Definitions and is subject to the ISDA 2002 Master Agreement.

key_locations:
London
New York
St. Thomas

document_subtype: facsimile agreement

key_organizations:
Deutsche Bank AG London
Deutsche Bank Securities Inc.
Southern Financial LLC


document_description: The document outlines the definitions and consequences related to 'New Shares' and merger events, specifically focusing on exchanges in the United States and the European Union. It details the conditions under which shares are considered publicly quoted, traded, or listed, and the adjustments made in the event of mergers or tender offers. It also addresses the implications of nationalization, insolvency, or delisting of shares.

key_locations:
United States
European Union
United Kingdom
France
Germany
Italy
Netherlands
Spain
Denmark
Finland
Sweden
Luxembourg
Austria
Ireland
Belgium
Portugal
Norway
Switzerland

document_subtype: Equity Definitions

key_organizations:
New York Stock Exchange
American Stock Exchange
NASDAQ National Market System


document_description: This document outlines the standard settlement instructions for payments to Party B, including contact information for confirmations and documentation control during various London business hours. It specifies that the office of Party A for the transaction is in London and requests confirmation of the terms of the agreement via letter or telex.

key_locations:
London
New York
Sydney

document_subtype: Standard Settlement Instructions


document_description: This document appears to be a formal agreement or confirmation involving Deutsche Bank Securities Inc. and Southern Financial LLC, with authorized signatories from both parties confirming the document. It includes details about the management and regulatory status of Deutsche Bank AG.

key_people:
Mark Brownson
Larisa Besrayeva
Jon Abela
Adrian De-Nicola
Dr. Paul Achleitner
Jurgen Fitschen
Anshu Jain
Stefan Krause
Stephan Leithner
Stuart Lewis
Rainer Neske
Henry Ritchotte
Christian Sewing

key_locations:
London
Frankfurt am Main

document_subtype: agreement

key_organizations: BaFin-Federal Financial Supervising Authority


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

document_subtype: memo


document_description: Wire transfer instruction from Darren Indyke to Vahe to transfer 75,000 Euros from a specified account to UAB Fors Projektai in Vilnius, Lithuania.

key_people:
Darren Indyke
Vahe
Bella Klein

document_subtype: wire transfer instruction

key_organizations: J. Epstein Virgin Islands Foundation Inc.


document_description: Wire transfer instruction from Darren K Indyke to Amanda Kirby to transfer 2,000 Euros to a beneficiary at Societe Generale.

key_people:
Darren K Indyke
Amanda Kirby
Bella Klein


document_description: A memorandum from Darren K Indyke to Amenda Kirby requesting a wire transfer of $2500 from account #35266976 to the National Bank for Foreign Economic Activity.

key_people:
Darren K Indyke
Amenda Kirby
Bella Klein

document_subtype: wire transfer


document_description: This document outlines the terms of use and definitions for submitting a Research Enhanced Due Diligence (REDD) request. It specifies the procedures and categories of due diligence, emphasizing the need for internal bank processes to be followed before submission, and the confidentiality of reports. It also details the levels of research involved in different categories of due diligence.

title: Request for Research Enhanced Due Diligence


document_description: This document is a REDD request involving two subjects: Jeffrey Epstein and Gratitude America, LTD. It includes detailed information about their business relationships, locations, and the nature of a proposed transaction. Jeffrey Epstein is identified as a Wealth Management Client with a current business relationship with the bank, and he has requested to open a brokerage account for Gratitude America LTD. The document also mentions the involvement of the Americas Reputational Risk Committee.

key_people:
Jeffrey Epstein
Paul Morris
Daniel Sabba

key_locations:
Virgin Islands
St. Thomas
U.S. Virgin Islands
Port of Sale

document_subtype: REDD request

key_organizations:
Southern Financial LLC
Gratitude America, LTD
Americas Reputational Risk Committee


document_description: An internal memo regarding updates for Southern Financial LLC, including classification, domicile, and investment manager details.

document_type: email


title: Southern Financial Entities in Delaware

key_locations:
State of Delaware
Jaipur, India


document_description: Internal communication regarding the creation of a fund named Southern Financial LLC with Wilmington, Delaware, USA as its domicile. The email requests the registry address proof used for mapping the fund to this domicile. It also includes a forwarded message discussing changes needed in a confirmation document, specifically removing the client's personal name 'Jeff Epstein' and ensuring consistency in the name and address of Southern Financial.

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


document_description: This document is an amendment to Form S-1, which is a registration statement used by companies planning to go public. The document is marked as confidential pursuant to Federal Rule of Criminal Procedure 6(e).

title: Amendment No. 3 to Form S-1

document_subtype: Amendment to Form S-1


document_description: This document is an amendment to Form S-1, which includes a table of contents outlining various sections such as Market and Industry Data, Risk Factors, Use of Proceeds, and more. It is intended for the offering of securities and includes disclaimers about the accuracy of the information and the jurisdictions where the offer is permitted.

title: Amendment No. 3 to Form S-1


document_description: Amendment No. 3 to Form S-1 provides an overview of the restaurant chain's expansion and financial performance from 2010 to 2014. It includes restaurant count and revenue data, highlighting growth in the United States, Brazil, and Mexico. The document details financial metrics such as AUVs, restaurant contribution margin, and Adjusted EBITDA.

key_locations:
Porto Alegre, Brazil
Sao Paulo, Brazil
Addison, Texas
San Juan, Puerto Rico
Rio de Janeiro, Brazil
Mexico City, Mexico

document_subtype: financial report


document_description: This document is an amendment to Form S-1 related to an initial public offering. It discusses the use of proceeds from the offering, conflicts of interest due to affiliations with Credit Suisse Securities (USA) LLC and Wells Fargo Securities, LLC, and the directed share program for insiders. The offering will comply with FINRA Rule 5121 due to conflicts of interest. The document also mentions the risks associated with investing in the common stock and the expected NASDAQ symbol 'FOGO'.

title: Amendment No. 3 to Form S-1

document_subtype: Securities Offering Document

key_organizations: Financial Industry Regulatory Authority, Inc.


document_description: The document presents a summary of historical consolidated financial information on a combined basis for Fogo de Chão, Inc. It includes financial data for various periods, highlighting revenue, operating costs, and net income/loss. The data is presented with mathematical addition of Predecessor and Successor periods, which is not consistent with GAAP.

title: Amendment No. 3 to Form S-1

document_subtype: financial statement


document_description: The document discusses the tax and economic challenges faced by a multinational organization operating in Brazil and other jurisdictions. It highlights the potential for increased tax liabilities due to complex and changing tax laws, as well as the impact of Brazilian economic and political instability on the company's operations and financial performance. The document also addresses the effects of exchange rate fluctuations between the US dollar and the Brazilian real on the company's financial results.

title: Amendment No. 3 to Form S-1

key_locations:
Brazil
United States
Rio de Janeiro
Sao Paolo


document_description: The document discusses factors affecting historical and future revenue and AUVs, the impact of new restaurant openings on financial performance, and the company's growth strategy, including plans to open new restaurants in North America and international markets.

title: Amendment No. 3 to Form S-1

key_locations:
United States
Brazil
Mexico
Mexico City
North America


document_description: The document discusses the extensive government regulations affecting the restaurant business, including food and alcohol sales, zoning, and employee safety. It highlights the risks of non-compliance, such as license revocation and increased operational costs due to changes in laws. The document also mentions potential impacts of the Food Safety Modernization Act and state 'dram shop' laws, which could lead to significant liabilities.

document_subtype: Regulatory Compliance


document_description: Amendment No. 3 to Form S-1 discusses potential risks and challenges faced by a company, including the impact of removing certain products from menus, compliance with health regulations, security breaches related to credit and debit card transactions, reliance on information technology, and the accuracy of historical financial information. It also addresses potential impairment charges on long-lived assets due to changes in estimates or lower operating results.


document_description: The document outlines the use of proceeds from an offering, estimating net proceeds of approximately $66.9 million, or $77.4 million if underwriters exercise their option to purchase additional shares. It details the intended use of proceeds to repay outstanding indebtedness under Senior Credit Facilities and to cover fees related to the IPO and refinancing. The document also addresses conflicts of interest under FINRA Rule 5121 due to affiliations with underwriters.

title: Amendment No. 3 to Form S-1


document_description: The document provides a detailed table of Fogo de Chão, Inc.'s cash, cash equivalents, and capitalization as of March 29, 2015, both on an actual and pro forma basis. It includes information on the company's debt, equity, and total capitalization, reflecting the effects of a stock split, a public offering, and refinancing of credit facilities.

title: Amendment No. 3 to Form S-1


document_description: The document contains unaudited pro forma consolidated financial statements prepared to reflect various financial transactions, including a stock split, issuance of common stock, refinancing of credit facilities, and termination of an advisory services agreement. These statements are intended to show the financial impact of these transactions as if they had occurred on specified dates.

title: Amendment No. 3 to Form S-1


document_description: This document is an unaudited pro forma consolidated statement of operations for Fogo de Chão, Inc. for the thirteen-week period ended March 29, 2015. It includes historical financial data, pro forma adjustments, and notes, detailing revenue, operating costs, and net income.

title: Unaudited Pro Forma Consolidated Statement of Operations


document_description: The document is an amendment to Form S-1, detailing investments in human capital, credit facility refinancing, acquisition by Thomas H. Lee Partners, L.P., and the initial public offering of Fogo de Chao, Inc. It includes financial details about personnel costs, credit facilities, and the IPO proceeds.

title: Amendment No. 3 to Form S-1

key_organizations:
Fogo de Chao, Inc.
Brasa Holdings
FC Holdings Inc.
THL Funds


document_description: The document is an amendment to Form S-1, detailing financial aspects related to pre-opening costs, depreciation and amortization expenses, income tax expenses, and segment reporting for a restaurant business. It outlines the nature of pre-opening costs, the method of depreciation and amortization, the basis for income tax expenses, and the segment reporting structure for the United States and Brazil.

key_locations:
United States
Brazil
Mexico


document_description: The document provides a financial summary for Fiscal 2013, highlighting significant increases in revenue and various costs due to additional company operating weeks. Key financial metrics include a 133.6% increase in total revenue, with notable increases in U.S. and Brazil restaurant revenues, food and beverage costs, compensation and benefit costs, and other operating expenses. The document also details changes in marketing, administrative, and pre-opening costs, as well as a loss on debt modification and increased depreciation and amortization expenses.

title: Amendment No. 3 to Form S-I


document_description: This document is an amendment to Form S-1, filed on June 17, 2015. It is marked as confidential pursuant to Federal Rule of Criminal Procedure 6(e).

title: Amendment No. 3 to Form S-1


document_description: This document provides a financial comparison between the fiscal year ended December 29, 2013, and the combined period from January 2, 2012, to December 30, 2012. It includes detailed revenue and cost breakdowns for U.S. and Brazil restaurants, as well as other financial metrics such as operating costs, marketing expenses, and net income.

title: Supplemental Comparison of Fiscal Year Ended December 29, 2013 Compared to the Combined Period from January 2, 2012 to December 30, 2012


document_description: The document is a financial report detailing various financial metrics for Fiscal 2013, including pre-opening costs, loss on modification of debt, interest expense, income tax expense, and restaurant contributions. It includes a table comparing financial data for U.S. and Brazil restaurants for Fiscal 2013 and 2012, highlighting revenue, operating costs, and contributions.

title: Amendment No. 3 to Form S-1


document_description: The document contains unaudited quarterly financial statements for a company, detailing revenue, operating costs, and net income for fiscal quarters ending in 2013 and 2014. It highlights a decrease in Brazil's contribution margin due to increased costs and provides a detailed breakdown of restaurant operating costs, marketing, and other expenses.

title: Amendment No. 3 to Form S-1


document_description: The document is an amendment to Form S-1, detailing financial activities and credit facilities for a company. It covers cash flows from investing and financing activities for fiscal years 2013 and 2014, and outlines the terms and covenants of the Senior Credit Facilities entered into on July 20, 2012. The document also discusses compliance with financial covenants and the intended use of proceeds from an offering to repay outstanding indebtedness.

key_organizations:
Brass (Holdings) Inc.
Brasa (Purchaser) Inc.
JPMorgan Chase Bank, N.A.
Jefferies Finance LLC
Golub Capital LLC
Wilmington Trust, National Association


document_description: The document discusses various Accounting Standards Updates (ASUs) issued by the FASB and their implications on financial statements. It covers ASU 2014-09 on revenue recognition, ASU 2014-15 on going concern evaluation, ASU 2015-2 on consolidation analysis, and ASU 2015-03 on debt issuance costs presentation. It also addresses market risk, particularly foreign currency exchange risk, with a focus on revenue generated in Brazil and its impact due to exchange rate fluctuations.

title: Amendment No. 3 to Form S-1


document_description: The document is an amendment to Form S-1, detailing the company's strategies for growth, marketing, remodeling, and improving margins. It outlines investments in personnel and IT systems, and provides information on the company's properties and leases.

key_locations:
United States
Brazil
Mexico
Dallas, Texas
Santo Amaro, São Paulo


document_description: The document provides details about the dining experience and restaurant management of a company. It describes the prix fixe menu, rodizio meat service, and a la carte options, as well as the organizational structure of the restaurants, including the roles of gaucho chefs and management. The document also mentions efforts to increase guest frequency and spend through menu innovation and bar offerings.

title: Amendment No. 3 to Form S-1


document_description: The document discusses legal proceedings related to the company's use of L-1B and L-1A visas for employees from Brazil. It details the challenges faced with the USCIS regarding visa approvals and the subsequent legal actions taken, including a successful appeal in the US Court of Appeals for the D.C. Circuit. The document also mentions other legal claims and investigations the company is involved in, none of which have had a material effect on the company.

title: Amendment No. 3 to Form S-1

key_locations:
United States
Brazil

key_organizations: Bureau of Citizenship & Immigration Services


document_description: The document provides details about the management team, including names, ages, positions, and business experience of executive officers, directors, and key employees as of December 28, 2014.

title: Amendment No. 3 to Form S-1

key_people:
Lawrence J. Johnson
George B. McGowan
Anthony D. Laday
Schna Oliveira
Michael A. Prentiss
Jandir Dalberto
Albert G. McGrath
Todd M. Abbrecht
Gerald W. Deitchle
Douglas A. Haber
Neil Moses
Douglas R. Pendergast
Jeff T. Swenson

key_locations:
Sao Paulo, Brazil
Vila Olimpia, Brazil
Santo Antonio do Sudoeste, Brazil
Parana, Brazil

key_organizations:
Baker & McKenzie LLP
Brinker International
Macaroni Grill
Waterloo Restaurants
Marriott Corporation
Landry's Restaurants


document_description: The document contains executive compensation details for the fiscal years 2013 and 2014, including a summary compensation table and outstanding equity awards for NEOs. It provides specific compensation figures for Lawrence J. Johnson, Selma Oliveira, and Jandir Dalberto, as well as details on stock and option awards.

title: Amendment No. 3 to Form S-1

key_people:
Lawrence J. Johnson
Selma Oliveira
Jandir Dalberto

document_subtype: financial


document_description: Amendment No. 3 to Form S-1 outlines the administration, eligibility, and terms of the 2012 Plan, including stock options and SARs. The board has full authority to interpret and administer the plan, select participants, and determine award terms. Stock options must have an exercise price not less than the fair market value and a term not exceeding ten years. SARs allow participants to receive the excess of the fair market value over the grant price, with a term not exceeding ten years.


document_description: The document is an amendment to Form S-1, detailing changes to the 2012 Plan and the introduction of the 2015 Omnibus Incentive Plan. It outlines the conditions under which awards may be canceled or adjusted, the definition of a change in control, and the types of awards available under the 2015 Plan. It also specifies the number of shares authorized for issuance and the maximum awards that can be granted to individuals.

title: Amendment No. 3 to Form S-1


document_description: The document outlines the policies and procedures for related person transactions as per the charter of the Audit Committee, which will be effective upon the closing of the offering. It details the criteria for transactions that require review and approval by the Audit Committee, including the involvement of executive officers, directors, or significant stockholders. The document also mentions agreements with management and an Advisory Services Agreement with THL Managers VI, LLC, including the fees paid under this agreement.

title: Amendment No. 3 to Form S-1

key_organizations:
Brasa (Parent) Inc.
Brasa (Purchaser) Inc.
Brasa (Holdings) Inc.
Fogo de Chao (Holdings) Inc.
THL Managers VI, LLC


document_description: The document details the shareholding structure and agreements related to Thomas H. Lee Equity Fund VI, L.P. and its co-investors. It outlines the number of shares held by various entities and the contractual obligations of co-investors to coinvest and dispose of shares alongside the THL VI Funds. It also mentions the management structure and addresses of the involved parties.

title: Amendment No. 3 to Form S-1

key_people:
Anthony J. DiNovi
Scott M. Sperling

key_locations: 100 Federal Street, Boston, Massachusetts 02110

key_locations: 8515 East Orchard Road, Greenwood Village, Colorado 80111

key_locations: 1 Post Office Square, Boston, Massachusetts 02109

key_organizations: Thomas H. Lee Parallel (DT) Fund VI, L.P.

key_organizations: Putnam Investments Employees' Securities Company III, LLC

key_organizations: THL Equity Fund VI Investors (Fogo), LLC

key_organizations: THL Equity Fund VI Investors (Fogo) II, LLC


document_description: Amendment No. 3 to Form S-1 outlines restrictions on the disposal of shares, options, or warrants for 180 days post-prospectus without consent from Jefferies LLC and J.P. Morgan Securities LLC. It details underwriters' rights to release securities from lock-up agreements and describes stabilization activities under Regulation M, including short sales and stabilizing bids. The document also covers electronic distribution of the prospectus and potential online allocations.

key_people:
Jefferies LLC
J.P. Morgan Securities LLC

document_subtype: Securities Offering


document_description: Amendment No. 3 to Form S-I outlines the conditions under which common shares may be offered in various jurisdictions, including the European Union, Hong Kong, Japan, and Singapore, without requiring a prospectus. It specifies the legal frameworks and exemptions applicable in each region.

key_locations:
European Union
Hong Kong
Japan
Singapore

document_subtype: Prospectus Amendment

reference_numbers: Securities and Futures Ordinance (Cap. 571)

reference_numbers: Financial Instruments and Exchange Law of Japan (Law No. 25 of 1948)


document_description: Amendment No. 3 to Form S-1 outlines the conditions under which securities can be offered or sold in Singapore, Switzerland, and the United Kingdom. It specifies the legal provisions and restrictions applicable in each jurisdiction, including the types of investors who can participate and the regulatory requirements that must be met.

key_locations:
Singapore
Switzerland
United Kingdom

key_organizations: Swiss Financial Market Supervisory Authority

key_organizations: Swiss Federal Act on Collective Investment Schemes


document_description: The document is an index to the consolidated financial statements of Fogo de Chao, Inc., including both unaudited and audited financial statements, balance sheets, statements of operations, comprehensive income (loss), shareholders' equity, and cash flows.

title: Amendment No. 3 to Form S-I


document_description: The document contains financial information related to Fogo de Chão, Inc., including property and equipment distribution between the U.S. and Brazil, accounts payable and accrued expenses as of March 29, 2015, and December 28, 2014, and details of a joint venture in Mexico. The joint venture is for developing Brazilian style steakhouses in Mexico, with Fogo de Chão owning 51% of the venture.

title: Amendment No. 3 to Form S-I

key_organizations: IV Churrascaria Mexico, S. de R.L. de C.V.


document_description: The document contains financial information for Fogo de Chão, Inc. for the first quarter of Fiscal 2015 and 2014, including revenue, restaurant contribution, and capital expenditures for the United States and Brazil segments. It also includes a reconciliation of total segment restaurant contribution to income from operations.

title: Fogo de Chão, Inc. Financial Information


document_description: The document contains unaudited condensed consolidated financial statements for Fogo de Chao, Inc., detailing property and equipment, and total assets for different segments as of March 29, 2015, and December 28, 2014. It also includes condensed financial information for the parent company, Fogo de Chao, Inc., highlighting restrictions on obtaining funds from subsidiaries.

title: Amendment No. 3 to Form S-1

key_organizations:
Fogo de Chao, Inc.
Brasa Holdings


document_description: The document contains consolidated statements of shareholders' equity for Fogo de Chao, Inc. (Successor) and Fogo de Chao Churrascaria (Holdings) LW (Predecessor). It includes detailed financial data such as member's equity, accumulated deficit, and comprehensive loss for the predecessor company, and common stock, additional paid-in capital, and other financial metrics for the successor company over several years.

title: Consolidated Statements of Shareholders' Equity

key_organizations:
Fogo de Chao, Inc.
Fogo de Chao Churrascaria (Holdings) LW


document_description: The document is an amendment to Form S-1 for Fogo de Chao, Inc., detailing the company's business description, acquisition history, and financial information related to the 2012 acquisition of Fogo de Chao Churrascaria (Holdings) LLC. It includes information on the company's structure, the acquisition process, and the valuation of acquired assets and liabilities.

title: Amendment No. 3 to Form S-1

key_locations:
United States
Brazil
Cayman Islands
Delaware


document_description: The document contains notes to the consolidated financial statements of Fogo de Chão, Inc., focusing on the impairment of long-lived assets, goodwill, and intangible assets. It outlines the processes and criteria for assessing impairment and states that no impairments were recorded in the periods presented.

title: Amendment No. 3 to Form S-1

key_locations:
Brazil
United States


document_description: The document provides details on deferred rent and lease assets/liabilities for Fogo de Chão, Inc. as of December 28, 2014, and December 29, 2013. It includes tables showing tenant allowances, deferred rent, favorable lease assets, and unfavorable lease liabilities, along with their amortization and foreign exchange impacts.

title: Amendment No. 3 to Form S-I - Fogo de Chão, Inc. Notes to Consolidated Financial Statements


document_description: The document provides details on the assumptions used by Fogo de Chão, Inc. to determine the fair value of stock options granted, including expected term, risk-free interest rate, volatility, and dividend yield. It also summarizes the company's stock option activity from May 24, 2012, through December 28, 2014.

title: Fogo de Chão, Inc. Notes to Consolidated Financial Statements


document_description: The document provides a summary of Fogo de Chão, Inc.'s restricted stock activity from May 24, 2012, through December 28, 2014, including shares issued, vested, and forfeited. It also details the fair value of restricted stock that vested during fiscal years 2013 and 2014, and the unrecognized share-based compensation cost as of December 28, 2014. Additionally, it includes share-based compensation expenses related to stock options, restricted stock, and SARs for fiscal years 2013 and 2014, and the periods from May 24, 2012, through December 30, 2012, and January 2, 2012, through July 20, 2012.


document_description: The document contains financial information related to Fogo de Chao, Inc., including lease arrangements, rent expenses, litigation, credit risk concentration, and segment reporting. It details future minimum lease payments, rent expenses for various fiscal periods, and the impact of favorable and unfavorable lease assets and liabilities on rent expenses. It also discusses the company's reliance on food distributors and segment reporting for its operations in the United States, Brazil, and Mexico.

title: Amendment No. 3 to Form S-1


document_description: This document is an amendment to Form S-1, which is a registration statement used by companies planning to go public. It includes confidential information pursuant to Federal Rule of Criminal Procedure 6(e).

title: Amendment No. 3 to Form S-1

key_locations:
Brazil
United States
Puerto Rico
Mexico


document_description: This document is an amendment to Form S-1, detailing various exhibits related to Fogo de Chao, Inc., including agreements, consents, and plans. It includes forms of agreements, opinions, and consents filed as part of the registration statement.

title: Amendment No. 3 to Form S-1

key_people:
Lawrence J. Johnson
Selma Oliveira
Gerald W. Deitchle
Neil Moses
Douglas R. Pendergast

key_organizations:
Fogo de Chao, Inc.
Brasa (Parent) Inc.
JPMorgan Chase Bank, N.A.
Jefferies Finance LLC
Golub Capital LLC
Wilmington Trust, National Association
PricewaterhouseCoopers LLP
Davis Polk & Wardwell LLP
Buxton Co.


document_description: Authorization for asset movement from Jeffrey E Epstein's Deutsche Bank account to Bank of America for the benefit of Larry Visoski.

key_people:
Jeffrey E Epstein
Larry Visoski
Harry Beller

document_subtype: Authorization for Asset Movement

key_organizations:
Deutsche Bank Alex. Brown
Bank of America


document_description: Authorization form for asset movement for Jeffrey E Epstein's non-retirement account at Deutsche Bank Alex. Brown. Includes instructions for wire transfer of $8,220.35 to JPMorgan Chase, with additional instructions for expenses. Contains provisions for standing authorization and verbal instructions.

key_people:
Jeffrey E Epstein
Harry Beller

key_organizations:
Deutsche Bank Alex. Brown
JPMorgan Chase


document_description: Authorization for asset movement for non-retirement accounts at Deutsche Bank Alex. Brown, authorizing a wire transfer of $200,000 to First Bank, Puerto Rico, for the account of LSJE, LLC. The document includes provisions for checks, journals, and free deliveries, with standing authorization and verbal instruction clauses.

key_people:
Jeffrey E. Epstein
Harry Beller

key_organizations:
Deutsche Bank Alex. Brown
First Bank, Puerto Rico
LSJE, LLC


document_description: Authorization for asset movement for non-retirement accounts at Deutsche Bank Alex. Brown, signed by Harry Beller. The document authorizes wire transfer of $4,470.76 to New Mexico Bank for Poolside Services. It includes options for issuing checks, journaling funds, and free deliveries, though these sections are not filled out. The document outlines the terms and conditions for standing authorizations and verbal instructions.

key_organizations:
Deutsche Bank Alex. Brown
New Mexico Bank


document_description: Authorization for asset movement for non-retirement accounts by Deutsche Bank Alex. Brown for J. Epstein Virgin Islands Foundation Inc. Includes instructions for wire transfer to First Bank, Puerto Rico, and standing authorization details.

key_locations:
Puerto Rico
Santurce


document_description: Authorization for asset movement from Deutsche Bank Alex. Brown for J. Epstein Virgin Islands Foundation Inc. to wire $115,000 to EasCorp Federal Credit Union for the benefit of Joscha Bach.

key_people:
Darren Indyke
Joscha Bach