document_description: The document provides a table of contents for various service categories, including Transaction Wireless, Retail Online Banking, and TransArmor. Each service is described with its benefits, focusing on digital card sales, online banking services, and cybersecurity solutions.


source: doj

document_description: A table listing various fraud solutions offered, including Fraud Protection Solutions, PCI Rapid Comply, Integrated Token Services, and TeleCheck, along with their descriptions and benefits.

document_type: tabular

document_subtype: Fraud Solutions Table

key_organizations:
Defense Edge
RiskShield
PCI Rapid Comply
Integrated Token Services
TeleCheck


document_description: The document provides a table of contents for various service categories, including Healthcare Solutions and Government Solutions. It describes electronic claims payment systems, benefit card solutions, and online tax payment services, highlighting their benefits such as faster payment transfers, compliance with regulations, and enhanced security features.

document_subtype: Table of Contents


document_description: The document is an S-1/A filing for First Data Corporation, detailing their business strategies, market presence, and financial performance. It highlights their operations in North America, particularly in the United States and Canada, and their strategic investments in emerging markets like India and Brazil. The filing discusses their partnerships with financial institutions and technology providers, their distribution strategies, and their leadership position in the electronic payments industry.

title: S-1/A Filing for First Data Corporation

key_locations:
United States
Canada
India
Brazil

document_subtype: S-1/A Filing

key_organizations:
First Data Corporation
Bank of America Merchant Services
Wells Fargo Merchant Services
PNC Merchant Services
Citi Merchant Services
STAR Network


document_description: The document discusses the business operations and growth opportunities of a company in North America, Europe, the Middle East, and Africa. It highlights the adoption of electronic payments and commerce-enabling technologies, and the company's strategic alliances and acquisitions in various regions.

document_type: other

key_locations:
North America
Canada
United States
Europe
Middle East
Africa
United Kingdom
Ireland
Switzerland
Germany
Austria
Italy
Greece
Belgium
Netherlands
Poland
Czech Republic
Slovakia
Hungary
Romania
Baltics
Balkans

document_subtype: financial report

key_organizations:
First Data
POSNET
UN PS
Lloyds Bank
Allied Irish Banks
ABN AMRO
BNP Paribas
TeleCash
ConCardis


document_description: The document discusses First Data's business operations and growth strategies in various regions including EMEA, Latin America, and the European Union. It highlights the company's expansion efforts, regulatory impacts, and financial performance in these regions.

key_locations:
Poland
United Arab Emirates
Saudi Arabia
Qatar
Egypt
South Africa
European Union
Central and Eastern Europe
Middle East and Africa
United States
Canada
Latin America
Puerto Rico
Argentina
Brazil
Colombia
Panama
Mexico
Uruguay
Central America
Caribbean

key_organizations:
First Data
PoIcard
Scotiabank
ScotiaPOS


document_description: The document discusses the expansion and operations of a financial services company in Latin America and Asia Pacific. It highlights acquisitions, market entry, and regulatory impacts in Argentina, Uruguay, Colombia, Central America, and the Caribbean. It also covers industry trends and regulatory reforms in Brazil and Mexico. The Asia Pacific section details revenue and operations in countries like Australia, South Korea, Singapore, India, and China.

key_locations:
Argentina
Uruguay
Colombia
Central America
Caribbean
Brazil
Mexico
Asia Pacific
Australia
South Korea
Singapore
India
China

key_organizations:
Argencard
MasterCard
POSNET
POS 2000
Procesa
Banco General of Panama
Central Bank of Brazil


document_description: The document outlines the expansion and operations of a company in the Asia-Pacific (APAC) region, detailing its entry into various markets, partnerships, and services offered. It highlights the company's growth strategy, sales and distribution network, and the industry trends expected to drive future growth.

key_locations:
Australia
China
Hong Kong
Taiwan
Macau
South Korea
India
Singapore
Malaysia
Brunei
New Zealand
Indonesia
Thailand
Vietnam
Philippines

key_organizations:
Fuss Data
ICICI Bank
First Data India Ventures
First Data Merchant Solutions
Bank of America Corporation
Wells Fargo
PNC Financial Services Group
Citigroup
SunTrust Banks
Lloyds Banking Group
Allied Irish Banks
ABN AMRO Group


document_description: The document discusses the strategic goals and partnerships of a company, focusing on its sales force and indirect sales channels. It highlights the company's alliances with over 1,100 third parties, including independent sales agents and various service providers, to resell its solutions. The document also describes how these partnerships enable the company to leverage financial institutions' leads and provide solutions through multiple channels. Additionally, it outlines the company's marketing strategies, including branch advertising, websites, industry conferences, trade shows, and social media.


document_description: The document provides a table listing various industry verticals served by the company, along with descriptions of each vertical. These include sectors such as Airlines, Education, Entertainment, Gaming, Government, Grocery, Healthcare, Hotels, Industrials, Insurance, Non-Profit, Petroleum, Professional Services, Real Estate, Restaurants, Retail, Sports, Technology, Transportation and Logistics, Other Travel and Leisure, Utilities, and Wholesale Trade.

title: Industry Verticals Served

document_subtype: Industry Verticals Table

key_organizations:
Global airlines
Educational institutions
Federal, state, and local agencies
Grocery and drug store chains
Healthcare systems
Hotel chains
Manufacturing companies
Insurance companies
Non-profit organizations
Petroleum companies
Consulting companies
Real Estate companies
Restaurant chains
Retail companies
Sporting leagues
Technology companies
Transportation and logistics companies
Utility companies
Wholesale trade companies


document_description: The document provides an overview of First Data's operations, led by the Chief Operations Officer, with a focus on client service, cost and productivity improvement, and risk management. It details various operational functions including client onboarding, account management, settlement operations, disputes and chargebacks, and terminal distribution.

title: First Data Operations Overview


document_description: The document outlines the services provided by First Data Corporation, including key injection, deployment, equipment services, and remittance processing. It also details the company's controls organization, which manages strategic, reputational, financial, operational, and compliance risks. The controls organization is structured into three lines of defense: business unit ownership, oversight of the organization, and assurance through audit.

title: First Data Corporation S-1/A Filing

key_people:
Chief Control Officer
Chief Auditor


document_description: The document outlines the company's efforts to enhance its risk management and compliance capabilities. It details the enterprise risk management program, underwriting and credit risk management, regulatory compliance, internal audit, and third-party risk management. The company has increased headcount and invested in technology to support these initiatives.


document_description: The document outlines First Data's third-party oversight and technology platforms. The third-party oversight team manages vendor risks and performs risk management reviews throughout the third-party life-cycle. The technology platforms focus on reliability, scalability, and security, with strategic investments in technology to improve operations across various channels. First Data is undergoing a three-year transformation to enhance its software and infrastructure, aiming to benefit clients with scalable transaction capacity, platform agility, and strong security.


document_description: The document outlines First Data's technology and infrastructure attributes, including global scale, worldwide presence, and reach. It details the company's Infrastructure Modernization Initiatives, highlighting a $180 million investment in the Architecture Modernization Program (AMP) over 18 months. The document also discusses the results of these initiatives, such as data center consolidations and optimizations.


document_description: The document outlines various regulations and rules affecting debit card issuers, payment networks, and financial service providers. It discusses the requirements for debit card issuers to participate in multiple networks, the ability of merchants to set minimum credit card transaction amounts, and the creation of the Financial Stability Oversight Council under the Dodd-Frank Act. It also details the association and network rules for MasterCard, Visa, and other networks, as well as specific regulations for subsidiaries in Australia and Germany. Additionally, it covers banking regulations affecting subsidiaries providing data processing services and insurance contract arrangements in the UK.

key_locations:
United States
Australia
Germany
United Kingdom

document_subtype: financial regulation summary

key_organizations: National Automated Clearing House Association

key_organizations: Australian Payments Clearing Association Limited

key_organizations: Federal Financial Institutions Examination Council


document_description: The document outlines compliance with various financial and legal regulations, including anti-corruption laws like the FCPA, anti-money laundering laws, and economic sanctions. It also discusses money transmission and payment instrument licensing, as well as escheat regulations in the U.S. and abroad.

document_type: legal

key_organizations:
Money Network Financial LLC
Financial Crimes Enforcement Network
Department of Justice
SEC
OFAC
European Union


document_description: The document discusses indirect regulatory requirements affecting the services provided to financial institution clients, including compliance with regulations from the CFPB and the Office of the Comptroller of the Currency. It also covers stored-value services subject to various laws and regulations, and mentions the impact of the Housing Assistance Tax Act of 2008 on reporting and withholding requirements. Additionally, it notes that the company is involved in litigation matters that are not material.


document_description: The document provides details about the intellectual property, employees, and facilities of a company as of December 31, 2014. It highlights the importance of the First Data and STAR trademarks, the employment structure across various countries, and the owned and leased facilities both domestically and internationally.

title: S-1/A Filing - Facilities and Employees

key_locations:
United States
United Kingdom
Vienna, Austria
Frankfurt, Germany
Nurnberg, Germany
Brazil
New York
Coral Springs, Florida
Hagerstown, Maryland
London
Sao Paulo
Marietta, Georgia
Omaha, Nebraska
Chesapeake, Virginia
Wilmington, Delaware
Maitland, Florida
Basildon, United Kingdom
Buenos Aires, Argentina
Athens (Kryoneri), Greece
Thane, India
Sydney, Australia
Atlanta, Georgia
Greenwood Village, Colorado

key_organizations:
First Data
STAR
Unite trade union


document_description: A list of executive officers and directors with their ages and positions as of June 30, 2015, along with a brief account of their business experience.

title: Executive Officers and Directors

key_people:
Frank J. Bisignano
Joseph J. Plumeri
Joe W. Forehand
Henry R. Kravis
Heidi G. Miller
James E. Nevels
Scott C. Nuttall
Tagar C. Olson
Cynthia A. Armine-Klein
Daniel J. Charron
Guy Chiarello
Sanjiv Das
Christopher Foskett
Andrew Gelb
Jeffrey I. Hack
Thomas Higgins
Christine E. Larsen
Gustavo Marin
Anthony S. Marino
Barry C. McCarthy
Michael K. Neborak
Himanshu A. Patel
Adam L. Rosman

document_subtype: Management Table

key_organizations:
JPMorgan Chase & Co.
Citigroup
KKR
Willis Group Holdings plc
Citibank
Primerica Financial Services
Travelers Group Inc.
Salomon Smith Barney


document_description: The document provides information about the board members of a company, including their backgrounds and roles. It mentions Joe W. Forehand, Henry R. Kravis, Heidi G. Miller, James E. Nevels, and Scott C. Milian, detailing their professional histories and affiliations.

key_people:
Joe W. Forehand
Henry R. Kravis
Heidi G. Miller
James E. Nevels
Scott C. Milian

key_locations:
Philadelphia
New York City
London

document_subtype: Board of Directors Information

key_organizations:
Accenture Ltd.
KKR
JPMorgan Chase & Co.
The Swarthmore Group
The Hershey Company
Federal Reserve Bank of Philadelphia


document_description: This document provides information about the executive officers and board members of a company, including their previous roles and affiliations.

key_people:
Tagar C Olson
Cynthia A. Armin-Klein
Daniel J. Charron
Guy Chiarello
Snub Das
Christopher Foskett
Andrew Gelb
Jeffrey L Hack

key_locations:
University of Pennsylvania
Washington University, St. Louis

document_subtype: corporate filing

key_organizations:
KKR
Blackstone Group
Alliant Insurance Services
Sedgwick Inc.
Visant Corporation
WMI Holdings Corp.
Nephila Capital Ltd.
Evercom Partners Inc.
JPMorgan Chase & Co.
Citigroup
Chase Paymentech
Morgan Stanley
CitiMortgage Inc.
Morgan Stanley Institutional Securities
National Australia Bank
Verisk Analytics Inc.


document_description: The document provides an overview of the executive team and their roles within the company, including their previous positions and experience.

key_people:
Mr. Hack
Thomas Higgins
Christine E. Larsen
Gustavo Marin
Anthony S. Marino
Barry C. McCarthy
Michael K Neborak
Himanshu A. Patel

key_locations: Argentina Brazil Paraguay Uruguay Peru

document_subtype: business

key_organizations:
Morgan Stanley Smith Barney
JPMorgan Chase & Co.
Citibank
The Guardian Life Insurance Company
Bank of Tokyo-Mitsubishi UFJ
Ally Financial
Willis Group Holdings plc
MSCI Inc.
Arthur Andersen & Co.


document_description: This document is an S-1/A filing detailing the management and board composition of a company. It includes information about key executives and board members, their backgrounds, and the governance structure of the board. The document outlines the qualifications and experiences of board members and the criteria used by the Governance, Compensation, and Nominations Committee to select board candidates.

key_people:
Adam L. Rosman
Mr. Bisignano
Mr. Forehand
Mr. Kravis
Ms. Miller
Mr. Nevels
Mr. Nuttall
Mr. Olson

key_locations:
Bethpage, New York
Washington, D.C.

key_organizations:
Chase & Co.
Willis Group Holdings plc
Cablevision Systems Corporation
Zuckerman Speeder LLP
KKR


document_description: The document is an S-1/A filing detailing the role of the Board in risk oversight, the controlled company exception, and the structure of Board committees. It discusses the Board's involvement in risk management through the Audit and Risk Committees, the controlled company status due to KKR's ownership, and the implications of this status on corporate governance standards. The document also outlines the Board's committee structure post-offering.


document_description: The document outlines the composition and responsibilities of various committees within a company, including the Audit Committee, Risk Committee, and Governance, Compensation and Nominations Committee. It details the roles of committee members, their independence, and the committees' purposes in overseeing financial integrity, risk management, and governance policies.

key_people:
Mr. Olson
Ms. Miller
Mr. Nevels
Mr. Nuttall
Mr. Kravis
Mr. Forehand

key_organizations: NYSE SEC


document_description: The document discusses the equity-based compensation strategy of First Data Corporation, emphasizing the alignment of executive and shareholder interests through significant equity ownership. It outlines the 2007 Stock Incentive Plan and the company's commitment to competitive executive compensation based on market data and peer group analysis.

title: Emphasize Equity Ownership and Pay at a Competitive Market Position

key_organizations: Science Applications International Corporation


document_description: The document outlines the base salaries of the Named Executive Officers (NEOs) as of December 31, 2014, along with elements of their compensation such as bonuses and long-term incentives.

title: NEO Base Salaries

key_people:
Frank J. Bisignano
Michael K. Neborak
Cynthia A. Armine-Klein
Sanjiv Das
Joseph J. Plumeri

document_subtype: compensation table


document_description: The document outlines the strategic growth objectives for the Company in fiscal 2014, including expansion of platforms, enhanced client experiences, international expansion, and revenue growth. It discusses the performance evaluation criteria for executives and the discretionary funding structure for the SEIP. It also details the discretionary cash bonuses awarded for 2014 and sign-on bonuses for new executives.

title: S-1/A Table of Contents

key_people:
Frank J. Bisignano
Cynthia A. Amine-Klein
Sanjay Das
Joseph J. Plumeri


document_description: The document outlines the long-term incentive compensation strategy for executives, focusing on equity-based awards such as restricted stock and stock options. It details the grants made in fiscal 2014 to executives like Messrs. Bisignano, Winborne, Plumeri, Ms. Armin-Klein, and Mr. Das, including vesting schedules and conditions tied to continued employment and public offerings.

title: Long-Term Incentive Compensation and Fiscal 2014 Grants

key_people:
Messrs. Bisignano
Winborne
Plumeri
Ms. Armin-Klein
Mr. Das

key_organizations:
Holdings
Holdings Committee


document_description: The document outlines compensation details for Mr. Neborak, including stock grants and options, benefits, and perquisites. It also discusses the company's severance and change in control agreements.

key_people:
Mr. Neborak
Mr. Bisignano


document_description: The document outlines amendments to compensation policies effective January 1, 2015, including cash severance payments and tax considerations. It details equity-based awards granted in January 2015 under the 2007 Equity Plan to NEOs, with vesting schedules. It also discusses expected equity-based retention grants under the 2015 Omnibus Incentive Plan in connection with an offering.

title: Compensation and Equity-Based Grants

key_people:
Frank J. Bisignano
Michael K. Neborak
Cynthia A. Armin-Klein
Sanjiv Bas
Joseph J. Plumeri
Mr. Patel

key_organizations: Committee NEO NEC Company


document_description: The document outlines the vesting conditions for stock options and restricted stock grants, including performance-based and time-vesting conditions. It details the vesting schedule, conditions for vesting upon termination or change in control, and covenants related to confidentiality and non-compete agreements. It also includes a table illustrating the number of shares of restricted stock and stock options to be granted to specific individuals.

key_people:
Frank J. Bisignano
Michael K. Neborak
Cynthia A. Armine-Klein
Sanjiv Das
Himanshu A. Patel

key_organizations: Company NYSE


document_description: The document outlines cash bonuses to be granted to certain executive officers in connection with an offering, including conditions for repayment if employment is terminated. It also details an equity retention policy for directors and management committee members, requiring them to maintain a minimum share ownership level of the company's stock.

title: Cash Bonuses and Ownership Guidelines

key_people:
Frank J. Bisignano
Sanjiv Das
Himanshu A. Patel

key_organizations: Governance, Compensation and Nominations Committee


document_description: The document provides a table summarizing compensation for non-employee directors for fiscal 2014, including fees, stock awards, option awards, and other compensation. It also includes notes on specific directors' compensation details and terms of compensation arrangements.

title: Director Compensation for Fiscal 2014

key_people:
Joe W. Forehand
Henry R. Kravis
Heidi Miller
James Nevels
Scott C. Nuttall
Tagar C. Olson

document_subtype: Director Compensation Table

key_organizations: Holdings KKR


document_description: The document outlines the compensation details for non-employee directors of Holdings, including cash retainers, bonuses, stock options, and reimbursement policies. It also mentions the indemnification policy for directors and changes in compensation for 2015.

title: Non-Employee Director Compensation

key_people:
Joe W. Forehand
Heidi Ahller
James Nevels

document_subtype: financial

key_organizations:
Holdings Board
First Data Holdings Inc.
KKR


document_description: Compensation details for directors of Holdings not employed by Holdings or KKR, including stock options, restricted stock grants, and cash retainers.


document_description: The document provides a summary of compensation paid or accrued to the Named Executive Officers (NEOs) for services rendered during 2014. It includes details on salary, bonuses, stock awards, option awards, and other compensation.

title: Summary Compensation Table for NEOs

key_people:
Frank J. Bisignano
Michael K. Neborak
Ray E. Winborne
Cynthia A. Armine-Klein
Sanjiv Das
Joseph J. Plumeri

document_subtype: Summary Compensation Table

key_organizations:
Company
SEIP
2007 Equity Plan


document_description: This document contains a table detailing the perquisites and personal benefits for various individuals, including financial planning, defined contribution plans, life insurance, tax gross-up payments, severance payments, relocation benefits, and other compensation. It includes specific amounts for each category and individual.

document_subtype: financial compensation table


document_description: The document provides a table of grants of plan-based awards made in 2014 under the 2007 Equity Plan, detailing stock and option awards for various executives, including grant dates, number of shares or units, exercise prices, and grant date fair values. It includes a narrative disclosure about the vesting conditions and employment agreements.

title: Grants of Plan-Based Awards in 2014

document_subtype: Grants of Plan-Based Awards


document_description: The document outlines the employment agreement between the Company and Mr. Bisignano, effective September 18, 2015, replacing a prior agreement from April 28, 2013. It details the terms of employment, including salary, benefits, and covenants. It also covers terms of equity awards and provisions for options and shares under the Management Stockholder's Agreements.

document_subtype: Employment Agreement

key_organizations:
The Company
Holdings


document_description: The document outlines the terms of employment agreements for NEOs, including conditions for termination, change in control, and stock options. It specifies the impact of a change in control on stock options and restricted stock vesting, and the rights of Holdings in case of stock sale by NEOs. It also includes covenants related to confidentiality, non-solicitation, and non-competition.

document_subtype: employment agreement


document_description: The document outlines conditions for receiving severance payments and benefits under a company policy, including the requirement for employees to release the company from claims and agree to restrictive covenants. It also details amendments to the plan effective January 1, 2015, regarding cash severance payments and continuation of benefits.

key_organizations: Company Committee


document_description: The document outlines the termination and change in control payments and benefits for various executives, including Frank J. Bisignano, Michael K. Neborak, Cynthia A. Armine-Klein, Sanjiv Das, and Joseph J. Plumeri. It details the cash severance payments, post-termination health and welfare benefits, financial planning, unvested stock options, unvested restricted stock, and estimated 280G tax gross-up for different scenarios such as termination without cause, termination due to death or disability, and change in control.

document_subtype: Termination and Change in Control Payments and Benefits


document_description: The document outlines the terms of employment and separation agreements for executives, including Mr. Bisignano and Mr. Winborne. It details the benefits and stock options available upon termination of employment under various conditions, such as death, disability, or company-initiated termination. It also covers the terms of a separation agreement with Mr. Winborne, including bonus payments and stock vesting conditions.

key_people:
Mr. Bisignano
Mr. Winborne
Ms. Annine-Klein

document_subtype: S-1/A Filing

key_organizations: Company Holdings


document_description: The document outlines the provisions of the 2007 Equity Plan, including stock-based awards, dividend equivalent rights, payment methods for stock options, transfer restrictions, adjustments for corporate events, and change in control provisions. It details how stock options and stock appreciation rights are managed under various circumstances, including changes in control and corporate events affecting equity securities.


document_description: The document outlines the provisions of the 2007 Equity Plan, including the conditions for a 'qualifying termination' which allows participants to continue vesting and exercising stock options under certain conditions. It also details the restrictive covenants participants must adhere to following a qualifying termination, and the authority of the Committee and Board to amend or terminate the plan.

title: 2007 Equity Plan and Qualifying Termination


document_description: The document outlines the First Data Corporation 2015 Omnibus Incentive Plan, which aims to attract and retain key personnel by providing equity interests and incentive compensation. It details the administration of the plan by the Governance, Compensation and Nominating committee, the types of awards available, and the limits on shares and compensation.


document_description: The document outlines the terms and conditions of the 2015 Omnibus Incentive Plan, including stock options, stock appreciation rights, and substitute awards. It specifies the exercise price, term limits, and payment methods for stock options, as well as the calculation and conditions for stock appreciation rights.


document_description: The document outlines the provisions of the 2015 Omnibus Incentive Plan, including the granting of restricted shares, stock units, and performance compensation awards. It details the rights of holders, performance criteria, and the Committee's discretion in awarding and certifying performance-based compensation.


document_description: The document outlines the terms and conditions of the 2015 Omnibus Incentive Plan, including performance compensation awards, effects of certain corporate events on the plan, non-transferability of awards, and provisions for amendment and termination of the plan.


document_description: The document outlines the details of the Employment Stock Purchase Plan, including authorized shares, plan administration, eligibility, offering periods, contributions, and exercise of purchase rights. It specifies the number of shares available, the administration process, eligibility criteria, offering period schedules, contribution limits, and purchase rights exercise conditions.

title: Employment Stock Purchase Plan Details

document_subtype: Employment Stock Purchase Plan


document_description: The document outlines the terms and conditions of the Employment Stock Purchase Plan, including participation, adjustments to shares and purchase price, change in control provisions, amendment and termination clauses, and non-transferability of rights. It specifies the conditions under which participants can end their participation, how shares and purchase prices are adjusted, actions in the event of a change in control, and the process for amending or terminating the plan.

title: Employment Stock Purchase Plan


document_description: The document outlines the federal income tax implications for various stock-based and cash-based awards, including SARs, restricted stock, restricted stock units, and other stock-based and cash-based awards. It details the conditions under which holders will incur tax liabilities and the company's ability to deduct these amounts for tax purposes, with limitations under Sections 280G and 162(m) of the Code for certain executives.

title: S-1/A Filing - Tax Implications of Stock Awards


document_description: The document discusses Section 162(m) of the Internal Revenue Code, which limits the tax deduction for executive compensation exceeding $1 million per year for certain officers, with exceptions for performance-based compensation. It also outlines the U.S. federal income tax consequences of the Employee Stock Purchase Plan, which is intended to qualify under Section 423(b) of the Code, allowing participants to avoid taxable income upon the grant or exercise of options, provided certain conditions are met.


document_description: The document discusses the tax implications of shares issued under an Employee Stock Purchase Plan, including ordinary income realization, capital gains or losses, and tax deductions for U.S. federal income tax purposes. It also covers the conditions under which these shares are disposed of and the tax exemptions applicable to Section 423(b) tax-qualified employee stock purchase plans.


document_description: This document provides a table detailing the beneficial ownership of common stock as of August 15, 2015, for individuals and entities owning more than 5% of the stock, named executive officers, directors, and all directors and executive officers as a group. It includes information on voting and investment power, and the impact of the offering on ownership percentages.

title: Principal Stockholders

key_people:
Frank J. Bisignano
Michael K. Neborak
Ray E. Winborne
Cynthia A. Armine-Klein
Sanjiv Das
Joseph J. Plumeri
Joe W. Forehand
Henry R. Kravis
Heidi G. Miller
James E. Nevels
Scott C. Nuttall
Tagar C. Olson

key_locations: 225 Liberty Street, 29th Floor, New York, New York 10281

document_subtype: Principal Stockholders Table

key_organizations:
New Omaha Holdings L.P.
First Data Corporation


document_description: The document outlines various agreements related to stockholders and management in connection with the 2014 Equity Recapitalization and the 2007 Merger. It includes the Stockholders Agreement, Registration Rights Agreement, Management Stockholders' Agreements, and Management Agreement, detailing rights, restrictions, and obligations of the parties involved, including transfer rights, registration rights, and management advisory services.

key_people:
KKR
New Omaha

document_subtype: Stockholders Agreement, Registration Rights Agreement, Management Stockholders' Agreement, Management Agreement


document_description: The document outlines financial relationships and transactions between the Company and KKR, including management fees, underwriting and transaction fees, and consulting services. It details payments made to KKR and its affiliates from 2012 to 2015, including fees to KKR Capital Markets LLC and KKR Credit, as well as consulting fees to KKR Capstone.

title: S-1/A Table of Contents

document_subtype: financial report

key_organizations:
KKR
KKR Capital Markets LLC
KKR Credit
KKR Capstone


document_description: The document outlines the adoption of a written related person transaction policy by the board of directors, effective upon the consummation of an offering. It details the policies and procedures for the review and approval or ratification of related person transactions exceeding $120,000, where a related person has a material interest.

title: Related Persons Transaction Policy

document_subtype: Securities Filing


document_description: The document outlines the terms of senior secured credit facilities, including interest payments, commitment fees, prepayment requirements, amortization, and guarantee and security details. It specifies the conditions under which prepayments must be made, the amortization schedule, and the security interests granted to lenders.

document_type: financial

document_subtype: credit agreement


document_description: The document outlines the terms and conditions of the 5.375% Notes, including interest rate, ranking, security, prepayments, redemptions, guarantees, covenants, and events of default. The notes accrue interest at 5.375% per annum, mature on August 15, 2023, and are senior secured obligations. The document also details the conditions under which the notes can be redeemed or repurchased and the covenants restricting certain financial activities.

title: 5.375% Notes Offering

document_subtype: Notes Offering


document_description: The document provides an overview of the 6.75% Senior Secured First Lien Notes due 2020, including issuance details, interest rates, ranking, security, prepayment, redemption options, and guarantees. It outlines the issuance of $1.3 billion in Original 6.75% Notes and an additional $850 million in 6.75% Notes, with proceeds used to repay existing debt. The notes accrue interest at 6.75% per annum, maturing on November 1, 2020, and are senior secured obligations with specific ranking and security details. Redemption options and guarantees by domestic subsidiaries are also detailed.

document_subtype: Indenture and Notes Overview


document_description: The document outlines the covenants and events of default related to the 6.75% Notes, as well as details of the 8.25% and 8.75% Senior Secured Second Lien Notes issued on December 17, 2010. It includes information on interest rates, ranking, and security of these notes.

title: Indenture and Notes Overview


document_description: The document outlines the terms and conditions related to the repurchase and redemption of senior secured second lien notes, including the conditions under which these notes can be redeemed or repurchased. It also details the guarantees provided by domestic subsidiaries and the covenants and events of default associated with these notes. Additionally, it provides an overview of the issuance of 12.625% Senior Unsecured Notes due 2021 as part of a private exchange offer completed on December 17, 2010.

title: Prepayments and Redemptions


document_description: The document outlines the terms and conditions of the 12.625% Notes, including interest rates, ranking, security, prepayment and redemption options, guarantees, and covenants. Interest is payable semi-annually at a rate of 12.625% per annum. The notes are senior unsecured obligations and have specific ranking and security details. Prepayment and redemption terms are detailed, including specific redemption prices for each year from 2016 to 2020. The document also mentions the use of proceeds and guarantees by domestic subsidiaries.

title: 12.625% Notes Offering


document_description: The document outlines the terms and conditions of 11.25% Senior Unsecured Notes due 2021, including interest rates, ranking, security, prepayments, and redemption options. It also mentions the issuance and sale of $785 million aggregate principal amount of these notes and the redemption of $275 million, leaving $510 million outstanding.

document_subtype: financial document


document_description: The document outlines the redemption percentages for notes from 2016 to 2019 and beyond, the intended use of net proceeds from an offering, guarantees, covenants, and events of default related to 11.25% Notes, and details about 10.625% Senior Unsecured Notes due 2021.


document_description: The document outlines the terms and conditions of the 10.625% Notes, which are senior unsecured obligations. It details the ranking and security of the notes, prepayment and redemption options, guarantees, covenants, and events of default. The notes rank senior to subordinated indebtedness, equally with senior indebtedness, and are junior to secured indebtedness. The document also describes the conditions under which the notes can be redeemed and the covenants that restrict certain financial activities.

document_subtype: Securities Offering


document_description: This document outlines the issuance and terms of 11.75% Senior Subordinated Notes due 2021. It details the issuance dates, amounts, interest rates, ranking, security, prepayment, redemption terms, and guarantees associated with the notes.

document_subtype: Debt Offering


document_description: The document is a description of the capital stock terms for a company, including details about Class A and Class B common stock, voting rights, and dividend rights. It outlines the dual class common stock structure and the conditions under which stockholders vote. It also mentions restrictions on declaring dividends due to senior secured credit facilities and indentures governing senior notes.

document_subtype: S-1/A Registration Statement


document_description: The document outlines the rights and restrictions associated with Class A and Class B common stock in the event of mergers, liquidations, conversions, and other corporate actions. It specifies voting rights, conversion conditions, and protective provisions for Class B stockholders. The document also mentions the authorization for the Board to establish preferred stock series.


document_description: The document outlines the terms and rights associated with the issuance of preferred stock by a company, as determined by the Board. It includes details on series designation, share numbers, dividend policies, redemption rights, conversion terms, and voting rights. The document also discusses the potential impact of issuing preferred stock on Class A common stockholders, including dividend restrictions and voting power dilution. Additionally, it covers the conditions under which dividends can be declared and paid according to Delaware General Corporation Law (DGCL).


document_description: The document outlines the governance structure and stockholder rights as per the amended and restated certificate of incorporation and bylaws. It covers topics such as the absence of cumulative voting rights, the conditions under which special stockholder meetings can be called, advance notification requirements for director nominations and stockholder proposals, the ability for stockholder action by written consent, and supermajority provisions for bylaw amendments.


document_description: The document outlines the voting requirements for amending the company's bylaws and certificate of incorporation, emphasizing a 66 2/3% supermajority vote for certain provisions. It discusses the implications of these provisions on board stability, management changes, and potential hostile takeovers. Additionally, it covers dissenters' rights of appraisal under the DGCL in the event of a merger or consolidation.


document_description: The document outlines provisions related to stockholders' derivative actions, exclusive forum selection, conflicts of interest, and limitations on liability and indemnification of officers and directors as per the Delaware General Corporation Law (DGCL). It specifies that the Court of Chancery of the State of Delaware is the exclusive forum for certain legal actions and discusses the renouncement of corporate opportunities by officers, directors, or stockholders. It also addresses the limitation of personal liability for directors.


document_description: The document discusses the amended and restated certificate of incorporation and bylaws of a company, which include provisions that limit the personal liability of directors for monetary damages due to breaches of fiduciary duty, except in cases of bad faith or illegal actions. It also outlines indemnification and advancement provisions for directors and officers, and mentions the company's intention to list its Class A common stock on the NYSE under the symbol 'FDC'.


document_description: The document discusses the potential impact of future sales of Class A common stock on the market price. It outlines the number of shares available for trading post-offering, including Class A and Class B shares, and the conditions under which they can be sold. It also explains the implications of Rule 144 for selling restricted securities.


document_description: The document discusses the intention to file a registration statement on Form S-8 under the Securities Act to register shares of common stock subject to stock options under the 2007 Equity Plan and shares under the 2015 Omnibus Incentive Plan and Employee Stock Purchase Plan. The registration will allow these shares to be sold in the public market following certain conditions.


document_description: The document outlines the tax implications for non-U.S. holders of Class A common stock, including withholding tax on dividends and tax on gains from stock disposition. It details conditions under which taxes apply and how non-U.S. holders can claim treaty benefits or refunds. It also mentions the company's status regarding U.S. real property holding corporation classification.


document_description: The document discusses the implications of U.S. federal estate tax, information reporting, backup withholding, and additional withholding requirements under FATCA for non-U.S. holders of Class A common stock. It outlines the conditions under which dividends and sale proceeds are subject to reporting and withholding, and the necessary certifications to avoid such withholdings.


document_description: This document is an S-1/A filing detailing the initial public offering (IPO) price, underwriting discounts, commissions, and proceeds before expenses. It includes information on the option to purchase additional shares, restrictions on sales of similar securities, and exceptions to these restrictions. The expenses of the offering are estimated at $7 million, with an additional reimbursement to underwriters for certain expenses.


document_description: The document outlines the intention to list Class A common stock on the NYSE under the symbol 'FDC'. It details the requirements for listing, the determination of the initial public offering price, and the potential for an active trading market. It also discusses price stabilization, short positions, and penalty bids related to the offering.


document_description: This document is a notice to prospective investors in Switzerland, Dubai International Financial Centre, Hong Kong, and Japan regarding the offering of shares. It outlines the restrictions and regulations applicable in each jurisdiction, emphasizing that the shares will not be publicly offered or listed on any stock exchange in these regions. The document also clarifies that it has not been approved by any regulatory authority in these jurisdictions.


document_description: This document is a legal notice to prospective investors in Singapore and Canada regarding the sale and distribution of securities. It outlines the legal restrictions and conditions under which securities can be offered or sold in these jurisdictions, referencing specific sections of the Securities and Futures Act of Singapore and Canadian securities legislation. It also mentions the conditions under which securities can be transferred and the rights of purchasers in case of misrepresentation.


document_description: The document is an audit report by Ernst & Young LLP on the consolidated financial statements of First Data Corporation for the years ending December 31, 2014, and 2013. The report includes an opinion on the financial statements and internal control over financial reporting, stating that they present fairly in all material respects in conformity with U.S. GAAP.


document_description: The document is an audit report by Ertel & Young LLP on First Data Corporation's internal control over financial reporting as of December 31, 2014. The audit was conducted based on COSO criteria and in accordance with the standards of the Public Company Accounting Oversight Board (United States). The report concludes that First Data Corporation maintained effective internal control over financial reporting in all material respects. The audit also covered the consolidated financial statements for the years ending December 31, 2014 and 2013.


document_description: The document is an S-1/A filing containing an attestation report by Ernst & Young LLP on internal control over financial reporting. It includes key personnel such as Frank Bisignano, Michael K. Neborak, and Matthew Cagwin.


document_description: The document is a consolidated statement of operations for First Data Corporation, detailing financial performance over the years 2012, 2013, and 2014. It includes revenues from transaction and processing service fees, product sales, and other sources, as well as expenses such as cost of services, cost of products sold, and administrative expenses. The statement also covers operating profit, interest income and expenses, and net loss attributable to First Data Corporation.


document_description: The document is a consolidated balance sheet for First Data Corporation as of December 31, 2014 and 2013. It details the company's assets, liabilities, and equity, showing a total asset value of $34,200 million in 2014 and $35,178 million in 2013. The document also includes information on current and long-term liabilities, stockholder's deficit, and noncontrolling interests.


document_description: The document provides the consolidated statements of cash flows for First Data Corporation for the years ended December 31, 2014, 2013, and 2012. It details cash flows from operating, investing, and financing activities, as well as changes in cash and cash equivalents. Key figures include net cash provided by operating activities, net cash used in investing activities, and net cash used in financing activities. Supplemental cash flow information and non-cash transactions are also included.


document_description: The document is a financial statement detailing the consolidated statements of equity for First Data Corporation, including common shares, accumulated loss, accumulated other comprehensive income (loss), paid-in capital, noncontrolling interests, and total equity for the years ending December 31, 2011, 2012, 2013, and 2014. It includes details on distributions, dividends, net income, comprehensive income, stock compensation, capital contributions, and purchases of noncontrolling interest.


document_description: The document provides notes to the consolidated financial statements of First Data Corporation, detailing significant accounting policies, business description, consolidation practices, use of estimates, and presentation of financial data. It includes a correction of error related to debt refinancings and provides a table of amortization amounts for initial payments and equity method investments.


document_description: The document outlines First Data Corporation's revenue recognition policies, detailing how revenues are comprised and recognized. It includes transaction-based fees, fees per transaction, and fees per account. The document also discusses revenue from client contracts, check verification, and the sale and leasing of POS devices. A table provides interchange and debit network fees for 2011, 2012, and 2013.


document_description: The document provides notes to the consolidated financial statements of First Data Corporation, covering topics such as stock-based compensation, foreign currency translation, and derivative financial instruments. It details the company's accounting practices for transaction-based fees, stock options, foreign currency translation, and the use of derivatives for risk management.


document_description: The document provides notes to the consolidated financial statements of First Data Corporation, covering topics such as tax benefits, cash and cash equivalents, accounts receivable, leasing receivables, property and equipment, and goodwill. It includes a table of depreciation and amortization expenses for property and equipment over three years.


document_description: The document provides notes to the consolidated financial statements of First Data Corporation, focusing on goodwill impairment testing and changes, customer relationships, and software development costs. It includes a table showing changes in goodwill for different business segments from 2013 to 2014.


document_description: The document provides details on the estimated future aggregate amortization expense for First Data Corporation over the next five years, fair value measurement of assets and liabilities, net loss per share, and new accounting guidance issued by FASB in May 2014. It includes a table of amortization expenses from 2015 to 2019 and discusses the hierarchy of inputs for fair value measurements.


document_description: The document provides notes to the consolidated financial statements of First Data Corporation, including enhanced disclosures about revenue and guidance for transactions. It discusses the impact of new guidance effective for public companies from December 15, 2017, and restructuring charges recorded in 2014, 2013, and 2012 related to business alignment, executive departures, and relocation efforts. A tabular summary of net pretax benefits (charges) by segment for each year is included.


document_description: The document provides notes to the consolidated financial statements of First Data Corporation, including details of the acquisition of Clover Network, Inc. for $54 million and the associated contingent payments. It also discusses settlement assets and obligations resulting from the company's processing services, with a detailed table of settlement assets and obligations as of December 31, 2014, and 2013.


document_description: The document provides details on the fair value measurement of First Data Corporation's derivative financial instruments, which are not exchange-listed and are valued using Bloomberg analytics models based on market inputs. It includes a table showing the effect of derivative instruments on the consolidated statements of operations for the years 2012, 2013, and 2014, detailing gains and losses from interest rate and foreign exchange contracts.


document_description: The document provides a summary of activity in other comprehensive income related to derivative instruments classified as cash flow hedges and a net investment hedge held by First Data Corporation for the years ended December 31, 2014, 2013, and 2012. It includes details on accumulated losses and gains, reclassifications into earnings, and changes in fair value of derivatives.


document_description: The document provides details on First Data Corporation's financial arrangements as of December 31, 2014. It includes information on foreign lines of credit, senior secured revolving credit facility, and senior secured term loan facility. The company had significant credit arrangements with foreign banks and alliance partners, with a total of $349 million available under short-term lines of credit. The senior secured revolving credit facility had commitments of approximately $1 billion, with $964 million remaining available. The senior secured term loan facility had no scheduled principal payments during 2014 or 2013 due to prepayments from debt modifications.


document_description: The document details amendments and new issuances of senior secured term loan facilities by First Data Corporation. It includes information on the extension and repayment of existing loans, issuance of new loans, interest rates, and debt extinguishment and modification transactions.


document_description: The document provides details on First Data Corporation's financial transactions, including debt extinguishment and modifications, senior secured term loan facilities, and senior secured first lien notes. It discusses the terms, interest rates, and redemption options for various loans and notes, including the 7.375%, 8.875%, and 6.75% senior secured notes.


document_description: The document provides details on various senior secured and unsecured notes issued by First Data Corporation, including interest rates, maturity dates, and redemption terms. It covers 8.25% and 8.75% senior secured second lien notes, 12.625% senior unsecured notes, 10.625% senior unsecured notes due 2021, and 11.25% senior unsecured notes due 2021. The document also mentions the exchange and redemption of certain notes.


document_description: The document provides details on First Data Corporation's financial activities related to its senior unsecured subordinated notes. It includes information on interest payments, redemption terms, and transactions involving the 11.25% and 11.75% senior notes. Key transactions include the issuance of $725 million in 11.75% notes in 2014, the redemption of 11.25% notes due 2016, and the exchange of 11.75% notes for publicly tradable notes. Additionally, it mentions the payoff of 4.85% notes due in 2014.


document_description: The document provides details on First Data Corporation's financial activities, including a $3.5 billion equity issuance by its parent company, debt repurchase, and the revision of previously issued financial statements due to immaterial errors. It includes detailed tables of consolidated balance sheets and statements of operations for the years 2012 to 2014, showing adjustments made to previously reported figures.


document_description: The document contains financial information from First Data Corporation, including consolidated statements of cash flow, future maturities of long-term debt, deferred financing costs, and details on guarantees and covenants related to senior secured facilities. It provides adjusted and previously reported figures for net cash from operating and financing activities for the years 2012 to 2013, and outlines the maturities of long-term debt from 2015 onwards. Deferred financing costs and their amortization are discussed, along with covenants and guarantees associated with the company's credit facilities.


document_description: The document details the senior secured and unsecured notes of First Data Corporation (FDC) and their guarantees by FDC's subsidiaries. It explains the ranking and subordination of these notes in terms of payment priority and security. The document also mentions the fair value measurement of the company's long-term borrowings as of December 31, 2014, and 2013, which were $22.1 billion and $24.0 billion, respectively.


document_description: The document provides supplemental financial information for First Data Corporation, detailing components of 'Other income (expense)' and balance sheet information for the years ended December 31, 2014, 2013, and 2012. It includes tables on investment gains and losses, derivative financial instruments, divestitures, foreign currency gains and losses, and other income. Additionally, it provides balance sheet details on current assets, property and equipment, and current liabilities. The document also discusses related party transactions, specifically merchant alliances within the Global Business Solutions segment.


document_description: The document provides detailed notes on the consolidated financial statements of First Data Corporation, focusing on intercompany transactions, management agreements, and relationships with KKR and its affiliates. It discusses the equity method of accounting for alliances, management fees paid to KKR, and various financial transactions involving KKR Capital Markets, KKR Credit, and KKR Capstone.


document_description: The document provides details on First Data Corporation's commitments and contingencies, including operating leases, letters of credit, and legal proceedings as of December 31, 2014. It includes tables showing rent expenses for operating leases from 2012 to 2014 and future rental commitments up to 2019. The company has $43 million in outstanding letters of credit and is involved in various legal proceedings.


document_description: The document discusses various claims against First Data Corporation, including patent infringement, merchant customer matters, and other issues, with a total estimated range of possible losses between $0 to $95 million. It also covers contingent consideration from acquisitions, with a $29 million liability recorded for contingent payments based on certain milestones. A table provides a roll forward of contingent consideration measured at Level 3.


document_description: The document provides notes on First Data Corporation's stockholder's equity and redeemable noncontrolling interest, including details on dividends and other comprehensive income. It outlines restrictions on the company's ability to pay dividends due to various credit facilities and notes. The document also includes a table showing the income tax effects and cumulative balance of each component of other comprehensive income (OCI) for the years 2012 to 2014.


document_description: The document provides a summary of the redeemable noncontrolling interest activity for First Data Corporation in 2014 and 2013, including distributions, share of income, and adjustments to redemption value. It also details the stock compensation plans of the company's parent, FDH, including stock incentive plans, management stockholders' agreements, and conditions for stock-based compensation expense recognition.


document_description: The document provides details on stock-based compensation expenses recognized by First Data Corporation in their consolidated financial statements for the years 2012, 2013, and 2014. It includes information on stock options, non-vested restricted stock awards, and non-vested restricted stock units, as well as a deferred compensation plan for non-employee directors. The document also outlines the fair value assumptions used for stock options granted during these years.


document_description: The document provides notes on First Data Corporation's consolidated financial statements, focusing on stock options, restricted stock awards, and units for the year ended December 31, 2014. It includes details on risk-free interest rates, expected dividend yield, expected volatility, expected term, and fair value of stock. The document also summarizes stock option activity, intrinsic value, and compensation expenses related to restricted stock.


document_description: The document provides a summary of First Data Corporation's restricted stock award and restricted stock unit activity for the year ended December 31, 2014. It includes details on non-vested awards/units, granted, vested, and cancelled/forfeited units, along with their weighted-average grant-date fair values. Additionally, it covers employee benefit plans, including defined contribution and defined benefit plans, with financial data for the years 2012 to 2014.


document_description: The document provides a reconciliation of changes in projected benefit obligations and fair value of assets for First Data Corporation's pension plans for the years ended December 31, 2014, and 2013. It includes details on the funded status of the plans, changes in benefit obligations, plan assets, and net pension assets and liabilities for U.K., U.S., and other foreign plans.


document_description: The document outlines First Data Corporation's approach to determining the long-term rate of return for plan assets, emphasizing diversification and re-balancing. It details the investment strategy for the company's pension plans, including the target allocation for U.S. and U.K. plans. The U.S. plan targets a 40% equity and 60% debt securities allocation, while the U.K. plan targets 40% off-risk and 60% on-risk assets. The document also discusses risk management and investment monitoring processes.


document_description: The document provides notes to the consolidated financial statements of First Data Corporation, focusing on fair value measurements using significant unobservable inputs (Level 3). It includes details on insurance annuity contracts, registered investment companies, fixed income securities, and private investment funds. The document also outlines expected contributions to the plans in 2015 and estimated future benefit payments from 2015 to 2024.


document_description: The document provides segment information for First Data Corporation, detailing the company's organization into three segments: Global Business Solutions, Global Financial Solutions, and Network & Security Solutions. It discusses revisions to the 2014, 2013, and 2012 consolidated statements of operations, reclassifying certain expenses. The document outlines how segment revenue and EBITDA are calculated, including adjustments for stock-based compensation, debt issuance costs, and other specific items.


document_description: The document contains financial data for First Data Corporation, detailing revenue, expenses, and segment results for the years ended December 31, 2014, 2013, and 2012. It includes tables showing revenues from transaction and processing service fees, product sales, and equity earnings in affiliates across different segments such as Global Business Solutions, Global Financial Solutions, and Network & Security Solutions.


document_description: The document contains financial data for First Data Corporation, detailing revenues, expenses, and EBITDA for various segments for the year ended December 31, 2012. It also includes a reconciliation of reportable segment amounts to the company's consolidated balances for the years 2012 to 2014.


document_description: The document provides unaudited summarized quarterly financial results for First Data Corporation for the years 2014 and 2013. It includes data on revenues, expenses, operating profit, net income, and net income per share for each quarter of the respective years.


document_description: The document contains financial data related to First Data Corporation's income taxes for the years 2012, 2013, and 2014. It includes tables detailing components of pretax income, provision for income taxes, and effective tax rates. The document also explains differences between the company's effective tax rates and statutory rates, highlighting factors such as state income taxes, nontaxable income, foreign operations, and valuation allowances.


document_description: The document provides details on First Data Corporation's income tax provisions for the years 2012, 2013, and 2014. It includes a table showing the breakdown of current and deferred tax provisions by federal, state and local, and foreign components. The document also discusses income tax payments net of refunds for each year, highlighting differences between payments and current expenses due to various factors such as expected payments and refunds.


document_description: The document provides details on First Data Corporation's deferred tax assets and liabilities as of December 31, 2014, and 2013. It includes a table outlining the principal components of deferred tax items, such as reserves, pension obligations, employee-related liabilities, and net operating losses. The document also discusses valuation allowances recorded against deferred tax assets and the changes in these allowances due to various factors, including federal, state, and foreign net operating losses.


document_description: The document provides details on First Data Corporation's tax planning strategy related to investments in affiliates, focusing on the reversal of temporary differences in book and tax basis. It includes a table of federal, state, and foreign net operating loss carryforwards, foreign tax credits, general business credits, and minimum tax credit carryforwards as of December 31, 2014. The document also discusses the company's intention to indefinitely invest its net equity in foreign operations, excluding undistributed foreign earnings, and the potential tax implications of selling or liquidating these investments.


document_description: The document provides a reconciliation of unrecognized tax benefits for First Data Corporation for the years ended December 31, 2012, 2013, and 2014. It details the changes in unrecognized tax benefits due to various factors such as tax positions of prior years, current period tax positions, cash settlements, and statute of limitations lapses. The document also discusses the impact of these unrecognized tax benefits on the company's financial statements, including their inclusion in long-term liabilities and deferred tax liabilities.


document_description: The document contains financial notes related to First Data Corporation, including tax indemnification issues with Western Union, investment in affiliates, and financial summaries of merchant alliances. It discusses disputed tax issues with the IRS and provides financial data for affiliates accounted for under the equity method.


document_description: The document provides financial data and notes for First Data Corporation, including net operating revenues, operating expenses, and net income for the years 2012 to 2014. It discusses the formation of merchant alliances and the amortization of intangible assets. It also details the company's senior notes and guarantees by its subsidiaries.


document_description: The document discusses the guarantees related to First Data Corporation's (FDC) senior subordinated notes and the conditions under which guarantor subsidiaries can be released from their obligations. It also addresses corrections made to previous financial statements regarding cost allocations and intercompany notes, and amendments to senior secured loan facilities.


document_description: The document contains financial tables summarizing adjustments to the consolidated financial statements of First Data Corporation for the years ended December 31, 2013, and December 31, 2012. It includes data on revenues, income before taxes, income tax expenses, net income, comprehensive income, assets, liabilities, and equity for the FDC Parent Company, Guarantor Subsidiaries, Non-Guarantor Subsidiaries, and Consolidation Adjustments.


document_description: The document contains financial data for First Data Corporation, including net cash provided by or used in operating, investing, and financing activities for the years ended December 31, 2013, and December 31, 2012. The data is categorized by FDC Parent Company, Guarantor Subsidiaries, Non-Guarantor Subsidiaries, and Consolidation Adjustments, with figures reported as previously and as adjusted.


document_description: The document is a financial statement for First Data Corporation, detailing revenues, expenses, and net income for the year ended December 31, 2013. It includes data for the parent company, guarantor subsidiaries, non-guarantor subsidiaries, and consolidated figures, with adjustments for consolidation. Key financial metrics such as transaction and processing service fees, product sales, cost of services, and net income are provided.


document_description: The document contains the consolidated financial statements of First Data Corporation as of December 31, 2014. It includes detailed information on assets, liabilities, and equity for the parent company, guarantor subsidiaries, non-guarantor subsidiaries, and consolidation adjustments.


document_description: The document contains the consolidated financial statements of First Data Corporation as of December 31, 2013. It includes detailed information on assets, liabilities, and equity for the FDC Parent Company, Guarantor Subsidiaries, Non-Guarantor Subsidiaries, and Consolidated Adjustments. The table provides a breakdown of current assets, property and equipment, goodwill, customer relationships, and other financial metrics.


document_description: This document is an S-1/A filing submitted to the SEC, as indicated by the URL provided. It is marked as confidential pursuant to Federal Rule of Criminal Procedure 6(e). The document includes reference numbers DB-SDNY-0082335, SDNY_GM_00228519, and EFTA01382832.


document_description: The document contains the consolidated financial statements of First Data Corporation for the year ended December 31, 2014. It includes cash flows from operating, investing, and financing activities, along with changes in cash and cash equivalents. The financial data is presented for the FDC Parent Company, Guarantor Subsidiaries, Non-Guarantor Subsidiaries, and includes consolidation adjustments.


document_description: This document is a legal filing with the SEC, specifically an S-1/A form, which is an amendment to a registration statement. It is marked as confidential pursuant to Federal Rule of Criminal Procedure 6(e).


document_description: The document contains the consolidated financial statements of First Data Corporation for the year ended December 31, 2013, as adjusted. It includes detailed cash flow information from operating, investing, and financing activities, along with consolidation adjustments. The document provides a breakdown of financial data for the parent company, guarantor subsidiaries, and non-guarantor subsidiaries.


document_description: The document is a financial statement for First Data Corporation, detailing cash flows from operating, investing, and financing activities for the year ended December 31, 2012. It includes data for the parent company, guarantor subsidiaries, non-guarantor subsidiaries, and consolidated figures.


document_description: The document is an S-1/A filing that includes financial data such as cash and cash equivalents at the end of the period, totaling $608. It is marked as confidential pursuant to Federal Rule of Criminal Procedure 6(e).


document_description: The document details subsequent events affecting First Data Corporation's financial statements, including realignment of operating segments, termination and replacement of a credit facility, acquisition of Transaction Wireless, Inc., amendments to credit facilities, filing for an IPO, and issuance of senior secured notes.


document_description: The document provides a table detailing the valuation and qualifying accounts for First Data Corporation over the years 2012 to 2014. It includes data on balances at the beginning and end of each period, charges to costs and expenses, reclassifications from other accounts, and deductions. The table is presented in millions of dollars.


document_description: The document contains the unaudited consolidated statements of operations for First Data Corporation for the three and six months ended June 30, 2015 and 2014. It includes detailed financial data such as revenues, expenses, operating profit, interest income and expense, and net income (loss).


document_description: The document provides the unaudited consolidated statements of comprehensive income (loss) for First Data Corporation for the three and six months ended June 30, 2015 and 2014. It includes details on net income (loss), other comprehensive income (loss) components such as unrealized gains/losses on securities, foreign currency translation adjustments, and pension liability adjustments. The document also highlights comprehensive income attributable to noncontrolling interests and First Data Corporation.


document_description: The document is an unaudited consolidated balance sheet for First Data Corporation as of June 30, 2015, and December 31, 2014. It details the company's assets, liabilities, and equity, showing total assets of $34,497 million and $34,200 million for the respective dates. The document also includes information on current and long-term liabilities, shareholder's deficit, and noncontrolling interests.


document_description: The document provides a summary of net pretax benefits and charges incurred by segment for First Data Corporation. It includes detailed tables of restructuring charges and accrual reversals for different periods in 2014 and 2015. Additionally, it outlines the company's utilization of restructuring accruals and a strategic expense management initiative announced on May 4, 2015. The document also notes the acquisition of Transaction Wireless, Inc. on June 9, 2015, for approximately $62 million in cash and $3 million in equity.


document_description: The document provides unaudited financial notes for First Data Corporation, detailing foreign lines of credit, senior secured revolving credit facility, fair value measurement, and segment information as of June 30, 2015. It includes information on credit arrangements, outstanding amounts, and realignment of operating segments.


document_description: The document contains financial tables presenting First Data Corporation's operating segment results for the three and six months ended June 30, 2015, and June 30, 2014. It includes revenues, depreciation, amortization, and EBITDA for Global Business Solutions, Global Financial Solutions, Network & Security Solutions, and Corporate segments.


document_description: The document contains unaudited financial notes for First Data Corporation, including adjustments for alliance revenue, equity method investments, and the wind down of certain businesses. It provides a reconciliation of segment depreciation and amortization to consolidated balances, and details on redeemable noncontrolling interest activity.


document_description: The document contains notes to the unaudited consolidated financial statements of First Data Corporation, focusing on commitments and contingencies. It discusses various legal proceedings involving the company, potential liabilities, and contingent considerations related to acquisitions. The document also covers stock compensation plans for employees.


document_description: The document provides notes to the unaudited consolidated financial statements of First Data Corporation, focusing on stock compensation expenses and derivative financial instruments. It details the recognition of stock compensation expenses, the granting of restricted stock awards, and the use of derivative instruments like interest rate swaps and foreign exchange contracts.


document_description: The document provides details on the derivative instruments held by First Data Corporation as of June 30, 2015, and December 31, 2014. It includes a table of notional values, assets, and liabilities for derivatives designated as hedges of net investments in foreign operations and those not designated as hedging instruments. The document also discusses the fair value measurement of these derivatives, which are classified within Level 2 of the fair value hierarchy.


document_description: The document provides unaudited financial data related to the effect of derivative instruments on First Data Corporation's consolidated statements of operations. It includes tables showing derivative gains and losses for interest rate and foreign exchange contracts for the three and six months ended June 30, 2015 and 2014. Additionally, it summarizes activity in other comprehensive income related to derivative instruments classified as cash flow hedges and a net investment hedge.


document_description: The document contains financial notes from First Data Corporation's unaudited consolidated financial statements, focusing on income taxes, investment in affiliates, and supplemental guarantor condensed consolidating financial statements. It includes detailed financial data for the periods ending June 30, 2015, and 2014, highlighting income tax expenses, effective tax rates, liabilities for unrecognized tax benefits, and investment in affiliates' financial performance.


document_description: The document is an unaudited financial statement for First Data Corporation, detailing revenues, expenses, and net income for the six months ending June 30, 2015. It includes data for the parent company, guarantor subsidiaries, and non-guarantor subsidiaries, along with consolidation adjustments.


document_description: The document contains unaudited consolidated financial statements for First Data Corporation for the six months ended June 30, 2014. It includes detailed financial data such as revenues, expenses, operating profit, interest income and expenses, and net income. The financial data is broken down by FDC Parent Company, Guarantor Subsidiaries, Non-Guarantor Subsidiaries, and Consolidation Adjustments.


document_description: The document is a consolidated balance sheet for First Data Corporation as of June 30, 2015. It includes financial data for the parent company, guarantor subsidiaries, non-guarantor subsidiaries, and consolidation adjustments. The balance sheet details assets, liabilities, and equity, with specific figures for cash, accounts receivable, goodwill, and other financial metrics.


document_description: The document discusses the majority of the Guarantor settlement assets related to the Company's merchant acquiring business. It states that these assets are not available to satisfy any claims other than those related to the settlement liabilities.


document_description: The document is an unaudited financial statement for First Data Corporation as of December 31, 2014. It includes a detailed table of assets, liabilities, and equity for the parent company, guarantor subsidiaries, non-guarantor subsidiaries, and consolidated adjustments. Key figures include total assets of $34,200 million and total liabilities and equity of $34,200 million.


document_description: This document is an S-1/A filing, which is an amendment to the initial registration statement filed with the SEC. It is marked as confidential pursuant to Federal Rule of Criminal Procedure 6(e).


document_description: The document provides an unaudited financial statement for First Data Corporation for the six months ended June 30, 2014. It includes detailed cash flow information from operating, investing, and financing activities, along with changes in cash and cash equivalents.


document_description: This document is an S-1/A filing with the SEC, indicating an amendment to a previously filed S-1 registration statement. It is marked as confidential pursuant to Federal Rule of Criminal Procedure 6(e).


document_description: The document details subsequent financial events for First Data Corporation, including amendments to credit facilities, issuance of senior secured notes, and stock grants related to an IPO.


document_description: This document contains the financial statements for Wells Fargo Merchant Services, a joint venture, for the years ending December 31, 2014, and 2013. It includes an independent auditors' report.


document_description: The document is an Independent Auditors' Report by KPMG LLP for Wells Fargo Merchant Services, LLC. It includes the audit of financial statements for the years ended December 31, 2014, and 2013. The report outlines the responsibilities of management and auditors, the audit process, and the basis for the audit opinion.


document_description: KPMG provided an audit opinion stating that the financial statements of Wells Fargo Merchant Services, LLC, as of December 31, 2014 and 2013, present fairly in all material respects the financial position and results of operations in accordance with U.S. GAAP.

title: KPMG Audit Opinion for Wells Fargo Merchant Services

document_subtype: Audit Opinion


document_description: The document is a balance sheet for Wells Fargo Merchant Services, LW, a joint venture, for the years ending December 31, 2014, and 2013. It details the assets, liabilities, and members' equity of the company, with total assets amounting to $1,426,873,000 in 2014 and $1,209,314,000 in 2013. The liabilities include settlement liabilities, accounts payable, and advances payable to Wells Fargo Bank, N.A., among others.


document_description: The document contains financial statements for Wells Fargo Merchant Services, a joint venture, for the years ending December 31, 2014, and 2013. It discusses merchant collateral and reserve for merchant credit and fee losses, intangibles, accounts payable and accrued expenses, and income taxes. The document outlines the company's policies on these financial aspects, including the handling of disputed charges, capitalization of contract-related costs, and tax position accounting.

title: Wells Fargo Merchant Services Financial Statements

document_subtype: Financial Statements


document_description: The document contains financial statements for Wells Fargo Merchant Services for the years ended December 31, 2014 and 2013. It includes information on tax provisions, members' equity, revenue recognition, and comprehensive income. The document details the company's revenue recognition policies for card services and debit revenues, as well as other fees.

key_organizations:
Wells Fargo Merchant Services
FDMS


document_description: The document contains financial statements for Wells Fargo Merchant Services for the years ended December 31, 2014 and 2013, focusing on intangible assets and related party transactions.

document_subtype: financial statement

key_organizations: First Data Merchant Services Corporation


document_description: Financial statements for Wells Fargo Merchant Services, a joint venture, for the years ending December 31, 2014 and 2013. The document includes details on costs, advances payable, income distribution, company termination conditions, member liability, and fair value of financial instruments.


document_description: The document contains financial statements for Wells Fargo Merchant Services for the years ended December 31, 2014, and 2013. It discusses guarantees and reserves for merchant credit losses, detailing the company's liability under card company rules and the provision for estimated obligations. The document also includes a table showing the activity related to the reserve for merchant credit losses for the years 2014 and 2013.


document_description: This document outlines the estimated expenses payable by the Registrant in connection with the issuance and distribution of Class A common stock, excluding underwriting discounts and commissions. It includes a breakdown of various fees and expenses such as SEC registration, FINRA filing, NYSE listing, printing, legal, and miscellaneous expenses, totaling $6,500,000. It also discusses indemnification provisions for directors and officers under Delaware law.

title: Expenses of Issuance and Distribution

key_organizations:
Securities and Exchange Commission
Financial Industry Regulatory Authority
NYSE


document_description: The document details various securities offerings and transactions by a company, including the issuance of senior unsecured subordinated notes and senior secured first lien notes. It includes information on the initial purchasers and the use of proceeds from these offerings.

key_organizations:
Merrill Lynch
Citigroup Global Markets Inc.
Deutsche Bank Securities Inc.
Barclays Capital Inc.
Credit Suisse Securities (USA) LLC
Goldman Sachs & Co.
HSBC Securities (USA) Inc.
Wells Fargo Securities, LLC
KKR Capital Markets LLC
Morgan Stanley & Co. LLC
Mizuho Securities USA Inc.
PNC Capital Markets LLC
SunTrust Robinson Humphrey, Inc.
Drexel Hamilton, LLC


document_description: The document is a registration statement filed under the Securities Act of 1933. It discusses indemnification against liabilities and the conditions under which the Registrant will submit to court jurisdiction regarding public policy issues. It also outlines the Registrant's undertakings related to liability determination under the Securities Act.

document_subtype: Securities Registration Statement


document_description: This document is a table of contents from an S-1/A filing, listing various indentures, credit agreements, and other financial documents related to First Data Corporation. It includes details such as exhibit numbers, filing dates, and associated forms.

title: Table of Contents from S-1/A

document_subtype: SEC filing

key_organizations:
First Data Corporation
Wells Fargo Bank
Credit Suisse
Citibank
Citigroup Global Markets
Deutsche Bank Securities
Goldman Sachs Credit Partners
HSBC Securities
Lehman Brothers
Merrill Lynch


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


document_description: This document is a Salesforce record for Southern Trust Company, Inc., detailing customer information, financial profile, and risk assessment. It includes customer details, financial profile, and KYC information.

title: Southern Trust Company, Inc. - Salesforce Record

key_people:
Cynthia Rodriguez
Komal Shahani
Relational Junction
Shari Wagner
Kati Wanek-Forsythe

key_organizations:
Southern Trust Company, Inc.
Salesforce
Southern Financial Relationship
DB


document_description: This document provides a financial summary for Southern Trust Company, Inc., including account details, investment guidelines, and high-risk updates. It lists various accounts with their market values and dates opened, as well as opportunities with total assets and estimated revenue.

title: Southern Trust Company, Inc. Financial Summary

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

document_subtype: financial account summary


document_description: Cyclops Holdings LLC is offering to purchase all outstanding shares of Mobileye N.V. for USD 63.54 per share. The offer is subject to Israeli withholding tax and various conditions. Following the offer, Mobileye will be delisted from the NYSE and deregistered under the Exchange Act. A subsequent offering period will be provided, and a corporate reorganization may occur. Non-tendering shareholders may have their shares acquired through compulsory acquisition under Dutch law.

key_people:
Intel
Cyclops Holdings LLC

key_locations: Israel Netherlands

document_subtype: purchase agreement

key_organizations: Enterprise Chamber of the Amsterdam Court of Appeals


document_description: Memo regarding the tender offer for Mobileye, N.V. shares at $63.54 per share, subject to Israeli withholding tax. Instructions for completing the Israeli Tax Declaration form to avoid withholding tax are provided.

document_type: correspondence

document_subtype: memo

key_organizations:
Mobileye, N.V.
Deutsche Bank Securities Inc.
Pershing, LLC


document_description: The document contains disclaimers from Deutsche Bank regarding the provision of legal or tax advice. It includes references to an Israeli Tax Declaration Form and an Offer to Purchase, marked as confidential under federal rules.


document_description: Cyclops Holdings LLC is offering to purchase all outstanding shares of Mobileye N.V. for USD 63.54 per share. The offer is made pursuant to a purchase agreement dated 3/12/17 among Intel, Cyclops Holdings, Inc., and Mobileye. The offer includes terms related to Israeli withholding tax, delisting from NYSE, and a subsequent offer period. Non-tendering shareholders may be subject to compulsory acquisition under Dutch law.

title: Tender Offer for Mobileye N.V. Shares

key_locations:
NYSE
Amsterdam Court of Appeals

document_subtype: tender offer


document_description: This document contains a confidentiality notice and disclaimers from Deutsche Bank, indicating that the communication may contain confidential or privileged information. It includes references to attached documents, namely an Israeli Tax Declaration Form and an Offer to Purchase. The document also contains confidentiality markings pursuant to Federal Rules of Criminal Procedure.


document_description: This document is a Form ADV Part 2A brochure for iCapital Advisors, LLC, providing information about the company's qualifications and business practices. It includes details about the company's registration with the SEC and clarifies that such registration does not imply endorsement or guarantee of expertise.

title: iCapital Advisors, LLC Form ADV Part 2A

key_locations: 60 East 42nd Street, 26th Floor, New York, NY 10165, USA

document_subtype: Form ADV Part 2A

key_organizations: United States Securities and Exchange Commission


document_description: The document is a Form ADV Part 2A for iCapital Advisors, LLC, detailing investment strategies, management fees, and assets under management. It outlines the investment approach of iCapital, which involves selecting investments for various funds, and provides information on management fees and compensation. The document also lists various funds managed by iCapital and their respective values as of September 30, 2017, due to unavailable data for December 31, 2017.

title: iCapital Advisors, LLC Form ADV Part 2A

key_organizations:
iCapital Advisors, LLC
Institutional Capital Network, Inc.
Southern Financial LLC


document_description: The document outlines the management and investor servicing fees associated with iCapital Advisors, LLC, including details on payments to underlying managers and service providers. It also discusses the organizational expenses each fund will bear.

title: iCapital Advisors, LLC Form ADV Part 2A

key_organizations:
iCapital Advisors, LLC
Southern Financial LLC
Dynasty Securities, LLC


document_description: The document outlines the expenses related to the formation and operation of the Private Access Fund and Direct Investment Funds managed by iCapital Advisors, LLC. It details various costs including management fees, organizational expenses, taxes, legal and administrative fees, and other operational costs. The document also mentions the responsibilities of limited partners in bearing certain costs indirectly.

title: iCapital Advisors, LLC - Form ADV Part 2A

key_organizations:
iCapital Advisors, LLC
Southern Financial LLC


document_description: The document outlines the financial and operational details of iCapital Advisors, LLC, including expenses, performance-based fees, types of clients, and side agreements. It discusses the expenses borne by Direct Investment Funds, performance-based fees charged by iCapital, types of clients served, and the use of side letters for different investor rights.

title: iCapital Advisors, LLC Form ADV Part 2A


document_description: The document outlines the due diligence process of iCapital Advisors, LLC for assessing investment opportunities. It details the evaluation of internal rate of return, multiple on invested capital, and other financial metrics. The process includes a comprehensive review of fund terms, a detailed due diligence report, and a multi-stage selection process for hedge funds. Castle Hall Alternatives Inc. assists in the due diligence process. A unanimous vote from iCapital's Investment Committee is required for any investment opportunity to be marketed.

key_organizations:
iCapital Advisors, LLC
Castle Hall Alternatives Inc.


document_description: The document is a Form ADV Part 2A for iCapital Advisors, LLC, discussing the risks and conflicts of interest associated with investing in Private Access Funds. It highlights potential issues such as lack of diversification, higher fees, illiquidity, and the possibility of losing the entire investment. The document also outlines the relationship between Private Access Funds and Underlying Funds, including the lack of control iCapital has over the management of Underlying Funds and the potential for misconduct by fund managers.


document_description: The document is a Form ADV Part 2A for iCapital Advisors, LLC, discussing capital contributions, default actions, series limited partnerships, and reliance on sub-advisers. It outlines the procedures for handling defaulted capital contributions, the legal structure and liabilities of series limited partnerships, and the importance of sub-advisers in managing funds.


document_description: The document discusses the risks associated with investments in securities, including general economic and market conditions, issuer risk, equity securities risks, and investments in non-U.S. issuers. It highlights factors such as market volatility, liquidity issues, and specific risks related to foreign investments.


document_description: The document discusses investment strategies and risks associated with investing in non-U.S. securities, including ADRs, EDRs, and GDRs. It highlights the risks of investing in emerging markets and the impact of foreign currency fluctuations on investments.


document_description: The document discusses various risks associated with investing in certain types of securities, including small or medium-sized companies, illiquid investments, convertible securities, and participation certificates. It highlights the potential for greater risk and price volatility, liquidity issues, and counterparty risk.


document_description: The document discusses various financial risks associated with investments, including default risk, interest rate risk, and risks related to swaps. It highlights the potential for greater price volatility and liquidity issues with lower-rated bonds, the sensitivity of debt instruments to interest rate changes, and the risks of extension and prepayment. The document also covers the use of swaps and the associated counterparty risks.


document_description: The document is a Form ADV Part 2A for iCapital Advisors, LLC, detailing investment strategies, risks, and affiliations. It discusses the risks associated with investing in Real Estate Investment Trusts (REITs) and cybersecurity risks for private equity funds. It also provides information on disciplinary history, financial industry activities, and affiliations, including iCapital Securities, LLC and Gen II Fund Services, LLC.

title: iCapital Advisors, LLC Form ADV Part 2A

key_organizations:
iCapital Advisors, LLC
iCapital Securities, LLC
Institutional Capital Network, Inc.
Gen II Fund Services, LLC
Gen II Hedge Fund Services


document_description: The document outlines the relationships and potential conflicts of interest involving iCapital Advisors, LLC, its parent company Institutional Capital Network, Inc., and various financial institutions such as BNY Capital Corporation, BlackRock, Credit Suisse, Morgan Stanley, and UBS. It also discusses iCapital's Code of Ethics in compliance with Rule 204A-1 of the Advisers Act, focusing on avoiding conflicts of interest and prohibiting insider trading.

title: iCapital Advisors, LLC Form ADV Part 2A

key_organizations:
iCapital Advisors, LLC
Institutional Capital Network, Inc.
BNY Capital Corporation
BlackRock, Inc.
Credit Suisse Group AG
Morgan Stanley Smith Barney
UBS Financial Services


document_description: The document outlines the Code of Ethics for iCapital Advisors, LLC, detailing employee investment restrictions, conflicts of interest, and compensation structures. Employees must obtain authorization for personal investments and are discouraged from frequent trading. iCapital may waive fees for employees and affiliates. The document also discusses potential conflicts of interest due to compensation from fund placements.

title: iCapital Advisors, LLC Form ADV Part 2A

key_organizations:
iCapital Advisors, LLC
Southern Financial LLC
iCapital Securities, LLC


document_description: The document outlines potential conflicts of interest, fee structures, valuation processes, educational programs, and privacy policies related to iCapital Advisors, LLC. It discusses the involvement of management persons in soliciting investment advisers, the fee structure for brokerage limited partners, valuation conflicts, educational programs for financial advisers, and the privacy policy for investors' personal information.

title: iCapital Advisors, LLC Form ADV Part 2A

key_organizations:
iCapital Advisors, LLC
iCapital Securities


document_description: The document outlines the brokerage practices, account review processes, and client referral and compensation policies of iCapital Advisors, LLC. It details the firm's approach to brokerage practices, including the selection of brokers and the use of 'soft dollar' credits. The document also describes the review process for fund performance and investor account statements, as well as the role of iCapital Securities, LLC in client referrals and compensation.

key_organizations:
iCapital Advisors, LLC
iCapital Securities, LLC
Southern Financial LLC


document_description: The document outlines iCapital Advisors, LLC's financial arrangements and agreements related to investor funds, including collaboration with Fidelity Brokerage Services LLC and National Financial Services LLC. It discusses management fees, custody of client funds, and investment discretion policies.

key_organizations:
iCapital Advisors, LLC
iCapital Securities
Fidelity Brokerage Services LLC
National Financial Services LLC
Institutional Capital Network, Inc.


document_description: The document outlines iCapital Advisors, LLC's policies on voting client securities and provides financial information about the firm. It specifies that iCapital does not anticipate owning equity securities with voting rights in Private Access Funds and delegates proxy voting for Direct Investment Funds to a Sub-Adviser. It also mentions the establishment of a Proxy Voting Policy for certain investments. The document confirms that iCapital has no financial commitments impairing its contractual and fiduciary obligations and has not undergone bankruptcy.


document_description: This document is a Brochure Supplement for iCapital Advisors, LLC, providing information about Eileen Duff Blalock, Phil Pool, John Robertshaw, Daniel Vene, and Nicholas Veronis. It supplements the iCapital Advisors, LLC's Form ADV Brochure.

title: FORM ADV PART 2B: Brochure Supplement

key_people:
Eileen Duff Blalock
Phil Pool
John Robertshaw
Daniel Vene
Nicholas Veronis
Michael Stanton

key_locations: 60 East 42nd Street, 26th Floor, New York, NY 10165

document_subtype: Brochure Supplement


document_description: This document provides information about Eileen Duff Blalock's educational background, business experience, and other professional details as part of iCapital Advisors, LLC. It includes her role, responsibilities, and supervisory details.

title: Form ADV Part 2B for Eileen Duff Blalock

key_people:
Eileen Duff Blalock
Michael Stanton

document_subtype: Form ADV Part 2B

key_organizations:
iCapital Advisors LLC
iCapital Network
Credit Suisse
Donaldson, Lufkin & Jenrette
iCapital Securities LLC


document_description: This document provides the educational background, business experience, and other professional details of Phil Pool, a member of iCapital Advisor's investment committee. It includes his roles, past experiences, and supervisory details.

title: Form ADV Part 2B for Phil Pool

key_people:
Phil Pool
Michael Stanton

key_locations:
London
New York
Chicago

key_organizations: Donaldson, Lufkin & Jenrette Securities Corporation