document_description: This document outlines various classes of financial notes, including Class A-1, Class A-2, Class B, Class C, and Class D Notes. It details the interest amounts, interest rates, and principal amounts for each class, as well as the calculation methods for interest amounts on payment dates.

document_subtype: financial notes


source: doj

document_description: This document outlines the terms and definitions related to a financial agreement involving Class D Floating Rate Deferrable Subordinate Notes, with a principal amount of $15,500,000, due in 2020. It includes definitions for various entities and agreements involved, such as the Clearing Agency, Clearstream, Co-Issuer, Collateral Administration Agreement, and others. The document specifies roles and responsibilities of entities like the Collateral Administrator and Collateral Manager, and details financial terms such as Collateral Interest Amount and Collateral Principal Amount.

document_type: legal

key_locations:
Grand Duchy of Luxembourg
State of Delaware

document_subtype: financial agreement

key_organizations:
Clear Lake CLO, Corp.
Wells Fargo Bank, National Association
Clearstream Banking


document_description: This document contains definitions and terms related to financial instruments and obligations, including the roles of the United States Securities and Exchange Commission, classifications of notes, and criteria for credit obligations. It outlines the conditions under which certain financial obligations are considered improved or at risk, based on ratings and market conditions.


document_description: The document outlines the criteria for classifying obligations as Current Pay Obligations, Deep Discount Collateral Obligations, and Defaulted Obligations. It specifies the conditions under which obligations can be treated as Current Pay Obligations based on Moody's ratings and market value. It also defines Deep Discount Collateral Obligations and the conditions under which they can be reclassified. Defaulted Obligations are defined based on payment defaults and other conditions.

document_subtype: contract


document_description: The document outlines various conditions under which loans or bonds may be considered defaulted or in distress. It includes criteria for different types of financial obligations such as participation interests, structured finance obligations, and synthetic securities. It also defines terms like 'Deferred Interest', 'Deferring PIK Obligation', 'Determination Date', and 'DIP Loan'.


document_description: This document outlines definitions and criteria related to collateral obligations, eligible countries, indices, and investments. It specifies the jurisdictions for collateral obligations, defines the Depository Trust Company, and lists eligible countries based on Moody's ratings. It also details eligible indices for loans and bonds, and specifies criteria for eligible investments, including credit ratings and maturity requirements.

key_locations:
United States
Canada

key_organizations:
Depository Trust Company
Moody's
Credit Suisse
S&P
Merrill Lynch
Citigroup


document_description: The document outlines criteria for eligible investments, including credit ratings and maturity requirements. It also defines various financial terms such as 'EOD Ratio', 'Equity Security', 'ERISA', 'ERISA Plans', 'Euroclear', 'Event of Default', and 'Excess'.

key_organizations:
Moody's
Standard & Poor's
Euroclear Bank


document_description: This document contains definitions and terms related to financial securities, including the Exchange Act, Exchange Date, Excluded Property, Expense Cap Amount, Expense Reserve Account, Federal Reserve Board, First Lien Loan, Florida Act, Form-Approved Synthetic Security, Global Notes, and Grid Test. It outlines specific financial and legal terms and conditions applicable to securities and related transactions.

key_locations:
United States
Florida

key_organizations:
U.S. Securities Exchange
Federal Reserve Board
Moody's
S&P


document_description: The document contains a table of Weighted Average Rating Factors based on Diversity Scores and a definition of Minimum Adjusted Spread and Spread Modifier. The table provides percentage values for different Diversity Scores across various years. The Minimum Adjusted Spread is calculated based on a grid and a Spread Modifier, which varies depending on Moody's Weighted Average Recovery Rate.

document_type: tabular


document_description: The document provides definitions and calculations related to financial terms such as Market Value, Maturity Date, Measurement Date, Moody's, and Moody's Adjusted Rating Factor. It includes a table of Expected Loss values based on Moody's ratings.


document_description: The document outlines various Moody's ratings and their determination processes for different types of obligations, including Defaulted Obligations, Deferring PIK Obligations, Senior Secured Loans, Non-Senior Secured Loans, Bonds, Synthetic Securities, DIP Loans, and Structured Finance Obligations. It details how these ratings are adjusted based on Moody's watch status for downgrades or upgrades.

document_type: financial


document_description: This document outlines the criteria for determining the Moody's Equivalent Senior Unsecured Rating for an Obligor based on various conditions such as having a senior secured obligation, a Corporate Family Rating, or a public rating from S&P. It specifies how the rating should be adjusted based on the presence or absence of certain financial conditions and ratings.

key_organizations: Moody's S&P


document_description: The document outlines the criteria for determining the Moody's Equivalent Senior Unsecured Rating for an Obligor based on various financial conditions and country classifications. It specifies the conditions under which different ratings such as 'Caa3' and 'Ca' are assigned, and details the classification of countries into Moody's Group I to IV. It also defines terms related to Moody's Industry Classification Group and Moody's Obligation Rating.

key_locations:
Australia
Netherlands
United Kingdom
Germany
Ireland
Sweden
Switzerland
Austria
Belgium
Denmark
Finland
France
Iceland
Liechtenstein
Luxembourg
Norway
Spain
Greece
Italy
Portugal
Japan
United States
Canada


document_description: The document outlines the Moody's rating system for various financial obligations, including loans, bonds, synthetic securities, DIP loans, and structured finance obligations. It details how ratings are adjusted if they are on watch for downgrade or upgrade and provides a table of Moody's Rating Factors for different ratings. It also explains the process for determining the Weighted Average Rating for collateral obligations.

document_subtype: financial


document_description: The document outlines the definitions and calculations for 'Moody's Recovery Amount' and 'Moody's Recovery Rate' related to Collateral Obligations, including Defaulted Obligations and Deferring PIK Obligations. It specifies how recovery rates are determined based on Moody's ratings and provides a table for calculating recovery rates for different types of loans and bonds.

document_subtype: financial terms


document_description: The document provides tables comparing the initial ratings of underlying assets for High Diversity and Low Diversity Collateralized Debt Obligations (CDOs). It includes percentage breakdowns of underlying capital structures and their corresponding ratings from Aaa to B. Additionally, it explains Moody's Weighted Average Recovery Rate and the Note Payment Sequence for structured finance obligations.


document_description: This document outlines the terms and conditions related to Revolving Loans, including definitions and calculations for Principal Balance, Principal Financed Accrued Interest, Principal Priority of Payments, and other financial terms. It specifies conditions for calculating Overcollateralization Ratios and details the treatment of various types of obligations and securities.


document_description: The document outlines the definitions and criteria for the S&P CDO Monitor Test, which evaluates the risk and performance of Collateralized Debt Obligations (CDOs). It includes definitions for terms such as Break-Even Default Rate, Loss Rate Differential, S&P Scenario Default Rate, and S&P Recovery Rate, among others. The document specifies how these metrics are calculated and their significance in assessing the financial health of CDOs.

document_type: other

document_subtype: financial instrument definition


document_description: This document outlines the definitions and criteria for determining Standard & Poor's Ratings for Collateral Obligations or Reference Obligations that are Bonds or Loans. It includes the process for using issuer credit ratings, senior secured or unsecured obligations, and Moody's ratings as references for S&P Ratings. It also details the conditions under which a Collateral Manager may apply for an S&P credit rating estimate.

key_organizations:
Walkers SPV Limited
Standard & Poor's
The McGraw-Hill Companies Inc.
Moody's


document_description: This document outlines the criteria and procedures for determining S&P Ratings for various types of Collateral Obligations, including DIP Loans, Current Pay Obligations, PIK Obligations, and Structured Finance Obligations. It specifies how ratings are adjusted based on credit watch status and the involvement of other rating agencies like Moody's and Fitch.

document_subtype: credit rating agreement

key_organizations: S&P Moody's Fitch


document_description: The document outlines various financial and legal terms related to securities, tax jurisdictions, and loan agreements. It includes definitions for terms such as Synthetic Security, Tax Advantaged Jurisdiction, Tax Event, Temporary Regulation S Global Notes, Term Loan, Trust Accounts, Trustee, Trustee Expenses, Trustee Fee, U.S. Person, UBTI, Unfunded Commitment, and Unfunded Portion.

key_locations:
Cayman Islands
Bermuda
Netherlands Antilles
Channel Islands
United States

key_organizations:
Wells Fargo Bank
IRS


document_description: This document provides definitions for various financial terms related to Collateral Obligations, including Weighted Average Fixed Rate Coupon, Weighted Average LIBOR Spread, Weighted Average Life Test, Weighted Average Rating, and Zero-Coupon Obligation. These definitions are used to determine interest rates, spreads, and ratings for financial instruments.

document_subtype: financial definitions


document_description: This document is an index of defined terms used in an Offering Circular, listing terms and the page numbers where each definition appears.

title: Index of Defined Terms

document_subtype: index


document_description: This document lists the principal offices of the co-issuers, trustee, paying agent, transfer agent, Irish paying and listing agent, collateral manager, and legal advisors involved in a financial transaction. It includes addresses and legal representation details for various entities.

document_type: correspondence

key_locations:
Grand Cayman, Cayman Islands
Newark, Delaware
Columbia, Maryland
Dublin, Ireland
Los Angeles, California
New York, New York

document_subtype: legal document

key_organizations:
Clear Lake CLO, Ltd.
Clear Lake CLO, Corp.
Wells Fargo Bank, National Association
NCB Stockbrokers Limited
Jefferies Capital Management, Inc.
Cleary Gottlieb Steen & Hamilton LLP
Walkers
McDermott Will & Emery LLP


document_description: Offering circular for Clear Lake CLO, Ltd. and Clear Lake CLO, Corp. detailing various classes of floating rate notes due in 2020.

title: Clear Lake CLO Offering Circular

document_subtype: offering circular

key_organizations:
Clear Lake CLO, Ltd.
Clear Lake CLO, Corp.
Citigroup


document_description: The report discusses the attractiveness of long-dated SPX call options due to low volatility levels and embedded protection. It examines pricing drivers, historical returns, and compares strategies to outright equity. The report finds that call spreads have the highest risk-adjusted returns and discusses the sensitivity of call premia to various factors.

title: The Compelling Case for Long-Dated SPX Calls

key_locations:
North America
United States

document_subtype: research report


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

title: US Derivatives Spotlight


document_description: The document provides an analysis of SPX option premiums, highlighting the decline in SPX spot implied volatility throughout 2013 and its impact on long-dated call premiums. It includes tables showing current premiums, median, percentile ranges, and historical data for different maturities. The document also discusses the effects of low rate volatility and decreased correlation between rates and equities on option premiums.

title: US Derivatives Spotlight

key_organizations:
Deutsche Bank
Bloomberg Finance LP


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

title: US Derivatives Spotlight


document_description: The document compares the performance of equity versus various 36-month call option strategies rolled after 24 months over different market periods. It highlights that while the total return on the SPX was positive, the option strategies underperformed the SPX. However, when adjusted for realized volatility, the option strategies showed better performance compared to equity. The document includes a table and figures illustrating these comparisons and mentions that strategies involving selling 1M options to finance longer-dated ATM calls had higher risk-adjusted returns.

title: US Derivatives Spotlight


document_description: The document discusses the performance of various call and spread strategies in the US derivatives market from December 2002 to September 2013. It includes tables comparing annualized returns and realized volatility for different strategies, highlighting the performance of short-dated options and the impact of market conditions on these strategies.

title: US Derivatives Spotlight


document_description: The document provides an analysis of annualized returns and realized volatility for various equity and derivative strategies, sourced from Deutsche Bank and Bloomberg Finance LP. It discusses the attractiveness of long-dated call options and compares outright call options with call spreads, suggesting strategies for maintaining or scaling delta exposure.

title: US Derivatives Spotlight


document_description: The document provides an analysis of derivatives strategies, focusing on the return and volatility of various outright and spread strategies. It discusses the benefits of rolling call spread positions prior to expiry to achieve higher risk-adjusted returns and reduce time decay effects. The document includes tables comparing different strategies and their annualized returns and volatilities.

title: US Derivatives Spotlight


document_description: The document provides an analysis of the impact of volatility, interest rates, and dividend yield risks on long-dated call options. It discusses the sensitivity of options to changes in implied volatility (vega) and how these changes affect the pricing of options. The document includes figures and tables illustrating the median change in fixed-strike implied volatilities contingent on market rallies and the regression of spot changes against changes in 36-month fixed strike implied volatilities.

title: US Derivatives Spotlight


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

title: US Derivatives Spotlight


document_description: The document discusses the interest rate sensitivity of call options, focusing on the Greek 'rho'. It explains how interest rates affect call option pricing through discounting and forward effects. The document includes tables showing the impact of interest rates on call prices and rho values over different maturities. It advises against trading long-dated calls solely for rate exposure but notes potential benefits in current low-rate environments.

title: US Derivatives Spotlight


document_description: The document contains simulated profit and loss (P/L) scenarios for options under various rate, spot, and dividend yield changes. It includes tables showing the impact of these changes on 36M and 18M options after certain periods have passed, with data sourced from Deutsche Bank.

title: US Derivatives Spotlight


document_description: The document discusses the relative magnitude of risks impacting SPX call premium, focusing on changes in spot, implied volatility, rates, and dividend yields. It includes a table showing the percentage impact of parameter moves over different maturities (18M, 36M, 60M).

title: US Derivatives Spotlight


document_description: The document contains a detailed comparison of performance under rising and falling markets for equity versus various 18-month call option strategies. It includes a table with returns, volatility, and return-to-volatility ratios for different strategies over multiple time periods.

title: US Derivatives Spotlight - Appendix A: Backtest Results

document_subtype: financial analysis


document_description: The document contains a table comparing the performance of equity versus various 36-month call option strategies over different time periods. It includes metrics such as return and volatility for each strategy and period.

title: Comparing performance under rising and falling markets


document_description: This document is a research report titled 'US Derivatives Spotlight' dated December 3, 2013. It includes important disclosures, an analyst certification, and a hypothetical disclaimer regarding backtested performance results. The report emphasizes that past hypothetical results are not indicators of future returns and that actual results may vary significantly.

title: US Derivatives Spotlight


document_description: A memo from Deutsche Bank regarding a KYC review for Southern Financial, LLC. The memo requests specific client contact information and details about the client's relationship with the bank. It emphasizes the urgency of the response and potential consequences of delay.

document_subtype: memo

key_organizations:
Deutsche Bank
Southern Financial, LLC


document_description: This document appears to be a questionnaire or form related to client relationships and financial activities, possibly for compliance or due diligence purposes. It includes questions about the client's rationale for opening an account, the ability to issue bearer shares, the source of funds, and the source of wealth.

key_locations:
BVI
Bahamas
Cayman Islands
Panama
Switzerland

document_subtype: questionnaire


document_description: A memo from Michael Valencia, KYC Outreach Analyst at Deutsche Bank, regarding inquiries about confidentiality agreements, regulatory status changes, and politically exposed persons related to a client. The memo requests information on these topics and mentions reaching out to the client for required documentation.


document_description: Confidential communication intended for the addressee, possibly containing attorney-client privileged or inside information. Unauthorized use, disclosure, or copying is prohibited. If received in error, notify via email and destroy the communication.


document_description: A confidential communication with instructions to destroy the message and all copies, including attachments. It is marked as confidential under Federal Rule of Criminal Procedure 6(e).


document_description: This document is an indenture outlining the terms and conditions of securities issuance, including definitions, conditions precedent, collateral delivery, representations, satisfaction and discharge, and remedies. It includes sections on the forms, execution, registration, transfer, and cancellation of securities, as well as events of default and enforcement by the trustee.

title: ING IM CLO 2011-1

document_subtype: Indenture


document_description: This document outlines the sections of an indenture agreement, detailing the rights and responsibilities of holders, the trustee, and the co-issuers. It includes provisions for payment, maintenance of collateral, and conditions for supplemental indentures.

title: Indenture Agreement


document_description: This document outlines various sections related to the execution of supplemental indentures, redemption processes, account management, application of proceeds, sale of collateral obligations, holders' relations, and miscellaneous provisions. It includes detailed sections on optional redemption, notice of redemption, collection account requirements, disbursements, sale and substitution of collateral obligations, and holders' rights and meetings.

title: Indenture Document


document_description: This document is a table of contents for a legal document, listing sections and articles related to investment management and hedge agreements, along with schedules and exhibits.

title: Table of Contents for Legal Document

document_subtype: Table of Contents


document_description: This document is an Indenture dated June 22, 2011, between ING IM CLO 2011-1, LTD., ING IM CLO 2011-1 LLC, and The Bank of New York Mellon Trust Company, National Association, as trustee. It outlines the terms for the issuance and security of notes, including the granting of collateral by the Issuer to the Trustee for the benefit of secured parties.

title: Indenture Agreement between ING IM CLO 2011-1, LTD. and ING IM CLO 2011-1 LLC

key_locations:
Cayman Islands
State of Delaware


document_description: The document outlines the terms of an Indenture, including the grants made in trust to secure notes, the role of the Trustee, and definitions of key terms. It specifies the agreements and assets included in the grants, the exclusion of Excepted Property, and the obligations secured by the Indenture. The Trustee's responsibilities and the definitions of various accounts and agreements are also detailed.


document_description: This document contains definitions and terms related to a financial agreement, including definitions for 'Accredited Investor', 'Act', 'Additional Equity Issuance', 'Additional Securities', and others. It outlines the order of priority for administrative expenses and specifies the Administrative Expense Senior Cap.


document_description: This document contains legal definitions and terms related to a financial agreement or indenture. It includes definitions for terms such as 'Administrator', 'Advisers Act', 'Affected Class', 'Affiliate', 'Agent', 'Agent Member', 'Aggregate Industry Equivalent Unit Score', and 'Aggregate Outstanding Amount'. These terms are likely part of a larger legal or financial document related to a portfolio or investment management.


document_description: This document contains definitions and terms related to financial obligations and securities, including definitions for Aggregate Principal Balance, Applicable Break-Even Default Rate, Applicable Default Differential, and others. It outlines criteria for determining the credit quality and market performance of collateral obligations.

title: ING IM CLO 2011-1


document_description: This document provides definitions for various financial terms related to securities and notes, including assumed reinvestment rate, authenticating agent, authorized denomination, authorized officer, average par amount, and balance. It includes a table detailing the authorized denominations for different classes of notes.

title: Financial Terms and Definitions

document_subtype: financial glossary


document_description: This document provides definitions for various terms used in an indenture agreement, including financial and legal terms such as 'Bank', 'Bankruptcy Code', 'Benefit Plan Investor', and 'Bridge Loan'. It outlines the roles and responsibilities of entities involved, such as the Board of Directors and the Trustee, and specifies conditions for financial obligations like Bridge Loans and Collateral Obligations.

key_locations:
New York, New York
Houston, Texas

document_subtype: Indenture Definitions

key_organizations: The Bank of New York Mellon Trust Company


document_description: This document outlines various financial terms and definitions related to collateral obligations, market value calculations, and coverage tests. It includes definitions for terms such as Caa/CCC Excess Market Value, Calculation Agent, CCC Collateral Obligation, and Class A Coverage Tests.

document_subtype: financial agreement


document_description: This document outlines various definitions and terms related to the issuance of Class D Deferrable Floating Rate Notes Due 2021 by LNG IM CLO 2011-1 LLC. It includes tests such as the Class D Interest Coverage Test and Class D Overcollateralization Test, and defines entities like Clearing Agency, Clearing Corporation, and Clearstream. The document also specifies the Closing Date and the amount for the Closing Date Interest Deposit.

key_organizations:
LNG IM CLO 2011-1 LLC
Clearstream Banking


document_description: This document outlines the definitions and conditions related to the Collateral Administration Agreement, including the roles and responsibilities of the Collateral Administrator and the criteria for Collateral Obligations.

document_subtype: Collateral Administration Agreement

key_organizations:
The Bank
Issuer
Trustee
Investment Manager


document_description: The document outlines specific criteria for financial obligations that are not considered leases, including currency requirements, tax implications, security interests, and ratings. It also defines terms related to collateral quality tests and collection accounts.

key_organizations:
Issuer
Investment Manager
Trustee
Moody's
S&P


document_description: This document outlines the concentration limits for the Issuer's commitment to purchase Collateral Obligations on or after the Effective Date. It specifies the minimum and maximum limitations for various collateral types, along with any exceptions and additional requirements.

document_subtype: financial


document_description: The document outlines the counterparty ratings and definitions for financial participations, including individual and aggregate percentage limits based on credit ratings. It also defines terms related to cov-lite loans, coverage tests, credit facilities, and credit risk criteria.

title: Counterparty Ratings and Definitions

document_subtype: financial ratings table


document_description: The document outlines various financial terms and conditions related to credit obligations, including definitions for 'Credit Risk Obligation,' 'Current Pay Obligation,' and 'Defaulted Interest.' It also mentions entities like Credit Suisse and discusses conditions under which obligations may be downgraded or placed under review by rating agencies like Moody's and S&P.

key_organizations:
Credit Suisse
Moody's
S&P


document_description: This document defines the terms 'Defaulted Loaned Collateral Obligation' and 'Defaulted Obligation' in the context of a Securities Lending Agreement. It outlines the conditions under which a Collateral Obligation is considered defaulted, including payment defaults, acceleration of maturity, bankruptcy proceedings, and credit ratings. It also specifies exceptions and the Investment Manager's authority to declare defaults.

title: Defaulted Loaned Collateral Obligation and Defaulted Obligation Definitions

key_people:
Investment Manager
Trustee

document_subtype: contract


document_description: The document outlines the procedures for handling various types of financial assets, including Uncertificated Securities, Clearing Corporation Securities, and Financial Assets maintained in book-entry form. It specifies the roles of intermediaries and the requirements for continuous registration, crediting, and identification of these assets. It also includes definitions for terms like 'Depository', 'Designated Maturity', 'Designated Proceeds', 'Determination Date', and 'DIP Loan'.


document_description: The document outlines the obligations and conditions for a debtor-in-possession or trustee under the U.S. Bankruptcy Code, including payment of interest, court approval, and security by liens. It also defines 'Discount Obligation' for loans and bonds purchased below par value, with specific conditions for exclusion from this definition.

document_subtype: Bankruptcy Code Obligations

key_organizations:
U.S. Bankruptcy Court
U.S. District Court
S&P
Moody's

reference_numbers:
Section 1107
Section 1104
Section 364(cX2)
Section 364(d)
Section 364(cX1)


document_description: This document contains definitions and terms related to a financial agreement involving Collateral Obligations, Discretionary Sales, Dissolution Expenses, Distressed Exchange Offers, and Distribution Dates. It outlines the conditions and criteria for various financial operations and obligations.

key_organizations:
Investment Manager
Collateral Administrator


document_description: The document outlines investment criteria for various financial instruments, including demand and time deposits, certificates of deposit, bankers' acceptances, repurchase obligations, registered securities, commercial paper, and reinvestment agreements. These instruments must meet specific credit ratings by Moody's and S&P to qualify for investment.


document_description: This document provides definitions for various terms related to financial securities and legal agreements, including 'Equity Workout Security', 'ERISA', 'Euroclear', 'Event of Default', and others. It outlines specific conditions and criteria for these terms within the context of financial transactions and legal compliance.

document_subtype: glossary

key_organizations:
Euroclear Bank S.A./N.V.
S&P


document_description: This document contains definitions and terms related to financial transactions and compliance, including Excepted Property, Excess Interest, Exchange Act, Expense Reserve Account, FATCA Compliance, Finance Lease, and Financial Asset.

key_locations:
Cayman Islands
United States

document_subtype: financial definitions

key_organizations:
Issuer
U.S. Internal Revenue Service
Moody's
S&P


document_description: The document outlines various terms and definitions related to a Fiscal Agency Agreement, including roles such as the Fiscal Agent, types of notes like Floating Rate Notes, and financial instruments such as Hedge Agreements. It also details the Governing Documents for the Issuer and Co-Issuer, and the concept of a Grant in legal terms.

document_subtype: Fiscal Agency Agreement

key_organizations:
The Bank
Federal Reserve Bank


document_description: This document provides definitions related to a financial agreement, including terms for hedge counterparties, high-yield bonds, and noteholder rankings. It outlines the criteria for hedge counterparty ratings and credit support, as well as the structure of the indenture and its register.

key_organizations:
Moody's
Standard & Poor's
U.S. Internal Revenue Service


document_description: This document contains definitions and terms related to financial and legal agreements, including definitions for 'Independent', 'Industry Diversity Score', 'Industry Issuer', 'Ineligible Holder', 'Initial Hedge Agreement', 'Initial Purchaser', 'Instrument', 'Interest Collection Account', and 'Interest Coverage Ratio'. It appears to be part of a larger legal or financial document, possibly related to a CLO (Collateralized Loan Obligation) or similar financial instrument.


document_description: The document outlines the terms related to interest coverage tests, interest periods, and interest proceeds for a financial agreement. It specifies the calculations and conditions for interest payments, including the handling of defaulted and deferred interest, and the distribution of interest proceeds from collateral obligations and eligible investments.


document_description: The document outlines the terms and definitions related to the Investment Management Agreement between the Issuer and the Investment Manager, ING Alternative Asset Management LLC. It includes details on fees, roles, and responsibilities as per the agreement.

title: Investment Management Agreement

key_people: Authorized Officer of the Investment Manager

key_locations:
Delaware
Cayman Islands

document_subtype: Investment Management Agreement

key_organizations:
ING Alternative Asset Management LLC
ING IM CLO 2011-1, Ltd.


document_description: This document outlines the valuation methods for Collateral Obligations, including the use of bid-side market values from independent broker/dealers and the Investment Manager's judgment. It also defines key terms such as Measurement Date, Minimum Weighted Average Spread Test, and Monthly Report. The document is related to the ING IM CLO 2011-1 and is marked as confidential under Federal Rule of Criminal Procedure 6(e).

key_organizations:
Credit Suisse
Moody's Investors Service
ING IM CLO 2011-1


document_description: This document outlines the conditions under which securities or portions thereof are considered retired, redeemed, or outstanding. It includes provisions for the treatment of securities in various scenarios such as redemption, exchange, or replacement due to mutilation or loss. It also defines the Overcollateralization Ratio for determining the financial health of the securities.


document_description: This document contains definitions related to financial instruments and obligations, including overcollateralization tests, PIK securities, and permissible replacement collateral obligations.


document_description: This document outlines various financial terms and conditions related to a financial agreement, including definitions and provisions for Pre-Funded Letter of Credit Reserve Account, Preferred Shares, and Principal Balance. It details the treatment of Pledged Obligations, Defaulted Obligations, and the calculation of Overcollateralization Ratio.


document_description: The document outlines the treatment of various financial obligations, including Defaulted Obligations, Caa/CCC Excess, Discount Obligations, PIK Securities, and Current Pay Obligations. It specifies how the Principal Balance of these obligations is determined under different conditions. Additionally, it defines terms such as 'Principal Collection Account,' 'Principal Payment Sequence,' and 'Principal Proceeds.'


document_description: The document outlines the amounts received during any Due Period, detailing various categories of payments and recoveries related to Collateral Obligations and Eligible Principal Investments. It includes principal payments, interest proceeds, uninvested proceeds, sale proceeds, and other related financial transactions.

document_subtype: financial statement

key_organizations:
Investment Manager
Issuer


document_description: This document outlines various financial terms and definitions related to a legal agreement, including the handling of termination payments, redemption financing, and equity issuance proceeds. It also defines terms such as Priority of Payments, Process Agent, Proposed Portfolio, and Qualified Institutional Buyer.

key_locations: Borough of Manhattan, The City of New York

key_locations: 10 East 40th Street, 10 Floor, New York, NY 10016


document_description: This document outlines various financial terms and criteria related to securities, including definitions for Qualified Institutional Investor Private Placement Exemption, Qualified Purchaser, and Ramp-Up Criteria. It includes a table detailing ramp-up criteria with test dates, minimum aggregate principal amounts, maximum rating factors, weighted average spreads, Moody's recovery rates, and diversity scores. Other terms defined include Rated Notes, Rated Notes Redemption, Rating Agency, Rating Agency Confirmation, Record Date, and Recovery Approved Country.

key_locations:
Australia
Austria
Belgium
Canada
Denmark
Finland
France
Germany
Iceland
Ireland
Liechtenstein
Luxembourg
Netherlands
New Zealand
Norway
Spain
Sweden
Switzerland
United Kingdom
United States

document_subtype: financial terms

key_organizations: Moody's S&P


document_description: This document contains definitions and terms related to financial instruments and agreements, including ratings, recovery rates, redemption terms, refinancing, and regulations. It specifies conditions for redemption prices, agreements, and registered securities.

key_locations:
United States
London

key_organizations:
Moody's
S&P
MaplesFS Limited


document_description: This document outlines various financial terms and conditions related to a reinvestment agreement, including definitions for terms such as 'Reinvestment Agreement', 'Reinvestment Period', 'Reinvestment Requirements', 'Relevant Jurisdiction', 'Replacement Notes', 'Required Redemption Percentage', 'Restricted Trading Condition', and 'Revolving Credit Facility'. It specifies conditions under which agreements can be terminated, periods for reinvestment, and conditions for restricted trading.


document_description: This document provides definitions for various financial terms related to securities lending, securityholders, selling institutions, senior investment management fees, senior notes, senior secured loans, senior secured notes, share register, share registrar, share trustee, and shareholders. It includes specific criteria for ratings and obligations.

key_organizations:
Credit Suisse
MaplesFS Limited


document_description: This document contains definitions and terms related to financial securities and obligations, including fiduciary responsibilities, redemption terms, maturity dates, structured finance obligations, and subordinated interests. It outlines specific financial instruments and their management, such as Subordinated Notes and Securities, and includes provisions for investment management fees and allocation of proceeds.

key_organizations:
Issuer
Trustee
Investment Manager
Fiscal Agent


document_description: This document outlines specific definitions related to investment returns and tax events. It includes terms such as 'Target Return', 'Tax Event', 'Tax Jurisdiction', and 'Tax Subsidiary', detailing conditions under which these terms apply, particularly in relation to U.S. and non-U.S. tax implications and investment returns.

title: Investment and Tax Definitions

key_locations:
Cayman Islands
Bahamas
Bermuda
Isle of Man
Jersey Islands
Curacao
Channel Islands


document_description: This document provides definitions for various terms related to securities transactions, including 'Temporary Global Security', 'Transaction Documents', 'Transaction Party', 'Transfer Agent', 'Transfer Certificate', 'Trust Officer', 'Trustee', 'UCC', 'Uncertificated Security', 'Underlying Instrument', 'Unfunded Amount', and 'Uninvested Proceeds'.

key_locations:
United States
State of New York

document_subtype: Glossary/Definitions


document_description: This document contains definitions and descriptions of financial terms and tests related to collateral obligations, including 'Uninvested Proceeds Account', 'Unsaleable Asset', 'Unscheduled Principal Payments', 'U.S. Dollars', 'Vote', 'Voting Rights', 'Warehouse Accrued Interest', and 'Weighted Average Life Test'. It includes a table specifying the weighted average life of pledged collateral obligations for various dates.

document_subtype: financial glossary and test


document_description: The document contains a table of Weighted Average Moody's Rating Factors over time, along with definitions and tests related to financial metrics such as Weighted Average Rating Factor Test, Weighted Average Recovery Rate Test, and Weighted Average Spread.

document_subtype: financial data

key_organizations:
Moody's
S&P
Investment Manager
Collateral Administrator


document_description: The document outlines the financial procedures related to the distribution of funds in a Collection Account, including assumptions about Scheduled Distributions, withholding taxes, and calculations for Coverage Tests and Investment Management Fees. It specifies how funds are to be managed and distributed according to the terms of the Indenture.

document_subtype: Indenture


document_description: The document outlines the conditions under which Unscheduled Principal Payments and Sale Proceeds of Credit Risk Obligations are available for reinvestment after the Reinvestment Period. It specifies the priority of distribution of Principal Proceeds and the treatment of assets acquired under binding commitments before the end of the Reinvestment Period.


document_description: This document outlines the terms and conditions related to the issuance and management of securities, including Subordinated Notes, Preferred Shares, and other classes of securities. It details the interest payment structure, redemption provisions, and issuance procedures for securities sold to Qualified Institutional Buyers (QIBs) and non-U.S. persons under Regulation S. The document also specifies the handling of Global Securities and the role of the Trustee and Depository in managing these securities.

key_organizations: Euroclear Clearstream


document_description: This document outlines the procedures for the authentication, delivery, registration, transfer, and exchange of securities under an indenture agreement. It specifies the roles of the Trustee and the Authenticating Agent, the requirements for a Certificate of Authentication, and the maintenance of an Indenture Register by the Indenture Registrar.

key_people:
Trustee
Authenticating Agent
Issuer


document_description: This document outlines the terms and conditions for the transfer and exchange of securities under an indenture agreement. It specifies the procedures for registration, transfer, and exchange of securities, including the roles of the issuer, trustee, and agents. It also details the requirements for endorsements, service charges, and the treatment of security holders.

key_organizations: Securities Transfer Agents Medallion Program (STAMP)


document_description: This document outlines the restrictions and conditions for the transfer and exchange of securities issued by LNG IM CLO 2011-1. It specifies that no transfer of securities to U.S. persons is allowed unless certain conditions are met, and details the legal requirements for such transfers under various regulations, including the Securities Act and Regulation S.


document_description: The document outlines the conditions under which transfers of interests in ERISA Limited Securities and Global Securities can occur. It specifies restrictions on transfers to Benefit Plan Investors and Controlling Persons to prevent exceeding a 25% threshold of ownership by such entities. It also details the procedures for transferring beneficial interests between Global and Definitive Securities, subject to certain conditions and documentation.

key_organizations:
Trustee
Indenture Registrar
Applicable Issuer
Euroclear
Clearstream
Depository

reference_numbers:
Section 2.5
Section 406 of ERISA
Section 4975 of the Code


document_description: The document outlines the procedures for transferring or exchanging beneficial interests in Definitive Securities. It specifies the requirements for transferring a beneficial interest to another person or exchanging it for different principal amounts within the same class. The process involves delivering specific documents to the Indenture Registrar, who will then cancel the existing security and record the transfer or exchange.

document_subtype: Transfer and Exchange of Securities


document_description: The document outlines procedures for exchanging or transferring beneficial interests between Rule 144A Global Securities and Regulation S Global Securities. It specifies the roles of the Indenture Registrar and the Depository in recording exchanges or transfers and adjusting principal amounts accordingly.

key_organizations: Depository Euroclear Clearstream


document_description: The document outlines the conditions and representations required for the transfer and purchase of beneficial interests in Rule 144A Global Securities. It specifies the qualifications and agreements that purchasers must adhere to, including being a Qualified Institutional Buyer or Qualified Purchaser, and the restrictions on holding and transferring these securities.


document_description: The document outlines the terms and conditions under which the Purchaser is acquiring Securities. It specifies that the Securities are not registered under the Securities Act and can only be transferred in compliance with specific legal exemptions. The Purchaser acknowledges the risks involved and confirms that they have conducted their own due diligence without relying on the Transaction Parties for advice.

document_subtype: Securities Purchase Agreement

key_organizations:
Transaction Parties
Issuer
Investment Manager


document_description: This document outlines the terms and conditions under which the Purchaser agrees to buy securities. It includes representations about the Purchaser's understanding of the risks, compliance with transfer restrictions, and adherence to legal requirements such as ERISA. The document also specifies that the Issuer can compel the sale of securities held by ineligible holders.


document_description: This document outlines the obligations and representations of the Purchaser in relation to the transfer and holding of Securities, including compliance with transfer restrictions, ERISA limitations, and FATCA requirements. It also includes agreements regarding bankruptcy filings and tax certifications.

key_organizations:
Issuer
Co-Issuer
Tax Subsidiary
Trustee
U.S. Internal Revenue Service


document_description: This document outlines the terms and conditions for the sale and transfer of Subordinated Notes and Class A-1 Notes, including restrictions on sales to residents of Japan and representations required from purchasers of beneficial interests in Regulation S Global Securities.

key_locations:
Japan
United States


document_description: This document outlines the payment procedures for securities, including wire transfers and checks, and conditions for final payments. It specifies the responsibilities of the Trustee, Paying Agent, and Agent Members in processing payments and handling taxes. It also details the requirements for certification to avoid withholding tax on payments.

key_organizations:
Applicable Issuer
Trustee
Paying Agent
Depository
Agent Members


document_description: This document outlines the terms and conditions related to payments on securities, including tax certifications, payment distributions, and limitations on recourse obligations. It specifies the requirements for U.S. federal income tax certifications, the process for payment distributions to security holders, and the limitations on recourse obligations of the issuers. The document also details the conditions under which obligations and claims against the co-issuers are extinguished following the realization of collateral.

key_organizations:
Applicable Issuer
Co-Issuers
Trustee


document_description: This document outlines the procedures and conditions under which Global Securities can be transferred to beneficial owners, including the execution and delivery of Definitive Securities. It also addresses the handling of Ineligible Holders, stating that any transfer of securities to such holders is void and detailing the steps to be taken if an Ineligible Holder becomes a beneficial owner.


document_description: The document outlines procedures for selecting a purchaser for securities, including soliciting bids from brokers or market professionals, and conditions under which the issuer can compel a holder to sell their interest in a note. It also details the issuance of additional securities during the reinvestment period, with specific conditions and requirements.

document_subtype: indenture

key_organizations:
Issuer
Trustee
Investment Manager
Controlling Party


document_description: The document outlines the conditions under which additional securities can be issued by the issuer, including notifications to holders, compliance with specific sections, and tax implications. It also details the treatment of proceeds and the ranking of additional securities.


document_description: The document outlines the conditions and requirements for the issuance and authentication of Additional Securities and Preferred Shares by the Co-Issuers. It specifies the need for officer's certificates, board resolutions, and opinions of counsel to ensure compliance with governing documents and legal requirements.


document_description: This document outlines the legal opinions and conditions related to the issuance of Additional Securities by the Issuer and Co-Issuers. It includes opinions of counsel, officer's certificates, and conditions for the authentication and delivery of securities. It also details the security for notes, including the filing of a Financing Statement and the grant of collateral obligations.

key_locations:
District of Columbia
Cayman Islands

document_subtype: Indenture Agreement

key_organizations: Issuer Co-Issuers Trustee


document_description: The document outlines the conditions and representations related to the Pledged Collateral Obligation, including the Issuer's rights and obligations, the delivery of rating letters, and the establishment of accounts by the Trustee.

key_organizations:
Issuer
Trustee
Rating Agency


document_description: This document outlines the conditions and procedures for the issuance of Additional Securities by the Issuer, including the grant of collateral obligations, delivery of certificates, rating letters, and listing requirements. It also details the effective date and purchase of collateral obligations during the initial investment period.

key_organizations:
Issuer
Trustee
Rating Agency
Investment Manager
Initial Purchaser


document_description: The document outlines the obligations and procedures related to the purchase and management of Collateral Obligations by the Issuer and the Investment Manager. It includes details on the Ramp-Up Criteria, delivery of pledged obligations, and representations and warranties concerning collateral.

key_organizations:
Issuer
Investment Manager
Moody's
S&P
Trustee


document_description: This document outlines the creation of security interests in the Collateral in favor of the Trustee for the benefit of the Secured Parties. It details the ownership, transfer, and filing requirements related to the Collateral, ensuring the security interest is enforceable and prior to other claims.

key_organizations: Trustee Issuer


document_description: This section outlines the conditions under which the Indenture will be considered satisfied and discharged. It specifies the rights and obligations that remain in effect, such as rights of registration, substitution of securities, and rights of holders to receive payments. It also details the conditions for the Trustee to acknowledge the satisfaction and discharge of the Indenture, including the delivery or payment of all securities.

key_organizations:
Trustee
Issuer
Investment Manager


document_description: The document outlines the conditions and procedures for the satisfaction and discharge of an Indenture. It specifies the requirements for the cancellation of notes, termination of agreements, and distribution of funds. The Trustee is responsible for confirming the absence of Pledged Obligations and notifying holders of the discharge. The document also mentions the rights and obligations of involved parties post-discharge.

document_subtype: Indenture Discharge

key_organizations:
Trustee
Issuer
Co-Issuers
Investment Manager


document_description: The document outlines the application and repayment of trust funds as per the indenture agreement. It specifies the handling of funds by the Trustee and Paying Agent, including the conditions under which funds are held, applied, and repaid. The document also mentions the survival of certain sections of the agreement.

key_organizations:
Trustee
Paying Agent
Issuer


document_description: The document outlines procedures related to the occurrence of an Event of Default, including notification requirements and the acceleration of maturity of notes. It specifies the roles of the Issuer, Trustee, Investment Manager, and other parties in these events. It also details conditions under which the acceleration of maturity can be rescinded and annulled.

key_people:
Trustee
Investment Manager
Controlling Party


document_description: This document outlines the rights and remedies of the Trustee in the event of default by the Co-Issuers. It details the Trustee's authority to file claims, vote on behalf of Holders in bankruptcy proceedings, and collect property payable on claims. The Trustee is also empowered to represent all Holders in proceedings and is restricted from selling or liquidating collateral except as specified. The document emphasizes the Trustee's limitations in authorizing plans affecting the Notes or voting on behalf of Holders, except for electing a trustee in bankruptcy.

document_subtype: Trustee Rights and Remedies

key_organizations: Trustee Co-Issuers


document_description: This document outlines the provisions related to bankruptcy and preservation of collateral in the context of an indenture agreement. It specifies restrictions on initiating bankruptcy proceedings against the Co-Issuers or any Tax Subsidiary before a certain period after the payment of all notes. It also details the conditions under which the Trustee can sell or liquidate collateral in the event of default, including consultation with the Investment Manager and agreement from the Controlling Party.

key_organizations:
Co-Issuers
Tax Subsidiary

reference_numbers:
Section 5.4
Section 5.5
Section 12.1(i)
Section 12.1(h)
Section 5.1(a)
Section 5.1(b)
Section 5.1(c)
Section 5.1(d)
Section 5.1(e)
Section 5.1(f)
Section 5.1(g)


document_description: The document outlines the conditions under which the Trustee may sell or liquidate collateral in the event of a default. It specifies the roles of the Investment Manager and Trustee, the process for obtaining bid prices, and the requirement for independent verification of calculations. It also details the communication obligations of the Trustee to various parties involved.

key_people:
Trustee
Investment Manager

document_subtype: contractual agreement


document_description: The document outlines the rights and procedures related to the enforcement of claims, application of funds, and limitations on legal actions under an Indenture agreement. It specifies the trustee's ability to enforce claims without possession of securities, the application of funds collected in the event of default, and the conditions under which security holders can initiate legal proceedings.


document_description: This document outlines the waiver of past defaults, undertaking for costs, and waiver of stay or extension laws related to an Indenture agreement. It specifies conditions under which past defaults can be waived, the requirement for an undertaking to pay costs in legal suits, and the waiver of certain legal benefits by the Co-Issuers.


document_description: The document outlines the rights of the Trustee to seek and recover judgment on the Securities or under the Indenture, and clarifies that these rights are not impaired by other legal actions or judgments. It also mentions the ability of the Investment Manager and related parties to bid for and acquire Collateral in a public sale.

title: Action on the Securities

key_organizations:
Investment Manager
Trustee
Holders
Co-Issuers


document_description: This section outlines the duties and responsibilities of the Trustee under the Indenture, including the performance of specific duties, reliance on certificates or opinions, and liability limitations. It specifies the Trustee's obligations during an Event of Default and the conditions under which the Trustee is not liable for actions taken in good faith.

title: ARTICLE VI - THE TRUSTEE

key_people:
Trustee
Investment Manager
Trust Officer

document_subtype: Trustee Duties and Responsibilities


document_description: This document outlines the responsibilities and limitations of the Trustee under the Indenture agreement. It specifies that the Trustee is not required to risk its own funds or incur financial liability without assurance of repayment or indemnity. The Trustee is not deemed to have knowledge of any Event of Default unless a Trust Officer has actual knowledge or written notice is received. The Trustee must deliver notices to Holders and allow Securityholders to examine relevant records upon request. The Trustee must notify relevant parties of any Event of Default or acceleration within three business days.

key_organizations:
Trustee
Issuer
Investment Manager
Securityholder
Co-Issuers
Hedge Counterparty
Rating Agency
Initial Purchaser
Paying Agent
Depository


document_description: The document outlines the responsibilities and protections of the Trustee in the administration of an Indenture. It specifies the conditions under which the Trustee can rely on documents and advice, the requirement for security or indemnity from Holders, and the Trustee's rights to investigate and access records. It also includes confidentiality obligations and exceptions for the Trustee.

key_people:
Trustee
Issuer
Controlling Party
Rating Agency
Co-Issuers
Investment Manager


document_description: This document outlines the indemnification and liability clauses for a Trustee under an Indenture agreement. It specifies the Trustee's rights, responsibilities, and limitations of liability, particularly in relation to agents, attorneys, the Investment Manager, and other parties involved in the management of Collateral. The Trustee is not liable for actions taken in good faith, nor for the actions or omissions of the Investment Manager and other intermediaries. The Trustee is also not obligated to verify compliance with certain documents or evaluate the sufficiency of documents related to Collateral.

document_subtype: trustee indemnification clause

key_organizations:
Investment Manager
Clearing Agency
DTC
Euroclear
Clearstream


document_description: The document outlines the rights, responsibilities, and limitations of the Trustee and its Affiliates in managing Eligible Investments. It includes provisions for additional compensation, indemnities, and compliance with laws related to banking and anti-money laundering. It also details the appointment and role of Authenticating Agents in the authentication of securities.

document_subtype: Trustee Agreement

key_organizations:
Bank
Trustee
Collateral Administrator
Co-Issuers


document_description: This document outlines the roles and responsibilities of the Authenticating Agent, Trustee, and Issuer in relation to securities issuance and management. It includes provisions for resignation and termination of the Authenticating Agent, compensation, and the handling of funds in trust. It also specifies the rights of the Trustee and other agents to hold securities and interact with the Issuer.

key_organizations:
Trustee
Issuer
Authenticating Agent
Co-Issuers
Fiscal Agent


document_description: The document outlines the compensation and reimbursement terms for the Trustee in relation to services rendered under the agreement. It specifies the Issuer's obligations to pay the Trustee on each Distribution Date, reimburse reasonable expenses, indemnify the Trustee against certain liabilities, and pay additional compensation for enforcement actions. The Trustee agrees not to file a bankruptcy petition against the Issuer or related entities within a specified period.


document_description: This document outlines the terms and conditions related to the payment of notes, excess interest, and principal proceeds to the Fiscal Agent for distribution to shareholders. It details the rights and obligations of the Trustee, including the requirement for a corporate trustee, eligibility criteria, and procedures for resignation, removal, and appointment of a successor trustee.

key_organizations:
Trustee
Fiscal Agent
Moody's
S&P


document_description: This document outlines the procedures for the resignation, removal, and appointment of a trustee in a financial agreement. It specifies the conditions under which a trustee may be removed or must resign, the process for appointing a successor trustee, and the responsibilities of the successor trustee upon acceptance of the appointment. It also details the notification requirements to relevant parties upon changes in trustee status.

key_people:
Trustee
Issuer
Holder
Controlling Party

document_subtype: Trustee Appointment and Resignation

key_organizations:
Hedge Counterparty
Investment Manager
Rating Agency


document_description: The document outlines the procedures for the appointment of a successor trustee, co-trustees, and the merger or consolidation of the trustee's business. It specifies the conditions under which a successor trustee can be appointed and the powers and responsibilities of co-trustees.

key_organizations:
Trustee
Issuer
Co-Issuers
Investment Manager
Rating Agency


document_description: This document outlines the rights, powers, duties, and obligations of a Trustee and co-trustees in managing property and handling delayed payments of proceeds. It specifies the conditions under which a co-trustee can be appointed, removed, or replaced, and the liability limitations for trustees and co-trustees. It also details the procedures for handling delayed payments related to Pledged Obligations and the actions to be taken by the Trustee and Investment Manager in such events.

key_organizations:
Issuer
Trustee
Investment Manager

reference_numbers:
Section 6.13
Section 6.14
Section 10.2(a)
Section 10.7
Article XII


document_description: The section outlines the fiduciary role of the Trustee with respect to security interests, stating that the Trustee acts as a fiduciary for the Holders and as an agent for other Secured Parties. It clarifies that the Trustee has no fiduciary duties to Secured Parties other than the Holders, except for express obligations under the Indenture.

title: Fiduciary for Holders Only; Agent for Other Secured Parties

key_organizations:
Trustee
Holders
Secured Party


document_description: This document outlines the covenants related to the payment of principal and interest, maintenance of office or agency, and paying agents for the Applicable Issuer and Co-Issuers. It specifies the responsibilities of the Issuer and Co-Issuers in terms of payment, appointment of agents, and maintenance of records.

key_organizations: The Bank of New York Mellon Corporate Trust


document_description: This document outlines the responsibilities and procedures for the Applicable Issuer and Paying Agents in managing payments related to securities. It specifies the conditions under which the Trustee and Paying Agents operate, including the handling of funds, appointment of successor Paying Agents, and actions in case of defaults.

document_subtype: contract

key_organizations:
Applicable Issuer
Trustee
Paying Agent
Moody's
S&P


document_description: The document outlines the responsibilities and obligations of the Co-Issuers and the Trustee in relation to the management and protection of trust funds and collateral. It specifies the conditions under which funds held by a Paying Agent should be transferred to the Trustee, the requirements for maintaining the existence and legal standing of the Co-Issuers, and the measures necessary to protect the collateral securing the indenture.

key_people:
Trustee
Co-Issuers
Independent Manager

key_organizations:
Applicable Issuer
Paying Agent


document_description: The document outlines the responsibilities of the Issuer and Trustee regarding the management and protection of collateral under an Indenture agreement. It includes provisions for granting, maintaining, and perfecting security interests, enforcing pledged obligations, and defending title against claims. The Issuer appoints the Trustee as its agent for filing necessary financing statements and other instruments. The document also specifies conditions under which the Trustee can manage the collateral and the Issuer's obligation to enforce rights under related agreements.

key_organizations: Issuer Trustee


document_description: This document outlines the terms and conditions under which the Issuer and Co-Issuer may enter into agreements, transfer membership interests, and invest assets. It includes compliance requirements and conditions for consolidation or merger with other entities.

key_locations:
Cayman Islands
United States
Delaware

key_organizations:
Issuer
Co-Issuer
Trustee
Investment Manager
Rating Agency
Holder
Hedge Counterparty


document_description: This document outlines the conditions and requirements for a merger or consolidation involving a Merging Entity and a Successor. It specifies the legal obligations, certifications, and confirmations needed from the Successor and the Merging Entity to ensure compliance with legal and financial standards. The document also addresses the need for Rating Agency Confirmation, the delivery of Officer's certificates and Opinions of Counsel, and the maintenance of security interests and tax compliance.

key_organizations:
Trustee
Rating Agency
Merging Entity
Successor
Issuer
Co-Issuer
Investment Manager


document_description: This document outlines the conditions under which a successor can be substituted for the Issuer or Co-Issuer in the event of a consolidation, merger, or transfer of assets. It also specifies the business activities the Issuer and Co-Issuer are permitted to engage in, the requirement for notifying changes in ratings, and the reporting obligations when not subject to certain sections of the Exchange Act.

title: Successor Substituted, No Other Business, Notice of Changes in Ratings, Reporting

key_organizations:
Issuer
Co-Issuer
Trustee
Investment Manager
S&P
Moody's


document_description: The document outlines the conditions under which supplemental indentures can be made to the existing indenture agreement. It specifies the need for Rating Agency Confirmation and the consent of affected parties, including Hedge Counterparties and Holders, for amendments that materially and adversely affect their interests. Specific conditions are detailed for changes to securities, including maturity dates, interest rates, and redemption terms.

document_subtype: Supplemental Indentures

key_organizations: Moody's S&P


document_description: This document outlines the conditions under which supplemental indentures can be made to the original indenture. It specifies the limitations on modifications that can impair or affect the collateral, create liens, or change voting requirements. It also details the consent required from various parties for different types of modifications, such as changes to collateral quality tests, investment manager fees, and issuance of replacement notes.

key_organizations:
Trustee
Issuer
Investment Manager
Rating Agency


document_description: The document outlines the procedures and conditions under which a supplemental indenture can be executed. It specifies the roles and responsibilities of the Trustee, the Investment Manager, and the Holders in the process. The Trustee is authorized to execute supplemental indentures but must rely on an Opinion of Counsel and an Officer's certificate to ensure no material adverse effects on any Class or Hedge Counterparty. The Investment Manager's consent is required for amendments affecting its obligations or rights. Manager Securities are excluded from consent determinations affecting Investment Management Fees. The document also details the notification process post-execution of a supplemental indenture.

document_subtype: supplemental indenture

reference_numbers:
Section 8.2
Section 8.3
Section 6.1
Section 6.3
Section 8.1(a)(xvii)
Section 8.1(b)


document_description: The document outlines the effects and procedures related to supplemental indentures under Article VIII. It specifies that upon execution, the indenture is modified accordingly and binds all holders of securities. It also details the process for referencing supplemental indentures in securities and the potential issuance of new securities conforming to the supplemental indenture.

key_organizations:
Trustee
Applicable Issuer


document_description: This section outlines the conditions and procedures for the optional redemption of Rated Notes and Subordinated Securities. It specifies the roles of the Issuer, Trustee, and Investment Manager in the redemption process, including the use of Sale Proceeds, Refinancing, and Redemption Financing. The document also details the conditions under which the redemption can occur, including the necessity of a Tax Event or the end of a Non-Call Period.

title: ARTICLE IX REDEMPTION

key_people:
Issuer
Trustee
Investment Manager


document_description: The document outlines the conditions and procedures for Redemption Financing, Equity Redemption, and Refinancing related to Rated Notes. It specifies the requirements for selling Pledged Collateral Obligations, obtaining Redemption Financing, and issuing Replacement Notes. The document also details the conditions under which these financial actions can occur, including the consent of the Investment Manager and the sufficiency of proceeds to cover Redemption Prices and other expenses.

document_subtype: Redemption and Refinancing Agreement

key_organizations:
Issuer
Rating Agency
Hedge Counterparty


document_description: This document outlines the procedures and conditions for the optional redemption of securities, including the notification process, conditions for cancellation, and payment details on the redemption date. It specifies the roles of the Trustee, Investment Manager, and other parties involved in the redemption process.

key_organizations:
Trustee
Investment Manager
Fiscal Agent
Initial Purchaser
Rating Agency
Hedge Counterparty


document_description: The document outlines the conditions and procedures for the redemption of Rated Notes, including the payment of the Redemption Price and accrued interest. It specifies the requirements for final payment on a Definitive Security and the process for Special Redemption during the Reinvestment Period.

document_subtype: Redemption Notice

key_organizations:
Co-Issuers
Trustee
Investment Manager
Issuer


document_description: This section outlines the responsibilities and procedures for the Trustee in collecting, managing, and investing funds related to the Pledged Obligations. It specifies the establishment of accounts, investment of funds, and the legal framework governing these activities.

title: ARTICLE X ACCOUNTS, ACCOUNTINGS, RELEASES AND PAYMENTS

key_people:
Trustee
Issuer
Investment Manager

document_subtype: Indenture


document_description: The document outlines the responsibilities and limitations of the Trustee regarding the management of funds in the Collection Account. It specifies the procedures for deposits and withdrawals, including the handling of interest and principal proceeds, and the role of the Investment Manager in directing these activities.

document_subtype: Trust Indenture


document_description: This document outlines the procedures for handling distributions and proceeds, eligible investments, and the management of additional accounts such as the Payment Account and Expense Reserve Account. It specifies the roles and responsibilities of the Trustee and the Issuer in managing these accounts and the conditions under which funds can be deposited or withdrawn.


document_description: This document outlines the procedures for managing various financial accounts related to the issuance of securities, including the Expense Reserve Account, Custodial Account, Uninvested Proceeds Account, and Credit Facility Reserve Account. It specifies the conditions under which deposits and withdrawals can be made from these accounts, as directed by the Investment Manager and Trustee.


document_description: The document outlines the procedures for handling funds in the Hedge Counterparty Collateral Account and the Securities Lending Account. It specifies the conditions under which deposits and withdrawals can be made, as well as the investment of funds. The document also mentions the transfer of funds from the Pre-Funded Letter of Credit Reserve Account to the Interest Collection Account as Interest Proceeds.

key_organizations:
Trustee
Issuer
Investment Manager


document_description: The document outlines the procedures for reviewing and revising Monthly Reports and Distribution Date Reports related to the Indenture. It specifies the responsibilities of the Trustee, Collateral Administrator, and Investment Manager in providing accurate reports and instructions for distributions. It also details the process for handling discrepancies and the use of independent accountants if necessary.

key_people:
Trustee
Investment Manager
Collateral Administrator

document_subtype: Indenture and Reporting Requirements

key_organizations:
Issuer
Rating Agency
Hedge Counterparty
Initial Purchaser


document_description: The document outlines the ownership and transfer conditions for Global Securities, specifying that they can only be owned by non-U.S. persons or qualified U.S. persons. It also details the process for releasing collateral by the Investment Manager through Issuer Orders to the Trustee, ensuring obligations are settled or redeemed appropriately.

key_organizations:
Issuer
Trustee
Investment Manager

reference_numbers:
Section 2.5
Section 2.11
Section 2.7
Section 10.7
Article XII


document_description: The document outlines the procedures for handling Pledged Collateral Obligations, including delivery, deposit of proceeds, and release of obligations. It also details the appointment and responsibilities of independent accountants for reporting purposes.

key_organizations:
Issuer
Clearing Corporation
Tax Subsidiary

reference_numbers:
Section 12.1(j)
Section 12.1(6)
Section 5.1


document_description: The document outlines the reporting requirements to Rating Agencies, tax treatment of notes, and procedures for providing information to Holders and Certifying Persons. It specifies the roles of the Issuer, Trustee, Investment Manager, and Independent accountants in these processes.

key_organizations:
Issuer
Trustee
Investment Manager
Independent accountants
Irish Stock Exchange


document_description: The document outlines tax-related obligations and restrictions for the Issuer and Co-Issuer, including maintaining corporate tax status, filing requirements, asset ownership restrictions, and compliance with FATCA regulations.


document_description: This section outlines the disbursement of funds from the Payment Account on each Distribution Date, detailing the order of priority for distributing Interest Proceeds. It includes payments for taxes, administrative expenses, reserve accounts, management fees, hedge agreements, and interest on Class A Notes.

title: ARTICLE XI APPLICATION OF PROCEEDS

key_organizations:
Trustee
Co-Issuers
Investment Manager


document_description: This document outlines the payment priorities for interest and principal on various classes of notes (Class B, C, D) and conditions under which payments are made, including coverage tests and ratings confirmations. It also addresses payments related to hedge agreements and administrative expenses.

document_subtype: payment waterfall


document_description: This document outlines the payment priorities and distribution of proceeds for a financial instrument, including the Subordinated Investment Management Fee, Principal Proceeds, and Interest Proceeds. It details the order of payments during the Reinvestment Period and upon achieving the Target Return, as well as the Priority of Principal Proceeds on each Distribution Date.

document_subtype: investment management


document_description: This document outlines the payment distribution sequence and priorities for Rated Notes, Subordinated Securities, and the Investment Manager Incentive Fee Amount during and after the Reinvestment Period. It also details the Principal Payment Sequence and the Priority of Post-Acceleration Payments in the event of default.

document_subtype: financial agreement

key_organizations:
Co-Issuers
Trustee
Investment Manager


document_description: This document outlines the order of payments for various financial obligations, including administrative expenses, investment management fees, hedge counterparty payments, and interest and principal on different classes of notes. Payments are prioritized based on specific clauses, ensuring that higher priority obligations are settled before others.

document_subtype: payment distribution schedule


document_description: This document outlines the conditions under which the Investment Manager, on behalf of the Issuer, may direct the Trustee to sell certain types of obligations, including Defaulted Obligations, Equity Securities, Credit Risk Obligations, and Appreciated Obligations. It specifies the conditions for Discretionary Sales and the efforts required to sell Defaulted Obligations and Equity Securities. It also addresses the transfer of ownership to a Tax Subsidiary for tax purposes.

title: Sale of Collateral Obligations; Substitution

key_organizations:
Issuer
Investment Manager
Trustee


document_description: The document outlines the procedures and conditions under which a Tax Subsidiary can be formed and managed by the Investment Manager on behalf of the Issuer. It includes provisions for consulting with a tax advisor, notifying Rating Agencies and the Trustee, and handling Equity Workout Securities. It also details the conditions for selling Collateral Obligations during the Reinvestment Period and the requirements for maintaining the Effective Date Overcollaterization Ratio.

key_organizations:
Issuer
Trustee
Rating Agency


document_description: This document outlines the reinvestment requirements and conditions for the purchase of Collateral Obligations in a financial agreement. It specifies conditions such as maturity, S&P ratings, purchase price, and compliance with various tests. It also details the process for calculating compliance with reinvestment requirements and the conditions under which exceptions can be made. Additionally, it mandates the sale of Collateral Obligations scheduled to mature after the stated maturity of the notes.

key_organizations:
S&P
Issuer
Investment Manager
Trustee


document_description: The document outlines procedures for the sale of Collateral Obligations and Unsaleable Assets by the Trustee at the direction of the Investment Manager. It includes conditions under which the Investment Manager can direct sales, auction procedures for Unsaleable Assets, and actions to be taken if no bids are received. It also addresses actions in the event of a default.

key_organizations: Issuer S&P


document_description: This document outlines the obligations and conditions related to Collateral Obligations, Margin Stock, Equity Securities, and Equity Workout Securities. It specifies the eligibility criteria and trading restrictions for securities to be included as Pledged Collateral Obligations. It also details the conditions applicable to transactions involving the sale or grant of such obligations, emphasizing arm's length transactions and compliance certifications.

key_people:
Investment Manager
Trustee
Issuer


document_description: The document outlines the conditions under which the Issuer can engage in securities lending, including obtaining Rating Agency Confirmation, limiting the amount of collateral obligations subject to lending, and ensuring agreements are on market terms. It specifies the requirements for collateral and the responsibilities of the Securities Lending Counterparty.

document_subtype: Securities Lending Agreement

key_organizations:
Issuer
Investment Manager
Securities Lending Counterparty
Rating Agency


document_description: The document outlines the procedures and responsibilities related to the release and management of Collateral Obligations under a Securities Lending Agreement. It specifies the roles of the Issuer, Trustee, and Investment Manager in the lending process, including the release of liens, acknowledgment of agreements, and administration of collateral. The Trustee's obligations and limitations are detailed, emphasizing the need for specific instructions from the Investment Manager and disclaiming fiduciary duties to Securities Lending Counterparties.


document_description: The document outlines the procedures and conditions related to the management of Securities Lending Agreements, including the handling of Loaned Collateral Obligations, actions to be taken if a Securities Lending Counterparty no longer meets required ratings, and the steps to be followed in the event of a default by a Securities Lending Counterparty.

key_organizations:
Trustee
Investment Manager
Issuer
Securities Lending Counterparty
Rating Agency


document_description: This section of the Indenture outlines the subordination of Lower Ranking Classes to Higher Ranking Classes in terms of payment and distribution rights. It specifies that in the event of default, Higher Ranking Classes must be paid in full before any payments are made to Lower Ranking Classes. It also details the standard of conduct for Holders in exercising their voting rights, emphasizing that they have no obligation to consider the interests of others.

title: Holders' Relations


document_description: The document outlines procedures for communication and meetings related to securities holders, including provisions for document delivery, waiver of document receipt, and holder meetings. It also includes a non-petition clause for note holders.

key_organizations:
Irish Listing Agent
Irish Stock Exchange
Depository
Euroclear
Clearstream
Trustee
Issuer


document_description: This section outlines the procedures for document certification and opinions required by the Trustee, including the consolidation of multiple documents into one and the conditions under which the Trustee can act without knowledge of a Default or Event of Default. It also details the process for voting rights and actions by Holders, including the execution and delivery of instruments to the Trustee and Issuer.

title: ARTICLE XIV MISCELLANEOUS

key_organizations:
Co-Issuers
Investment Manager
Trustee


document_description: This document outlines the procedures and requirements for executing and proving instruments or writings related to the Indenture, including voting rights and notices to designated persons. It specifies how the execution by any person can be proved, how the aggregate outstanding amount of securities is verified, and the binding nature of votes by security holders. It also details the voting rights for global securities and the process for sending notices to designated parties.


document_description: The document outlines the communication protocols and contact information for various parties involved in the ING IM CLO 2011-1 transaction. It specifies the addresses, facsimile numbers, and email addresses for the Issuer, Co-Issuer, Investment Manager, Administrator, Irish Stock Exchange, Hedge Counterparty, and Initial Purchaser. It also details the conditions under which the Bank will accept instructions via unsecured electronic methods and the responsibilities of parties providing such instructions.


document_description: The document outlines the responsibilities and limitations of the Trustee regarding the NRSRO Website, including non-responsibility for maintenance, content, and compliance with regulations. It also clarifies that the Trustee is not liable for dissemination of access credentials or use of information on the website. The document includes sections on the effect of headings, successors and assigns, benefits of the indenture, and governing law, which is the law of the State of New York.


document_description: This document outlines various legal provisions related to an Indenture agreement, including submission to jurisdiction, execution in counterparts, liability of co-issuers, severability, and waiver of jury trial. The parties agree to submit to the jurisdiction of New York courts for any disputes arising from the Indenture. The document can be executed in multiple counterparts, and co-issuers have no liability to each other under the Indenture. Provisions are severable, and parties waive the right to a jury trial.


document_description: This document is an excerpt from an indenture agreement involving the issuer, co-issuer, trustee, and holders. It emphasizes the acknowledgment and agreement of the parties regarding the consideration and material inducement for entering into the indenture or accepting securities benefits.


document_description: The document outlines the terms and conditions under which the Issuer may enter into Hedge Agreements, including the responsibilities of the Trustee in managing payments and enforcing rights under these agreements. It also details the procedures for handling early termination of Hedge Agreements and the process for entering into replacement agreements.


document_description: The document outlines the conditions under which the Hedge Agreements can be amended or terminated. It specifies that amendments require Rating Agency Confirmation and that the Issuer can apply proceeds from a Hedge Agreement disposition to enter a new agreement under similar terms, also requiring Rating Agency Confirmation. Additionally, the Issuer cannot designate an Early Termination Date without approval from each Rating Agency and notification to the Hedge Counterparty by the Trustee.


document_description: This document is an indenture executed as a deed involving ING IM CLO 2011-1, LTD. as the issuer, with Richard Gordon as the director signing the document and Desiree Lawson as the witness. The document also involves ING IM CLO 2011-1 LLC as the co-issuer and The Bank of New York Mellon Trust Company, National Association as the trustee. The document is marked confidential pursuant to Federal Rule of Criminal Procedure 6(e).


document_description: This document is an indenture executed as a deed by ING IM CLO 2011-1, LTD. as Issuer, ING IM CLO 2011-1 LLC as Co-Issuer, and The Bank of New York Mellon Trust Company, National Association as Trustee. The document is marked confidential pursuant to Federal Rule of Criminal Procedure 6(e).


document_description: This document is an indenture executed as a deed by ING IM CLO 2011-1, LTD. as Issuer, ING IM CLO 2011-1 LLC as Co-Issuer, and The Bank of New York Mellon Trust Company, National Association as Trustee. The document is marked as confidential pursuant to Federal Rule of Criminal Procedure 6(e).


document_description: The reputational risk committee at Deutsche Bank has requested an external due diligence report for opening an account for Gratitude America. The report takes about eight business days to complete. DB personnel are instructed not to disclose the reputational evaluation to the client, instead stating that internal due diligence is being conducted as with all new accounts. Ari is available to assist with the form required to initiate the report.


document_description: This document appears to be a confidential communication related to Deutsche Bank Securities Inc, specifically involving an analyst named Ariane Dwyer. It includes reference numbers that may pertain to legal or financial matters.


document_description: This document is marked as confidential and is related to Deutsche Bank Securities Inc. It is subject to Federal Rule of Criminal Procedure 6(e), indicating it may be part of a grand jury proceeding or investigation.


document_description: The document is a confidential communication from Tazia Smith, Director at Key Client Partners - US, part of DB Securities Inc and Deutsche Asset & Wealth Management. It includes reference numbers DB-SDNY-0056285, SDNY_GM_00202469, and EFTA01365516.


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


document_description: The document provides financial metrics for the instrument EURUSDV3H, including last price, high, average, and low values over a specified timeframe. It also includes a disclaimer about the indicative nature of prices and a description of derivatives, their uses, and associated risks. The correspondence is marked as confidential and includes contact information for Daniel Sabba, Director at Deutsche Bank Securities Inc.


document_description: This document is a confidential communication from Deutsche Bank, emphasizing that it does not provide legal or tax advice. The information is intended only for the addressee and may be attorney-client privileged or constitute inside information. Unauthorized use or disclosure is prohibited.


document_description: The document is an offering memorandum dated June 15, 2011, for the securities of ING IM CLO 2011-1, Ltd. It is intended for a specific recipient and is not an offer to the public. Distribution, photocopying, or forwarding of the memorandum is unauthorized and prohibited.


document_description: The document outlines the terms and conditions related to the interest, payment, and redemption of various classes of notes, including Class A, B, C, and D Notes, collectively referred to as the Rated Notes. It details the payment hierarchy, redemption conditions, and the issuance of securities under Rule 144A and Regulation S. The document also specifies the conditions under which securities can be held and transferred, particularly concerning U.S. persons and Benefit Plan Investors.


document_description: This offering memorandum is prepared for the offering and listing of securities. It contains information from the co-issuers and other sources, with certain sections provided by the investment manager. The co-issuers and the investment manager accept responsibility for their respective sections. The Bank of New York Mellon Trust Company has not participated in its preparation. The memorandum is subject to change and should not be construed as investment, legal, or tax advice. Investors should consult their own advisors.


document_description: This document is an offering memorandum for the sale of securities, which may be restricted by law in certain jurisdictions. It emphasizes that the securities have not been registered or approved by the SEC or any other regulatory authority. The memorandum outlines confidentiality agreements and restrictions on distribution and reproduction of the document. It includes specific notices for residents of New Hampshire and Connecticut regarding the legal status and transferability of the securities.


document_description: The document provides legal notices and restrictions related to the offering and resale of securities in Bahrain, Belgium, and Canada. It outlines specific conditions under which securities can be offered or sold in these regions, emphasizing compliance with local laws and regulations. In Canada, it highlights resale restrictions and the rights of purchasers, particularly in Ontario, where statutory rights of action for damages or rescission are available under certain conditions.


document_description: The document outlines legal disclaimers and notices related to the offering and sale of securities in various jurisdictions, including Ontario, Cayman Islands, Finland, France, and Germany. It highlights the limitations on legal recourse for purchasers, the enforcement of legal rights, taxation considerations, and specific restrictions on the offering and sale of securities in each jurisdiction.


document_description: This document contains legal notices regarding the offering and sale of securities in various countries, including Greece, Hong Kong, Indonesia, Israel, Italy, Japan, and Korea. It specifies restrictions and legal requirements for offering securities in these jurisdictions.


document_description: This document outlines the legal conditions and restrictions for the subscription or purchase of securities under Section 275 of the SFA, specifically for corporations and trusts not classified as accredited investors. It includes notices to residents of Spain, Switzerland, Taiwan, Thailand, and Turkey regarding the offering and distribution of securities in these regions, highlighting the legal limitations and requirements in each jurisdiction.


document_description: This document is a legal notice regarding the offering of securities in the United Arab Emirates and the United Kingdom. It specifies that the offering has not been approved by the UAE Central Bank and is directed only at certain qualified individuals in the UK. It also discusses potential stabilization actions related to the securities.


document_description: This document is a summary of terms for the issuance of Notes under an Indenture. It includes details on the principal amounts for different classes of Notes, the Issuer and Co-Issuer, and the roles of the Initial Purchaser and Trustee. The document outlines the structure and purpose of the securities offering, including the allocation of funds and voting rights.


document_description: This document outlines the terms of an investment management agreement involving ING Alternative Asset Management LLC as the Investment Manager. It details the closing date, distribution dates, reinvestment period, stated maturity of the notes, priority of payments, and interest rates for different classes of notes.


document_description: The document outlines legal provisions related to payments on Preferred Shares, including conditions for dividends and redemption. It details optional and special redemption conditions, use of proceeds, and security for notes. Dividends are payable from distributable profits or share premium, and redemption is subject to specific conditions. Proceeds are used to purchase Collateral Obligations, with security provided by pledged collateral.


document_description: The document outlines the terms and conditions for the issuance of Notes, including ratings, governing law, offer and transfer restrictions, and listing and trading information. The Notes are governed by New York law, while the Preferred Shares are governed by Cayman Islands law. The securities are not registered under the Securities Act and have specific offer and transfer restrictions. The Notes are to be listed on the Irish Stock Exchange.


document_description: The document discusses the listing status of certain securities, noting that the Preferred Shares will not be listed and there is no current secondary market for the securities. It also references sections on tax considerations, ERISA considerations, and risk factors for prospective investors.


document_description: The document outlines risk factors associated with investing in certain securities. It highlights the complexity and high risk of structured investment products, the nature of obligations, liquidity considerations, and subordination of payments. It emphasizes that these securities are intended for sophisticated investors capable of understanding and assuming the risks involved.


document_description: The document outlines the financial structure and risks associated with securities issued by an entity, including the use of leverage, the ranking of securities, and the potential for losses. It details the equity status of preferred shares, the impact of leverage on subordinated securities, and the application of proceeds from the sale of securities.


document_description: The document discusses the impact of uninvested cash balances and unpaid accrued interest on collateral in relation to securities distributions, particularly subordinated securities. It covers the calculation of overcollateralization tests, valuation information, control of remedies, amendments to the indenture, and average life and prepayment considerations of rated notes.


document_description: The document discusses the financial and legal considerations related to the redemption and management of Collateral Obligations by an Issuer. It covers topics such as interest rates, default rates, reinvestment, and tax implications. The document also outlines the conditions under which Notes may be redeemed or accelerated, and the tax considerations for the Issuer's income.


document_description: The document discusses various risk factors and considerations related to the investment in securities, particularly focusing on the role of the Investment Manager, potential for unsolicited ratings, and recent developments in the leveraged loan market. It highlights the dependency on key personnel of the Investment Manager, the impact of unsolicited ratings on the value and liquidity of the Notes, and the risks associated with economic conditions affecting the leveraged loan market.


document_description: The document discusses the risks associated with below investment grade debt obligations, including credit and liquidity risks, interest rate mismatches, and limitations of portfolio diversification. It highlights the potential for increased default rates and financial stress during economic downturns. The document also addresses the limitations of the Issuer's control over loan workouts and restructurings.


document_description: The document discusses the voting rights and risks associated with selling institutions and participation agreements in the context of debt obligations, particularly loans. It highlights the liquidity and credit risks of loans, the implications of second lien loans, and the challenges of investing in non-U.S. assets. The document also mentions the acquisition and sale of collateral obligations by the Issuer.