document_description: A disclaimer from Deutsche Bank stating that they do not provide legal or tax advice and that the information in the communication should not be considered as such.


source: doj

document_description: This document is a certification form required by Federal regulation for financial institutions to obtain information about the beneficial owners of legal entity customers. It is used to help fight financial crime by disclosing key individuals who own or control a legal entity.

title: Certification Regarding Beneficial Owners Of Legal Entity Customers

document_type: financial

document_subtype: Certification Form

key_organizations:
Deutsche Bank
Federal regulation


document_description: Certification of beneficial owner(s) for an account being opened on behalf of Gratitude America, Ltd., a U.S. Virgin Islands not-for-profit corporation. Darren K. Indyke, Treasurer, is the natural person opening the account. No individuals own 25% or more of the equity interests. Darren K. Indyke is also listed as an individual with significant responsibility for managing the legal entity.

key_people:
Darren K. Indyke
Brad Gilli

key_locations:
St. Thomas, USVI
Livingston, NJ

document_subtype: Certification of Beneficial Owner

key_organizations:
Gratitude America, Ltd.
Deutsche Bank AG


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

document_type: correspondence


document_description: A request for a reply by 3:15 p.m (EST) to meet Federal Reserve Check Clearing returns guidelines.


document_description: A check issued by Deutsche Bank Trust Company Americas to Thoroughbred Owners and Breeders Association for the amount of $10,416.67. The check was presented remotely and flagged for 'Signature not on file'.

key_locations:
345 Park Avenue, New York, New York
Lexington, KY

document_subtype: check


document_description: Discussion on using short dated structured notes for single name stocks, with a sample transaction for AAPL and BK. Includes a table of stocks with their prices and ratings.

key_people:
Daniel
Ariane Dwyer
Vahe Stepanian
Paul Morris

document_type: email

key_organizations:
BNP Paribas
DB Global Market Research


document_description: This document is a confidential communication, possibly containing attorney-client privileged or inside information, intended only for the addressee. It emphasizes the prohibition of unauthorized use, disclosure, or copying of the communication. The document also notes that Deutsche Bank does not provide legal or tax advice.

key_organizations:
JEE
Deutsche Bank


document_description: A request form for additional account access/change for Deutsche Bank's Private Wealth Online Plus service, including wire transfer services with a daily limit of $20,000,000. The form is signed by Jeffrey E. Epstein.

title: DB Private Wealth Online Plus—Additional Account Access/Change Request

key_people:
Jeffrey E. Epstein
Bella McLein

document_subtype: Bank Account Access/Change Request


document_description: A check issued by NES, LLC through Deutsche Bank Trust for the amount of $6,396.41 to A.D. Winston Service, Inc. for maintenance services.

key_locations:
New York, New York
Long Island City, NY
St. Thomas

key_organizations:
NES, LLC
Deutsche Bank Trust
A.D. Winston Service, Inc.


document_description: This document is a confidential communication from Deutsche Bank regarding Key Client Partners (KCP) products and services. It is intended for sophisticated institutional investors as defined by FINRA Rule 4512(C)(3). The document emphasizes that trades and transactions require internal approvals and are conditional on becoming a client of Deutsche Bank. It also states that the information is for discussion purposes only and prohibits reproduction or redistribution without written consent.

key_organizations:
Deutsche Bank
DBSI


document_description: The document contains financial data related to various trusts, LLCs, and individuals, detailing balances and transactions. It includes information on large, zero, and negative balances, with specific amounts listed for each entity.

document_type: tabular


document_description: The document contains a confidentiality notice related to a legal matter, referencing Federal Rule of Criminal Procedure 6(e).

document_type: other


document_description: This document contains a disclaimer from Deutsche Bank regarding legal and tax advice, confidentiality notice, and references to EU corporate and regulatory disclosures.


document_description: Southern Financial LLC entered into transactions with Deutsche Bank AG involving Total Return Swaps and European Call options on TWTR shares. The transactions include a long position on TWTR through TRS and a short position on TWTR European Calls. The initial strike is based on VWAP until the close of the day, with a 30% initial margin. Termsheet and official confirmation to follow.

key_people:
Jeffrey E.
Vahe Stepanian
Paul Morris
Richard Kahn
Daniel Sabba

document_subtype: memo

key_organizations:
Southern Financial LLC
Deutsche Bank AG


document_description: A note regarding a 100,000 OTC Call with details on expiry, strike, and bid.

document_subtype: note


document_description: The document is a daily deposit report listing large, zero, and negative balances for various accounts as of March 8, 2019. It includes account names, categories, and balances.

title: RM0082289 Daily Deposit Report

key_people:
Jeffrey Epstein
Nancy DeVane
Michael DeVane
Ali Rashid
Shari Wagner
Mara Wagner
Leah Kubis

document_subtype: financial report

key_organizations:
The Jockey Club
The Grayson Jockey Club
Equibase Company
Southern Financial LLC
Neptune, LLC
Hyperion Air, LLC
Plan D, LLC
JEGE, LLC
Darren K. Indyke PLLC
HBRK Associates, Inc
NES, LLC
JSC Interiors LLC
LSJE, LLC
Gratitude America, Ltd
Blood-Horse LLC
Zorro Management, LLC
Prytanee, LLC
The Haze Trust
Kati Wanek-Forsythe 2015 GRAT
The 2017 Caterpillar Trust
Keyhole Partners, LLC
Third Lake Partners, LLC
Addison at Millenia Holdings, LLC
Mizner Court Holdings, LLC
Solstice Loop Holdings, LLC
Sabal Club Holdings, LLC
San Marco Holdings, LLC
Sun Lake Multifamily Holdings, LLC
Verona Apartments Holdings, LLC
Summer Cove Holdings, LLC
Marina Landing Holdings, LLC
Axcis Information Network Inc.
Southern Trust Company, Inc.


document_description: The document contains two tables listing financial balances for various entities, including trusts, LLCs, and individuals. The first table lists balances for entities such as BUTTERFLY TRUST, GRATITUDE AMERICA, LTD, and others, with some entities having significant balances. The second table highlights large, zero, and negative balances for entities like SAN MARCO HOLDINGS, LLC, SUN LAKE MULTIFAMILY HOLDINGS, LLC, and others. The document is marked as confidential under Federal Rule of Criminal Procedure 6(e).


document_description: The document contains two tables listing financial information related to various trusts, LLCs, and individuals. The first table lists entities with associated amounts, while the second table focuses on large, zero, and negative balances. The document is marked as confidential and is related to a legal case, as indicated by references to Federal Rules and specific document identifiers.


document_description: The document contains financial information related to various trusts and entities, including balances and account details. It lists large, zero, and negative balances for different trusts and companies, such as Shari Wagner 2012 Irrevocable Trust, Robert S Forsythe Revocable Trust, Laura A Forsythe Revocable Trust, and Ashley Holdings Inc. The document is marked as confidential and includes a contact email for assistance.

key_people:
Shari Wagner
Robert S Forsythe
Laura A Forsythe
Kati Wanek-Forsythe
Todd R Wanek
Ronald Wanek
Joyce Wanek
Mara Wagner
Leah Kubis

key_organizations:
Ashley Holdings Inc
Ashley Furniture Industries Inc
Keyhole Partners, LLC


document_description: The document contains financial data in tabular format, listing various entities and their respective balances. It includes two tables: one with general balances and another highlighting large, zero, and negative balances. The entities listed include various LLCs, trusts, and individuals, with amounts ranging from zero to several million dollars.


document_description: The document contains financial data in tabular format, listing various entities and their associated financial amounts. It includes information on large, zero, and negative balances for individuals and trusts, with specific amounts detailed for each entry.


document_description: The document contains financial data related to various trusts and companies, including balances and overdraft amounts. It lists entities such as the Robert S Forsythe Revocable Trust, Laura A Forsythe Revocable Trust, Kati Wanek-Forsythe 2012 Irrevocable Trust, Todd R Wanek 2015 GRAT Trust, Ronald & Joyce Wanek Irrevocable Trust, Ashley Holdings Inc, Ashley Furniture Industries Inc, and others. The document also includes a note for contacting an administrator for assistance and is marked as confidential under federal rules.


document_description: The document contains partial bank information related to Jeffrey E. Epstein, including a reference to Deutsche Bank Trust Company Americas and a SWIFT code. It also includes a forwarded email regarding a wire deposit from Brigid Macias dated March 13, 2019.

key_people:
Jeffrey E. Epstein
Brigid Macias
Bella

document_subtype: bank information


document_description: Brigid Macias from Deutsche Bank contacted Richard Kahn and Bella Klein regarding a return of funds. She attempted to communicate with Kadiata, who does not speak English, and was transferred to an unanswered line. She also emailed Michael for further assistance.

key_people:
Brigid Macias
Richard Kahn
Bella Klein
Kadiata
Michael

key_organizations:
Deutsche Bank Trust Company Americas
Deutsche Bank Wealth Management


document_description: A note from Bella to Brigid providing contact information for a wire transfer.

key_people: Bella Brigid


document_description: The document contains visual elements such as large black rectangles and vertical stacked text spelling out a name. It is marked as confidential under Federal Rule of Criminal Procedure 6(e).


document_description: The document appears to be related to an investigation case, marked as confidential under Federal Rule of Criminal Procedure 6(e).


document_description: A confidential correspondence from Bridget Macias regarding the location of funds.


document_description: The document contains a confidential notice pursuant to Federal Rule of Criminal Procedure 6(e) and includes reference numbers DB-SDNY-0079615, SDNY_GM_00225799, and EFTA01380988. It also contains an email address, but no complete email content is provided.


document_description: The document contains a visual representation of data, likely a bar chart, with fragmented text labels around it. The text includes characters that may represent labels or data points associated with the bar. The document is marked as confidential under federal rules.

document_type: media


document_description: The document contains confidential information related to incoming wiring instructions, marked as confidential under Federal Rule of Criminal Procedure 6(e).


document_description: This document is marked as confidential and is related to legal proceedings, specifically under Federal Rule of Criminal Procedure 6(e). It includes identifiers such as DB-SDNY-0079666, SDNY_GM_00225850, and EFTA01380991.


document_description: This document is a standard confidentiality notice from Deutsche Bank, indicating that the communication may contain confidential or privileged information. It advises unintended recipients to notify the sender and delete the communication. It also states that Deutsche Bank does not provide legal or tax advice.


document_description: A confidential communication from Deutsche Bank with a disclaimer about legal and tax advice. It includes references to EU corporate and regulatory disclosures.


document_description: The document is a daily deposit report listing large, zero, and negative balances for various accounts. It includes account numbers, names, categories, and balances. Notable entries include Jeffrey Epstein with a balance of $3,327,371.18 and Ashley Holdings Inc with multiple entries totaling significant amounts.

title: Daily Deposit Report

key_people:
Jeffrey Epstein
Ali Rashid
Rahul Vaid

key_organizations:
The Jockey Club
The Jockey Club Safety Net Foundation
The Grayson Jockey Club
Equibase Company
Southern Financial LLC
Neptune, LLC
Hyperion Air, LLC
Plan D, LLC
JEGE, LLC
NES, LLC
LSJE, LLC
Blood-Horse LLC
Zorro Management, LLC
Prytanee, LLC
Axcis Information Network Inc
Southern Trust Company, Inc.
Butterfly Trust
Ashley Holdings Inc
Ashley Homestores Ltd
Ashley Real Estate, LLC
Ashley Distribution Services Ltd
Ashley Global Retail, LLC
Ashley Furniture Industries Inc


document_description: Vijay Sawant from Deutsche Bank is confirming the closure of accounts related to Jeffrey Epstein and associated entities under the Southern Financial Relationship. The email lists several entities for account closure confirmation.

key_people:
Vijay Sawant
Jeffrey Epstein

document_subtype: email

key_organizations: J. Epstein Virgin Islands Foundation, Inc


document_description: A memo regarding the 2019 Periodic Review for account holders Darren K. Indyke, Karyna Shuliak, and Richard D. Kahn, identified as beneficiaries of the Butterfly Trust. It requests confirmation of any material changes in KYC details, SOW verification for Karyna Shuliak, and confirmation of her dual citizenship status. The memo also mentions the launch of a case and potential need for additional details/documents.

key_people:
Darren K. Indyke
Karyna Shuliak
Richard D. Kahn
Mayur Rathod

key_locations: Mumbai India

key_organizations:
Deutsche CIB Centre Private Limited
Wealth Management


document_description: The document contains a table of rejected wire transfers through Business Internet Banking. It includes details such as transaction IDs, sender and recipient names, amounts, dates, and rejection status.

key_people:
Kurt Butenhoff
Kimberly Butenhoff
Sean Bates
Maria Helena Jorge
Jeffrey E. Epstein

document_subtype: wire transfer records

key_organizations:
AXCIS INFORMATION NETWORK, INC.
White Oak Investment Fund II, L.P.
AJM RE, LLC
Golden Tree Capital Partners, LLC
165 Charles Street LLC
Solstice Loop Holdings, LLC
Mizner Court Holdings, LLC
VistaJet US Inc


document_description: Review of DB Business Internet Banking rejected cases created between 2017 and April 12, 2019. All cases need to be removed from the report, reviewed, and resubmitted or terminated.

title: Business Internet Banking Rejected Cases Review

key_people:
Ralf Lottermann
Kurt Butenhoff
Sean Bates

key_organizations:
DB
Walsam 130 Mad LLC
GMS Holdings Inc.
Moses & Singer LLP
Argu Holdings LLC
AXCIS Information Network, Inc.
White Oak Investment Fund II, L.P.


document_description: This document contains a table of rejected wire transfers conducted through Business Internet Banking. The transactions involve various entities including AJM RE, LLC, Golden Tree Capital Partners, LLC, 165 Charles Street LLC, Jeffrey Epstein, Solstice Loop Holdings, LLC, Mizner Court Holdings, LLC, and VistaJet US Inc. The transactions were rejected and include details such as amounts, dates, and transaction IDs.

key_people:
Jeffrey Epstein
Halina Laczny

key_locations: 60 Wall Street, New York, NY, 10005-2836, USA

key_organizations:
AJM RE, LLC
Golden Tree Capital Partners, LLC
165 Charles Street LLC
Solstice Loop Holdings, LLC
Mizner Court Holdings, LLC
VistaJet US Inc
Deutsche Bank Wealth Management


document_description: Correspondence regarding account closure and fraud reporting procedures. The document includes contact information for Rishabh Sharma from DBOI Global Services Private Limited and instructions for reporting fraudulent transactions.

key_locations:
Jaipur, India
Mahindra Technology Park
Mahindra World City - SEZ

key_organizations:
DBOI Global Services Private Limited
Manufacturers and Traders Trust Co
International Jet Interiors, Inc.


document_description: This document is a communication from Deutsche Bank, emphasizing the confidentiality and privileged nature of the information contained within. It advises recipients to refer to the bank's disclosures for EU corporate and regulatory information and clarifies that Deutsche Bank does not provide legal or tax advice. The document also outlines the bank's policy on monitoring communications for compliance purposes.


document_description: Request to distribute balances and close deposit accounts with residual balances for various trusts and companies associated with Jeffrey Epstein.

key_people:
Kimberly Hart
Jeffrey Epstein

document_subtype: bank account closure request

key_organizations:
Southern Financial LLC
Southern Trust Company Inc
The Haze Trust
Deutsche Bank Trust Company Americas


document_description: Instructions to close $0 balance brokerage accounts and distribute balances from deposit accounts with residual balances.

key_people:
Kimberly Hart
Dawn Forbes
Jeffrey Epstein

key_organizations:
Deutsche Bank Trust Company Americas
J Epstein Virgin Islands Foundation
Jeepers Inc
Southern Financial LLC
Southern Trust Company Inc
The Haze Trust UAD
Butterfly Trust


document_description: L Brands shares dropped due to CEO Les Wexner's name surfacing in reports about Jeffrey Epstein. Shares lost approximately 3.5% on Tuesday and 6.6% over the five days ending Thursday. Epstein served as L Brands' money manager and bought a mansion from Wexner. Wexner cut ties with Epstein over a decade ago and has not been accused of wrongdoing.

title: L Brands Takes A Beating Because Of CEO's Previous Association With Sex Offender Jeffrey Epstein

key_people:
Les Wexner
Jeffrey Epstein

document_subtype: news article

key_organizations:
L Brands
Victoria's Secret
Bath & Body Works


document_description: Public trust in the development process is at rock bottom, with local communities feeling both developers and local politicians aren't looking out for their interests, according to the findings of a new survey. Property company Grosvenor Britain & Ireland undertook what it says is the survey.

title: Public Faith In Development Is In The Gutter. The Rebuild Starts Here


document_description: The document contains headlines related to real estate and development news, including NYC investment sales, Toll Brothers' luxury penthouse sale, and Amazon's HQ2 development plans.

key_locations:
New York City
Arlington

key_organizations:
Toll Brothers
Amazon


document_description: A bank application form requiring completion of W-8 or W-9 documentation, acknowledgment of terms and conditions, and acceptance by DBTCA. The form includes sections for account holder and bank use signatures, and account numbers.

document_subtype: bank application


document_description: A blank signature card for Deutsche Bank Trust Company Americas, indicating various account holder types and requiring signatures for account setup. The document is marked confidential and is related to a federal case.

title: Deutsche Bank Wealth Management Signature Card

document_subtype: signature card


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


document_description: Richard Kahn from HBRK Associates Inc. instructs Vahe Stepanian to call Darren Indyke to confirm stock sell orders for Boeing, Tencent Holdings, and Ubisoft Entertainment.

key_people:
Richard Kahn
Vahe Stepanian
Darren Indyke

key_organizations:
HBRK Associates Inc.
Deutsche Bank


document_description: A form for selecting features of the Preferred Cash Management Service offered by Deutsche Bank, including options for Maximum Balance and Target Balance features, as well as termination of service. The form includes acknowledgments about the non-insurance of funds by FDIC or any U.S. governmental agency.

document_subtype: Preferred Cash Management Service Selection Form

key_organizations:
Deutsche Bank
DBTCA
Deutsche Bank AG New York Branch


document_description: Jeffrey Epstein requests Deutsche Bank Trust Company Americas (DBTCA) and Deutsche Bank AG New York Branch to provide the Preferred Cash Management Service with the Maximum Balance Feature. He authorizes the transfer of balances exceeding a specified amount from his DBTCA Deposit Account to his Preferred Banking Account and allows automatic transfers to maintain the Maximum Balance. The document outlines the terms and conditions, including the lack of FDIC insurance and the obligations of Deutsche Bank AG New York Branch.

key_organizations:
Deutsche Bank Trust Company Americas
Deutsche Bank AG New York Branch


document_description: Jeffrey Epstein requests Deutsche Bank Trust Company Americas (DBTCA) and Deutsche Bank AG New York Branch to provide the Preferred Cash Management Service. He selects the Maximum Balance Feature with an Automatic Transfer Option. The document outlines the terms and conditions, including the lack of FDIC insurance and the obligations of Deutsche Bank AG New York Branch.


document_description: Discussion on Brazil's potential downgrade by S&P, which would push the country back into junk status. Nicholas Spiro comments on Brazil's perceived riskiness and creditworthiness.

key_people:
Nicholas Spiro
Paula Sambo
Brendan Walsh
Melinda Grenier
Julia Leite
Lester Pimentel
Bradley Keoun

key_locations:
Brazil
Sao Paulo
London
New York

key_organizations:
S&P
Moody's
Spiro Sovereign Strategy
Deutsche Bank


document_description: A communication from Richard Kahn of HBRK Associates Inc. to an unspecified recipient, containing a confidentiality notice and a disclaimer from Deutsche Bank.


document_description: A communication from Richard Kahn of HBRK Associates Inc, mentioning a financial figure of 27.58 EURO with a change of 0.42%. The document includes confidentiality notices and references to Deutsche Bank's EU corporate and regulatory disclosures.

key_locations: 575 Lexington Avenue, New York, NY 10022

key_organizations:
HBRK Associates Inc
Deutsche Bank


document_description: A communication from Deutsche Bank indicating that they do not provide legal or tax advice. The communication contains confidentiality notices and references to regulatory disclosures.


document_description: This is a confidential communication from Deutsche Bank, containing disclaimers about the confidentiality and intended recipient of the message. It also includes a link for EU corporate and regulatory disclosures and a disclaimer about not providing legal or tax advice.


document_description: A communication from Stewart Oldfield, Director at Deutsche Bank Trust Company Americas, containing disclaimers about confidentiality and legal advice.

document_subtype: business communication

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


document_description: This document is a valuation statement from Deutsche Bank Group provided to Southern Financial, LLC. It includes exchange rates and notes on the valuation methodology, risks, and disclaimers. The statement is intended for internal use only and highlights that valuations may change over time due to market conditions and other factors.

title: Deutsche Bank Group Valuation Statement

key_people:
Daniel Sabba
Richard Kahn
Gedeon Pinedo
Vahe Stepanian
Mark Whyman
Amanda Kirby
Paul Morns
Diane Dwyer

document_subtype: valuation statement

key_organizations:
Deutsche Bank Group
Southern Financial, LLC


document_description: This document is a valuation statement from Deutsche Bank Group for Southern Financial, LLC, detailing various financial instruments including credit-default swaps, equity options, and FX options. It includes trade details such as trade IDs, counterparties, trade types, reference entities, trade dates, effective dates, maturity dates, buy/sell indicators, notional amounts, currencies, rates, spreads, and mark-to-market values.

title: Deutsche Bank Group Valuation Statement

document_subtype: financial statement

key_organizations:
Deutsche Bank AG
Southern Financial, LLC


document_description: A valuation statement from Deutsche Bank AG for Southern Financial, LLC, detailing an equity-swap hybrid transaction involving Twitter (TWTR.N) with a notional amount of USD 3,470,000.00 and a strike price of 34. The market-to-market value is USD 521,080.19, with a total of (414,326.00).

title: Deutsche Bank Group Valuation Statement

document_subtype: Valuation Statement


document_description: The document contains financial data related to various trusts and companies, including Zorro Management, LLC, The Haze Trust, Southern Trust Company, Inc., and Southern Financial LLC. It lists amounts associated with each entity.

key_organizations:
Zorro Management, LLC
The Haze Trust
Southern Trust Company, Inc.
Southern Financial LLC


document_description: A table listing individuals with their affiliations and roles, possibly related to a preview or private view event. The table includes names, companies, and titles, with Stewart Oldfield mentioned frequently.

key_people:
Leon Black
Barry Bloom
Michael Bloomberg
Jonathan Botwinick
Stanley Bould
Brad Briner
Charles Britton
Greg Bronson
Roger Bulloch
Jim Burritt
Darren Campf
Amber Caska
Chuck Chai
Barry Cohen
Heather Crosby
Tom Danziger
Kirsten Dzialga
Andrew Feldstein
Matt Ferguson
Robert Forsythe
Tim Fuzesi
Edouard Gerschel
Stan Gold
Stewart Oldfield

key_organizations:
Apollo
TFMG
Bloomberg LP
Gerschel
Highlander Partners
Willett
Echelon Investments
Safanad
Brightstar
Pacific Life
Bright Companies
Portfolia
Hillspire
Elysium
Mathey's Lane
Danziger, Danziger & Muro
Dzialga Investments
Blue Mountain
Illig Family
Thirdlake
Shamrock


document_description: A table listing various individuals, their affiliations, and roles, along with a person named Stewart Oldfield. The table includes details about previews and private views, with some entries indicating acceptance or decline of invitations.

key_people:
Stewart Oldfield
David Homrich
Ken Jones
Jeff Kirwood
Tony Persico
Jonathan Liggett
Adam Lindemann
George Lindemann
Max Loughman
Gene Lynch
Don Marron
Greg Martin
Kelly Masuda
Todd Meister
Katherine Montrone
Renee Noto
Lauren Pressman
Ali Rashid
Rudy Sahay
Ian Slome
Jonathan Sobel
Jason Stiles
Rahul Vaid
Steve Warner

key_organizations:
AMB Family Office
Thirdlake
Aspen Grove
Marron Investments
JL Squared
Lindemann Capital
BC Property
Disney Family
General Atlantic
Shamrock
Caruso Affiliated
Meister Global
Liberty Lane
Brightstar
Deutsche Bank
Hillspire
54 Madison
Slome Investments
Hilltop Holdings
Dorrance Family Enterprises
Crestline
TFMG


document_description: A memo from Stewart Oldfield, Director at Deutsche Bank Trust Company Americas, regarding several financial transactions involving Jeffrey Epstein. The memo requests information about the purpose of each transaction, the relationship between the client and counterparty, and the business activities of the counterparty.

key_people:
Stewart Oldfield
Jeffrey Epstein

key_locations:
New York, NY
Puerto Rico

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


document_description: This document is a confirmation letter from Deutsche Bank AG to Southern Financial, LLC, detailing the terms and conditions of a CMS One Look Transaction. It references the ISDA Master Agreement and specifies the notional amount and trade date of the transaction.

title: Confirmation of a CMS One Look Transaction

key_people:
Paul Achleitner
John Cryan
Marcus Schenck
Christian Sewing
Kimberly Hammonds
Stuart Lewis
Sylvie Matherat
James von Moltke
Nicolas Moreau
Garth Ritchie
Karl von Rohr
Wemer Steinmüller
Frank Strauß

key_locations:
London
Frankfurt am Main

document_subtype: Confirmation Letter

key_organizations: International Swaps and Derivatives Association, Inc.


document_description: A confirmation letter from Deutsche Bank AG to Southern Financial, LLC, outlining the terms of an agreement and requesting confirmation via facsimile or e-mail.

key_people:
Girish S Alur
K Ananthanarayanan

document_subtype: confirmation letter


document_description: Certification of beneficial owners for an account being opened on behalf of Prytanee, LLC, a USVI limited liability company. Jeffrey E. Epstein is identified as a 50% member and beneficial owner. Additional individuals with ownership or management responsibilities are listed.

key_people:
Jeffrey E. Epstein
Caroline Long
Etienne Binant

document_subtype: Certification of Beneficial Owner(s)

key_organizations:
Southern Trust Company, Inc.
Prytanee, LLC
Deutsche Bank AG


document_description: Certification of beneficial ownership for Hyperion Air, LLC, a USVI limited liability company, with Jeffrey E. Epstein as the sole member and beneficial owner.

document_subtype: Certification of Beneficial Owner

key_organizations:
Hyperion Air, LLC
Deutsche Bank AG


document_description: Certification of beneficial owner(s) for an account opened by Jeffrey E. Epstein on behalf of J. Epstein Virgin Islands Foundation, Inc. The document includes details about the legal entity and the individual with significant responsibility for managing it.


document_description: Certification of beneficial owner(s) for an account opened on behalf of JEEPERS, Inc., a USVI Corporation, by Jeffrey E. Epstein, President. The document includes information about the legal entity, its address, and the beneficial owner, Jeffrey E. Epstein.

key_organizations:
JEEPERS, Inc.
Deutsche Bank AG


document_description: Certification of beneficial ownership for JEGE, Inc., a Delaware Corporation, with Jeffrey E. Epstein as the President and sole beneficial owner with 25% or more equity interest. The document includes personal details of Jeffrey E. Epstein and his certification of the information's accuracy.

key_organizations:
JEGE, Inc.
Deutsche Bank AG


document_description: Certification of beneficial ownership for an account opened by Jeffrey E. Epstein on behalf of JEGE, LLC, a USVI limited liability company. The document includes personal and legal entity information, including addresses and responsibilities.

key_organizations:
JEGE, LLC
Deutsche Bank AG


document_description: Certification of beneficial owner(s) for an account being opened by Jeffrey E. Epstein on behalf of LSJE, LLC, a USVI limited liability company. The document includes personal information about Jeffrey E. Epstein, who is the sole member and beneficial owner of the entity.

document_subtype: Certification of beneficial owner(s)

key_organizations:
LSJE, LLC
Deutsche Bank


document_description: Certification of beneficial ownership for Mort, Inc., a USVI Corporation, with Jeffrey E. Epstein as the President and beneficial owner. The document includes personal information such as date of birth and social security number for Jeffrey E. Epstein.

key_organizations:
Mort, Inc.
Deutsche Bank AG


document_description: Certification of beneficial ownership for Neptune, LLC, a Delaware limited liability company, with Jeffrey E. Epstein as the sole member and beneficial owner. The document includes personal information and certification by Jeffrey E. Epstein.

key_organizations:
Neptune, LLC
Deutsche Bank AG


document_description: Certification of beneficial owner(s) for a legal entity account opened by Jeffrey E. Epstein for NES, LLC, a New York limited liability company. The document includes information about ownership and management responsibilities.

key_organizations:
NES, LLC
Deutsche Bank AG


document_description: Certification of beneficial ownership for Plan D, LLC, a USVI Limited Liability Company, with Jeffrey E. Epstein as the sole member and beneficial owner.


document_description: Certification of beneficial ownership for Southern Financial, LLC, a USVI limited liability company, with Jeffrey E. Epstein as the manager and beneficial owner.


document_description: Certification of beneficial owner(s) for an account opened by Jeffrey E. Epstein on behalf of Zorro Management, LLC, a USVI limited liability company. The document includes personal and legal entity information, including ownership details and responsibilities.

key_organizations:
Zorro Management, LLC
Deutsche Bank AG


document_description: Certification of beneficial owner(s) for an account opened by Darren K. Indyke on behalf of Gratitude America, Ltd, a 501(c)(3) Private Foundation / USVI Corporation. The document includes information about the legal entity and its management.

key_locations:
St. Thomas, USVI
New York, NY

key_organizations:
Gratitude America, Ltd
Deutsche Bank AG


document_description: A margin call issued for Southern Financial for $1,680,000 due to changes in EURUSD Risk Reversals. Attached are Southern Financial's Valuation Statements and today's Exposure Statement. Options for transferring cash or AAPL shares are discussed.

document_subtype: memo

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


document_description: Trade confirmation for the sale of ZTE Corp shares on the Hong Kong exchange, prepared by Deutsche Bank Securities. The document includes trade details such as trade date, settlement date, quantity, symbol, security description, ISIN, price, net amount, and principal. It also mentions exchange fees and account balance.

document_subtype: trade confirmation

key_organizations:
Deutsche Bank Securities
Deutsche Bank Wealth Management


document_description: Email exchange between Nicole Perskawiec and Rodney Macelus on June 18, 2018 regarding Euros from account [1].


document_description: A memo from Vaishali Mehta, Head of Anti-Money Laundering Business Risk at Deutsche Bank Wealth Management, requesting review and approval of ACU comments related to client status changes and material changes for various entities associated with Mark Gonzalez and Stewart Oldfield, including Jeffrey Epstein.

key_people:
Vaishali Mehta
Mark Gonzalez
Stewart Oldfield
Jeffrey Epstein

key_organizations:
Deutsche Bank Wealth Management
First & 91st LLC
Forkosh, Alexander
The Forkosh Manor LLC
JEGE, LLC
LSJE, LLC


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

document_subtype: business correspondence

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


document_description: A format validation error occurred during a transaction involving Deutsche Bank Trust Company Americas. The error was due to a bad character in the transaction details. The transaction was intended for Warren Power and Machinery LP.

key_organizations:
Deutsche Bank Trust Company Americas
Bank of America, N.A.


document_description: This document is an amendment agreement dated August 11, 2015, between Deutsche Bank AG and Southern Financial, LLC. It amends certain terms of an ISDA Master Agreement dated October 28, 2013, and its Credit Support Annex. The amendment specifies the delivery of certain tax forms by both parties.

title: Amendment Agreement between Deutsche Bank AG and Southern Financial, LLC

document_type: legal

document_subtype: Amendment Agreement

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


document_description: This document outlines the requirements for delivering various forms, documents, and certificates between Party A and Party B as part of an agreement. It specifies the types of documents required, the parties responsible for delivering them, the deadlines for delivery, and whether they are covered by a specific representation clause in the agreement.

document_subtype: contract

key_organizations:
Party A
Party B


document_description: This document is an amendment to the Credit Support Annex to the Schedule to the Agreement, modifying several paragraphs to set new ceiling limits for different tiers. It also includes representations by each party regarding the truth and accuracy of their statements, and outlines the execution and delivery of the amendment.

document_subtype: Amendment to Credit Support Annex


document_description: Certification of beneficial owners for accounts opened on behalf of legal entities, specifically for Prytanee, LLC and Prytaneum, LLC. Includes details of individuals with ownership and management responsibilities.

key_people:
Jeffrey E. Epstein
Caroline Long
Etienne Binart

key_organizations:
Southern Trust Company, Inc.
Prytanee, LLC
Prytaneum, LLC
Deutsche Bank AG


document_description: Certification of beneficial ownership for Hyperion Air, LLC, a USVI limited liability company, with Jeffrey E. Epstein as the sole member and beneficial owner.

key_organizations:
Hyperion Air, LLC
Deutsche Bank AG


document_description: Certification of beneficial ownership for JEEPERS, Inc. with Jeffrey E. Epstein as the beneficial owner and account opener.

key_organizations:
JEEPERS, Inc.
Deutsche Bank AG


document_description: Certification of beneficial owners for a legal entity account opening, listing Jeffrey Epstein as a significant individual.


document_description: Certification of beneficial ownership for JEGE, LLC, a USVI limited liability company, with Jeffrey E. Epstein as the sole member and beneficial owner. The document includes personal information and certification by Epstein.

key_organizations:
JEGE, LLC
Deutsche Bank AG


document_description: Certification of beneficial owner(s) for an account being opened on behalf of LSJE, LLC, a USVI limited liability company. Jeffrey E. Epstein is the sole member and beneficial owner.

key_organizations:
LSJE, LLC
Deutsche Bank


document_description: Certification of beneficial ownership for Mort, Inc., a USVI Corporation, with Jeffrey E. Epstein as the natural person opening the account and beneficial owner.

key_organizations:
Mort, Inc.
Deutsche Bank AG


document_description: Certification of beneficial ownership for Neptune, LLC, a Delaware limited liability company, with Jeffrey E. Epstein as the sole member and beneficial owner. The document includes personal information for Epstein and certifies his role in managing the entity.

key_organizations:
Neptune, LLC
Deutsche Bank AG


document_description: Certification of beneficial ownership for NES, LLC, a New York limited liability company, with Jeffrey E. Epstein as the sole member and beneficial owner.

key_organizations:
NES, LLC
Deutsche Bank AG


document_description: Certification of beneficial ownership for Plan D, LLC, a USVI limited liability company, with Jeffrey E. Epstein as the sole member and beneficial owner.


document_description: Certification of beneficial ownership for Southern Financial, LLC, a USVI Limited Liability Company, with Jeffrey E. Epstein as the manager and beneficial owner.

key_organizations:
Southern Financial, LLC
Deutsche Bank AG


document_description: Certification of beneficial ownership for Zorro Management LLC, a USVI limited liability company, with Jeffrey E. Epstein as the sole member and beneficial owner.

key_organizations:
Zorro Management LLC
Deutsche Bank AG


document_description: Driver's License issued to Jeffrey E. Epstein by the United States Virgin Islands, valid from 10/21/2014 to 1/20/2019. Includes personal details, license class, and anatomical gift statement.

title: Driver's License of Jeffrey E. Epstein

key_people:
Jeffrey E. Epstein
Jerris T. Browne

document_type: government

document_subtype: Driver's License


document_description: A memo from Bradley Gillin, Vice President at Deutsche Bank Wealth Management, discussing updates needed for the SOW narrative related to Jeffrey Epstein's financial entities, including the merger of Financial Trust Company into Southern Financial LLC. It also touches on Epstein's financial activities, art investments, and requests for financial documentation.

key_people:
Jeffrey Epstein
Bradley Gillin
Leslie Wexner
Alan C. Greenberg
Caroline

key_locations:
US Virgin Islands
New York
St. Thomas
Manhattan

key_organizations:
Deutsche Bank Wealth Management
Financial Trust Company
Southern Financial LLC
Bear Stearns
J. Epstein & Co.
The Limited
Abercrombie & Fitch
New York magazine
Radar
Southern Trust Company Inc


document_description: A KYC case representative, Vijay Sawant, seeks assistance in resolving several rejection points related to the KYC case for Pmance, LLC. The points include address verification, email chain requests, SOW information for Jeffrey Epstein, and other compliance-related issues.

key_people:
Vijay Sawant
Jeffrey Epstein
Richard Kahn
Darren Indyke
Chip Packard

key_locations:
US Virgin Islands
Royal Palms Professional Building

key_organizations:
Pmance, LLC
Financial Trust Company
Southern Financial LLC
Pierre Trust


document_description: A confidential letter from Deutsche CIB Centre Private Limited, part of Deutsche Bank Group, located in Mumbai, India. The letter includes contact information and confidentiality notice pursuant to Federal Rule of Criminal Procedure 6(e).

document_subtype: letter

key_organizations:
Deutsche CIB Centre Private Limited
Deutsche Bank Group


document_description: The document contains financial data, including balances and transactions for various trusts and individuals. It lists large, zero, and negative balances for accounts associated with names like Shari Wagner, Todd R. Wanek, and Ashley Holdings Inc. The document also includes a contact email for assistance and is marked as confidential.

key_people:
Shari Wagner
Todd R. Wanek
Kati Wanek-Forsythe
Cameron Wanek
Travis Wagner
Ronald & Joyce Wanek
Ali Rashid
Steven D. Forsythe
Caitlin A. Forsythe
Nancy and Michael Devane

key_organizations:
Ashley Holdings Inc
CRW 2007 LLC
GEW 2007 LLC
KWF 2007 LLC
SSW 2007 LLC
Wanek Trust of 2000
CRW 2009 LLC
GEW 2009 LLC


document_description: The document outlines the requirements for delivering certain documents as part of an agreement. It specifies the parties involved, the types of documents required, the deadlines for delivery, and whether they are covered by a specific section of the agreement.

key_people:
Party A
Party B
Pam 13

document_subtype: agreement


document_description: This document is an amendment to a Credit Support Annex agreement, detailing changes to various ceiling limits and reporting requirements. It includes representations by the parties and confirms the continuation of the agreement's terms, except as modified by this amendment.


document_description: This document is an amendment to an existing agreement between Deutsche Bank AG and Southern Trust Company, Inc. It outlines the execution, delivery, and governing law of the amendment, which is to be governed by the laws of the State of New York. The amendment may be executed in counterparts and requires evidence of authority and signatures from each party's representatives.

title: Amendment to Agreement

document_subtype: Amendment

key_organizations:
Deutsche Bank AG
Southern Trust Company, Inc.


document_description: A notice from Deutsche Bank Trust Co. Americas to Southern Trust Company, Inc. regarding a dormant business checking account that has had no activity for 24 months. The notice requests confirmation to maintain the account or instructions to close it.

key_locations:
New York, NY
St Thomas, VI

document_subtype: Dormant Account Notice

key_organizations:
Deutsche Bank Trust Co. Americas
Southern Trust Company, Inc.


document_description: A table of dates and corresponding prices, possibly related to financial data or stock prices, with some corrections and changes noted. The table includes dates from August to October 2015.

key_organizations:
Deutsche Bank Securities Inc
Deutsche Asset & Wealth Management


document_description: This document is a trust agreement where Jeffrey E. Epstein is the grantor, and Darren K. Indyke and Richard Kahn are the trustees of the Butterfly Trust, dated December 27, 2006.

title: Butterfly Trust Agreement

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

document_subtype: trust document


document_description: Trust Agreement dated December 21, 2006, between Jeffrey E. Epstein as Grantor, and Darren K. Indyke and Richard Kahn as Trustees. The agreement involves the transfer of property to the Trustees, which is detailed in Schedule A. The document defines terms related to the trust and the roles of the Trustees.

document_subtype: Trust Agreement


document_description: The document outlines definitions and dispositive provisions related to a trust agreement. It defines terms such as 'IN TRUST', 'pay', 'Trust', and 'Code'. The Trustees have the discretion to distribute income or principal of the Trust to specified individuals, including Ghislaine Maxwell.


document_description: The document outlines the powers and responsibilities of the Trustees in managing and distributing the assets of a Trust. It includes provisions for adding or removing beneficiaries, the discretionary authority of the Trustees, and the conditions for the termination of the Trust.

key_people:
Grantor
Ghislaine N. Maxwell

document_subtype: Trust Document


document_description: The document outlines the terms of a trust agreement known as the 'Butterfly Trust,' organized under the laws of the State of New York but governed by the laws of the United States Virgin Islands. It specifies that the trust is irrevocable and not liable for any taxes, liabilities, debts, or claims against the Grantor or their estate. The document also includes clauses on governing law, claims against the Grantor, and severability.

key_locations:
State of New York
United States Virgin Islands

key_organizations:
EPSTEIN INTERESTS
Butterfly Trust


document_description: The document outlines the provisions for the appointment and resignation of Trustees in a Trust Agreement. It specifies the process for designating additional or successor Trustees and the conditions under which a Trustee may resign.

key_people:
Darren K. Indyke
Richard Kahn
Harry Beller


document_description: The document outlines the provisions related to the resignation, qualification, and responsibilities of Trustees in a Trust Agreement. It specifies the process for a Trustee's resignation, the requirement for a written instrument for resignation or qualification, and the conditions under which a Trustee can be appointed. It also addresses the settlement of Trustees' accounts and the exoneration of Trustees from filing accounts with any Court.

key_people: Trustee Grantor


document_description: The document outlines the powers of the Grantor to settle accounts with the Trustees of a Trust, including the ability to release them from liability. It also discusses the binding nature of such settlements and the allocation of expenses related to accounting as administration expenses of the Trust.

key_people: Grantor Trustees


document_description: The document outlines the process for a resigning Trustee to be released and discharged from accountability, liability, and responsibility for acts or omissions as Trustee. It specifies that such release is binding on all interested parties and has the effect of a final court order. It also allows for the judicial settlement of the Trustee's account and states that the expenses for such accounting are to be paid from the Trust's principal. Additionally, it authorizes Trustees to settle accounts by agreement with adult beneficiaries.

document_subtype: trustee resignation and settlement


document_description: The document outlines the terms and conditions under which trustees operate, including their liabilities and administrative powers. It specifies that trustees are not liable for the actions of other trustees unless there is willful default or wrongdoing. It also details the binding nature of settlements related to the trust and the administrative expenses that can be charged to the trust.


document_description: The document outlines the powers of trustees in managing the assets of a trust. It includes provisions for holding, investing, and reinvesting trust assets, engaging in various financial transactions, and dealing in financial instruments.

document_subtype: trust agreement


document_description: The document outlines the powers of trustees in managing a trust, including making transactions, investing in partnerships, and leasing property.


document_description: The document outlines the powers and responsibilities of Trustees in managing property, including the ability to mortgage, repair, alter, and improve properties, as well as to engage in financial activities such as voting stocks, participating in reorganizations, and handling securities.


document_description: The document outlines the powers and responsibilities of trustees in managing a trust. It includes provisions for settling disputes, borrowing money, managing securities, and delegating responsibilities.


document_description: The document outlines the powers and authorities granted to trustees, including financial transactions, asset management, and tax elections. It specifies the ability to sign checks, manage securities, access safe deposit boxes, and make tax-related decisions without regard to beneficiaries' interests.


document_description: This document is a Trust Agreement executed by Jeffrey E. Epstein as the Grantor and Darren K. Indyke and Richard Kahn as Trustees. It is marked as confidential pursuant to Federal Rule of Criminal Procedure 6(e).


document_description: A document labeled 'SCHEDULE A' with a monetary amount of $100.00. It is marked as confidential pursuant to Federal Rule of Criminal Procedure 6(e).


document_description: Notarized acknowledgments of signatures by Jeffrey E. Epstein and Darren K. Indyke on legal instruments.

key_people:
Jeffrey E. Epstein
Darren K. Indyke
Harry I. Beller

key_locations:
New York
Rockland County

document_subtype: notarized document


document_description: Notarized statement acknowledging the execution of an instrument by Richard Kahn.

key_people:
Richard Kahn
Harry I. Seller

document_subtype: notarized statement


document_description: Amendment to the Butterfly Trust to add new beneficiaries as per the authority granted to the trustees under the Trust Agreement. The amendment is executed by trustees Darren K. Indyke and Richard Kahn, and acknowledged by Jeffrey E. Epstein, the Grantor.

title: Butterfly Trust Addition of Beneficiaries

key_people:
Jeffrey E. Epstein
Darren K. Indyke
Richard Kahn
Harry I. Beller

document_subtype: Trust Agreement Amendment


document_description: The document is an addition of a beneficiary to the Butterfly Trust, pursuant to Article Third, Paragraph B of the Trust Agreement dated December 27, 2006. The trustees, Darren K. Indyke and Richard Kahn, have added a new beneficiary to the trust. The document includes acknowledgments by the trustees and the grantor, Jeffrey E. Epstein, with notarizations by Harry I. Beller.

title: Butterfly Trust - Addition of Beneficiary


document_description: Form W-9 for Butterfly Trust, a trust/estate entity, providing taxpayer identification number and certification. Signed by Darrent Indyhe on 08/30/2013.

title: Form W-9 for Butterfly Trust

document_subtype: Form W-9


document_description: The IRS assigned an Employer Identification Number (EIN) 26-6639711 to the Butterfly Trust, managed by Richard Kahn. The notice includes instructions for using the EIN in tax documents and mentions the requirement to file Form 1041 by 04/15/2009.

title: IRS EIN Assignment Notice

key_locations:
Cincinnati, OH
New York, NY

document_subtype: IRS Notice

key_organizations:
Butterfly Trust
Internal Revenue Service


document_description: A confidential correspondence from Armen Brash, Director at Deutsche Bank Wealth Management, including contact information.


document_description: This document is an information statement from Deutsche Bank regarding the EU Securities Financing Transactions Regulation (SFTR) and its requirements on the reuse of financial instruments received under a collateral arrangement. It informs clients of the risks and consequences of such reuse and directs them to read the attached Information Statement. The document also clarifies that no response is required from the client but encourages them to contact their Deutsche Bank Relationship Manager or Client Advisor for questions.

title: SFTR Information Statement

key_people:
Patrick Harris
Zia Memon
Petrus Zijlman
Jia Newman

key_locations:
United States
EU

document_subtype: Information Statement

key_organizations:
Deutsche Bank AG
Deutsche Bank Securities Inc.
Deutsche Bank Trust Company Americas
Deutsche Bank Group


document_description: This document outlines the risks and consequences associated with financial instruments and clearing services, including potential tax implications, default scenarios, and the impact of corporate events. It highlights the lack of obligation to inform about corporate actions and the potential inability to fulfill settlement obligations.

document_subtype: financial agreement

key_organizations: International Swaps and Derivatives Association

key_organizations: Association for Financial Markets in Europe


document_description: This document defines terms related to the Securities Financing Transactions Regulation, including 'financial instrument', 'title transfer collateral arrangement', and 'security collateral arrangement'. It specifies the types of financial instruments and the nature of collateral arrangements under the regulation.

title: Appendix 1 - Defined terms for the purposes of the Securities Financing Transactions Regulation

document_subtype: regulation appendix

key_organizations: International Capital Market Association

key_organizations: International Securities Lending Association


document_description: The document provides examples of agreements related to Title Transfer Collateral Arrangements and Security Collateral Arrangements with a right of use. It clarifies that the characterization of agreements may differ under U.S. and European law.

key_organizations: Securities Industry and Financial Markets Association


document_description: The document discusses the treatment of customer assets and collateral arrangements in the event of insolvency for U.S. broker-dealers, FCMs, and banking organizations. It outlines the risks and consequences of re-using customer assets, the impact on property interests, and the implications of different collateral arrangements. The document also notes that customer assets may not be held in segregation or trust when used, and highlights the pro rata distribution of claims in insolvency proceedings.

document_subtype: information statement


document_description: Title slide for a presentation by Deutsche Wealth Management on SFTR Internal FAQs, marked as confidential and for internal use only.

title: SFTR Internal FAQs


document_description: The document provides an overview of the Securities Financing Transaction Regulation (SFTR), a European regulation aimed at enhancing transparency around securities financing transactions (SFTs) and the re-use of collateral. It outlines the definition of SFTs, the Article 15 requirement regarding the reuse of financial instruments, and the scope of clients and products for Information Statements.

title: Securities Financing Transaction Regulation — Re-use of collateral

document_subtype: regulatory summary

key_organizations:
European Parliament
Deutsche Wealth Management


document_description: A valuation statement from Deutsche Bank Group provided to Southern Financial, LLC, detailing the economic assessment of transactions or instruments as of September 28, 2015. The document includes exchange rates and notes on valuation methodologies and disclaimers.

title: Deutsche Bank Group Valuation Statement

key_people:
Daniel Sabba
Richard Kahn
Vahe Stepanian
Gedeon Pinedo
Amanda Kirby
Paul Morris
Mark Whyman
Ariane Dwyer

document_subtype: valuation statement

key_organizations:
Deutsche Bank Group
Southern Financial, LLC


document_description: This document is a valuation statement from Deutsche Bank Group for Southern Financial, LLC, detailing various financial instruments including credit-default swaps, equity options, and FX options as of September 28, 2015. It includes trade details, notional amounts, and mark-to-market values.

title: Deutsche Bank Group Valuation Statement

document_subtype: financial statement

key_organizations:
Deutsche Bank AG
Southern Financial, LLC


document_description: A valuation statement from Deutsche Bank AG for Southern Financial, LLC, detailing an equity-swap hybrid transaction with a notional amount of USD 2,526,000.00 and a mark-to-market value of 121,952.12 USD as of February 1, 2016.

title: Deutsche Bank Group Valuation Statement

document_subtype: Valuation Statement


document_description: A request for bid/ask pricing for 2,000,000 quantity of LSCCOM 8.75% 10/15/2023 bonds.

document_subtype: fax

key_organizations:
HBRK Associates Inc.
Deutsche Bank


document_description: Request for bid/ask quote for 2,000,000 quantity of LSCCOM 8.75% 10/15/2023.


document_description: Authorization letter to Deutsche Bank Securities Inc. for trading equity securities outside of normal business hours. The letter outlines the risks associated with such trading, including lower liquidity, higher volatility, changing prices, unlinked markets, news announcements, wider spreads, and lack of calculation or dissemination of underlying index value. It also mentions restrictions applicable to trading of securities governed by ARCA.

document_subtype: authorization letter


document_description: A form acknowledging DBSI's discretion in accepting orders and the reliance on client representation, requiring signatures from the client, client advisor, and branch supervisor.

document_subtype: form


document_description: This document contains account details for THE HAZE TRUST in Salesforce, including account name, contact information, product type, address, and various financial metrics as of March 8, 2017. The account is not funded and has a market value of $0.00. Stewart Oldfield is the primary officer associated with the account.

title: THE HAZE TRUST Account Details

key_people:
Cynthia Rodriguez
Stewart Oldfield

key_locations: 6100 RED HOOK QUARTER B3 ST, THOMAS 00802 UNITED STATES VIRGIN ISLANDS

document_subtype: Salesforce Account Record


document_description: This document is a Salesforce record for THE HAZE TRUST, detailing various account activities and cases. It includes information on banking officer Cynthia Rodriguez, case records, and account sensitivity override requests. No external affiliations, secondary account roles, or open activities are recorded. Several cases are listed with details such as case record type, routing amount, and status.

key_organizations:
THE HAZE TRUST
Salesforce


document_description: A letter from Margie Edwards, Director at Deutsche Bank Trust Company Americas, to Stewart Oldfield and Cynthia Rodriguez regarding financial matters related to Southern Financial LLC and Southern Trust Company, Inc.

key_people:
Margie Edwards
Stewart Oldfield
Cynthia Rodriguez

document_subtype: letter

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


document_description: This is a confidential communication from Deutsche Bank, indicating that it may contain privileged information. It includes a disclaimer about the bank not providing legal or tax advice and mentions an attached calendar file (.ics).


document_description: This document is a communication from Deutsche Bank containing disclaimers about unauthorized copying, disclosure, or distribution of the material. It includes references to EU corporate and regulatory disclosures and states that Deutsche Bank does not provide legal or tax advice. The document is marked as confidential and contains reference numbers.


document_description: Richard Kahn from HBRK Associates Inc. requests a bid ask on 100,000 shares of Rothschild & Co SCA from Vahe Stepanian and Stewart Oldfield at Deutsche Bank.

key_people:
Richard Kahn
Vahe Stepanian
Stewart Oldfield

key_organizations:
HBRK Associates Inc.
Deutsche Bank
Rothschild & Co SCA


document_description: This document is a confidential communication from Deutsche Bank, containing disclaimers about the confidentiality and privileged nature of the information. It includes a reference to a PDF document titled 'Rothschild interday 5.22.17.pdf'. The communication advises recipients to refer to a URL for additional EU corporate and regulatory disclosures and clarifies that Deutsche Bank does not provide legal or tax advice.


document_description: This document contains a confidentiality notice and disclaimer from Deutsche Bank, indicating that the communication may contain confidential or privileged information. It advises unintended recipients to notify the sender and destroy the communication. It also includes a disclaimer that Deutsche Bank does not provide legal or tax advice. The document references EU corporate and regulatory disclosures available online.


document_description: A table listing various individuals and trusts with associated amounts, mostly zero, except for Travis Wagner and Robert S Forsythe Revocable Trust, both with an amount of 149,967.76.

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


document_description: A professional memo detailing the career history and financial progress of an individual at Credit Suisse and Deutsche Bank, including client highlights and revenue figures.

key_people:
Chip Packard
Paul Morris

document_subtype: memo

key_organizations:
Credit Suisse
Deutsche Bank
Third Lake
Ashley Furniture
Southern Financial


document_description: A list of individuals associated with Deutsche Bank, including bankers, marketing personnel, and individuals of interest for networking. The document is marked confidential and includes contact information for Stewart Oldfield, a director at Deutsche Bank Wealth Management.

key_people:
Charlie Burrows
Terri Sohrab
Bruce McDermott
Heather Kirby
Deirdre Judge
Rosemary Vrablic
Paula Pullano
Fabrizio Campelli
Balaji Prasanna
Caroline Kitidis
Bernd Amlung
Christian Nolting
Deepak Puri
James Pereira-Stubbs
Stewart Oldfield

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


document_description: This is a Form S-1 registration statement filed by Blue Buffalo Pet Products, Inc. with the SEC on June 10, 2015, for the registration of common stock under the Securities Act of 1933. The document includes details about the company's incorporation, principal executive offices, and legal representatives. It also outlines the proposed maximum aggregate offering price and the calculation of the registration fee.

title: Form S-1 Registration Statement for Blue Buffalo Pet Products, Inc.

key_people:
Michael Nathenson
Kenneth B. Wallach
Kirk A. Davenport II
Jason M. Licht

key_locations:
Wilton, CT
New York, NY

document_subtype: Registration Statement

key_organizations:
Blue Buffalo Pet Products, Inc.
Simpson Thacher & Bartlett LLP
Latham & Watkins LLP


document_description: The document outlines a new breed of consumer packaged goods (CPG) focusing on pet products under the BLUE brand. It includes a table categorizing products by type, lifestage, breed size, and features. The document also highlights educational and investment strategies for promoting the brand, including the use of brand ambassadors and advertising in key communication vehicles.


document_description: This document is a Form S-1 registration statement filed with the SEC, containing a prospectus for the sale of common stock. It includes sections on industry data, risk factors, financial data, management, and legal matters. The document advises investors to rely only on the information within the prospectus and notes jurisdictional restrictions for international investors.

document_subtype: Form S-1


document_description: The document discusses different market segments for pet food products, including Wholesome Natural, Engineered, Private Label, and Therapeutic (Rx) brands. It highlights the differences in ingredients and regulatory requirements for these segments, particularly focusing on the use of grain proteins and the role of the FDA in regulating Therapeutic pet foods.


document_description: A letter from the founder of Blue Buffalo to prospective investors, discussing the company's history, values, and the motivation behind its IPO. The letter emphasizes the importance of family, transparency, and high-quality natural ingredients in pet food. It also highlights the partnership with financial backers to support the company's mission.

title: Letter from the Founder of Blue Buffalo

key_people:
Bishop family
Jackie
Blue

key_organizations:
Blue Buffalo
Inns


document_description: The document is a Form S-1 filing for Blue Buffalo, discussing the company's culture, mission, and plans as it goes public. It emphasizes the company's commitment to maintaining product quality and long-term growth strategies.

title: Blue Buffalo Form S-1


document_description: The document discusses the U.S. pet food industry, highlighting its size, growth, and trends. It notes the industry's growth due to the 'humanization' of pets, leading to premiumization. The document also covers market segments, sales channels, and promotional activities affecting growth rates.

title: The Industry Where We Operate: Large and Attractive

key_organizations:
Euromonitor
PetSmart
Petco
Pet Supplies Plus
Pet Supermarket
Petsense
Pet Valu
Tractor Supply Company
Mid-States
Amazon
Chewy
Pettlow


document_description: The document discusses the strategic differentiation and market positioning of a pet food company, focusing on the Wholesome Natural market segment. It highlights the company's efforts to challenge established brands by offering high-quality, natural pet food and educating pet parents about pet nutrition. The company uses a unique product formulation and a Pet Detective program to engage with consumers and promote its brand.


document_description: The document is a Form S-1 filing discussing the branding and market strategy of a pet food company, BLUE. It highlights the company's approach to building a strong brand identity, its distribution strategy, and its leadership in the Wholesome Natural market segment. The document also outlines the company's competitive advantages and marketing strategies.

key_locations:
United States
Canada


document_description: The document is a Form S-1 filing for a pet food brand, highlighting its marketing strategies, brand development, and product lines. The company emphasizes its commitment to pet nutrition education, brand awareness, and consumer engagement. It outlines its product development strategy with four major product lines under the BLUE brand, each catering to different nutritional needs.


document_description: The document outlines the growth strategies and future plans of a pet food company, focusing on expanding product lines, increasing market share in wet foods and treats, and entering international markets. It also discusses building relationships with the veterinary community and entering the therapeutic pet food market. The company emphasizes its commitment to its founding objectives and maintaining authenticity as it grows.

key_locations:
United States
Canada
Mexico
Japan


document_description: The document is a Form S-1 registration statement for Blue Buffalo Pet Products, Inc. It outlines the company's compliance with PCAOB requirements, executive compensation disclosures, and conditions for remaining an emerging growth company. It also details the company's corporate history, structure, and principal financial backer, Invus, L.P. The document includes corporate information and contact details.

title: Form S-1 Registration Statement

key_organizations:
Blue Buffalo Pet Products, Inc.
Blue Buffalo Company, Ltd.
Blue Pet Products, Inc.
Invus, L.P.


document_description: This document is a table of contents for a Form S-1 filing, detailing the offering of common stock by selling stockholders, the use of proceeds, the LOYAL3 platform, risk factors, and NASDAQ trading information. It also includes information about shares issuable upon exercise of stock options and shares reserved for future issuance under incentive plans.

title: Form S-1 Table of Contents

key_organizations:
NASDAQ
LOYAL3
Blue Buffalo Pet Products, Inc.


document_description: This document is a prospectus for a stock offering, reflecting a stock split, amended certificate of incorporation, and bylaws. It assumes no exercise of underwriters' over-allotment option or outstanding options after 2015.

title: Form S-1

document_subtype: prospectus


document_description: The document presents summary consolidated financial data for specific periods and dates, derived from both audited and unaudited financial statements. It includes data as of December 31, 2012, 2013, 2014, and March 31, 2014, 2015. The data reflects a stock split intended before the registration statement's effectiveness, assuming a public offering price per share at the mid-point of the price range.

title: Summary Consolidated Financial Data


document_description: This document contains financial data for fiscal years 2012 to 2014 and the first three months of 2014 and 2015. It includes statements of income, balance sheet data, and other financial metrics such as EBITDA and adjusted net income.

title: Form S-I Financial Data


document_description: The document is a financial statement providing a reconciliation of net income to adjusted net income for fiscal years 2012, 2013, and 2014, and for the three months ended March 31, 2014 and 2015. It includes details on non-recurring items such as loss on extinguishment of debt, initial public offering preparation costs, and litigation expenses. The document also discusses EBITDA and Adjusted EBITDA as supplemental measures for assessing operating performance.


document_description: The document provides a reconciliation of net income to EBITDA and Adjusted EBITDA for fiscal years 2012, 2013, 2014, and the three months ended March 31, 2014 and 2015. It includes details on net income, interest expense, interest income, provision for income taxes, depreciation and amortization, and adjustments for loss on extinguishment of debt, IPO preparation costs, litigation expenses, and stock-based compensation.

title: Reconciliation of Net Income to EBITDA and Adjusted EBITDA


document_description: The document is a Form S-1 registration statement, which includes risk factors related to investing in the company's common stock. It outlines the risks associated with the company's business and industry, including challenges in implementing growth strategies, predicting consumer trends, and introducing new products.


document_description: The document discusses the potential impacts of economic challenges on the business, including changes in interest rates, commodity markets, and consumer spending. It highlights the importance of effective marketing and trade promotions in a competitive industry and the challenges of maintaining or increasing product prices. The document also addresses the impact of promotional spending by competitors on pricing and margins.


document_description: The document discusses the reliance on contract manufacturers for product supply, potential risks related to manufacturing capacity, and the impact of retailer customer purchasing behaviors on sales. It highlights the challenges in renegotiating contracts with manufacturers and the potential disruptions in supply due to various factors. Additionally, it addresses the effects of retailer inventory practices on sales and operations.

title: Form S-1 Filing


document_description: The document is a Form S-1 filing discussing the competitive nature of the pet food industry and potential challenges related to raw materials and supplies. It highlights the competition based on product quality, brand awareness, and promotional efforts, and discusses risks related to supply chain disruptions and cost fluctuations.

title: Form S-1 Filing


document_description: The document discusses a lawsuit involving Blue Buffalo against Nestle Purina. Blue Buffalo alleges that Nestle Purina made false statements about their products, implying they are not made in the USA and have quality control issues. The lawsuit seeks to stop Nestle Purina from spreading false information and demands damages. During pretrial discovery, it was found that a supplier mislabeled ingredients, which could expose Blue Buffalo to liability. The document also mentions the potential impact on Blue Buffalo's brand and operations due to the lawsuit.

document_subtype: lawsuit


document_description: The document discusses the operational and financial challenges related to the Heartland facility, including the need for additional capital expenditures, potential disruptions due to natural disasters, and the importance of effective supply chain management. It highlights the risks of overestimating or underestimating product demand and the reliance on third-party distribution centers.

key_organizations:
U.S. Department of Agriculture
Missouri Department of Health
Missouri Department of Agriculture
FDA


document_description: The document discusses potential risks and challenges associated with the company's expansion into new countries and its strategy for growth through acquisitions, investments, or strategic alliances. It highlights risks such as violations of the Foreign Corrupt Practices Act, issues with integrating new acquisitions, and potential adverse effects on existing business relationships.

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


document_description: The document discusses the substantial indebtedness of a company as of March 31, 2015, amounting to $390.1 million, and the potential adverse effects on its business, financial condition, and operations. It outlines the consequences of this indebtedness, including reduced cash flow flexibility, exposure to interest rate risks, and restrictions on strategic actions. The document also highlights the company's reliance on trademarks and intellectual property as valuable assets.


document_description: The document discusses the company's strategies and challenges related to intellectual property protection, potential infringement claims, and the importance of information technology systems. It highlights the risks of litigation, the need for effective non-disclosure agreements, and the potential impact of IT system failures on business operations.


document_description: The document discusses potential legal and regulatory risks faced by a company, including compliance with environmental, health, and safety laws, the use of the term 'natural' in product labeling, and potential litigation related to business operations. It highlights the impact of these factors on the company's business, financial condition, and results of operations.

key_organizations: Missouri Department of Natural Resources


document_description: The document is a Form S-1 registration statement, which outlines the risks and factors affecting the company's success and the offering of its common stock. It discusses the importance of attracting and retaining key employees, the implications of being a 'controlled company' under NASDAQ rules, and the influence of the company's Sponsor on corporate decisions.

key_locations: California Oregon


document_description: The document is a Form S-1 registration statement filed with the SEC. It discusses potential conflicts of interest involving the Sponsor and its affiliates, increased costs and regulatory requirements as a newly public company, and risks related to the trading market for the company's common stock. It highlights the potential for market volatility and the challenges in maintaining an active trading market.

title: Form S-1

document_subtype: Securities Registration Statement

key_organizations:
Securities and Exchange Commission
NASDAQ


document_description: The document discusses the implications of the JOBS Act on the company, including potential changes in filing status and revenue thresholds. It also covers the Board of Directors' authority to issue preferred stock without stockholder approval, which could affect the value of common stock.

key_organizations:
Board of Directors
SEC


document_description: The document is a capitalization table from a Form S-1 filing, detailing the company's financial position as of March 31, 2015. It includes actual and adjusted figures for cash and cash equivalents, long-term debt, and stockholders' deficit.

title: Capitalization Table


document_description: The document provides a reconciliation of net income to EBITDA and Adjusted EBITDA for fiscal years 2010 to 2014 and the three months ended March 31, 2014 and 2015. It includes details on net income, interest expenses, interest income, provision for income taxes, depreciation and amortization, and adjustments for gains, losses, and expenses related to insurance settlements, debt extinguishment, IPO preparation, litigation, and stock-based compensation.


document_description: The document is a Form S-1 filing discussing the company's plans to enter the therapeutic pet food market, industry trends, and components of their operations. It highlights the growth of the U.S. pet food industry due to factors like the humanization of pets and the growth of specialty channels. Challenges include innovation, economic climate, and regulatory scrutiny. The company focuses on net sales through specialty channels in the U.S. and Canada, relying on consumer demand and distributor agreements.


document_description: The document discusses the company's growth strategy, challenges, and financial metrics. It highlights the company's investment in marketing, innovation, and product line expansion, which have contributed to a 38% CAGR in net sales over the past three years. The document also outlines challenges such as market acceptance of new products, reduced traffic at pet superstores, and competitive threats. It details the company's gross profit calculation and manufacturing strategies, including cost negotiations with contract manufacturers and ingredient sourcing.


document_description: The document contains consolidated statements of income for a company, presented in tables for different periods. It includes data on net sales, cost of sales, gross profit, operating income, interest expenses, and net income for the three months ended March 31, 2014 and 2015, as well as for fiscal years ended December 31, 2012, 2013, and 2014.


document_description: The document is a financial report detailing net sales, gross profit, expenses, and taxes for the three months ended March 31, 2015. It includes data on net sales growth, gross profit changes, selling and administrative expenses, interest expenses, and provision for income taxes compared to the same period in 2014.

title: Form S-I Financial Report

document_subtype: financial report


document_description: The document provides a financial summary for a company, detailing net income, net sales, gross profit, and expenses for the year ended December 31, 2014, compared to the previous year. Net income decreased by $1.1 million, while net sales increased by $198.3 million. Gross profit rose by $69.3 million, but gross margin decreased. Selling, general, and administrative expenses increased by $48.9 million.

title: Form S-1 Financial Summary


document_description: The document provides a financial summary for the years ended December 31, 2014, 2013, and 2012. It includes details on interest expense, interest income, provision for income taxes, net income, and net sales. Key highlights include a decrease in interest expense due to a lower effective interest rate, an increase in interest income driven by higher average cash on hand, and an increase in provision for income taxes due to non-recurring state refunds. Net income increased significantly due to these factors. Net sales saw substantial growth driven by volume growth, favorable product mix, and new product introductions.

title: Form S-1 Financial Summary


document_description: The document provides a financial summary for the year ended December 31, 2013, highlighting key financial metrics such as net sales growth, gross profit, selling expenses, interest expenses, and loss on debt extinguishment. It details the drivers behind these financial changes, including product line performance, pricing strategies, and advertising investments.

title: Form S-1 Financial Summary


document_description: The document is a Form S-1 filing detailing financial activities and indebtedness of the company. It includes information on cash used in financing activities for various years, description of senior secured credit facilities, and covenants related to these facilities.

title: Form S-1 Filing

key_organizations:
Blue Buffalo Company, Ltd.
Blue Pet Products, Inc.


document_description: The document is a Form S-1 filing that discusses various financial and accounting practices of a company. It covers topics such as trade promotions, allowances for doubtful accounts, inventory reserves, loss contingencies, and accounting for income taxes. The document outlines how the company records sales net of trade promotions, maintains allowances for doubtful accounts, provides reserves for inventory obsolescence, and records accruals for legal contingencies. It also details the process of estimating tax exposure and assessing tax positions.


document_description: The document discusses the company's strategies related to commodity price risk management and internal control over financial reporting. It highlights the company's current status regarding compliance with the Sarbanes-Oxley Act and its plans for future compliance as it transitions from an 'emerging growth company' to an accelerated filer.


document_description: The document discusses various types of pet foods, including ancestral diet type foods, limited ingredient diets, and human food inspired foods. It also covers the seasonality of pet food sales, the cat litter market, and sales channels for pet food in the U.S. The document highlights the growth of specialty channels in pet food sales and the company's entry into the cat litter market with a walnut-based product.

key_organizations:
PetSmart
Petco
Pet Supplies Plus
Pet Supermarket
Petsense
Pet Valu
Tractor Supply Company
Mid-States
Amazon
Chewy
Petflow


document_description: The document provides an overview of the pet food retail landscape in the United States as of the end of 2014, highlighting the distribution of sales across various specialty channels including national pet superstores, regional chains, neighborhood pet stores, farm and feed stores, eCommerce retailers, and veterinary clinics. It also discusses the growth trends in tracked and untracked channels, with a focus on the rapid growth of eCommerce.

title: Pet Food Retail Sales by Channel

key_organizations:
PetSmart
Petco
Tractor Supply Company
Pet Supplies Plus
Pet Supermarket
Pet Valu
Petsense
Amazon
Chewy
PetFlow


document_description: The document provides a market segmentation analysis of the pet food industry, categorizing it into Wholesome Natural, Engineered, Private Label, and Therapeutic segments. It discusses the criteria for each segment, focusing on ingredient profiles and consumer preferences. The Wholesome Natural and Therapeutic segments are highlighted as growing trends in the market.

key_organizations: AAFCO FDA


document_description: The document discusses the strategic differentiation of a pet food company in the Wholesome Natural market segment. It highlights the company's approach to challenging established brands by offering high-quality, natural ingredients and educating pet parents about pet nutrition. The company uses a unique product feature, LifeSource Bits, and employs Pet Detectives to engage with customers. The strategy has led to significant sales growth, demonstrating the brand's appeal and affordability.


document_description: The document outlines the brand strategy and marketing approach of a pet food company, focusing on building a strong master brand, BLUE, with distinct product lines. The company emphasizes transparency, consumer education, and a strong relationship with pet parents. It highlights the brand's growth in distribution and product offerings, as well as significant investments in marketing and brand-building.


document_description: The document provides a table showing BLUE's indexed share of pet food sales across various geographic regions in the United States for the 52 weeks ending December 28, 2014. It discusses brand loyalty in pet foods and BLUE's market share potential among different age groups of pet parents.

title: BLUE Indexed Share of Pet Food Sales by IRI Standard Regions

key_locations:
United States
Northeast
Great Lakes
Mid-South
South-East
South Central
Plains
West
California


document_description: The document outlines a broad product portfolio for pet foods, detailing various categories such as breed, life stage, diet type, product type, wet cuts, flavors, function, and special needs. It also describes four major product lines under the BLUE brand, each with a unique nutritional philosophy.

title: Pet Food Product Portfolio

key_organizations: BLUE Wilderness Freedom Earth'sBest


document_description: The document provides a table showing different product types available under the company's product lines, including dry foods and wet foods, treats, and other products. It details revenue figures for FY 2014 and the introduction dates of various product lines.

title: Form S-1 Product Revenue and Introduction Table

document_subtype: financial


document_description: The document provides a comparison of retail sales of BLUE pet food and cat litter to the overall market in 2014, highlighting BLUE's market share in various product types and its growth potential. It includes detailed sales mix data by product line and discusses the company's research and development efforts.

title: Retail Sales of Pet Food and Cat Litter by Product Type


document_description: The document is a Form S-1 filing for Blue Buffalo Company, Ltd., detailing the company's organizational culture, operations, and manufacturing network. It highlights the company's focus on being a great workplace, its leadership team, and its position in the Wholesome Natural pet food market. The document also discusses the company's manufacturing capabilities and future plans for expansion into international markets.

title: Blue Buffalo Company, Ltd. Form S-1 Filing

key_people:
Kurt Schmidt
Billy Bishop
Mike Nathenson

key_organizations:
Blue Buffalo Company, Ltd.
Kraft
Wrigley
Novartis
Nestle
PepsiCo
Dean Foods


document_description: The document outlines the cost structure and procurement strategies for ingredients and packaging materials in the company's food production. It details the contracts for purchasing ingredients, the management of commodity price risks, and the quality control measures in place to ensure food safety. The company has increased its contracted ingredients for dry foods significantly from 2009 to 2014 and plans to continue this strategy. The document also discusses the company's approach to packaging materials and its quality control program, which includes rigorous testing and third-party certifications.


document_description: The document outlines the food safety and quality program of a company, emphasizing FDA-approved batch and lot traceability controls. It discusses the company's strong position with retailers and distribution partners, highlighting their strategic approach to sales and distribution, particularly in the eCommerce channel. The document also mentions the company's sales primarily in the United States and Canada, with a small percentage outside the U.S.

key_locations:
United States
Canada
Asia

key_organizations:
FDA
SAP ERP
Blue Buffalo


document_description: The document outlines the sales and distribution strategy of BLUE products, which are sold in specialty channels including national pet superstore chains, regional pet store chains, neighborhood pet stores, farm and feed stores, eCommerce retailers, military outlets, and hardware stores. The majority of sales are direct to retailers, with a significant portion through distributors. The document also details the order fulfillment and logistics process, with distribution centers in Bellevue, Nebraska, and Monroe, Ohio. The growth strategy focuses on increasing volumes and revenue per pound by expanding market reach and product offerings.

key_locations:
Wilton, Connecticut
Bellevue, Nebraska
Monroe, Ohio

key_organizations:
BLUE
PetSmart
Petco
Tractor Supply Company
Pet Supermarket


document_description: The document outlines strategies for increasing revenue and market share for BLUE pet food products. It focuses on improving product mix, expanding distribution channels, targeting younger pet owners, and cross-selling products. The company aims to enhance brand awareness and enter new markets, including the Vet channel and international markets.


document_description: The document discusses the company's strategy to increase revenue through specialized products, cross-selling, and international expansion. It also highlights the company's investment in growth initiatives, including manufacturing efficiencies and entering new markets. The document includes a table of key properties with details on location, size, use, and lease expiration.

key_locations:
Joplin, Missouri
Monroe, Ohio
Wilton, Connecticut
Phoenix, Arizona


document_description: The document is a Form S-1 filing that discusses the intellectual property and government regulation aspects of Blue Buffalo's business. It highlights the company's trademarks, including 'Blue Buffalo,' 'LifeSource Bits,' and others, which are registered in multiple countries. The document also outlines the regulatory compliance of Blue Buffalo with U.S. federal, state, and local authorities, particularly focusing on pet food-related regulations by the FDA.

key_locations:
United States
Canada
Mexico
Japan
Europe
Russia
China
Australia

key_organizations:
Blue Buffalo
FDA
United States Department of Agriculture
U.S. Customs and Border Protection
EPA


document_description: The document discusses the regulatory environment for pet food products, particularly in relation to FDA regulations and the potential classification of some products as animal drugs. It highlights the FDA's recent actions and guidelines, the possibility of recalls, and the role of state and international regulations. The document also mentions the FSMA and its implications for pet food manufacturing.

key_organizations: Ministry of Agriculture, Forestry and Fisheries (Japan)


document_description: The document outlines various regulations and legal proceedings related to a pet food manufacturing company. It discusses employee and occupational safety regulations, environmental regulations, and manufacturing-related regulations. It also details ongoing legal proceedings, including lawsuits with Nestle Purina over false advertising and related consumer class action lawsuits.

key_locations: United States District Court for the Eastern District of Missouri


document_description: The document provides a list of executive officers and directors of a company as of March 31, 2015, along with their ages and business experience. Key individuals include Kurt Schmidt, William Bishop, Jr., and Michael Nathenson, among others. The document highlights their leadership roles and experiences in various companies such as Nestle, Blue Buffalo Company, and PepsiCo.

title: Executive Officers and Directors

key_people:
Kurt Schmidt
William Bishop, Jr.
Michael Nathenson
Raymond Debbane
Philippe Amouyal
Evren Bilimer
Aflalo Guimaraes
Michael A. Eck
Frances Frei
Amy Schulman

key_locations:
United States
Australia

key_organizations:
Nestle
Blue Buffalo Company
PepsiCo
Dean Foods
Kraft
Wrigley
Novartis


document_description: The document outlines the responsibilities of the Compensation Committee, including setting compensation programs, monitoring incentive plans, succession planning, and preparing reports for the SEC. It also mentions the adoption of a written charter and a new Code of Ethics and Business Conduct. The document states that none of the Compensation Committee members have been executive officers or employees, and there are no interlocks with other entities' boards.

key_organizations:
Compensation Committee
Board of Directors
SEC


document_description: The document outlines the equity incentive awards granted to NEOs in previous fiscal years, specifically focusing on the stock options granted to Kurt Schmidt and Mike Nathenson in 2012. It details the vesting schedule, conditions for exercising options post-employment, and the investor rights agreement. Additionally, it provides a table of outstanding option awards as of December 31, 2014, and mentions the company's 401(k) retirement savings plan.

title: Options Granted in Previous Fiscal Years and Outstanding Equity Awards at 2014 Fiscal Year-End

key_people:
Kurt Schmidt
Mike Nathenson
Billy Bishop


document_description: The document outlines the company's 401(k) plan contributions, potential payments upon change of control for executives, and details of equity compensation plans. It includes specific provisions for executives like Kurt and Mike regarding vesting of options and 401(k) balances in the event of a change of control. The document also describes the 2012 Stock Purchase and Option Plan of Blue Buffalo Pet Products, Inc., including the administration and types of awards under the plan.

key_people: Kurt Mike Billy


document_description: The document outlines the 2015 Omnibus Incentive Plan, which is expected to be adopted by the Board of Directors and approved by stockholders in connection with a securities offering. The plan aims to attract and retain key personnel by allowing directors, officers, employees, consultants, and advisors to acquire equity or receive incentive compensation. It will be administered by the Compensation Committee, which has broad authority to manage the plan. The document specifies the number of shares available under the plan, limits on awards, and conditions for substitute awards.

title: 2015 Omnibus Incentive Plan

key_people:
Board of Directors
Compensation Committee

document_subtype: Securities Offering Document


document_description: The document outlines the provisions of the 2015 Plan regarding stock options, stock appreciation rights, restricted shares, restricted stock units, and other stock-based awards. It specifies the terms and conditions under which these awards can be granted, including exercise prices, payment methods, and rights of holders.


document_description: The document outlines the provisions of the 2015 Plan regarding performance compensation awards, the effect of certain corporate events on the plan and awards, nontransferability of awards, and the amendment and termination of the plan. It details the authority of the Compensation Committee in designating performance compensation awards, adjusting awards in response to corporate events, and permitting the transfer of awards under specific conditions. The Board of Directors retains the right to amend or terminate the plan, subject to stockholder approval in certain cases.

key_people:
Compensation Committee
Board of Directors


document_description: The document provides details on the compensation of directors for fiscal years 2014 and 2015, including fees, non-equity incentive plans, and other compensations. It also outlines the compensation plan for fiscal 2015, including retainers and stock grants.

title: Director Compensation for Fiscal 2014 and 2015

key_people:
Bill Bishop
Philippe Amouyal
Evren Bilimer
Raymond Debbane
Michael Eck
Frances Frei
Aflalo Guimaraes
Amy Schulman

document_subtype: Director Compensation


document_description: The document is a Form S-1 registration statement detailing certain relationships and related party transactions. It includes an investor rights agreement with the Bishop Family Partnership and certain stockholders, amended on January 21, 2015, which outlines director elections, share transfer restrictions, and registration rights. It also details related party transactions involving the Sponsor and Kunkemueller Enterprises LP, including debt holdings and interest payments. The document mentions procedures for related-party transactions to be adopted by the Board of Directors.

title: Form S-1

document_subtype: Securities Registration

key_organizations:
Bishop Family Partnership
Kunkemueller Enterprises LP
NASDAQ


document_description: The document provides information about the beneficial ownership of common stock as of 2015, prior to and after a stock split and initial public offering. It includes details on ownership percentages for individuals and groups owning more than 5% of capital stock, executive officers, directors, and those selling stock in the IPO. Ownership is calculated based on SEC rules, considering shares subject to restrictions, options, or warrants exercisable within 60 days.

title: Principal and Selling Stockholders

document_subtype: S-1 Filing


document_description: The document is a section from a Form S-1 registration statement, summarizing the terms of the company's capital stock, including common and preferred stock. It outlines the voting rights, liquidation rights, and other characteristics of the common stock, as well as the potential issuance of preferred stock. The document also mentions lock-up agreements with underwriters and the application for listing on NASDAQ under the symbol 'BUFF'.

title: Description of Capital Stock

key_people:
J.P. Morgan Securities LLC
Citigroup Global Markets Inc.


document_description: The document discusses the conflicts of interest, limitations on liability, and indemnification of officers and directors as outlined in the amended and restated certificate of incorporation and bylaws. It highlights the renouncement of interest in certain business opportunities by the corporation, the elimination of personal liability for directors under certain conditions, and the indemnification and advancement of expenses for directors and officers. The provisions aim to attract and retain qualified directors and officers while potentially discouraging lawsuits against them.