This document outlines the criteria for determining 'beneficial owners' under Rule 13d-3 of the Securities Exchange Act of 1934. It specifies the conditions under which a person is considered a beneficial owner of a security, including voting and investment power, and the use of trusts or other arrangements to evade reporting requirements. It also addresses the aggregation of securities and the rights to acquire beneficial ownership.
doj/DataSet10/EFTA01374161.pdf
{"title":"Determination of 'Beneficial Owners' for Purposes of Section TWENTY-FIRST of the Agreement","key_people":["Paul Barrett"],"document_type":"legal","document_subtype":"Appendix","key_organizations":["AGP LP","Alpha Group Capital"],"reference_numbers":["DB-SDNY-0068718","SDNY_GM_00214902","EFTA01374161"]}