The document outlines the legal and regulatory considerations for Glendower Capital Secondary Opportunities Fund IV, LP, particularly in relation to the U.S. Securities Exchange Act of 1934, the Investment Company Act of 1940, and the U.S. Investment Advisers Act of 1940. It discusses the requirements for SEC filings when acquiring more than 5% of a company's equity securities, the avoidance of short-swing profit liability, and the exemptions from registration under the Investment Company Act. It also covers the conditions under which interests can be offered and transferred, and the registration status of the Manager under the Advisers Act.
doj/DataSet10/EFTA01389402.pdf
{}