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Corpus: 1990-03-17 – 2025-12-01

March 2015

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EFTA00237111Set 9

2015-03-3115p5,178w

services to a number of unregistered funds. These funds are primarily structured as • master-feeder" funds which provide brokerage and advisory clients of our affiliate, UBS Financial Services Inc. ('UBSFS ... provide access to various third party managers through a number of funds structured as feeder funds, and as a result, our investment advisory functions are limited to advice with respect ... those types of investments and related cash investments. The performance of the respective feeder funds that we advise or administer will be primarily determined by the advisory decisions

https://www.justice.gov/epstein/files/DataSet%209/EFTA00237111.pdf

EFTA01079277Set 9

2016-03-30185p86,831w

what is the name and private fund identification number (if any) of the feeder funds investing in this private fund? No Information Filed Yes No (c) Is this a "feeder ... instructions to this Section 7.B.(1), for each of EFTA01079297 the feeder funds answer the following questions: No Information Filed NOTE: For purposes of questions ... master-feeder arrangement. one or more funds ("feeder funds") invest all or substantially all of their assets in a single fund ("master fund"). A fund would also be a "feeder

https://www.justice.gov/epstein/files/DataSet%209/EFTA01079277.pdf

EFTA00236813Set 9

2014-06-3040p17,269w

managed by Millennium Management LLC AlphaKeys Millennium Fund AlphaKeys Millennium Fund invests in: Millennium feeder funds invest in: Millennium Strategic Capital LP AlphaKeys Millennium Fund Ill, LLC (Class B Interests ... January 1998 Investors in the AlphaKeys Millennium Funds are not shareholders of the Millennium feeder funds or Millenniun Partners, LP and will have no voting rights or direct interest ... limited partners in Millennium Partners LP (the "Millennium Master Fund"), or any of its feeder funds, and may not vote or otherwise participate in any matters related to those funds

https://www.justice.gov/epstein/files/DataSet%209/EFTA00236813.pdf

EFTA01395162Set 10

2018-04-11132p33,160w

Partner. 6 3.4.3 Outside Business. 7 Alternative Investment Vehicles. 8 Parallel Access Funds or Feeder Funds. 10 ARTICLE 4 - INVESTMENTS AND ACTIVITIES 10 4.1 Investment Guidelines 10 Borrowings 10 ERISA ... Additional Limited Partner") and to accept additional Subscriptions from existing Limited Partners (including any Feeder Fund making a corresponding increase to its Subscription based on the admission of additional limited ... partners to, or increase in subscriptions by existing EFTA01395181 limited partners in, such Feeder Fund), who shall be deemed to be Additional Limited Partners to the extent of such additional

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01395162.pdf

EFTA00237720Set 9

2015-03-3115p5,178w

services to a number of unregistered funds. These funds are primarily structured as • master-feeder" funds which provide brokerage and advisory clients of our affiliate, UBS Financial Services Inc. ('UBSFS ... provide access to various third party managers through a number of funds structured as feeder funds, and as a result, our investment advisory functions are limited to advice with respect ... those types of investments and related cash investments. The performance of the respective feeder funds that we advise or administer will be primarily determined by the advisory decisions

https://www.justice.gov/epstein/files/DataSet%209/EFTA00237720.pdf

EFTA00611496Set 9

CHINA PRIVATE INVESTORS LLC OR JP. MORGAN CHINA PRIVATE INVESTORS OFFSHORE LP. (TOGETHER. THE 'FEEDER FUNDS") WILL BE ACCEPTED AND NO MONEY IS BEING SOLICITED OR WILL BE ACCEPTED. UNTIL ... FUND (AS DEFINED BELOW) AND THE CONFIDENTIAL OFFERING MEMORANDUM OF THE APPLICABLE FEEDER FUND AND THE RELATED SUBSCRIPTION MATERIALS ARE MADE AVAILABLE TO PROSPECTIVE INVESTORS. ANY INDICATION OF INTEREST FROM ... CHASE 6 CO. (TOGETHER WITH ITS AFFILIATES. "JPIAORGAM7. WILL GENERALLY EFFECT THEIR INVESTMENT THROUGH FEEDER FUNDS ADMINISTERED BY JPMORGAN THAT WILL IN INVEST IN THE FUND THROUGH ONE OR MORE

https://www.justice.gov/epstein/files/DataSet%209/EFTA00611496.pdf

EFTA01451537Set 10

Southern Financial LLC transactions of the Onshore Feeder Fund would be subject to the prohibited transaction provisions of ERISA and/or Section 4975 of the Code, which may restrict the Onshore ... Feeder Fund from engaging in certain transactions that may otherwise be beneficial to the Onshore Feeder Fund. Unlike the Onshore Feeder Fund, the Offshore Feeder Fund may be considered ... ERISA plan asset entity within the meaning of ERISA, but since the Offshore Feeder Fund's sole purpose is to invest in the Onshore Feeder Fund, and no discretion

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01451537.pdf

EFTA01451901Set 10

look-through provisions of the Plan Asset Provisions, the assets of the Onshore Feeder Fund may be treated as plan assets for purposes of ERISA or Section ... other person with discretionary authority with respect to the assets of the Onshore Feeder Fund) could be treated as a fiduciary with respect to the portion of the assets ... Onshore Feeder Fund deemed to be plan assets and all transactions of the Onshore Feeder Fund would be subject to the prohibited transaction provisions of ERISA and/or Section

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01451901.pdf

EFTA01445643Set 10

2018-04-11132p33,159w

Partner. 6 3.4.3 Outside Business. 7 Alternative Investment Vehicles. 8 Parallel Access Funds or Feeder Funds. 10 ARTICLE 4 - INVESTMENTS AND ACTIVITIES 10 4.1 Investment Guidelines 10 Borrowings 10 ERISA ... Additional Limited Partner") and to accept additional Subscriptions from existing Limited Partners (including any Feeder Fund making a corresponding increase to its Subscription based on the admission of additional limited ... partners to, or increase in subscriptions by existing EFTA01445662 limited partners in, such Feeder Fund), who shall be deemed to be Additional Limited Partners to the extent of such additional

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01445643.pdf

EFTA01440323Set 10

2018-04-11132p33,160w

Partner. 6 3.4.3 Outside Business. 7 Alternative Investment Vehicles. 8 Parallel Access Funds or Feeder Funds. 10 ARTICLE 4 - INVESTMENTS AND ACTIVITIES 10 4.1 Investment Guidelines 10 Borrowings 10 ERISA ... Additional Limited Partner") and to accept additional Subscriptions from existing Limited Partners (including any Feeder Fund making a corresponding increase to its Subscription based on the admission of additional limited ... partners to, or increase in subscriptions by existing EFTA01440342 limited partners in, such Feeder Fund), who shall be deemed to be Additional Limited Partners to the extent of such additional

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01440323.pdf

EFTA01443654Set 10

2018-04-11132p33,160w

Partner. 6 3.4.3 Outside Business. 7 Alternative Investment Vehicles. 8 Parallel Access Funds or Feeder Funds. 10 ARTICLE 4 - INVESTMENTS AND ACTIVITIES 10 4.1 Investment Guidelines 10 Borrowings 10 ERISA ... Additional Limited Partner") and to accept additional Subscriptions from existing Limited Partners (including any Feeder Fund making a corresponding increase to its Subscription based on the admission of additional limited ... partners to, or increase in subscriptions by existing EFTA01443673 limited partners in, such Feeder Fund), who shall be deemed to be Additional Limited Partners to the extent of such additional

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01443654.pdf

EFTA01442234Set 10

2018-04-11132p33,224w

Partner. 6 3.4.3 Outside Business. 7 Alternative Investment Vehicles. 8 Parallel Access Funds or Feeder Funds. 10 ARTICLE 4 - INVESTMENTS AND ACTIVITIES 10 4.1 Investment Guidelines 10 Borrowings 10 ERISA ... Additional Limited Partner") and to accept additional Subscriptions from existing Limited Partners (including any Feeder Fund making a corresponding increase to its Subscription based on the admission of additional limited ... partners to, or increase in subscriptions by existing EFTA01442253 limited partners in, such Feeder Fund), who shall be deemed to be Additional Limited Partners to the extent of such additional

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01442234.pdf

EFTA01451495Set 10

PURCHASE LIMITED PARTNERSHIP INTERESTS (THE "INTERESTS") IN SECONDARY OPPORTUNITIES FUND III PRIVATE CLIENT FEEDER FUND (U.S.), L.P., A DELAWARE LIMITED PARTNERSHIP (THE "ONSHORE FEEDER FUND') OR SECONDARY OPPORTUNITIES FUND ... PRIVATE CLIENT FEEDER FUND (INTERNATIONAL), L.P., A CAYMAN ISLANDS EXEMPTED LIMITED PARTNERSHIP, (THE "OFFSHORE FEEDER FUND') (EACH, A "FEEDER FUND" AND TOGETHER, THE "FEEDER FUNDS'). THE SOLE OBJECTIVE ... ONSHORE FEEDER FUND WILL BE TO INVEST IN SECONDARY OPPORTUNITIES FUND III, LP (THE "MASTER FUND'). A COPY OF THE CONFIDENTIAL PRIVATE PLACEMENT MEMORANDUM OF THE MASTER FUND, DATED DECEMBER

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01451495.pdf

EFTA01439515Set 10

2018-04-11132p33,160w

Partner. 6 3.4.3 Outside Business. 7 Alternative Investment Vehicles. 8 Parallel Access Funds or Feeder Funds. 10 ARTICLE 4 - INVESTMENTS AND ACTIVITIES 10 4.1 Investment Guidelines 10 Borrowings 10 ERISA ... Additional Limited Partner") and to accept additional Subscriptions from existing Limited Partners (including any Feeder Fund making a corresponding increase to its Subscription based on the admission of additional limited ... partners to, or increase in subscriptions by existing EFTA01439534 limited partners in, such Feeder Fund), who shall be deemed to be Additional Limited Partners to the extent of such additional

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01439515.pdf

EFTA01428940Set 10

2018-04-11132p33,224w

Partner. 6 3.4.3 Outside Business. 7 Alternative Investment Vehicles. 8 Parallel Access Funds or Feeder Funds. 10 ARTICLE 4 - INVESTMENTS AND ACTIVITIES 10 4.1 Investment Guidelines 10 Borrowings 10 ERISA ... Additional Limited Partner") and to accept additional Subscriptions from existing Limited Partners (including any Feeder Fund making a corresponding increase to its Subscription based on the admission of additional limited ... partners to, or increase in subscriptions by existing EFTA01428959 limited partners in, such Feeder Fund), who shall be deemed to be Additional Limited Partners to the extent of such additional

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01428940.pdf

EFTA01451539Set 10

Southern Financial LLC The Offshore Feeder Fund has only recently been organized and has no financial or operating history. No U.S. or non-U.S. agency has passed upon ... finding or determination as to the fairness of an investment in the Offshore Feeder Fund. The Offshore Feeder Fund will (i) not be registered under the 1940 Act, (ii) issue ... Partner's entire investment incident to the purchase of the Interests in the Offshore Feeder Fund. The Offshore Feeder LP Agreement contains substantial restrictions on the transferability of the interests

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01451539.pdf

EFTA01384646Set 10

HUBUS133 Alpha Group Capital Fund may be materially affected by the actions of larger Feeder Funds investing in the Master Fund. For example, if a larger Feeder Fund redeems from ... Master Fund, the remaining Feeder Funds may experience higher rata operating expenses, thereby producing lower returns. The Master Fund may become less diverse due to a redemption by a larger ... Feeder Fund, resulting in increased portfolio risk. The Master Fund is a single entity and creditors of the Master Fund may enforce claims against all assets of the Master Fund

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01384646.pdf

EFTA01451528Set 10

look-through provisions of the Plan Asset Provisions, the assets of the Onshore Feeder Fund may be treated as plan assets for purposes of ERISA or Section ... other person with discretionary authority with respect to the assets of the Onshore Feeder Fund) could be treated as a fiduciary with respect to the portion of the assets ... Onshore Feeder Fund deemed to be plan assets and all transactions of the Onshore Feeder Fund would be subject to the prohibited transaction provisions of ERISA and/or Section

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01451528.pdf

EFTA01452231Set 10

Agreement FEES AND EXPENSES "Organizational Expenses" include (i) all costs of organizing the Onshore Feeder Fund and the Offshore Feeder Fund (including, but not limited to, legal and accounting fees ... Fund to the extent that such fees are incurred in connection with the Onshore Feeder Fund's direct investment, or the Offshore Feeder Fund's indirect investment, in the Master ... printing costs), and (ii) costs associated with the offering of Interests in the Feeder Funds not borne by the Placement Agents (including marketing and marketing-related travel costs incurred

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01452231.pdf

EFTA01451511Set 10

Southern Financial LLC entered into by the Onshore Feeder Fund. "Investment Fund Expenses" include (i) any management fee (the "Master Fund Management Fee") payable by the Onshore Feeder Fund ... respect of the Onshore Feeder Fund being a limited partner of the Master Fund (i.e., the General Partner's Share (as defined in the Master Fund Partnership Agreement)), any organizational ... Fund, and (ii) any other amounts charged by the Master Fund to the Onshore Feeder Fund by virtue of the Onshore Feeder Fund being or becoming an investor

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01451511.pdf

Page 1

Results by Dataset1,000 total

Set 8

1

Set 9

115

Set 10

878

Set 11

6