EFTA00617709Set 9
36p17,090w
company excluded from the definition of investment company under ICA section 3(cX7),
each of its beneficial owners is a qualified purchaser. (check if applicable)
(5) A corporation, partnership, trust ... section 3(c)(I ) (a "3(cXI) Fund")
or 3(c)(7) (a "3(cX7) Fund") that desires to become a qualified purchaser ("Purchasing Fund") must obtain the consent ... April 30, 1996, Beneficial Owners of any 3(c)(I) Fund or 3(cX7) Fund that directly or indirectly owns any of
the securities of the Purchasing Fund ("Owning Fund
https://www.justice.gov/epstein/files/DataSet%209/EFTA00617709.pdf
EFTA01122111Set 9
36p17,082w
company excluded from the definition of investment company under ICA section 3(cX7),
each of its beneficial owners is a qualified purchaser. (check if applicable)
(5) A corporation, partnership, trust ... section 3(c)(I ) (a "3(cXI) Fund")
or 3(c)(7) (a "3(cX7) Fund") that desires to become a qualified purchaser ("Purchasing Fund") must obtain the consent ... April 30, 1996, Beneficial Owners of any 3(c)(I) Fund or 3(cX7) Fund that directly or indirectly owns any of
the securities of the Purchasing Fund ("Owning Fund
https://www.justice.gov/epstein/files/DataSet%209/EFTA01122111.pdf
EFTA00237385Set 9
2014-07-0120p14,608w
from the definition of investment company
The Undersigned is a qualified purchaser 3(cX7) Company that controls, is controlled by Rule 3a-6 or Rule 3a-7 under the
because ... Securities Exchange Act, (C) the
Note:
itself a Section 3(cX1) or 3(cX7) Company, issuer of the Control Securities has a class of
Trusts may not rely on this ... otherwise included as described below; financial statements (provided such financial
3(cX7) Company but does not have ANY (2) futures contracts or options thereon held statements were issued within
https://www.justice.gov/epstein/files/DataSet%209/EFTA00237385.pdf
EFTA01273285Set 10
2014-07-0123p16,074w
from the definition of investment company
The Undersigned is a qualified purchaser 3(cX7) Company that controls, is controlled by Rule 3a-6 or Rule 3a-7 under the
because ... Securities Exchange Act, (C) the
Note:
itself a Section 3(c)(1) or 3(cX7) Company, issuer of the Control Securities has a dass of
Trusts may not rely ... accordance with
(a) The Undersigned is not a 3(c)(1) or
3(cX7) Company; or all (I) securities (as defined n the Securities generally accepted accounting principles
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01273285.pdf
definition of "investment company" in reliance on the exception contained in Section 3(cX7) of the
Investment Company Act and, thus, exempt from the registration requirements of the Investment Company ... definition of-qualified purchaser" in connection with the
exception contained in Section 3(cX7), the Access Fund will obtain and rely on appropriate representations
and undertakings from investors in order ... effect of such ownership would preclude the Access Fund from relying on Section
3(cX7) of the Investment Company Act or otherwise require the Access Fund to register
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01390141.pdf
definition of "investment company" in reliance on the exception contained in Section 3(cX7) of the
Investment Company Act and, thus, exempt from the registration requirements of the Investment Company ... definition of-qualified purchaser" in connection with the
exception contained in Section 3(cX7), the Access Fund will obtain and rely on appropriate representations
and undertakings from investors in order ... effect of such ownership would preclude the Access Fund from relying on Section
3(cX7) of the Investment Company Act or otherwise require the Access Fund to register
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01355399.pdf
definition of "investment company" in reliance on the exception contained in Section 3(cX7) of the
Investment Company Act and, thus, exempt from the registration requirements of the Investment Company ... definition of-qualified purchaser" in connection with the
exception contained in Section 3(cX7), the Access Fund will obtain and rely on appropriate representations
and undertakings from investors in order ... effect of such ownership would preclude the Access Fund from relying on Section
3(cX7) of the Investment Company Act or otherwise require the Access Fund to register
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01355188.pdf
definition of "investment company" in reliance on the exception contained in Section 3(cX7) of the
Investment Company Act and, thus, exempt from the registration requirements of the Investment Company ... definition of-qualified purchaser" in connection with the
exception contained in Section 3(cX7), the Access Fund will obtain and rely on appropriate representations
and undertakings from investors in order ... effect of such ownership would preclude the Access Fund from relying on Section
3(cX7) of the Investment Company Act or otherwise require the Access Fund to register
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01393870.pdf
definition of "investment company" in reliance on the exception contained in Section 3(cX7) of the
Investment Company Act and, thus, exempt from the registration requirements of the Investment Company ... definition of-qualified purchaser" in connection with the
exception contained in Section 3(cX7), the Access Fund will obtain and rely on appropriate representations
and undertakings from investors in order ... effect of such ownership would preclude the Access Fund from relying on Section
3(cX7) of the Investment Company Act or otherwise require the Access Fund to register
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01391103.pdf
definition of "investment company" in reliance on the exception contained in Section 3(cX7) of the
Investment Company Act and, thus, exempt from the registration requirements of the Investment Company ... definition of-qualified purchaser" in connection with the
exception contained in Section 3(cX7), the Access Fund will obtain and rely on appropriate representations
and undertakings from investors in order ... effect of such ownership would preclude the Access Fund from relying on Section
3(cX7) of the Investment Company Act or otherwise require the Access Fund to register
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01394161.pdf
definition of "investment company" in reliance on the exception contained in Section 3(cX7) of the
Investment Company Act and, thus, exempt from the registration requirements of the Investment Company ... definition of-qualified purchaser" in connection with the
exception contained in Section 3(cX7), the Access Fund will obtain and rely on appropriate representations
and undertakings from investors in order ... effect of such ownership would preclude the Access Fund from relying on Section
3(cX7) of the Investment Company Act or otherwise require the Access Fund to register
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01393617.pdf
definition of "investment company" in reliance on the exception contained in Section 3(cX7) of the
Investment Company Act and, thus, exempt from the registration requirements of the Investment Company ... definition of-qualified purchaser" in connection with the
exception contained in Section 3(cX7), the Access Fund will obtain and rely on appropriate representations
and undertakings from investors in order ... effect of such ownership would preclude the Access Fund from relying on Section
3(cX7) of the Investment Company Act or otherwise require the Access Fund to register
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01389310.pdf
definition of "investment company" in reliance on the exception contained in Section 3(cX7) of the
Investment Company Act and, thus, exempt from the registration requirements of the Investment Company ... definition of-qualified purchaser" in connection with the
exception contained in Section 3(cX7), the Access Fund will obtain and rely on appropriate representations
and undertakings from investors in order ... effect of such ownership would preclude the Access Fund from relying on Section
3(cX7) of the Investment Company Act or otherwise require the Access Fund to register
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01391720.pdf
definition of "investment company" in reliance on the exception contained in Section 3(cX7) of the
Investment Company Act and, thus, exempt from the registration requirements of the Investment Company ... definition of-qualified purchaser" in connection with the
exception contained in Section 3(cX7), the Access Fund will obtain and rely on appropriate representations
and undertakings from investors in order ... effect of such ownership would preclude the Access Fund from relying on Section
3(cX7) of the Investment Company Act or otherwise require the Access Fund to register
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01386602.pdf
definition of "investment company" in reliance on the exception contained in Section 3(cX7) of the
Investment Company Act and, thus, exempt from the registration requirements of the Investment Company ... definition of-qualified purchaser" in connection with the
exception contained in Section 3(cX7), the Access Fund will obtain and rely on appropriate representations
and undertakings from investors in order ... effect of such ownership would preclude the Access Fund from relying on Section
3(cX7) of the Investment Company Act or otherwise require the Access Fund to register
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01354647.pdf
definition of "investment company" in reliance on the exception contained in Section 3(cX7) of the
Investment Company Act and, thus, exempt from the registration requirements of the Investment Company ... definition of-qualified purchaser" in connection with the
exception contained in Section 3(cX7), the Access Fund will obtain and rely on appropriate representations
and undertakings from investors in order ... effect of such ownership would preclude the Access Fund from relying on Section
3(cX7) of the Investment Company Act or otherwise require the Access Fund to register
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01393325.pdf
definition of "investment company" in reliance on the exception contained in Section 3(cX7) of the
Investment Company Act and, thus, exempt from the registration requirements of the Investment Company ... definition of-qualified purchaser" in connection with the
exception contained in Section 3(cX7), the Access Fund will obtain and rely on appropriate representations
and undertakings from investors in order ... effect of such ownership would preclude the Access Fund from relying on Section
3(cX7) of the Investment Company Act or otherwise require the Access Fund to register
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01389735.pdf
definition of "investment company" in reliance on the exception contained in Section 3(cX7) of the
Investment Company Act and, thus, exempt from the registration requirements of the Investment Company ... definition of-qualified purchaser" in connection with the
exception contained in Section 3(cX7), the Access Fund will obtain and rely on appropriate representations
and undertakings from investors in order ... effect of such ownership would preclude the Access Fund from relying on Section
3(cX7) of the Investment Company Act or otherwise require the Access Fund to register
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01354216.pdf
definition of "investment company" in reliance on the exception contained in Section 3(cX7) of the
Investment Company Act and, thus, exempt from the registration requirements of the Investment Company ... definition of-qualified purchaser" in connection with the
exception contained in Section 3(cX7), the Access Fund will obtain and rely on appropriate representations
and undertakings from investors in order ... effect of such ownership would preclude the Access Fund from relying on Section
3(cX7) of the Investment Company Act or otherwise require the Access Fund to register
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01382999.pdf