EFTA01443593Set 10
2018-03-3061p17,672w
prior brochure, an
update to Item 5 relating to
the collection of an investor servicing fee, an update to Item 8 relating to
the scope of diligence
conducted on certain ... Item 14 below.
iCapital provides investment advisory services to each of iCapital Carlyle
Property Investors
Access Fund, L.P.,
iCapital-SV7, L.P., iCapital-SLP V Access Fund, L.P.,
iCapital-MSD Private ... Opportunity II Access Fund, L.P., iCapital-BTAS IV Access Fund, L.P.,
BIAS IV Private
Investors (U.S.), L.P., Invesco Venture Alpha Feeder Fund, L.P., Private
Equity Select Master
2
EFTA01443595
GLDUS128
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01443593.pdf
EFTA02698238Set 11
2011-03-0934p8,295w
Holders") and the persons and entities listed on Exhibit B hereto (the
"Investors").
WITNESSETH
WHEREAS, the Key Holders are the beneficial owners of shares of common stock of the
Company ... Common Stock") and/or options to purchase Common Stock;
WHEREAS, certain of the Investors are purchasing shares of the Company's Series 5
Preferred Stock (the "Series 5 Preferred Stock"), pursuant ... conditioned upon the execution
and delivery of this Agreement;
WHEREAS, certain of the Investors (the "Prior Investors") are holders of the Company's
Series I -A Preferred Stock, Series
https://www.justice.gov/epstein/files/DataSet%2011/EFTA02698238.pdf
EFTA00285853Set 9
2019-04-1011p7,239w
York firm, founded in 2007 by former Lehman Brothers executive Rod
Gams, finished returning investor capital from its Field Street Global Investments
fund in the last several months. The vehicle ... Deutsche Bank.
A sales and marketing executive has left
Online Platforms Catching On With Investors
Bridgewater Associates. Shake Rasheed Operators of online managed account platforms appear to be capturing ... capital profitable individual in our firm's history" after he bet against
from outside investors — and possibly spin them off as free- financial-company stocks in 2008, according to Reuters
https://www.justice.gov/epstein/files/DataSet%209/EFTA00285853.pdf
EFTA01101557Set 9
2015-02-12100p33,810w
each fund, BFP invested in a related
co-investor entity established for Apollo affiliates and employees to participate in
Apollo's individual PE funds. As of the Valuation Date ... anniversary date (March I) of the investment. The agreement provisions for
Apollo VIF Co-Investors, LLC require 65 days notice for withdrawals that are permitted at the
end of each ... annuities. AHL's subsidiaries include Athene
Annuity & Life Assurance Company, Athene Life Insurance Company, Investors
Insurance Corp, and Athene Life Re Ltd. Products offered by AHL, through its
subsidiaries, include
https://www.justice.gov/epstein/files/DataSet%209/EFTA01101557.pdf
following will be considered ECI to a non-U.S. Investor:
• the non-U.S. Investor's share of the items of income, gain, loss, deduction and credit derived ... result different from merely applying U.S. tax rates to the non-U.S. Investor's share of the net income of the
Operating Partnership): and
• the non-U.S. Investor ... disposition of the Operating
Partnership, and any gain realized by the non-U.S. Investor upon the disposition of and interest in the Fund. in
each case, to the extent
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01393681.pdf
GLDUS130 Aspen Grove Capital, LLC
Investor enforceable against the Investor in accordance with their respective terms. The Investor
acknowledges that this Agreement, the Partnership Agreement and the power of attorney ... Memorandum and
the Partnership Agreement which in the aggregate arc not material to the Investor or which arc contemplated
by, or made in accordance with, the Memorandum or the Partnership ... case may be. and
(ii) the death, disability, termination or winding up of the Investor. The Investor has obtained all necessary
consents, approvals and authorizations of government authorities and other
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01393436.pdf
GLDUS132 EverWatch Financial
Investor enforceable against the Investor in accordance with their respective terms. The Investor
acknowledges that this Agreement, the Partnership Agreement and the power of attorney granted hereby ... Memorandum and
the Partnership Agreement which in the aggregate arc not material to the Investor or which arc contemplated
by, or made in accordance with, the Memorandum or the Partnership ... case may be. and
(ii) the death, disability, termination or winding up of the Investor. The Investor has obtained all necessary
consents, approvals and authorizations of government authorities and other
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01389879.pdf
GLOUS143 Henry Nicholas
Investor enforceable against the Investor in accordance with their respective terms. The Investor
acknowledges that this Agreement, the Partnership Agreement and the power of attorney granted hereby ... Memorandum and
the Partnership Agreement which in the aggregate arc not material to the Investor or which arc contemplated
by, or made in accordance with, the Memorandum or the Partnership ... case may be. and
(ii) the death, disability, termination or winding up of the Investor. The Investor has obtained all necessary
consents, approvals and authorizations of government authorities and other
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01354362.pdf
EFTA01116249Set 9
2017-01-314p1,217w
LETTER
To: Hedosophia Alpha Limited
Roseneath, The Grange, St Peter Port, Guernsey
We (the "Investor) agree to transfer to Hedosophia Alpha Limited (the "Company') the amount set out below ... investment on the following terms:
Investment amount: The investor will transfer to the Company US$(..) million in immediately available cleared
funds on the date of signature of this document into ... bank account of the Company which will be advised to the
investor on signature.
We anticipate the Company will enter into investment letters with up to (five) other investors (-Investors
https://www.justice.gov/epstein/files/DataSet%209/EFTA01116249.pdf
EFTA01120975Set 9
2013-12-1260p20,787w
December, 2013 by and among Coinbase, Inc., a Delaware corporation (the
"Company"), and the investors listed on Exhibit A attached to this Agreement (each a
"Purchaser" and together the "Purchasers ... form of Exhibit D attached to this Agreement.
OHSUSA:755718737.3 2
EFTA01120976
(e) "Investors' Rights Agreement" means the Amended and Restated
Investors' Rights Agreement among the Company and the Purchasers ... Company and each of Andreessen, Union Square Ventures 2012 Fund, L.P. and USV Investors
2012 Fund, L.P. (together, "USV") and Ribbit Capital, LP and Fintech Coinbase Holdings, LLC
(together, "Ribbit
https://www.justice.gov/epstein/files/DataSet%209/EFTA01120975.pdf
described by the preceding clauses (A) through (C).
(dd) Underlvinz Fund; No Recourse. The Investor hereby acknowledges and agrees
that the Investor shall not be a limited partner of Glendower ... Underlying Fund and shall have
no voting rights in the Underlying Fund. The Investor hereby acknowledges and agrees that the Investor
shall have no standing or recourse against the Underlying ... Affiliates or any of their respective advisors, officers,
directors, employees, partners or members. The Investor understands and acknowledges that the Underlying
Fund Manager will have confidential information relating
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01355508.pdf
GLDUS1 29 OF Enterpnses
(I) If the Investor is a corporation, trust, partnership, limited liability company or other
entity, organization or association, it has not been formed or used ... amended (the "Exchange Act") and the Interest held by the Investor will be held
of record by one person within the meaning of the Exchange Act Rule 12g5 ... Investor is a trust or other entity, it will provide any additional documents or
information that the Partnership or General Partner may reasonably request
regarding its beneficial ownership
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01394298.pdf
owner" of such an individual retirement account), and (b) to the extent
the Investor's Interest is being held by a custodian, (x) the General Partner may,
without further instruction ... consent of the Investor or any beneficial owner of
the Investor, re-register the Investor's Interests in the name of the beneficial owner
of such Investor upon instruction provided ... longer
willing to retain custody or act as custodian for the Investor's Interests and the
Investor has not simultaneously provided a substitute custodian for such individual
retirement account
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01392524.pdf
owner" of such an individual retirement account), and (b) to the extent
the Investor's Interest is being held by a custodian, (x) the General Partner may,
without further instruction ... consent of the Investor or any beneficial owner of
the Investor, re-register the Investor's Interests in the name of the beneficial owner
of such Investor upon instruction provided ... longer
willing to retain custody or act as custodian for the Investor's Interests and the
Investor has not simultaneously provided a substitute custodian for such individual
retirement account
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01394309.pdf