EFTA00803405Set 9
2017-03-3043p16,141w
Item 4 Advisory Business 4
Item 5 Fees and Compensation 7
Item 6 Performance-Based Fees and Side-By-Side Management 9
Item 7 Types of Clients 10
Item ... investor has an interest. In addition, Honeycomb or its affiliates will
be entitled to performance-based compensation (i.e., Incentive Allocation) at the end of each fiscal
year in an amount ... Offshore Feeder prior to the end of a calendar year, such investor's
performance-based compensation, with respect to the portion withdrawn or redeemed, will be
deducted at the time
https://www.justice.gov/epstein/files/DataSet%209/EFTA00803405.pdf
EFTA00295515Set 9
2018-03-1627p14,283w
ITEM 4: ADVISORY BUSINESS 4
ITEM 5: FEES AND COMPENSATION 5
ITEM 6: PERFORMANCE-BASED FEES AND SIDE-BY-SIDE MANAGEMENT 7
ITEM 7: TYPES OF CLIENTS 8
ITEM ... persons, are compensated for the sale of securities
or other investment products.
Item 6: Performance-Based Fees and Side-by-Side Management
CAS will not charge a performance-based allocation ... client, except as permitted by the SEC rule. Registered Investment Advisers may only charge
performance-based fees to U.S. clients if, under SEC Rule 205-3, the client meets
https://www.justice.gov/epstein/files/DataSet%209/EFTA00295515.pdf
EFTA01396261Set 10
2018-03-3061p17,732w
Item 4: Advisory
Business
2
Item 5: Fees and
Compensation
4
Item 6: Performance-Based Fees and Side by Side
Management
.. 7
Item 7: Types of
Clients
7
Item ... will pay all overhead expenses, including its employees' salaries,
rent, utilities, etc.
Item 6: Performance-Based Fees and Side by Side Management
iCapital may charge the Funds a performance-based ... carried interest to
its Investors.
Performance-based compensation may
create an
incentive for
iCapital to make more
speculative investments than would otherwise be made or make decisions
regarding the timing
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01396261.pdf
EFTA01394988Set 10
2018-03-3061p17,706w
Item 4: Advisory
Business
2
Item 5: Fees and
Compensation
4
Item 6: Performance-Based Fees and Side by Side
Management
.. 7
Item 7: Types of
Clients
7
Item ... will pay all overhead expenses, including its employees' salaries,
rent, utilities, etc.
Item 6: Performance-Based Fees and Side by Side Management
iCapital may charge the Funds a performance-based ... carried interest to
its Investors.
Performance-based compensation may
create an
incentive for
iCapital to make more
speculative investments than would otherwise be made or make decisions
regarding the timing
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01394988.pdf
EFTA01395101Set 10
2018-03-3061p17,672w
Item 4: Advisory
Business
2
Item 5: Fees and
Compensation
4
Item 6: Performance-Based Fees and Side by Side
Management
.. 7
Item 7: Types of
Clients
7
Item ... will pay all overhead expenses, including its employees' salaries,
rent, utilities, etc.
Item 6: Performance-Based Fees and Side by Side Management
iCapital may charge the Funds a performance-based ... carried interest to
its Investors.
Performance-based compensation may
create an
incentive for
iCapital to make more
speculative investments than would otherwise be made or make decisions
regarding the timing
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01395101.pdf
EFTA01397607Set 10
2018-03-3061p17,672w
Item 4: Advisory
Business
2
Item 5: Fees and
Compensation
4
Item 6: Performance-Based Fees and Side by Side
Management
.. 7
Item 7: Types of
Clients
7
Item ... will pay all overhead expenses, including its employees' salaries,
rent, utilities, etc.
Item 6: Performance-Based Fees and Side by Side Management
iCapital may charge the Funds a performance-based ... carried interest to
its Investors.
Performance-based compensation may
create an
incentive for
iCapital to make more
speculative investments than would otherwise be made or make decisions
regarding the timing
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01397607.pdf
EFTA01438649Set 10
2018-03-3061p17,699w
Item 4: Advisory
Business
2
Item 5: Fees and
Compensation
4
Item 6: Performance-Based Fees and Side by Side
Management
.. 7
Item 7: Types of
Clients
7
Item ... will pay all overhead expenses, including its employees' salaries,
rent, utilities, etc.
Item 6: Performance-Based Fees and Side by Side Management
iCapital may charge the Funds a performance-based ... carried interest to
its Investors.
Performance-based compensation may
create an
incentive for
iCapital to make more
speculative investments than would otherwise be made or make decisions
regarding the timing
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01438649.pdf
EFTA01428879Set 10
2018-03-3061p17,701w
Item 4: Advisory
Business
2
Item 5: Fees and
Compensation
4
Item 6: Performance-Based Fees and Side by Side
Management
.. 7
Item 7: Types of
Clients
7
Item ... will pay all overhead expenses, including its employees' salaries,
rent, utilities, etc.
Item 6: Performance-Based Fees and Side by Side Management
iCapital may charge the Funds a performance-based ... carried interest to
its Investors.
Performance-based compensation may
create an
incentive for
iCapital to make more
speculative investments than would otherwise be made or make decisions
regarding the timing
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01428879.pdf
EFTA01442887Set 10
2018-03-3061p17,672w
Item 4: Advisory
Business
2
Item 5: Fees and
Compensation
4
Item 6: Performance-Based Fees and Side by Side
Management
.. 7
Item 7: Types of
Clients
7
Item ... will pay all overhead expenses, including its employees' salaries,
rent, utilities, etc.
Item 6: Performance-Based Fees and Side by Side Management
iCapital may charge the Funds a performance-based ... carried interest to
its Investors.
Performance-based compensation may
create an
incentive for
iCapital to make more
speculative investments than would otherwise be made or make decisions
regarding the timing
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01442887.pdf
EFTA01443593Set 10
2018-03-3061p17,672w
Item 4: Advisory
Business
2
Item 5: Fees and
Compensation
4
Item 6: Performance-Based Fees and Side by Side
Management
.. 7
Item 7: Types of
Clients
7
Item ... will pay all overhead expenses, including its employees' salaries,
rent, utilities, etc.
Item 6: Performance-Based Fees and Side by Side Management
iCapital may charge the Funds a performance-based ... carried interest to
its Investors.
Performance-based compensation may
create an
incentive for
iCapital to make more
speculative investments than would otherwise be made or make decisions
regarding the timing
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01443593.pdf
EFTA01396934Set 10
2018-03-3061p17,659w
Contents
Item 4: Advisory
Business
Item 5: Fees and
Compensation
4
Item 6: Performance-Based Fees and Side by Side
Management
.. 7
Item 7: Types of
Clients
7
Item ... will pay all overhead expenses, including its employees' salaries,
rent, utilities, etc.
Item 6: Performance-Based Fees and Side by Side Management
iCapital may charge the Funds a performance-based ... carried interest to
its Investors.
Performance-based compensation may
create an
incentive for
iCapital to make more
speculative investments than would otherwise be made or make decisions
regarding the timing
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01396934.pdf
EFTA01440262Set 10
2018-03-3061p17,665w
Item 4: Advisory
Business
2
Item 5: Fees and
Compensation
4
Item 6: Performance-Based Fees and Side by Side
Management
.. 7
Item 7: Types of
Clients
7
Item ... will pay all overhead expenses, including its employees' salaries,
rent, utilities, etc.
Item 6: Performance-Based Fees and Side by Side Management
iCapital may charge the Funds a performance-based ... carried interest to
its Investors.
Performance-based compensation may
create an
incentive for
iCapital to make more
speculative investments than would otherwise be made or make decisions
regarding the timing
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01440262.pdf
EFTA01439454Set 10
2018-03-3061p17,665w
Item 4: Advisory
Business
2
Item 5: Fees and
Compensation
4
Item 6: Performance-Based Fees and Side by Side
Management
.. 7
Item 7: Types of
Clients
7
Item ... will pay all overhead expenses, including its employees' salaries,
rent, utilities, etc.
Item 6: Performance-Based Fees and Side by Side Management
iCapital may charge the Funds a performance-based ... carried interest to
its Investors.
Performance-based compensation may
create an
incentive for
iCapital to make more
speculative investments than would otherwise be made or make decisions
regarding the timing
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01439454.pdf