EFTA01079016Set 9
2015-12-3169p22,497w
engagement letter dated October 9, 2015 between Rockefeller Financial Services, Inc. (the "Company" or "RFS") and
Berkshire Capital Securities LLC ("Berkshire Capital"), Berkshire Capital has prepared a valuation ... both the Class A (Voting) and the Class B (Non-Voting) shares of RFS as of the
Reference Date.
The Valuation was completed in a manner consistent with the requirements ... Shareholders' Agreement, by and among RFS,
the Family Trust established under Indenture dated December 21, 1979 (the "Family Trust") and the Shareholders named therein,
dated as of February
https://www.justice.gov/epstein/files/DataSet%209/EFTA01079016.pdf
EFTA01078984Set 9
2015-12-3132p8,813w
Unit and Share Values)
1. ORGANIZATION AND DESCRIPTION OF BUSINESS
Rockefeller Financial Services, Inc. ("RFS") and its wholly-owned subsidiary, Rockefeller &
Co., Inc. ("Rock. & Co." and together, the "Company"), provide ... provide information management
services to the Company (see Notes 2, 3 and 15).
RFS's sole voting (Class A) stockholder is The Family Trust Established Under Indenture
Dated December ... component
of stockholders' equity.
Note Receivable from Class A Stockholder
On December 1, 2014, RFS made a $1,600 term loan to the Family Trust (see Note 9). The
note
https://www.justice.gov/epstein/files/DataSet%209/EFTA01078984.pdf
EFTA00595953Set 9
2015-12-3132p8,833w
Unit and Share Values)
1. ORGANIZATION AND DESCRIPTION OF BUSINESS
Rockefeller Financial Services, Inc. ("RFS") and its wholly-owned subsidiary, Rockefeller &
Co., Inc. ("Rock. & Co." and together, the "Company"), provide ... provide information management
services to the Company (see Notes 2, 3 and 15).
RFS's sole voting (Class A) stockholder is The Family Trust Established Under Indenture
Dated December ... component
of stockholders' equity.
Note Receivable from Class A Stockholder
On December 1, 2014, RFS made a $1,600 term loan to the Family Trust (see Note 9). The
note
https://www.justice.gov/epstein/files/DataSet%209/EFTA00595953.pdf