Epstein Files Search

EFTA01376373Set 10

1p486w

continuous possession of such Certificated Security or Instrument; (b) in the case of each Uncertificated Security (other than a Clearing Corporation Security), (A) causing such Uncertificated Security to be continuously ... causing the Securities Intermediary to continuously identify on its books and records that such Uncertificated Security is credited to the relevant Account; (c) in the case of each Clearing Corporation

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01376373.pdf

EFTA00596126Set 9

2007-01-18183p86,669w

continuous possession of such Certificated Security or Instrument; (b) in the case of each Uncertificated Security (other than a Clearing Corporation Security), (A) causing such Uncertificated Security to be continuously ... causing the Securities Intermediary to continuously identify on its books and records that such Uncertificated Security is credited to the relevant Account; (c) in the case of each Clearing Corporation

https://www.justice.gov/epstein/files/DataSet%209/EFTA00596126.pdf

EFTA01422410Set 10

2011-06-22369p87,774w

Instrument; 19 ING IM CLO 2011-1 EFTA01422458 (ii) in the case of each Uncertificated Security (other than a Clearing Corporation Security), (A) causing such Uncertificated Security to be continuously ... causing the Intermediary to continuously identify on its books and records that such Uncertificated Security is credited to the relevant Account; (iii) in the case of each Clearing Corporation Security

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01422410.pdf

EFTA01365381Set 10

1p425w

case of each Uncertificated Security (other than a Clearing Corporation Security), (A) causing such Uncertificated Security to be continuously registered on the books of the obligor thereof to the Intermediary ... causing the Intermediary to continuously identify on its books and records that such Uncertificated Security is credited to the relevant Account; (iii) in the case of each Clearing Corporation Security

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01365381.pdf

EFTA01376163Set 10

1p424w

case of each Uncertificated Security (other than a Clearing Corporation Security), (A) causing such Uncertificated Security to be continuously registered on the books of the obligor thereof to the Intermediary ... causing the Intermediary to continuously identify on its books and records that such Uncertificated Security is credited to the relevant Account; (iii) in the case of each Clearing Corporation Security

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01376163.pdf

EFTA01092555Set 9

2014-01-2732p15,683w

date the certificate is surrendered for conversion or (ii) in the case of uncertificated securities, the date the notice of conversion is received by the Corporation. Any transfer of shares ... nominees of such holder, a certificate or certificates or, in the case of uncertificated securities, a notice of issuance, for the number of shares of Common Stock to which such ... business on the date of such surrender of certificates, or in the case of uncertificated securities, on the date such notice of conversion is received by the Corporation

https://www.justice.gov/epstein/files/DataSet%209/EFTA01092555.pdf

EFTA01092591Set 9

2014-01-2728p14,336w

date the certificate is surrendered for conversion or (ii) in the case of uncertificated securities, the date the notice of conversion is received by the Corporation. Any transfer of shares ... nominees of such holder, a certificate or certificates or, in the case of uncertificated securities, a notice of issuance, for the number of shares of Common Stock to which such ... business on the date of such surrender of certificates, or in the case of uncertificated securities, on the date such notice of conversion is received by the Corporation

https://www.justice.gov/epstein/files/DataSet%209/EFTA01092591.pdf

EFTA02722494Set 11

2013-10-2512p4,635w

agrees that if any portion of the Pledged Interest at any time consists of uncertificated securities, the Debtor will cause the issuer thereof either (a) to register the Lender ... EFTA02722495 agreement of the issuer to be amended to provide that such uncertificated securities shall be treated as "securities" for purposes of the UCC and (B) cause such securities

https://www.justice.gov/epstein/files/DataSet%2011/EFTA02722494.pdf

EFTA01190388Set 9

2013-10-2512p4,607w

agrees that if any portion of the Pledged Interest at any time consists of uncertificated securities, the Debtor will cause the issuer thereof either (a) to register the Lender ... limited liability company agreement of the issuer to be amended to provide that such uncertificated securities shall be treated as "securities" for purposes of the UCC and (B) cause such

https://www.justice.gov/epstein/files/DataSet%209/EFTA01190388.pdf

EFTA00706909Set 9

2014-06-138p3,239w

that under the UCC, there are specific requirements to perfect a security interest in uncertificated securities (such as LLC membership interests). Among other things, the pledgor must grant control

https://www.justice.gov/epstein/files/DataSet%209/EFTA00706909.pdf

EFTA01360263Set 10

2014-12-311p455w

established by CRESTCo Limited to facilitate the transfer of gilt-edged securities and other uncertificated securities: (c) CHAPS system means the same day payment system operated by the CHAPS Clearing

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01360263.pdf

EFTA01456323Set 10

2014-12-311p455w

established by CRESTCo Limited to facilitate the transfer of gilt-edged securities and other uncertificated securities: (c) CHAPS system means the same day payment system operated by the CHAPS Clearing

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01456323.pdf

EFTA01456269Set 10

2014-12-311p455w

established by CRESTCo Limited to facilitate the transfer of gilt-edged securities and other uncertificated securities: (c) CHAPS system means the same day payment system operated by the CHAPS Clearing

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01456269.pdf

EFTA01353609Set 10

2015-01-221p456w

established by CRESTCo Limited to facilitate the transfer of gilt-edged securities and other uncertificated securities: (c) CHAPS system means the same day payment system operated by the CHAPS Clearing

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01353609.pdf

EFTA01376412Set 10

1p474w

certificated securities," "deposit accounts", "accounts", "chattel paper", financial assets", "letter-of-credit rights" and/or "uncertificated securities" (each as defined in the applicable Uniform Commercial Code). (e) Other than

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01376412.pdf

EFTA01365405Set 10

1p440w

Code, as in effect from time to time in the State of New York. "Uncertificated Security": The meaning specified in Article 8 of the UCC. "Underlying Instrument": The terms

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01365405.pdf

EFTA01376398Set 10

1p454w

Code as in effect from time to time in the State of New York. "Uncertificated Security": The meaning specified in Section 8-102(aX18) of the UCC. "Unfunded Commitment": With

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01376398.pdf