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Corpus: 1990-03-17 – 2025-12-01

September 2017

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Results by Dataset2 total

Set 10

4 results for “"the Underlying Instrument"”

EFTA00238759Set 9

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2017-09-296p2,784w

include, but are not limited to: fluctuations in the price, level or yield of underlying instruments, interest rates, currency values and credo quality, substantial or complete loss of principal, limitson ... participation in the appreciation of the underlying instrument, limited licwidityrlimited or no secondary market for the structured product, credit risk of the issuer of the structured product, potential conflicts

https://www.justice.gov/epstein/files/DataSet%209/EFTA00238759.pdf

EFTA01365610Set 10

1p744w

giving effect to any applicable grace period or waiver set forth in the relevant Underlying Instruments); provided, however, that in the case of a default that the Investment Manager certifies ... lesser of five Business Days and the applicable grace period in the related Underlying Instrument; provided, further, that in the case of a payment default by a Selling Institution

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01365610.pdf

EFTA01386160Set 10

1p110w

Cost (Short) 0.50% to 1.5% Typical Number of Positions Range: 120 to 180 Typical Underlying Instruments Liquid Instruments, No Private Equity Investments Page 10 ALKEON CAPITAL MANAGEMENT Private & Confidential CONFIDENTIAL

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01386160.pdf

EFTA01365622Set 10

1p783w

Indenture (or, in the case of the Preferred Shares, the Fiscal Agency Agreement). "Underlying Instrument": The terms and conditions, indenture or other agreement in which the terms and conditions