Epstein Secrets

uity investments in such entity by one or more persons described in clause (1) or (2) above. Examples of the foregoing include, among other things, 'Keogh' plans, other tax-qualified retirement plans. IRAs, certain other types of employee benefit plans (and accounts) and entities that are deemed to hol

in (h). (j) A person that owns directly or indirectly 10% or more of a public reporting company listed (on required to be listed) in Schedule A of Form BD with respect to a Covered Broker Dealer, other than a public company that is listed on a national securities exchange. (k) A person that owns dire

uity investments in such entity by one or more persons described in clause (1) or (2) above. Examples of the foregoing include, among other things, 'Keogh' plans, other tax-qualified retirement plans, IRAs, certain other types of employee benefit plans (and accounts) and entities that are deemed to hol

in (h); (j) A person that owns directly or indirectly 10% or more of a public reporting company listed (or required to be listed) in Schedule A of Form BD with respect to a Covered Broker Dealer, other than a public company that is listed on a national securities exchange; (k) A person that owns dire

laimed for depletion under Section 611 et seq. of the Code, (iv) amounts contributed to an Individual Retirement Account (as defined in the Code) or Keogh retirement plan, (v) alimony paid and (vi) any elective contributions to a cash or deferred arrangement under Section 401(k) of the Code. EFTA00314

or required to be listed, in Schedule B of a Form BD (other than a limited business broker-dealer), except persons whose listing in Schedule B of a Form BD relates to an ownership interest in a person listed in Schedule A of a Form BD identified by an ownership code of less than 10%. K (e)(iii) any pe

mmunication: Type of Investor - Please check one: Trust Foundation Endowment Employee Benefit Plan (Please complete Exhibit A attached hereto) Keogh Plan (Please complete Exhibit A attached hereto) Individual Retirement Plan (Please complete Exhibit B Individual Tenants in Common Joint Tenan

The Investor or any Owner directly or indirectly owns 10% or more of a public reporting company listed, or required to be listed, in Schedule A of a Form BD (other than a reporting company that is listed on a national securities exchange, or other than with respect to a limited business broker/dealer).

of, the Employee Retirement Income Security Act of 1974, as amended ("ERISA"); Initial 2. A plan subject to Section 4975 of the Code, including a Keogh plan or an individual retirement account (an "IRA") which is not subject to ERISA; 3. An insurance company's general account assets or the assets

identified by an ownership code of less than 10%; B. Is listed, or required to be listed, in Schedule B or Schedule C (as to amend Schedule B) of Form BD, except persons whose listing on such Schedule relates to an ownership interest in a person listed on Schedule A or Schedule C (as to amend Schedu