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Document Mentions (4 shared documents)
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Covered Non-Public Company: (3) II you initialed statement (1) above, please initial the following only if such applicable Public Company or Covered Non-Public Company. (a; is currently a client receiving Investment Banking Services provided by a FINRA member, or has paid compensation to a FINRA member for investme
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
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or The Investor, a any person having a Beneficial Interest in the Invests, is (i) an executive officer or director of a Public Company or a Covered Non-Public Company, or (ii) a person receiving Material Support by an executive officer or director of a Public Company or a Covered Non-Public Company (any person in
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
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• The Investor, or any person having a Beneficial Interest in the Investor, is (0 an executive officer or director of a Public Company or a Covered Non-Public Company, or (i) a person receiving Material Support by an executive officer or director of a Public Company or a Covered Non-Public Company (any person in (
in (h). (j) A person that owns directly or indirect& 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 direc
Sponsored
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D. Covered Person Status Individuals who are executive officers or directors of a Public Company (as defined in Item D.1(b) below) or a Covered Non-Public Company (as defined in Item D.1(c) below), or who are materially supported by an executive officer or director of a Public Company or Covered Non-Public Co
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
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Mutual Connections (26)
Entities connected to both Non-Public Company and Form BD
Keogh
ORGANIZATION4 w/ Non-Public·5 w/ Form
Ghislaine Maxwell
PERSON4 w/ Non-Public·3 w/ Form
Investment Banking Services
ORGANIZATION4 w/ Non-Public·3 w/ Form
Covered Non-Public Company
ORGANIZATION3 w/ Non-Public·4 w/ Form
Collective Investment Account
ORGANIZATION3 w/ Non-Public·3 w/ Form
Covered Broker Dealer
ORGANIZATION3 w/ Non-Public·3 w/ Form
Material Support
ORGANIZATION3 w/ Non-Public·3 w/ Form
Covered Broker
ORGANIZATION3 w/ Non-Public·3 w/ Form
Investment Company
ORGANIZATION3 w/ Non-Public·3 w/ Form
the Memorandum
ORGANIZATION3 w/ Non-Public·2 w/ Form
Branch Managers
ORGANIZATION3 w/ Non-Public·2 w/ Form
Delegate
ORGANIZATION3 w/ Non-Public·2 w/ Form
the Securities and Exchange Commission
ORGANIZATION2 w/ Non-Public·3 w/ Form
Subscription Booklet
ORGANIZATION3 w/ Non-Public·2 w/ Form
the Fund Investment Application
ORGANIZATION3 w/ Non-Public·2 w/ Form
QuickCard
ORGANIZATION3 w/ Non-Public·2 w/ Form
UBS Alternative Investments US
ORGANIZATION3 w/ Non-Public·2 w/ Form
Collective Investment
ORGANIZATION2 w/ Non-Public·2 w/ Form
Limited Liability Company
ORGANIZATION2 w/ Non-Public·2 w/ Form
This Placement Fee
ORGANIZATION2 w/ Non-Public·2 w/ Form