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Document Mentions (4 shared documents)
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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
c 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 (i) or (ii), a "5131 Covered Person"). (2) If you initialed statement (1) above, you must name each relevant Public Company ancVor Co
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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
ic 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 (I) or (4), a "5131 Covered Person"). (2) If you initialed statement (1) above, you must name each relevant Public Company andkx Cove
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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).
ace, please provide a separate addendum) The Investor is a person materially supported by an executive officer or director of a Public Company or a Covered Non-Public Company. "Material support" means directly or indirectly providing more than 25% of a person's income in the prior calendar year. Persons living in the sam
Sponsored
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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
ed 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 Company, are referred to below as "Covered Persons." Initial Initial I . The Subscriber represents that (please initial and. if applicable. complete one
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Mutual Connections (15)
Entities connected to both Form BD and Covered Non-Public Company
Keogh
ORGANIZATION5 w/ Form·3 w/ Covered
Non-Public Company
ORGANIZATION4 w/ Form·3 w/ Covered
Ghislaine Maxwell
PERSON3 w/ Form·2 w/ Covered
Investment Company
ORGANIZATION3 w/ Form·2 w/ Covered
Investment Banking Services
ORGANIZATION3 w/ Form·2 w/ Covered
Covered Broker Dealer
ORGANIZATION3 w/ Form·2 w/ Covered
Collective Investment Account
ORGANIZATION3 w/ Form·2 w/ Covered
Covered Broker
ORGANIZATION3 w/ Form·2 w/ Covered
Material Support
ORGANIZATION3 w/ Form·2 w/ Covered
the State of New York
LOCATION2 w/ Form·2 w/ Covered
Internal Revenue Service
ORGANIZATION2 w/ Form·2 w/ Covered
the Commodity Futures Trading Commission
ORGANIZATION2 w/ Form·2 w/ Covered
the U.S. Small Business Administration
ORGANIZATION2 w/ Form·2 w/ Covered
George W. Bush
PERSON2 w/ Form·2 w/ Covered
Collective Investment
ORGANIZATION2 w/ Form·2 w/ Covered