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.8 million plus $20 million credited from the SEC settlement 4. Date of Action: Dec. 22, 2008 &ought By: Securities and Exchange Commission (SEC), Massachusetts Securities Division, New York State Attorney General (NYAG) and other members of the North American Securities Administrators Association. Auction Rate Securities (ARS
L UBSTERRAMAR00004087 EFTA00239419 FOR EXISTING INVESTOR USE ONLY Appendix B Third Amended and Restated Limited Liability Company Agreement of AlphaKeys Millennium Fund, L.L.C. CONFIDENTIAL UBSTERRAMAR00004088 EFTA00239420 FOR EXISTING INVESTOR USE ONLY THIS THIRD AMENDED AND RESTATED LIMITED LIABILITY COMPANY
2 mentions1 same-page
Page ?Same page
.8 million plus $20 million credited from the SEC settlement 4. Date of Action: Dec. 22, 2008 &ought By: Securities and Exchange Commission (SEC), Massachusetts Securities Division, New York State Attorney General (NYAG) and other members of the North American Securities Administrators Association. Auction Rate Securities (ARS
any Agreement of the Fund (the "Amended Agreement"); WHEREAS, the Fund's Certificate was amended to reflect the change of the name of the Fund to "AlphaKeys Millennium Fund, L.L.C." effective on April 1, 2014; WHEREAS, the parties hereto wish to effect the following: (a) the amendment and restatement of the Amended Agr
2 mentions1 same-page
Page ?Same page
.8 million plus $20 million credited from the SEC settlement 4. Date of Action: Dec. 22, 2008 &ought By: Securities and Exchange Commission (SEC), Massachusetts Securities Division, New York State Attorney General (NYAG) and other members of the North American Securities Administrators Association. Auction Rate Securities (ARS
any Agreement of the Fund (the "Amended Agreement"); WHEREAS, the Fund's Certificate was amended to reflect the change of the name of the Fund to "AlphaKeys Millennium Fund, L.L.C." effective on April 1, 2014; WHEREAS, the parties hereto wish to effect the following: (a) the amendment and restatement of the Amended Agr
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Mutual Connections (127)
Entities connected to both Massachusetts Securities Division and AlphaKeys Millennium Fund
UBS AG
ORGANIZATION5 w/ Massachusetts·6 w/ AlphaKeys
United States
LOCATION4 w/ Massachusetts·6 w/ AlphaKeys
Federal Reserve
ORGANIZATION5 w/ Massachusetts·5 w/ AlphaKeys
Lehman
ORGANIZATION6 w/ Massachusetts·3 w/ AlphaKeys
Cease & Desist
ORGANIZATION6 w/ Massachusetts·3 w/ AlphaKeys
New York State
LOCATION6 w/ Massachusetts·3 w/ AlphaKeys
Ghislaine Maxwell
PERSON4 w/ Massachusetts·5 w/ AlphaKeys
Internal Revenue Service
ORGANIZATION6 w/ Massachusetts·3 w/ AlphaKeys
UBS Securities LLC
ORGANIZATION6 w/ Massachusetts·3 w/ AlphaKeys
New Hampshire
LOCATION6 w/ Massachusetts·3 w/ AlphaKeys
Dept. of
ORGANIZATION6 w/ Massachusetts·3 w/ AlphaKeys
the Securities and Exchange Commission
ORGANIZATION6 w/ Massachusetts·3 w/ AlphaKeys
Lehman Structured Products
ORGANIZATION6 w/ Massachusetts·3 w/ AlphaKeys
the North American Securities Administrators Association
ORGANIZATION6 w/ Massachusetts·3 w/ AlphaKeys
Cayman
LOCATION3 w/ Massachusetts·5 w/ AlphaKeys
New York
LOCATION3 w/ Massachusetts·5 w/ AlphaKeys
Fannie Mae
ORGANIZATION5 w/ Massachusetts·3 w/ AlphaKeys
the U.S. Department of Labor
ORGANIZATION3 w/ Massachusetts·5 w/ AlphaKeys
Administrative Services
ORGANIZATION3 w/ Massachusetts·5 w/ AlphaKeys
UBS Fund
ORGANIZATION5 w/ Massachusetts·3 w/ AlphaKeys