Illegal Activity
none
Blackmail
none
Date
2021
Document Type
legal filing
Model
gemini-2.0-flash-001
Processed
2026-02-07T18:41
Summary
This document defines various financial terms related to an indenture for ING IM CLO 2011-1, including definitions for subordinated notes, securities, and investment management fees. It outlines the responsibilities of the Trustee, Issuer, and Fiscal Agent in relation to these financial instruments.
Metadata
- Subject
- Definitions related to financial securities
- Sender
- —
- Recipients
- —
- Document ID
- DB-SDNY-0056131
- Date
- 2021
Relationships 3
| Entity 1 | Relationship | Entity 2 | Description |
|---|---|---|---|
| Investment Manager | business | Issuer | Investment Manager receives a Subordinated Investment Management Fee from the Issuer. |
| Trustee | legal | Issuer | Trustee authenticates Subordinated Notes issued by the Issuer. |
| Fiscal Agent | financial | Shareholders | Fiscal Agent makes payments to Shareholders in accordance with the Fiscal Agency Agreement. |
Financial Information
Amounts:0.35% per annum105.0%
Assets:
- Subordinated Notes
- Preferred Shares
- Structured Finance Obligation
- Synthetic Security
Transactions:
- Payment of Subordinated Investment Management Fee
- Allocation of Interest Proceeds or Principal Proceeds to Holders of Subordinated Notes and the Fiscal Agent
Public Knowledge
- Context
- These are standard definitions within a legal document related to financial securities.
Legal Compliance
- Reference to ERISA and Section 4975 of the Code indicates compliance with fiduciary responsibility provisions.
Raw Analysis JSON
click to expand
Themes
Financial transactions/money flowLegal matters/litigation
Organizations 6
ERISAING IM CLO 201 1-1TrusteeIssuerInvestment ManagerFiscal Agent
Locations 1
U.S.
Text Analysis
- Tone
- Formal, legal
- Purpose
- To define financial terms related to an indenture, specifically for ING IM CLO 2011-1.
- Significance
- Defines key terms related to a financial agreement, likely part of a larger legal document.
File Info
- File Name
- EFTA01365403.txt
- Dataset
- dataset_10
- Type
- Text
- Model
- gemini-2.0-flash-001
- Processed
- 2026-02-07T18:41:54.113887
- DOJ Source
- View on DOJ