Illegal Activity
none
Blackmail
none
Date
2012
Document Type
legal filing
Model
gemini-2.0-flash-001
Processed
2026-02-07T18:41
Summary
This legal document outlines the responsibilities of the Trustee and Investment Manager in managing Pledged Collateral Obligations. It details procedures for asset disposition, investment, and reporting within a CLO structure.
Metadata
- Subject
- Pledged Collateral Obligation
- Sender
- —
- Recipients
- —
- Document ID
- DB-SDNY-0056229, SDNY GM_00202413
- Date
- 2012
Relationships 3
| Entity 1 | Relationship | Entity 2 | Description |
|---|---|---|---|
| Investment Manager | Business | Trustee | Investment Manager delivers Issuer Order to the Trustee. |
| Trustee | Legal | Issuer | Trustee acts on behalf of the Issuer. |
| Investment Manager | Business | Issuer | Investment Manager acts on behalf of the Issuer |
Notable Quotes 2
Pledged Collateral Obligation is subject to an Offer and setting forth in reasonable detail the procedure for response to such Offer, direct the Trustee or, at the Trustee's instructions, the Intermediary, to deliver such obligation, if in physical form, duly endorsed, or, if such obligation is a Clearing Corporation Security, to cause it to be delivered, in accordance with such Issuer Order, in each case against receipt of payment therefor.
The Trustee shall deposit any proceeds received by it from the disposition of a Pledged Obligation in the Collection Account, unless such proceeds are simultaneously applied to the purchase of Collateral Obligations or Eligible Investments.
Financial Information
Assets:
- Pledged Collateral Obligation
- Collateral Obligations
- Eligible Investments
- Securities Lending Collateral
- Unsaleable Assets
- Equity Workout Security
Transactions:
- Disposition of a Pledged Obligation
- Purchase of Collateral Obligations
- Securities Lending Agreement
- Transfer of Equity Workout Security or Collateral Obligation
Raw Analysis JSON
click to expand
Themes
Financial transactions/money flowLegal matters/litigationBusiness dealings
Organizations 8
Clearing CorporationING IM CLO 2011-1IssuerTrusteeInvestment ManagerAdministratorRating AgencyTax Subsidiary
Text Analysis
- Tone
- Professional
- Purpose
- To define the roles and responsibilities of the Trustee and Investment Manager in relation to Pledged Collateral Obligations and other assets.
- Significance
- This document outlines the procedures for handling financial transactions and asset management within a Collateralized Loan Obligation (CLO) structure.
File Info
- File Name
- EFTA01365477.txt
- Dataset
- dataset_10
- Type
- Text
- Model
- gemini-2.0-flash-001
- Processed
- 2026-02-07T18:41:06.468625
- DOJ Source
- View on DOJ