Illegal Activity
none
Blackmail
none
Date
2016-12-21
Document Type
letter
Model
gemini-2.0-flash-001
Processed
2026-02-07T18:41
Summary
This letter from Alkeon Capital Management, LLC, dated December 21, 2016, confirms their compliance with SEC Rule 506's Bad Actor provisions. It states that neither ACM nor its affiliates have had any disqualifying events as defined by the rule.
Metadata
- Subject
- SEC Rule 506 Bad Wier Rules
- Sender
- ALKEON CAPITAL MANAGEMENT, LLC
- Recipients
- —
- Document ID
- DB-SDNY-0068528, SDNY_GM_00214712
- Date
- 2016-12-21
Relationships 3
| Entity 1 | Relationship | Entity 2 | Description |
|---|---|---|---|
| ALKEON CAPITAL MANAGEMENT, LLC | affiliate | Alkeon Capital Advisers, LLC | Alkeon Capital Advisers, LLC is an affiliate of ALKEON CAPITAL MANAGEMENT, LLC |
| ALKEON CAPITAL MANAGEMENT, LLC | affiliate | Alkeon Capital Offshore, LLC | Alkeon Capital Offshore, LLC is an affiliate of ALKEON CAPITAL MANAGEMENT, LLC |
| ALKEON CAPITAL MANAGEMENT, LLC | business | Alkeon Growth PW Partners, LP | ALKEON CAPITAL MANAGEMENT, LLC is involved in the offer and sale of securities with respect to Alkeon Growth PW Partners, LP. |
Notable Quotes 2
This purpose of this letter is to inform you of the status of Alkeon Capital Management, LLC ("ACM") and its affiliates under the Bad Actors rules.
ACM will notify you promptly of the occurrence of any Disqualifying Event with respect to any of its Covered Persons.
Financial Information
Transactions:
- offers and sales of securities in reliance on the exemptions pursuant to Rule 506 of Regulation D under the Securities Act of 1933
Legal Compliance
- Compliance with SEC Rule 506 (Bad Actor Rules)
Raw Analysis JSON
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Themes
Legal matters/litigationBusiness dealingsFinancial transactions/money flow
People 1
Organizations 7
AGP LPAlpha Group CaudalALKEON CAPITAL MANAGEMENT, LLCAlkeon Capital Advisers, LLCAlkeon Capital Offshore, LLCAlkeon Growth PW Partners, LPSEC
Locations 3
New YorkNew York350 Madison Avenue
Text Analysis
- Tone
- Professional
- Purpose
- To inform the recipient of the status of Alkeon Capital Management, LLC and its affiliates under the Bad Actors rules.
- Significance
- This letter is a compliance document related to SEC Rule 506, confirming that Alkeon Capital Management and its affiliates have not had any Disqualifying Events as defined under the rule.
File Info
- File Name
- EFTA01374025.txt
- Dataset
- dataset_10
- Type
- Text
- Model
- gemini-2.0-flash-001
- Processed
- 2026-02-07T18:41:39.136529
- DOJ Source
- View on DOJ