Illegal Activity
none
Blackmail
none
Date
2011
Document Type
Legal Filing
Model
gemini-2.0-flash-001
Processed
2026-02-07T18:41
Summary
This document outlines the terms and conditions for the purchase and transfer of securities under Rule 144A and Regulation S, ensuring compliance with the Investment Company Act. It defines the requirements for purchasers and the restrictions on transferring securities to maintain regulatory compliance.
Metadata
- Subject
- LNG IM CLO 2011-1
- Sender
- —
- Recipients
- —
- Document ID
- DB-SDNY-0072118
- Date
- 2011
Relationships 2
| Entity 1 | Relationship | Entity 2 | Description |
|---|---|---|---|
| Purchaser | Legal | Rule 144A Global Security | Purchaser of a beneficial interest in a Rule 144A Global Security |
| Co-Issuers | Financial | Collateral | Relates to the pool of collateral and the co-issuers |
Notable Quotes 2
Each purchaser (including transferees and each beneficial owner of an account on whose behalf Securities are being purchased (each a "Purchaser") of a beneficial interest in a Rule 144A Global Security will be deemed to have represented and agreed as follows
The Purchaser understands and agrees that any purported transfer of Securities to a Purchaser that does not comply with the requirements of this paragraph or that would have the effect of causing the either of the Co-Issuers or the pool of Collateral to be required to register as an investment company under the Investment Company Act will be null and void ab iniiio.
Financial Information
Amounts:$25,000,000
Assets:
- Regulation S Global Security
- Rule I44A Global Security
- Securities
Transactions:
- Exchange or transfer of beneficial interest in Regulation S Global Security
- Purchase of Securities
Public Knowledge
- Context
- This is a legal document related to financial transactions and compliance with securities regulations.
Legal Compliance
- Compliance with Rule 144A and Regulation S
- Compliance with the Investment Company Act
Raw Analysis JSON
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Themes
Financial transactions/money flowLegal matters/litigationBusiness dealings
Organizations 4
LNG IM CLORule 144ARegulation SInvestment Company Act
Text Analysis
- Tone
- Formal, legal
- Purpose
- To define the terms and conditions for the purchase and transfer of securities, particularly concerning Rule 144A and Regulation S.
- Significance
- This document outlines the legal requirements and restrictions for purchasers of securities, ensuring compliance with regulations and preventing the pool of collateral from being required to register as an investment company.
File Info
- File Name
- EFTA01376191.txt
- Dataset
- dataset_10
- Type
- Text
- Model
- gemini-2.0-flash-001
- Processed
- 2026-02-07T18:41:56.214377
- DOJ Source
- View on DOJ