DOCSLIB.ORG

NB Crossroads Private Markets Fund VI Custody LP Form POS AMI Filed

Total Page：16

File Type：pdf, Size：1020Kb

Download full-text PDF Read full-text
NB Crossroads Private Markets Fund VI Custody LP Form POS AMI Filed SECURITIES AND EXCHANGE COMMISSION FORM POS AMI Post-effective amendments to 40 Act only filings Filing Date: 2019-07-26 SEC Accession No. 0001140361-19-013506 (HTML Version on secdatabase.com) FILER NB Crossroads Private Markets Fund VI Custody LP Mailing Address Business Address 325 NORTH SAINT PAUL 325 NORTH SAINT PAUL CIK:1774376| IRS No.: 000000000 | State of Incorp.:DE | Fiscal Year End: 0331 STREET STREET Type: POS AMI | Act: 40 | File No.: 811-23442 | Film No.: 19978516 49TH FLOOR 49TH FLOOR DALLAS TX 75201 DALLAS TX 75201 (212) 476-8800 Copyright © 2019 www.secdatabase.com. All Rights Reserved. Please Consider the Environment Before Printing This Document TABLE OF CONTENTS As filed with the Securities and Exchange Commission on July 26, 2019 Investment Company Act File No. 811-23442 U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-2 (CHECK APPROPRIATE BOX OR BOXES) ☒ REGISTRATION STATEMENT UNDER THE INVESTMENT COMPANY ACT OF 1940 ☒ Amendment No. 1 NB CROSSROADS PRIVATE MARKETS FUND VI CUSTODY LP (Exact name of Registrant as specified in Charter) 325 North Saint Paul Street, 49th Floor Dallas, Texas 75201 (Address of principal executive offices) Registrants Telephone Number, including Area Code: (212) 476-8800 Corey Issing Neuberger Berman Investment Advisers LLC 1290 Avenue of the Americas New York, NY 10104 (Name and address of agent for service) COPY TO: Nicole M. Runyan, Esq. Proskauer Rose LLP Eleven Times Square New York, NY 10036 This Registration Statement of NB Crossroads Private Markets Fund VI Custody LP (the Registrant) has been filed by Registrant pursuant to Section 8(b) of the Investment Company Act of 1940, as amended (the 1940 Act). Limited partnership interests in the Registrant (Interests) are not being registered under the Securities Act of 1933, as amended (the Securities Act), and will be issued solely in private placement transactions that do not involve any public offering within the meaning of Section 4(a)(2) of the Securities Act. Investments in the Registrant may only be made by entities or persons that are both (i) accredited investors within the meaning of Regulation D under the Securities Act and (ii) qualified clients as defined in Rule 205-3 under the Investment Copyright © 2019 www.secdatabase.com. All Rights Reserved. Please Consider the Environment Before Printing This Document Advisers Act of 1940, as amended (the Advisers Act). This Registration Statement does not constitute an offer to sell, or the solicitation of any offer to buy, Interests in the Registrant. Copyright © 2019 www.secdatabase.com. All Rights Reserved. Please Consider the Environment Before Printing This Document TABLE OF CONTENTS CONFIDENTIAL PRIVATE OFFERING MEMORANDUM NB CROSSROADS PRIVATE MARKETS FUND VI CUSTODY LP Offering of Limited Partnership Interests July 2019 THE INFORMATION CONTAINED IN THIS CONFIDENTIAL PRIVATE OFFERING MEMORANDUM (THE OFFERING MEMORANDUM) IS QUALIFIED IN ITS ENTIRETY BY THE REGISTRATION STATEMENT ON FORM N-2, AS AMENDED, FILED WITH THE SECURITIES AND EXCHANGE COMMISSION (SEC), AS DESCRIBED BELOW UNDER REGISTRATION STATEMENT. Neuberger Berman Investment Advisers LLC (the Investment Adviser), an affiliate of Neuberger Berman Group LLC, is offering to suitable investors (the Investors) interests in NB Crossroads Private Markets Fund VI Custody LP, a limited partnership organized under the laws of Delaware (the Fund). NB Crossroads PMF VI GP LLC (the General Partner) serves as the general partner of the Fund. The Fund invests all or substantially all of its assets in NB Crossroads Private Markets Fund VI Holdings LP (the Master Fund) as part of a master/feeder fund structure. The Investment Adviser has engaged NB Alternatives Advisers LLC (the Sub-Adviser and, together with the Investment Adviser, the Adviser) to make all investment decisions with respect to the Master Fund. The Investment Adviser may form one or more additional feeder funds or parallel vehicles from time to time. The Fund is offering limited partnership interests (the Interests) on a private placement basis to suitable investors. Interests are being offered only to persons or entities that are both accredited investors as defined in Section 501(a) of Regulation D under the Securities Act of 1933, as amended (the Securities Act), and qualified clients as defined in Rule 205-3 under the Investment Advisers Act of 1940, as amended (the Advisers Act), in private placement transactions that do not involve any public offering within the meaning of Section 4(a)(2) of, and/or Regulation D under, the Securities Act. The Investment Adviser is seeking commitments to the Master Fund in the aggregate of $350 million (or higher, in the discretion of the Investment Adviser). The minimum capital commitment (Commitment) to the Fund will be $50,000 although the Board of Directors of the Fund reserves the right to accept Commitments of lesser amounts in its discretion. An Investors Commitment will be drawn down pursuant to the terms detailed herein. See Section III – Summary of Offering Terms for other offering terms and a more extensive description of the Limited Partnership Agreement of the Fund (the Partnership Agreement). The Fund will remain in existence for a period of approximately ten years, subject to two one-year extensions, which may be approved by the Board of Directors of the Fund. Further extensions thereafter must be approved by a majority-in-interest of the Investors. An investment in the Fund is speculative with a substantial risk of loss. No market for the Interests exists or is expected to develop and an investment in the Fund is only suitable for Investors who have no need for liquidity in the investment. The transfers of Interests may be made only with the prior written consent of the Board of Directors of the Fund, which may be withheld in the Boards sole discretion. See Section XI – Risk Factors and Potential Conflicts of Interest for special considerations relevant to an investment in the Interests. •The Interests are not listed on any securities exchange, and it is not anticipated that a secondary market for the Interests will develop. The Fund may provide liquidity through periodic tender offers to repurchase a limited amount of the Fund’s Interests. However, the Fund currently does not expect to offer to repurchase Interests. •An investment in the Fund may not be suitable for investors who may need the money they invested in a specified timeframe. • The amount of distributions that the Fund may pay, if any, is uncertain. IN MAKING AN INVESTMENT DECISION, PROSPECTIVE INVESTORS MUST RELY ON THEIR OWN EXAMINATION OF THE FUND AND THE TERMS OF THE OFFERING, INCLUDING THE MERITS AND RISKS INVOLVED. THE INTERESTS HAVE NOT BEEN RECOMMENDED, APPROVED OR DISAPPROVED BY THE SEC, ANY STATE SECURITIES COMMISSION OR ANY OTHER REGULATORY AUTHORITY. NONE OF THE FOREGOING AUTHORITIES HAVE PASSED UPON, OR ENDORSED, THE MERITS OF THIS OFFERING OR THE ACCURACY OR ADEQUACY OF THIS OFFERING MEMORANDUM. ANY REPRESENTATION TO THE CONTRARY IS A CRIMINAL OFFENSE. i Copyright © 2019 www.secdatabase.com. All Rights Reserved. Please Consider the Environment Before Printing This Document TABLE OF CONTENTS THE INTERESTS HAVE NOT BEEN, AND WILL NOT BE, REGISTERED WITH THE SEC UNDER THE SECURITIES ACT, OR UNDER THE SECURITIES LAWS OF ANY STATES, AND ARE BEING OFFERED AND SOLD IN RELIANCE ON EXEMPTIONS FROM THE REGISTRATION REQUIREMENTS OF THE SECURITIES ACT AND SUCH STATE LAWS. THE INTERESTS ARE SUBJECT TO RESTRICTIONS ON TRANSFERABILITY AND RESALE, AND MAY NOT BE TRANSFERRED OR RESOLD EXCEPT AS PERMITTED UNDER THE SECURITIES ACT AND SUCH APPLICABLE STATE SECURITIES LAWS, PURSUANT TO REGISTRATION OR EXEMPTION THEREUNDER. THERE IS NO PUBLIC OR OTHER MARKET FOR THE INTERESTS, NOR IS IT LIKELY THAT ANY SUCH MARKET WILL DEVELOP. THEREFORE, PROSPECTIVE INVESTORS MUST EXPECT TO BE REQUIRED TO RETAIN OWNERSHIP OF THE INTERESTS AND BEAR THE FINANCIAL RISKS OF THIS INVESTMENT FOR THE TERM OF THE FUND. IN ADDITION, THE FUNDS PARTNERSHIP AGREEMENT CONTAINS RESTRICTIONS ON TRANSFER AND RESALE OF THE INTERESTS OFFERED HEREBY. THIS OFFERING MEMORANDUM DOES NOT CONSTITUTE AN OFFER TO SELL, OR A SOLICITATION OF AN OFFER TO BUY, A SECURITY IN ANY JURISDICTION OR TO ANY PERSON TO WHOM IT IS UNLAWFUL TO MAKE SUCH AN OFFER OR SOLICITATION IN THAT JURISDICTION. NO PERSON HAS BEEN AUTHORIZED IN CONNECTION WITH THIS OFFERING TO GIVE ANY INFORMATION OR MAKE REPRESENTATIONS OTHER THAN AS CONTAINED IN THIS OFFERING MEMORANDUM. NO PROSPECTIVE INVESTOR SHOULD CONSIDER OR RELY UPON ANY REPRESENTATION OR INFORMATION NOT SPECIFICALLY CONTAINED HEREIN, AS NO SUCH EXTRANEOUS REPRESENTATION OR WARRANTY HAS BEEN AUTHORIZED BY THE FUND, THE INVESTMENT ADVISER OR ANY AFFILIATE THEREOF. FURTHERMORE, IN THE EVENT THAT ANY OF THE TERMS, CONDITIONS OR OTHER PROVISIONS OF THE PARTNERSHIP AGREEMENT ARE INCONSISTENT WITH OR CONTRARY TO THE DESCRIPTIONS OR TERMS IN THIS OFFERING MEMORANDUM, THE PARTNERSHIP AGREEMENT WILL CONTROL. PROSPECTIVE INVESTORS ARE EXPECTED TO CONDUCT THEIR OWN INQUIRIES INTO THE BUSINESSES AND OPERATIONS OF THE FUND, THE INVESTMENT ADVISER AND THEIR AFFILIATES. THE CONTENTS OF THIS OFFERING MEMORANDUM ARE NOT TO BE CONSTRUED AS LEGAL, TAX OR INVESTMENT ADVICE. EACH PROSPECTIVE INVESTOR SHOULD CONSULT ITS OWN ADVISOR(S) AS TO LEGAL, TAX, BUSINESS AND RELATED MATTERS CONCERNING THIS INVESTMENT. THIS OFFERING MEMORANDUM IS CONFIDENTIAL AND CONSTITUTES AN OFFER ONLY TO THE OFFEREE HEREOF. DELIVERY OF THIS OFFERING MEMORANDUM TO ANYONE OTHER
Load more

Recommended publications
  • Arthur J. Alzamora, Jr., PE, LEED AP
    Arthur J. Alzamora, Jr., PE, LEED AP Senior Associate Geotechnical Engineering 13 years in the industry Mr. Alzamora is a geotechnical engineer whose practice involves subsurface investigations and testing, design of excavation support, secant Education wall design, foundation design, rock excavation, pre-construction conditions survey and inspection. His services have included construction monitoring M.S., Civil Engineering Manhattan College and inspection, pile load testing, pile driving inspection, sub-grade and footing inspection, evaluation of laboratory analytical data and preparation B.S., Civil Engineering of geotechnical reports. Mr. Alzamora has also served as an adjunct faculty Manhattan College member for the civil engineering department at Manhattan College. A.S., General Engineering Orange County Community College In 2016, Mr. Alzamora was named one of ENR New York’s Top 20 Under 40. Professional Registration Selected Projects Professional Engineer (PE) in NY, CT K-12 AND UNIVERSITIES LEED Accredited Professional (LEED AP) NYU Coles Athletic Center, Expansion and Renovations, New York, NY Pace University, Student Dormitory (180 Broadway), New York, NY Affiliations NYU College of Dentistry and Bioengineering Institute, New York, NY NYU Wilf Hall, New York, NY American Society of Civil Engineers SUNY Stony Brook, Student Dormitory, Stony Brook, NY – Metropolitan Section – Treasurer Ethical Culture Fieldston School, Riverdale, NY American Society of Civil Engineers NYCSCA, Geotechnical Services, Various Locations, New
    [Show full text]
  • Matthew A. Skrzynski PROSKAUER ROSE LLP Eleven Times Square
    20-12097-scc Doc 784 Filed 03/23/21 Entered 03/23/21 15:11:37 Main Document Pg 1 of 3 Matthew A. Skrzynski Jeff J. Marwil (admitted pro hac vice) PROSKAUER ROSE LLP Jordan E. Sazant (admitted pro hac vice) Eleven Times Square Brooke H. Blackwell (admitted pro hac vice) New York, New York 10036 PROSKAUER ROSE LLP Telephone: (212) 969-3000 70 West Madison, Suite 3800 Facsimile: (212) 969-2900 Chicago, IL 60602 Telephone: (312) 962-3550 Peter J. Young (admitted pro hac vice) Facsimile: (312) 962-3551 PROSKAUER ROSE LLP 2029 Century Park East, Suite 2400 Los Angeles, CA 90067-3010 Telephone: (310) 557-2900 Facsimile: (310) 557-2193 Attorneys for Debtors and Debtors in Possession UNITED STATES BANKRUPTCY COURT SOUTHERN DISTRICT OF NEW YORK In re Chapter 11 CENTURY 21 DEPARTMENT STORES LLC, et al., Case No. 20-12097 (SCC) Debtors.1 (Jointly Administered) Ref. Docket No. 233 NOTICE OF FIRST QUARTERLY STATEMENT OF PAYMENTS MADE TO ORDINARY COURSE PROFESSIONALS DURING THE PERIOD FROM SEPTEMBER 10, 2020 THROUGH FEBRUARY 28, 2021 PLEASE TAKE NOTICE that, in accordance with the Order (I) Authorizing the Retention and Compensation of Certain Professionals Utilized in the Ordinary Course of Business 1 The Debtors in these chapter 11 cases (the “Chapter 11 Cases”), along with the last four digits of each Debtor’s federal tax identification number, as applicable, are Century 21 Department Stores LLC (4073), L.I. 2000, Inc. (9619), C21 Department Stores Holdings LLC (8952), Giftco 21 LLC (0347), Century 21 Fulton LLC (4536), C21 Philadelphia LLC (2106), Century 21 Department Stores of New Jersey, L.L.C.
    [Show full text]
  • Wachovia Corporation 2007 RISK ASSESSMENT
    Restricted - F.R. Wachovia Corporation 2007 RISK ASSESSMENT Top Tier Institution: Wachovia Corporation Business Lines: General Bank Group (GBG) Corporate Investment Bank (CIB) Capital Management Group (CMG) Wealth Management Group (WMG) Central Point of Contact: Richard F. Westerkamp, Jr. Team Members: Stan Poszywak, Deputy CPC and Basel Coordinator Danny Elder, Market Risk Nancy Stapp, Credit Risk Ryan Rehom, Interest Rate Risk and Liquidity Risk Jeremy Carter, Legal and Compliance Risk Todd Ryan, Operational Risk Jim Gearhart, Information Technology (IT) Kevin Littler, Financial Analyst Shared Support: Craig Frascati, Basel II Al Morris, Market Risk Jeremy Caldwell, Principal Investing Last Update: July 12, 2007 CONFIDENTIAL FCIC-134586 Restricted - F.R. Table of Contents page I. Institutional Overview 3 II. Risk Assessment Summary 20 Consolidated Executive Summary • Overall Summary Assessment of Inherent Risk 20 o Inherent Risk by Type • Overall Summary Assessment of Risk Management 23 o Risk Management and Controls o Risk Management by Type III. Detailed RAP Documentation 27 Credit Risk 27 Market Risk • Trading Book 47 • Banking Book 70 Liquidity Risk 84 Operational Risk 95 Legal and Compliance 116 IV. Risk l\1atrices and Institutional Overview Appendix Items 129 2007 Risk Matrices Appendix Items (Business Line Management) 2 CONFIDENTIAL FCIC-134587 Restricted - F.R. I. Institutional Overview Executive Summary Wachovia Corporation experienced significant growth through acquisition in Wachovia 3/31/07 RSSD 1073551 2006 2006 and the company is now the nation's fourth-largest financial holding Assets: $706Bn Nil : $15Bn company both in asset size and market capitalization (previously Wells Loans: $422Bn NIM: 3.12% Fargo's market capitalization was larger).
    [Show full text]
  • JUNE 3–5, 2018New York Marriott Marquis •
    40TH ANNUAL NYU INTERNATIONAL HOSPITALITY INDUSTRY INVESTMENT CONFERENCE JUNE 3–5, 2018 New York Marriott Marquis • NYC Conference Chair Conference Host Jonathan M. Tisch Dennis Di Lorenzo Chairman and CEO of Loews Harvey J. Stedman Dean Hotels & Co. and Co-Chairman of NYU School of Professional Studies the Board of Loews Corporation Conference Vice Chair Conference Co-Host Jeffrey Stewart Nicolas Graf Founder, Walnut Hill Advisors Associate Dean NYU School of Professional Studies Jonathan M. Tisch Center for Hospitality and Tourism PARTICIPANT LIST CONFERENCE ATTENDEES Received and processed as of May 21, 2018 JONATHAN M. TISCH CENTER FOR HOSPITALITY AND TOURISM @nyuhospitality #nyuhospitality sps.nyu.edu/hospitalityconference Last Name First Name MI Title Company Work Addr 1 Work Addr 2 Work City Work State Work Zip Work Country E-mail Address Aboudou Jenny L. Canopy by Hilton Brand Management & Development Hilton 7930 Jones Branch Drive McLean VA 22102 USA [email protected] Acosta Dax Vice President, Acquisitions & Development Montage International 3 Ada Parkway Suite 100 Irvine CA 92618 USA [email protected] Acosta Luis C. Vice President Development Wischermann Partners, Inc. 40 Truffula Trail Orono MN 55356 USA [email protected] Adams Rick D. Chief Operating Officer Chesapeake Lodging Trust 4300 Wilson Boulevard Suite 625 Arlington VA 22203-4167 USA [email protected] Adamson Kirk P. Senior Vice President KSL Capital Partners 100 St Paul Suite 800 Denver CO 80206 USA [email protected] Adler Arthur Chairman, Americas, Hotels and Hospitality Group JLL Hotels & Hospitality 330 Madison Avenue 4th Floor New York NY 10017 USA [email protected] Advani Gurmit Principal General Hospitality Services 216 Centerview Drive Suite 155 Brentwood TN 37027 USA [email protected] Advani Nikheel Chief Operating Officer and Principal Grace Bay Resorts Unit 57 Saltmills Plaza Grace Bay Road Providenciales TKCA 1ZZ Turks and Caicos [email protected] Advani Prahlad S.
    [Show full text]
  • Download Letter
    Alex Abdo BRETT MAX KAUFMAN Senior Staff Attorney STAFF ATTORNEY August 2, 2017 Senator Diane Feinstein 331 Hart Senate Office Building Washington, DC 20510 Senator Martin Heinrich 303 Hart Senate Office Building Washington, DC 20510 Senator John McCain 218 Russell Senate Office Building Washington, DC 20510 Senator Jack Reed 728 Hart Senate Office Building Washington, DC 20510 Senator Mark Warner 703 Hart Senate Office Building Washington, DC 20510 Senator Ron Wyden 221 Dirksen Senate Office Building Washington, DC 20510 RE: Prepublication Review of Mark Fallon’s Unjustifiable Means Dear Senators Feinstein, Heinrich, McCain, Reed, Warner, and Wyden, We represent Mark Fallon, a twenty-seven-year veteran of the Naval Criminal Investigative Service and a former Senior Executive Service member. Mr. Fallon served at the NCIS at a time when the nation’s most senior officials had authorized the torture of prisoners, and he has written a book detailing his experience and that of other public servants who protested these policies. We write to you now because Mr. Fallon’s manuscript, Unjustifiable Means, has been held up for more than seven months in “prepublication review,” and we are increasingly concerned that 1 some in the government are committed to suppressing Mr. Fallon’s account. We write on Mr. Fallon’s behalf to ask you to intervene. Unjustifiable Means concerns the Bush administration’s policies authorizing the cruel treatment and torture of detainees. It is an insider’s account of the moral and strategic costs of those policies and the many ways that honorable Americans working in government protested and resisted them.
    [Show full text]
  • Investment Committee Memorandum NB PA Co-Investment Fund LP
    Investment Committee Memorandum NB PA Co-investment Fund LP Private Equity Asset Class February 25, 2020 Page 1 PA SERS Private Equity Investment Recommendation Investment Recommendation SERS’ Investment Office Staff recommend that the State Employees’ Retirement System Investment Committee, subject to further legal due diligence, interview Neuberger Berman Alternative Advisors, LLC (“Neuberger Berman”, “NB” or the “Firm”) at the February 25, 2020 Investment Committee Meeting to consider a potential investment of up to $200 million to a separately managed account named the NB PA Co-investment Fund LP (“the SMA”, or the “Partnership”). SERS has not previously held an investing relationship with Neuberger Berman. As this SMA has been directly negotiated to have a custom investment mandate for SERS, it is a fund of one and the proposed commitment will be the fund size. Furthermore, there is no firm closing schedule, but SERS has agreed to target completing legal due diligence and closing by June 30, 2020 should approval be attained. Investment Rationale Staff identified NB PA Co-investment Fund as a strong candidate for SERS’ capital commitment as it offers: ➢ SMA strategy represents meaningful step forward in achieving funding objectives set out in PPMAIRC report; ➢ Bespoke co-investment solution crafted to satisfy numerous SERS objectives; ➢ Partnership with a top performing co-investment intermediary; ➢ High level of coverage with SERS’ existing core PE managers determined by cross checking Neuberger Berman track record and reference calls with SERS’ PE managers. SERS will benefit from joining with Neuberger Berman’s existing capacity, relationship history and negotiating power; ➢ Extendibility of partnership to other parts of Neuberger Berman’s platform including secondaries and private credit.
    [Show full text]
  • WELLS FARGO Consolidated Statement of Financial Condition
    WELLS FARGO CLEARING SERVICES, LLC Consolidated Statement of Financial Condition Wells Fargo Clearing Services, LLC (A Wholly Owned Limited Liability Company of Wachovia Securities Financial Holdings, LLC) December 31, 2017 (With Report from Independent Registered Public Accounting Firm Thereon) WELLS FARGO CLEARING SERVICES, LLC (A Wholly Owned Limited Liability Company of Wachovia Securities Financial Holdings, LLC) Consolidated Statement of Financial Condition December 31, 2017 (With Report from Independent Registered Public Accounting Firm Thereon) U.S. SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 ANNUAL AUDITED REPORT FACING PAGE SEC FILE NUMBER Information Required of Brokers a nd Dealers 8-37180 FORMX-17A-5 Pursuant to Section 17 of the Securities Exchange Act of 1934 PART III and Rule 17a-5 Thereunder REPORT FOR THE PERIOD BEGINNING 01/01/17 AND E NDING 12/31/17 MMIDDNY MM/DDNY A. REGISTRANT IDENTIFICATION NAME OF BROKER-DEALER: Official Use On]v Wells Fargo Clearing Services, LLC FIRM ID. NO. ADDRESS OF PRINCIPAL P LACE OF BUSINESS: (Do not use P.O. Box No.) One North Jefferson (No. and Street) St. Louis MO 63103 (City) (State) (Zip Code) NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT Kathy Barney 314-875-2463 (Area Code - Telephone No.) B. ACCOUNTANT IDENTIFICATION INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report-1, (Nam e - if individual, state last, first, middle name) KPMGLLP 10 South Broadway St. Louis MO 63102 (ADDRESS) Number and Street City Stat e Zip Code CHECK ONE: [J[J Certified Public Accountant [=i Public Accountant [=i Accountant not resident in United States 01· a n y of its possessions.
    [Show full text]
  • Case 8-15-71074-Reg Doc 953 Filed 10/09/17 Entered 10/09/17 18:11:49
    Case 8-15-71074-reg Doc 953 Filed 10/09/17 Entered 10/09/17 18:11:49 UNITED STATES BANKRUPTCY COURT EASTERN DISTRICT OF NEW YORK ----------------------------------------------------------------- x In re : : Chapter 11 FEDERATION EMPLOYMENT AND GUIDANCE : SERVICE INC. d/b/a FEGS,1 : Case No. 15-71074 (REG) : Debtor. : : ---------------------------------------------------------------- x AFFIDAVIT OF SERVICE State of California ) ) ss County of Los Angeles ) I, Darleen Sahagun, being duly sworn, depose and says: 1. I am employed by Rust Consulting/Omni Bankruptcy, located at 5955 DeSoto Avenue, Suite 100, Woodland Hills, CA 91367. I am over 18 years of age and am not a party to this above-captioned adversary proceeding. 2. On October 6, 2017, I caused to be served the: a. Plan of Liquidation Under Chapter 11 of the Bankruptcy Code of Federation Employment and Guidance Service, Inc. d/b/a/ FEGS [Docket No. 949], (the “Plan”), b. Disclosure Statement on Plan of Liquidation Under Chapter 11 of the Bankruptcy Code of Federation Employment and Guidance Service, Inc. d/b/a/ FEGS [Docket No. 950], (the “Disclosure Statement”), c. Motion for Entry of an Order, (I) Approving Disclosure Statement; (II) Scheduling Hearing on Confirmation of the Plan; and (III) Approving Related Procedures and Relief [Docket No. 951], (the “Motion”), d. Notice of Hearing on Motion for Entry of an Order, (Approving Disclosure Statement; (II) Scheduling Hearing on Confirmation of the Plan; and (III) Approving Related Procedures and Relief [Docket No. 952], (the “Notice”). By causing true and correct copies to be served (i) via email to the parties listed in Exhibit A, (ii) via first class mail to the parties listed in Exhibit B, and (iii) via overnight mail by placing the documents in a sealed envelope, affixing a pre-paid air bill, and delivering envelopes to an overnight courier location in Los Angeles, California to the parties listed on the Service List in Exhibit C attached hereto: I.
    [Show full text]
  • 3:17-Cv-00304-JFA Date Filed 05/01/17 Entry Number 22 Page 1 of 33
    3:17-cv-00304-JFA Date Filed 05/01/17 Entry Number 22 Page 1 of 33 IN THE UNITED STATES DISTRICT COURT FOR THE DISTRICT OF SOUTH CAROLINA COLUMBIA DIVISION ROBERT BERRY, INDIVIDUALLY § AND ON BEHALF OF ALL OTHERS § SIMILARILY SITUATED, § § Plaintiff, § Civil Action No. No. 3:17-cv-00304-JFA § VS. § § UJURY TRIAL DEMANDED WELLS FARGO & COMPANY, § WELLS FARGO CLEARING § SERVICES, LLC, and WELLS FARGO § ADVISORS FINANCIAL NETWORK, § LLC, and DOES 1 thru 50, § § Defendants. § UPLAINTIFF’S FIRST AMENDED CLASS-ACTION COMPLAINT Plaintiff Robert Berry, individually and on behalf of all others similarly situated, files this First Amended Class-Action Complaint against Defendants Wells Fargo & Company, Wells Fargo Clearing Services, LLC f/k/a Wells Fargo Advisors, LLC, Wells Fargo Advisors Financial Network LLC (collectively, “Wells Fargo”), and DOES 1 thru 50 (together with “Wells Fargo,” the “Defendants”) in order to require Wells Fargo to fund its pension benefit plans and to recover deferred compensation owed to Plaintiff and other Wells Fargo former and current employees that was improperly deemed forfeited in violation of ERISA. I. UPRELIMINARY STATEMENT 1. This ERISA class action is filed on behalf of former and current employees of Wells Fargo who did not receive money owed to them as deferred compensation. Plaintiff and other financial advisors participated in two deferred-compensation plans. The plans constitute “pension benefit plans” under ERISA, and are subject to ERISA’s funding, vesting, non- 3:17-cv-00304-JFA Date Filed 05/01/17 Entry Number 22 Page 2 of 33 forfeitability, and other requirements. These requirements mandate that Plaintiff’s and the class’s purportedly unvested deferred compensation is non-forfeitable.
    [Show full text]
  • Wachovia Securities J.P.Morgan Banc of America Securities LLC UBS Investment Bank
    The information in this preliminary prospectus supplement and the accompanying prospectus is not complete and may be changed. This preliminary prospectus supplement and the accompanying prospectus are not an offer to sell these securities and are not soliciting an offer to buy these securities in any jurisdiction where the offer or sale is not permitted. FILED PURSUANT TO RULE 424(b)(3) REGISTRATION NO. 333-150884 SUBJECT TO COMPLETION, DATED SEPTEMBER 22, 2008 PROSPECTUS SUPPLEMENT (To prospectus dated May 13, 2008) 7,000,000 Shares Common Stock Healthcare Realty Trust Incorporated (“HR”) is a self-managed and self-administered real estate investment trust, or “REIT,” that owns, acquires, manages, finances and develops income-producing real estate properties associated with the delivery of healthcare services throughout the United States. HR is offering and selling 7,000,000 shares of its common stock with this prospectus supplement and the accompanying prospectus. HR’s common stock is listed on the New York Stock Exchange under the symbol “HR.” On September 18, 2008, the last reported sale price of HR’s common stock on the NYSE was $30.50 per share. Investing in the common stock of HR involves certain risks and uncertainties that are described in the “Forward-Looking Statements and Risk Factors” section beginning on page S-7. Neither the Securities and Exchange Commission nor any other regulatory body has approved or disapproved of these securities or passed upon the accuracy or adequacy of this prospectus supplement or the accompanying prospectus. Any representation to the contrary is a criminal offense. Per Share Total Public offering price $ $ Underwriting discount $ $ Proceeds (before expenses) to HR $ $ The underwriters have an option to purchase, within 30 days from the date of this prospectus supplement, a maximum of 1,050,000 additional shares to cover over-allotments of shares, if any, at the price set forth on the cover page of this prospectus supplement, less underwriting discounts and commissions.
    [Show full text]
  • PREI and SJP Sell Minority Interest in New York City's
    PREI and SJP sell minority interest in New York City's Eleven Times Square March 09, 2015 - Front Section Prudential Real Estate Investors (PREI) and SJP Properties revealed the sale of a 45% interest in Eleven Times Sq., the partnership's 1.1 million s/f office and retail tower to Norges Bank Investment Management based on a gross value of $1.4 billion. PREI is the real estate investment and advisory business of Prudential Financial, Inc. As part of the transaction, the partnership will continue to own and control the building, while SJP Properties, as the operating partner, will continue to manage, lease and operate the building. SJP will also maintain its headquarters at the tower. The minority sale to Norges Bank Investment Management followed a marketing process led by CBRE, which attracted significant interest from a global roster of international organizations and sovereign wealth funds. Other terms of the transaction were not disclosed. "The strength of the tenant roster and the state-of-the art features at Eleven Times Sq., combined with its central location in the heart of New York City, allowed us to capitalize on the strong investor demand for core office properties in New York," said Kevin Smith, a PREI senior managing director and head of the Americas business. "This transaction gives us the opportunity to retain control of this trophy asset with our long-term partner SJP while also allowing PREI to redeploy capital into other core investments that provide steady returns for our investors." "This transaction is reflective of Eleven Times Square's position as a premier destination for leading global and local companies," commented Jeff Schotz, executive vice president for SJP Properties.
    [Show full text]
  • Court of Appeals STATE of NEW YORK
    To Be Argued By: ROBERT J. GIUFFRA, JR., ESQ. Time Requested: 30 Minutes New York County Clerk’s Index No. 601475/09 Court of Appeals STATE OF NEW YORK ABN AMRO BANK N.V.;d BNP PARIBAS; CALYON; HSBC BANK USA, N.A.; KBC INVESTMENTS CAYMAN ISLANDS VLTD.; MERRILL LYNCH INTERNATIONAL; BANK OF AMERICA, N.A.; MORGAN STANLEY CAPITAL SERVICES INC.; NATIXIS; NATIXIS FINANCIAL PRODUCTS INC.; THE ROYAL BANK OF SCOTLAND PLC; SOCIÉTÉ GÉNÉRALE; UBS AG, LONDON BRANCH; and WACHOVIA BANK, N.A., Plaintiffs-Appellants, —and— BARCLAYS BANK PLC; CITIBANK, N.A.; CANADIAN IMPERIAL BANK OF COMMERCE; JPMORGAN CHASE BANK, N.A.; COÖPERATIEVE CENTRALE RAIFFEISEN-BOERENLEENBANK B.A., NEW YORK BRANCH; ROYAL BANK OF CANADA; SMBC CAPITAL MARKETS LIMITED, Plaintiffs, —against— MBIA INC., MBIA INSURANCE CORPORATION, and MBIA INSURANCE CORP. OF ILLINOIS, Defendants-Respondents. BRIEF FOR PLAINTIFFS-APPELLANTS ROBERT J. GIUFFRA, JR. MICHAEL T. TOMAINO, JR. BRIAN T. FRAWLEY JULIA M. JORDAN WILLIAM H. WAGENER JONATHAN C. SHAPIRO SULLIVAN & CROMWELL LLP 125 Broad Street New York, New York 10004 Telephone: (212) 558-4000 Facsimile: (212) 558-3588 Date Completed: March 16, 2011 Attorneys for Plaintiffs-Appellants STATEMENT PURSUANT TO § 500.1(F) OF THE RULES OF THE COURT OF APPEALS Plaintiff BNP Paribas states that it has over 1,000 subsidiaries and affiliates, which are too numerous to list, but states that its principal U.S. subsidiaries include Bank of the West; First Hawaiian Bank; BNP Pari bas Securities Corp.; BNP Paribas Prime Brokerage, Inc.; BNP Paribas Commodity Futures Inc.; Paribas North America, Inc. and BNP Paribas North America, Inc.
    [Show full text]