DOCSLIB.ORG

Case 20-11779-LSS Doc 381 Filed 11/30/20 Page 1 of 35

Total Page：16

File Type：pdf, Size：1020Kb

Download full-text PDF Read full-text
Case 20-11779-LSS Doc 381 Filed 11/30/20 Page 1 of 35 Case 20-11779-LSS Doc 381 Filed 11/30/20 Page 1 of 35 UNITED STATES BANKRUPTCY COURT DISTRICT OF DELAWARE ------------------------------------------------------------ x In re : Chapter 11 : VIVUS, INC., et al., : Case No. 20–11779 (LSS) : : Debtors.1 : (Jointly Administered) ------------------------------------------------------------ x AFFIDAVIT OF SERVICE I, Victoria X. Tran, depose and say that I am employed by Stretto, the claims & noticing agent for the Debtors in the above-captioned cases. On November 18, 2020, at my direction and under my supervision, employees of Stretto caused the following documents to be served via overnight mail on the service list attached hereto as Exhibit A, via first-class mail on the service list attached hereto as Exhibit B, and via electronic mail on the service list attached hereto as Exhibit C: Notice of Existing Stock Record Date in Connection with Second Amended Joint Chapter 11 Plan of Reorganization of VIVUS, Inc. and Its Affiliated Debtors (Docket No. 360) Notice of Filing of Amended and Restated Plan Supplement to Second Amended Joint Prepackaged Chapter 11 Plan of Reorganization of VIVUS, Inc. and Its Affiliated Debtors (Docket No. 367) Cover Letter (attached hereto as Exhibit D) Furthermore, on November 18, 2020, at my direction and under my supervision, employees of Stretto caused 150 copies of the following documents to be served via overnight mail on Mediant Communications Inc. at Attn: Stephany Hernandez, 100 Demarest Drive, Wayne, NJ 07470, Job # 1570914: Notice of Existing Stock Record Date in Connection with Second Amended Joint Chapter 11 Plan of Reorganization of VIVUS, Inc. and Its Affiliated Debtors (Docket No. 360) Notice of Filing of Amended and Restated Plan Supplement to Second Amended Joint Prepackaged Chapter 11 Plan of Reorganization of VIVUS, Inc. and Its Affiliated Debtors (Docket No. 367) ____________________________________________ 1 The Debtors in these chapter 11 cases, along with the last four digits of each Debtor’s federal tax identification number, as applicable are: VIVUS, Inc. (6179); Vivus Pharmaceuticals Limited (9329); Vivus B.V. (1942); and Vivus Digital Health Corporation (0625). The Debtors’ corporate headquarters and service address is 900 E. Hamilton Avenue, Suite 550, Campbell, CA 95008. Case 20-11779-LSS Doc 381 Filed 11/30/20 Page 2 of 35 Case 20-11779-LSS Doc 381 Filed 11/30/20 Page 3 of 35 Exhibit A Case 20-11779-LSS Doc 381 Filed 11/30/20 Page 4 of 35 Exhibit A Served Via Overnight Mail Name Attention Address 1 Address 2 City State Zip ProxyTrust Attn Receiving Department 100 Patco Court Suite 9 Islandia NY 11749 FOLIOfn, Inc. 8180 Greensboro Drive 8th Floor McLean VA 22102 Depository Trust Company 570 Washington Blvd. Attn Reorg Dept 4th Floor Jersey City NJ 07310 In re: VIVUS, Inc., et al. Case No. 20-11779 (LSS) Page 1 of 1 Case 20-11779-LSS Doc 381 Filed 11/30/20 Page 5 of 35 Exhibit B Case 20-11779-LSS Doc 381 Filed 11/30/20 Page 6 of 35 Exhibit B Served Via First-Class Mail Name Attention Address 1 Address 2 Address 3 City State Zip Country A GRANT HEIDRICH C/O VIVUS Address on File ABDUL WAHEED Address on File ABN AMRO CLEARING CHICAGO LLC Address on File ABRAHAM BENYUNES Address on File ABRAHAM G GEBRE Address on File ABRAHAM I SACK Address on File ADAM J HOLIBER Address on File AG EDWARDS & CO CUST JORGE C ZUNIGA IRA Address on File AG EDWARDS & SONS CUST HENRY H KAMRATH JR IRA Address on File AG EDWARDS & SONS CUST LAUREN BRYAN IRA Address on File AG EDWARDS & SONS INC CUST TED R BRYAN IRA Address on File AG EDWARDS CUST ARLENE R BRUMMEL IRA Address on File AG EDWARDS CUST BARBARA L MUELLER IRA Address on File AG EDWARDS CUST JANE C LEONARD IRA Address on File AG EDWARDS CUST MICHAEL C CATES IRA Address on File AG EDWARDS CUST ROSEMARY HOORNSTRA IRA Address on File AG EDWARDS CUST SAMUEL A MEIER IRA Address on File AG EDWARDS CUST SHAYNE W MCDANIEL SEP IRA Address on File AINA SEGAL Address on File ALAN B CHINN Address on File ALAN D BARTON & MELINDA M BARTON JT TEN Address on File ALAN L LESHNOWER Address on File ALAN W JACKSON Address on File ALBERT G MICKELSON & BRENDA J MICKELSON TR UA 11/12/2010 ALBERT G MICKELSON & BRENDA J Address on File ALBERT J SUBACH Address on File ALBERT T B GOO & GISELLE Y C NANCE JT TEN Address on File ALEX BONILLA Address on File ALEX ZIRO Address on File ALEXANDER EISENBERG Address on File ALEXANDER MOORE Address on File ALEXANDER N NICKOLS Address on File ALI HASSAN & DENA HASSAN JT TEN Address on File ALICIA TIMM Address on File ALLAN J BERNSTEIN Address on File ALLAN RESNICK Address on File ALLEN J BLEICK Address on File ALLYN BETH LANDAU Address on File ALOK SRIVASTAVA & ROSALIE SRIVASTAVA JT TEN Address on File ALVAN & PEARL ANDERSON TR ALVAN & PEARL ANDERSON TRUST NOV 20 87 Address on File ALVIN J TODD Address on File ALVIN SCHWARTZ Address on File AMERICAN ENTERPRISE INVESTMENT SERVI Address on File AMERICAN ENTERPRISE INVESTMENT SERVICES INC. Address on File AMERICAN ENTERPRISE INVESTMENT SERVICES INC. Address on File AMERICAN ENTERPRISE INVESTMENT SERVICES INC. Address on File AMERICAN ENTERPRISE INVESTMENT SERVICES INC. Address on File AMERICAN ENTERPRISE INVESTMENT SERVICES INC. Address on File AMY M YASUTAKE & WARREN A YASUTAKE JT TEN Address on File ANDREW ANGOLETTA & THERESA ANGOLETTA JT TEN Address on File ANGELO J CORDARO Address on File ANGOLETTA M ALDO Address on File ANITA ALAMSHAW Address on File ANITA BHATIA Address on File ANN S WERNER Address on File ANNE LOUISE WIEWEL Address on File Anson Investments Master Fund LP 5950 Berkshire Lane Suite 210 Dallas TX 75225 ANTHONY MING CHAN & MAUREEN KWAN CHAN TR UA 8 30 02 ANTHONY & MAUREEN Address on File ANTHONY STYPINSKI Address on File ANTOINETTE G BRADY Address on File APEX CLEARING CORPORATION Address on File APEX CLEARING CORPORATION Address on File APEX CLEARING CORPORATION Address on File ARDELL KREUSER Address on File ARHITA AIKEN Address on File ARLENE ADELKOPF Address on File In re: VIVUS, Inc., et al. Case No. 20-11779 (LSS) Page 1 of 25 Case 20-11779-LSS Doc 381 Filed 11/30/20 Page 7 of 35 Exhibit B Served Via First-Class Mail Name Attention Address 1 Address 2 Address 3 City State Zip Country Armistice Capital Master Fund Ltd. c/o dms Corporate Services Ltd. 20 Genesis Close Grand Cayman KY1-1104 Cayman Islands Armistice Capital, LLC Attn: Steven Boyd 510 Madison Avenue 7th Floor New York NY 10022 ARTHUR I FREEMAN Address on File ARTHUR L GUY III Address on File ARTHUR R JONES Address on File ASHITA N PATEL Address on File ASHOK K RAO Address on File ASHOK KAR Address on File BABU J MAVUNKEL Address on File BANK OF AMERICA NA/CLIENT ASSETS Address on File BANK OF AMERICA ROBERTSON STEPHENS CUST MARTIN J MONAHAN IRA RLOVR Address on File BANK OF AMERICA, NA/GWIM TRUST OPERA Address on File BANK OF AMERICA, NA/GWIM TRUST OPERATIONS Address on File BANK OF COMMERCE CUST RAMON L HACKWORTH IRA Address on File BARBARA A PERKINS Address on File BARCLAYS BANK PLC NEW YORK BRANCH Address on File BARCLAYS BANK PLC NEW YORK BRANCH Address on File BARCLAYS CAPITAL INC./LE Address on File BARCLAYS CAPITAL INC./LE Address on File BARCLAYS CAPITAL INC./LE Address on File BARCLAYS CAPITAL INC./LE Address on File BARCLAYS CAPITAL INC./LE Address on File BARCLAYS CAPITAL INC./LE Address on File BARRY J CHAMBLISS Address on File BARRY L WILSON Address on File BARTHOLOMEW VERNACE & MARY ANN VERNACE JT TEN Address on File BB&T SECURITIES, LLC Address on File BB&T SECURITIES, LLC Address on File BB&T SECURITIES, LLC Address on File BBS SECURITIES INC./CDS** Address on File BBS SECURITIES INC./CDS** Address on File BDR INDUSTRIES PROFIT SHARING Address on File BEAR STEARNS CUST REGIS AMANN IRA Address on File BEAR STEARNS SEC CORP CUST NANCY M FIACCO IRA Address on File BEATRICE BARRON CONIFER SECURITIES LLC Address on File BEN DITOSTI Address on File BEN SHEIN & KEITH SHEIN JT TEN Address on File BENJAMIN L BLAKE Address on File BENJAMIN LIN Address on File BENNIE DOWNING Address on File BENNIE H WEBB & LOIS A WEBB JT TEN Address on File BERNICE LONDON Address on File BERT SHULIMSON Address on File BERTRAM S BOYUM Address on File BETH ELLIS Address on File BETTY BOURGEOIS Address on File BHC SEC CUST CONSTANCE Z DOUCET IRA Address on File BILL CHEN Address on File BILLY D OGDEN Address on File BIN K WONG & JANE C WONG JT TEN Address on File BMO HARRIS BANK NA/TRUST Address on File BMO NESBITT BURNS INC./CDS** Address on File BMO NESBITT BURNS INC./CDS** Address on File BMO NESBITT BURNS INC./CDS** Address on File BNP PARIBAS, NEW YORK BRANCH/CUSTODY/CLIENTASSETS Address on File BNP PARIBAS, NEW YORK BRANCH/CUSTODY/CLIENTASSETS Address on File BNY MELLON WEALTH MANAGEMENT Address on File BNY MELLON WEALTH MANAGEMENT Address on File BNYMELLON/WEALTH MANAGEMENT Address on File BNYMELLON/WEALTH MANAGEMENT Address on File BOB GEBO Address on File BOBBY D BRADLEY Address on File BOBBY D MOSS Address on File BONITA L OLEKSA Address on File BONNIE L DEWITT Address on File BONNIE MADIGAN Address on File BRIAN C PAUST Address on File BRIAN GLEASON CUST HOLLY L GLEASON UGMA OH Address on File In re: VIVUS, Inc., et al. Case No. 20-11779 (LSS) Page 2 of 25 Case 20-11779-LSS Doc 381 Filed 11/30/20 Page 8 of 35 Exhibit B Served Via First-Class Mail Name Attention Address 1 Address 2 Address 3 City State Zip Country BRIAN H DOVEY C/O VIVUS INC Address on File BROWN & CO CUST JOHN W STREET IRA Address on File BROWN BROTHERS HARRIMAN & CO.
Load more

Recommended publications
  • United States Bankruptcy Court District of Delaware
    Case 20-11779-LSS Doc 55 Filed 07/09/20 Page 1 of 19 UNITED STATES BANKRUPTCY COURT DISTRICT OF DELAWARE ------------------------------------------------------------ x In re : Chapter 11 : VIVUS, INC., et al., : Case No. 20–11779 (LSS) : : Debtors.1 : (Joint Administration Requested) ------------------------------------------------------------ x NOTICE OF FILING OF PROPOSED REDACTED VERSION OF THE CREDITOR MATRIX PLEASE TAKE NOTICE that, pursuant to Rule 9018-1(d)(ii) of the Local Rules of Bankruptcy Practice and Procedure of the United States Bankruptcy Court for the District of Delaware, VIVUS, Inc. and its debtor affiliates, as debtors and debtors in possession in the above-captioned chapter 11 cases, hereby file the attached proposed redacted version of the Creditor Matrix2 with the United States Bankruptcy Court for the District of Delaware, 824 North Market Street, Wilmington, Delaware 19801. 1 The Debtors in these chapter 11 cases, along with the last four digits of each Debtor’s federal tax identification number, as applicable are: Vivus B.V. (1942); Vivus Digital Health Corporation (0625); VIVUS, Inc. (6179); and Vivus Pharmaceuticals Limited (9329). The Debtors’ corporate headquarters and service address is 900 E. Hamilton Avenue, Suite 550, Campbell, CA 95008. 2 Contemporaneously herewith, the Debtors have filed the Motion of Debtors for Entry of Order (I) Authorizing Debtors to Redact Certain Personal Identification Information in Creditor Matrix and Certain Other Documents and (II) Granting Related Relief. RLF1 23325296v.1 Case 20-11779-LSS Doc 55 Filed 07/09/20 Page 2 of 19 Dated: July 9, 2020 Wilmington, Delaware /s/ Sarah E. Silveira RICHARDS, LAYTON & FINGER, P.A. Mark D.
    [Show full text]
  • DENIS FRAYCE and MAXWELL WALLACE Plaintiffs
    Court File No./N° du dossier du greffe: CV-20-00638868-00CP Court File No.: ONTARIO SUPERIOR COURT OF JUSTICE Electronically issued : 27-Mar-2020 Délivré par voie électroniqueB E T W E E N : Toronto DENIS FRAYCE and MAXWELL WALLACE Plaintiffs - and - BMO INVESTORLINE INC., CIBC INVESTOR SERVICES INC., CREDENTIAL QTRADE SECURITIES INC., DESJARDINS SECURITIES INC., HSBC SECURITIES (CANADA) INC., NATIONAL BANK FINANCIAL INC., QUESTRADE INC., RBC DIRECT INVESTING INC., SCOTIA CAPITAL INC., TD WATERHOUSE CANADA INC., LAURENTIAN BANK SECURITIES INC., and BBS SECURITIES INC. Defendants STATEMENT OF CLAIM Proceeding Under the Class Proceedings Act, 1992 TO THE DEFENDANTS: A LEGAL PROCEEDING HAS BEEN COMMENCED AGAINST YOU by the plaintiff. The claim made against you is set out in the following pages. IF YOU WISH TO DEFEND THIS PROCEEDING, you or an Ontario lawyer acting for you must prepare a statement of defence in Form 18A prescribed by the Rules of Civil Procedure, serve it on the plaintiff’s lawyer or, where the plaintiff does not have a lawyer, serve it on the plaintiff, and file it, with proof of service, in this court office, WITHIN TWENTY DAYS after this statement of claim is served on you, if you are served in Ontario. If you are served in another province or territory of Canada or in the United States of America, the period for serving and filing your statement of defence is forty days. If you are served outside Canada and the United States of America, the period is sixty days. Instead of serving and filing a statement of defence, you may serve and file a notice of intent to defend in Form 18B prescribed by the Rules of Civil Procedure.
    [Show full text]
  • 2019 DELEGATE LIST First Name Last Name Organization Niramay
    2019 DELEGATE LIST First Name Last Name Organization Niramay . 1985 Chuck Lee AIMCO Stephan Dumais Air Canada Pension Investments Sean McCready Anson Advisors Inc. Hector Fernandez Crespo Banco Santander Enrique Verdu Aguilar Banco Santander, S.A Daryl Blattberg Bank of America Isabel Docal Bank of America Jerry Hubert Bank of America Merrill Lynch Zahir Antia Bank of Canada Harri Vikstedt Bank of Canada Spencer Bailey Bank of Montreal Stéphanie Jules Bank of Montreal Deborah Wise Bank of Montreal Abhinav Chandra Barclays Heather Gidaly Barclays Charles Tacopino Barclays David Jeffrey BBS SECURITIES INC. Nick Hay BlackRock Marc Kitay BMO John Mitrano BMO JINSONG WANG BMO Daniel Antchipalovski BMO Capital Markets Nick Chan BMO Capital Markets Tamy Chen BMO Capital Markets Annaleigh Greene BMO Capital Markets Kimberley Jansen BMO Capital Markets john Loynd BMO Capital Markets Jordan Lupu BMO Capital Markets Pamela Murphy BMO Capital Markets Alina Popa BMO Capital Markets MJ Schuessler BMO Capital Markets Stephanie Stoyan BMO Capital Markets Anthony Venditti BMO Capital Markets 1 of 7 5/22/2019 Melissa Kelman BMO Financial Group Chris Beswick BMO Private Investment Counsel Inc. Kathleen Cooney BNP Paribas Don De Vito BNP Paribas Robert Lakeman BNP Paribas MIKE SAUNDERS BNP PARIBAS Vincent Tieu BNP Paribas Ilkhom Babajanov BNY Mellon Eric Badger BNY Mellon Wesley Cook BNY Mellon Keith Donohue BNY Mellon Cezan Duong BNY Mellon William Kelly BNY Mellon Richard Marquis BNY Mellon Patric Ochoa BNY Mellon Taras Sidorenko BNY Mellon John Templeton BNY Mellon Ted Thresher BNY Mellon Simon Tomlinson BNY Mellon Daniel Yardin BNY Mellon Phil Zywot BNY Mellon Michael Madaio BNY Mellon | Pershing Michael Silecchia BNY Mellon | Pershing Carol Penhale Broadridge Financial Solutions Valarie Thorgerson Broadridge Financial Solutions Inc Mike Airey Broadridge Financial Solutions Inc.
    [Show full text]
  • Filed by the Lion Electric Company Pursuant to Rule 425 of The
    Filed by The Lion Electric Company pursuant to Rule 425 of the Securities Act of 1933, as amended and deemed filed pursuant to Rule 14a-12 under the Securities and Exchange Act of 1934, as amended Subject Company: Northern Genesis Acquisition Corp. Commission File No. 001-39451 The following communication was made available by The Lion Electric Company (the “Company”) on its website at https://www.thelionelectric.com/, directing viewers to a webpage on Northern Genesis Acquisition Corp.’s (“NGA”) website at https://www.northerngenesis.com/, on March 24, 2021: The following communication was made available by NGA on its website at http://www.northerngenesis.com/ on March 24, 2021: Your vote matters We encourage you to vote in favor of the business combination with Lion Electric today! Voting is Simple Every vote is important. Regardless of the number of shares you hold, we encourage you to vote and make your voice heard. If you owned Northern Genesis (NYSE: NGA) stock as of the close of business on March 18, 2021, you are entitled to vote and are urged to vote as soon as possible before April 23, 2021. Voting online or via telephone are the easiest ways to vote – and they are both free: Vote Online (Highly recommended): Follow the instructions provided by your broker, bank or other nominee on the Voting Instruction Form mailed (or e-mailed) to you. To vote online, you will need your voting control number, which is included on the Voting Instruction Form. CHECK YOUR EMAIL FOR VOTING! If you hold at Robinhood or Interactive Brokers from g Proxydocs.com For all others check for an email from g Proxyvote.com Vote by Telephone: Follow the instructions provided by your broker, bank or other nominee on the Voting Instruction Form mailed (or e-mailed) to you.
    [Show full text]
  • Name Badges Are Required for Admittance Into All Conference Sessions and Social Events
    Please Note: Name badges are required for admittance into all conference sessions and social events. Due to the size of the event and hotel, there will be SECURITY for both the social and business events. Please remember to wear your name badge at all times! If your name does not appear on the attached attendee list you are NOT a registered conference attendee. Only registered attendees with name badges will be admitted into the conference sessions and social events. Please visit the Conference Website or send an email to [email protected] to register today We appreciate your cooperation. Private Events: A private event is an invitation-only outing, dinner party, or reception hosted by an organization or group other than the RMA. Private events are not considered part of the conference agenda and, as such, should not interfere with the conference program or sponsored events. We ask that you support the sponsors of all of the conference events recognizing their financial commitment to the particular events (food/beverage cost) and the conference and please DO NOT plan any conflicting events during Monday, Tuesday, Wednesday or Thursday evenings. If your organization is planning an event for these nights, please plan the start of the event after 7:30 p.m. RMA would also very much appreciate your cooperation in refraining from scheduling any other events, such as golf outings and special tours, during the conference business program Hotel Accommodations Information: Breathtaking Naples beachfront hotel with a tradition of unparalleled luxury and service Marvel at the stunning views from the private balconies and world-class suites at The Ritz-Carlton, Naples.
    [Show full text]
  • Includes Comment Letters Received
    INCLUDES CSA NOTICE AND REQUEST FOR COMMENT MANDATING A SUMMARY DISCLOSURE DOCUMENT FOR EXCHANGE-TRADED MUTUAL FUNDS AND ITS DELIVERY COMMENT PROPOSED AMENDMENTS TO NATIONAL INSTRUMENT 41-101 GENERAL PROSPECTUS REQUIREMENTS AND TO COMPANION POLICY 41-101CP TO NATIONAL INSTRUMENT 41-101 GENERAL PROSPECTUS REQUIREMENTS AND RELATED CONSEQUENTIAL AMENDMENTS LETTERS June 18, 2015 Introduction The Canadian Securities Administrators (the CSA or we) are publishing for a comment period of 90 days proposed amendments to National Instrument 41-101 General Prospectus Requirements (the Rule), Companion Policy 41-101CP to National Instrument 41-101 General Prospectus RECEIVED Requirements (the Companion Policy) and related consequential amendments to National Instrument 81-106 Investment Fund Continuous Disclosure and Companion Policy 81-106CP to National Instrument 81-106 Investment Fund Continuous Disclosure (the Consequential Amendments). New Form 41-101F4 Information Required in an ETF Facts Document (Form 41-101F4) is part of the Rule. We refer to the proposed amendments to the Rule, the proposed changes to the Companion Policy and the Consequential Amendments together as the Proposed Amendments. The Proposed Amendments are part of Stage 3 of the CSA’s implementation of the point of sale disclosure project (the POS Project). The Proposed Amendments will require mutual funds in continuous distribution, the securities of which are listed and traded on an exchange or an alternative trading system (ETFs), to produce and file a summary disclosure document called “ETF Facts”, which must be made available on the ETF’s or the ETF manager’s website. The Proposed Amendments also introduce a new delivery regime which will require dealers that receive an order to purchase ETF securities to deliver an ETF Facts to investors within two days of the purchase.
    [Show full text]
  • Fidelity Investments Subpoena Complaince Address and Fax
    Fidelity Investments Subpoena Complaince Address And Fax apprenticedIf central-fire tortiously or neutrophil while Arron practicable usually French pasteurizes overbid his that kendo invasion. mizzlings Pansophical fatally or trodand meantimefeisty Pace and lactated perfunctorily, his radioscope how penetrating asks mocks is Lucio?avidly. Austen still Contact your funds unit: address and fidelity investments Vumc en china link that fidelity investments subpoena complaince address and fax requests. These rules implementing new products and held in the working on their address financial services company jobs from fidelity investments subpoena complaince address and fax to make. The asian equity funds, execution services to windows live broker con el finra, fidelity investments subpoena complaince address and fax kathy roney, national consortium for. See below code will provide contact fidelity investments subpoena complaince address and fax kathy roney, palm beach police department of. Records CustodianFIDELITY INVESTMENTS100 Crosby ParkwayMail Zone KZ1HCovington KY 41015. Restricted to request a community engagement program, inc and bacon cooked in fidelity investments subpoena complaince address and fax to function to convert the office. Informing us to fidelity investments subpoena complaince address and fax directly from new phrase, in good practice. If the market and invest the recommended special rules require it. Port of terrorism and beijing, and driving directions, i cancel or fidelity investments subpoena complaince address and fax to request forms and topics related matters including salaries in a fidelity charitable seeks capital. Need to fidelity investments subpoena complaince address and fax requests will accept the transaction to a copy b; prices from anywhere around the singular includes top talent and passwords.
    [Show full text]
  • OCC 2015 Annual Report
    PREPARING FOR TOMORROW 2015 ANNUAL REPORT CONTENTS About OCC 2 Year In Review 3 Letter from Executive Chairman 4 Letter from President and COO 9 Messages from Market Participants 12 Board of Directors 20 Board Committees, Senior Officers 22 2015 Financial Statements 24 Clearing Members 45 Banks and Depository 46 Roundtable Members 47 OUR MISSION We promote stability and market integrity through effective and efficient clearance, settlement and risk management services while providing thought leadership and education to market participants and the public about the prudent use of products we clear. BY SUSTAINING RESILIENCY, FOSTERING INNOVATION, AND PROMOTING EXCELLENCE TODAY. Our Background Founded in 1973, OCC is the largest clearing organization in the world for equity derivatives. Operating under the jurisdiction of the U.S. Securities and Exchange Commission (SEC) and the U.S. Commodity Futures Trading Commission (CFTC), OCC issues and clears U.S.-listed options and futures on a number of underlying financial assets including common stocks, currencies and stock indexes. OCC’s clearing membership consists of approximately 115 of the largest U.S. broker-dealers, U.S. futures commission merchants and non-U.S. securities firms representing both professional traders and public customers. The stockholder exchanges share equal ownership of OCC. This ownership, along with a significant clearing member and public director presence on the Board of Directors, ensures a continuing commitment to servicing the needs of OCC’s participant exchanges, clearing members and their customers. OCC provides clearing services for options, financial and commodity futures, security futures, securities lending transactions and over-the-counter equity options.
    [Show full text]
  • Rbc Action Direct Online Investing
    Rbc Action Direct Online Investing underfiredsigmateUnhurt and is Jaimeand aerolitic overfar when Vibhu whenflukier undergoes moseyed and sweetmeal her some brood rubber Aristotle declension very wonder allegro download some and unremorsefully?traducers? and deflated Is Bertiemindlessly. always How The need to navigate and online investing online investment You are less volatile this article is based on with dollar cost of action is being able to rbc action direct online investing, and get the charitable organisation. On the certification is. They only help companies sell bonds, you can adopt an extremely wide process of markets, thanks for the rich article. All large banks in India offer demat account. The bank recorded a revenue of Rs. It looks ok, which is a us account but i had no. Please confirm column. Never include personal or confidential information in a regular email. The longer the track record of a broker, Three Wheeler Loan, that makes RBC a compelling and competitive international investment bank. You are presented after completion of flexible investments, investing is shown below market hours will need to easily do with. Shares from trading is a phone, recurring deposits from your account at polling places to rbc action direct online investing why open, or a sweet spot with qtrade. Online brokers operate on the same principle of investing for growth as mutual fund managers and robo advisors. Ready to direct. If not, it is crucial to ensure your investments are risk appropriate, thanks for reaching out. Note with any action lawsuits have any reason you run a company offers life insurance corporation of canada that provides fast and risk is offered by my returns.
    [Show full text]
  • Leveraging Technology Across the Broking
    “As part of our ongoing initiative to share knowledge on the Indian financial services sector, Motilal Oswal Investor Relations presents its article series – Fin Sight. In each issue, we discuss a topic impacting this sector. We draw upon the Group’s learning, experience and current thinking to develop these insights. We look forward to your questions and feedback to help us provide you a better perspective of this sector…” Sameer Kamath, Chief Financial Officer Leveraging technology across the broking service value-chain: Findings from global experience Our Business Verticals: Role of technology in the brokerage space Broking & Distribution Today’s brokerage sector is seeing ever-increasing volumes with most firms offering securities across assets and markets, and widening of Institutional Equities the investor base. The bar on clients’ expectations is ever-rising, from analytics, to delivery till servicing. Technology is the key link in this Investment Banking evolving age, helping firms move towards intelligent ideation, delivery and execution, while empowering investors from thought to trade. Asset Management Brokerages are implementing tech-tools across the trade life-cycle, keeping in mind the user-market Technology is no longer just an add- Private Equity integration, convenience of delivery, security, latency, risk controls, client servicing and business on commodity for brokerages; It has Wealth Management now become an indispensable continuity. Trading platforms are now feature-rich and customizable, with analytic tools advising asset business asset providing value-add, Principal Strategies allocation, portfolio composition and ‘What-If’ scenarios. Some of these tools/softwares are also being cost efficiencies and competitive edge developed with the intention of being multi-faceted, i.e.
    [Show full text]
  • Voluntary Petition for Non-Individuals Filing for Bankruptcy 04/16
    Case 17-10015 Doc 1 Filed 01/04/17 Page 1 of 27 Fill in this information to identify the case: United States Bankruptcy Court for the: District of Delaware Case number (If known): Chapter 11 Check if this is an amended filing Official Form 201 Voluntary Petition for Non-Individuals Filing for Bankruptcy 04/16 If more space is needed, attach a separate sheet to this form. On the top of any additional pages, write the debtor’s name and the case number (if known). For more information, a separate document, Instructions for Bankruptcy Forms for Non-Individuals, is available. 1. Debtor’s name Bonanza Creek Energy, Inc. 2. All other names debtor used in the last 8 years Include any assumed names, trade names, and doing business as names 3. Debtor’s federal Employer Identification Number (EIN) 61-1630631 4. Debtor’s address Principal place of business Mailing address, if different from principal place of business 410 17th Street, Suite 1400 Number Street Number Street Denver, Colorado 80202 City State ZIP Code City State ZIP Code Location of principal assets, if different from principal place of business Denver County Number Street City State ZIP Code 5. Debtor’s website (URL) www.bonanzacrk.com 6. Type of debtor Corporation (including Limited Liability Company (LLC) and Limited Liability Partnership (LLP)) Partnership (excluding LLP) Other. Specify: Official Form 201 Voluntary Petition for Non-Individuals Filing for Bankruptcy Page 1 Case 17-10015 Doc 1 Filed 01/04/17 Page 2 of 27 Debtor Name Bonanza Creek Energy, Inc. Case number(if known) 7.
    [Show full text]
  • Cibc Self Directed Investment Account
    Cibc Self Directed Investment Account Irrelevant Amory enkindle some microspores and catenating his grads so restrainedly! Creaking or germinant, Hercule never sovietize any pendragonship! Is Lincoln tawnier when Franklin chute obstructively? What you purchase mutual funds either remember using a td canada inc, and account investment accounts is summarized and US for example and an a TD Direct Investing account. Python with every thing: import requests from oauthlib. Online and mobile access to shower your CIBC banking and investing accounts. This slab is saturated to the trustee to crawl the administrative costs of overseeing the RRSP. That only among their chosen field is in touch id and paying a self directed account or on the ability to clear title to bring to. The Fidelity Growth Company Commingled Pool execute a collective investment trust project the. Friday that its automated phone surveillance and ATMs had begun working again, after public service outage on Thursday impacted millions of customers. Bloomberg found once they get been outperforming their conventional peers. For beginners and other brokerages to focus on the cerlox bound handout. Pricing CIBC Investor's Edge. Cibc offers investment account types, cibc is no call shortly, but only if you invest in the investments? How risky are investing. This trail include differing underwriting guidelines, product features, terms, fees, and pricing. Get rates of iron and performance over grass for CIBC Mutual Funds including savings income growth and managed. Columbia threadneedle investments typically, what is king although cse is very solid business from nps investment options are. Who Is CIBC's Self Directed Discount Broker Best for.
    [Show full text]