Case File
efta-efta01385885DOJ Data Set 10CorrespondenceEFTA Document EFTA01385885
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DOJ Data Set 10
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Securities Act. It is a 'qualified institutional leaver as defined n Rule 144A under the U.S
Secur;tes Act of 1933, as emended (the: Securities Act').
Other Representations: Party B represents and warrants to Party A that:
To the extent the Shares underlying the Transaction are a class of security that Is
subject to reporting under Section 13 of the U.S. Securities Exchange A* of 1934, as
amended (the 'Affected Shares"), Counterparty represents and warrants to Deutsche
that the aggregate of Counterparty's exposure to the Affected Shares through actual
ownership, derivative positions (Including swaps and ell Transactions), or otherwise
(the 'Total Exposure') is less than 10% of the total stock outstanding of the Issuer
("ISO"); provided that a breach of this representation shall not be an Event of Default
under the Agreement but rather shall give Deutsche the right but not the obligation to
knmediately terminate the relevant Transaction on Affected Shares.
(II)
Counterparty does not have the current intent to Influence or otherwise take an
'active' role with the company and MI comply with all reporting requirements Including
Section 13 of the U.S. Securities Exchange Act of 1934.
(iii)
Counterparty represents that (A) each Transaction is intended to be part of a profitable
trading strategy that is independent of any tax savings to Counterparty and (B) it has
valid business reasons for entering into the Transaction as opposed to direct
ownership of the Shares (which may Include but are not limited to improved financing
rates, bankruptcy safe harbour protection, leverage or anonymity of Counterparty's
trading strategy).
(Iv)
Counterparty is an 'eligible contract participant' within the meaning of the U.S.
Commodity Exchange Act, as amended (the 'CEA,.
(v)
Counterparty is not entering Into the Transaction to hedge securities that are subject
to resale restrictions under Rule 144 or Rule 145 under the Securities Act or
otherwise.
(vi)
Counterparty Is not an 'affiliate' or 'Insider of any relevant issuer of shares underlying
the Transaction within the meaning of any securities few applicable to such Issuer,
and will not attain such status during the term of the Transaction.
Credit Support Provisions:
For purposes of this Transaction and, with respect to Party B solely, the independent Amount"
shall mean the amount required in accordance with the Rules of the Road Margin
Requirements which have been separately provided to Party B (the "Rules").
3.
Account Details:
Payments to Party A:
Payments to Party B:
4.
Contact Names:
Confirmations
Telephone:
Fax:
e-mail address:
Payments/Fixings
Telephone:
Fax:
e-mail address:
5.
Offices:
To be advised
To be advised
Non-Markel Pro Control
+44 207 547 1202
+44 113 338 2009
geastocaedb.com
Hybrid Flow New York
+1 212 250 2838
+1 212 797 5495
saf-middle-officeallstdb.corn
Hybrid Flow London
+44 207 547 asea
+44 207 545 4923
GEFMidoffiltfist, db.com
The Office of Party A for the Transaction Is London.
Party B Representations. Patty B represen s, warrants and acknowledges that
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e)
DB-SDNY-0087307
CONFIDENTIAL
SDNY_GM_00233491
EFTA01385885
Technical Artifacts (8)
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Domain
db.comDomain
geastocaedb.comPhone
+1 212 250 2838Phone
+1 212 797 5495Phone
+44 113 338 2009Phone
+44 207 545 4923Phone
+44 207 547Phone
+44 207 547 1202Forum Discussions
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