Skip to main content
Skip to content
Case File
sd-10-EFTA01377758Dept. of JusticeOther

EFTA Document EFTA01377758

S- /A otherwise determined by our compensation committee, to earn an actual award, a participant must be employed by us (or an affiliate of ours) through the date the award is paid. Our board of directors or our compensation committee, in their sole discretion, may after, suspend, or terminate the Bonus Plan, provided such action does not, without the consent of the participant, after or impair the rights or obligations under any award already earned by such participant. 401(k) Plan We ma

Date
Unknown
Source
Dept. of Justice
Reference
sd-10-EFTA01377758
Pages
1
Persons
0
Integrity
Loading PDF viewer...

Summary

S- /A otherwise determined by our compensation committee, to earn an actual award, a participant must be employed by us (or an affiliate of ours) through the date the award is paid. Our board of directors or our compensation committee, in their sole discretion, may after, suspend, or terminate the Bonus Plan, provided such action does not, without the consent of the participant, after or impair the rights or obligations under any award already earned by such participant. 401(k) Plan We ma

Ask AI About This Document

Extracted Text (OCR)

EFTA Disclosure
Text extracted via OCR from the original document. May contain errors from the scanning process.
S- /A otherwise determined by our compensation committee, to earn an actual award, a participant must be employed by us (or an affiliate of ours) through the date the award is paid. Our board of directors or our compensation committee, in their sole discretion, may after, suspend, or terminate the Bonus Plan, provided such action does not, without the consent of the participant, after or impair the rights or obligations under any award already earned by such participant. 401(k) Plan We maintain a tax-qualified retirement plan, or the 401(k) plan, that provides eligible employees with an opportunity to save for retirement on a tax-advantaged basis. Eligible employees are able to participate in the 401(k) plan as of the first day of the month following the date they meet the 401(k) plan's eligibility requirements, and participants are able to defer up to 90% of their eligible compensation subject to applicable annual Code limits. All participants' interests in their deferrals are 100% vested when contributed. The 401(k) plan permits us to make matching contributions and profit sharing contributions to eligible participants, although we have not made any such contributions to date. 167 Tad* of Contents. CERTAIN RELATIONSHIPS, RELATED PARTY AND OTHER TRANSACTIONS Other than compensation arrangements, including employment, termination of employment, and change in control arrangements, with our directors and executive officers, including those discussed in the sections titled "Management" and "Executive Compensation? and the registration rights described in the section titled "Description of Capital Stock—Registration Rights? the following is a description of each transaction since January 1, 2012 and each currently proposed transaction in which: • we have been or are to be a participant; • the amount involved exceeded or exceeds $120,000; and any of our directors, executive officers, or holders of more than 5% of our outstanding capital stock, or any immediate family member of, or person sharing the household with, any of these individuals or entities, had or will have a direct or indirect material interest. Equity Financings Series D Convertible Preferred Stock Financing From July 2012 through September 2012. we sold an aggregate of 20.164,210 shares of our Series D convertible preferred stock at a purchase price of approximately 511.014 per share, for an aggregate purchase price of $222.1 million. The following table summarizes purchases of our Series D convertible preferred stock by related persons: Shares of Series D Convertible Total Purchase Stockholder Preferred Stock Price Entities affiliated with Rizvi Traverse(1) 13,618,980 $149,999,445.72 JPMC Strategic Investments I Corporation(2) 1,015,980 $ 11,190,003.72 (1) Affiliates of Rizvi Traverse holding our securities whose shares are aggregated for purposes of reporting share ownership information are RT Spartan IV, LLC. RT SQ Co-Invest, LLC, RT SQ Secondary. LLC. RT-SQ TS, LLC, Rizvi Opportunistic Equity Fund II, L.P., RT SQ Co-Invest II, LLC, Rizvi Opportunistic Equity Fund I-B, L.P., Rizvi Opportunistic Equity Fund, L.P., Rizvi Opportunistic Equity Fund I-B (TI), L.P., Rizvi Traverse Partners, LLC, Rizvi Traverse Partners II, LLC, and Rizvi Opportunistic Equity Fund (TI), L.P. (2) JPMC Strategic Investments I Corporation's ultimate parent is J.P. Morgan Chase & Co., the ultimate parent of one of the underwriters of this offering. Series E Convertible Preferred Stock Financing From September 2014 through October 2014, we sold an aggregate of 9,700.289 shares of our Series E convertible http://www.see.gov/Archivestedgar/data/1512673AX$1119312515369()92/d937622dsla.html11/6/2015 7.37:12 AMI CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) CONFIDENTIAL DB-SDNY-0074910 SDNY_GM_00221094 EFTA01377758

Technical Artifacts (2)

View in Artifacts Browser

Email addresses, URLs, phone numbers, and other technical indicators extracted from this document.

Phone19312515369
URLhttp://www.see.gov/Archivestedgar/data/1512673AX$1119312515369()92/d937622dsla.html11/6/2015

Related Documents (6)

OtherUnknown

KYC Print

DOJ EFTA Data Set 10 document EFTA01294896

12p
Dept. of JusticeOtherUnknown

EFTA Document EFTA01461100

5. Purchase of Securities. ()BSI requires that cash accounts contain sufficient funds to settle a transaction, but has the right to accept an order without sufficient funds with the understanding that Client will submit payment on or before settlement date for each security purchased. ()BSI retains the right to cancel or liquidate any order accepted and/or executed without prior notice to Client, if DBSI does not receive payment by settlement date. Alternatively, upon Client's failure to pa

1p
Dept. of JusticeOtherUnknown

EFTA Document EFTA01299130

KYC Print Page 1 of' 19 DB PWM GLOBAL KYC/NCA: PART A Int KYC Case # : 01141308 One sheet must be established per relationship - list all accounts included in the relationship 1. Relationship Details Relationship Name: EPSTEIN, JEFFREY RELATIONSHIP:00000483290 Booking Center: New York Relationship Manager: Paul Moms Relationship to PWM: 17 New PWM Relationship F Existing PWM Relationship If existing, please indicate since when the relationship exists, provide reason for new profi

19p
Dept. of JusticeAug 22, 2017

15 July 7 2016 - July 17 2016 working progress_Redacted.pdf

Kristen M. Simkins From: Sent: To: Cc: Subject: Irons, Janet < Tuesday, July 12, 2016 10:47 AM Richard C. Smith     Hello Warden Smith,     mother is anxious to hear the results of your inquiry into her daughter's health.   I'd be grateful if you could  email or call me at your earliest convenience.  I'm free today after 2 p.m.  Alternatively, we could meet after the Prison  Board of Inspectors Meeting this coming Thursday.    Best wishes,    Janet Irons    1 Kristen M. Simkins From: Sent:

1196p
Dept. of JusticeOtherUnknown

EFTA Document EFTA01417448

7/15/2019 KYC Print DB PWM GLOBAL KYC/NCA: PART A KYC Case # : 01344537 One sheet must be established per relationship - list all accounts included in the relationship 1. Relationship Details Relationship Name: Relationship Manager: EPSTEIN, JEFFREY RELATIONSHIP:00000483290 Paul Morris New PWM Relationship Relationship to PWM: If existing, please indicate since when the relationship exists, provide reason for new profile and attach old profile: Update of KYC #01133113. Trustees ha

44p
OtherUnknown

KYC Print

DOJ EFTA Data Set 10 document EFTA01345276

1p

Forum Discussions

This document was digitized, indexed, and cross-referenced with 1,400+ persons in the Epstein files. 100% free, ad-free, and independent.

Annotations powered by Hypothesis. Select any text on this page to annotate or highlight it.