HOUSE_OVERSIGHT_024080.jpg
2.66 MB
Extraction Summary
2
People
3
Organizations
0
Locations
0
Events
1
Relationships
4
Quotes
Document Information
Type:
Legal/financial disclosure (likely private placement memorandum or offering memorandum)
File Size:
2.66 MB
Summary
This document appears to be page 69 of a confidential offering memorandum or private placement memorandum for an investment fund. It outlines risk factors related to liquidity and reliance on projections, defines industry terminology regarding 'general partners' and the legal structure of the fund, and discloses that neither the Fund nor the General Partner is registered under the Investment Company Act of 1940 or the Securities Exchange Act of 1934. The document bears a 'HOUSE_OVERSIGHT' Bates stamp, indicating it is part of a congressional investigation.
People (2)
| Name | Role | Context |
|---|---|---|
| General Partner | Fund Manager/Entity |
The entity managing the fund and making investment decisions.
|
| Prospective Investors | Investors |
Individuals or entities considering investment in the Fund.
|
Organizations (3)
| Name | Type | Context |
|---|---|---|
| The Fund |
The investment vehicle being described (unnamed in this specific page).
|
|
| National Association of Securities Dealers, Inc. |
Regulatory body mentioned regarding broker/dealer registration exemptions.
|
|
| House Oversight Committee |
Implied by the footer stamp 'HOUSE_OVERSIGHT_024080'.
|
Relationships (1)
Text describes the General Partner directing the management of the Fund.
Key Quotes (4)
"The General Partner may rely upon its own or a portfolio company’s projections concerning the portfolio company’s future performance in making investment decisions."Source
HOUSE_OVERSIGHT_024080.jpg
Quote #1
"Prospective investors are particularly cautioned that the investment sourcing, selection, management and liquidation strategies and procedures exercised by partners of the General Partner in the past may not be successful, or even practicable, during the Fund’s term."Source
HOUSE_OVERSIGHT_024080.jpg
Quote #2
"The Fund will not be registered under the Investment Company Act of 1940... pursuant to an exemption set forth in Sections 3(c)(1) and/or 3(c)(7)..."Source
HOUSE_OVERSIGHT_024080.jpg
Quote #3
"The General Partner is not registered as a broker/dealer under the Securities Exchange Act of 1934... and with the National Association of Securities Dealers, Inc. (the “NASD”)..."Source
HOUSE_OVERSIGHT_024080.jpg
Quote #4
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