Epstein File EFTA01365419: Holder and Solicitation (DS10)

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⚡IMPACT LEVEL 3 — NOTEWORTHY

Epstein File EFTA01365419: Holder and Solicitation (DS10)

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This document is an excerpt from the ING IM CLO 2011-1 indenture containing securities purchase restrictions and holder eligibility requirements. The document specifies that purchasers cannot offer securities through general solicitation or advertising, and that the issuer has the right to compel ineligible holders to sell their securities interests.

👤 Named in This Document

Eric Holder

🔑 Evidence Keywords

solicitation

📋 Key Excerpts3

PersonKeyword

Excerpt 1

(ix) The Purchaser will not, at any time, offer to buy or offer to sell Securities by any form of general **solicitation** or advertising, including, but not

Excerpt 2

(xiv) The Purchaser understands that the Issuer has the right under this Indenture to compel any Ineligible **Holder** to sell its interest in the Securities

Excerpt 3

or may sell such interest in the Securities on behalf of such Ineligible **Holder**. 72 ING IM CLO 2011-1 CONFIDENTIAL - PURSUANT TO FED.