Epstein File EFTA01376325: Warrant and Professional (DS10)

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💨IMPACT LEVEL 1 — MEH

Epstein File EFTA01376325: Warrant and Professional (DS10)

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This document pertains to ERISA limited securities and contains representations and warranties required of initial offerees and subsequent transferees of definitive securities. The excerpt references PTCE 91-38 relating to investments by bank collective investment funds and PTCE 84-14 relating to transactions effected by independent qualified professionals, indicating compliance with Employee Retirement Income Security Act regulations.

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warrant professional

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Excerpt 1

OF AN ERISA LIMITED SECURITY IN THE INITIAL OFFERING THEREOF AND EACH SUBSEQUENT TRANSFEREE OF A DEFINITIVE SECURITY WILL BE REQUIRED TO REPRESENT AND **WARRANT**

Excerpt 2

("PTCE") 91-38 (relating to investments by bank collective investment funds), PTCE 84-14 (relating to transactions effected by independent "qualified **professional**