17 C.F.R. § 240.14a-104

Current through September 30, 2024
Section 240.14a-104 - Notice of Exempt Preliminary Roll-up Communication. Information regarding ownership interests and any potential conflicts of interest to be included in statements submitted by or on behalf of a person pursuant to Section 240.14a-2(b)(4) and Section 240.14a-6(n)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549

NOTICE OF EXEMPT PRELIMINARY ROLL-UP COMMUNICATION

1. Name of registrant appearing on Securities Act of 1933 registration statement for the roll-up transaction (or, if registration statement has not been filed, name of entity into which partnerships are to be rolled up):

_______________________________

2. Name of partnership that is the subject of the proposed roll-up transaction:

_______________________________

3. Name of person relying on exemption:

_______________________________

4. Address of person relying on exemption:

_______________________________

5. Ownership interest of security holder in partnership that is the subject of the proposed roll-up transaction:

_______________________________

_______________________________

Note: To the extent that the holder owns securities in any other entities involved in this roll-up transaction, disclosure of these interests also should be made.

6. Describe any and all relations of the holder to the parties to the transaction or to the transaction itself:
a. The holder is engaged in the business of buying and selling limited partnership interests in the secondary market would be adversely affected if the roll-up transaction were completed.

_______________________________

_______________________________

_______________________________

b. The holder would suffer direct (or indirect) material financial injury if the roll-up transaction were completed since it is a service provider to an affected limited partnership.

_______________________________

_______________________________

_______________________________

c. The holder is engaged in another transaction that may be competitive with the pending roll-up transaction.

_______________________________

_______________________________

_______________________________

d. Any other relations to the parties involved in the transaction or to the transaction itself, or any benefits enjoyed by the holder not shared on a pro rata basis by all other holders of the same class of securities of the partnership that is the subject of the proposed roll-up transaction.

_______________________________

_______________________________

_______________________________

17 C.F.R. §240.14a-104

59 FR 63685, Dec. 8, 1994