View all text of Part 240 [§ 240.0-1 - § 240.36a1-2]
§ 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 and § 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: [59 FR 63685, Dec. 8, 1994]
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.