Code of Federal Regulations · Section

§ 240.14a-104 — a-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 § 240.14a-2(b)(4) And § 240.14a-6(n)

17 C.F.R. § 240.14a-104

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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:

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-103 17 C.F.R. § 240.14a-12

Authorizing Statute