📄 Extracted Text (552 words)
DISCLOSURE STATEMENT
AND ACKNOWLEDGENMENT
July 27, 2015
Southern Trust Company Inc.
6100 Red Hook Quarter B3
St. Thomas, VI 00802
The Key Client Partners ("KCP") business of Deutsche Bank Securities Inc.
("DBSI") proposes
to introduce you to the Corporate Banking and Securities ("CB&S") business
of DBSI to discuss,
if you deem suitable, a possible investment (an "Investment") in a life
sciences company (the
"Company"), which is primarily engaged in the production of genome
sequencing equipment
and solutions. KCP is not offering, selling or recommending the Investment,
and is not acting as
an agent for CB&S or the Company. You must make an independent assessment of
the
Investment, considering the nature, material terms, conditions and risks
presented by such
potential Investment, including relevant market factors and other investment
considerations.
If you elect to make an Investment, KCP will be paid a referral fee by CB&S,
which may incent
KCP to refer you to CB&S instead of to other possible Investments for which
KCP would not
receive a referral fee, or would receive a lower referral fee. Additionally,
KCP and CB&S are
separate businesses of DBSI, which are under the common control of Deutsche
Bank AG, and
which may be viewed as further incentive for KCP to refer you to CB&S.
Please sign below to evidence (1) your acknowledgement of this Disclosure
Statement, and of
the disclosures included herein, (2) your confirmation that you are capable
of evaluating the
proposed Investment and (3) that prior to investing, you will determine that
the proposed
Investment is suitable for you.
ACKNOWLEDGEMENT OF RECEIPT
We acknowledge receipt of this Disclosure Statement and Acknowledgement from
KCP
describing the arrangements between KCP and CB&S. We acknowledge that the
Investment
may be illiquid and may be subject to restrictions on redemption. We
understand that KCP is not
recommending, offering or selling any particular Investment to me and is not
involved in the
placement of any Investment. We confirm that we:
1. are a "qualified institutional buyer" as such term is defined in Rule
144A of the U.S.
Securities Act of 1933, as amended;
EFTA01410830
2. (a) are capable of evaluating investment risks independently, both in
general and with
regard to the Investment; (b) will exercise independent judgment in
evaluating any
potential Investment and our determination as to the suitability of any
potential
investment therein; and (c) are not relying on any advice or recommendation
of KCP
making an Investment;
3. understand the obligations and risks associated with the Investment, and
have such
knowledge and experience in financial matters generally as to be capable of
evaluating the merits and risks of the Investment, and are capable of and
willing to
assume (financially and otherwise) those risks;
Confidential
EFTA01410831
4. understand that, if we elect to make an Investment, KCP will be paid a
referral fee by
CB&S of up to [.1% of aggregate value our Investment in the Company.
I also
understand that, as a result, KCP may be incented to refer me to CB&S
instead of
other possible Investments for which KCP would not receive a referral fee,
or would
receive a lower referral fee;
5. will immediately notify you if anything in this Disclosure Statement and
Acknowledgement ceases to be true; and
6. are an authorized signatory of the undersigned entity.
Southern Trust Company Inc.
Name:
Title:
Confidential
EFTA01410832
ℹ️ Document Details
SHA-256
9d8d77f5b74be111263d25d403e1c5fbc1af9e452d06db6fcc5c251d3feb545a
Bates Number
EFTA01410830
Dataset
DataSet-10
Document Type
document
Pages
3