Example 1
Other Business Arrangements: A description of any joint ventures in which the Adviser or its supervised persons participate, and any outside businesses that employ or are owned more than 5%, directly or indirectly, by the Adviser’s supervised persons. In addition, please indicate whether any client has invested, and/or has been solicited to invest, in any of these joint ventures or outside businesses.
Adviser Compensation: A list of all compensation received by the Adviser, directly or indirectly, during the last fiscal year and the current year-to-date, showing for each period the aggregate amount of fees received for each type of fee, including (where applicable), but not limited to: 1) management fees; 2) performance fees; 3) finders fees; 4) solicitor fees; 5) consulting fees; 6) transaction fees; 7) monitoring fees; 8) accelerated monitoring fees; 9) board/director’s fees; 10) any fees/expenses charged to portfolio companies held in the Funds; and 11) fees in connection with M&A (add-on acquisitions, refinancing, sales, and similar transactions (please explain). Please note any amounts credited to investors or a Fund.
Example 2
A schedule of any transactions known to the Registrant or its officers between portfolio companies/investments and any of the following parties, including the date, amount, and reason for the transaction:
- Other portfolio companies/investments;
- Clients;
- The Registrant;
- Employees of the Registrant; or
- Any other affiliate or related party of the Registrant or its employees.