Conflicts of Interest Exemption; Boathouse Capital III, L.P.

CourtSmall Business Administration
Citation86 FR 67110
Published date24 November 2021
Record Number2021-25696
67110
Federal Register / Vol. 86, No. 224 / Wednesday, November 24, 2021 / Notices
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15 U.S.C. 78s(b)(3)(A)(ii).
14
17 CFR 240.19b–4(f)(2).
15
Notwithstanding its immediate effectiveness,
implementation of this rule change will be delayed
until this change is deemed certified under CFTC
Regulation 40.6.
16
17 CFR 200.30–3(a)(12).
any impact or impose a burden on
competition.
(C) Clearing Agency’s Statement on
Comments on the Proposed Rule
Change Received From Members,
Participants or Others
Written comments on the proposed
rule change were not and are not
intended to be solicited with respect to
the proposed rule change and none have
been received.
III. Date of Effectiveness of the
Proposed Rule Change and Timing for
Commission Action
Pursuant to Section 19(b)(3)(A)(ii)
13
of the Act, and Rule 19b–4(f)(2)
thereunder,
14
the proposed rule change
is filed for immediate effectiveness as it
constitutes a change in fees charged to
OCC’s members. At any time within 60
days of the filing of the proposed rule
change, the Commission summarily may
temporarily suspend such rule change if
it appears to the Commission that such
action is necessary or appropriate in the
public interest, for the protection of
investors, or otherwise in furtherance of
the purposes of the Act. The proposal
shall not take effect until all regulatory
actions required with respect to the
proposal are completed.
15
IV. Solicitation of Comments
Interested persons are invited to
submit written data, views and
arguments concerning the foregoing,
including whether the proposed rule
change is consistent with the Act.
Comments may be submitted by any of
the following methods:
Electronic Comments
Use the Commission’s internet
comment form (http://www.sec.gov/
rules/sro.shtml); or
Send an email to rule-comments@
sec.gov. Please include File Number SR–
OCC–2021–012 on the subject line.
Paper Comments
Send paper comments in triplicate
to Vanessa Countryman, Secretary,
Securities and Exchange Commission,
100 F Street NE, Washington, DC
20549–1090.
All submissions should refer to File
Number SR–OCC–2021–012. This file
number should be included on the
subject line if email is used. To help the
Commission process and review your
comments more efficiently, please use
only one method. The Commission will
post all comments on the Commission’s
internet website (http://www.sec.gov/
rules/sro.shtml). Copies of the
submission, all subsequent
amendments, all written statements
with respect to the proposed rule
change that are filed with the
Commission, and all written
communications relating to the
proposed rule change between the
Commission and any person, other than
those that may be withheld from the
public in accordance with the
provisions of 5 U.S.C. 552, will be
available for website viewing and
printing in the Commission’s Public
Reference Room, 100 F Street NE,
Washington, DC 20549, on official
business days between the hours of
10:00 a.m. and 3:00 p.m. Copies of such
filing also will be available for
inspection and copying at the principal
office of OCC.
All comments received will be posted
without change. Persons submitting
comments are cautioned that we do not
redact or edit personal identifying
information from comment submissions.
You should submit only information
that you wish to make available
publicly. All submissions should refer
to File Number SR–OCC–2021–012 and
should be submitted on or before
December 15, 2021.
For the Commission, by the Division of
Trading and Markets, pursuant to delegated
authority.
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J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2021–25624 Filed 11–23–21; 8:45 am]
BILLING CODE 8011–01–P
SMALL BUSINESS ADMINISTRATION
[License No. 03/03–0283]
Conflicts of Interest Exemption;
Boathouse Capital III, L.P.
Notice is hereby given that Boathouse
Capital III, L.P., 353 W Lancaster
Avenue, Suite 200, Wayne, PA 19087, a
Federal Licensee under the Small
Business Investment Act of 1958, as
amended (‘‘the Act’’), in connection
with the financing of a small business
concern, has sought an exemption under
Section 312 of the Act and Section
107.730, Financings which Constitute
Conflicts of Interest of the Small
Business Administration (‘‘SBA’’) Rules
and Regulations (13 CFR 107.730).
Boathouse Capital III, L.P. is seeking a
written exemption from SBA for a
proposed financing to Splashlight
Holding, LLC, 75 Varick Street, 3rd
Floor, New York, NY 10013.
The financing is brought within the
purview of § 107.730(a) of the
Regulations because Splashlight
Holding, LLC. is an Associate of
Boathouse Capital III, L.P. because
Associate Boathouse Capital II, L.P.
owns a greater than ten percent interest
in Splashlight Holding, LLC, therefore
this transaction is considered Financing
which constitute conflicts of interest
requiring SBA’s prior written
exemption.
Notice is hereby given that any
interested person may submit written
comments on this transaction within
fifteen days of the date of this
publication to the Associate
Administrator, Office of Investment and
Innovation, U.S. Small Business
Administration, 409 Third Street SW,
Washington, DC 20416.
United States Small Business
Administration.
Bailey G. DeVries,
Associate Administrator, Office of Investment
and Innovation.
[FR Doc. 2021–25696 Filed 11–23–21; 8:45 am]
BILLING CODE P
SMALL BUSINESS ADMINISTRATION
[License No. 04/04–0333]
Notice Seeking Exemption Under
Section 312 of the Small Business
Investment Act, Conflicts of Interest;
Five Points Mezzanine Fund III, L.P.
Notice is hereby given that Five
Points Mezzanine Fund III, L.P., 101 N.
Cherry Street, Winston-Salem, NC
27101, a Federal Licensee under the
Small Business Investment Act of 1958,
as amended (‘‘the Act’’), in connection
with the financing of a small concern,
has sought an exemption under Section
312 of the Act and Section 107.730,
Financings which Constitute Conflicts
of Interest of the U.S. Small Business
Administration (‘‘SBA’’) Rules and
Regulations (13 CFR 107.730). Five
Points Mezzanine Fund III, L.P.
proposes to purchase its pro rata share
of a recent debt financing from BMO
Harris Bank, N.A. in Welcome Dairy
Holdings, LLC, 225567 Silver Maple
Lane, Colby, WI.
The financing is brought within the
purview of § 107.730(a) and (d) of the
Regulations because RCP Advisors, an
Associate of Five Points Mezzanine
Fund III, L.P., indirectly owns more
than ten percent of Welcome Dairy
Holdings, LLC, and therefore this
transaction is considered a financing of
an Associate requiring prior SBA
approval.
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