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UNITED STATES DISTRICT COURT SOUTHERN DISTRICT OF FLORIDA CASE NO. 16-CV-21301-GAYLES SECURITIES AND EXCHANGE COMMISSION, Plaintiff, v. ARIEL QUIROS, WILLIAM STENGER, JAY PEAK, INC., Q RESORTS, INC., JAY PEAK HOTEL SUITES L.P., JAY PEAK HOTEL SUITES PHASE II L.P., JAY PEAK MANAGEMENT, INC., JAY PEAK PENTHOUSE SUITES L.P., JAY PEAK GP SERVICES, INC., JAY PEAK GOLF AND MOUNTAIN SUITES L.P., JAY PEAK GP SERVICES GOLF, INC., JAY PEAK LODGE AND TOWNHOUSES L.P., JAY PEAK GP SERVICES LODGE, INC., JAY PEAK HOTEL SUITES STATESIDE L.P., JAY PEAK GP SERVICES STATESIDE, INC., JAY PEAK BIOMEDICAL RESEARCH PARK L.P., AnC BIO VERMONT GP SERVICES, LLC, Defendants, and JAY CONSTRUCTION MANAGEMENT, INC., GSI OF DADE COUNTY, INC., NORTH EAST CONTRACT SERVICES, INC., Q BURKE MOUNTAIN RESORT, LLC, Relief Defendants. / PLAINTIFF’S NOTICE OF DECLARATIONS AND EXHIBITS IN SUPPORT OF ITS OPPOSITION TO DEFENDANT ARIEL QUIROS’ EMERGENCY MOTION TO MODIFY THE ASSET FREEZE FOR THE HEARING SCHEDULED FOR APRIL 25, 2016 Plaintiff Securities and Exchange Commission hereby gives notices of declarations and exhibits in support of its opposition to Defendant Ariel Quiros’ Emergency Motion to Modify the
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Asset Freeze (“Quiros’ Motion to Modify Asset Freeze”) for the hearing scheduled for April 25, 2016 at 11:00 A.M. Ex. 2
Jay Peak Hotel Suites Stateside L.P. (Stateside Phase VI) Private Placement Memorandum 1
Ex. 3
Jay Peak Hotel Suites L.P. (Suites Phase I) Private Placement Memorandum
Ex. 4
Jay Peak Hotel Suites Phase II L.P. (Hotel Phase II) Private Placement Memorandum
Ex. 5
Jay Peak Penthouse Suites L.P. (Penthouse Phase III) Private Placement Memorandum
Ex. 6
Jay Peak Golf and Mountain Suites L.P. (Golf and Mountain Phase IV) Private Placement Memorandum
Ex. 7
Jay Peak Lodge and Townhouses L.P. (Lodge and Townhouses Phase V) Private Placement Memorandum
Ex. 10
Ariel Quiros’ Testimony Transcript Volume I
Ex. 11
Declaration of Michelle Lama
Ex. 12
Ariel Quiros’ Background Questionnaire
Ex. 13
Ariel Quiros’ Testimony Transcript Volume II
Ex. 20
William Stenger Testimony Transcript Volume II
Ex. 22
Declaration of Michael S. Pieciak
Ex. 30
Declaration of Mark Dee
Ex. 32
William Stenger Testimony Transcript Volume I
Ex. 42
Joel Burstein’s Testimony Transcript
Ex. 56
Jay Peak Biomedical Research Park (Biomedical Phase VII) PPM
1
The below exhibits numbered between 2 through 76 were filed as Exhibits to the Commission’s Emergency Ex Parte Motion and Memorandum of Law for Temporary Restraining Order, Asset Freeze, and Other Relief (“TRO Motion”) (DE 4) and were electronically filed as Exhibits to the Commission’s Notice of Electronically Filing Exhibits to SEC’s TRO Motion. [See DE 46]. 2
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Ex. 57
Jay Peak Biomedical Research Park (Phase VII Revised) PPM
Ex. 58
Declaration of Saint-Sauveur Valley Resorts, Inc.
Ex. 59
February 6, 2009 Credit Agreement
Ex. 60
October 1, 2010 Credit Agreement
Ex. 61
February 10, 2011 Credit Agreement
Ex. 62
August 25, 2011 Credit Agreement
Ex. 63
February 28, 2012 Credit Agreement
Ex. 64
August 5, 2013 Credit Agreement
Ex. 66
Report of Jan Jindra, Ph.D.
Ex. 68
Land Appraisal
Ex. 69
Purchase and Sale Agreement Between GSI and Biomedical Phase VII
Ex. 70
Purchase by GSI
Ex. 71
JCM invoices
Ex. 72
JCM Business Deposit Account Application to Citibank
Ex. 76
Declaration of Gregory W. MacCordy
Ex. 89
Updated Declaration of Mark Dee, attached hereto.
Ex. 90
Declaration of Michael Goldberg, attached as Exhibit A to the SEC’s Response to Quiros’ Motion to Continue Preliminary Injunction Hearing (DE 50)
Ex. 91
Declaration of Michael Goldberg, attached as Exhibit A to the SEC’s Response to Quiros’ Motion to Modify Asset Freeze (DE 64)
Ex. 92
Declaration of Richard Berkowitz, attached as Exhibit B to the SEC’s Response to Quiros’ Motion to Modify Asset Freeze (DE64)
Ex. 93
Declaration of Robert K. Levenson, attached as Exhibit C to the SEC’s Response to Quiros’ Motion to Modify Asset Freeze (DE 64)
Ex. 94
Sources and Uses of Funds for Phases I through VII, attached hereto Respectfully submitted, 3
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April 25, 2016
By:s/ Christopher E. Martin Christopher E. Martin, Esq. Senior Trial Counsel SD Fla. Bar No. A5500747 Direct Dial: (305) 982-6386 Email:
[email protected] By: s/Robert K. Levenson__ Robert K. Levenson, Esq. Senior Trial Counsel Florida Bar No. 0089771 Direct Dial: (305) 982-6341 Email:
[email protected] Attorneys for Plaintiff SECURITIES AND EXCHANGE COMMISSION 801 Brickell Avenue, Suite 1800 Miami, Florida 33131 Telephone: (305) 982-6300 Facsimile: (305) 536-4154 CERTIFICATE OF SERVICE
I HEREBY CERTIFY that on April 25, 2016, I electronically filed the foregoing document with the Clerk of the Court using CM/ECF. I also certify that the foregoing document is being served this day on all counsel of record or pro se parties identified on the attached Service List in the manner specified, either via transmission of Notices of Electronic Filing generated by CM/ECF or in some other authorized manner for those counsel or parties who are not authorized to receive electronically Notices of Electronic Filing. s/Christopher E. Martin Christopher E. Martin, Esq.
4
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SERVICE LIST SEC v. Ariel Quiros, et al. Case No. 16-CV-21301-GAYLES Jonathan S. Robbins, Esq. AKERMAN LLP Las Olas Centre II, Suite 1600 350 East Las Olas Blvd. Fort Lauderdale, FL 33301-2229 Telephone: (954) 463-2700 Facsimile: (954) 463-2224 Email:
[email protected] Counsel for Court-appointed Receiver Naim S. Surgeon, Esq. AKERNIAN LLP Three Brickell City Centre 98 Southeast Seventh St., Suite 1100 Miami, Florida 33131 Telephone: (305) 374-5600 Facsimile: (305) 349-4654 Email:
[email protected] Counsel for Court-appointed Receiver
Charles Lichtman, Esq. Pamela C. Marsh, Esq. Nicole L. Levy, Esq. BERGER SINGERMAN LLP 350 E Las Olas Blvd. Suite 1000 Fort Lauderdale, FL 33301-4215 Phone: 954-525-9900 Direct line (954) 712- 5138 Fax: 954-523-2872 Email:
[email protected] Email:
[email protected] Email:
[email protected] Attorneys for Defendant Ariel Quiros Roberto Martinez, Esq. Stephanie Anne Casey, Esq. Colson Hicks Eidson 255 Alhambra Circle, Penthouse Coral Gables, FL 33134 Telephone: (305) 476-7400 Email:
[email protected] 5
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Email:
[email protected] Counsel for Defendant William Stenger
6
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Case 1:16-cv-21301-DPG Document 66-6 Entered on FLSD Docket 04/25/2016 Page 1 of 61 Print
Page l of4
01/12/2'012 10: a5 FA%
802 652 6137
Pe~pl Se U p~ Legal Name of Business (the "Depositor")
Peoples Unite@ Bank
-~ DOC-VIEW
f~ 001/0
6USINESS DFPOSl7'ACGOUNT CERTIFIED RESQLUTIO Jay Peak Hotel Suites Stateside Lp
Limited Partnership
Trade Names of Deposkar, if Any i.e. Do1n Business AS Primary Address of Depositor 4850 Vt Rt 242 Jay VT 05859 of Le al Entlt T Owner, President, Chairperson, General Partner, Authorized OtOcer, Manaping Member or Principal 3 eci Name & Tllla Account Number
Limited Par►nershi 1,, ~ ~ ~~pl~ //1~~~ r1v w ~ ~~` `J y I,G~~ ~P~~l fit. 72g
The Certified Resolutions that appear in this document have been duly adopted by the owners)or the govemirtg body of the DeF whose identifying information appears above and which the signors below certify as correct When the phrase 'Deposit Accounts' aF in these Resolutions, it means arty or all of the following People's Unfted Bank deposit accounts: People's Unked Bus!ness Chi Accounts, People's United Business Savings Accounts, People's United Business Money Market Accounts, and People's Commercial Certificates of Deposit or any addltbnal accounts which may be established In the future. When the phrase `De~osit Services'appears in these Resolufions, it means Ute fallowing People's United Bank deposit services: Pe United MasterMoney BuslnessCard, People's Unfted Business ATM Card, Telephone Banking, and Online Banking, or any add service which may ba requested. The Certfied Resolutions authorize and direct the Depositor:()) to establish the Ou~CSit Accounts with People's United Bank and to the OeposK Scirvices from People's United Bank; and (ii) to enter into antl to be bound dy the People's United Bank Business D Account Contract Cncluding the People's UNted dank Business Schedule of Deposit Account Charges), In Ita cuRant forth and ask rt modfied from time to time,(the'Buslness Deposit Account Conhact"). People's tJntted Bank will open aril maintain the Deposfl Aa and provide It~e Deposit Services for the Depositor In reliance on these Cettlfled Resolutions.
AuthorizaUon of DenosltAccounts at People's United Bank RESOLVED, That People's UnRed Bank, an FDIC Insured deposflory inalitutbn headquartered in Bridgeport, Connecticul, be, hereby Is, designated a depository of lands of the Depositor, with authority to accept at any time for the credit of the Depositor depo the Deposit Accounts by any person or entity ceeWng to make such deposit and In whatever manner such deposit is endorsee unendorsed; and
RESOLVED, That tho DeposHor be, and ft hereby is, authorized and directed to enter Into and to be bound by the Business D Account Contract and that all of the Deposit Hccounb and Deposit Services shall be aub~ect to each Business Deposit Account Col as modified from Umo to Ume end Deposftor waives its right to jury trial in any action arising out of or connected with any acco service; end Ruthor/zed Slaners. RESOLVED,Thal exh of the following named Individuals, or persons from Ume to tlme holding the following o~ces of the Deposik and each hereby b, designated as an Authorized Signer to act on behalf of the Depositor In accordance with these Certified Resol (fill in names and titles of individuals); and
COMZ00 V6 11/2009
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SEC-PUB-P-0001607
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01/12/2012 10:37 FAX
802 S52 6137
Peoples UniCed Rxnk
-~ DOC-VIEW
X002/0
Use of Qgaoslt Accounts RESOLVED,That People's United Bank be, and Il hereby is, authorized and directed ro certify, pay, or otherwise honor ail checks, nolas, b11s of exchange, acceptances, and other fnatruments (collectNely,'Instruments') or orders for the payment, transfer, or withc of money, Including electronic orders or transfers, for whatever purpose and to whomsoever payable when such InsWments andfor i ero made,signed, or endorsed by the slgnalure,the facsimile or specimen signature (actual or purported), or ttie oral direction of and of the Authorized Signers, Including payments andlor transfers to any one or more Authorized Signors and even If such payment,tr of withdrawal will create or Increase an overdrari In the account on which k Is drawn, although any such payment shall be parmiHed solo discretion of People's United Bank; and RE50LVED, That each Authar¢ed Signer be, end hereby is, individually authorized on behalf of the Depositor to open and clo: Deposit Acwunts, to apply for and to obtain any services related to ihwse accounts (including the Deposit Services), to update intorr on any Deposit Account, and to endorse, negotiate, end collect any and ell tnshuments; and RESOLVED,That each Authorized Signer be, and hereby Is, indlvkivally authorized on behatt of the Depositor tD instruct, orally of b) othcx means as People's United Bank may make available to the Depositor, People's United Bank to initiate the bansfar of(ands be' any Deposes Account and any other DeposltAccount;and RESOLVEb, That People's Unfted Bank may rely on tfie signature, endorsement, order, facsimile signature, specimen signature, c instructlon reasonably bal~eved by People's United Bank oo tie made by any ONE Authorized Signer, and that ?eople's United Banl act on any dlrectlon of any ONE AWiorfzed Signer Without inquiry and.without regard to the application of the proceeds thereot, prC that People's United Bank acts In good faith; and RESOLVED,That th6 Depositor hereby acknowledges that People's United Bank will assign the Depositor a Business Personal SE Number andlor e Business Identification Number that any Authorized Signer will bo aWe to use to access one or more of the D Accrounte via telephone, on the Internet,or through the use ote Business Card, I(auch a Card is issued to the Deposilo~; and RESOLI/ED, That, i(the Depositor ~eceNes a Business ATM Card or MasterMoneyTM Bus(nessCard, the beposltor hereby authorize: Authorized Signer to receive his or her own unique Personal tdendfloaUon Numher that will enable that Authorized Signer to tfili; Depositors Business ATM card or MasterMoney'" BusinessCard to access some or all of the Qeposlt Accbunls on behalf of tt~e Dep and Miscellaneous ResoluUorts RESOLVED, That People's United Bank shall not ba liable to eonnecNon wiih 1ho collection of Instruments and/or orders that are h~ by People's United Bank wit}aut gross negligence, and People's Unked Bank shall not be liable for the acts or tailuru to act of its age subagents, any networks, clearing houses, or other Interchanges or devices used, or For any other casualty; and RESOLVED, Thal the Depositor assumes full responsibility for and shall Indemni/y People's United Bank against all losses. Ilablllt(es, and claims resuking from payments, withdrawals, transfers, or orders made or purported to ba made in accordance with, o actlons taken In good faith and in reliance upon, these Resolutions; and RESOLVED,That the Depositor shall notify People's United Bank promptly and in wrltlng of any change in (a) these ResoluBons; identity of the Authored Signers; (c) the identity of persons auU~orized to obtain and use a Business ATM Card;(d) the identity persons authorized to use a MasterMOneyTM BusinessCard on behalf of the Depositor, (e) the ownership of the DepoaWr, or 1 Deposkor's legal structurA or status, Including the Depositors dlscolution or banlwplcy; and RESOLVED, That People's Unitad Bank may rely on these Cartifled Resolutbns end on any ceAlflcation by any ONE Authorized Sign authorized representative of lha DeposRar as to the names and signatures of the AuUwrized Signers of the Depositor unL1 People's l Bank has actually received written notice, facsimile or otherwise; of a change and has had a reasonable period of Ume to ad on noflce; end RESOLVED, That each of the persons listed at the end of the Cerlitled Resolutlons as a signer of the Certified Resolutions be, and hereby is, designated a duly authorized representative of Depositor for all matters related to these Certified Resol~~tions, includir execution of this document an behalf of the Depositor, and the ceNflcation to People's United Bank (a) at the name, office (ff any; signature of each of the Authored Signers,(b} that the Resotulions set forth herein have been adopted In accordance with ell appl governing dowments, ~hlyd party agreements, and laws applicable to the Depositor, and (c) o(ali other matters to bo cert(fled herein.
Ce►iiflcaUons Each individual who signs this document hereby certifies and wartants fo People's United Bank that: (a) The Resolutions set forth herein: Q) have been property adopted by the Deposkor in accordance and confortnriy wi Depositor's governing documents, all agroements with third parties, and all laws applicable b the De{wsttor, (11) hey been modeled or rescinded; end iii)era in full force end effect and binding on the Depositor. (b) Ho or she Is the duly authorized representative of the Depositor, authored to act on behalf of the Depositor in ail m pertaining to Ks rights, responsibilities, and activities h connection with these Certified ReSONtions Including but not Ilmi executing This dxument on behalf of the DeposHor; (c) The DeposRor Is dulyorganized and in peed standrr~g In the jurisdiction in which h is organized; (d) A current and complete copy of the Depositors organizational docurneni (for example, its certificate of incorporate erticles of organization, its par6~ership agreement, its charter, or other similar document) has been provided hereH People's United Bank. 5ofe proprietorships are not required to suhmit an organizaUonat document; (e) If the Depositor is a cArporeUon owned by one shareholder, the undersigned certifies to Peoples United Bank chat het: the sole shareholder and officer ofsuch corporation; (~ I(a trade name Is used 6y Depositor, the undersigned certifies that a duly certified Trade Name or Doing Buslna Certificate or the equivalent has been delivered to People's United Bank; Pwplc's United Henk Bus'vuss Ihpoait Account Certified Roeoladen(COM200 V612/2009) BridgeportCrnkc•$SOMeinStreet'Br{dgepat,CT 06604-•1913 Page Z of S Mcmbcr FDIC
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01/12/2012 10:37 FA%
802 652 6137
Peoples United Bank
~ DOC-VIEW
fm003/0
(g) If the Depositor is a limited liability company or parfiership, the undersigned are aH of Its members, managers, or panne the case mey be; (h) He or she understands that People's Llnitod Benk will rely on the tnrth of these ceRificallons in conducting business m Doposilor, (i) Ii ►he Depositor, or any one individual listed as an authorized algnar, should direct People's Untted Bnnk to preauthorized lranafere, to combine or to efectronicelly delNer axount statements, or to establish an Intomet b: relationship Including the deslc~nation of an internal admfnistralo~ That pn entlUe other Individuals (vrho may or may i signers) to view and have access to any and all accounts granted fhe right by People's United Bank at Its sole dlscreBc Depositor her6by agrees to be subJect to the terms end conditions of the BDAC, the Business Deposit Account Schoc Charges, the Business Electronic Banking Agreement, and any other agreem9nts, as updated, with People's United that appy to the deposlto~s accounts now or In the futuro; (j) The Depositor {and any current or future authorized signatories or otherwise designated individuals) hereby certifies does not, nor will it ever engage In restrided transactions, such as intemet gambling. Such transactlons are prohibltac being processed into or out of the Depositors accounts) or refatanship via any means, including but not limited to chi check collection systems,.electronlc money Vanamisslon, card-based bansacUons {ATM or MastorMonoyn" 9usiness~ ACH (Automated Clearing House), ~ro Trensfers, or third•party processors; and (k) Each signature bebw represents the true and accurete signature of the named peJSOn and that such person holc corcasp~ndtng tltie Qf anY);
Pcoplc's Uniu~ Den{c Busines+ Deposit AccountCertified Rcsolution(COM200 V617J2009) Bridgapmt Crnkr•830 M~In Street •Bridgeport, C7' 06604-4913 Pugs 3 of 5 Member FDIC
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802 652 6137
Peoples United Dank
~ DOC-VIEf4
f~}004/0
IN WITNESS WHEREOF, i/we have signed these Certified Resolutions on the /~~day of~~iyu,,c,~r/ 20 ~7! - -~- — •
A Business Awned by Onty One Person: N fho Depositor Is owned by only one person, this document mustbe signed by tAe mHner. In the cos a corporatlon that b owned by only ono shareholder, IhL~ daument must ba signed by the president o(tho carporatbn.
•
Partnership: If Una Depc~siWr Is a partnersfiip, this doament must be signatl by all of Iho Aanerel paAners of the Dep0.51tor, Thls Indudt business ovmed ~oinlly by a husband and wile. Limited lJabllily Company. ~f Ne Depositor Is a limited liability tympany vAlh more than one member, this document must be signed by each of members of Ne Depositor. If the Deposimr is operated by one or more manaper(s), this document may be signed by each of the manapera ra
•
U~an it~e member(s).
Limited Uablllty Parhwrshlp: If the Depositor Is a limited liability pa~fnershlp with mare Than ono partner, this document must De signed by sad tie partners of.lhe Deposibr. IS the Depasilor Is operated by one a more manager(s), ibis documont may bo sroned by each of the manag rather than the partner(s). ~
~ •
Corporation Ovmra by More ttian One Shareholder N Ne Deposlta is a uxporatlon tl~at is owned by more than ono shareholder, N!s doain must bo signed by Ufo president of Me corporeUon. il'ihe.presldent of lAa corporadon is also an Autliorized Signer plated above), at least
addttlonal person mustalsos'~gn this document Corporaeon Owned by One Sharehdder. IF Iha Depositor Is a corpomlbn that fs owned by one shareholder, Ibis document mwt be signed by presklent.
01her Entlty. If the Depositor is an entity not listed above, Ibis dowment must be signed by.a person a persons auMorized by the 0oveininp D of Uie Depositor In do so~(one of the persons sl8ning this document Is also an /Wthalzed Slgnar QlsOee above), at leazt one additional Der mustalsaslentldsdocu enL
IF ANY P R ON S1G THAT P S N'S SI
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TNIS DOCUME OUTSIDE OF 7NE PRESENCE OF A PEOPLE'S UNITED BANK REPRESENTA R NOTARIZED. Notary Acknowledgomont (Notary Is n d only ttform is not slynod beforo a Poople'a Unked employ State of ~P.~Iltia'~~ 1
Printed Neme
County of
0W NCrI~ T7Ue
On the ~~ day of~ 20~2 before me, i1~e ~undersigned, Notary Publk(nand for sold St e, personalty appe~rad•lA,~~ (~~.u~..5~~ta~ personallykrtown tome or proved tome on the.bn~sofs~GstaCto~ , evidence to be the lndivlduaf whose nome 1S Sutr~jFpa~!athl~Wi~filr~ Insbumonf end acknowledged fo me fgef he~si~tr`~(eciJt~d I/~e",a;fse'(p his/hercepacit};end thatbyhiyherslgneture;W~'the~~ oUv~,ant;/l~t !ndlNdual, or the person upon behel(of whom !1?e !n~lC~aLactec; x3cul the InstnrmanL ..~ ' __ ~~ ~- ~ ~^.~ 57 A`1P ~
Signature of People's United Bank Witness Printed Name of People's United Bank tartness
Notary Publiq SYefe`cf~
People's Unlud &nk Dusinus Deposit AccountCertified Resolution(COM200 V6 1712009) 9ridgeport Curter• B50 Main Street' Bridgeport,GT 06604 4913 Page 4 of5 Member FDIC
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Cash Management Checking
Jake Webster Steve Wright
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Jay Peak Flotel 3ukes Stateside LG•
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Name !: Jay peak Hotel Sultea ShCeside Lp Refatlonsnlp: L,Imited Partnership Address: T1N (CartificaUon Required):~3826 4850 Vt Rt 242 DOB: J VT 05859 Name 2: N111I~amJ Stenger T1N: X1451 Relerionship:Owner DOB: X1948 Address: Po Box 1292 liawpat YT 058555292 Name 3: George A Gufisano ~25T4 TlN: RefaWnship:g{grter Address: DOB: X1981 4850 Vt Rt242 Ja VT 05859
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A:a duly auYaritrl:eprexntafrve d Ne Dcs/ne~s NerRr7ied abode and spaekiag on nahaN d Uro bushress,f cerN:y, undrJ pnnaR;as o'p.-gory tne((1J the~numbershawn ar tlrs 4irm B mycoma taxJsyerdent/ncstbn numtarentl(Fj(a)f em rrof wblecl to banrup wlthhofdlny~tr the reason cnecird Dabw,or(b)IAave rrot Dean naefied eyme lrtfemal Revenue SeMCe(lRSJ mat!em srbfert to backup wirhnokMg as a rewft ofe ferRrra b repataU Mertst or dM~mds, or(c)the 1R£ ns,:nrt~ed m^ tho!I am no fonger.wbJeC to ceUiup wA.hhoroc~g, srrd (31 ~ am a U.S.~s~wa !GKJuding e L.S. resiJOM elren7. Yu~ mus!sass aut ism s abora 8 ~av8 OeBn xotifled Dyfie fRSthat you :ie curren7fy:u6Jed to SacXUa ~ wi17~1~Wd1ny Dtraum ywiS (elbd to rayprt aF intefesf 8nd tlMCen~s m your[er re5rm. ~ i am exempt fiom backv !ding because i err, an:(c:~+edc one it applicable): ~ . amptPa /Jon-RasidertfAllen -
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4SSU Vt Rt T42 J VT 05859 N~ 5' StevetYrlght Reletknshlp Signer AdOress 86 Appb Tree Ln N rt VT 05855 I Nertre G: Reletianship Address
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J2JI YT 05859 ~Lhe following exeepSon conditbn a:(sts pn this aor ounl:
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8ysf~ess Oumer aed Alifhaized Slurre~tnforma8on_ 77re ownerof!!re Auslness eaount, whose T1N 1s certllled below Is en owner, msnaglrg member,generalpartrier, authorized of~ioer or prindpe!ofthe business and art erAhorized s/gner ort fhe axount pwsuant!o th legaldocuments svbmltleQ fo People's United Bank 8y designaSng eperson as e signor belox; owner(s)s ~spresenLS end werra~s to fo aC ar behaX of~s Atulrress with respect fo the eccounL PeopJa's United Bank the parson has the au By slgnrng this signahue card IMF ree tAat here received ecopy o/the Business DeposltAccounf ContraeC Business Schedule of Depad[Amount Charges and Business AmountSehedufe oflMerasf and agree to the forms and ns conlal /n as Nta maybe rfiedIrom Sme to flme. lhve and wA!egiea fo xaive our nigh! to a bia! byjury in any kga!action, proceeding or pounfarcleuns a/ising fir ovf ofor in connaetion x~ fhe a u L By a eh x e(ow, you auNarize People's Unifed(u order an ATM Card or M rMOney DedT Card on yourbehatffor this aaouret.
ACCOUtTt Title: Jay Peak Hotal Suites Stateside Lp WEI(lam J Stenger George A Gulisano
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Case 1:16-cv-21301-DPG Document 66-6 Entered on FLSD Docket 04/25/2016 Page 5 of 61
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Account Title: day Peak Biomedical Research Park ~ William J Stenger
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CER77FlCATION OF TAXPAYER IDEl1TlF1CATION NUMBER asa d~yaun o~tiad lep~eseniac.,e olrns d,~s~nrixea aeo„a andapesu„y on Danes~u,e nus;aess, l cerffry. unbar paneltiu dpc~ury shat(t)the number sAownon tlWf!s my correct fupeyerldenOYiaDOn number rend(2)(sJ 1 am not su6jed fo backup uiMhold/ng for the raison d»chep bepw, orf6)f have not been no711fed bytl~9lnlemaf Rooenue $grvtpp(!RS) that1 am subject to baGaip wil~holdiny es~ resulLOl~ k))ure fo ~epwf ey Jntemr!ordridslMa, w(c)tree SRS n:s roL'!hd me Ihat 1 am m bngersuDJccf ro 8achq wiftNOl~~y, snd(3J!am a.U.S petsoa(InUuSu+p a t1.5. leslUenr eGen). You mtrsf etws oul flan 2~bove f/yo+r ASre Eeen mlMedby MelRS thal}rou era cunantysuDfed fo 6ad~up wdNwl~nG becaus Y~+Mve hlfed to report eXintaeat and dhida~ m yoyrhx ralvin !am temptBorn a p wRblwfdngbecause 1 am an:(Check one Happ/kabfe):
Name 6: ReleGoflsMp AG7ress:
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Name 4: RefeflansNp
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8uslness Ownerand Authorized Slaner lnlormeflon_ 7T~e aivne~oflAe bustnass accoun4 whose TllJ Is ceftified bebw is an owner, menaghg member, gexrafperlrter, auttrorized ollrcer w prindpa!ofthe business and an eulhortreds/gnerm the accountputsuant fo fie lays!tlocumenfs sudnitted to People's.UnifedBank. By designating a person as a sgnerbalaw, ownu{s)s represents and warrants fo People's Untied Bank the person Aa the aWwrify to act on behalf olfhe Lusinrss w,Yh iaspectto the account Bys7gning Nis signature eartl LWe at 1/we t+ava reeefvede eopy o/tie Business DeposdAccourjt Cont~aef, Business Schedule ofDeRosit Account Charges and Business Accormt Schaduta oflnfaresl and agree W the toms n cored' reed tneieirt as they maybe modTed from tlma fo lima. lAve and w!N agree to waive ow fight lv a Mal byJury M any le9eJ actlan, Drocaeduig orcaunfeiclaims arhing g out of of In connec8o wit fie s un yse i~e M$✓ATM MerkDOx Oelow, you aulnonYe People's Unitee la arler an ATM CaM aftdlof MasterMoney Debit Car[} on your behalffw fhis account.
SignaYura 2
Signature 3
Po Box 5292 NewpoR YT 058555292.
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Jay Peak Biomedical Rasaarch Park William J Stenger
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Name 1: Jay Peak Biomedical Research Park Rele6arishlp: L{mlted Partnership ~ ~ Addmss: 485D Vt Rt 242 7[N (CertiGCation Requited}: ~q08 Ja VT 03859 DO& Name 2: ~ W7{llam J Stenger Releticnshlp: p~e~ , TtN: 51451 AUtlress: D08: ~ X1948
Name 3: RelaLonahip: Address,
Accau~ Mailing Address:
Employee
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PAx 1 802 334 57.03 Peoples United Bank ~~- Doc View
BJOO1100E
~~ G PeoplesUn►ted ~..~_-MBank
Legal Name of Buslriess {the "Depositor') Trade Names of Depositor,IfAny I.e. Doln Business As Primary.Address of Depositor
7 e of L al Enti Owner,President, Chairperson, General .Partrier, Authorized OKCer,Managing Member or Pdncipat 5 eci Name &Title Account Number
,BUSINESS DEPOSIT ACCOUNT CERTIFIED RESOLUTIONS
Jay Psek biomedical Research Park
Limited Partnership
4850 VT Route 242 Jay, Vl 05859' Limited PaAne~ship it lam J Senge~. President
X6739
The Certified Reeoiutions that appear in this document have been duly adopted by the owners) or the goveming body of the OeposRor whose identifying tnformallon appears above end whkh the signers below.certify as correct YJhen the phrase 'DepositAccounls' appears In These Resolutions, it means any or all of the following People's United Bank deposit apcounts: People's UniSed Business Checking Accounts, People's United Business Sevings Aceaunb, People's United Business Money Market Accavnls, and People's Unked Commercial Certificates of Deposit or any additional accounts which may be established In the future. When the phrase'Deposit Services" appears in these Resolutions, It means the following People's Unked Bank deposit services: People's United MasterMoney"' BueinessCard, People's United Business ATM.Card, Telephone Banking, and Online Banking, or any additional ~ service which may De requested. The Certified Resolutions authorize and dired fhe Depositor: (i) to establish the Deposit Accounts witl~ People's United Bank and to obtain the Deposit Services from People's United Bank and (ii) to enter Inca end to'De bound by the People's United Bank Business Deposit Account Conirad (including the Peopla's United Bank business Schedule of Depask Account Charges), in its current form and as i! may be modified from time to Ifine (the"Business Deposit Account Contract'?. People's United Bank will open and maintain the Deposit Accounts and provide the. Deposit Services for the Oeposttof in reliance on these CeAified Resolutions. Authorization of Deposit Accounts at Peales United Sank RESOLVED, That People's United Bank, an FDIC Insured deposkory tristitullon headquartered fn Bridgeport, Connect)cuf, be, and i1 hereby Is, designated a deposkory of funds of the Depositor, with authority to accept et any tmie for the credit of the Depositor doposits in the Deposit Accounts by any person or entity seeking to make such deposit and in whatever manner such deposit Is endorsed or if unendorsed; and i RESOLVED, That the Depositor be, end it. hereby is, authorized and direGed to enter into and to be bound by the Business Deposit Account Gonlrad and that ell of thv Deposit_ Accounts and Deposit Services shall be suDjeU to such Business Deposit Account Conlred, as modified from 11me to Time end Deposllor wolves Its tight fo jury hial in any oction arising out of or connaetad with any account a ~ service; and Authorized Signers RESOLVED, That each of the fallowing ~emed individuals, or persons from time to time holding the following offices o1 the Depositor, be, and each hereby Is„designated as an Aulhphzed Signer to act on behalf of the Depositor in•acwrdance with these Certified Resoiulions (fill In names and tilles.o(individualsl~ and William
COM200 V6 l?12W9
http://infostornx/ViewStarWebServiceC]ient/DocumentViewHandler.ashx?req=die&tvp=...
6/14/20l3
SEC-PUB-P-0001587
Case 1:16-cv-21301-DPG Document 66-6 Entered on FLSD Docket 04/25/2016 Page 8 of 61 Print
Page 2 of 4
01/04/2013 FRY 13:49
FA7t 1 802 334 5103 Peoples United Bank ~~~ Doc View
IN WITNESS WHEREOF, Ilwe have signed these Certified Resolutlons on the _day of
X002/009
, 20_,_„
A Business Owned by Only One Person: If the Deposllor le owned Ly only one person,Ihls document must De slgnetl ny the owner. In Ine case of e corporatlon Thal 1e owned by only orro shareho{dar, lhls document must be signed by the prt+sMenl o(lhe corporation. Par6nership: K the Depnsltor fs a parfiershlp, Ihls tlawment must be signed by all of the general paAnera of the Depositor. ihts Ind~des a business omied Jolnty by a husband and wile. Llmitetl Llebiliry Company: ~ the Depositor Is a Ilmltad iieblliry company wllh more than one member, Ihfs dowment must be signed by each of the .members of the Deposhor. It the Depositor Is operelea by one or mare rnanager(s), This aowment may be signed by each of the managors rather Ihan the mem6er~s]. Umfled LlaClpty Parlrl8tshlD: If the DBpasllor (s a Amiled liablffty Darfiership wllh more Ihan ana partner,this dowment must De slgned,by each of the partners of Ne Depositor.. tf the Depositor Is opera~ee by ono a mare manager(s), tNs tloament may bn slgnad by each of the managers, rather than the partnerO. Coryoratfon ~wnad by More Ihen One Shareholder. Il the Deposflor Is a coryoraGon Ihal Is owned oy rnore ihen one sharohoMer, Ibis tlowment must be Wgned by the presldenl of the corporollon. II the presldenl of Uw corporation Is also an AutAorize0 Signer (Ilcied e6ow~~at least one addltlonal peroon must also s18o Ib~e doeumenl. ~ Coryo~etlo~ Oxnetl by One Sha~eholde~ If the OeposRor Is a corpatellon that is avned by one shareholder, Ihls dowment must ba sl9ned by the president: Othor Entity: If the Oeposflor h en enllry not listed aGOVe, Oil9 tlOCUrti2~t must DB Slglted by 3 person of pe75a115 dulho~lzatl 6y NB governing body of lha~Dapoaflo~ to do so. If one of the persona algning Ihis document Is also an AuthoNZed Signer (listed above), of least one atldllionel person muri also slartthli.documenl. IF ANI~'P~RSOt~~IG~15 TFi15
CUMENT OUTSIDE OF T}IE PRESENCE OF A PEOPLE'S UNt'TED BANK REPRESENTA7NE,
~ Signal r,1
~~ i ll Punted Nama
(Notary is neetlo onry Il form Is not signed 6efom a Peoplo's United employee)
(~ •J
State or
~jLvu_E~t~~
County of
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RX
'T,QSL~~,t;~,` CG(~ rpe Signature of People's United Bank Witness Printed Name of People's United Bank Witness
_
1 ass.: 1
On the~~~ dayol ~L~. 2d%~ before me, Ih undorsigngd,a NotaryPubUc In and forsaid State, personaly appeared r ~ nl.t.S ICP personally known to me or proved to me on the basis ofseUslaclory evidence to. be the individual whose name Is su6scdbed to the within . Insfnrment and acknowledged fo me that he/she executed the same in hlsRier capacity, and that by his/hersignature on the instivment, the indlvidusl, or the person upon Dehalf of whom the individual aUed,~.executed iho instrument ,.;
Note Publk, State of
People's Untied Benk Burincs: Deposit AccaunlCenified Resolmion (COM240 Y6 12/2009) HridgeponCentor~85DMeinSveet•Bridgepon,Cf 066044913 Page 4 of S M 10 years
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