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As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 3/30/21 Atel 15, LLC 10-K 12/31/20 69:6.2M Toppan Merrill Bridge/FA |
Document/Exhibit Description Pages Size
1: 10-K Annual Report HTML 557K
2: EX-4.1 Instrument Defining the Rights of Security Holders HTML 23K
3: EX-14.1 Code of Ethics HTML 28K
4: EX-31.1 Certification -- §302 - SOA'02 HTML 27K
5: EX-31.2 Certification -- §302 - SOA'02 HTML 27K
6: EX-32.1 Certification -- §906 - SOA'02 HTML 23K
7: EX-32.2 Certification -- §906 - SOA'02 HTML 23K
14: R1 Document and Entity Information HTML 55K
15: R2 Balance Sheets HTML 68K
16: R3 Statements of Operations HTML 86K
17: R4 Statements of Changes in Members' Capital HTML 36K
18: R5 Statements of Changes in Members' Capital HTML 22K
(Parenthetical)
19: R6 Statements of Cash Flows HTML 105K
20: R7 Organization and Limited Liability Company Matters HTML 27K
21: R8 Summary of Significant Accounting Policies HTML 85K
22: R9 Concentration of Credit Risk and Major Customers HTML 57K
23: R10 Notes Receivable, Net HTML 22K
24: R11 Equipment Under Operating Leases, Net HTML 155K
25: R12 Allowance for Credit Losses HTML 57K
26: R13 Related Party Transactions HTML 38K
27: R14 Non-Recourse Debt HTML 48K
28: R15 Borrowing Facilities HTML 22K
29: R16 Commitments HTML 23K
30: R17 Guarantees HTML 23K
31: R18 Members' Capital HTML 38K
32: R19 Fair Value Measurements HTML 270K
33: R20 Global Health Emergency HTML 23K
34: R21 Summary of Significant Accounting Policies HTML 117K
(Policy)
35: R22 Summary of Significant Accounting Policies HTML 61K
(Tables)
36: R23 Concentration of Credit Risk and Major Customers HTML 59K
(Tables)
37: R24 Equipment Under Operating Leases, Net (Tables) HTML 158K
38: R25 Allowance for Credit Losses (Tables) HTML 57K
39: R26 Related Party Transactions (Tables) HTML 35K
40: R27 Non-Recourse Debt (Tables) HTML 45K
41: R28 Members' Capital (Tables) HTML 36K
42: R29 Fair Value Measurements (Tables) HTML 271K
43: R30 Organization and Limited Liability Company Matters HTML 54K
(Narrative) (Details)
44: R31 Summary of Significant Accounting Policies HTML 67K
(Narrative) (Details)
45: R32 Summary of Significant Accounting Policies HTML 26K
(Schedule of Differences Between Book Value and
Tax Basis of Net Assets) (Details)
46: R33 Summary of Significant Accounting Policies HTML 36K
(Reconciliation of Net Income (Loss) Reported in
Financial Statements and Federal Tax Return)
(Details)
47: R34 Concentration of Credit Risk and Major Customers HTML 43K
(Schedule of Leasing and Lending Revenues)
(Details)
48: R35 Equipment Under Operating Leases, Net (Narrative) HTML 35K
(Details)
49: R36 Equipment Under Operating Leases, Net (Investment HTML 35K
in Leases) (Details)
50: R37 Equipment Under Operating Leases, Net (Property on HTML 52K
Operating Leases) (Details)
51: R38 Equipment Under Operating Leases, Net (Future HTML 33K
Minimum Lease Payments Receivable) (Details)
52: R39 Equipment Under Operating Leases, Net (Schedule of HTML 45K
Useful Lives of Lease Assets) (Details)
53: R40 Allowance for Credit Losses (Activity in Allowance HTML 33K
for Doubtful Accounts) (Details)
54: R41 Related Party Transactions (Managing Member and/or HTML 26K
Affiliates Earned Commissions and Billed for
Reimbursements Pursuant to Operating Agreement)
(Details)
55: R42 Non-Recourse Debt (Narrative) (Details) HTML 36K
56: R43 Non-Recourse Debt (Future Minimum Payments of HTML 55K
Non-Recourse Debt) (Details)
57: R44 Borrowing Facilities (Narrative) (Details) HTML 22K
58: R45 Commitments (Narrative) (Details) HTML 21K
59: R46 Members' Capital (Narrative) (Details) HTML 44K
60: R47 Members' Capital (Distributions to Other Members) HTML 28K
(Details)
61: R48 Fair Value Measurements (Narrative) (Details) HTML 24K
62: R49 Fair Value Measurements (Fair Value, Warrants HTML 27K
Measured on Recurring Basis) (Details)
63: R50 Fair Value Measurements (Fair Value, Investment HTML 30K
Securities Measured on Recurring Basis) (Details)
64: R51 Fair Value Measurements (Fair Value Measurement of HTML 24K
Assets and Liabilities Measured at Fair Value on a
Non-Recurring Basis) (Details)
65: R52 Fair Value Measurements (Summary of Valuation HTML 66K
Techniques and Significant Unobservable Inputs
Used) (Details)
66: R53 Fair Value Measurements (Estimated Fair Values of HTML 40K
Financial Instruments) (Details)
68: XML IDEA XML File -- Filing Summary XML 123K
67: EXCEL IDEA Workbook of Financial Reports XLSX 78K
8: EX-101.INS XBRL Instance -- atel-20201231 XML 1.81M
10: EX-101.CAL XBRL Calculations -- atel-20201231_cal XML 171K
11: EX-101.DEF XBRL Definitions -- atel-20201231_def XML 373K
12: EX-101.LAB XBRL Labels -- atel-20201231_lab XML 822K
13: EX-101.PRE XBRL Presentations -- atel-20201231_pre XML 677K
9: EX-101.SCH XBRL Schema -- atel-20201231 XSD 162K
69: ZIP XBRL Zipped Folder -- 0001558370-21-003673-xbrl Zip 128K
Exhibit 14.1
ATEL 15, LLC
CODE OF ETHICS FOR CHIEF EXECUTIVE OFFICER AND CHIEF FINANCIAL AND OPERATING OFFICER
A. SCOPE
This Code of Ethics is applicable to ATEL 15, LLC (“Fund 15”), including the Chief Executive Officer and Chief Financial Officer and Chief Operating Officer of its Manager, ATEL Managing Member, LLC (“AMM”), or persons acting in such capacity (collectively the “Covered Officers”) on behalf of Fund 15, referred to herein as the “Company.”
Accordingly, under the Securities and Exchange Commission’s interpretation of its disclosure rules, the Board of Directors of the Manager of AMM, ATEL Financial Services, LLC (“AFS”), functions as the de facto audit committee for the Company with respect to all procedural and disclosure requirements applicable to audit committees under Securities and Exchange Commission rules. The Board of Directors shall have oversight responsibility over the activities of the Company for purposes of this Code of Ethics.
B. PURPOSE
The Company is proud of the values with which it conducts business. It has and will continue to uphold the highest levels of business ethics and personal integrity in all types of transactions and interactions. To this end, this Code of Ethics serves to (1) emphasize the Company’s commitment to ethics and compliance with the law; (2) set forth basic standards of ethical and legal behavior; (3) provide reporting mechanisms for known or suspected ethical or legal violations; and (4) help prevent and detect wrongdoing. This Code of Ethics is intended to augment and supplement the standard of ethics and business conduct expected of all Company employees, and its limitation to Covered Officers is not intended to limit the obligation of all Company employees to adhere to the highest standards of business ethics and integrity in all transactions and interactions conducted while in the Company’s employ.
Given the variety and complexity of ethical questions that may arise in the course of business of the Company, this Code of Ethics serves only as a rough guide. Confronted with ethically ambiguous situations, the Covered Officers should remember the Company’s commitment to the highest ethical standards and seek independent advice, where necessary, to ensure that all actions they take on behalf of the Company honor this commitment.
C. ETHICS STANDARDS
1. Honest and Ethical Conduct
The Covered Officers shall behave honestly and ethically at all times and with all people. They shall act in good faith, with due care, and shall engage only in fair and open competition, by treating ethically competitors, suppliers, customers, and colleagues. They shall not misrepresent facts or engage in illegal, unethical, or anti-competitive practices for personal or professional gain.
2. Conflicts of Interest
This fundamental standard of honest and ethical conduct extends to the handling of conflicts of interest. The Covered Officers shall avoid any actual, potential, or apparent conflicts of interest with the Company, and any personal activities, investments, or associations that might give rise to such conflicts. They shall not compete with or use the Company, for personal gain, self-deal, or take advantage of any corporate opportunities. They shall act on behalf of the Company free from improper influence or the appearance of improper influence on their judgment or performance of duties. A Covered Officer shall disclose any material transaction or relationship that reasonably could be expected to give rise to such a conflict to the Company’s General Counsel or a member of the Company’s Board of Directors. No action may be taken with respect to such transaction or party unless and until the Company’s Board of Directors has approved such action.
Notwithstanding the foregoing, it is understood, as fully disclosed in the offering documents for the Company, that AMM as managing member of the Company has certain inherent conflicts of interest. The provisions of the Company’s Operating Agreement have been drafted to address the obligations, restrictions and limitations on the power and authority of AMM to manage the Company’s affairs, including restrictions prohibiting or limiting the terms of any transactions in which conflicts of interest may arise. Furthermore, AMM has a fiduciary duty to the Company as its manager. It is therefore expressly understood by the Company and the Covered Officers that any and all actions by AMM and its personnel that comply with the provisions of the Company’s Operating Agreement, and which are consistent with AMM’s fiduciary duty to the Company, will not be considered material transactions or relationships which require disclosure or reporting under this Code of Ethics.
3. Timely and Truthful Disclosure
In reports and documents filed with or submitted to the Securities and Exchange Commission and other regulators by the Company and in other public communications made by the Company, the Covered Officers shall make disclosures that are full, fair, accurate, timely, and understandable. The Covered Officers shall provide thorough and accurate financial and accounting data for inclusion in such disclosures. The Covered Officers shall not knowingly conceal or falsify information, misrepresent material facts, or omit material facts necessary to avoid misleading the Company’s independent public auditors or investors.
4. Legal Compliance
In conducting the business of the Company, the Covered Officers shall comply with applicable governmental laws, rules, and regulations at all levels of government in the United States and in any non-U.S. jurisdiction in which the Company does business, as well as applicable rules and regulations of self-regulatory organizations of which the Company is a member. If the Covered Officer is unsure whether a particular action would violate an applicable law, rule, or regulation, he or she should seek the advice of inside counsel (if available), and, where necessary, outside counsel before undertaking it.
D. VIOLATIONS OF ETHICAL STANDARDS
1. Reporting Known or Suspected Violations
The Covered Officers will promptly bring to the attention of the Company’s General Counsel or the Board of Directors any information concerning a material violation of any of the laws, rules or regulations applicable to the Company and the operation of its businesses, by the Company or any agent thereof, or of violation of this Code of Ethics. The Company’s General Counsel will investigate reports of violations and the findings communicated to the Company’s Board of Directors.
2. Accountability for Violations
If the Company’s Board of Directors determines that this Code of Ethics has been violated, either directly, by failure to report a violation, or by withholding information related to a violation, it may discipline the offending Covered Officer for non-compliance with penalties up to and including termination of employment. Violations of this Code of Ethics may also constitute violations of law and may result in criminal penalties and civil liabilities for the offending Covered Officer and the Company.
As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 11/01/11 Atel 15, LLC 424B3 1:4.4M Toppan Merrill/FA |