EFTA01372470

INVESTMENT CORP DIRECTOR 11/1992 ;RICHTER INVESTMENT CORP. DE CERBERUS CAPITAL MANAGEMENT LP LIMITED PARTNER WILLIAM L. RICHTER EpERPETUITIES TRUST 2 GREENBERG, HAROLD, JEROME STEINMETZ, HARRY, CHARLES DE RICHTER INVESTMENT CORP. SHAREHOLDER 08/2014 I WILLIAM L. RICHTER PERPETUITIES TRUST 2 TRUSTEE 08/2014 I WILLIAM L. RICHTER PERPETUITIES TRUST 2 TRUSTEE 08/2014 F RICHTER, ARI, JOSEPH WILLIAM L. RICHTER PERPETUITIES TRUST 2 TRUSTEE 08/2014 N Schedule D - Miscellaneous You may use the space below to explain a response to an Item or to provide any other information. THE ADVISER IS NOT CURRENTLY MANAGING ANY CLIENT ASSETS BUT ALLOCATIONS MAY CHANGE AT ANY TIME WITHOUT NOTICE. WHILE THE ADVISER MAY TRADE A DE MINIM'S AMOUNT OF COMMODITY INTERESTS FROM TIME TO TIME, THE ADVISER IS EXEMPT FROM REGISTRATION WITH THE COMMODITY FUTURES TRADING COMMISSION AS A COMMODITY TRADING ADVISER. THE ADVISER IS AN AFFILIATE OF CERBERUS CAPITAL MANAGEMENT, L.P. ("CCM") AND ITS RELYING ADVISERS. CCM AND ITS RELYING ADVISERS ARE SEPARATELY REGISTERED AS INVESTMENT ADVISERS WITH THE SECURITIES AND EXCHANGE COMMISSION. THE ADVISER, CCM AND CCM'S RELYING ADVISERS SHARE RESOURCES INCLUDING, WITHOUT LIMITATION, PERSONNEL, POLICIES AND FACILITIES. ITEM 5.A AND ITEM 5.6 REFLECT ALL PERSONNEL OF THE ADVISER, CCM AND CCM'S RELYING ADVISERS. SCHEDULE A REFLECTS OFFICERS OF THE ADVISER AND CCM. Schedule R No Information Filed DRP Pages CRIMINAL DISCLOSURE REPORTING PAGE (ADV) No Information Filed REGULATORY ACTION DISCLOSURE REPORTING PAGE (ADV) No Information Filed CIVIL JUDICIAL ACTION DISCLOSURE REPORTING PAGE (ADV) No Information Filed Part 2 Exemption from brochure delivery requirements for SEC-registered advisers SEC rules exempt SEC-registered advisers from delivering a firm brochure to some kinds of clients. If these exemptions excuse you from delivering a brochure to all of your advisory clients, you do not have to prepare a brochure. Yes No Are you exempt from delivering a brochure to all of your clients under these rules? If no, complete the ADV Part 2 filing below. Amend, retire or file new brochures: r 1Brochure ID 276130 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL Brochure Name CERBERUS SUB-ADVISORY I, LLC FORM Brochure Type(s) Other DB-SDNY-0066179 SDNY_GM_00212363 EFTA01372470