Case File
efta-01392948DOJ Data Set 10OtherEFTA01392948
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Unknown
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DOJ Data Set 10
Reference
efta-01392948
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1
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0
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Each entity, including a parent or subsidiary, must separately meet the requirements to be a qualified insthutional buyer under Rule
144A. Securities owned by any subsidiary are included as owned or invested by its parent entity for purposes of Rule 144A only
if: (1) the subsidiary is consolidated In the parent entity's financial statements; and (2) the subsidiary's investments are managed
under the parent entity's direction (except that a subsidiary's securities are not included if the parent entity is itself a majority-owned
consolidated subsidiary of another enterprise and is not a reporting company under the Securities Exchange Act of 1934).
We further certify that we will purchase securities under Rule 144A from or through you only for our own account or for the account
of another entity which is a qualified institutional buyer including, if we are an insurance company, our separate accounts. We will not
purchase securities for another entity under Rule 144A unless it satisfies one or more of paragraphs (i) through (v) above including as
applicable the $100 million test.
We agree to notify you of any change in the certifications herein, and each purchase by us of securities under Rule 144A from or
through you will constitute a reaffirmation of the certifications herein (as modified by any such notice) as of the time of such purchase.
Assets under management
Name of entity: SouthernFinancial LLC
ets.
Calculated per Rule 144A: $
0O At-CM-
(stele s specific STOW It 0Milloam•stechinayte appmeimato tut not woe or minimum)
Most recent fiscal year-end:
(MontnAlsyNear)
By:
tam or
ars of Chief Finenclist Officer
Name:
tPri
As per date
owned/invested:
1O LS I. 1 'f i
Title:_tylam_044-tv-
(complete only1ftne calculation is is slut moo racism fiscal year anal
,3 Want or type)
Daniel Sabba
loi0 O lea 4acx1/4.04.,...te4tV} 83
Salesperson:
Address entity: ,s./b.,.
. SiS1/4.) t _OPI0 80,.
(Prim or Mud
(Pria
type) )
13.AWM-0065
013787.041714
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e)
CONFIDENTIAL
DB-SDNY-0098276
SDNY_GM_00244460
EFTA01392948
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