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efta-01451781DOJ Data Set 10Other

EFTA01451781

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DOJ Data Set 10
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efta-01451781
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EFTA Disclosure
Text extracted via OCR from the original document. May contain errors from the scanning process.
SOF III - 1081 Southern Financial LLC (please attach additional pages if needed) Name Signatures Tide Role within the Investor II. Verification of Status as an "Accredited Investor" under Regulation D. The Investor represents and warrants that it is an "accredited investor" within the meaning of Regulation D under the Securities Act and it has initialed the applicable statements below pursuant to which the Investor so qualifies. PLEASE INITIAL ALL APPLICABLE STATEMENTS BELOW. 1. The Investor has total assets in excess of $5,000,000 AND was not formed for the specific purpose of acquiring the securities offered, AND is any of the following: a corporation; a partnership; a limited liability company; a Massachusetts or similar business trust: OR an organization described in Section 501(e)(3) of the Internal Revenue Code. 2. The Investor is any of the following: a bank, or any savings and loan association or other institution acting in its individual or fiduciary capacity; a broker or dealer; an insurance company; an investment company or a business development company under the Investment Company Act of 1940, as amended; a private business development company under the Investment Advisers Act of 1940; a Small Business Investment Company licensed by the U.S. Small Business Administration; OR an employee benefit plan whose investment decision is being made by a plan fiduciary, which is either a bank, savings and loan association, insurance company or registered investment adviser, or an employee benefit plan whose total assets are in excess of $5,000,000 or a self-directed employee benefit plan whose investment decisions are made solely by persons that arc accredited investors. Investor Questionnaire - 5 Confidential CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0108588 CONFIDENTIAL SONY GM_00254772 EFTA01451781

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