Text extracted via OCR from the original document. May contain errors from the scanning process.
Investor Application Form (continued)
G
Certification Regarding initial Public Equay Offerings:
tt
tiiiit
Rule 5130 "Rastected Persons"
re card may elect t M to wrest in new Mae, net, it yOur indredual account 4 ei9tfe for such transactions.
°tease MIS the appropriate daternart the ;in:8e~ has urtheed those stars/nu bekw react> appy to 4 a. 4 the Undesired n a
.. Nioton, partrersr-r 'tin
“ ,
,-
.,..
.tryy. *tech apply to am pers Sawn; a Ilseelittiel Inter= n Ow Unefethred
The Investor is any of she folksesiney
;a:
AMARA reinter fink a teer brake dealer
Asi An officer. director. genera) panntr, associated peson or ~year &afire/IA member firma ~Coveted Woke Des.
K) An are O. a Cased Broke Oslo if the agent is engaged r the Tralin2eini bank") or Straiten busmen
(<4 An ~ha
jonrot Venter of a person specified minor :O ads,
te) AMC* or
pew. actng in a fotspurt capacey to a Coveted Erse Defier, inducing attorneys. accountants and
reseal torailtsre s.
CC
A pins So het te authority to buy or sea waste. ta a bilk, saw
and its institubcti, ~rare cumpeny,
investment company Ywesmsted Ss
or Coheyore investrnex Arrant
(g. An Mediate f anlayeAtreits of a person spoke O2,i ow if, ettode ararecess from a ortredes to such porton %Wend
Support,
ffi: Aston trsted
reowed so be hoed Se Schedule A or Schedule C to form 90 as sang 1014 or mete diseased Broker
Cray
n;
Aetna, Interdict required to telisachn Wreak» 8 a Schield"! ce Form ID Whole ownweteb Wane.: IS Been:anon lined
Og.
(s)
Amur that cons chectty a *erect 10% or more of • Ault teparIng company Sad is required to be lad) m
Schedule A cd fare 8O mle mewl b a Covered Broke Dear, other than a cubit company that n Mad on a natcesai
secedes «change,
tie) Assort that own tray a onteireale 25% or more cheat& reporting company that newton totted in (t) rebore other
than a pubk compare rut is Wad or a naNsnal sed..-thes aching,.
An friarae tart* Menbe tK a MICA trsterf an 7t tfrough 2) aide vino nooses Can Of pranks to such penal
Mattel Supeart.
"ele: An xount ~
a comae on. pirmotArp, Unread Sabah company. tnni ar other enotenn **gel ON of the Penom
ref tied to in re; theough
arose has a 8enalciai hi!~ rany pers In Ca) through OW. a '5130 Restricted Person',
the ~Of n hen. r! the abercr
For EntrIne. catty. If you inituried any of ;tem. (a) through (m) else, you may stia be eligidir to participate in new ~ea" if you
warily one of the *sensations limed under 'Ns Issues Esamptions- et the back of the Subscription Astnirerrient.
tf so. pies specify the exemption number (1 trough 10) here (exemption 1(b) n not evistebie),
NOTE: Ezeinwhons we not applicable for individual rettarnent accounts, individual or Joint accounts. USIA* or UTMA accounts,
which are treated es natural persons for this purpose
Private and Confides hai
CONFIDENTIAL
UBSTERRAMAR00001524
EFTA00237169
Investor Application Form (continued)
G.
Mt -11AL
Certification Regarding Initial Public Equity Offerings (cont'd):
Rule S131 "Covered Persons"
Please wwl below if applicable .s :t
mesa, is a COtTOrabOn. parser ho.
Ce Ong !MP!. much aC00, Ia any Pence hartli3
Sentient Interest n the ".ty.r.:
pit Mann. a any ;tenon having a Reneficiel Interest et the netts, a (4 an newt.* Ohm: a *lector Naga:4r Company
a a Cowed Scn-Pubie Company. a ;a) a tenon recereng Maltese' Support by an eeecubve Offtter or Water of a Potdc
Company a a COvited 1/20ft Polifk COWAN tan/ peons xi (e. a Zit. a '5131 Covered Pests')
fit If you initsilikl statement tt)ebore. you Must NOW Oath tekviet Pubic Company Odra C mere htn-Pudic Company:
(31 It sou inhaled slateenenlitlarenO, Oen what Cm fOlklenng ontpf such apperable Able Covey" a Covered Non-Pct e Company
tal ty curets* a dent mama? Itrestmera Banking Seven provided Dyer:14Ra nemesis a hat ate tontpenSettOn to a FPAA
member to Ithentneri Ranfung Satyrs el PIO past 11 momM, .
(b; expects to retain a tinge nst‘mtv. fa nvestrnent Bank-% Sem:es men the art 3 thonIn.
:r hat pruned no an express of ended obigaton owes( r evinkety 'Navy* :es met love o!Ircen a rectal. to wen
\cc:. enema. fa the oracemaree ol fat.oe natu-nent Ransil Sevres
if you 'abated any of Fran (a) through (c) above, you may still be toga& to partiopete in 'new issues' it you satisfy one of the
exemptions fisted under "New Issues Exemptions' et the bubo. the Suburb:4*o Aq..enant
It so. pleas* specify the exemption number here lexempton 1(0 is not a tellettett
It the Investor has rep esented that he. she or it is not a llesunted Penon" or • 'Coveted Parson . the investor tureen
represents that he. she of it understands that Otis certificate expires attar one year and ones promptly to notify the Fund
ShOuld the account become • 'Itestinted Arson' of 'Cowed Person'.
N. Government Entity Status
V, If* kneSIOr a 601.1•Pliter. I
0 Vas
/No
d Path-west& s ears as agent, tepresentame a natant* to one a rope irdeStal. d any d sucr investors a Gmettvnent trete
CI 'Ms
/No
(at: if the mover to question .* as ' Yee , please akar/ the navies <A any such Ireton
Private and Cent idennal
CONFIDENTIAL
UBSTERRAMAR00001525
EFTA00237170
Investor Application Form (continued)
I.
NFA Bylaw 1101 Certification (Please Initial as appropriate.
Individual. MA and Foundation Marston:
p: (purl.. And aetarn. teat 4 4 an exandue. WA ca a Wandamin and that it *not reseed to bra
oteroset at do wooed f sautes tunas
re/FA': or 10 De rettlered Mtr. the Commodity Futsses hada"; Comninsion
'CFTC
any capacity Chase Carrara Y' 0 into,
I nester Adrionredpentent)
OR
NI ads
fealty Investorc
The Invests:a tOr..1 dat 1444101 4 4 0:141410tbri poet. 141' operates thereat reoresen3 are war tants stilled required to be
rtamoa :! gum
n• In be yerrlevr4
me err
in any ta
:0
(Please note. Mule not always the case generally. certarn mums investment vehides suds as mole member
limited habristy companies and (erten !trotted pannerships comprised of family members. among others.
should maid this section and below if appluablis)
Ole la...titer n a tun] a reeve
Ovetament entity and mitten nen 1;4 /Wee Owe coepete the tolloswit;
the finned o e tangy mesteent whickwilMit hobos...nes include reit %OMt thicken. in awl, sydre444,- 5
cousins• or tee Senor is a lush dim and has tied • notice sot the C*1C under NO-Action Ins. 12-37
Ihr fresh,
reties upon an ternoton two. recistrates under CF IC R* 4 13 and has Ned a notice dieing ern
werripbon ends the NIA
The IneStal teas soon an adawn
tram the Seaton ct the term 'commode, pool operator mkt Olt
Ilsbe 4 5
and has tempt°
. clans;
Mrs wermeon midi Pe KA
TN fleesl0f is a 00nr mittens,
plan. a contrtubtry *trod bereht plan a powwowed dan, an employee weds
benefit plan. et a church plan maned said
trot Employes Setement Sono Sio.say Act cat 1974
the Investor •exaes „Der anomer tampon
or o oms
is not steed
to muster with the CRC epees }fleiKate cetow
ter ageagerSe exenveen upon which Mr instor rein a indica the Mtn upon which Ow Mosta run deserrnmed teat
most can v an esentritor a not rewrote
OR
Entities that an MA Members and/er those requited to register with the OTC
Ire tnwitta tor. it the :vette e n a cenvrodity pool. the opet slot thereof, represents end warrants Mat it rs a mentor or
the NIA and is 10741.01.0 semi the CFTC
Please exte4W bets the capacity in witch the Mess
to the operates Meteor, 6 recySeeredlosermackey pool operator.
tommoody trading) admix turn
conwassion merchant. introduon0 pro w. or ?Ad %sir
ilanWS
With respect to any..suctt gen Kq vieach la employee may Masse
40,414:Ute no portal of an eleleyet f Centrazur,nn it forrennei e 'neon
's leactmt10
kruch
pritvsr"ccr12.
Pi nate and Confidential
CONFIDENTIAL
UBSTERRAMAR00001526
EFTA00237171
Investor Application Form (continued)
J. Instestcar Acknowledgement
The oncerogod *hood roe sr
tai nines
!
as 16 &Net.
,1 ?Se
Slenter,e
- 10, Gnosis c'
S
income tatabon
Ca
pre teen tot ins(
egad to mein
The Undersigned represent that he, she Of ‘t is a 'Undid States person' (as such term is defined in
the Code) for purposes of U.S. federal income taaaron and has peovidad to U.S a valid and duly
completed Form W.9. or successor form thereto, signed undies penalties of perjury by such
Undersigned. The Undersigned certifies under pension of perjury that (A) its U.S. texpayec
identification number. as it appean in the inventor Application form m this Subscription Booklet. is
true and correct and VII it it NOT subject to backup withholding because either, (I) it es exempt from
backup withfrolding. (2) it has not been nabbed by the U.S Internal Revenue Service ("IRS") that it is
subject to backup enthhokling as a result of a failure to report cal interest 04 dividends. or (I) the IRS
has notified it that it is no longer subject to backup withholding. The Unckesnpied reel nobty the
fund within IS days if any of the above certifications ate no longer valid Upon 0104.14et by the fund
or UBSFA. the Undersigned snarl promptly furnish to the Fund valid and duty completed loon W-9.
04 successor town thereto, signed under penalties or perjury by such undersigned
The ..:nadigned he. rtvew•C and coofintad at of the ,rlorabon in the mentor App.:con and Lbeir-fnl•
that a6 ot ft* Intormabos that is legated to be pcowied by the Underbred in des Investor AP:skater is
Snit /tang and complete an as fait IS
ice
The URRetskned refonard'S that he. Steal has recessed, carefulty teed arc wd be bound by the Agreements, nciuding the pcedkoisde
arbibisbal dents Wrneh appears as the SubsCription Agreement and the fund Adreerrent and agrees that wand below cortstedes the
erecution and receipt of the Agreements
The 00/Rdloral retsillersh that he. thecae hin received a copy of the k1/4 .00, 404Sum, has mod 0 and uraktstanch it, and the trade erect
rt at We of the fund's Seed wchmons on Vanderatility and aittictrawar he. the a .t understands that an wrest:rent eV lye Fund neWes
coeds of interest, induckg that the liacement Agent and its Oblates we wen payments horn the Irrestors. to Fund ansito their *hates
bated odor the aggregate scant at rapt* conelbutcm to thefts-4
IN
The Undersigned Condom that the raiment objwwe and nik drags 49pliCat to •A• ,fronertt e‘ this Fund are reedetwery. *raida
adpreciaton" and "wenn.
This obscure and risk profile 6 appgratie ant, to thnerresunent and may *Ate trorn the everstment goals and
tlik to trice for the meta portfolio and** brokerage account at *tech thsirneweent is NS
0)
The thxlempriec undreltedi Mit en derestrnent in ow Fund may impact tit 1.500cycyletES future Soddy (She long or short.bemI ard
teresertn dial the Undersigned s ryes/nerd goats ace sonata. il with rte tent hone of the investment
(g) the Undersigned hereby autrya,zes the debt of hinds foe the Centat Com:buten. plod any 1006able Kacement FM. and any Jackal*
amount reduced to satisfy a tat obtgabon of the Fund
the 1/4kderugned urgeSUndS that SAW may in AS Sale and abialde dnerenOn acted as Sur CM.. COintration an amount ins than
.'$t.! (0b100../b041 appiled tOr here
hue
" ant itra
nrOdtra
elbe
3
3,
swat
pia arts:', bran may Of MUM,
10 .'t
the Undersgried certeas that the United States is hi. he iSt its country of r.ndenCe dr rem gal
OK* CA gandli lit Undenrgnad Canna( Mika thin ceettaton. Memo tab to your Financial
Aelmor Skit weedier yCy may tent in the laid
The Undersigned arerovdedan that a Placement fee of 2% of the Capital ConthbutOn WA be
charged
the tuthelteseriel refits thigh a Itraloge account
HOW"
It
In ' ted
circumstances the Plaramery fee may be waved by the Penn; Agent ten Placement Fee et
in addlOs m, and wit no. redact Pr unclersgrecry Capt.. CordrOubcro d the Placement
Fee is reduCed by arement teener ire Pavement Agent and the Undersigned Wien the
reCksted ISartnent Fee to were the Vnities•thed hat. /greed wit te reflected on the LAS trade
coneemeton
The teritrygned contann that the Placement fee has been discussed with
hrytiettits Ariancial /Wawa and an/ aCkiLOrlai qa$40ref we be addressed if redivided No
PUCennln! Fee et charged a eh, orrestenern is Made IMO-dna:AS eslitoOrli ccencrem
Private and Confidential
CONFIDENTIAL
UBSTERRAMAR00001527
EFTA00237172
.“ Nene
Investor Application Form (continued)
1.
Investor Atka's,*Wyman( (wordy.
tic;
FOR GRANTOR tg,iS'S 0t v ft Plt L.flotagried it a Wargeti
Undnitgsd atimaivggiges sat ay and a grown of Pt twit as
I.:Spencers knit. Societal income tat purposes !please nose ;cantor trusts vas non-U S persons as pranton may not Invest in thts Fune0
K. Investor Signatures:
awe sga Debit Reese rote that swag 0SP* torabtats you, vongure to the Investor Appecatsr form. the SubacAption Agreement and
he Furs
ere n accnidance vein art
ifertIS
Aanr.li MW
5.9‘611. •
.
we.",
174r*
_gahiS Joint
tAcrtWe
Pnvate and Czethdential
CONFIDENTIAL
UBSTERRAMAR00001528
EFTA00237173
,,, W-9
ee. Deemer 4 / 4
t r . llear,... Sew*
Request for Taxpayer
Identification Number and Certification
Gen Fonn to Ras
Do
requester.
not
sand to the IRS.
Print or type
S", Specific Instruction* On Page 2
l 74ene as Woe
Chastain. Maxwell
on
'ozone lax eat bet ear«
toe ...b.
not aber• Me ane
rca
s
an
00
Dirt
2 Banco bribrberebleCee eats Nat t caret tan Wow
3 Clog acoroonaar Ca rce as lei Claberon enera at ~goo g et% ear ca b
0 latuabere reatece or
O C 0:400Obb
O S ettOotsto O rtilltn
O Tnagint•
• Seam
«own weals
reran
lobe te«.
Snow
«Oats IMO
easebetemeavatywaRkr
3:00« «Ph only b
not recta Ire
3I
on owe
coat Or *on
raga at«
O 'stoic) «bey Ilt
<Dan, freer VW la. camas IC•C carearaltra 2e4 ccowalaak anaalneno04 17
Mott Fea
Ø
CATCA tarp
Ø
LIO bet le berara cl0 ree OW* G.C. bib we aPPrOla Øe to• let an tar
or me wagementee bow
P
bp taa easaeste
O Ober Saltairacttnile
i.
5 ~a
PIPSTO•r_ One.
Anoteteds
acicheaa tooter*
WO Ocil Or sue ro)
norm and
• Ceo, rat ma 2IP Ø
New York. NY 10065
7 L. a_onor renbana • let ~leg
P rt I
«payer Identification Number (TIN)
Ea • r >an
c tat aocropnate tea Tne 7,N PoW0O0 'Mt non) We name goon al Anm t to miod
bactup earanoka G Fa anal/trios. t4 o balerarly y00 ICON Ilebalty nurnbtr CSS•41 albatatr. $e a
185~1 ten sae ~reg.
Or ctsregarcko ert.ty. tat tea Part I ethers co page 3 Fa Ober
catte3
ma you' ~Oyer girebbton Nat» (OM lr 30u dana nett a tunable. 5« aber ro pot a
flu cn Dow 3.
Noe. I! the accost
mat nila. om nSent 5« tta -nao~ to. nee 1 and re chat on page 4 Ica
nes
aatObl number 10 ens
P.ut II
Certification
ions "tura ~Do
•
a
asteitos iderceacatio• muter
I -
1
tinter ~Des at perm). I whey that.
1. The number onna on trar tarn rt ray Carib taapayer Ceolltiebste Ara
alb vrabnO 10' a nrbtOt to le Oto•O to "'re MO
2 lam nat Marla 10 loaCb4) atalthoicang tease wiarnanueca Iran beam" ~No-Ono. a te ) nave na men fl ied Dy the nano; %so
Since ORS) teatime abaci to teacup witra~ as a nail ed. tatt re to report at tnteneet of ctroancla of lc} the IRS Ma AMMO rn• , lagh am
no Ø
SoO0C1 to «Cat* lebborboli
3
s am a U S °tun a Ober U S «Mr lOnneCI belOw), and
4 Yet FAT CA codes) errand on pas 7OrT fat any; axecaong ~lam ila•MOC tot FAT CA reccrong o co•rset
Certification ~auctions. you ',Vat cross out OCT 2 stow t you owe Der neat« by Ma ;VS OW you see eery rasa to back,* enflue n9
Diar ne
tas« to noon at wow and ~Mends on vOue tat «urn Foe se estata tramachons. ern 2 ooh not appy. For mortgage
niprest Pad_ =later a ~Mint
at «CO« 110301y. canCatabon d coal. COrltra0~1110 in erfreeleai ranee &nano:~ Cale. artd
re,etazt, patter« Ober flan apeos ro Cbgergt you we not storel to
espe.mcaten.mr)ou map rabble ybe ObeCt 71*. Set WS
..1t.c tort or peas 3
Vallirienetalatt.
neral Instructions
VOCSCrt u e lo no Internal Mer« Cob
cnnowv• nowt
Nam. dovotownonta ontoowtco WWI *war ••••• "KW; Fro 2t-e Wcit
24 *9 4,111b0C, ~lea be «ea
bast soot " go. te9
Purpose of Form
Ar
cloal a erns (faro W-9 moan .mo s tee« b be r somata"
arten tan. »'PS rna: «tat St Camel laborer ØaØ
mureir cre
•
me, us sou, focal ~fly alter ‘SS•41. ago tagrotr clearbSce
rangy C'Irt adoptcn bola ebiltiatean auras tn."16 •fi ntknor
carrecaton ~Oa «tat to modal an Sons mown ra annee oat b
pa a Slav eat McOleatioe w eionteron barn •Operyle or ranee
Wert most. OS Se is ~OS So ate;
• Foie bradea feat elelf5OrMg
• Form INOCIN ~Ina ~kip tios tens Soba or n..la AnS
• for!, IfØarleC ~maws awns. on era ce row ~awe
• %on 'o996 SSW a nrotwl *OW Sal« XIS ~ten a
trilMa0414 tnt
vann
• goon' ICOIS ecoracla ace 'es waft Obboont
• Fain 1C994‹ ,merchart coo ins Mae Dery reams r'ate'n'
Owe
• Form tale Obit magete Inlerea ‘096-• ala« ben Seel 109S-7
(We
• Fenn nO9PC ~at
det?
• rel" VSO-4 ~On
re WS
or ege« ~NY
LI« Font aala3 ore it act as • U S «non brat a rated Si la
PrO4O4 ?Olt Corer Tel
Nu Op ne .ara. Form We to we taster ma • 71.• you ogle be bbrect
b perms W01~ Soo ~el a boast strtroone, on sco
e• 'WM S4-.S Win yet,
Cott^ OW to Tel act SO pert • Cover la we ere a•wao )))) a ••fints•
to tot es~
2 COON Ws Wu NMI wAyat to ~me wit~
7.*
3 Clan age« lee terclepahlabeflate in • u S erg am, r
~ea
byu N also~
thee ot • LLSS amok parr ad» Won O.
try «Onset moat tom a U S. trade cc a*
is steel to 11.4
WITt~ ISO On
WOWS WY* CA ^CS* 00~
an•
4 Zarb raM FATCA matt Sad on I« bear cob oCKS42 /NO you at
act trot tie FATCA ~cans 4 WY« See VOW es FATCAI saws as
cage 2W Saw ~alas
Cat No t3731)(
Ccen W-9 (Pm 12-2•014)
CONFIDENTIAL
UBSTERRAMAR00001529
EFTA00237174