FORM ADV

FORM ADV UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION AND REPORT BY EXEMPT REPORTING ADVISERS Primary Business Name: ROCKEFELLER & CO., INC. CRD Number: Annual Amendment - All Sections Rev. 10/2012 3/30/2016 2:42:23 PM WARNING: Complete this form truthfully. False statements or omissions may result in denial of your application, revocation of your registration, or criminal prosecution. You must keep this form updated by filing periodic amendments. See Form ADV General Instruction 4. Item 1 Identifying Information Responses to this Item tell us who you are. where you are doing business. and how we can contact you. A. Your full legal name (if you are a sole proprietor, your last, first, and middle names): ROCKEFELLER & CO., INC B. Name under which you primarily conduct your advisory business, if different from Item 1.A.: ROCKEFELLER & CO., INC. List on Section 1.B. of Schedule 0 any additional names under which you conduct your advisory business. C. If this filing is reporting a change in your legal name (Item 1.A.) or primary business name (Item 1.B.), enter the new name and specify whether the name change is of r your legal name or r your primary business name: D. (1) If you are registered with the SEC as an investment adviser, your SEC file number: 801-15106 (2) If you report to the SEC as an exempt reporting adviser, your SEC file number: E. If you have a number ("CRD Number") assigned by the FINRA's CRD system or by the IARD system. your CRD number: 106264 If your firm does not have a CRD number. skip this Item 1.E. Do not provide the CRD number of one of your officers, employees, or affiliates. F. Principal Office and Place of Business (1) Address (do not use a P.O. Box): Number and Street 1: Number and Street 2: 10 ROCKEFELLER PLAZA City: State: Country: NEW YORK New York United States If this address is a private residence, check this box: r ZIN-4/Postal Code: 10020 List on Section 1.F. of Schedule 0 any office, other than your principal office and place of business, at which you conduct investment advisory business. If you are applying for registration. or are registered. with one or more state securities authorities, you must list all of your offices in the state or states to which you are applying for registration or with whom you are registered. If you are applying for SEC registration. if you are registered only with the SEC, or if you are reporting to the SEC as an exempt reporting adviser, list the largest five offices in terms of numbers of employees. (2) Days of week that you normally conduct business at your principal office and place of business: ' Monday - Friday r Other: Normal business hours at this location: 9:00 A.M. - 5:00 P.M. (3) Telephone number at this location: 212-549-5100 (4) Facsimile number at this location: 212-549-5524 G. Mailing address, if different from your principal office and place of business address: Number and Street 1: Number and Street 2: City: State: Country: ZIN-4/Postal Code: If this address is a private residence, check this box: r H. If you are a sole proprietor, state your full residence address, if different from your principal office and place of business address in Item 1.F.: Number and Street 1: Number and Street 2: City: State: Country: ZIN-4/Postal Code: I. Do you have one or more websites? Yes No r EFTA01079277 If 'yes." list all website addresses on Section 1.1. of Schedule D. If a website address serves as a portal through which to access other information you have published on the web, you may list the portal without listing addresses for all of the other information. Some advisers may need to list more than one portal address. Do not provide individual electronic mail (e-mail) addresses in response to this Item. J. Provide the name and contact information of your Chief Compliance Officer: If you are an exempt reporting adviser, you must provide the contact information for your Chief Compliance Officer, if you have one. If not, you must complete Item 1.K. below. Name: Other titles, if any: Telephone number: Facsimile number: Number and Street 1: Number and Street 2: City: State: Country: ZIP4-4/Postal Code: Electronic mail (e-mail) address, if Chief Compliance Officer has one: K. Additional Regulatory Contact Person: If a person other than the Chief Compliance Officer is authorized to receive information and respond to questions about this Form ADV, you may provide that information here. Name: Telephone number: Number and Street 1: City: State: Electronic mail (e-mail) address, if contact person has one: Titles: Facsimile number: Number and Street 2: Country: ZIN-4/Postal Code: L. Do you maintain some or all of the books and records you are required to keep under Section 204 of the Advisers Act, or similar state law, somewhere other than your principal office and place of business? If "yes," complete Section 1.L. of Schedule D. M. Are you registered with a foreign financial regulatory authority? Answer "no" if you are not registered with a foreign financial regulatory authority, even if you have an affiliate that is registered with a foreign financial regulatory authority. If "yes," complete Section 1.M. of Schedule D. N. Are you a public reporting company under Sections 12 or 15(d) of the Securities Exchange Act of 1934? If "yes," provide your CIK number (Central Index Key number that the SEC assigns to each public reporting company): O. Did you have $1 billion or more in assets on the last day of your most recent fiscal year? P. Provide your Legal Entity Identifier if you have one: Yes No r Yes No r Yes No r Yes No r A legal entity identifier is a unique number that companies use to identify each other in the financial marketplace. In the first half of 2011, the legal entity identifier standard was still in development. You may not have a legal entity identifier. SECTION 1.B. Other Business Names No Information Filed SECTION 1.F. Other Offices Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC. or if you are an exempt reporting adviser, list only the largest five offices (in terms of numbers of employees). IMMEASS Street 2: ,itv• State- Country. 7113+4/Postal Code: If this address is a private residence, check this box: r EFTA01079278 Telephone Number: Facsimile Number: Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC. or if you are an exempt reporting adviser, list only the largest five offices (in terms of numbers of employees). Number and Street 1: Number and Street 2: If this address is a private residence, check this box: r Telephone Number: Facsimile Number: SECTION 1.1. Website Addresses List your website addresses. You must complete a separate Schedule D Section 1.1. for each website address. Website Address: Website Address: Website Address: SECTION 1.L. Location of Books and Records Complete the following information for each location at which you keep your books and records, other than your principal office and place of business. You must complete a separate Schedule D Section 1.L. for each location. Name of entity where books and records are kept: Number and Street 1: Number and Street 2: City: State: Country: ZIP+4/Postal Code: If this address is a private residence, check this box: r Telephone Number: Facsimile number: This is (check one): r one of your branch offices or affiliates. a a third-party unaffiliated recordkeeper. r other. Briefly describe the books and records kept at this location: ARCHIVED MATERIALS ARE KEPT AT THIS LOCATION. THESE MATERIALS ARE GENERALLY AVAILABLE WITHIN 5 HOURS IF REQUESTED ON AN EXPEDITED BASIS AND ARE ROUTINELY AVAILABLE WITHIN 24 HOURS FOLLOWING A REQUEST. Name of entity where books and records are kept: EFTA01079279 Number and Street 2: City: State: Country: ZIP+4/Postal Code: If this address is a private residence, check this box: r Telephone Number: Facsimile number: This is (check one): c one of your branch offices or affiliates. 0: a third-party unaffiliated recordkeeper. C other. Briefly describe the books and records kept at this location: ARCHIVED MATERIALS ARE KEPT AT THIS LOCATION. THESE MATERIALS ARE GENERALLY AVAILABLE WITHIN 5 HOURS IF REQUESTED ON AN EXPEDITED BASIS AND ARE ROUTINELY AVAILABLE WITHIN 24 HOURS FOLLOWING A REQUEST. Name of entity where books and records are kept: Number and Street 1: Number and Street 2: City: State: Country: ZIP+4/Postal Code: If this address is a private residence, check this box: r Telephone Number: Facsimile number: This is (check one):  one of your branch offices or affiliates. itt a third-party unaffiliated recordkeeper.  other. Briefly describe the books and records kept at this location: ARCHIVED MATERIALS ARE KEPT AT THIS LOCATION. THESE MATERIALS ARE GENERALLY AVAILABLE WITHIN 5 HOURS IF REQUESTED ON AN EXPEDITED BASIS AND ARE ROUTINELY AVAILABLE WITHIN 24 HOURS FOLLOWING A REQUEST. Name of entity where books and records are kept: Number and Street 1: City: State: Number and Street 2: Country: ZIP+4/Postal Code: If this address is a private residence, check this box: r Telephone Number: Facsimile number: 617-375-3300 617-375-3333 This is (check one): a one of your branch offices or affiliates.  a third-party unaffiliated recordkeeper.  other. EFTA01079280 Briefly describe the books and records kept at this location: CLIENT FILES Name of entity where books and records are kept: Number and Street 1: Number and Street 2: City: State: Country: ZIP+4/Postal Code: If this address is a private residence, check this box: r Telephone Number: Facsimile number: This is (check one): r one of your branch offices or affiliates. a a third-party unaffiliated recordkeeper. C other. Briefly describe the books and records kept at this location: Name of entity where books and records are kept: Number and Street 1: City: State: Number and Street 2: Country: ZIP+4/Postal Code: If this address is a private residence, check this box: r TI hnNm r: F imil nm r: This is (check one): r one of your branch offices or affiliates. G a third-party unaffiliated recordkeeper. C other. Briefly describe the books and records kept at this location: 'ere and records are kept: Number and Street 1: City: State: If this address is a private residence, check this box: r Number and Street 2: Country: ZIP+4/Postal Code: Telephone Number This is (check one): r• one of your branch offices or affiliates. Facsimile number: EFTA01079281 a a third-party unaffiliated recordkeeper. C other. Briefly describe the books and records kept at this location: ARCHIVED MATERIALS ARE KEPT AT THIS LOCATION. THESE MATERIALS ARE GENERALLY AVAILABLE WITHIN 5 HOURS IF REQUESTED ON AN EXPEDITED BASIS AND ARE ROUTINELY AVAILABLE WITHIN 24 HOURS FOLLOWING A REQUEST. N me of nit where books and records are kept: Kis 41 I at,/ a.rIA c..,,,,• I - " 'mfr. ''' . ant. eftlet 2: City: State: Country: ZIP+4/Postal Code: If this address is a private residence, check this box: r Telephone Number: Facsimile number: This is (check one):  one of your branch offices or affiliates. a a third-party unaffiliated recordkeeper.  other. Briefly describe the books and records kept at this location: Name of entity where books and records are kept: Number and Street 1: Number and Street 2: City: State: If this address is a private residence, check this box: r Telephone Number: Facsimile number: This is (check one):  one of your branch offices or affiliates. C a third-party unaffiliated recordkeeper. G other. Briefly describe the books and records kept at this location: Name of entity where books and records are kept: Country: ZIP+4/Postal Code: Number and Street 1: Number and Street 2: City: State: Country: ZIP+4/Postal Code: If this address is a private residence, check this box: r EFTA01079282 Telephone Number: Facsimile number: This is (check one): r one of your branch offices or affiliates. a a third-party unaffiliated recordkeeper. C other. Briefly describe the books and records kept at this location: ARCHIVED MATERIALS ARE KEPT AT THIS LOCATION. THESE MATERIALS ARE GENERALLY AVAILABLE WITHIN 5 HOURS IF REQUESTED ON AN EXPEDITED BASIS AND ARE ROUTINELY AVAILABLE WITHIN 24 HOURS FOLLOWING A REQUEST. here books and records are kept: Number and Street 2: City: State: Country: ZIP+4/Postal Code: If this address is a private residence, check this box: r Telenhnne Number: Facsimile number: This is (check one): r one of your branch offices or affiliates. 6, a third-party unaffiliated recordkeeper. C other. Briefly describe the books and records kept at this location: ARCHIVED MATERIALS ARE KEPT AT THIS LOCATION. THESE MATERIALS ARE GENERALLY AVAILABLE WITHIN 5 HOURS IF REQUESTED ON AN EXPEDITED BASIS AND ARE ROUTINELY AVAILABLE WITHIN 24 HOURS FOLLOWING A REQUEST. Name of entity where books and records are kept: treet 2: City: State: Country: ZIP+4/Postal Code: If this address is a private residence, check this box: r Telephone Number: Facsimile number: This is (check one): a one of your branch offices or affiliates. C a third-party unaffiliated recordkeeper. C other. Briefly describe the books and records kept at this location: Name of entit where books and records are kept: EFTA01079283 Number and Street 1: Number and Street 2: City: State: Country: ZIP+4/Postal Code: If this address is a private residence, check this box: r Telephone Number: Facsimile number: This is (check one):  one of your branch offices or affiliates. a a third-party unaffiliated recordkeeper. C other. Briefly describe the books and records kept at this location: Name of entity where books and records are kept: Number and Street 1: Number and Street 2: City: State: Country: ZIP+4/Postal Code: If this address is a private residence, check this box: r Teleohone Number: Facsimile number: This is (check one):  one of your branch offices or affiliates. 6: a third-party unaffiliated recordkeeper. C other. Briefly describe the books and records kept at this location: Name of entity where books and records are kept: Number and Street 1: Number and Street 2: City: State: Country: ZIP+4/Postal Code: If this address is a private residence, check this box: r Telephone Number: Facsimile number: This is (check one):  one of your branch offices or affiliates. a a third-party unaffiliated recordkeeper. C other. Briefly describe the books and records kept at this location: ARCHIVED MATERIALS ARE KEPT AT THIS LOCATION. THESE MATERIALS ARE GENERALLY AVAILABLE WITHIN 5 HOURS IF REQUESTED ON AN EXPEDITED BASIS AND ARE ROUTINELY AVAILABLE WITHIN 24 HOURS FOLLOWING A REQUEST. EFTA01079284 Name of entity where books and records are kept: Number and Street 1: Number and Street 2: City: State: Country: ZIP+4/Postal Code: If this address is a private residence, check this box: r Tele hone Number: Facsimile number: This is (check one):  one of your branch offices or affiliates. or, a third-party unaffiliated recordkeeper.  other. Briefly describe the books and records kept at this location: ARCHIVED MATERIALS ARE KEPT AT THIS LOCATION. THESE MATERIALS ARE GENERALLY AVAILABLE WITHIN 5 HOURS IF REQUESTED ON AN EXPEDITED BASIS AND ARE ROUTINELY AVAILABLE WITHIN 24 HOURS FOLLOWING A REQUEST. Name of entity where books and records are kept: Number and Street 1: Number and Street 2: City: State: Country: ZIP+4/Postal Code: If this address is a private residence, check this box: r Telephone Number: Facsimile number: This is (check one): c one of your branch offices or affiliates. a a third-party unaffiliated recordkeeper. C other. Briefly describe the books and records kept at this location: ARCHIVED MATERIALS ARE KEPT AT THIS LOCATION. THESE MATERIALS ARE GENERALLY AVAILABLE WITHIN 5 HOURS IF REQUESTED ON AN EXPEDITED BASIS AND ARE ROUTINELY AVAILABLE WITHIN 24 HOURS FOLLOWING A REQUEST. Name of entity where books and records are kept: Number and Street 1: Number and Street 2: - ostal Code: If this address is a private residence, check this box: r Telephone Number: Facsimile number: This is (check one):  one of your branch offices or affiliates. EFTA01079285 a a third-party unaffiliated recordkeeper. r other. Briefly describe the books and records kept at this location: ARCHIVED MATERIALS ARE KEPT AT THIS LOCATION. THESE MATERIALS ARE GENERALLY AVAILABLE WITHIN 5 HOURS IF REQUESTED ON AN EXPEDITED BASIS AND ARE ROUTINELY AVAILABLE WITHIN 24 HOURS FOLLOWING A REQUEST. SECTION 1.M. Registration with Foreign Financial Regulatory Authorities No Information Filed Item 2 SEC Registration/Reporting Responses to this Item help us (and you) determine whether you are eligible to register with the SEC. Complete this Item 2.A. only if you are applying for SEC registration or submitting an annual updating amendment to your SEC registration. A. To register (or remain registered) with the SEC, you must check at least one of the Items 2.A.(1) through 2.A.(12), below. If you are submitting an annual updating amendment to your SEC registration and you are no longer eligible to register with the SEC, check Item 2.A.(13). Part 1 A Instruction 2 provides information to help you determine whether you may affirmatively respond to each of these items. You (the adviser): F7 (1) are a large advisory firm that either: (a) has regulatory assets under management of $100 million (in U.S. dollars) or more, or (b) has regulatory assets under management of $90 million (in U.S. dollars) or more at the time of filing its most recent annual updating amendment and is registered with the SEC;  (2) are a mid-sized advisory firm that has regulatory assets under management of $25 million (in U.S. dollars) or more but less than $100 million (in U.S. dollars) and you are either: (a) not required to be registered as an adviser with the state securities authority of the state where you maintain your principal office and place of business, or (b) not subject to examination by the state securities authority of the state where you maintain your principal office and place of business; Click HERE for a list of states in which an investment adviser, if registered. would not be subject to examination by the state securities authority. (3) have your principal office and place of business in Wyoming (which does not regulate advisers); (4) have your principal office and place of business outside the United States; r r r (5) are an investment adviser (or sub-adviser) to an investment company registered under the Investment Company Act of 1940; (6) are an investment adviser to a company which has elected to be a business development company pursuant to section 54 of the Investment Company Act of 1940 and has not withdrawn the election, and you have at least $25 million of regulatory assets under management;  (7) are a pension consultant with respect to assets of plans having an aggregate value of at least $200,000,000 that qualifies for the exemption in rule 203A-2(a);  (8) are a related adviser under rule 203A-2(b) that controls, is controlled by, or is under common control with. an investment adviser that is registered with the SEC, and your principal office and place of business is the same as the registered adviser; If you check this box, complete Section 2.A. (8) of Schedule D.  (9) are a newly formed adviser relying on rule 203A-2(c) because you expect to be eligible for SEC registration within 120 days; if you check this box, complete Section 2.A. (9) of Schedule D.  (1 0) are a multi-state adviser that is required to register in 15 or more states and is relying on rule 203A-2(d); If you check this box, complete Section 2.A. (10) of Schedule D.  (11) are an Internet adviser relying on rule 203A-2(e);  (12) have received an SEC order exempting you from the prohibition against registration with the SEC; If you check this box, complete Section 2.A. (12) of Schedule D.  (13) are no longer eligible to remain registered with the SEC. State Securities Authority Notice Filings and State Reporting by Exempt Reporting Advisers C. Under state laws, SEC-registered advisers may be required to provide to state securities authorities a copy of the Form ADV and any amendments they file with the SEC. These are called notice filings. In addition, exempt reporting advisers may be required to provide state securities authorities with a copy of reports and any amendments they file with the SEC. If this is an initial application or report, check the box(es) next to the state(s) that you would like to receive notice of this and all subsequent filings or reports you submit to the SEC. If this is an amendment to direct your notice filings or reports to additional state(s), check the box(es) next to the state(s) that you would like to receive notice of this and all subsequent filings or reports you submit to EFTA01079286 the SEC. If this is an amendment to your registration to stop your notice filings or reports from going to state(s) that currently receive them. uncheck the box(es) next to those state(s). Jurisdictions  AL  AK  Az  AR r; C• A r; c• o r; C• T r; D• E r; D• C r; F• L  GA O GU O HI • ID • IL • IN • IA r KS Fr LK: r MEA MD ri MA MI r MN  MO r NTT  NE  NV  NH • Nj • NM rf' NY  NC  ND rr, OH  OK  OR • PA PR • RI • sc • SD • TN • TX • UT VT • vi • VA • WA • wv • WI If you are amending your registration to stop your notice filings or reports from going to a state that currently receives them and you do not want to pay that state's notice filing or report filing fee for the coming year, your amendment must be filed before the end of the year (December 31). SECTION 2.A.(8) Related Adviser If you are relying on the exemption in rule 203A-2(b) from the prohibition on registration because you control, are controlled by, or are under common control with an investment adviser that is registered with the SEC and your principal office and place of business is the same as that of the registered adviser, provide the following information: Name of Registered Investment Adviser CRD Number of Registered Investment Adviser SEC Number of Registered Investment Adviser 801 - SECTION 2.A.(9) Newly Formed Adviser If you are relying on rule 203A-2(c), the newly formed adviser exemption from the prohibition on registration, you are required to make certain representations about your eligibility for SEC registration. By checking the appropriate boxes, you will be deemed to have made the required representations. You must make both of these representations: O I am not registered or required to be registered with the SEC or a state securities authority and I have a reasonable expectation that I will be eligible to register with the SEC within 120 days after the date my registration with the SEC becomes effective. O I undertake to withdraw from SEC registration if, on the 120th day after my registration with the SEC becomes effective, I would be prohibited by Section 203A(a) of the Advisers Act from registering with the SEC. SECTION 2.A.(10) Multi-State Adviser If you are relying on rule 203A-2(d), the multi-state adviser exemption from the prohibition on registration, you are required to make certain representations about your eligibility for SEC registration. By checking the appropriate boxes, you will be deemed to have made the required representations. If you are applying for registration as an investment adviser with the SEC, you must make both of these representations: O I have reviewed the applicable state and federal laws and have concluded that I am required by the laws of 15 or more states to register as an investment adviser with the state securities authorities in those states.  I undertake to withdraw from SEC registration if I file an amendment to this registration indicating that I would be required by the laws of fewer than 15 states to register as an investment adviser with the state securities authorities of those states. If you are submitting your annual updating amendment, you must make this representation:  Within 90 days prior to the date of filing this amendment, I have reviewed the applicable state and federal laws and have concluded that I am required by the laws of at least 15 states to register as an investment adviser with the state securities authorities in those states. SECTION 2.A.(12) SEC Exemptive Order If you are relying upon an SEC order exempting you from the prohibition on registration, provide the following information: EFTA01079287 Application Number: 803- Date of order. Item 3 Form of Organization A. How are you organized? a Corporation  Sole Proprietorship  Limited Liability Partnership (LLP)  Partnership  Limited Liability Company (LLC)  Limited Partnership (LP)  Other (specify): If you are changing your response to this Item. see Part IA Instruction 4. B. In what month does your fiscal year end each year? DECEMBER C. Under the laws of what state or country are you organized? State Country Delaware United States If you are a partnership. provide the name of the state or country under whose laws your partnership was formed. If you are a sole proprietor. provide the name of the state or country where you reside. If you are changing your response to this Item. see Part IA Instruction 4. Item 4 Successions Yes No A. Are you, at the time of this filing, succeeding to the business of a registered investment adviser? If "yes". complete Item 4.8. and Section 4 of Schedule D. B. Date of Succession: (MM/DD/YYYY) If you have already reported this succession on a previous Form ADV filing, do not report the succession again. Instead, check "No." See Part IA Instruction 4. SECTION 4 Successions No Information Filed Item 5 Information About Your Advisory Business - Employees, Clients, and Compensation Responses to this Item help us understand your business, assist us in preparing for on-site examinations, and provide us with data we use when making regulatory policy. Part 1A Instruction 5.a. provides additional guidance to newly formed advisers for completing this Item 5. Employees If you are organized as a sole proprietorship, include yourself as an employee in your responses to Item S.A. and Items 5.B.(1). (2), (3), (4). and (5). If an employee performs more than one function, you should count that employee in each of your responses to Items 5.8. (1), (2), (3), (4). and (5). A. Approximately how many employees do you have? Include full- and part-time employees but do not include any clerical workers. 154 B. (1) Approximately how many of the employees reported in S.A. perform investment advisory functions (including research)? 69 EFTA01079288 (2) Approximately how many of the employees reported in S.A. are registered representatives of a broker-dealer? 0 (3) Approximately how many of the employees reported in 5.A. are registered with one or more state securities authorities as investment adviser representatives? 1 (4) Approximately how many of the employees reported in 5.A. are registered with one or more state securities authorities as investment adviser representatives for an investment adviser other than you? 0 (5) Approximately how many of the employees reported in 5.A. are licensed agents of an insurance company or agency? 0 (6) Approximately how many firms or other persons solicit advisory clients on your behalf? 0 In your response to Item 5.8.(6), do not count any of your employees and count a firm only once - do not count each of the firm's employees that solicit on your behalf. Clients In your responses to Items S.C. and 5.0. do not include as "clients" the investors in a private fund you advise, unless you have a separate advisory relationship with those investors. C. (1) To approximately how many clients did you provide investment advisory services during your most recently completed fiscal year? ' 0 r 1-10 r 11-25 r 26-100 a More than 100 If more than 100, how many? (round to the nearest 100) 700 (2) Approximately what percentage of your clients are non-United States persons? 2% D. For purposes of this Item S.D.. the category "individuals" includes trusts, estates. and 401(k) plans and IRAs of individuals and their family members, but does not include businesses organized as sole proprietorships. The category "business development companies" consists of companies that have made an election pursuant to section 54 of the Investment Company Act of 1940. Unless you provide advisory services pursuant to an investment advisory contract to an investment company registered under the Investment Company Act of 1940. check 'None" in response to Item 5.0.(1)(d) and do not check any of the boxes in response to Item 5.0.(2)(d). (1) What types of clients do you have? Indicate the approximate percentage that each type of client comprises of your total number of clients. If a client fits into more than one category, check all that apply. None Up to 10% 11-25% 26-50% 51-75% 76-99% 100% (a) Individuals (other than high net worth individuals) r r a r r r r (b) High net worth individuals r r r r C•' r r (c) Banking or thrift institutions r a r r r r r (d) Investment companies r C•' r r r r r (e) Business development companies a r r r r r r (f) Pooled investment vehicles (other than investment companies) r a r r r r r (g) Pension and profit sharing plans (but not the plan participants) r a r r r r r (h) Charitable organizations r C•' r r r r r (i) Corporations or other businesses not listed above r a r r r r r (j) State or municipal government entities r C•' r r r r r (k) Other investment advisers a r r r r r r (I) Insurance companies a r r r r r r (m) Other: SOVEREIGN NATION r a r r r r r (2) Indicate the approximate amount of your regulatory assets under management (reported in Item S.F. below) attributable to each of the following type of client. If a client fits into more than one category. check all that apply. None Up to 25% Up to 50% Up to 75% >75% (a) Individuals (other than high net worth individuals) r C•' r r r (b) High net worth individuals r a r r r (c) Banking or thrift institutions r a r r r (d) Investment companies r a r r r EFTA01079289 (e) Business development companies 6 r r r r (f) Pooled investment vehicles (other than investment companies) r r a r r (g) Pension and profit sharing plans (but not the plan participants) r 6 r r r (h) Charitable organizations r a r r r (i) Corporations or other businesses not listed above r C• r r r (j) State or municipal government entities r C• r r r (k) Other investment advisers C• r r r r (I) Insurance companies C• r r r r (m) Other: SOVEREIGN NATION r C• r r r Compensation Arrangements E. You are compensated for your investment advisory services by (check all that apply): r r r (1) A percentage of assets under your management (2) Hourly charges (3) Subscription fees (for a newsletter or periodical) (4) Fixed fees (other than subscription fees) (5) Commissions (6) Performance-based fees (7) Other (specify): Item 5 Information About Your Advisory Business - Regulatory Assets Under Management Regulatory Assets Under Management F. (1) Do you provide continuous and regular supervisory or management services to securities portfolios? (2) If yes, what is the amount of your regulatory assets under management and total number of accounts? U.S. Dollar Amount Total Number of Accounts Discretionary: (a) $ 10,271,278,276 (d) 2,590 Non-Discretionary: (b) $ 167,922,019 (e) 141 Total: (c) $ 10,439,200,295 (f) 2,731 Part lA Instruction 5.b. explains how to calculate your regulatory assets under management. You must follow these instructions carefully when completing this Item. Yes No r Item 5 Information About Your Advisory Business - Advisory Activities Advisory Activities G. What type(s) of advisory services do you provide? Check all that apply. ▪ (1) Financial planning services ▪ (2) Portfolio management for individuals and/or small businesses ▪ (3) Portfolio management for investment companies (as well as "business development companies" that have made an election pursuant to section 54 of the Investment Company Act of 1940) ▪ (4) Portfolio management for pooled investment vehicles (other than investment companies) ▪ (5) Portfolio management for businesses (other than small businesses) or institutional clients (other than registered investment companies and other pooled investment vehicles) (6) Pension consulting services (7) Selection of other advisers (including private fund managers) (8) Publication of periodicals or newsletters (9) Security ratings or pricing services (10) Market timing services (11) Educational seminars/workshops (12) Other(specify): INVESTMENT CONSULTING, TAX. ACCOUNTING AND INFORMATION MANAGEMENT SERVICES 11 -1 -1 -1 -1 11 -1 Do not check Item 5.G.(3) unless you provide advisory services pursuant to an investment advisory contract to an investment company registered under the Investment Company Act of 1940, including as a subadviser. If you check Item 5.G.(3), report the 811 or 814 number of the investment company or investment companies to which you provide advice in Section 5.G.(3) of Schedule D. H. If you provide financial planning services, to how many clients did you provide these services during your last fiscal year? • 0 • 1 - 10 • 11 - 25 • 26 - 50 • 51 - 100 • 101 - 250 • 251 - 500 EFTA01079290 r More than 500 If more than 500. how many? (round to the nearest 500) In your responses to this Item S.H., do not include as "clients" the investors in a private fund you advise, unless you have a separate advisory relationship with those investors. I. If you participate in a wrap fee program, do you (check all that apply):  (1) sponsor the wrap fee program?  (2) act as a portfolio manager for the wrap fee program? If you are a portfolio manager for a wrap fee program, list the names of the programs and their sponsors in Section 5.I.(2) of Schedule D. If your involvement in a wrap fee program is limited to recommending wrap fee programs to your clients, or you advise a mutual fund that is offered through a wrap fee program, do not check either Item 5.1(1) or 5.I.(2). Yes No J. In response to Item 4.B. of Part 2A of Form ADV, do you indicate that you provide investment advice only with respect to limited types of investments? r SECTION 5.G.(3) Advisers to Registered Investment Companies and Business Development Companies If you check Item 5.G.(3), what is the SEC file number (811 or 814 number) of each of the registered investment companies and business development companies to which you act as an adviser pursuant to an advisory contract? You must complete a separate Schedule D Section 5.G.(3) for each registered investment company and business development company to which you act as an adviser. SEC File Number 811-03651 SEC File Number 811-04556 SEC File Number 81 1-1 0401 SECTION 5.I.(2) Wrap Fee Programs No Information Filed Item 6 Other Business Activities In this Item, we request information about your firm's other business activities. A. You are actively engaged in business as a (check all that apply):  (1) broker-dealer (registered or unregistered)  (2) registered representative of a broker-dealer 1.7 (3) commodity pool operator or commodity trading advisor (whether registered or exempt from registration)  (4) futures commission merchant  (5) real estate broker, dealer, or agent  (6) insurance broker or agent  (7) bank (including a separately identifiable department or division of a bank)  (8) trust company  (9) registered municipal advisor  (10) registered security-based swap dealer  (11) major security-based swap participant P. (12) accountant or accounting firm  (13) lawyer or law firm  (14) other financial product salesperson (specify): If you engage in other business using a name that is different from the names reported in Items 1.A. or 1. B. complete Section 6.A. of Schedule D. B. (1) Are you actively engaged in any other business not listed in Item 6.A. (other than giving investment advice)? (2) If yes. is this other business your primary business? Yes No r r If 'yes." describe this other business on Section es. (2) of Schedule 0, and if you engage in this business under a different name. provide that name. Yes No EFTA01079291 (3) Do you sell products or provide services other than investment advice to your advisory clients? If 'yes." describe this other business on Section 6.11(3) of Schedule 0, and if you engage in this business under a different name. provide that name. r SECTION 6.A. Names of Your Other Businesses No Information Filed SECTION 6.B.(2) Description of Primary Business Describe your primary business (not your investment advisory business): If you engage in that business under a different name, provide that name: SECTION 6.B.(3) Description of Other Products and Services Describe other products or services you sell to your client, You may omit products and services that you listed in Section 6.B.(2) above. WE ALSO PROVIDE GENERAL FINANCIAL ADVICE AND OTHER SERVICES NOT SPECIFICALLY RELATED TO SECURITIES. PLEASE REFER TO THE DESCRIPTION OF SERVICES OFFERED IN ITEM 4. ADVISORY BUSINESS OF OUR FORM ADV PART 2A. If you engage in that business under a different name, provide that name. Item 7 Financial Industry Affiliations In this Item, we request information about your financial industry affiliations and activities. This information identifies areas in which conflicts of interest may occur between you and your clients. A. This part of Item 7 requires you to provide information about you and your related persons, including foreign affiliates. Your related persons are all of your advisory affiliates and any person that is under common control with you. You have a related person that is a (check all that apply):  (1) broker-dealer, municipal securities dealer, or government securities broker or dealer (registered or unregistered)  (2) other investment adviser (including financial planners)  (3) registered municipal advisor  (4) registered security-based swap dealer  (5) major security-based swap participant 1.7 (6) commodity pool operator or commodity trading advisor (whether registered or exempt from registration)  (7) futures commission merchant  (8) banking or thrift institution 1.7 (9) trust company 1.7 (10) accountant or accounting firm  (11) lawyer or law firm  (12) insurance company or agency  (13) pension consultant  (14) real estate broker or dealer  (15) sponsor or syndicator of limited partnerships (or equivalent), excluding pooled investment vehicles 1.7 (16) sponsor, general partner, managing member (or equivalent) of pooled investment vehicles For each related person, including foreign affiliates that may not be registered or required to be registered in the United States, complete Section 7.A. of Schedule D. You do not need to complete Section 7.A. of Schedule 0 for any related person if: (1) you have no business dealings with the related person in connection with advisory services you provide to your clients; (2) you do not conduct shared operations with the related person; (3) you do not refer clients or business to the related person, and the related person does not refer prospective clients or business to you; (4) you do not share supervised persons or premises with the related person; and (5) you have no reason to believe that your relationship with the related person otherwise creates a conflict of interest with your clients. You must complete Section 7.A. of Schedule 0 for each related person acting as qualified custodian in connection with advisory services you provide to your clients (other than any mutual fund transfer agent pursuant to rule 206(4)-2(b)(1)). regardless of whether you have determined the related person to be operationally independent under rule 206(4)-2 of the Advisers Act. SECTION 7.A. Financial Industry Affiliations Complete a separate Schedule D Section 7.A. for each related person listed in Item 7.A. 1. Legal Name of Related Person: ROCKEFELLER TRUST COMPANY. N.A. 2. Primary Business Name of Related Person: ROCKEFELLER TRUST COMPANY, N.A. EFTA01079292 3. Related Person's SEC File Number (if any) (e.g., 801-, 8-. 866-. 802-) or Other 4. Related Person's CRD Number (if any): 5. Related Person is: (check all that apply) (a) r broker-dealer, municipal securities dealer, or government securities broker or dealer (b) r o• ther investment adviser (including financial planners) (c) r- r• egistered municipal advisor (d) r- r• egistered security-based swap dealer (e) r- m• ajor security-based swap participant (f) r- c• ommodity pool operator or commodity trading advisor (whether registered or exempt from registration) (g) r futures commission merchant (h) r b• anking or thrift institution (i) 2" trust company (j) r- accountant or accounting firm (k) r- lawyer or law firm (I) 1- insurance company or agency (m) r p• ension consultant (n) r- r• eal estate broker or dealer (o) r- s• ponsor or syndicator of limited partnerships (or equivalent), excluding pooled investment vehicles (p) r- s• ponsor, general partner, managing member (or equivalent) of pooled investment vehicles 6. Do you control or are you controlled by the related person? 7. Are you and the related person under common control? Yes No • r (;* r 8. (a) Does the related person act as a qualified custodian for your clients in connection with advisory services you provide to clients? (;* r (b) If you are registering or registered with the SEC and you have answered "yes," to question 8(a) above, have you overcome the r (;* presumption that you are not operationally independent (pursuant to rule 206(4)-(2)(d)(5)) from the related person and thus are not required to obtain a surprise examination for your clients' funds or securities that are maintained at the related person? (c) If you have answered "yes" to question 8.(a) above, provide the location of the related person's office responsible for custody of your clients' assets: Number and Street 1: Number and Street 2: 10 ROCKEFELLER PLAZA City: State: Country: ZIN-4/Postal Code: NEW YORK New York United States 10020 If this address is a private residence, check this box: r 9. (a) If the related person is an investment adviser, is it exempt from registration? (b) If the answer is yes, under what exemption? 10. (a) Is the related person registered with a foreign financial regulatory authority? Yes No  r r (b) If the answer is yes, list the name and country, in English. of each foreign financial regulatory authority with which the related person is registered. No Information Filed 11. Do you and the related person share any supervised persons? 12. Do you and the related person share the same physical location? • r • r 1. Legal Name of Related Person: THE ROCKEFELLER TRUST COMPANY (DELAWARE) 2. Primary Business Name of Related Person: THE ROCKEFELLER TRUST COMPANY (DELAWARE) 3. Related Person's SEC File Number (if any) (e.g., 801-, 8-. 866-, 802-) or Other EFTA01079293 4. Related Person's CAD Number (if any): 5. Related Person is: (check all that apply) (a) r broker-dealer, municipal securities dealer, or government securities broker or dealer (b) r o• ther investment adviser (including financial planners) (c) r r• egistered municipal advisor (d) r- r• egistered security-based swap dealer (e) r- m• ajor security-based swap participant (f) r- c• ommodity pool operator or commodity trading advisor (whether registered or exempt from registration) (g) r futures commission merchant (h) r b• anking or thrift institution (i) 17 trust company (j) r- accountant or accounting firm (k) r- lawyer or law firm (I) r insurance company or agency (m) r p• ension consultant (n) r- r• eal estate broker or dealer (o) r- s• ponsor or syndicator of limited partnerships (or equivalent), excluding pooled investment vehicles (p) r- s• ponsor, general partner, managing member (or equivalent) of pooled investment vehicles 6. Do you control or are you controlled by the related person? 7. Are you and the related person under common control? Yes No • r • r 8. (a) Does the related person act as a qualified custodian for your clients in connection with advisory services you provide to clients? r (b) If you are registering or registered with the SEC and you have answered "yes," to question 8(a) above, have you overcome the presumption that you are not operationally independent (pursuant to rule 206(4)-(2)(d)(5)) from the related person and thus are not required to obtain a surprise examination for your clients' funds or securities that are maintained at the related person? (c) If you have answered "yes" to question 8.(a) above, provide the location of the related person's office responsible for custody of your clients' assets: Number and Street 1: Number and Street 2: City: State: Country: ZIP4-4/Postal Code: If this address is a private residence, check this box: r 9. (a) If the related person is an investment adviser, is it exempt from registration? (b) If the answer is yes, under what exemption? Yes No  r 10. (a) Is the related person registered with a foreign financial regulatory authority? r (b) If the answer is yes, list the name and country, in English. of each foreign financial regulatory authority with which the related person is registered. No Information Filed 11. Do you and the related person share any supervised persons? 12. Do you and the related person share the same physical location? • r r P 1. Legal Name of Related Person: ROCKEFELLER FUND MANAGERS. LLC 2. Primary Business Name of Related Person: ROCKEFELLER FUND MANAGERS. LLC 3. Related Person's SEC File Number (if any) (e.g., 801-, 8-. 866-. 802-) or Other 4. Related Person's CRD Number (if any): 5. Related Person is: (check all that apply) (a) r- b• roker-dealer, municipal securities dealer, or government securities broker or dealer (b) r o• ther investment adviser (including financial planners) (c) r r• egistered municipal advisor (d) r- r• egistered security-based swap dealer (e) r- m• ajor security-based swap participant (f) 2" c• ommodity pool operator or commodity trading advisor (whether registered or exempt from registration) EFTA01079294 (g) r futures commission merchant (h) r b• anking or thrift institution (i) r trust company (j) r accountant or accounting firm (k) r lawyer or law firm (I) r insurance company or agency (m) r p• ension consultant (n) r r• eal estate broker or dealer (o) r s• ponsor or syndicator of limited partnerships (or equivalent), excluding pooled investment vehicles (p) 17 s• ponsor, general partner, managing member (or equivalent) of pooled investment vehicles 6. Do you control or are you controlled by the related person? 7. Are you and the related person under common control? Yes No • r • r 8. (a) Does the related person act as a qualified custodian for your clients in connection with advisory services you provide to clients? r (b) If you are registering or registered with the SEC and you have answered "yes," to question 8(a) above, have you overcome the presumption that you are not operationally independent (pursuant to rule 206(4)-(2)(d)(5)) from the related person and thus are not required to obtain a surprise examination for your clients' funds or securities that are maintained at the related person? (c) If you have answered "yes" to question 8.(a) above, provide the location of the related person's office responsible for custody of your clients' assets: Number and Street 1: Number and Street 2: City: State: Country: ZIP4-4/Postal Code: If this address is a private residence, check this box: r 9. (a) If the related person is an investment adviser, is it exempt from registration? (b) If the answer is yes, under what exemption? 10. (a) Is the related person registered with a foreign financial regulatory authority? Yes No  r r (b) If the answer is yes, list the name and country, in English. of each foreign financial regulatory authority with which the related person is registered. No Information Filed 11. Do you and the related person share any supervised persons? 12. Do you and the related person share the same physical location? L • r r P 1. Legal Name of Related Person: ROCKEFELLER PARTNERSHIP SERVICES, INC. 2. Primary Business Name of Related Person: ROCKEFELLER PARTNERSHIP SERVICES, INC. 3. Related Person's SEC File Number (if any) (e.g., 801-, 8-. 866-. 802-) or Other 4. Related Person's CRD Number (if any): 5. Related Person is: (check all that apply) (a) r (b) r (c) r (d) r (e) r (0 P. (9) r (h) r (i) r o) r (k) r (0 r (m) r (n) r (o) r (p) 1.7 broker-dealer, municipal securities dealer, or government securities broker or dealer other investment adviser (including financial planners) registered municipal advisor registered security-based swap dealer major security-based swap participant commodity pool operator or commodity trading advisor (whether registered or exempt from registration) futures commission merchant banking or thrift institution trust company accountant or accounting firm lawyer or law firm insurance company or agency pension consultant real estate broker or dealer sponsor or syndicator of limited partnerships (or equivalent), excluding pooled investment vehicles sponsor, general partner, managing member (or equivalent) of pooled investment vehicles EFTA01079295 6. Do you control or are you controlled by the related person? 7. Are you and the related person under common control? Yes No • r • r 8. (a) Does the related person act as a qualified custodian for your clients in connection with advisory services you provide to clients? r (b) If you are registering or registered with the SEC and you have answered "yes," to question 8(a) above, have you overcome the r r presumption that you are not operationally independent (pursuant to rule 206(4)-(2)(d)(5)) from the related person and thus are not required to obtain a surprise examination for your clients' funds or securities that are maintained at the related person? (c) If you have answered "yes" to question 8.(a) above, provide the location of the related person's office responsible for custody of your clients' assets: Number and Street 1: Number and Street 2: City: State: Country: ZIN-4/Postal Code: If this address is a private residence, check this box: r 9. (a) If the related person is an investment adviser, is it exempt from registration? (b) If the answer is yes, under what exemption? 10. (a) Is the related person registered with a foreign financial regulatory authority? Yes No  r r (b) If the answer is yes, list the name and country, in English. of each foreign financial regulatory authority with which the related person is registered. No Information Filed 11. Do you and the related person share any supervised persons? 12. Do you and the related person share the same physical location? • r • r EFTA01079296 Item 7 Private Fund Reporting Yes No B. Are you an adviser to any private fund? r If "yes." then for each private fund that you advise. you must complete a Section 7.8. (1) of Schedule 0, except in certain circumstances described in the next sentence and in Instruction 6 of the Instructions to Part 1A. If another adviser reports this information with respect to any such private fund in Section 7.11(1) of Schedule 0 of its Form ADV (e.g., if you are a subadviser), do not complete Section 7.11(1) of Schedule 0 with respect to that private fund. You must, instead. complete Section 7.11(2) of Schedule D. In either case, if you seek to preserve the anonymity of a private fund client by maintaining its identity in your books and records in numerical or alphabetical code, or similar designation, pursuant to rule 204-2(d). you may identify the private fund in Section 7.11(1) or 7.8. (2) of Schedule 0 using the same code or designation in place of the fund's name. SECTION 7.B.(1) Private Fund Reporting A. PRIVATE FUND Information About the Private Fund 1. (a) Name of the private fund: 2006 SPECIAL GLOBAL OPPORTUNITIES LLC (b) Private fund identification number: (include the "805-" prefix also) 2. Under the laws of what state or country is the private fund organized: State: Country: Delaware United States 3. Name(s) of General Partner, Manager, Trustee, or Directors (or persons serving in a similar capacity): Name, of Genertil Partner, Manager, Trustee, or Director • & CO., INC. 4. The private fund (check all that apply; you must check at least one): 17 (1 ) qualifies for the exclusion from the definition of investment company under section 3(c)(1) of the Investment Company Act of 1940 r (2) qualifies for the exclusion from the definition of investment company under section 3(c)(7) of the Investment Company Act of 1940 5. List the name and country. in English. of each foreign financial regulatory authority with which the private fund is registered. No Information Filed 6. (a) Is this a "master fund" in a master-feeder arrangement? (b) If yes. what is the name and private fund identification number (if any) of the feeder funds investing in this private fund? Yes No 0 € No Information Filed (c) Is this a "feeder fund" in a master-feeder arrangement? (d) If yes. what is the name and private fund identification number (if any) of the master fund in which this private fund invests? Name of the Private Fund: Private Fund Identification Number: (include the "805-" prefix also) Yes No fi € NOTE: You must complete question 6 for each master-feeder arrangement regardless of whether you are filing a single Schedule D, Section 7.B.(1). for the master-feeder arrangement or reporting on the funds separately. 7. If you are filing a single Schedule D, Section 7.B.(1) for a master-feeder arrangement according to the instructions to this Section 7.B.(1), for each of EFTA01079297 the feeder funds answer the following questions: No Information Filed NOTE: For purposes of questions 6 and 7, in a master-feeder arrangement. one or more funds ("feeder funds") invest all or substantially all of their assets in a single fund ("master fund"). A fund would also be a "feeder fund" investing in a "master fund" for purposes of this question if it issued multiple classes (or series) of shares or interests, and each class (or series) invests substantially all of its assets in a single master fund. 8. (a) Is this private fund a "fund of funds"? (b) If yes, does the private fund invest in funds managed by you or by a related person? NOTE: For purposes of this question only. answer "yes" if the fund invests 10 percent or more of its total assets in other pooled investment vehicles, whether or not they are also private funds, or registered investment companies. 9. During your last fiscal year, did the private fund invest in securities issued by investment companies registered under the Investment Company Act of 1940 (other than "money market funds." to the extent provided in Instruction 6.e.)? Yes No r r Yes No (- 10. What type of fund is the private fund? r hedge fund r liquidity fund a private equity fund r real estate fund r securitized asset fund r venture capital fund r Other private fund NOTE: For funds of funds, refer to the funds in which the private fund invests. For definitions of these fund types, please see Instruction 6 of the Instructions to Part 1A. 11. Current gross asset value of the private fund: $ 12,957,234 Ownership 12. Minimum investment commitment required of an investor in the private fund: $ 1,000,000 NOTE: Report the amount routinely required of investors who are not your related persons (even if different from the amount set forth in the organizational documents of the fund). 13. Approximate number of the private funds beneficial owners: 26 14. What is the approximate percentage of the private fund beneficially owned by you and your related persons: 0% 15. What is the approximate percentage of the private fund beneficially owned (in the aggregate) by funds of funds: 0% 16. What is the approximate percentage of the private fund beneficially owned by non-United States persons: 0% Your Advisory Services 17. (a) Are you a subadviser to this private fund? Yes No r (b) If the answer to question 17(a) is "yes," provide the name and SEC file number, if any, of the adviser of the private fund. If the answer to question 17(a) is "no." leave this question blank. No Information Filed 18. (a) Do any other investment advisers advise the private fund? Yes No (b) If the answer to question 18(a) is "yes," provide the name and SEC file number, if any, of the other advisers to the private fund. If the answer to question 18(a) is "no." leave this question blank. No Information Filed 19. Are your clients solicited to invest in the private fund? 20. Approximately what percentage of your clients has invested in the private fund? Yes No 0 € EFTA01079298 1% Private Offering 21. Does the private fund rely on an exemption from registration of its securities under Regulation D of the Securities Act of 1933? 22. If yes, provide the private funds Form D file number (if any): No Information Filed Yes No • s B. SERVICE PROVIDERS Auditors 23. (a) (1) Are the private funds financial statements subject to an annual audit? (2) Are the financial statements prepared in accordance with U.S. GAAP? Yes No O 0 O 0 If the answer to 23(a)(1) is "yes," respond to questions (b) through (f) below. If the private fund uses more than one auditing firm, you must complete questions (b) through (f) separately for each auditing firm. Additional Auditor Information :1 Record(s) Filed. If the answer to 23(a)(1) is "yes," respond to questions (b) through (f) below. If the private fund uses more than one auditing firm, you must complete questions (b) through (f) separately for each auditing firm. (b) Name of the auditing firm: DELOITTE & TOUCHE LLP (c) The location of the auditing firm's office responsible for the private funds audit (city, state and country): City: State: Country: (d) is the auditing firm an independent public accountant? (e) is the auditing firm registered with the Public Company Accounting Oversight Board? (f) If "yes" to (e) above, is the auditing firm subject to regular inspection by the Public Company Accounting Oversight Board in accordance with its rules? Yes No O 0 O 0 O 0 Yes No (g) Are the private funds audited financial statements distributed to the private funds investors? 0 0 (h) Does the report prepared by the auditing firm contain an unqualified opinion? O Yes O No e Report Not Yet Received If you check "Report Not Yet Received," you must promptly file an amendment to your Form ADV to update your response when the report is available. Prime Broker Yes No 24. (a) Does the private fund use one or more prime brokers? € If the answer to 24(a) is "yes," respond to questions (b) through (e) below for each prime broker the private fund uses. If the private fund uses more than one prime broker, you must complete questions (b) through (e) separately for each prime broker. L No Information Filed Custodian 25. (a) Does the private hind use any custodians (including the prime brokers listed above) to hold some or all of its assets? Yes No 07) 0 If the answer to 25(a) is "yes," respond to questions (b) through (f) below for each custodian the private fund uses. If the private fund uses more than one custodian, you must complete questions (b) through (f) separately for each custodian. Additional Custodian Information :1 Record(s) Filed. EFTA01079299 If the answer to 25(a) is "yes." respond to questions (b) through (f) below for each custodian the private fund uses. If the private fund uses more than one custodian, you must complete questions (b) through (f) separately for each custodian. (b) Legal name of custodian: STATE STREET BANK & TRUST CO. (c) Primary business name of custodian: STATE STREET BANK & TRUST CO. (d) The location of the custodian's office responsible for custody of the private funds assets (city. state and country): City: State: Country: Yes No (e) Is the custodian a related person of your firm? (f) If the custodian is a broker-dealer, provide its SEC registration number (if any) CRD Number (if any): Administrator 0 € Yes No 26. (a) Does the private fund use an administrator other than your firm? € If the answer to 26(a) is "yes," respond to questions (b) through (f) below. If the private fund uses more than one administrator, you must complete questions (b) through (f) separately for each administrator. Additional Administrator Information : 1 Record(s) Filed. If the answer to 26(a) is "yes," respond to questions (b) through (f) below. If the private fund uses more than one administrator, you must complete questions (b) through (f) separately for each administrator. (b) Name of the administrator: ROCKIT SOLUTIONS LLC (c) Location of administrator (city. state and country): City: State: (d) Is the administrator a related person of your firm? Country: (e) Does the administrator prepare and send investor account statements to the private funds investors? ' Yes (provided to all investors) r Some (provided to some but not all investors) r No (provided to no investors) Yes No € (f) If the answer to 26(e) is "no" or "some." who sends the investor account statements to the (rest of the) private funds investors? If investor account statements are not sent to the (rest of the) private funds investors, respond "not applicable." 27. During your last fiscal year, what percentage of the private funds assets (by value) was valued by a person, such as an administrator, that is not your related person? 0% Include only those assets where (i) such person carried out the valuation procedure established for that asset, if any. including obtaining any relevant quotes, and (ii) the valuation used for purposes of investor subscriptions, redemptions or distributions, and fee calculations (including allocations) was the valuation determined by such person. Marketers Yes No 28. (a) Does the private fund use the services of someone other than you or your employees for marketing purposes? C C•7 You must answer "yes" whether the person acts as a placement agent, consultant, finder, introducer, municipal advisor or other solicitor, or similar person. If the answer to 28(a) is "yes", respond to questions (b) through (g) below for each such marketer the private fund uses. If the private fund uses more than one marketer you must complete questions (b) through (g) separately for each marketer. EFTA01079300 No Information Filed T. PRIVATE FUND Information About the Private Fund 1. (a) Name of the private fund: 5500 FUND LP (b) Private fund identification number: (include the "805-" prefix also) 2. Under the laws of what state or country is the private fund organized: State: Country: New York United States 3. Name(s) of General Partner, Manager, Trustee, or Directors (or persons serving in a similar capacity): Name of General Partner, Manager, Trustee, or Director • & CO., INC. 4. The private fund (check all that apply; you must check at least one): P' (1 ) qualifies for the exclusion from the definition of investment company under section 3(c)(1) of the Investment Company Act of 1940 r (2) qualifies for the exclusion from the definition of investment company under section 3(c)(7) of the Investment Company Act of 1940 5. List the name and country. in English. of each foreign financial regulatory authority with which the private fund is registered. No Information Filed Yes No 6. (a) Is this a "master fund" in a master-feeder arrangement? (b) If yes. what is the name and private fund identification number (if any) of the feeder funds investing in this private fund? No Information Filed Yes No (c) Is this a "feeder fund" in a master-feeder arrangement? (d) If yes. what is the name and private fund identification number (if any) of the master fund in which this private fund invests? Name of the Private Fund: Private Fund Identification Number: (include the "805-" prefix also) s NOTE: You must complete question 6 for each master-feeder arrangement regardless of whether you are filing a single Schedule D, Section 7.B.(1). for the master-feeder arrangement or reporting on the funds separately. 7. If you are filing a single Schedule D, Section 7.B.(1) for a master-feeder arrangement according to the instructions to this Section 7.B.(1), for each of the feeder funds answer the following questions: No Information Filed NOTE: For purposes of questions 6 and 7, in a master-feeder arrangement. one or more funds ("feeder funds") invest all or substantially all of their assets in a single fund ("master fund"). A fund would also be a "feeder fund" investing in a "master fund" for purposes of this question if it issued multiple classes (or series) of shares or interests, and each class (or series) invests substantially all of its assets in a single master fund. Yes No 8. (a) Is this private fund a "fund of funds"? s (b) If yes, does the private fund invest in funds managed by you or by a related person? 0 0 NOTE: For purposes of this question only. answer "yes" if the fund invests 10 percent or more of its total assets in other pooled investment EFTA01079301 vehicles, whether or not they are also private funds, or registered investment companies. Yes No 9. During your last fiscal year, did the private fund invest in securities issued by investment companies registered under the Investment Company Act of 1940 (other than "money market funds." to the extent provided in Instruction 6.e.)? O G 10. What type of fund is the private fund? r hedge fund r liquidity fund r private equity fund r real estate fund r securitized asset fund r venture capital fund Other private fund LONG-ONLY INVESTMENT FUND NOTE: For funds of funds, refer to the funds in which the private fund invests. For definitions of these fund types, please see Instruction 6 of the Instructions to Part 1A. 11. Current gross asset value of the private fund: $ 114,634,460 Ownership 12. Minimum investment commitment required of an investor in the private fund: $ 100,000 NOTE: Report the amount routinely required of investors who are not your related persons (even if different from the amount set forth in the organizational documents of the fund). 13. Approximate number of the private funds beneficial owners: 47 14. What is the approximate percentage of the private fund beneficially owned by you and your related persons: 2% 15. What is the approximate percentage of the private fund beneficially owned (in the aggregate) by funds of funds: 15% 16. What is the approximate percentage of the private fund beneficially owned by non-United States persons: 0% Your Advisory Services 17. (a) Are you a subadviser to this private fund? Yes No (b) If the answer to question 17(a) is "yes," provide the name and SEC file number, if any, of the adviser of the private fund. If the answer to question 17(a) is "no." leave this question blank. No Information Filed 18. (a) Do any other investment advisers advise the private fund?  eFi H Yes No (b) If the answer to question 18(a) is "yes," provide the name and SEC file number, if any, of the other advisers to the private fund. If the answer to question 18(a) is "no." leave this question blank. No Information Filed 19. Are your clients solicited to invest in the private fund? 20. Approximately what percentage of your clients has invested in the private fund? 2% Private Offering 21. Does the private fund rely on an exemption from registration of its securities under Regulation D of the Securities Act of 1933? 22. If yes, provide the private funds Form D file number (if any): No Information Filed 1 Yes No e 0 Yes No • S B. SERVICE PROVIDERS EFTA01079302 Auditors 23. (a) (1) Are the private funds financial statements subject to an annual audit? (2) Are the financial statements prepared in accordance with U.S. GAAP? Yes No r r If the answer to 23(a)(1) is "yes." respond to questions (b) through (f) below. If the private fund uses more than one auditing firm, you must complete questions (b) through (f) separately for each auditing firm. Additional Auditor Information : 1 Record(s) Flied. If the answer to 23(a)(1) is "yes." respond to questions (b) through (f) below. If the private fund uses more than one auditing firm, you must complete questions (b) through (f) separately for each auditing firm. (b) Name of the auditing firm: (c) DELOITTE & TOUCHE LLP The location of the auditing firm's office responsible for the private funds audit (city, state and country): City: State: Country: Yes No (d) Is the auditing firm an independent public accountant? Os) a (e) Is the auditing firm registered with the Public Company Accounting Oversight Board? € O (f) If "yes" to (e) above, is the auditing firm subject to regular inspection by the Public Company Accounting Oversight Board in accordance with its rules? € O Yes No (g) Are the private funds audited financial statements distributed to the private funds investors? € a (h) Does the report prepared by the auditing firm contain an unqualified opinion? r Yes r No a Report Not Yet Received If you check "Report Not Yet Received," you must promptly file an amendment to your Form ADV to update your response when the report is available. Prime Broker 24. (a) Does the private fund use one or more prime brokers? Yes No r If the answer to 24(a) is "yes," respond to questions (b) through (e) below for each prime broker the private fund uses. If the private fund uses more than one prime broker, you must complete questions (b) through (e) separately for each prime broker. No Information Filed Custodian Yes No 25. (a) Does the private fund use any custodians (including the prime brokers listed above) to hold some or all of its assets? If the answer to 25(a) is "yes." respond to questions (b) through (f) below for each custodian the private fund uses. If the private fund uses more than one custodian, you must complete questions (b) through (f) separately for each custodian. r Additional Custodian Information : 1 Record(s) Filed. If the answer to 25(a) is "yes." respond to questions (b) through (f) below for each custodian the private fund uses. If the private fund uses more than one custodian, you must complete questions (b) through (f) separately for each custodian. (b) Legal name of custodian: STATE STREET BANK & TRUST CO. (c) Primary business name of custodian: STATE STREET BANK & TRUST CO. (d) The location of the custodian's office responsible for custody of the private funds assets (city, state and country): City: State: Country: EFTA01079303 BOSTON Massachusetts United States Yes No (e) Is the custodian a related person of your firm? (f) If the custodian is a broker-dealer, provide its SEC registration number (if any) CRD Number (if any): Administrator 26. (a) Does the private fund use an administrator other than your firm? 0 G Yes No If the answer to 26(a) is "yes," respond to questions (b) through (f) below. If the private fund uses more than one administrator, you must complete questions (b) through (f) separately for each administrator. C Additional Administrator Information : 1 Record(s) Filed. If the answer to 26(a) is "yes," respond to questions (b) through (f) below. If the private fund uses more than one administrator, you must complete questions (b) through (f) separately for each administrator. (b) Name of the administrator: ROCKIT SOLUTIONS LLC (c) Location of administrator (city. state and country): City: State: Country: STAMFORD Connecticut United States (d) Is the administrator a related person of your firm? (e) Does the administrator prepare and send investor account statements to the private funds investors? . Yes (provided to all investors) r Some (provided to some but not all investors) r No (provided to no investors) Yes No G (f) If the answer to 26(e) is "no" or "some," who sends the investor account statements to the (rest of the) private funds investors? If investor account statements are not sent to the (rest of the) private funds investors, respond "not applicable." 27. During your last fiscal year, what percentage of the private funds assets (by value) was valued by a person, such as an administrator, that is not your related person? 0% Include only those assets where (i) such person carried out the valuation procedure established for that asset, if any. including obtaining any relevant quotes, and (ii) the valuation used for purposes of investor subscriptions, redemptions or distributions, and fee calculations (including allocations) was the valuation determined by such person. Marketers 28. (a) Does the private fund use the services of someone other than you or your employees for marketing purposes? Yes No r You must answer "yes" whether the person acts as a placement agent, consultant, finder, introducer, municipal advisor or other solicitor, or similar person. If the answer to 28(a) is "yes", respond to questions (b) through (g) below for each such marketer the private fund uses. If the private fund uses more than one marketer you must complete questions (b) through (g) separately for each marketer. No Information Filed A. PRIVATE FUND Information About the Private Fund 1. (a) Name of the private fund: FLP002 EFTA01079304 (b) Private fund identification number: (include the "805-" prefix also) 2. Under the laws of what state or country is the private fund organized: State: Country: California United States 3. Name(s) of General Partner. Manager, Trustee, or Directors (or persons serving in a similar capacity): Nan% of Genenil Partner, Manager, Trustee, or Director 4. The private fund (check all that apply; you must check at least one): P' (1 ) qualifies for the exclusion from the definition of investment company under section 3(c)(1) of the Investment Company Act of 1940 r (2) qualifies for the exclusion from the definition of investment company under section 3(c)(7) of the Investment Company Act of 1940 5. List the name and country. in English. of each foreign financial regulatory authority with which the private fund is registered. No Information Filed Yes No 6. (a) Is this a "master fund" in a master-feeder arrangement? (b) If yes. what is the name and private fund identification number (if any) of the feeder funds investing in this private fund? O € No Information Filed Yes No (c) Is this a "feeder fund" in a master-feeder arrangement? (d) If yes. what is the name and private fund identification number (if any) of the master fund in which this private fund invests? Name of the Private Fund: Private Fund Identification Number: (include the "805-" prefix also) NOTE: You must complete question 6 for each master-feeder arrangement regardless of whether you are filing a single Schedule D, Section 7.B.(1). for the master-feeder arrangement or reporting on the funds separately. 7. If you are filing a single Schedule D, Section 7.B.(1) for a master-feeder arrangement according to the instructions to this Section 7.6.(1), for each of the feeder funds answer the following questions: No Information Filed NOTE: For purposes of questions 6 and 7, in a master-feeder arrangement. one or more funds ("feeder funds") invest all or substantially all of their assets in a single fund ("master fund"). A fund would also be a "feeder fund" investing in a "master fund" for purposes of this question if it issued multiple classes (or series) of shares or interests, and each class (or series) invests substantially all of its assets in a single master fund. 8. (a) Is this private fund a "fund of funds"? (b) If yes, does the private fund invest in funds managed by you or by a related person? NOTE: For purposes of this question only. answer "yes" if the fund invests 10 percent or more of its total assets in other pooled investment vehicles, whether or not they are also private funds, or registered investment companies. 9. During your last fiscal year, did the private fund invest in securities issued by investment companies registered under the Investment Company Act of 1940 (other than "money market funds." to the extent provided in Instruction 6.e.)? Yes No • r • r Yes No O € 10. What type of fund is the private fund? r hedge fund r liquidity fund r private equity fund r real estate fund r securitized asset fund r venture capital fund a Other private fund INVESTMENT FUND NOTE: For funds of funds, refer to the funds in which the private fund invests. For definitions of these fund types, please see Instruction 6 of the Instructions to Part 1A. EFTA01079305 11. Current gross asset value of the private fund: $ 39,369,726 Ownership 12. Minimum investment commitment required of an investor in the private fund: $ 0 NOTE: Report the amount routinely required of investors who are not your related persons (even if different from the amount set forth in the organizational documents of the fund). 13. Approximate number of the private funds beneficial owners: 9 14. What is the approximate percentage of the private fund beneficially owned by you and your related persons: 0% 15. What is the approximate percentage of the private fund beneficially owned (in the aggregate) by funds of funds: 0% 16. What is the approximate percentage of the private fund beneficially owned by non-United States persons: 0% Your Advisory Services 17. (a) Are you a subadviser to this private fund? Yes No r (b) If the answer to question 17(a) is "yes," provide the name and SEC file number, if any, of the adviser of the private fund. If the answer to question 17(a) is "no," leave this question blank. No Information Filed 18. (a) Do any other investment advisers advise the private fund? Yes No (b) If the answer to question 18(a) is "yes," provide the name and SEC file number, if any, of the other advisers to the private fund. If the answer to question 18(a) is "no." leave this question blank. No Information Filed 19. Are your clients solicited to invest in the private fund? 20. Approximately what percentage of your clients has invested in the private fund? 0% Private Offering 21. Does the private fund rely on an exemption from registration of its securities under Regulation D of the Securities Act of 1933? 22. If yes, provide the private funds Form D file number (if any): L B. SERVICE PROVIDERS Auditors No Information Filed 23. (a) (1) Are the private funds financial statements subject to an annual audit? (2) Are the financial statements prepared in accordance with U.S. GAAP? Yes No 0 € Yes No 0 € Yes No r If the answer to 23(a)(1) is "yes." respond to questions (b) through (f) below. If the private fund uses more than one auditing firm, you must complete questions (b) through (f) separately for each auditing firm. No Information Filed Yes No EFTA01079306 (g) Are the private funds audited financial statements distributed to the private funds investors? 0 s (h) Does the report prepared by the auditing firm contain an unqualified opinion? r Yes r No a Report Not Yet Received If you check "Report Not Yet Received," you must promptly file an amendment to your Form ADV to update your response when the report is available. Prime Broker Yes No 24. (a) Does the private fund use one or more prime brokers? r If the answer to 24(a) is "yes," respond to questions (b) through (e) below for each prime broker the private fund uses. If the private fund uses more than one prime broker, you must complete questions (b) through (e) separately for each prime broker. L Custodian No Information Filed 25. (a) Does the private fund use any custodians (including the prime brokers listed above) to hold some or all of its assets? Yes No If the answer to 25(a) is "yes." respond to questions (b) through (f) below for each custodian the private fund uses. If the private fund uses more than one custodian, you must complete questions (b) through (f) separately for each custodian. Additional Custodian Information : 1 Record(s) Filed. r If the answer to 25(a) is "yes." respond to questions (b) through (f) below for each custodian the private fund uses. If the private fund uses more than one custodian, you must complete questions (b) through (f) separately for each custodian. (b) Legal name of custodian: J.P. MORGAN CHASE (c) Primary business name of custodian: J.P. MORGAN CHASE (d) The location of the custodian's office responsible for custody of the private funds assets (city, state and country): City: State: Country: (e) Is the custodian a related person of your firm? (f) If the custodian is a broker-dealer, provide its SEC registration number (if any) CRD Number (if any): Administrator 26. (a) Does the private fund use an administrator other than your firm? Yes No € Yes No r re; If the answer to 26(a) is "yes," respond to questions (b) through (f) below. If the private fund uses more than one administrator, you must complete questions (b) through (f) separately for each administrator. No Information Filed 27. During your last fiscal year, what percentage of the private funds assets (by value) was valued by a person, such as an administrator, that is not your related person? 0% Include only those assets where (i) such person carried out the valuation procedure established for that asset, if any. including obtaining any relevant quotes, and (ii) the valuation used for purposes of investor subscriptions, redemptions or distributions, and fee calculations (including allocations) was the valuation determined by such person. Marketers EFTA01079307 Yes No 28. (a) Does the private fund use the services of someone other than you or your employees for marketing purposes? r You must answer "yes" whether the person acts as a placement agent, consultant, finder, introducer, municipal advisor or other solicitor, or similar person. If the answer to 28(a) is "yes", respond to questions (b) through (g) below for each such marketer the private fund uses. If the private fund uses more than one marketer you must complete questions (b) through (g) separately for each marketer. No Information Filed A. PRIVATE FUND Information About the Private Fund 1. (a) Name of the private fund: FLP016 (b) Private fund identification number: (include the "805-" prefix also) 2. Under the laws of what state or country is the private fund organized: State: Country: Delaware United States 3. Name(s) of General Partner. Manager, Trustee, or Directors (or persons serving in a similar capacity): Name of General Partner, Manager, Trustee, or Director 4. The private fund (check all that apply; you must check at least one): P' (1 ) qualifies for the exclusion from the definition of investment company under section 3(c)(1) of the Investment Company Act of 1940 r (2) qualifies for the exclusion from the definition of investment company under section 3(c)(7) of the Investment Company Act of 1940 5. List the name and country. in English. of each foreign financial regulatory authority with which the private fund is registered. No Information Filed 6. (a) Is this a "master fund" in a master-feeder arrangement? (b) If yes. what is the name and private fund identification number (if any) of the feeder funds investing in this private fund? Yes No € No Information Filed (c) Is this a "feeder fund" in a master-feeder arrangement? (d) If yes. what is the name and private fund identification number (if any) of the master fund in which this private fund invests? Name of the Private Fund: Private Fund Identification Number: (include the "805-" prefix also) Yes No € NOTE: You must complete question 6 for each master-feeder arrangement regardless of whether you are filing a single Schedule D, Section 7.B.(1). for the master-feeder arrangement or reporting on the funds separately. 7. If you are filing a single Schedule D, Section 7.B.(1) for a master-feeder arrangement according to the instructions to this Section 7.6.(1), for each of the feeder funds answer the following questions: No Information Filed NOTE: For purposes of questions 6 and 7, in a master-feeder arrangement. one or more funds ("feeder funds") invest all or substantially all of their assets in a single fund ("master fund"). A fund would also be a "feeder fund" investing in a "master fund" for purposes of this question if it issued EFTA01079308 multiple classes (or series) of shares or interests, and each class (or series) invests substantially all of its assets in a single master fund. Yes No 8. (a) Is this private fund a "fund of funds"? (b) If yes, does the private fund invest in funds managed by you or by a related person? € 0 NOTE: For purposes of this question only. answer "yes" if the fund invests 10 percent or more of its total assets in other pooled investment vehicles, whether or not they are also private funds, or registered investment companies. 9. During your last fiscal year, did the private fund invest in securities issued by investment companies registered under the Investment Company Act of 1940 (other than "money market funds." to the extent provided in Instruction 6.e.)? Yes No 0 € 10. What type of fund is the private fund? r hedge fund r liquidity fund r private equity fund r real estate fund r securitized asset fund r venture capital fund Other private fund INVESTMENT FUND NOTE: For funds of funds, refer to the funds in which the private fund invests. For definitions of these fund types, please see Instruction 6 of the Instructions to Part 1A. 11. Current gross asset value of the private fund: $ 4,648,200 Ownership 12. Minimum investment commitment required of an investor in the private fund: $ 0 NOTE: Report the amount routinely required of investors who are not your related persons (even if different from the amount set forth in the organizational documents of the fund). 13. Approximate number of the private funds beneficial owners: 15 14. What is the approximate percentage of the private fund beneficially owned by you and your related persons: 0% 15. What is the approximate percentage of the private fund beneficially owned (in the aggregate) by funds of funds: 0% 16. What is the approximate percentage of the private fund beneficially owned by non-United States persons: 0% Your Advisory Services 17. (a) Are you a subadviser to this private fund? Yes No (b) If the answer to question 17(a) is "yes," provide the name and SEC file number, if any, of the adviser of the private fund. If the answer to question 17(a) is "no." leave this question blank. No Information Filed 18. (a) Do any other investment advisers advise the private fund? r Yes No r (b) If the answer to question 18(a) is "yes," provide the name and SEC file number, if any, of the other advisers to the private fund. If the answer to question 18(a) is "no." leave this question blank. No Information Filed 19. Are your clients solicited to invest in the private fund? 20. Approximately what percentage of your clients has invested in the private fund? 1% Private Offering 21. Does the private fund rely on an exemption from registration of its securities under Regulation D of the Securities Act of 1933? Yes No Yes No 0 € EFTA01079309 22. If yes, provide the private funds Form D file number (if any): No Information Filed B. SERVICE PROVIDERS Auditors 23. (a) (1) Are the private funds financial statements subject to an annual audit? (2) Are the financial statements prepared in accordance with U.S. GAAP? Yes No r r If the answer to 23(a)(1) is "yes." respond to questions (b) through (f) below. If the private fund uses more than one auditing firm, you must complete questions (b) through (f) separately for each auditing firm. No Information Filed Yes No (g) Are the private funds audited financial statements distributed to the private funds investors? C (h) Does the report prepared by the auditing firm contain an unqualified opinion? r Yes r No a Report Not Yet Received If you check "Report Not Yet Received," you must promptly file an amendment to your Form ADV to update your response when the report is available. Prime Broker 24. (a) Does the private fund use one or more prime brokers? Yes No r If the answer to 24(a) is "yes," respond to questions (b) through (e) below for each prime broker the private fund uses. If the private fund uses more than one prime broker, you must complete questions (b) through (e) separately for each prime broker. No Information Filed Custodian Yes No 25. (a) Does the private fund use any custodians (including the prime brokers listed above) to hold some or all of its assets? If the answer to 25(a) is "yes," respond to questions (b) through (f) below for each custodian the private fund uses. If the private fund uses more than one custodian, you must complete questions (b) through (f) separately for each custodian. C Additional Custodian Information : 1 Record(s) Filed. If the answer to 25(a) is "yes." respond to questions (b) through (f) below for each custodian the private fund uses. If the private fund uses more than one custodian, you must complete questions (b) through (f) separately for each custodian. (b) Legal name of custodian: STATE STREET BANK & TRUST CO. (c) Primary business name of custodian: STATE STREET BANK & TRUST CO. (d) The location of the custodian's office responsible for custody of the private funds assets (city, state and country): City: State: Country: (e) Is the custodian a related person of your firm? (f) If the custodian is a broker-dealer, provide its SEC registration number (if any) CRD Number (if any): Yes No 0 € EFTA01079310 Administrator Yes No 26. (a) Does the private fund use an administrator other than your firm? C If the answer to 26(a) is "yes," respond to questions (b) through (f) below. If the private fund uses more than one administrator, you must complete questions (b) through (f) separately for each administrator. Additional Administrator Information : 1 Record(s) Filed. If the answer to 26(a) is "yes," respond to questions (b) through (f) below. If the private fund uses more than one administrator, you must complete questions (b) through (f) separately for each administrator. (b) Name of the administrator: ROCKIT SOLUTIONS LLC (c) Location of administrator (city. state and country): (d) Is the administrator a related person of your firm? (e) Does the administrator prepare and send investor account statements to the private funds investors? is Yes (provided to all investors) r Some (provided to some but not all investors) r No (provided to no investors) Yes No 01 (f) If the answer to 26(e) is "no" or "some." who sends the investor account statements to the (rest of the) private funds investors? If investor account statements are not sent to the (rest of the) private funds investors, respond "not applicable." 27. During your last fiscal year, what percentage of the private funds assets (by value) was valued by a person, such as an administrator, that is not your related person? 0% Include only those assets where (i) such person carried out the valuation procedure established for that asset, if any. including obtaining any relevant quotes, and (ii) the valuation used for purposes of investor subscriptions, redemptions or distributions, and fee calculations (including allocations) was the valuation determined by such person. Marketers 28. (a) Does the private fund use the services of someone other than you or your employees for marketing purposes? Yes No r You must answer "yes" whether the person acts as a placement agent, consultant, finder, introducer, municipal advisor or other solicitor, or similar person. If the answer to 28(a) is "yes", respond to questions (b) through (g) below for each such marketer the private fund uses. If the private fund uses more than one marketer you must complete questions (b) through (g) separately for each marketer. No Information Filed A. PRIVATE FUND Information About the Private Fund 1. (a) Name of the private fund: FLP017 (b) Private fund identification number: (include the "805-" prefix also) 2. Under the laws of what state or country is the private fund organized: State: Country: United States 3. Name(s) of General Partner, Manager, Trustee, or Directors (or persons serving in a similar capacity): EFTA01079311 GP017 4. The private fund (check all that apply; you must check at least one): 17 (1 ) qualifies for the exclusion from the definition of investment company under section 3(c)(1) of the Investment Company Act of 1940 r (2) qualifies for the exclusion from the definition of investment company under section 3(c)(7) of the Investment Company Act of 1940 5. List the name and country. in English. of each foreign financial regulatory authority with which the private fund is registered. No Information Filed Yes No 6. (a) Is this a "master fund" in a master-feeder arrangement? (b) If yes. what is the name and private fund identification number (if any) of the feeder funds investing in this private fund? O € No Information Filed (c) Is this a "feeder fund" in a master-feeder arrangement? (d) If yes. what is the name and private fund identification number (if any) of the master fund in which this private fund invests? Name of the Private Fund: Private Fund Identification Number: (include the "805-" prefix also) Yes No O € NOTE: You must complete question 6 for each master-feeder arrangement regardless of whether you are filing a single Schedule O, Section 7.B.(1). for the master-feeder arrangement or reporting on the funds separately. 7. If you are filing a single Schedule D, Section 7.B.(1) for a master-feeder arrangement according to the instructions to this Section 7.B.(1), for each of the feeder funds answer the following questions: No Information Filed NOTE: For purposes of questions 6 and 7, in a master-feeder arrangement. one or more funds ("feeder funds") invest all or substantially all of their assets in a single fund ("master fund"). A fund would also be a "feeder fund" investing in a "master fund" for purposes of this question if it issued multiple classes (or series) of shares or interests, and each class (or series) invests substantially all of its assets in a single master fund. 8. (a) Is this private fund a "fund of funds"? (b) If yes, does the private fund invest in funds managed by you or by a related person? NOTE: For purposes of this question only. answer "yes" if the fund invests 10 percent or more of its total assets in other pooled investment vehicles, whether or not they are also private funds, or registered investment companies. 9. During your last fiscal year, did the private fund invest in securities issued by investment companies registered under the Investment Company Act of 1940 (other than "money market funds." to the extent provided in Instruction 6.e.)? Yes No r  CS Yes No r 10. What type of fund is the private fund? r hedge fund r liquidity fund r private equity fund r real estate fund r securitized asset fund r venture capital fund a Other private fund INVESTMENT FUND NOTE: For funds of funds, refer to the funds in which the private fund invests. For definitions of these fund types, please see Instruction 6 of the Instructions to Part 1A. 11. Current gross asset value of the private fund: $ 6,450,252 Ownership 12. Minimum investment commitment required of an investor in the private fund: $0 NOTE: Report the amount routinely required of investors who are not your related persons (even if different from the amount set forth in the organizational documents of the fund). EFTA01079312 13. Approximate number of the private funds beneficial owners: 11 14. What is the approximate percentage of the private fund beneficially owned by you and your related persons: 45% 15. What is the approximate percentage of the private fund beneficially owned (in the aggregate) by funds of funds: 0% 16. What is the approximate percentage of the private fund beneficially owned by non-United States persons: 0% Your Advisory Services 17. (a) Are you a subadviser to this private fund? Yes No r (b) If the answer to question 17(a) is "yes," provide the name and SEC file number, if any, of the adviser of the private fund. If the answer to question 17(a) is "no." leave this question blank. No Information Filed 18. (a) Do any other investment advisers advise the private fund? Yes No r (b) If the answer to question 18(a) is "yes," provide the name and SEC file number, if any, of the other advisers to the private fund. If the answer to question 18(a) is "no." leave this question blank. No Information Filed 19. Are your clients solicited to invest in the private fund? 20. Approximately what percentage of your clients has invested in the private fund? 0% Private Offering 21. Does the private fund rely on an exemption from registration of its securities under Regulation D of the Securities Act of 1933? 22. If yes, provide the private funds Form D file number (if any): L B. SERVICE PROVIDERS Auditors No Information Filed 23. (a) (1) Are the private funds financial statements subject to an annual audit? (2) Are the financial statements prepared in accordance with U.S. GAAP? Yes No O € Yes No O € Yes No r r If the answer to 23(a)(1) is "yes." respond to questions (b) through (f) below. If the private fund uses more than one auditing firm, you must complete questions (b) through (f) separately for each auditing firm. No Information Filed Yes No (g) Are the private funds audited financial statements distributed to the private funds investors? a € (h) Does the report prepared by the auditing firm contain an unqualified opinion? Yes r No r Report Not Yet Received If you check "Report Not Yet Received," you must promptly file an amendment to your Form ADV to update your response when the report is available. Prime Broker 24. (a) Does the private fund use one or more prime brokers? Yes No O 0) If the answer to 24(a) is "yes," respond to questions (b) through (e) below for each prime broker the private fund uses. If the private fund uses more than one prime broker, you must complete questions (b) through (e) separately for each prime broker. EFTA01079313 No Information Filed Custodian Yes No 25. (a) Does the private fund use any custodians (including the prime brokers listed above) to hold some or all of its assets? If the answer to 25(a) is "yes," respond to questions (b) through (f) below for each custodian the private fund uses. If the private fund uses more than one custodian, you must complete questions (b) through (f) separately for each custodian. Additional Custodian Information : 1 Record(s) Filed. If the answer to 25(a) is "yes," respond to questions (b) through (f) below for each custodian the private fund uses. If the private fund uses more than one custodian, you must complete questions (b) through (f) separately for each custodian. (b) Legal name of custodian: STATE STREET BANK & TRUST CO. (c) Primary business name of custodian: STATE STREET BANK & TRUST CO. (d) The location of the custodian's office responsible for custody of the private funds assets (city, state and country): City: State: Country: Yes No (e) Is the custodian a related person of your firm? (I) If the custodian is a broker-dealer, provide its SEC registration number (if any) CRD Number (if any): Administrator 0 G Yes No 26. (a) Does the private fund use an administrator other than your firm? Ois a If the answer to 26(a) is "yes," respond to questions (b) through (f) below. If the private fund uses more than one administrator, you must complete questions (b) through (f) separately for each administrator. Additional Administrator Information :1 Record(s) Flied. If the answer to 26(a) is "yes," respond to questions (b) through (f) below. If the private fund uses more than one administrator, you must complete questions (b) through (f) separately for each administrator. (b) Name of the administrator: ROCKIT SOLUTIONS LLC (c) Location of administrator (city, state and country): City: State: (d) Is the administrator a related person of your firm? Country: (e) Does the administrator prepare and send investor account statements to the private funds investors? {;,Yes (provided to all investors) a Some (provided to some but not all investors) c No (provided to no investors) Yes No G (f) If the answer to 26(e) is "no" or "some," who sends the investor account statements to the (rest of the) private funds investors? If investor account statements are not sent to the (rest of the) private funds investors, respond "not applicable." EFTA01079314 27. During your last fiscal year, what percentage of the private funds assets (by value) was valued by a person, such as an administrator, that is not your related person? 0% Include only those assets where (i) such person carried out the valuation procedure established for that asset, if any. including obtaining any relevant quotes, and (a) the valuation used for purposes of investor subscriptions, redemptions or distributions, and fee calculations (including allocations) was the valuation determined by such person. Marketers Yes No 28. (a) Does the private fund use the services of someone other than you or your employees for marketing purposes? r You must answer "yes" whether the person acts as a placement agent, consultant, finder, introducer, municipal advisor or other solicitor, or similar person. If the answer to 28(a) is "yes", respond to questions (b) through (g) below for each such marketer the private fund uses. If the private fund uses more than one marketer you must complete questions (b) through (g) separately for each marketer. No Information Filed A. PRIVATE FUND Information About the Private Fund 1. (a) Name of the private fund: FLP024 (b) Private fund identification number: (include the "805-" prefix also) 2. Under the laws of what state or country is the private fund organized: State: Country: Delaware United States 3. Name(s) of General Partner. Manager, Trustee, or Directors (or persons serving in a similar capacity): Name of General Partner, Manager, Trustee, or Director 4. The private fund (check all that apply; you must check at least one): P' (1 ) qualifies for the exclusion from the definition of investment company under section 3(c)(1) of the Investment Company Act of 1940 r (2) qualifies for the exclusion from the definition of investment company under section 3(c)(7) of the Investment Company Act of 1940 5. List the name and country. in English. of each foreign financial regulatory authority with which the private fund is registered. No Information Filed 6. (a) Is this a "master fund" in a master-feeder arrangement? (b) If yes, what is the name and private fund identification number (if any) of the feeder funds investing in this private fund? Yes No r No Information Filed (c) Is this a "feeder fund" in a master-feeder arrangement? (d) If yes. what is the name and private fund identification number (if any) of the master fund in which this private fund invests? Name of the Private Fund: Private Fund Identification Number: (include the "805-" prefix also) Yes No € NOTE: You must complete question 6 for each master-feeder arrangement regardless of whether you are filing a single Schedule D, Section 7.B.(1). for the master-feeder arrangement or reporting on the funds separately. 7. If you are filing a single Schedule D, Section 7.B.(1) for a master-feeder arrangement according to the instructions to this Section 7.6.(1), for each of the feeder funds answer the following questions: EFTA01079315 No Information Filed NOTE: For purposes of questions 6 and 7, in a master-feeder arrangement. one or more funds ("feeder funds") invest all or substantially all of their assets in a single fund ("master fund"). A fund would also be a "feeder fund" investing in a "master fund" for purposes of this question if it issued multiple classes (or series) of shares or interests, and each class (or series) invests substantially all of its assets in a single master fund. 8. (a) Is this private fund a "fund of funds"? (b) If yes, does the private fund invest in funds managed by you or by a related person? NOTE: For purposes of this question only. answer "yes" if the fund invests 10 percent or more of its total assets in other pooled investment vehicles, whether or not they are also private funds, or registered investment companies. 9. During your last fiscal year, did the private fund invest in securities issued by investment companies registered under the Investment Company Act of 1940 (other than "money market funds." to the extent provided in Instruction 6.e.)? Yes No r a 0 Yes No 10. What type of fund is the private fund? r hedge fund r liquidity fund r private equity fund r real estate fund r securitized asset fund r venture capital fund a Other private fund INVESTMENT FUND NOTE: For funds of funds, refer to the funds in which the private fund invests. For definitions of these fund types, please see Instruction 6 of the Instructions to Part 1A. 11. Current gross asset value of the private fund: $ 36,827,395 Ownership 12. Minimum investment commitment required of an investor in the private fund: $ 0 NOTE: Report the amount routinely required of investors who are not your related persons (even if different from the amount set forth in the organizational documents of the fund). 13. Approximate number of the private funds beneficial owners: 3 14. What is the approximate percentage of the private fund beneficially owned by you and your related persons: 0% 15. What is the approximate percentage of the private fund beneficially owned (in the aggregate) by funds of funds: 0% 16. What is the approximate percentage of the private fund beneficially owned by non-United States persons: 0% Your Advisory Services 17. (a) Are you a subadviser to this private fund? € Yes No r (b) If the answer to question 17(a) is "yes," provide the name and SEC file number, if any, of the adviser of the private fund. If the answer to question 17(a) is "no." leave this question blank. No Information Filed 18. (a) Do any other investment advisers advise the private fund? Yes No r (b) If the answer to question 18(a) is "yes," provide the name and SEC file number, if any, of the other advisers to the private fund. If the answer to question 18(a) is "no." leave this question blank. No Information Filed 19. Are your clients solicited to invest in the private fund? 20. Approximately what percentage of your clients has invested in the private fund? Yes No € EFTA01079316 0% Private Offering 21. Does the private fund rely on an exemption from registration of its securities under Regulation D of the Securities Act of 1933? 22. If yes, provide the private funds Form D file number (if any): Yes No 0 € No Information Filed B. SERVICE PROVIDERS Auditors 23. (a) (1) Are the private funds financial statements subject to an annual audit? (2) Are the financial statements prepared in accordance with U.S. GAAP? Yes No r r If the answer to 23(a)(1) is "yes." respond to questions (b) through (f) below. If the private fund uses more than one auditing firm, you must complete questions (b) through (f) separately for each auditing firm. No Information Filed Yes No (g) Are the private funds audited financial statements distributed to the private funds investors? a € (h) Does the report prepared by the auditing firm contain an unqualified opinion? r Yes r No a Report Not Yet Received If you check "Report Not Yet Received," you must promptly file an amendment to your Form ADV to update your response when the report is available. Prime Broker 24. (a) Does the private fund use one or more prime brokers? Yes No r G If the answer to 24(a) is "yes," respond to questions (b) through (e) below for each prime broker the private fund uses. If the private fund uses more than one prime broker, you must complete questions (b) through (e) separately for each prime broker. No Information Filed Custodian Yes No 25. (a) Does the private fund use any custodians (including the prime brokers listed above) to hold some or all of its assets? If the answer to 25(a) is "yes." respond to questions (b) through (f) below for each custodian the private fund uses. If the private fund uses more than one custodian, you must complete questions (b) through (f) separately for each custodian. r Additional Custodian Information : 2 Record(s) Filed. If the answer to 25(a) is "yes." respond to questions (b) through (f) below for each custodian the private fund uses. If the private fund uses more than one custodian, you must complete questions (b) through (f) separately for each custodian. (b) Legal name of custodian: J.P. MORGAN CHASE (c) Primary business name of custodian: J.P. MORGAN CHASE (d) The location of the custodian's office responsible for custody of the private funds assets (city, state and country): City: State: Country: (e) Is the custodian a related person of your firm? Yes No a EFTA01079317 (f) If the custodian is a broker-dealer, provide its SEC registration number (if any) CRD Number (if any): If the answer to 25(a) is "yes." respond to questions (b) through (f) below for each custodian the private fund uses. If the private fund uses more than one custodian, you must complete questions (b) through (f) separately for each custodian. (b) Legal name of custodian: STATE STREET BANK & TRUST CO. (c) Primary business name of custodian: STATE STREET BANK & TRUST CO. (d) The location of the custodian's office responsible for custody of the private funds assets (city, state and country): City: State: Country: BOSTON Massachusetts United States Yes No (e) Is the custodian a related person of your firm? (f) If the custodian is a broker-dealer, provide its SEC registration number (if any) CRD Number (if any): 0 G Administrator Yes No 26. (a) Does the private fund use an administrator other than your firm? If the answer to 26(a) is "yes," respond to questions (b) through (f) below. If the private fund uses more than one administrator, you must complete questions (b) through (f) separately for each administrator. r Additional Administrator Information : 1 Record(s) Filed. If the answer to 26(a) is "yes," respond to questions (b) through (f) below. If the private fund uses more than one administrator, you must complete questions (b) through (f) separately for each administrator. (b) Name of the administrator: ROCKIT SOLUTIONS LLC (c) Location of administrator (city. state and country): City: State: Country: STAMFORD Connecticut United States (d) Is the administrator a related person of your firm? (e) Does the administrator prepare and send investor account statements to the private funds investors? . Yes (provided to all investors) r Some (provided to some but not all investors) r No (provided to no investors) Yes No G (f) If the answer to 26(e) is "no" or "some," who sends the investor account statements to the (rest of the) private funds investors? If investor account statements are not sent to the (rest of the) private funds investors, respond "not applicable." 27. During your last fiscal year, what percentage of the private funds assets (by value) was valued by a person, such as an administrator, that is not your related person? 0% Include only those assets where (i) such person carried out the valuation procedure established for that asset, if any. including obtaining any relevant quotes, and (ii) the valuation used for purposes of investor subscriptions, redemptions or distributions, and fee calculations (including allocations) was the valuation determined by such person. EFTA01079318 Marketers Yes No 28. (a) Does the private fund use the services of someone other than you or your employees for marketing purposes? 0 s You must answer "yes" whether the person acts as a placement agent, consultant, finder, introducer, municipal advisor or other solicitor, or similar person. If the answer to 28(a) is "yes", respond to questions (b) through (g) below for each such marketer the private fund uses. If the private fund uses more than one marketer you must complete questions (b) through (g) separately for each marketer. No Information Filed A. PRIVATE FUND Information About the Private Fund 1. (a) Name of the private fund: FLP027 (b) Private fund identification number: (include the "805-" prefix also) 2. Under the laws of what state or country is the private fundorganized: State: Country: Delaware United States 3. Name(s) of General Partner, Manager, Trustee, or Directors (or persons serving in a similar capacity): Name of General Partner, Manager, Trustee, or Director GP027A GP027B 4. 5. The private fund (check all that apply; you must check at least one): E (1 ) qualifies for the exclusion from the definition of investment company under section 3(c)(1) of the Investment Company Act of 1940 ■ (2) qualifies for the exclusion from the definition of investment company under section 3(c)(7) of the Investment Company Act of 1940 List the name and country, In English, of each foreign financial regulatory authority with which the private fund Is registered. No Information Filed 6. Yes No (a) Is this a "master fund" in a master-feeder arrangement? a CD (b) If yes, what is the name and private fund identification number (If any) of the feeder funds investing in this private fund? No Information Filed 7. Yes No (c) Is this a "feeder fund" in a master-feeder arrangement? 0 a (d) If yes, what is the name and private fund identification number (if any) of the master fund in which this private fund invests? Name of the Private Fund: Private Fund Identification Number: (include the "805-" prefix also) NOTE: You must complete question 6 for each master-feeder arrangement regardless of whether you are filing a single Schedule D, Section 7.B.(1). for the master-feeder arrangement or reporting on the funds separately. If you are filing a single Schedule D, Section 7.B.(1) for a master-feeder arrangement according to the instructions to this Section 7.B.(1), for each of the feeder funds answer the following questions: No Information Filed EFTA01079319 NOTE: For purposes of questions 6 and 7, in a master-feeder arrangement. one or more funds ("feeder funds") invest all or substantially all of their assets in a single fund ("master fund"). A fund would also be a "feeder fund" investing in a "master fund" for purposes of this question if it issued multiple classes (or series) of shares or interests, and each class (or series) invests substantially all of its assets in a single master fund. 8. (a) Is this private fund a "fund of funds"? (b) If yes, does the private fund invest in funds managed by you or by a related person? NOTE: For purposes of this question only. answer "yes" if the fund invests 10 percent or more of its total assets in other pooled investment vehicles, whether or not they are also private funds, or registered investment companies. 9. During your last fiscal year, did the private fund invest in securities issued by investment companies registered under the Investment Company Act of 1940 (other than "money market funds." to the extent provided in Instruction 6.e.)? Yes No • € O 0 Yes No O € 10. What type of fund is the private fund? r hedge fund r . liquidity fund r private equity fund r real estate fund r securitized asset fund r venture capital fund Other private fund INVESTMENT FUND NOTE: For funds of funds, refer to the funds in which the private fund invests. For definitions of these fund types, please see Instruction 6 of the Instructions to Part 1A. 11. Current gross asset value of the private fund: $ 2,723,970 Ownership 12. Minimum investment commitment required of an investor in the private fund: $ 0 NOTE: Report the amount routinely required of investors who are not your related persons (even if different from the amount set forth in the organizational documents of the fund). 13. Approximate number of the private funds beneficial owners: 3 14. What is the approximate percentage of the private fund beneficially owned by you and your related persons: 0% 15. What is the approximate percentage of the private fund beneficially owned (in the aggregate) by funds of funds: 0% 16. What is the approximate percentage of the private fund beneficially owned by non-United States persons: 0% Your Advisory Services 17. (a) Are you a subadviser to this private fund? Yes No (b) If the answer to question 17(a) is "yes," provide the name and SEC file number, if any, of the adviser of the private fund. If the answer to question 17(a) is "no." leave this question blank. No Information Filed 18. (a) Do any other investment advisers advise the private fund? O G Yes No r (b) If the answer to question 18(a) is "yes," provide the name and SEC file number, if any, of the other advisers to the private fund. If the answer to question 18(a) is "no." leave this question blank. No Information Filed 19. Are your clients solicited to invest in the private fund? 20. Approximately what percentage of your clients has invested in the private fund? 0% Private Offering 21. Does the private fund rely on an exemption from registration of its securities under Regulation D of the Securities Act of 1933? Yes No • € Yes No O € EFTA01079320 22. If yes, provide the private funds Form D file number (if any): No Information Filed B. SERVICE PROVIDERS Auditors 23. (a) (1) Are the private funds financial statements subject to an annual audit? (2) Are the financial statements prepared in accordance with U.S. GAAP? Yes No r r If the answer to 23(a)(1) is "yes." respond to questions (b) through (f) below. If the private fund uses more than one auditing firm, you must complete questions (b) through (f) separately for each auditing firm. No Information Filed Yes No (g) Are the private funds audited financial statements distributed to the private funds investors? 0 s (h) Does the report prepared by the auditing firm contain an unqualified opinion? r Yes r No Report Not Yet Received If you check "Report Not Yet Received," you must promptly file an amendment to your Form ADV to update your response when the report is available. Prime Broker 24. (a) Does the private fund use one or more prime brokers? Yes No r If the answer to 24(a) is "yes," respond to questions (b) through (e) below for each prime broker the private fund uses. If the private fund uses more than one prime broker, you must complete questions (b) through (e) separately for each prime broker. No Information Filed Custodian Yes No 25. (a) Does the private fund use any custodians (including the prime brokers listed above) to hold some or all of its assets? If the answer to 25(a) is "yes." respond to questions (b) through (f) below for each custodian the private fund uses. If the private fund uses more than one custodian, you must complete questions (b) through (f) separately for each custodian. Additional Custodian Information : 1 Record(s) Filed. C If the answer to 25(a) is "yes." respond to questions (b) through (f) below for each custodian the private fund uses. If the private fund uses more than one custodian, you must complete questions (b) through (f) separately for each custodian. (b) Legal name of custodian: STATE STREET BANK & TRUST CO. (c) Primary business name of custodian: STATE STREET BANK & TRUST CO. (d) The location of the custodian's office responsible for custody of the private funds assets (city. state and country): City: State: Country: (e) Is the custodian a related person of your firm? (f) If the custodian is a broker-dealer, provide its SEC registration number (if any) CRD Number (if any): Yes No € EFTA01079321 Administrator Yes No 26. (a) Does the private fund use an administrator other than your firm? is r If the answer to 26(a) is "yes," respond to questions (b) through (f) below. If the private fund uses more than one administrator, you must complete questions (b) through (f) separately for each administrator. Additional Administrator Information : 1 Record(s) Filed. If the answer to 26(a) is "yes," respond to questions (b) through (f) below. If the private fund uses more than one administrator, you must complete questions (b) through (f) separately for each administrator. (b) Name of the administrator: ROCKIT SOLUTIONS LLC (c) Location of administrator (city. state and country): City: State: Country: (d) Is the administrator a related person of your firm? (e) Does the administrator prepare and send investor account statements to the private funds investors? is Yes (provided to all investors) r Some (provided to some but not all investors) r No (provided to no investors) Yes No G (f) If the answer to 26(e) is "no" or "some," who sends the investor account statements to the (rest of the) private funds investors? If investor account statements are not sent to the (rest of the) private funds investors, respond "not applicable." 27. During your last fiscal year, what percentage of the private funds assets (by value) was valued by a person, such as an administrator, that is not your related person? 0% Include only those assets where (i) such person carried out the valuation procedure established for that asset, if any. including obtaining any relevant quotes, and (ii) the valuation used for purposes of investor subscriptions, redemptions or distributions, and fee calculations (including allocations) was the valuation determined by such person. Marketers 28. (a) Does the private fund use the services of someone other than you or your employees for marketing purposes? Yes No r You must answer "yes" whether the person acts as a placement agent, consultant, finder, introducer, municipal advisor or other solicitor, or similar person. If the answer to 28(a) is "yes", respond to questions (b) through (g) below for each such marketer the private fund uses. If the private fund uses more than one marketer you must complete questions (b) through (g) separately for each marketer. No Information Filed PRIVATE FUND Information About the Private Fund 1. (a) Name of the private fund: FLP030 (b) Private fund identification number: (include the "805-" prefix also) 2. Under the laws of what state or country is the private fund organized: State: Country: Delaware United States 3. Name(s) of General Partner, Manager, Trustee, or Directors (or persons serving in a similar capacity): EFTA01079322 GP030 4. The private fund (check all that apply; you must check at least one): 17 (1 ) qualifies for the exclusion from the definition of investment company under section 3(c)(1) of the Investment Company Act of 1940 r (2) qualifies for the exclusion from the definition of investment company under section 3(c)(7) of the Investment Company Act of 1940 5. List the name and country. in English. of each foreign financial regulatory authority with which the private fund is registered. No Information Filed 6. (a) Is this a "master fund" in a master-feeder arrangement? (b) If yes. what is the name and private fund identification number (if any) of the feeder funds investing in this private fund? No Information Filed (c) Is this a "feeder fund" in a master-feeder arrangement? (d) If yes. what is the name and private fund identification number (if any) of the master fund in which this private fund invests? Name of the Private Fund: Private Fund Identification Number: (include the "805-" prefix also) Yes No C Yes No s NOTE: You must complete question 6 for each master-feeder arrangement regardless of whether you are filing a single Schedule D, Section 7.B.(1). for the master-feeder arrangement or reporting on the funds separately. 7. If you are filing a single Schedule D, Section 7.B.(1) for a master-feeder arrangement according to the instructions to this Section 7.B.(1), for each of the feeder funds answer the following questions: No Information Filed NOTE: For purposes of questions 6 and 7, in a master-feeder arrangement. one or more funds ("feeder funds") invest all or substantially all of their assets in a single fund ("master fund"). A fund would also be a "feeder fund" investing in a "master fund" for purposes of this question if it issued multiple classes (or series) of shares or interests, and each class (or series) invests substantially all of its assets in a single master fund. 8. (a) Is this private fund a "fund of funds"? (b) If yes, does the private fund invest in funds managed by you or by a related person? NOTE: For purposes of this question only. answer "yes" if the fund invests 10 percent or more of its total assets in other pooled investment vehicles, whether or not they are also private funds, or registered investment companies. 9. During your last fiscal year, did the private fund invest in securities issued by investment companies registered under the Investment Company Act of 1940 (other than "money market funds," to the extent provided in Instruction 6.e.)? Yes No 5 0 0 Yes No 10. What type of fund is the private fund? C hedge fund r liquidity fund r private equity fund r real estate fund r securitized asset fund r venture capital fund 6. Other private fund INVESTMENT FUND NOTE: For funds of funds, refer to the funds in which the private fund invests. For definitions of these fund types, please see Instruction 6 of the Instructions to Part 1A. 11. Current gross asset value of the private fund: $ 21,987,191 Ownership 12. Minimum investment commitment required of an investor in the private fund: s $0 NOTE: Report the amount routinely required of investors who are not your related persons (even if different from the amount set forth in the organizational documents of the fund). EFTA01079323 13. Approximate number of the private funds beneficial owners: 11 14. What is the approximate percentage of the private fund beneficially owned by you and your related persons: 0% 15. What is the approximate percentage of the private fund beneficially owned (in the aggregate) by funds of funds: 0% 16. What is the approximate percentage of the private fund beneficially owned by non-United States persons: 0% Your Advisory Services Yes No 17. (a) Are you a subadviser to this private fund? r fr.. (b) If the answer to question 17(a) is "yes," provide the name and SEC file number, if any, of the adviser of the private fund. If the answer to question 17(a) is "no." leave this question blank. 18. (a) Do any other investment advisers advise the private fund? No Information Filed Yes No r (b) If the answer to question 18(a) is "yes," provide the name and SEC file number, if any, of the other advisers to the private fund. If the answer to question 18(a) is "no." leave this question blank. No Information Filed 19. Are your clients solicited to invest in the private fund? 20. Approximately what percentage of your clients has invested in the private fund? 1% Private Offering 21. Does the private fund rely on an exemption from registration of its securities under Regulation D of the Securities Act of 1933? 22. If yes, provide the private funds Form D file number (if any): No Information Filed B. SERVICE PROVIDERS Auditors 23. (a) (1) Are the private funds financial statements subject to an annual audit? (2) Are the financial statements prepared in accordance with U.S. GAAP? Yes No • € Yes No O € Yes No r r If the answer to 23(a)(1) is "yes." respond to questions (b) through (f) below. If the private fund uses more than one auditing firm, you must complete questions (b) through (f) separately for each auditing firm. No Information Filed Yes No (g) Are the private funds audited financial statements distributed to the private funds investors? a € (h) Does the report prepared by the auditing firm contain an unqualified opinion? r Yes r No a Report Not Yet Received If you check "Report Not Yet Received," you must promptly file an amendment to your Form ADV to update your response when the report is available. Prime Broker 24. (a) Does the private fund use one or more prime brokers? Yes No  a If the answer to 24(a) is "yes," respond to questions (b) through (e) below for each prime broker the private fund uses. If the private fund uses EFTA01079324 more than one prime broker, you must complete questions (b) through (e) separately for each prime broker. No Information Filed Custodian Yes No 25. (a) Does the private fund use any custodians (including the prime brokers listed above) to hold some or all of its assets? If the answer to 25(a) is "yes." respond to questions (b) through (f) below for each custodian the private fund uses. If the private fund uses more than one custodian, you must complete questions (b) through (f) separately for each custodian. C Additional Custodian Information : 1 Record(s) Filed. If the answer to 25(a) is "yes." respond to questions (b) through (f) below for each custodian the private fund uses. If the private fund uses more than one custodian, you must complete questions (b) through (f) separately for each custodian. (b) Legal name of custodian: STATE STREET BANK & TRUST CO. (c) Primary business name of custodian: STATE STREET BANK & TRUST CO. (d) The location of the custodian's office responsible for custody of the private funds assets (city. state and country): City: State: Country: (e) Is the custodian a related person of your firm? (f) If the custodian is a broker-dealer, provide its SEC registration number (if any) CRD Number (if any): Yes No 0 G Administrator Yes No 26. (a) Does the private fund use an administrator other than your firm? r r If the answer to 26(a) is "yes," respond to questions (b) through (f) below. If the private fund uses more than one administrator, you must complete questions (b) through (f) separately for each administrator. Additional Administrator Information :1 Record(s) Filed. If the answer to 26(a) is "yes," respond to questions (b) through (f) below. If the private fund uses more than one administrator, you must complete questions (b) through (f) separately for each administrator. (b) Name of the administrator: ROCKIT SOLUTIONS LLC (c) Location of administrator (city. state and country): City: State: Country: (d) Is the administrator a related person of your firm? (e) Does the administrator prepare and send investor account statements to the private funds investors? a Yes (provided to all investors) r Some (provided to some but not all investors) r No (provided to no investors) Yes No G (f) If the answer to 26(e) is "no" or "some." who sends the investor account statements to the (rest of the) private funds investors? If investor account statements are not sent to the (rest of the) private funds investors, respond "not applicable." EFTA01079325 27. During your last fiscal year, what percentage of the private funds assets (by value) was valued by a person, such as an administrator, that is not your related person? 0% Include only those assets where (i) such person carried out the valuation procedure established for that asset, if any. including obtaining any relevant quotes, and (ii) the valuation used for purposes of investor subscriptions, redemptions or distributions, and fee calculations (including allocations) was the valuation determined by such person. Marketers Yes No 28. (a) Does the private fund use the services of someone other than you or your employees for marketing purposes? You must answer "yes" whether the person acts as a placement agent, consultant, finder, introducer, municipal advisor or other solicitor, or similar person. If the answer to 28(a) is "yes", respond to questions (b) through (g) below for each such marketer the private fund uses. If the private fund uses more than one marketer you must complete questions (b) through (g) separately for each marketer. No Information Filed T. PRIVATE FUND Information About the Private Fund 1. (a) Name of the private fund: LIBRA FUND OP, LP (b) Private fund identification number: (include the "805-" prefix also) 2. Under the laws of what state or country is the private fund organized: State: Country: Delaware United States 3. Name(s) of General Partner, Manager, Trustee, or Directors (or persons serving in a similar capacity): Namet of Genetnil Partner, Manager, Trustee, or Director • & CO., INC. 4. The private fund (check all that apply; you must check at least one): r (1) qualifies for the exclusion from the definition of investment company under section 3(c)(1) of the Investment Company Act of 1940 17 (2) qualifies for the exclusion from the definition of investment company under section 3(c)(7) of the Investment Company Act of 1940 5. List the name and country. in English. of each foreign financial regulatory authority with which the private fund is registered. No Information Filed Yes No 6. (a) Is this a "master fund" in a master-feeder arrangement? (b) If yes. what is the name and private fund identification number (if any) of the feeder funds investing in this private fund? No Information Filed Yes No (c) Is this a "feeder fund" in a master-feeder arrangement? (d) If yes. what is the name and private fund identification number (if any) of the master fund in which this private fund invests? Name of the Private Fund: Private Fund Identification Number: (include the "805-" prefix also) s NOTE: You must complete question 6 for each master-feeder arrangement regardless of whether you are filing a single Schedule D, Section 7.6.(1). for the master-feeder arrangement or reporting on the funds separately. EFTA01079326 7. If you are filing a single Schedule D, Section 7.B.(1) for a master-feeder arrangement according to the instructions to this Section 7.B.(1), for each of the feeder funds answer the following questions: No Information Filed NOTE: For purposes of questions 6 and 7, in a master-feeder arrangement. one or more funds ("feeder funds") invest all or substantially all of their assets in a single fund ("master fund"). A fund would also be a "feeder fund" investing in a "master fund" for purposes of this question if it issued multiple classes (or series) of shares or interests, and each class (or series) invests substantially all of its assets in a single master fund. 8. (a) Is this private fund a "fund of funds"? (b) If yes, does the private fund invest in funds managed by you or by a related person? NOTE: For purposes of this question only. answer "yes" if the fund invests 10 percent or more of its total assets in other pooled investment vehicles, whether or not they are also private funds, or registered investment companies. 9. During your last fiscal year, did the private fund invest in securities issued by investment companies registered under the Investment Company Act of 1940 (other than "money market funds." to the extent provided in Instruction 6.e.)? Yes No r r r Yes No 10. What type of fund is the private fund? r hedge fund r liquidity fund r private equity fund r real estate fund r securitized asset fund r venture capital fund a Other private fund LONG-ONLY INVESTMENT FUND NOTE: For funds of funds, refer to the funds in which the private fund invests. For definitions of these fund types, please see Instruction 6 of the Instructions to Part 1A. 11. Current gross asset value of the private fund: $ 97,660,319 Ownership 12. Minimum investment commitment required of an investor in the private fund: $ 500,000 NOTE: Report the amount routinely required of investors who are not your related persons (even if different from the amount set forth in the organizational documents of the fund). 13. Approximate number of the private funds beneficial owners: 36 14. What is the approximate percentage of the private fund beneficially owned by you and your related persons: 0% 15. What is the approximate percentage of the private fund beneficially owned (in the aggregate) by funds of funds: 0% 16. What is the approximate percentage of the private fund beneficially owned by non-United States persons: 0% Your Advisory Services 17. (a) Are you a subadviser to this private fund? Yes No (b) If the answer to question 17(a) is "yes," provide the name and SEC file number, if any, of the adviser of the private fund. If the answer to question 17(a) is "no." leave this question blank. No Information Filed 18. (a) Do any other investment advisers advise the private fund? r Yes No (b) If the answer to question 18(a) is "yes," provide the name and SEC file number, if any, of the other advisers to the private fund. It the answer to question 18(a) is "no." leave this question blank. No Information Filed 19. Are your clients solicited to invest in the private fund? Yes No G EFTA01079327 20. Approximately what percentage of your clients has invested in the private fund? 1% Private Offering 21. Does the private fund rely on an exemption from registration of its securities under Regulation D of the Securities Act of 1933? 22. If yes, provide the private funds Form D file number (if any): Yes No G 0 mbar B. SERVICE PROVIDERS Auditors 23. (a) (1) Are the private funds financial statements subject to an annual audit? (2) Are the financial statements prepared in accordance with U.S. GAAP? Yes No • r • r If the answer to 23(a)(1) is "yes." respond to questions (b) through (f) below. If the private fund uses more than one auditing firm, you must complete questions (b) through (f) separately for each auditing firm. Additional Auditor Information :1 Record(s) Filed. If the answer to 23(a)(1) is "yes." respond to questions (b) through (f) below. If the private fund uses more than one auditing firm, you must complete questions (b) through (f) separately for each auditing firm. (b) Name of the auditing firm: DELOITTE & TOUCHE LLP (c) The location of the auditing firm's office responsible for the private funds audit (city, state and country): City: State: Country: (d) Is the auditing firm an independent public accountant? (e) Is the auditing firm registered with the Public Company Accounting Oversight Board? (f) If "yes" to (e) above, is the auditing firm subject to regular inspection by the Public Company Accounting Oversight Board in accordance with its rules? Yes No G 0 GI 0 G 0 Yes No (g) Are the private funds audited financial statements distributed to the private funds investors? (;) (h) Does the report prepared by the auditing firm contain an unqualified opinion? r Yes r No a Report Not Yet Received If you check "Report Not Yet Received," you must promptly file an amendment to your Form ADV to update your response when the report is available. Prime Broker 24. (a) Does the private fund use one or more prime brokers? Yes No r If the answer to 24(a) is "yes," respond to questions (b) through (e) below for each prime broker the private fund uses. If the private fund uses more than one prime broker, you must complete questions (b) through (e) separately for each prime broker. No Information Filed Custodian 25. (a) Does the private fund use any custodians (including the prime brokers listed above) to hold some or all of its assets? Yes No • r If the answer to 25(a) is "yes." respond to questions (b) through (f) below for each custodian the private fund uses. If the private fund uses more than one custodian, you must complete questions (b) through (f) separately for each custodian. EFTA01079328 Additional Custodian Information : 1 Record(s) Filed. If the answer to 25(a) is "yes." respond to questions (b) through (f) below for each custodian the private fund uses. If the private fund uses more than one custodian, you must complete questions (b) through (f) separately for each custodian. (b) Legal name of custodian: STATE STREET BANK & TRUST CO. (c) Primary business name of custodian: STATE STREET BANK & TRUST CO. (d) The location of the custodian's office responsible for custody of the private funds assets (city, state and country): (e) Is the custodian a related person of your firm? (f) If the custodian is a broker-dealer, provide its SEC registration number (if any) CRD Number (if any): Administrator Yes No 0 G Yes No 26. (a) Does the private fund use an administrator other than your firm? r r If the answer to 26(a) is "yes," respond to questions (b) through (f) below. If the private fund uses more than one administrator, you must complete questions (b) through (f) separately for each administrator. Additional Administrator Information : 1 Record(s) Filed. 7 If the answer to 26(a) is "yes," respond to questions (b) through (f) below. If the private fund uses more than one administrator, you must complete questions (b) through (f) separately for each administrator. (b) Name of the administrator: ROCKIT SOLUTIONS LLC (c) Location of administrator (city. state and country): (d) Is the administrator a related person of your firm? (e) Does the administrator prepare and send investor account statements to the private funds investors? a Yes (provided to all investors) r Some (provided to some but not all investors) r No (provided to no investors) Yes No G (f) If the answer to 26(e) is "no" or "some." who sends the investor account statements to the (rest of the) private funds investors? If investor account statements are not sent to the (rest of the) private funds investors, respond "not applicable." 27. During your last fiscal year, what percentage of the private funds assets (by value) was valued by a person, such as an administrator, that is not your related person? 0% Include only those assets where (i) such person carried out the valuation procedure established for that asset, if any. including obtaining any relevant quotes, and (h) the valuation used for purposes of investor subscriptions, redemptions or distributions, and fee calculations (including allocations) was the valuation determined by such person. Marketers 28. (a) Does the private fund use the services of someone other than you or your employees for marketing purposes? Yes No 0 EFTA01079329 You must answer "yes" whether the person acts as a placement agent, consultant, finder, introducer, municipal advisor or other solicitor, or similar person. If the answer to 28(a) is "yes", respond to questions (b) through (g) below for each such marketer the private fund uses. If the private fund uses more than one marketer you must complete questions (b) through (g) separately for each marketer. No Information Filed A. PRIVATE Information FUND About the Private Fund 1. 2. 3. 4. 5. 6. 7. 8. (a) Name of the private fund: LIBRA FUND, LP (b) Private fund identification number: (include the "805-" prefix also) Under the laws of what state or country is the private fund organized: State: Country: Delaware United States Name(s) of General Partner, Manager, Trustee, or Directors (or persons serving in a similar capacity): Name of General Partner, Manager, Trustee, or Director ROCKEFELLER & CO., INC. The private fund (check all that apply; you must check at least one): F7, (1) qualifies for the exclusion from the definition of investment company under section 3(c)(1) of the Investment Company Act of 1940 K (2) qualifies for the exclusion from the definition of investment company under section 3(c)(7) of the Investment Company Act of 1940 List the name and country, in English, of each foreign financial regulatory authority with which the private fund is registered. No Information Filed Yes No (a) Is this a "master fund" in a master-feeder arrangement? 0 0 (b) If yes, what is the name and private fund identification number (if any) of the feeder funds investing in this private fund? No Information Filed Yes No (c) Is this a "feeder fund" in a master-feeder arrangement? 0 0 (d) If yes, what is the name and private fund identification number (if any) of the master fund in which this private fund invests? Name of the Private Fund: Private Fund Identification Number: (include the "805-" prefix also) NOTE: You must complete question 6 for each master-feeder arrangement regardless of whether you are filing a single Schedule D, Section 7.B.(1). for the master-feeder arrangement or reporting on the funds separately. If you are filing a single Schedule D, Section 7.B.(1) for a master-feeder arrangement according to the instructions to this Section 7.B.(1), for each of the feeder funds answer the following questions: No Information Filed NOTE: For purposes of questions 6 and 7, in a master-feeder arrangement, one or more funds ("feeder funds") invest all or substantially all of their assets in a single fund ("master fund"). A fund would also be a "feeder fund" investing in a "master fund" for purposes of this question if it issued multiple classes (or series) of shares or interests, and each class (or series) invests substantially all of its assets in a single master fund. Yes No (a) Is this private fund a "fund of funds"? a 0 EFTA01079330 (b) If yes, does the private fund invest in funds managed by you or by a related person? NOTE: For purposes of this question only. answer "yes" if the fund invests 10 percent or more of its total assets in other pooled investment vehicles, whether or not they are also private funds, or registered investment companies. 0 Yes No 9. During your last fiscal year, did the private fund invest in securities issued by investment companies registered under the Investment Company Act of 1940 (other than "money market funds." to the extent provided in Instruction 6.e.)? 10. What type of fund is the private fund? r . hedge fund r . liquidity fund r . private equity fund r real estate fund r securitized asset fund r venture capital fund Other private fund LONG-ONLY INVESTMENT FUND NOTE: For funds of funds, refer to the funds in which the private fund invests. For definitions of these fund types, please see Instruction 6 of the Instructions to Part 1A. 11. Current gross asset value of the private fund: $ 108,711,729 Ownership 12. Minimum investment commitment required of an investor in the private fund: $ 100,000 NOTE: Report the amount routinely required of investors who are not your related persons (even if different from the amount set forth in the organizational documents of the fund). 13. Approximate number of the private funds beneficial owners: 78 14. What is the approximate percentage of the private fund beneficially owned by you and your related persons: 0% 15. What is the approximate percentage of the private fund beneficially owned (in the aggregate) by funds of funds: 0% 16. What is the approximate percentage of the private fund beneficially owned by non-United States persons: 5% Your Advisory Services 17. (a) Are you a subadviser to this private fund? € Yes No (b) If the answer to question 17(a) is "yes," provide the name and SEC file number, if any, of the adviser of the private fund. If the answer to question 17(a) is "no." leave this question blank. No Information Filed 18. (a) Do any other investment advisers advise the private fund? r Yes No r (b) If the answer to question 18(a) is "yes," provide the name and SEC file number, if any, of the other advisers to the private fund. If the answer to question 18(a) is "no." leave this question blank. No Information Filed 19. Are your clients solicited to invest in the private fund? 20. Approximately what percentage of your clients has invested in the private fund? 5% Private Offering 21. Does the private fund rely on an exemption from registration of its securities under Regulation D of the Securities Act of 1933? 22. If yes, provide the private funds Form D file number (if any): Yes No € Yes No € No Information Filed EFTA01079331 B. SERVICE PROVIDERS Auditors 23. (a) (1) Are the private funds financial statements subject to an annual audit? (2) Are the financial statements prepared in accordance with U.S. GAAP? Yes No r r If the answer to 23(a)(1) is "yes." respond to questions (b) through (f) below. If the private fund uses more than one auditing firm, you must complete questions (b) through (f) separately for each auditing firm. Additional Auditor Information : 1 Record(s) Filed. If the answer to 23(a)(1) is "yes." respond to questions (b) through (f) below. If the private fund uses more than one auditing firm, you must complete questions (b) through (f) separately for each auditing firm. (b) Name of the auditing firm: DELOITTE & TOUCHE LLP (c) The location of the auditing firm's office responsible for the private funds audit (city, state and country): City: State: Country: (d) Is the auditing firm an independent public accountant? (e) Is the auditing firm registered with the Public Company Accounting Oversight Board? (f) If "yes" to (e) above, is the auditing firm subject to regular inspection by the Public Company Accounting Oversight Board in accordance with its rules? Yes No C• 0 CF 0 € 0 Yes No (g) Are the private funds audited financial statements distributed to the private funds investors? G (h) Does the report prepared by the auditing firm contain an unqualified opinion? C Yes r No a Report Not Yet Received If you check "Report Not Yet Received," you must promptly file an amendment to your Form ADV to update your response when the report is available. Prime Broker 24. (a) Does the private fund use one or more prime brokers? Yes No C If the answer to 24(a) is "yes," respond to questions (b) through (e) below for each prime broker the private fund uses. If the private fund uses more than one prime broker, you must complete questions (b) through (e) separately for each prime broker. No Information Filed Custodian Yes No 25. (a) Does the private fund use any custodians (including the prime brokers listed above) to hold some or all of its assets? If the answer to 25(a) is "yes." respond to questions (b) through (f) below for each custodian the private fund uses. If the private fund uses more than one custodian, you must complete questions (b) through (f) separately for each custodian. C Additional Custodian Information : 1 Record(s) Filed. If the answer to 25(a) is "yes." respond to questions (b) through (f) below for each custodian the private fund uses. If the private fund uses more than one custodian, you must complete questions (b) through (f) separately for each custodian. (b) Legal name of custodian: STATE STREET BANK & TRUST CO. (c) Primary business name of custodian: STATE STREET BANK & TRUST CO. EFTA01079332 (d) The location of the custodian's office responsible for custody of the private funds assets (city, state and country): City: State: Country: Yes No (e) Is the custodian a related person of your firm? (f) If the custodian is a broker-dealer, provide its SEC registration number (if any) CRD Number (if any): Administrator C 0 Yes No 26. (a) Does the private fund use an administrator other than your firm? If the answer to 26(a) is "yes," respond to questions (b) through (f) below. If the private fund uses more than one administrator, you must complete questions (b) through (f) separately for each administrator. C) Additional Administrator Information : 1 Record(s) Filed. If the answer to 26(a) is "yes," respond to questions (b) through (f) below. If the private fund uses more than one administrator, you must complete questions (b) through (f) separately for each administrator. (b) Name of the administrator: ROCKIT SOLUTIONS LLC (c) Location of administrator (city. state and country): (d) Is the administrator a related person of your firm? (e) Does the administrator prepare and send investor account statements to the private funds investors? 6-Yes (provided to all investors) r Some (provided to some but not all investors) r No (provided to no investors) Yes No G (f) If the answer to 26(e) is "no" or "some," who sends the investor account statements to the (rest of the) private funds investors? If investor account statements are not sent to the (rest of the) private funds investors, respond "not applicable." 27. During your last fiscal year, what percentage of the private funds assets (by value) was valued by a person, such as an administrator, that is not your related person? 0% Include only those assets where (i) such person carried out the valuation procedure established for that asset, if any. including obtaining any relevant quotes, and (ii) the valuation used for purposes of investor subscriptions, redemptions or distributions, and fee calculations (including allocations) was the valuation determined by such person. Marketers 28. (a) Does the private fund use the services of someone other than you or your employees for marketing purposes? Yes No r You must answer "yes" whether the person acts as a placement agent, consultant, finder, introducer, municipal advisor or other solicitor, or similar person. If the answer to 28(a) is "yes", respond to questions (b) through (g) below for each such marketer the private fund uses. If the private fund uses more than one marketer you must complete questions (b) through (g) separately for each marketer. No Information Filed A. PRIVATE FUND Information About the Private Fund EFTA01079333 1. (a) Name of the private fund: RASF MASTER LLC (b) Private fund identification number: (include the "805-" prefix also) 2. Under the laws of what state or country is the private fund organized: State: Delaware Country: United States 3. Name(s) of General Partner, Manager, Trustee, or Directors (or persons serving in a similar capacity): ROCKEFELLER FUND MANAGERS. LLC 4. The private fund (check all that apply; you must check at least one): r (1) qualifies for the exclusion from the definition of investment company under section 3(c)(1) of the Investment Company Act of 1940 Ft (2) qualifies for the exclusion from the definition of investment company under section 3(c)(7) of the Investment Company Act of 1940 5. List the name and country. in English. of each foreign financial regulatory authority with which the private fund is registered. No Information Filed 6. (a) Is this a "master fund" in a master-feeder arrangement? (b) If yes. what is the name and private fund identification number (if any) of the feeder funds investing in this private fund? Yes No G Private Fund Name I Private Fund Identification Number ROCKEFELLER ALTERNATIVE STRATEGIES FUND LP ROCKEFELLER ALTERNATIVE STRATEGIES FUND OP LP (c) Is this a "feeder fund" in a master-feeder arrangement? (d) If yes. what is the name and private fund identification number (if any) of the master fund in which this private fund invests? Name of the Private Fund: Private Fund Identification Number: (include the "805-" prefix also) Yes No 0 G NOTE: You must complete question 6 for each master-feeder arrangement regardless of whether you are filing a single Schedule D, Section 713.(1). for the master-feeder arrangement or reporting on the funds separately. 7. If you are filing a single Schedule D, Section 7.B.(1) for a master-feeder arrangement according to the instructions to this Section 7.B.(1), for each of the feeder funds answer the following questions: No Information Filed NOTE: For purposes of questions 6 and 7, in a master-feeder arrangement. one or more funds ("feeder funds") invest all or substantially all of their assets in a single fund ("master fund"). A fund would also be a "feeder fund" investing in a "master fund" for purposes of this question if it issued multiple classes (or series) of shares or interests, and each class (or series) invests substantially all of its assets in a single master fund. 8. (a) Is this private fund a "fund of funds"? (b) If yes, does the private fund invest in funds managed by you or by a related person? NOTE: For purposes of this question only. answer "yes" if the fund invests 10 percent or more of its total assets in other pooled investment vehicles, whether or not they are also private funds, or registered investment companies. 9. During your last fiscal year, did the private fund invest in securities issued by investment companies registered under the Investment Company Act of 1940 (other than "money market funds." to the extent provided in Instruction 6.e.)? Yes No is r r Yes No r 10. What type of fund is the private fund? a hedge fund r liquidity fund r private equity fund r real estate fund r securitized asset fund r venture capital fund r Other private fund EFTA01079334 NOTE: For funds of funds, refer to the funds in which the private fund invests. For definitions of these fund types, please see Instruction 6 of the Instructions to Part 1A. 11. Current gross asset value of the private fund: $ 1,341,545 Ownership 12. Minimum investment commitment required of an investor in the private fund: $ 250,000 NOTE: Report the amount routinely required of investors who are not your related persons (even if different from the amount set forth in the organizational documents of the fund). 13. Approximate number of the private funds beneficial owners: 2 14. What is the approximate percentage of the private fund beneficially owned by you and your related persons: 100% 15. What is the approximate percentage of the private fund beneficially owned (in the aggregate) by funds of funds: 0% 16. What is the approximate percentage of the private fund beneficially owned by non-United States persons: 0% Your Advisory Services 17. (a) Are you a subadviser to this private fund? Yes No (b) If the answer to question 17(a) is "yes," provide the name and SEC file number, if any, of the adviser of the private fund. If the answer to question 17(a) is "no." leave this question blank. No Information Filed 18. (a) Do any other investment advisers advise the private fund? r Yes No r (b) If the answer to question 18(a) is "yes," provide the name and SEC file number, if any, of the other advisers to the private fund. If the answer to question 18(a) is "no." leave this question blank. No Information Filed 19. Are your clients solicited to invest in the private fund? 20. Approximately what percentage of your clients has invested in the private fund? 0% Private Offering 21. Does the private fund rely on an exemption from registration of its securities under Regulation D of the Securities Act of 1933? 22. If yes, provide the private funds Form D file number (if any): L B. SERVICE PROVIDERS Auditors No Information Filed 23. (a) (1) Are the private funds financial statements subject to an annual audit? (2) Are the financial statements prepared in accordance with U.S. GAAP? Yes No O € Yes No O € Yes No • r • r If the answer to 23(a)(1) is "yes." respond to questions (b) through (f) below. If the private fund uses more than one auditing firm, you must complete questions (b) through (f) separately for each auditing firm. Additional Auditor Information : 1 Record(s) Filed. EFTA01079335 If the answer to 23(a)(1) is "yes." respond to questions (b) through (f) below. If the private fund uses more than one auditing firm, you must complete questions (b) through (f) separately for each auditing firm. (b) Name of the auditing firm: DELOITTE & TOUCHE LLP (c) The location of the auditing firm's office responsible for the private funds audit (city, state and country): City - State: Countr (d) Is the auditing firm an independent public accountant? (e) Is the auditing firm registered with the Public Company Accounting Oversight Board? (f) If "yes" to (e) above, is the auditing firm subject to regular inspection by the Public Company Accounting Oversight Board in accordance with its rules? Yes No G 0 G 0 G 0 Yes No (g) Are the private funds audited financial statements distributed to the private funds investors? 0 0 (h) Does the report prepared by the auditing firm contain an unqualified opinion? r Yes r No Report Not Yet Received If you check "Report Not Yet Received," you must promptly file an amendment to your Form ADV to update your response when the report is available. Prime Broker Yes No 24. (a) Does the private fund use one or more prime brokers? (1 e If the answer to 24(a) is "yes," respond to questions (b) through (e) below for each prime broker the private fund uses. If the private fund uses more than one prime broker, you must complete questions (b) through (e) separately for each prime broker. No Information Filed Custodian 25. (a) Does the private fund use any custodians (including the prime brokers listed above) to hold some or all of its assets? Yes No If the answer to 25(a) is "yes." respond to questions (b) through (f) below for each custodian the private fund uses. If the private fund uses more than one custodian, you must complete questions (b) through (f) separately for each custodian. Additional Custodian Information : 1 Record(s) Filed. r If the answer to 25(a) is "yes." respond to questions (b) through (f) below for each custodian the private fund uses. If the private fund uses more than one custodian, you must complete questions (b) through (f) separately for each custodian. (b) Legal name of custodian: STATE STREET BANK & TRUST CO. (c) Primary business name of custodian: STATE STREET BANK & TRUST CO. (d) The location of the custodian's office responsible for custody of the private funds assets (city. state and country): (e) Is the custodian a related person of your firm? (f) If the custodian is a broker-dealer, provide its SEC registration number (if any) CRD Number (if any): Yes No 0 G EFTA01079336 Administrator Yes No 26. (a) Does the private fund use an administrator other than your firm? € 0 If the answer to 26(a) is "yes," respond to questions (b) through (f) below. If the private fund uses more than one administrator, you must complete questions (b) through (f) separately for each administrator. Additional Administrator Information :1 Record(s) Filed. If the answer to 26(a) is "yes," respond to questions (b) through (f) below. If the private fund uses more than one administrator. you must complete questions (b) through (f) separately for each administrator. (b) Name of the administrator: ROCKIT SOLUTIONS LLC (c) Location of administrator (city. state arid country): City: State: Country: Yes No (d) Is the administrator a related person of your firm? (e) Does the administrator prepare and send investor account statements to the private funds investors? f;, Yes (provided to all investors) c Some (provided to some but not all investors) r No (provided to no investors) (f) If the answer to 26(e) is "no" or "some," who sends the investor account statements to the (rest of the) private funds investors? If investor account statements are not sent to the (rest of the) private funds investors, respond "not applicable." 27. During your last fiscal year, what percentage of the private funds assets (by value) was valued by a person, such as an administrator, that is not your related person? 0% Include only those assets where (i) such person carried out the valuation procedure established for that asset, if any, including obtaining any relevant quotes, and (ii) the valuation used for purposes of investor subscriptions, redemptions or distributions, and fee calculations (including allocations) was the valuation determined by such person. Marketers Yes No 28. (a) Does the private fund use the services of someone other than you or your employees for marketing purposes? You must answer "yes" whether the person acts as a placement agent, consultant, finder, introducer, municipal advisor or other solicitor, or similar person. If the answer to 28(a) is "yes", respond to questions (b) through (g) below for each such marketer the private fund uses. If the private fund uses more than one marketer you must complete questions (b) through (g) separately for each marketer. No Information Filed A. PRIVATE FUND Information About the Private Fund 1. (a) Name of the private fund: RASF SPV LLC (b) Private fund identification number: (include the "805-" prefix also) 2. Under the laws of what state or country is the private fund organized: State: Country: Delaware United States EFTA01079337 3. Name(s) of General Partner, Manager, Trustee, or Directors (or persons serving in a similar capacity): ROCKEFELLER & CO., INC. 4. The private fund (check all that apply; you must check at least one): F; (1) qualifies for the exclusion from the definition of investment company under section 3(c)(1) of the Investment Company Act of 1940 r (2) qualifies for the exclusion from the definition of investment company under section 3(c)(7) of the Investment Company Act of 1940 5. List the name and country. in English. of each foreign financial regulatory authority with which the private fund is registered. No Information Filed 6. (a) Is this a "master fund" in a master-feeder arrangement? (b) If yes, what is the name and private fund identification number (if any) of the feeder funds investing in this private fund? No Information Filed (c) Is this a "feeder fund" in a master-feeder arrangement? (d) If yes. what is the name and private fund identification number (if any) of the master fund in which this private fund invests? Name of the Private Fund: Private Fund Identification Number: (include the "805-" prefix also) Yes No Yes No r. s NOTE: You must complete question 6 for each master-feeder arrangement regardless of whether you are filing a single Schedule D, Section 7.B.(1). for the master-feeder arrangement or reporting on the funds separately. 7. If you are filing a single Schedule D, Section 7.B.(1) for a master-feeder arrangement according to the instructions to this Section 7.6.(1), for each of the feeder funds answer the following questions: No Information Filed NOTE: For purposes of questions 6 and 7, in a master-feeder arrangement. one or more funds ("feeder funds") invest all or substantially all of their assets in a single fund ("master fund"). A fund would also be a "feeder fund" investing in a "master fund" for purposes of this question if it issued multiple classes (or series) of shares or interests, and each class (or series) invests substantially all of its assets in a single master fund. 8. (a) Is this private fund a "fund of funds"? (b) If yes, does the private fund invest in funds managed by you or by a related person? NOTE: For purposes of this question only. answer "yes" if the fund invests 10 percent or more of its total assets in other pooled investment vehicles, whether or not they are also private funds, or registered investment companies. 9. During your last fiscal year, did the private fund invest in securities issued by investment companies registered under the Investment Company Act of 1940 (other than "money market funds." to the extent provided in Instruction 6.e.)? Yes No r r Yes No 10. What type of fund is the private fund? a hedge fund r liquidity fund r private equity fund r real estate fund r securitized asset fund r venture capital fund r Other private fund NOTE: For funds of funds, refer to the funds in which the private fund invests. For definitions of these fund types, please see Instruction 6 of the Instructions to Part 1A. 11. Current gross asset value of the private fund: $ 31,700 Ownership 12. Minimum investment commitment required of an investor in the private fund: s $0 NOTE: Report the amount routinely required of investors who are not your related persons (even if different from the amount set forth in the organizational documents of the fund). EFTA01079338 13. Approximate number of the private funds beneficial owners: 25 14. What is the approximate percentage of the private fund beneficially owned by you and your related persons: 0% 15. What is the approximate percentage of the private fund beneficially owned (in the aggregate) by funds of funds: 0% 16. What is the approximate percentage of the private fund beneficially owned by non-United States persons: 0% Your Advisory Services 17. (a) Are you a subadviser to this private fund? Yes No (b) If the answer to question 17(a) is "yes," provide the name and SEC file number, if any, of the adviser of the private fund. If the answer to question 17(a) is "no." leave this question blank.  G No Information Filed 18. (a) Do any other investment advisers advise the private fund? Yes No  is (b) If the answer to question 18(a) is "yes," provide the name and SEC file number, if any, of the other advisers to the private fund. If the answer to question 18(a) is "no." leave this question blank. No Information Filed 19. Are your clients solicited to invest in the private fund? 20. Approximately what percentage of your clients has invested in the private fund? 2% Private Offering 21. Does the private fund rely on an exemption from registration of its securities under Regulation D of the Securities Act of 1933? 22. If yes, provide the private funds Form D file number (if any): Yes No O € Yes No O € No Information Filed B. SERVICE PROVIDERS Auditors 23. (a) (1) Are the private funds financial statements subject to an annual audit? (2) Are the financial statements prepared in accordance with U.S. GAAP? Yes No r r If the answer to 23(a)(1) is "yes." respond to questions (b) through (f) below. If the private fund uses more than one auditing firm, you must complete questions (b) through (f) separately for each auditing firm. Additional Auditor Information :1 Record(s) Filed. If the answer to 23(a)(1) is "yes." respond to questions (b) through (f) below. If the private fund uses more than one auditing firm, you must complete questions (b) through (f) separately for each auditing firm. (b) Name of the auditing firm: DELOITTE & TOUCHE LLP (c) The location of the auditing firm's office responsible for the private funds audit (city, state and country): City: State: Country: (d) Is the auditing firm an independent public accountant? Yes No € EFTA01079339 (e) Is the auditing firm registered with the Public Company Accounting Oversight Board? (f) If "yes" to (e) above, is the auditing firm subject to regular inspection by the Public Company Accounting Oversight Board in accordance with its rules? G G Yes No (g) Are the private funds audited financial statements distributed to the private funds investors? G (h) Does the report prepared by the auditing firm contain an unqualified opinion? r Yes r No Report Not Yet Received If you check "Report Not Yet Received," you must promptly file an amendment to your Form ADV to update your response when the report is available. Prime Broker 24. (a) Does the private fund use one or more prime brokers? Yes No r If the answer to 24(a) is "yes," respond to questions (b) through (e) below for each prime broker the private fund uses. If the private fund uses more than one prime broker, you must complete questions (b) through (e) separately for each prime broker. No Information Filed Custodian Yes No 25. (a) Does the private fund use any custodians (including the prime brokers listed above) to hold some or all of its assets? If the answer to 25(a) is "yes." respond to questions (b) through (f) below for each custodian the private fund uses. If the private fund uses more than one custodian, you must complete questions (b) through (f) separately for each custodian. r Additional Custodian Information : 1 Record(s) Filed. If the answer to 25(a) is "yes." respond to questions (b) through (f) below for each custodian the private fund uses. If the private fund uses more than one custodian, you must complete questions (b) through (f) separately for each custodian. (b) Legal name of custodian: STATE STREET BANK & TRUST CO. (c) Primary business name of custodian: STATE STREET BANK & TRUST CO. (d) The location of the custodian's office responsible for custody of the private funds assets (city, state and country): (e) Is the custodian a related person of your firm? (f) If the custodian is a broker-dealer, provide its SEC registration number (if any) CRD Number (if any): Yes No 0 G Administrator Yes No 26. (a) Does the private fund use an administrator other than your firm? G 0 If the answer to 26(a) is "yes," respond to questions (b) through (f) below. If the private fund uses more than one administrator, you must complete questions (b) through (f) separately for each administrator. Additional Administrator Information : 1 Record(s) Filed. If the answer to 26(a) is "yes," respond to questions (b) through (f) below. If the private fund uses more than one administrator, you must complete questions (b) through (f) separately for each administrator. EFTA01079340 (b) Name of the administrator: ROCKIT SOLUTIONS LLC (c) Location of administrator (city. state and country): City: State: Country: (d) Is the administrator a related person of your firm? (e) Does the administrator prepare and send investor account statements to the private funds investors? is Yes (provided to all investors) r Some (provided to some but not all investors) r No (provided to no investors) Yes No G (f) If the answer to 26(e) is "no" or "some," who sends the investor account statements to the (rest of the) private funds investors? If investor account statements are not sent to the (rest of the) private funds investors, respond "not applicable." 27. During your last fiscal year, what percentage of the private funds assets (by value) was valued by a person, such as an administrator, that is not your related person? 0% Include only those assets where (i) such person carried out the valuation procedure established for that asset, if any. including obtaining any relevant quotes, and (ii) the valuation used for purposes of investor subscriptions, redemptions or distributions, and fee calculations (including allocations) was the valuation determined by such person. Marketers Yes No 28. (a) Does the private fund use the services of someone other than you or your employees for marketing purposes? r You must answer "yes" whether the person acts as a placement agent, consultant, finder, introducer, municipal advisor or other solicitor, or similar person. If the answer to 28(a) is "yes", respond to questions (b) through (g) below for each such marketer the private fund uses. If the private fund uses more than one marketer you must complete questions (b) through (g) separately for each marketer. L No Information Filed A. PRIVATE FUND Information About the Private Fund 1. (a) Name of the private fund: ROCKEFELLER & CO. U.S. SMALL CAPITALIZATION FUND. L.P. (b) Private fund identification number: (include the "805-" prefix also) 2. Under the laws of what state or country is the private fund organized: State: Delaware Country: United States 3. Name(s) of General Partner, Manager, Trustee, or Directors (or persons serving in a similar capacity): ROCKEFELLER & CO., INC. 4. The private fund (check all that apply; you must check at least one): P' (1 ) qualifies for the exclusion from the definition of investment company under section 3(c)(1) of the Investment Company Act of 1940 r (2) qualifies for the exclusion from the definition of investment company under section 3(c)(7) of the Investment Company Act of 1940 5. List the name and country. in English. of each foreign financial regulatory authority with which the private fund is registered. L No Information Filed 6. (a) Is this a "master fund" in a master-feeder arrangement? Yes No s EFTA01079341 (b) If yes. what is the name and private fund identification number (if any) of the feeder funds investing in this private fund? No Information Filed Yes No (c) Is this a "feeder fund" in a master-feeder arrangement? (d) If yes. what is the name and private fund identification number (if any) of the master fund in which this private fund invests? Name of the Private Fund: Private Fund Identification Number: (include the "805-" prefix also) 0 € NOTE: You must complete question 6 for each master-feeder arrangement regardless of whether you are filing a single Schedule D, Section 7.B.(1). for the master-feeder arrangement or reporting on the funds separately. 7. If you are filing a single Schedule D, Section 7.B.(1) for a master-feeder arrangement according to the instructions to this Section 7.B.(1), for each of the feeder funds answer the following questions: No Information Filed NOTE: For purposes of questions 6 and 7, in a master-feeder arrangement. one or more funds ("feeder funds") invest all or substantially all of their assets in a single fund ("master fund"). A fund would also be a "feeder fund" investing in a "master fund" for purposes of this question if it issued multiple classes (or series) of shares or interests, and each class (or series) invests substantially all of its assets in a single master fund. 8. (a) Is this private fund a "fund of funds"? (b) If yes, does the private fund invest in funds managed by you or by a related person? NOTE: For purposes of this question only. answer "yes" if the fund invests 10 percent or more of its total assets in other pooled investment vehicles, whether or not they are also private funds, or registered investment companies. 9. During your last fiscal year, did the private fund invest in securities issued by investment companies registered under the Investment Company Act of 1940 (other than "money market funds." to the extent provided in Instruction 6.e.)? Yes No C C r Yes No C 10. What type of fund is the private fund? r hedge fund r liquidity fund r private equity fund r real estate fund r securitized asset fund r venture capital fund a Other private fund LONG-ONLY INVESTMENT FUND NOTE: For funds of funds, refer to the funds in which the private fund invests. For definitions of these fund types, please see Instruction 6 of the Instructions to Part 1A. 11. Current gross asset value of the private fund: $ 62,028,113 Ownership 12. Minimum investment commitment required of an investor in the private fund: $ 100,000 NOTE: Report the amount routinely required of investors who are not your related persons (even if different from the amount set forth in the organizational documents of the fund). 13. Approximate number of the private funds beneficial owners: 85 14. What is the approximate percentage of the private fund beneficially owned by you and your related persons: 1% 15. What is the approximate percentage of the private fund beneficially owned (in the aggregate) by funds of funds: 0% 16. What is the approximate percentage of the private fund beneficially owned by non-United States persons: 1% EFTA01079342 Your Advisory Services Yes No 17. (a) Are you a subadviser to this private fund? (b) If the answer to question 17(a) is "yes," provide the name and SEC file number, if any, of the adviser of the private fund. If the answer to question 17(a) is "no." leave this question blank. No Information Filed 18. (a) Do any other investment advisers advise the private fund? r G Yes No r (b) If the answer to question 18(a) is "yes," provide the name and SEC file number, if any, of the other advisers to the private fund. If the answer to question 18(a) is "no." leave this question blank. No Information Filed 19. Are your clients solicited to invest in the private fund? 20. Approximately what percentage of your clients has invested in the private fund? 6% Private Offering 21. Does the private fund rely on an exemption from registration of its securities under Regulation D of the Securities Act of 1933? 22. If yes, provide the private funds Form D file number (if any): No Information Filed B. SERVICE PROVIDERS Auditors 23. (a) (1) Are the private funds financial statements subject to an annual audit? (2) Are the financial statements prepared in accordance with U.S. GAAP? Yes No 0 Yes No € Yes No r r If the answer to 23(a)(1) is "yes." respond to questions (b) through (f) below. If the private fund uses more than one auditing firm, you must complete questions (b) through (f) separately for each auditing firm. Additional Auditor Information : 1 Record(s) Filed. If the answer to 23(a)(1) is "yes." respond to questions (b) through (f) below. If the private fund uses more than one auditing firm, you must complete questions (b) through (f) separately for each auditing firm. (b) Name of the auditing firm: (c) DELOITTE & TOUCHE LLP The location of the auditing firm's office responsible for the private funds audit (city, state and country): City' State: Country: Yes No (d) (e) Is the auditing firm an independent public accountant? Is the auditing firm registered with the Public Company Accounting Oversight Board? € 0 (f) If "yes" to (e) above, is the auditing firm subject to regular inspection by the Public Company Accounting Oversight Board in accordance with its rules? € Yes No (g) Are the private funds audited financial statements distributed to the private funds investors? € (h) Does the report prepared by the auditing firm contain an unqualified opinion? r Yes r No a Report Not Yet Received If you check "Report Not Yet Received," you must promptly file an amendment to your Form ADV to update your response when the report is available. EFTA01079343 Prime Broker Yes No 24. (a) Does the private fund use one or more prime brokers? r If the answer to 24(a) is "yes," respond to questions (b) through (e) below for each prime broker the private fund uses. If the private fund uses more than one prime broker, you must complete questions (b) through (e) separately for each prime broker. No Information Filed Custodian Yes No 25. (a) Does the private fund use any custodians (including the prime brokers listed above) to hold some or all of its assets? 0 0 If the answer to 25(a) is "yes." respond to questions (b) through (f) below for each custodian the private fund uses. If the private fund uses more than one custodian, you must complete questions (b) through (f) separately for each custodian. Additional Custodian Information : 1 Record(s) Flied. If the answer to 25(a) is "yes." respond to questions (b) through (f) below for each custodian the private fund uses. If the private fund uses more than one custodian, you must complete questions (b) through (f) separately for each custodian. (b) Legal name of custodian: STATE STREET BANK & TRUST CO. (c) Primary business name of custodian: STATE STREET BANK & TRUST CO. (d) The location of the custodian% office responsible for custody of the private funds assets (city, state and country): (e) Is the custodian a related person of your firm? (f) If the custodian is a broker-dealer, provide its SEC registration number (if any) CRD Number (if any): Administrator 26. (a) Does the private fund use an administrator other than your firm? Yes No 0 € Yes No If the answer to 26(a) is "yes," respond to questions (b) through (f) below. If the private fund uses more than one administrator, you must complete questions (b) through (f) separately for each administrator. Additional Administrator Information : 1 Record(s) Filed. r If the answer to 26(a) is "yes," respond to questions (b) through (f) below. If the private fund uses more than one administrator, you must complete questions (b) through (f) separately for each administrator. (b) Name of the administrator: ROCKIT SOLUTIONS LLC (c) Location of administrator (city. state and country): City: State: (d) Is the administrator a related person of your firm? Country: Yes No it!.i 0 (e) Does the administrator prepare and send investor account statements to the private funds investors? . Yes (provided to all investors) r Some (provided to some but not all investors) r No (provided to no investors) EFTA01079344 (f) If the answer to 26(e) is "no" or "some," who sends the investor account statements to the (rest of the) private funds investors? If investor account statements are not sent to the (rest of the) private funds investors, respond "not applicable." 27. During your last fiscal year, what percentage of the private funds assets (by value) was valued by a person, such as an administrator, that is not your related person? 0% Include only those assets where (I) such person carried out the valuation procedure established for that asset, if any, including obtaining any relevant quotes, and (ii) the valuation used for purposes of investor subscriptions, redemptions or distributions, and fee calculations (including allocations) was the valuation determined by such person. Marketers Yes No 28. (a) Does the private fund use the services of someone other than you or your employees for marketing purposes? You must answer "yes" whether the person acts as a placement agent, consultant, finder, introducer, municipal advisor or other solicitor, or similar person. If the answer to 28(a) is "yes", respond to questions (b) through (g) below for each such marketer the private fund uses. If the private fund uses more than one marketer you must complete questions (b) through (g) separately for each marketer. € No Information Filed A. PRIVATE FUND Information About the Private Fund 1. (a) Name of the private fund: ROCKEFELLER ACCESS FUND 06-I LLC (b) Private fund identification number: (include the "805-" prefix also) 2. Under the laws of what state or country is the private fund organized: State: Country: Delaware United States 3. Name(s) of General Partner, Manager, Trustee, or Directors (or persons serving in a similar capacity): Name of General Partner, Manager, Trustee, or Director ROCKEFELLER Si CO., INC. 4. The private fund (check all that apply; you must check at least one): O (1) qualifies for the exclusion from the definition of investment company under section 3(c)(1) of the Investment Company Act of 1940 0 (2) qualifies for the exclusion from the definition of investment company under section 3(c)(7) of the Investment Company Act of 1940 5. List the name and country, in English, of each foreign financial regulatory authoritywith which the private fund is registered. No Information Filed 6. (a) Is this a "master fund" in a master-feeder arrangement? (b) If yes, what is the name and private fund identification number (If any) of the feeder funds investing in this private fund? Yes No 0 € No Information Filed (c) Is this a "feeder fund" in a master-feeder arrangement? (d) If yes, what is the name and private fund identification number (if any) of the master fund in which this private fund invests? Name of the Private Fund: Yes No 0 Private Fund Identification Number: (include the "805-" prefix also) EFTA01079345 NOTE: You must complete question 6 for each master-feeder arrangement regardless of whether you are filing a single Schedule D, Section 7.B.(1). for the master-feeder arrangement or reporting on the funds separately. 7. If you are filing a single Schedule D, Section 7.B.(1) for a master-feeder arrangement according to the instructions to this Section 7.6.(1), for each of the feeder funds answer the following questions: No Information Filed NOTE: For purposes of questions 6 and 7, in a master-feeder arrangement. one or more funds ("feeder funds") invest all or substantially all of their assets in a single fund ("master fund"). A fund would also be a "feeder fund" investing in a "master fund" for purposes of this question if it issued multiple classes (or series) of shares or interests, and each class (or series) invests substantially all of its assets in a single master fund. 8. (a) Is this private fund a "fund of funds"? (b) If yes, does the private fund invest in funds managed by you or by a related person? NOTE: For purposes of this question only. answer "yes" if the fund invests 10 percent or more of its total assets in other pooled investment vehicles, whether or not they are also private funds, or registered investment companies. 9. During your last fiscal year, did the private fund invest in securities issued by investment companies registered under the Investment Company Act of 1940 (other than "money market funds." to the extent provided in Instruction 6.e.)? Yes No r r Yes No r 10. What type of fund is the private fund? r hedge fund r liquidity fund r private equity fund r real estate fund r securitized asset fund r venture capital fund a Other private fund PRIVATE EQUITY/VENTURE CAPITAL NOTE: For funds of funds, refer to the funds in which the private fund invests. For definitions of these fund types, please see Instruction 6 of the Instructions to Part 1A. 11. Current gross asset value of the private fund: $ 152,159,021 Ownership 12. Minimum investment commitment required of an investor in the private fund: $ 500,000 NOTE: Report the amount routinely required of investors who are not your related persons (even if different from the amount set forth in the organizational documents of the fund). 13. Approximate number of the private funds beneficial owners: 89 14. What is the approximate percentage of the private fund beneficially owned by you and your related persons: 0% 15. What is the approximate percentage of the private fund beneficially owned (in the aggregate) by funds of funds: 1% 16. What is the approximate percentage of the private fund beneficially owned by non-United States persons: 5% Your Advisory Services 17. (a) Are you a subadviser to this private fund? Yes No (b) If the answer to question 17(a) is "yes," provide the name and SEC file number, if any, of the adviser of the private fund. If the answer to question 17(a) is "no." leave this question blank. No Information Filed 18. (a) Do any other investment advisers advise the private fund? Yes No r (b) If the answer to question 18(a) is "yes," provide the name and SEC file number, if any, of the other advisers to the private fund. If the answer to question 18(a) is "no." leave this question blank. EFTA01079346 No Information Filed 19. Are your clients solicited to invest in the private fund? Yes No O G 20. Approximately what percentage of your clients has invested in the private fund? 3% Private Offering 21. Does the private fund rely on an exemption from registration of its securities under Regulation D of the Securities Act of 1933? 22. If yes, provide the private funds Form D file number (if any): Yes No • € No Information Filed B. SERVICE PROVIDERS Auditors 23. (a) (1) Are the private funds financial statements subject to an annual audit? (2) Are the financial statements prepared in accordance with U.S. GAAP? Yes No r r If the answer to 23(a)(1) is "yes." respond to questions (b) through (f) below. If the private fund uses more than one auditing firm, you must complete questions (b) through (f) separately for each auditing firm. Additional Auditor Information :1 Record(s) Filed. If the answer to 23(a)(1) is "yes." respond to questions (b) through (f) below. If the private fund uses more than one auditing firm, you must complete questions (b) through (f) separately for each auditing firm. (b) Name of the auditing firm: (c) DELOITTE & TOUCHE LLP The location of the auditing firm's office responsible for the private funds audit (city, state and country): City: State: Country: Yes No (d) Is the auditing firm an independent public accountant? G (e) Is the auditing firm registered with the Public Company Accounting Oversight Board? O (0 If "yes" to (e) above, is the auditing firm subject to regular inspection by the Public Company Accounting Oversight Board in accordance with its rules? G Yes No (g) Are the private funds audited financial statements distributed to the private funds investors? (?) O (h) Does the report prepared by the auditing firm contain an unqualified opinion? r Yes r No a Report Not Yet Received If you check "Report Not Yet Received," you must promptly file an amendment to your Form ADV to update your response when the report is available. Prime Broker 24. (a) Does the private fund use one or more prime brokers? Yes No  is If the answer to 24(a) is "yes," respond to questions (b) through (e) below for each prime broker the private fund uses. If the private fund uses more than one prime broker, you must complete questions (b) through (e) separately for each prime broker. No Information Filed Custodian Yes No EFTA01079347 25. (a) Does the private fund use any custodians (including the prime brokers listed above) to hold some or all of its assets? r r If the answer to 25(a) is "yes." respond to questions (b) through (f) below for each custodian the private fund uses. If the private fund uses more than one custodian, you must complete questions (b) through (f) separately for each custodian. Additional Custodian Information : 1 Record(s) Filed. If the answer to 25(a) is "yes." respond to questions (b) through (f) below for each custodian the private fund uses. If the private fund uses more than one custodian, you must complete questions (b) through (f) separately for each custodian. (b) Legal name of custodian: STATE STREET BANK & TRUST CO. (c) Primary business name of custodian: STATE STREET BANK & TRUST CO. (d) The location of the custodian's office responsible for custody of the private funds assets (city, state and country): Yes No (e) Is the custodian a related person of your firm? (f) If the custodian is a broker-dealer, provide its SEC registration number (if any) CRD Number (if any): C Administrator Yes No 26. (a) Does the private fund use an administrator other than your firm? 0' e- lf the answer to 26(a) is "yes," respond to questions (b) through (f) below. If the private fund uses more than one administrator, you must complete questions (b) through (f) separately for each administrator. Additional Administrator Information : 1 Record(s) Filed. If the answer to 26(a) is "yes," respond to questions (b) through (f) below. If the private fund uses more than one administrator, you must complete questions (b) through (f) separately for each administrator. (b) Name of the administrator: ROCKIT SOLUTIONS LLC (c) Location of administrator (city. state and country): City: State: Country: Yes No (d) Is the administrator a related person of your firm? (e) Does the administrator prepare and send investor account statements to the private funds investors? a Yes (provided to all investors) r Some (provided to some but not all investors) r No (provided to no investors) (f) If the answer to 26(e) is "no" or "some," who sends the investor account statements to the (rest of the) private funds investors? If investor account statements are not sent to the (rest of the) private funds investors, respond "not applicable." 27. During your last fiscal year, what percentage of the private funds assets (by value) was valued by a person, such as an administrator, that is not your related person? 0% Include only those assets where (i) such person carried out the valuation procedure established for that asset, if any. including obtaining any relevant quotes, and (ii) the valuation used for purposes of investor subscriptions, redemptions or distributions, and fee calculations (including allocations) was the valuation determined by such person. EFTA01079348 Marketers Yes No 28. (a) Does the private fund use the services of someone other than you or your employees for marketing purposes? r You must answer "yes" whether the person acts as a placement agent, consultant, finder, introducer, municipal advisor or other solicitor, or similar person. If the answer to 28(a) is "yes", respond to questions (b) through (g) below for each such marketer the private fund uses. If the private fund uses more than one marketer you must complete questions (b) through (g) separately for each marketer. No Information Filed r7. PRIVATE FUND Information About the Private Fund 1. (a) Name of the private fund: ROCKEFELLER ACCESS FUND 06-II LLC (b) Private fund identification number: (include the "805-" prefix also) 2. Under the laws of what state or country is the private fund organized: State: Country: Delaware United States 3. Name(s) of General Partner, Manager, Trustee, or Directors (or persons serving in a similar capacity): Name of Gerweral Partni3r, Manager, Trustee, or Director • & CO., INC. 4. The private fund (check all that apply; you must check at least one): 17 (1 ) qualifies for the exclusion from the definition of investment company under section 3(c)(1) of the Investment Company Act of 1940 17 (2) qualifies for the exclusion from the definition of investment company under section 3(c)(7) of the Investment Company Act of 1940 5. List the name and country. in English. of each foreign financial regulatory authority with which the private fund is registered. No Information Filed Yes No 6. (a) Is this a "master fund" in a master-feeder arrangement? (b) If yes. what is the name and private fund identification number (if any) of the feeder funds investing in this private fund? No Information Filed (c) Is this a "feeder fund" in a master-feeder arrangement? (d) If yes. what is the name and private fund identification number (if any) of the master fund in which this private fund invests? Name of the Private Fund: Private Fund Identification Number: (include the "805-" prefix also) Yes No s NOTE: You must complete question 6 for each master-feeder arrangement regardless of whether you are filing a single Schedule D, Section 7.B.(1). for the master-feeder arrangement or reporting on the funds separately. 7. If you are filing a single Schedule D, Section 7.B.(1) for a master-feeder arrangement according to the instructions to this Section 7.6.(1), for each of the feeder funds answer the following questions: No Information Filed NOTE: For purposes of questions 6 and 7, in a master-feeder arrangement. one or more funds ("feeder funds") invest all or substantially all of their assets in a single fund ("master fund"). A fund would also be a "feeder fund" investing in a "master fund" for purposes of this question if it issued EFTA01079349 multiple classes (or series) of shares or interests, and each class (or series) invests substantially all of its assets in a single master fund. Yes No 8. (a) Is this private fund a "fund of funds"? (b) If yes, does the private fund invest in funds managed by you or by a related person? G O G NOTE: For purposes of this question only. answer "yes" if the fund invests 10 percent or more of its total assets in other pooled investment vehicles, whether or not they are also private funds, or registered investment companies. 9. During your last fiscal year, did the private fund invest in securities issued by investment companies registered under the Investment Company Act of 1940 (other than "money market funds." to the extent provided in Instruction 6.e.)? Yes No O G 10. What type of fund is the private fund? r hedge fund r liquidity fund r private equity fund r real estate fund r securitized asset fund r venture capital fund Other private fund PRIVATE EQUITY/VENTURE CAPITAL NOTE: For funds of funds, refer to the funds in which the private fund invests. For definitions of these fund types, please see Instruction 6 of the Instructions to Part 1A. 11. Current gross asset value of the private fund: $ 16,096,560 Ownership 12. Minimum investment commitment required of an investor in the private fund: $ 100,000 NOTE: Report the amount routinely required of investors who are not your related persons (even if different from the amount set forth in the organizational documents of the fund). 13. Approximate number of the private funds beneficial owners: 43 14. What is the approximate percentage of the private fund beneficially owned by you and your related persons: 1% 15. What is the approximate percentage of the private fund beneficially owned (in the aggregate) by funds of funds: 4% 16. What is the approximate percentage of the private fund beneficially owned by non-United States persons: 0% Your Advisory Services 17. (a) Are you a subadviser to this private fund? Yes No (b) If the answer to question 17(a) is "yes," provide the name and SEC file number, if any, of the adviser of the private fund. If the answer to question 17(a) is "no." leave this question blank. No Information Filed 18. (a) Do any other investment advisers advise the private fund? O G Yes No r (b) If the answer to question 18(a) is "yes," provide the name and SEC file number, if any, of the other advisers to the private fund. If the answer to question 18(a) is "no." leave this question blank. No Information Filed 19. Are your clients solicited to invest in the private fund? 20. Approximately what percentage of your clients has invested in the private fund? 3% Private Offering 21. Does the private fund rely on an exemption from registration of its securities under Regulation D of the Securities Act of 1933? Yes No O G Yes No O O EFTA01079350 22. If yes, provide the private funds Form D file number (if any): No Information Filed B. SERVICE PROVIDERS Auditors 23. (a) (1) Are the private funds financial statements subject to an annual audit? (2) Are the financial statements prepared in accordance with U.S. GAAP? Yes No r r If the answer to 23(a)(1) is "yes." respond to questions (b) through (f) below. If the private fund uses more than one auditing firm, you must complete questions (b) through (f) separately for each auditing firm. Additional Auditor Information : 1 Record(s) Filed. If the answer to 23(a)(1) is "yes," respond to questions (b) through (f) below. If the private fund uses more than one auditing firm, you must complete questions (b) through (f) separately for each auditing firm. (b) Name of the auditing firm: DELOITTE & TOUCHE LLP (c) The location of the auditing firm's office responsible for the private funds audit (city, state and country): City: State: Country: (d) Is the auditing firm an independent public accountant? (e) Is the auditing firm registered with the Public Company Accounting Oversight Board? (f) If "yes" to (e) above, is the auditing firm subject to regular inspection by the Public Company Accounting Oversight Board in accordance with its rules? Yes No G G Yes No (g) Are the private funds audited financial statements distributed to the private funds investors? 0 0 (h) Does the report prepared by the auditing firm contain an unqualified opinion? r Yes r No a Report Not Yet Received If you check "Report Not Yet Received," you must promptly file an amendment to your Form ADV to update your response when the report is available. Prime Broker 24. (a) Does the private fund use one or more prime brokers? Yes No r If the answer to 24(a) is "yes," respond to questions (b) through (e) below for each prime broker the private fund uses. If the private fund uses more than one prime broker, you must complete questions (b) through (e) separately for each prime broker. No Information Filed Custodian Yes No 25. (a) Does the private fund use any custodians (including the prime brokers listed above) to hold some or all of its assets? € If the answer to 25(a) is "yes." respond to questions (b) through (f) below for each custodian the private fund uses. If the private fund uses more than one custodian, you must complete questions (b) through (f) separately for each custodian. Additional Custodian Information : 1 Record(s) Filed. If the answer to 25(a) is "yes." respond to questions (b) through (f) below for each custodian the private fund uses. If the private fund uses more than one custodian, you must complete questions (b) through (f) separately for each custodian. (b) Legal name of custodian: STATE STREET BANK & TRUST CO. EFTA01079351 (c) Primary business name of custodian: STATE STREET BANK & TRUST CO. (d) The location of the custodian's office responsible for custody of the private funds assets (city, state and country): City: State: Country: Yes No (e) Is the custodian a related person of your firm? (f) If the custodian is a broker-dealer, provide its SEC registration number (if any) CRD Number (if any): Administrator 26. (a) Does the private fund use an administrator other than your firm? 0 G Yes No If the answer to 26(a) is "yes," respond to questions (b) through (f) below. If the private fund uses more than one administrator, you must complete questions (b) through (f) separately for each administrator. r Additional Administrator Information : 1 Record(s) Filed. If the answer to 26(a) is "yes," respond to questions (b) through (f) below. If the private fund uses more than one administrator, you must complete questions (b) through (f) separately for each administrator. (b) Name of the administrator: ROCKIT SOLUTIONS LLC (c) Location of administrator (city. state and country): City: State: Country: (d) Is the administrator a related person of your firm? (e) Does the administrator prepare and send investor account statements to the private funds investors? a Yes (provided to all investors) r Some (provided to some but not all investors) r No (provided to no investors) Yes No G (f) If the answer to 26(e) is "no" or "some," who sends the investor account statements to the (rest of the) private funds investors? If investor account statements are not sent to the (rest of the) private funds investors, respond "not applicable." 27. During your last fiscal year, what percentage of the private funds assets (by value) was valued by a person, such as an administrator, that is not your related person? 0% Include only those assets where (i) such person carried out the valuation procedure established for that asset, if any. including obtaining any relevant quotes, and (ii) the valuation used for purposes of investor subscriptions, redemptions or distributions, and fee calculations (including allocations) was the valuation determined by such person. Marketers 28. (a) Does the private fund use the services of someone other than you or your employees for marketing purposes? Yes No r You must answer "yes" whether the person acts as a placement agent, consultant, finder, introducer, municipal advisor or other solicitor, or similar person. If the answer to 28(a) is "yes", respond to questions (b) through (g) below for each such marketer the private fund uses. If the private fund uses more than one marketer you must complete questions (b) through (g) separately for each marketer. No Information Filed H . PRIVATE FUND EFTA01079352 Information About the Private Fund 1. (a) Name of the private fund: ROCKEFELLER ACCESS FUND 2015, LLC (b) Private fund identification number: (include the "805-" prefix also) 2. Under the laws of what state or country is the private fund organized: State: Delaware Country: United States 3. Name(s) of General Partner, Manager, Trustee, or Directors (or persons serving in a similar capacity): ROCKEFELLER & CO., INC. 4. The private fund (check all that apply; you must check at least one): F7 (1) qualifies for the exclusion from the definition of investment company under section 3(c)(1) of the Investment Company Act of 1940 r (2) qualifies for the exclusion from the definition of investment company under section 3(c)(7) of the Investment Company Act of 1940 5. List the name and country. in English. of each foreign financial regulatory authority with which the private fund is registered. No Information Filed 6. (a) Is this a "master fund" in a master-feeder arrangement? (b) If yes. what is the name and private fund identification number (if any) of the feeder funds investing in this private fund? No Information Filed (c) Is this a "feeder fund" in a master-feeder arrangement? (d) If yes. what is the name and private fund identification number (if any) of the master fund in which this private fund invests? Name of the Private Fund: Private Fund Identification Number: (include the "805-" prefix also) Yes No O € Yes No O € NOTE: You must complete question 6 for each master-feeder arrangement regardless of whether you are filing a single Schedule D, Section 7.B.(1). for the master-feeder arrangement or reporting on the funds separately. 7. If you are filing a single Schedule D, Section 7.B.(1) for a master-feeder arrangement according to the instructions to this Section 7.6.(1), for each of the feeder funds answer the following questions: L No Information Filed NOTE: For purposes of questions 6 and 7, in a master-feeder arrangement. one or more funds ("feeder funds") invest all or substantially all of their assets in a single fund ("master fund"). A fund would also be a "feeder fund" investing in a "master fund" for purposes of this question if it issued multiple classes (or series) of shares or interests, and each class (or series) invests substantially all of its assets in a single master fund. 8. (a) Is this private fund a "fund of funds"? (b) If yes, does the private fund invest in funds managed by you or by a related person? NOTE: For purposes of this question only. answer "yes" if the fund invests 10 percent or more of its total assets in other pooled investment vehicles, whether or not they are also private funds, or registered investment companies. 9. During your last fiscal year, did the private fund invest in securities issued by investment companies registered under the Investment Company Act of 1940 (other than "money market funds," to the extent provided in Instruction 6.e.)? Yes No • r r Yes No r 10. What type of fund is the private fund? EFTA01079353 r hedge fund r liquidity fund r private equity fund real estate fund securitized asset fund venture capital fund 0 Other private fund PRIVATE EQUITY/VENTURE CAPITAL NOTE: For funds of funds, refer to the funds in which the private fund invests. For definitions of these fund types, please see Instruction 6 of the Instructions to Part 1A. 11. Current gross asset value of the private fund: $ 0 Ownership 12. Minimum investment commitment required of an investor in the private fund: $ 500,000 NOTE: Report the amount routinely required of investors who are not your related persons (even if different from the amount set forth in the organizational documents of the fund). 13. Approximate number of the private funds beneficial owners: 49 14. What is the approximate percentage of the private fund beneficially owned by you and your related persons: 0% 15. What is the approximate percentage of the private fund beneficially owned (in the aggregate) by funds of funds: 8% 16. What is the approximate percentage of the private fund beneficially owned by non-United States persons: 37% Your Advisory Services 17. (a) Are you a subadviser to this private fund? Yes No (b) If the answer to question 17(a) is "yes," provide the name and SEC file number, if any, of the adviser of the private fund. If the answer to question 17(a) is "no." leave this question blank. No Information Filed 18. (a) Do any other investment advisers advise the private fund? r G H Yes No r (b) If the answer to question 18(a) is "yes," provide the name and SEC file number, if any, of the other advisers to the private fund. If the answer to question 18(a) is "no." leave this question blank. No Information Filed 19. Are your clients solicited to invest in the private fund? 20. Approximately what percentage of your clients has invested in the private fund? 7% Private Offering 21. Does the private fund rely on an exemption from registration of its securities under Regulation D of the Securities Act of 1933? 22. If yes, provide the private funds Form D file number (if any): Yes No 0 € Yes No € B. SERVICE PROVIDERS Auditors 23. (a) (1) Are the private funds financial statements subject to an annual audit? (2) Are the financial statements prepared in accordance with U.S. GAAP? Yes No • r • r If the answer to 23(a)(1) is "yes." respond to questions (b) through (f) below. If the private fund uses more than one auditing firm, you must EFTA01079354 complete questions (b) through (1) separately for each auditing firm. Additional Auditor Information : 1 Record(s) Filed. If the answer to 23(a)(1) is "yes." respond to questions (b) through (f) below. If the private fund uses more than one auditing firm, you must complete questions (b) through (f) separately for each auditing firm. (b) Name of the auditing firm: DELOITTE & TOUCHE LLP (c) The location of the auditing firm's office responsible for the private funds audit (city, state and country): City: State: Country: (d) Is the auditing firm an independent public accountant? (e) Is the auditing firm registered with the Public Company Accounting Oversight Board? (f) If "yes" to (e) above, is the auditing firm subject to regular inspection by the Public Company Accounting Oversight Board in accordance with its rules? Yes No G 0 G 0 G 0 Yes No (g) Are the private funds audited financial statements distributed to the private funds investors? G (h) Does the report prepared by the auditing firm contain an unqualified opinion? r Yes r No 6. Report Not Yet Received If you check "Report Not Yet Received," you must promptly file an amendment to your Form ADV to update your response when the report is available. Prime Broker 24. (a) Does the private fund use one or more prime brokers? Yes No r (F: If the answer to 24(a) is "yes," respond to questions (b) through (e) below for each prime broker the private fund uses. If the private fund uses more than one prime broker, you must complete questions (b) through (e) separately for each prime broker. No Information Filed Custodian Yes No 25. (a) Does the private fund use any custodians (including the prime brokers listed above) to hold some or all of its assets? If the answer to 25(a) is "yes." respond to questions (b) through (f) below for each custodian the private fund uses. If the private fund uses more than one custodian, you must complete questions (b) through (f) separately for each custodian. Additional Custodian Information : 1 Record(s) Filed. If the answer to 25(a) is "yes." respond to questions (b) through (f) below for each custodian the private fund uses. If the private fund uses more than one custodian, you must complete questions (b) through (f) separately for each custodian. (b) Legal name of custodian: STATE STREET BANK & TRUST CO. (c) Primary business name of custodian: STATE STREET BANK & TRUST CO. (d) The location of the custodian's office responsible for custody of the private funds assets (city. state and country): City: State: Country: Yes No (e) Is the custodian a related person of your firm? (f) If the custodian is a broker-dealer, provide its SEC registration number (if any) 0 € EFTA01079355 CRD Number (if any): Administrator Yes No 26. (a) Does the private fund use an administrator other than your firm? If the answer to 26(a) is "yes," respond to questions (b) through (f) below. If the private fund uses more than one administrator, you must complete questions (b) through (f) separately for each administrator. r Additional Administrator Information : 1 Record(s) Filed. If the answer to 26(a) is "yes," respond to questions (b) through (f) below. If the private fund uses more than one administrator, you must complete questions (b) through (f) separately for each administrator. (b) Name of the administrator: ROCKIT SOLUTIONS LLC (c) Location of administrator (city. state and country): City: State: Country: (d) Is the administrator a related person of your firm? (e) Does the administrator prepare and send investor account statements to the private funds investors? a Yes (provided to all investors) r Some (provided to some but not all investors) r No (provided to no investors) Yes No G (f) If the answer to 26(e) is "no" or "some." who sends the investor account statements to the (rest of the) private funds investors? If investor account statements are not sent to the (rest of the) private funds investors, respond "not applicable." 27. During your last fiscal year, what percentage of the private funds assets (by value) was valued by a person, such as an administrator, that is not your related person? 0% Include only those assets where (i) such person carried out the valuation procedure established for that asset, if any. including obtaining any relevant quotes, and (ii) the valuation used for purposes of investor subscriptions, redemptions or distributions, and fee calculations (including allocations) was the valuation determined by such person. Marketers 28. (a) Does the private fund use the services of someone other than you or your employees for marketing purposes? Yes No r You must answer "yes" whether the person acts as a placement agent, consultant, finder, introducer, municipal advisor or other solicitor, or similar person. If the answer to 28(a) is "yes", respond to questions (b) through (9) below for each such marketer the private fund uses. If the private fund uses more than one marketer you must complete questions (b) through (g) separately for each marketer. No Information Filed H . PRIVATE FUND Information About the Private Fund 1. (a) Name of the private fund: ROCKEFELLER ACCESS FUND I LLC (b) Private fund identification number: (include the "805-" prefix also) 2. Under the laws of what state or country is the private fund organized: EFTA01079356 State: Country: Delaware United States 3. Name(s) of General Partner, Manager, Trustee, or Directors (or persons serving in a similar capacity): Name, of General Partner, Mtinager, Trustee, or Director • & CO., INC. 4. The private fund (check all that apply; you must check at least one): 17 (1 ) qualifies for the exclusion from the definition of investment company under section 3(c)(1) of the Investment Company Act of 1940 r (2) qualifies for the exclusion from the definition of investment company under section 3(c)(7) of the Investment Company Act of 1940 5. List the name and country. in English. of each foreign financial regulatory authority with which the private fund is registered. No Information Filed Yes No 6. (a) Is this a "master fund" in a master-feeder arrangement? (b) If yes. what is the name and private fund identification number (if any) of the feeder funds investing in this private fund? O € No Information Filed (c) Is this a "feeder fund" in a master-feeder arrangement? (d) If yes. what is the name and private fund identification number (if any) of the master fund in which this private fund invests? Name of the Private Fund: Private Fund Identification Number: (include the "805-" prefix also) Yes No O € NOTE: You must complete question 6 for each master-feeder arrangement regardless of whether you are filing a single Schedule D, Section 7.B.(1). for the master-feeder arrangement or reporting on the funds separately. 7. If you are filing a single Schedule D, Section 7.B.(1) for a master-feeder arrangement according to the instructions to this Section 7.B.(1), for each of the feeder funds answer the following questions: No Information Filed NOTE: For purposes of questions 6 and 7, in a master-feeder arrangement. one or more funds ("feeder funds") invest all or substantially all of their assets in a single fund ("master fund"). A fund would also be a "feeder fund" investing in a "master fund" for purposes of this question if it issued multiple classes (or series) of shares or interests, and each class (or series) invests substantially all of its assets in a single master fund. 8. (a) Is this private fund a "fund of funds"? (b) If yes, does the private fund invest in funds managed by you or by a related person? NOTE: For purposes of this question only. answer "yes" if the fund invests 10 percent or more of its total assets in other pooled investment vehicles, whether or not they are also private funds, or registered investment companies. 9. During your last fiscal year, did the private fund invest in securities issued by investment companies registered under the Investment Company Act of 1940 (other than "money market funds," to the extent provided in Instruction 6.e.)? Yes No • r r Yes No r 10. What type of fund is the private fund? r hedge fund r liquidity fund r private equity fund r real estate fund r securitized asset fund r venture capital fund a Other private fund PRIVATE EQUITY/VENTURE CAPITAL NOTE: For funds of funds, refer to the funds in which the private fund invests. For definitions of these fund types, please see Instruction 6 of the Instructions to Part 1A. 11. Current gross asset value of the private fund: $ 58,455,894 Ownership EFTA01079357 12. Minimum investment commitment required of an investor in the private fund: $ 500,000 NOTE: Report the amount routinely required of investors who are not your related persons (even if different from the amount set forth in the organizational documents of the fund). 13. Approximate number of the private funds beneficial owners: 86 14. What is the approximate percentage of the private fund beneficially owned by you and your related persons: 1% 15. What is the approximate percentage of the private fund beneficially owned (in the aggregate) by funds of funds: 0% 16. What is the approximate percentage of the private fund beneficially owned by non-United States persons: 3% Your Advisory Services 17. (a) Are you a subadviser to this private fund? Yes No (b) If the answer to question 17(a) is "yes," provide the name and SEC file number, if any, of the adviser of the private fund. If the answer to question 17(a) is "no." leave this question blank. No Information Filed 18. (a) Do any other investment advisers advise the private fund? r Yes No r (b) If the answer to question 18(a) is "yes," provide the name and SEC file number, if any, of the other advisers to the private fund. If the answer to question 18(a) is "no." leave this question blank. No Information Filed 19. Are your clients solicited to invest in the private fund? 20. Approximately what percentage of your clients has invested in the private fund? 2% Private Offering 21. Does the private fund rely on an exemption from registration of its securities under Regulation D of the Securities Act of 1933? 22. If yes, provide the private funds Form D file number (if any): r B. SERVICE PROVIDERS Auditors No Information Filed 23. (a) (1) Are the private funds financial statements subject to an annual audit? (2) Are the financial statements prepared in accordance with U.S. GAAP? Yes No 0 € Yes No 0 € Yes No r r If the answer to 23(a)(1) is "yes." respond to questions (b) through (f) below. If the private fund uses more than one auditing firm, you must complete questions (b) through (f) separately for each auditing firm. Additional Auditor Information :1 Record(s) Filed. If the answer to 23(a)(1) is "yes." respond to questions (b) through (f) below. If the private fund uses more than one auditing firm, you must complete questions (b) through (f) separately for each auditing firm. (b) Name of the auditing firm: DELOITTE & TOUCHE LLP (c) The location of the auditing firm's office responsible for the private funds audit (city, state and country): City: State: Country: EFTA01079358 STAMFORD Connecticut United States Yes No (d) Is the auditing firm an independent public accountant? G 0 (e) Is the auditing firm registered with the Public Company Accounting Oversight Board? GI 0 (f) If "yes" to (e) above, is the auditing firm subject to regular inspection by the Public Company Accounting Oversight Board in accordance with its rules? G 0 Yes No (g) Are the private funds audited financial statements distributed to the private funds investors? 0 0 (h) Does the report prepared by the auditing firm contain an unqualified opinion? r Yes r No a Report Not Yet Received If you check "Report Not Yet Received," you must promptly file an amendment to your Form ADV to update your response when the report is available. Prime Broker Yes No 24. (a) Does the private fund use one or more prime brokers? r If the answer to 24(a) is "yes," respond to questions (b) through (e) below for each prime broker the private fund uses. If the private fund uses more than one prime broker, you must complete questions (b) through (e) separately for each prime broker. No Information Filed Custodian Yes No 25. (a) Does the private fund use any custodians (including the prime brokers listed above) to hold some or all of its assets? 0 a If the answer to 25(a) is "yes." respond to questions (b) through (f) below for each custodian the private fund uses. If the private fund uses more than one custodian, you must complete questions (b) through (f) separately for each custodian. Additional Custodian Information : 1 Record(s) Filed. If the answer to 25(a) is "yes." respond to questions (b) through (f) below for each custodian the private fund uses. If the private fund uses more than one custodian, you must complete questions (b) through (f) separately for each custodian. (b) Legal name of custodian: STATE STREET BANK & TRUST CO. (c) Primary business name of custodian: STATE STREET BANK & TRUST CO. (d) The location of the custodian's office responsible for custody of the private funds assets (city, state and country): (e) Is the custodian a related person of your firm? (f) If the custodian is a broker-dealer, provide its SEC registration number (if any) CRD Number (if any): Administrator 26. (a) Does the private fund use an administrator other than your firm? Yes No 0 G Yes No r If the answer to 26(a) is "yes," respond to questions (b) through (f) below. If the private fund uses more than one administrator, you must complete questions (b) through (f) separately for each administrator. Additional Administrator Information : 1 Record(s) Filed. EFTA01079359 If the answer to 26(a) is "yes," respond to questions (b) through (f) below. If the private fund uses more than one administrator, you must complete questions (b) through (f) separately for each administrator. (b) Name of the administrator: ROCKIT SOLUTIONS LLC (c) Location of administrator (city. state and country): City: State: Country: (d) Is the administrator a related person of your firm? (e) Does the administrator prepare and send investor account statements to the private funds investors? ' Yes (provided to all investors) r Some (provided to some but not all investors) r No (provided to no investors) Yes No G (f) If the answer to 26(e) is "no" or "some." who sends the investor account statements to the (rest of the) private funds investors? If investor account statements are not sent to the (rest of the) private funds investors, respond "not applicable." 27. During your last fiscal year, what percentage of the private funds assets (by value) was valued by a person, such as an administrator, that is not your related person? 0% Include only those assets where (i) such person carried out the valuation procedure established for that asset, if any. including obtaining any relevant quotes, and (ii) the valuation used for purposes of investor subscriptions, redemptions or distributions, and fee calculations (including allocations) was the valuation determined by such person. Marketers 28. (a) Does the private fund use the services of someone other than you or your employees for marketing purposes? Yes No r You must answer "yes" whether the person acts as a placement agent, consultant, finder, introducer, municipal advisor or other solicitor, or similar person. If the answer to 28(a) is "yes", respond to questions (b) through (g) below for each such marketer the private fund uses. If the private fund uses more than one marketer you must complete questions (b) through (g) separately for each marketer. No Information Filed A. PRIVATE FUND Information About the Private Fund 1. (a) Name of the private fund: ROCKEFELLER ACCESS FUND II LLC (b) Private fund identification number: include the "805-" ref ix also) 2. Under the laws of what state or country is the private fund organized: State: Country: Delaware United States 3. Name(s) of General Partner, Manager, Trustee, or Directors (or persons serving in a similar capacity): Name, of Generfil Partner, Mtinager, Trustee, or Director • & CO., INC. 4. The private fund (check all that apply; you must check at least one): 17 (1) qualifies for the exclusion from the definition of investment company under section 3(c)(1) of the Investment Company Act of 1940 r (2) qualifies for the exclusion from the definition of investment company under section 3(c)(7) of the Investment Company Act of 1940 EFTA01079360 5. List the name and country. in English. of each foreign financial regulatory authority with which the private fund is registered. No Information Filed Yes No 6. (a) Is this a "master fund" in a master-feeder arrangement? (b) If yes. what is the name and private fund identification number (if any) of the feeder funds investing in this private fund? 0 € No Information Filed (c) Is this a "feeder fund" in a master-feeder arrangement? (d) If yes. what is the name and private fund identification number (if any) of the master fund in which this private fund invests? Name of the Private Fund: Private Fund Identification Number: (include the "805-" prefix also) Yes No 0 € NOTE: You must complete question 6 for each master-feeder arrangement regardless of whether you are filing a single Schedule D, Section 7.B.(1). for the master-feeder arrangement or reporting on the funds separately. 7. If you are filing a single Schedule D, Section 7.B.(1) for a master-feeder arrangement according to the instructions to this Section 7.B.(1), for each of the feeder funds answer the following questions: No Information Filed NOTE: For purposes of questions 6 and 7, in a master-feeder arrangement. one or more funds ("feeder funds") invest all or substantially all of their assets in a single fund ("master fund"). A fund would also be a "feeder fund" investing in a "master fund" for purposes of this question if it issued multiple classes (or series) of shares or interests, and each class (or series) invests substantially all of its assets in a single master fund. 8. (a) Is this private fund a "fund of funds"? (b) If yes, does the private fund invest in funds managed by you or by a related person? NOTE: For purposes of this question only. answer "yes" if the fund invests 10 percent or more of its total assets in other pooled investment vehicles, whether or not they are also private funds, or registered investment companies. 9. During your last fiscal year, did the private fund invest in securities issued by investment companies registered under the Investment Company Act of 1940 (other than "money market funds." to the extent provided in Instruction 6.e.)? Yes No r r Yes No r 10. What type of fund is the private fund? r hedge fund r liquidity fund r private equity fund r real estate fund r securitized asset fund r venture capital fund a Other private fund PRIVATE EQUITY/VENTURE CAPITAL NOTE: For funds of funds, refer to the funds in which the private fund invests. For definitions of these fund types, please see Instruction 6 of the Instructions to Part 1A. 11. Current gross asset value of the private fund: $ 23,822,566 Ownership 12. Minimum investment commitment required of an investor in the private fund: $ 100,000 NOTE: Report the amount routinely required of investors who are not your related persons (even if different from the amount set forth in the organizational documents of the fund). 13. Approximate number of the private funds beneficial owners: 67 14. What is the approximate percentage of the private fund beneficially owned by you and your related persons: 2% EFTA01079361 15. What is the approximate percentage of the private fund beneficially owned (in the aggregate) by funds of funds: 3% 16. What is the approximate percentage of the private fund beneficially owned by non-United States persons: 0% Your Advisory Services 17. (a) Are you a subadviser to this private fund? Yes No r (b) If the answer to question 17(a) is "yes," provide the name and SEC file number, if any, of the adviser of the private fund. If the answer to question 17(a) is "no." leave this question blank. No Information Filed 18. (a) Do any other investment advisers advise the private fund? Yes No r (b) If the answer to question 18(a) is "yes," provide the name and SEC file number, if any, of the other advisers to the private fund. If the answer to question 18(a) is "no." leave this question blank. No Information Filed 19. Are your clients solicited to invest in the private fund? 20. Approximately what percentage of your clients has invested in the private fund? 4% Private Offering 21. Does the private fund rely on an exemption from registration of its securities under Regulation D of the Securities Act of 1933? 22. If yes, provide the private funds Form D file number (if any): Yes No C Yes No s No Information Filed B. SERVICE PROVIDERS Auditors 23. (a) (1) Are the private funds financial statements subject to an annual audit? (2) Are the financial statements prepared in accordance with U.S. GAAP? Yes No C C If the answer to 23(a)(1) is "yes." respond to questions (b) through (f) below. If the private fund uses more than one auditing firm, you must complete questions (b) through (f) separately for each auditing firm. Additional Auditor Information :1 Record(s) Filed. If the answer to 23(a)(1) is "yes." respond to questions (b) through (f) below. If the private fund uses more than one auditing firm, you must complete questions (b) through (f) separately for each auditing firm. (b) Name of the auditing firm: DELOITTE & TOUCHE LLP (c) The location of the auditing firm's office responsible for the private funds audit (city, state and country): City: State: Country: (d) Is the auditing firm an independent public accountant? (e) Is the auditing firm registered with the Public Company Accounting Oversight Board? (f) If "yes" to (e) above, is the auditing firm subject to regular inspection by the Public Company Accounting Oversight Board in accordance with its rules? Yes No G G G (g) Are the private funds audited financial statements distributed to the private funds investors? Yes No s EFTA01079362 (h) Does the report prepared by the auditing firm contain an unqualified opinion? r Yes r No a Report Not Yet Received If you check "Report Not Yet Received," you must promptly file an amendment to your Form ADV to update your response when the report is available. Prime Broker Yes No 24. (a) Does the private fund use one or more prime brokers? If the answer to 24(a) is "yes," respond to questions (b) through (e) below for each prime broker the private fund uses. If the private fund uses more than one prime broker, you must complete questions (b) through (e) separately for each prime broker. No Information Filed Custodian Yes No 25. (a) Does the private fund use any custodians (including the prime brokers listed above) to hold some or all of its assets? If the answer to 25(a) is "yes." respond to questions (b) through (f) below for each custodian the private fund uses. If the private fund uses more than one custodian, you must complete questions (b) through (f) separately for each custodian. r Additional Custodian Information : 1 Record(s) Filed. If the answer to 25(a) is "yes." respond to questions (b) through (f) below for each custodian the private fund uses. If the private fund uses more than one custodian, you must complete questions (b) through (f) separately for each custodian. (b) Legal name of custodian: STATE STREET BANK & TRUST CO. (c) Primary business name of custodian: STATE STREET BANK & TRUST CO. (d) The location of the custodian's office responsible for custody of the private funds assets (city, state and country): City: State: Country: (e) Is the custodian a related person of your firm? (f) If the custodian is a broker-dealer, provide its SEC registration number (if any) CRD Number (if any): Yes No 0 € Administrator Yes No 26. (a) Does the private fund use an administrator other than your firm? r r If the answer to 26(a) is "yes," respond to questions (b) through (f) below. If the private fund uses more than one administrator, you must complete questions (b) through (f) separately for each administrator. Additional Administrator Information : 1 Record(s) Filed. If the answer to 26(a) is "yes," respond to questions (b) through (f) below. If the private fund uses more than one administrator, you must complete questions (b) through (f) separately for each administrator. (b) Name of the administrator: ROCKIT SOLUTIONS LLC (c) Location of administrator (city. state and country): City: State: Country: STAMFORD Connecticut United States Yes No EFTA01079363 (d) Is the administrator a related person of your firm? (e) Does the administrator prepare and send investor account statements to the private funds investors? is Yes (provided to all investors) r Some (provided to some but not all investors) r No (provided to no investors) G (f) If the answer to 26(e) is "no" or "some." who sends the investor account statements to the (rest of the) private funds investors? If investor account statements are not sent to the (rest of the) private funds investors, respond "not applicable." 27. During your last fiscal year, what percentage of the private funds assets (by value) was valued by a person, such as an administrator, that is not your related person? 0% Include only those assets where (i) such person carried out the valuation procedure established for that asset, if any. including obtaining any relevant quotes, and (ii) the valuation used for purposes of investor subscriptions, redemptions or distributions, and fee calculations (including allocations) was the valuation determined by such person. Marketers 28. (a) Does the private fund use the services of someone other than you or your employees for marketing purposes? Yes No r You must answer "yes" whether the person acts as a placement agent, consultant, finder, introducer, municipal advisor or other solicitor, or similar person. If the answer to 28(a) is "yes", respond to questions (b) through (g) below for each such marketer the private fund uses. If the private fund uses more than one marketer you must complete questions (b) through (g) separately for each marketer. L No Information Filed r7. PRIVATE FUND Information About the Private Fund 1. (a) Name of the private fund: ROCKEFELLER ALTERNATIVE STRATEGIES FUND LP (b) Private fund identification number: (include the "805-" prefix also) 2. Under the laws of what state or country is the private fund organized: State: Delaware Country: United States 3. Name(s) of General Partner, Manager, Trustee, or Directors (or persons serving in a similar capacity): ROCKEFELLER FUND MANAGERS, LLC 4. The private fund (check all that apply; you must check at least one): 17 (1 ) qualifies for the exclusion from the definition of investment company under section 3(c)(1) of the Investment Company Act of 1940 r (2) qualifies for the exclusion from the definition of investment company under section 3(c)(7) of the Investment Company Act of 1940 5. List the name and country. in English. of each foreign financial regulatory authority with which the private fund is registered. L No Information Filed 6. (a) Is this a "master fund" in a master-feeder arrangement? (b) If yes. what is the name and private fund identification number (if any) of the feeder funds investing in this private fund? No Information Filed Yes No Q e (c) Is this a "feeder fund" in a master-feeder arrangement? (d) If yes. what is the name and private fund identification number (if any) of the master fund in which this private fund invests? Name of the Private Fund: Yes No G EFTA01079364 RASF MASTER, LLC Private Fund Identification Number: (include the "805-" prefix also) NOTE: You must complete question 6 for each master-feeder arrangement regardless of whether you are filing a single Schedule D, Section 7.B.(1). for the master-feeder arrangement or reporting on the funds separately. 7. If you are filing a single Schedule D, Section 7.B.(1) for a master-feeder arrangement according to the instructions to this Section 7.6.(1), for each of the feeder funds answer the following questions: No Information Filed NOTE: For purposes of questions 6 and 7, in a master-feeder arrangement. one or more funds ("feeder funds") invest all or substantially all of their assets in a single fund ("master fund"). A fund would also be a "feeder fund" investing in a "master fund" for purposes of this question if it issued multiple classes (or series) of shares or interests, and each class (or series) invests substantially all of its assets in a single master fund. 8. Yes No (a) Is this private fund a "fund of funds"? € (b) If yes, does the private fund invest in funds managed by you or by a related person? 0 0 NOTE: For purposes of this question only. answer "yes" if the fund invests 10 percent or more of its total assets in other pooled investment vehicles, whether or not they are also private funds, or registered investment companies. 9. During your last fiscal year, did the private fund invest in securities issued by investment companies registered under the Investment Company Act of 1940 (other than "money market funds." to the extent provided in Instruction 6.e.)? Yes No 0 € 10. What type of fund is the private fund? r hedge fund r . liquidity fund r private equity fund r real estate fund r securitized asset fund r venture capital fund Other private fund FEEDER FUND NOTE: For funds of funds, refer to the funds in which the private fund invests. For definitions of these fund types, please see Instruction 6 of the Instructions to Part 1A. 11. Current gross asset value of the private fund: $ 242,226 Ownership 12. Minimum investment commitment required of an investor in the private fund: $ 250,000 NOTE: Report the amount routinely required of investors who are not your related persons (even if different from the amount set forth in the organizational documents of the fund). 13. Approximate number of the private funds beneficial owners: 30 14. What is the approximate percentage of the private fund beneficially owned by you and your related persons: 1% 15. What is the approximate percentage of the private fund beneficially owned (in the aggregate) by funds of funds: 0% 16. What is the approximate percentage of the private fund beneficially owned by non-United States persons: 12% Your Advisory Services 17. (a) Are you a subadviser to this private fund? Yes No r (b) If the answer to question 17(a) is "yes," provide the name and SEC file number, if any, of the adviser of the private fund. If the answer to question 17(a) is "no." leave this question blank. No Information Filed EFTA01079365 Yes No 18. (a) Do any other investment advisers advise the private fund?  is (b) If the answer to question 18(a) is "yes," provide the name and SEC file number, if any, of the other advisers to the private fund. If the answer to question 18(a) is "no." leave this question blank. No Information Filed 19. Are your clients solicited to invest in the private fund? 20. Approximately what percentage of your clients has invested in the private fund? 2% Private Offering 21. Does the private fund rely on an exemption from registration of its securities under Regulation D of the Securities Act of 1933? 22. If yes, provide the private funds Form D file number (if any): No Information Filed B. SERVICE PROVIDERS Auditors 23. (a) (1) Are the private funds financial statements subject to an annual audit? (2) Are the financial statements prepared in accordance with U.S. GAAP? Yes No O G Yes No O G Yes No r r If the answer to 23(a)(1) is "yes." respond to questions (b) through (f) below. If the private fund uses more than one auditing firm, you must complete questions (b) through (f) separately for each auditing firm. Additional Auditor Information : 1 Record(s) Filed. If the answer to 23(a)(1) is "yes." respond to questions (b) through (f) below. If the private fund uses more than one auditing firm, you must complete questions (b) through (f) separately for each auditing firm. (b) Name of the auditing firm: (c) DELOITTE & TOUCHE LLP The location of the auditing firm's office responsible for the private funds audit (city, state and country): City: State: Country: Yes No (d) Is the auditing firm an independent public accountant? G (e) Is the auditing firm registered with the Public Company Accounting Oversight Board? 1; 0 (f) If "yes" to (e) above, is the auditing firm subject to regular inspection by the Public Company Accounting Oversight Board in accordance with its rules? G 0 Yes No (g) Are the private funds audited financial statements distributed to the private funds investors? 0 (h) Does the report prepared by the auditing firm contain an unqualified opinion? r Yes r No a Report Not Yet Received If you check "Report Not Yet Received," you must promptly file an amendment to your Form ADV to update your response when the report is available. Prime Broker 24. (a) Does the private fund use one or more prime brokers? Yes No  G If the answer to 24(a) is "yes," respond to questions (b) through (e) below for each prime broker the private fund uses. If the private fund uses more than one prime broker, you must complete questions (b) through (e) separately for each prime broker. No Information Filed EFTA01079366 Custodian Yes No 25. (a) Does the private fund use any custodians (including the prime brokers listed above) to hold some or all of its assets? € If the answer to 25(a) is "yes." respond to questions (b) through (f) below for each custodian the private fund uses. If the private fund uses more than one custodian, you must complete questions (b) through (f) separately for each custodian. Additional Custodian Information : 1 Record(s) Filed. If the answer to 25(a) is "yes." respond to questions (b) through (f) below for each custodian the private fund uses. If the private fund uses more than one custodian, you must complete questions (b) through (f) separately for each custodian. (b) Legal name of custodian: STATE STREET BANK & TRUST CO. (c) Primary business name of custodian: STATE STREET BANK & TRUST CO. (d) The location of the custodian's office responsible for custody of the private funds assets (city, state and country): City: State: Country: (e) Is the custodian a related person of your firm? (f) If the custodian is a broker-dealer, provide its SEC registration number (if any) CRD Number (if any): Administrator Yes No C 0 Yes No 26. (a) Does the private fund use an administrator other than your firm? r r If the answer to 26(a) is "yes," respond to questions (b) through (f) below. If the private fund uses more than one administrator, you must complete questions (b) through (f) separately for each administrator. Additional Administrator Information : 1 Record(s) Filed. If the answer to 26(a) is "yes," respond to questions (b) through (f) below. If the private fund uses more than one administrator, you must complete questions (b) through (f) separately for each administrator. (b) Name of the administrator: ROCKIT SOLUTIONS LLC (c) Location of administrator (city. state and country): City - State: (d) Is the administrator a related person of your firm? Country: (e) Does the administrator prepare and send investor account statements to the private funds investors? a Yes (provided to all investors) r Some (provided to some but not all investors) r No (provided to no investors) Yes No Os> (f) If the answer to 26(e) is "no" or "some." who sends the investor account statements to the (rest of the) private funds investors? If investor account statements are not sent to the (rest of the) private funds investors, respond "not applicable." 27. During your last fiscal year, what percentage of the private funds assets (by value) was valued by a person, such as an administrator, that is not your related person? 0% EFTA01079367 Include only those assets relevant quotes, and (ii) allocations) was the valuation Marketers where (I) such person carried out the valuation procedure established for that asset, if any, including obtaining any the valuation used for purposes of investor subscriptions, redemptions or distributions, and fee calculations (including determined by such person. Yes No use the services of someone other than you or your employees for marketing purposes? 0 s whether the person acts as a placement agent, consultant, finder, introducer, municipal advisor or other solicitor, or answer to 28(a) is "yes", respond to questions (b) through (g) below for each such marketer the private fund uses. If the than one marketer you must complete questions (b) through (g) separately for each marketer. 28. (a) Does the private fund You must answer "yes" similar person. If the private fund uses more No Information Filed . .._ A. PRIVATE Information FUND About the Private Fund 1. 2. 3. 4. 5. 6. 7. (a) (b) Under Name(s) Name of the private fund: ROCKEFELLER ALTERNATIVE Private fund identification (include the "805-" prefix STRATEGIES FUND QP LP number: also) or country is the private fund organized: Country: United States Manager, Trustee, or Directors (or persons serving in a similar capacity): the laws of what state State: Delaware of General Partner, Name of General Partner, Manager, Trustee, or Director ROCKEFELLER FUND MANAGERS, LLC The private fund (check all that apply; you must check at least one): I: (1) qualifies for the exclusion from the definition of investment company under section 3(c)(1) of the Investment Company Act of 1940 Zil (2) qualifies for the exclusion from the definition of investment company under section 3(c)(7) of the Investment Company Act of 1940 List the name and country, in English, of each foreign financial regulatory authoritywith which the private fund is registered. No Information Filed Yes No (a) Is this a "master fund" in a master-feeder arrangement? a € (b) If yes, what is the name and private fund identification number (If any) of the feeder funds investing in this private fund? No Information Filed Yes No (c) Is this a "feeder fund" in a master-feeder arrangement? e a (d) If yes, what is the name and private fund identification number (if any) of the master fund in which this private fund invests? Name of the Private Fund: BASF MASTER LLC Private Fund Identification Number: include the "805-" •refix also) NOTE: You must complete question 6 for each master-feeder arrangement regardless of whether you are filing a single Schedule D, Section 7.6.(1). for the master-feeder arrangement or reporting on the funds separately. If you are filing a single Schedule D, Section 7.B.(1) for a master-feeder arrangement according to the instructions to this Section 7.B.(1), for each of the feeder funds answer the following questions: No Information Filed EFTA01079368 NOTE: For purposes of questions 6 and 7, in a master-feeder arrangement. one or more funds ("feeder funds") invest all or substantially all of their assets in a single fund ("master fund"). A fund would also be a "feeder fund" investing in a "master fund" for purposes of this question if it issued multiple classes (or series) of shares or interests, and each class (or series) invests substantially all of its assets in a single master fund. 8. (a) Is this private fund a "fund of funds"? (b) If yes, does the private fund invest in funds managed by you or by a related person? NOTE: For purposes of this question only. answer "yes" if the fund invests 10 percent or more of its total assets in other pooled investment vehicles, whether or not they are also private funds, or registered investment companies. 9. During your last fiscal year, did the private fund invest in securities issued by investment companies registered under the Investment Company Act of 1940 (other than "money market funds." to the extent provided in Instruction 6.e.)? Yes No r r r Yes No r 10. What type of fund is the private fund? r hedge fund r liquidity fund r private equity fund r real estate fund r securitized asset fund r venture capital fund a Other private fund FEEDER FUND NOTE: For funds of funds, refer to the funds in which the private fund invests. For definitions of these fund types, please see Instruction 6 of the Instructions to Part 1A. 11. Current gross asset value of the private fund: $ 1,055,229 Ownership 12. Minimum investment commitment required of an investor in the private fund: $ 250,000 NOTE: Report the amount routinely required of investors who are not your related persons (even if different from the amount set forth in the organizational documents of the fund). 13. Approximate number of the private funds beneficial owners: 58 14. What is the approximate percentage of the private fund beneficially owned by you and your related persons: 1% 15. What is the approximate percentage of the private fund beneficially owned (in the aggregate) by funds of funds: 0% 16. What is the approximate percentage of the private fund beneficially owned by non-United States persons: 0% Your Advisory Services 17. (a) Are you a subadviser to this private fund? Yes No (b) If the answer to question 17(a) is "yes," provide the name and SEC file number, if any, of the adviser of the private fund. If the answer to question 17(a) is "no." leave this question blank. No Information Filed 18. (a) Do any other investment advisers advise the private fund? r Yes No r (b) If the answer to question 18(a) is "yes," provide the name and SEC file number, if any, of the other advisers to the private fund. If the answer to question 18(a) is "no." leave this question blank. No Information Filed 19. Are your clients solicited to invest in the private fund? Yes No 0 € 20. Approximately what percentage of your clients has invested in the private fund? 4% EFTA01079369 Private Offering 21. Does the private fund rely on an exemption from registration of its securities under Regulation D of the Securities Act of 1933? 22. If yes, provide the private funds Form D file number (if any): Yes No € No Information Filed B. SERVICE PROVIDERS Auditors 23. (a) (1) Are the private funds financial statements subject to an annual audit? (2) Are the financial statements prepared in accordance with U.S. GAAP? Yes No € € If the answer to 23(a)(1) is "yes." respond to questions (b) through (f) below. If the private fund uses more than one auditing firm, you must complete questions (b) through (f) separately for each auditing firm. Additional Auditor Information : 1 Record(s) Filed. If the answer to 23(a)(1) is "yes," respond to questions (b) through (f) below. If the private fund uses more than one auditing firm, you must complete questions (b) through (f) separately for each auditing firm. (b) Name of the auditing firm: DELOITTE & TOUCHE LLP (c) The location of the auditing firm's office responsible for the private funds audit (city, state and country): (d) Is the auditing firm an independent public accountant? (e) Is the auditing firm registered with the Public Company Accounting Oversight Board? (f) If "yes" to (e) above, is the auditing firm subject to regular inspection by the Public Company Accounting Oversight Board in accordance with its rules? Yes No 0 C? 0 € Yes No (g) Are the private funds audited financial statements distributed to the private funds investors? € (h) Does the report prepared by the auditing firm contain an unqualified opinion? r Yes r No a Report Not Yet Received If you check "Report Not Yet Received," you must promptly file an amendment to your Form ADV to update your response when the report is available. Prime Broker 24. (a) Does the private fund use one or more prime brokers? Yes No r If the answer to 24(a) is "yes," respond to questions (b) through (e) below for each prime broker the private fund uses. If the private fund uses more than one prime broker, you must complete questions (b) through (e) separately for each prime broker. No Information Filed Custodian Yes No 25. (a) Does the private fund use any custodians (including the prime brokers listed above) to hold some or all of its assets? If the answer to 25(a) is "yes." respond to questions (b) through (f) below for each custodian the private fund uses. If the private fund uses more than one custodian, you must complete questions (b) through (f) separately for each custodian. r Additional Custodian Information : 1 Record(s) Filed. P If the answer to 25(a) is "yes." respond to questions (b) through (f) below for each custodian the private fund uses. If the private fund uses EFTA01079370 more than one custodian, you must complete questions (b) through (f) separately for each custodian. (b) Legal name of custodian: STATE STREET BANK & TRUST CO. (c) Primary business name of custodian: STATE STREET BANK & TRUST CO. (d) The location of the custodian's office responsible for custody of the private funds assets (city, state and country): City: State: Country: Yes No (e) Is the custodian a related person of your firm? (f) If the custodian is a broker-dealer, provide its SEC registration number (if any) CRD Number (if any): Administrator 26. (a) Does the private fund use an administrator other than your firm? 0 0 Yes No If the answer to 26(a) is "yes," respond to questions (b) through (f) below. If the private fund uses more than one administrator, you must complete questions (b) through (f) separately for each administrator. r Additional Administrator Information : 1 Record(s) Filed. If the answer to 26(a) is "yes," respond to questions (b) through (f) below. If the private fund uses more than one administrator, you must complete questions (b) through (f) separately for each administrator. (b) Name of the administrator: ROCKIT SOLUTIONS LLC (c) Location of administrator (city. state and country): City: State: Country: (d) Is the administrator a related person of your firm? (e) Does the administrator prepare and send investor account statements to the private funds investors? a Yes (provided to all investors) r Some (provided to some but not all investors) r No (provided to no investors) Yes No € 0 (f) If the answer to 26(e) is "no" or "some," who sends the investor account statements to the (rest of the) private funds investors? If investor account statements are not sent to the (rest of the) private funds investors, respond "not applicable." 27. During your last fiscal year, what percentage of the private funds assets (by value) was valued by a person, such as an administrator, that is not your related person? 0% Include only those assets where (i) such person carried out the valuation procedure established for that asset, if any. including obtaining any relevant quotes, and (ii) the valuation used for purposes of investor subscriptions, redemptions or distributions, and fee calculations (including allocations) was the valuation determined by such person. Marketers 28. (a) Does the private fund use the services of someone other than you or your employees for marketing purposes? Yes No r (F: You must answer "yes" whether the person acts as a placement agent, consultant, finder, introducer, municipal advisor or other solicitor, or similar person. If the answer to 28(a) is "yes", respond to questions (b) through (g) below for each such marketer the private fund uses. If the private fund uses more than one marketer you must complete questions (b) through (g) separately for each marketer. EFTA01079371 No Information Filed A. PRIVATE FUND Information About the Private Fund 1. (a) Name of the private fund: ROCKEFELLER BALANCED FUND (b) Private fund identification number: include the "805-" refix also) 2. Under the laws of what state or country is the private fund organized: State: Country: New York United States 3. Name(s) of General Partner, Manager, Trustee, or Directors (or persons serving in a similar capacity): Name of General Partner, Manager, Trustee, or Director ROCKEFELLER & CO., INC. 4. The private fund (check all that apply; you must check at least one): P' (1 ) qualifies for the exclusion from the definition of investment company under section 3(c)(1) of the Investment Company Act of 1940 r (2) qualifies for the exclusion from the definition of investment company under section 3(c)(7) of the Investment Company Act of 1940 5. List the name and country. in English, of each foreign financial regulatory authority with which the private fund is registered. No Information Filed Yes No 6. (a) Is this a "master fund" in a master-feeder arrangement? (b) If yes. what is the name and private fund identification number (if any) of the feeder funds investing in this private fund? 0 € No Information Filed (c) Is this a "feeder fund" in a master-feeder arrangement? (d) If yes. what is the name and private fund identification number (if any) of the master fund in which this private fund invests? Name of the Private Fund: Private Fund Identification Number: (include the "805-" prefix also) Yes No r NOTE: You must complete question 6 for each master-feeder arrangement regardless of whether you are filing a single Schedule D, Section 7.B.(1). for the master-feeder arrangement or reporting on the funds separately. 7. If you are filing a single Schedule D, Section 7.B.(1) for a master-feeder arrangement according to the instructions to this Section 7.B.(1), for each of the feeder funds answer the following questions: No Information Filed NOTE: For purposes of questions 6 and 7, in a master-feeder arrangement. one or more funds ("feeder funds") invest all or substantially all of their assets in a single fund ("master fund"). A fund would also be a "feeder fund" investing in a "master fund" for purposes of this question if it issued multiple classes (or series) of shares or interests, and each class (or series) invests substantially all of its assets in a single master fund. 8. (a) Is this private fund a "fund of funds"? (b) If yes, does the private fund invest in funds managed by you or by a related person? Yes No is r r NOTE: For purposes of this question only. answer "yes" if the fund invests 10 percent or more of its total assets in other pooled investment vehicles, whether or not they are also private funds, or registered investment companies. EFTA01079372 Yes No 9. During your last fiscal year, did the private fund invest in securities issued by investment companies registered under the Investment Company Act of 1940 (other than "money market funds." to the extent provided in Instruction 6.e.)? Gi 0 10. What type of fund is the private fund? r hedge fund r liquidity fund r private equity fund r real estate fund r securitized asset fund r venture capital fund Other private fund INVESTMENT FUND NOTE: For funds of funds, refer to the funds in which the private fund invests. For definitions of these fund types, please see Instruction 6 of the Instructions to Part 1A. 11. Current gross asset value of the private fund: $ 252,131,217 Ownership 12. Minimum investment commitment required of an investor in the private fund: $ 100,000 NOTE: Report the amount routinely required of investors who are not your related persons (even if different from the amount set forth in the organizational documents of the fund). 13. Approximate number of the private funds beneficial owners: 43 14. What is the approximate percentage of the private fund beneficially owned by you and your related persons: 0% 15. What is the approximate percentage of the private fund beneficially owned (in the aggregate) by funds of funds: 0% 16. What is the approximate percentage of the private fund beneficially owned by non-United States persons: 0% Your Advisory Services 17. (a) Are you a subadviser to this private fund? Yes No (b) If the answer to question 17(a) is "yes," provide the name and SEC file number, if any, of the adviser of the private fund. If the answer to question 17(a) is "no." leave this question blank. No Information Filed 18. (a) Do any other investment advisers advise the private fund? r Yes No (b) If the answer to question 18(a) is "yes," provide the name and SEC file number, if any, of the other advisers to the private fund. If the answer to question 18(a) is "no." leave this question blank. No Information Filed 19. Are your clients solicited to invest in the private fund? 20. Approximately what percentage of your clients has invested in the private fund? 4% Private Offering 21. Does the private fund rely on an exemption from registration of its securities under Regulation D of the Securities Act of 1933? 22. If yes, provide the private funds Form D file number (if any): L No Information Filed Yes No G 0 Yes No 0 G B. SERVICE PROVIDERS Auditors EFTA01079373 23. (a) (1) Are the private funds financial statements subject to an annual audit? (2) Are the financial statements prepared in accordance with U.S. GAAP? Yes No • r • r If the answer to 23(a)(1) is "yes." respond to questions (b) through (f) below. If the private fund uses more than one auditing firm, you must complete questions (b) through (f) separately for each auditing firm. Additional Auditor Information : 1 Record(s) Filed. If the answer to 23(a)(1) is "yes." respond to questions (b) through (f) below. If the private fund uses more than one auditing firm, you must complete questions (b) through (f) separately for each auditing firm. (b) Name of the auditing firm: (c) DELOITTE & TOUCHE LLP The location of the auditing firm's office responsible for the private funds audit (city, state and country): City: State: Country: Yes No (d) Is the auditing firm an independent public accountant? G (e) Is the auditing firm registered with the Public Company Accounting Oversight Board? 0 0 (f) If "yes" to (e) above, is the auditing firm subject to regular inspection by the Public Company Accounting Oversight Board in accordance with its rules? G Yes No (g) Are the private funds audited financial statements distributed to the private funds investors? € 0 (h) Does the report prepared by the auditing firm contain an unqualified opinion? C Yes r No a Report Not Yet Received If you check "Report Not Yet Received," you must promptly file an amendment to your Form ADV to update your response when the report is available. Prime Broker 24. (a) Does the private fund use one or more prime brokers? Yes No r 1: If the answer to 24(a) is "yes," respond to questions (b) through (e) below for each prime broker the private fund uses. If the private fund uses more than one prime broker, you must complete questions (b) through (e) separately for each prime broker. No Information Filed Custodian Yes No 25. (a) Does the private fund use any custodians (including the prime brokers listed above) to hold some or all of its assets? CZ, If the answer to 25(a) is "yes." respond to questions (b) through (f) below for each custodian the private fund uses. If the private fund uses more than one custodian, you must complete questions (b) through (f) separately for each custodian. Additional Custodian Information : 1 Record(s) Filed. If the answer to 25(a) is "yes." respond to questions (b) through (f) below for each custodian the private fund uses. If the private fund uses more than one custodian, you must complete questions (b) through (f) separately for each custodian. (b) Legal name of custodian: STATE STREET BANK & TRUST CO. (c) Primary business name of custodian: STATE STREET BANK & TRUST CO. (d) The location of the custodian's office responsible for custody of the private funds assets (city, state and country): City: State: Country: BOSTON Massachusetts United States EFTA01079374 Yes No (e) Is the custodian a related person of your firm? (f) If the custodian is a broker-dealer, provide its SEC registration number (if any) CRD Number (if any): Administrator 0 € Yes No 26. (a) Does the private fund use an administrator other than your firm? (7) If the answer to 26(a) is "yes," respond to questions (b) through (f) below. If the private fund uses more than one administrator, you must complete questions (b) through (f) separately for each administrator. Additional Administrator Information : 1 Record(s) Filed. If the answer to 26(a) is "yes," respond to questions (b) through (f) below. If the private fund uses more than one administrator, you must complete questions (b) through (f) separately for each administrator. (b) Name of the administrator: ROCKIT SOLUTIONS LLC (c) Location of administrator (city. state and country): City: State: Country: (d) Is the administrator a related person of your firm? (e) Does the administrator prepare and send investor account statements to the private funds investors? ' Yes (provided to all investors) r Some (provided to some but not all investors) r No (provided to no investors) Yes No G (f) If the answer to 26(e) is "no" or "some." who sends the investor account statements to the (rest of the) private funds investors? If investor account statements are not sent to the (rest of the) private funds investors, respond "not applicable." 27. During your last fiscal year, what percentage of the private funds assets (by value) was valued by a person, such as an administrator, that is not your related person? 0% Include only those assets where (i) such person carried out the valuation procedure established for that asset, if any. including obtaining any relevant quotes, and (h) the valuation used for purposes of investor subscriptions, redemptions or distributions, and fee calculations (including allocations) was the valuation determined by such person. Marketers 28. (a) Does the private fund use the services of someone other than you or your employees for marketing purposes? Yes No r You must answer "yes" whether the person acts as a placement agent, consultant, finder, introducer, municipal advisor or other solicitor, or similar person. If the answer to 28(a) is "yes", respond to questions (b) through (g) below for each such marketer the private fund uses. If the private fund uses more than one marketer you must complete questions (b) through (g) separately for each marketer. No Information Filed A. PRIVATE FUND Information About the Private Fund 1. (a) Name of the private fund: ROCKEFELLER CLEANTECH VENTURES FUND II LLC (b) Private fund identification number: EFTA01079375 (include the "805-" prefix also) 805-1139622128 2. Under the laws of what state or country is the private fund organized: State: Delaware Country: United States 3. Name(s) of General Partner, Manager, Trustee, or Directors (or persons serving in a similar capacity): ROCKEFELLER & CO., INC. 4. The private fund (check all that apply; you must check at least one): I7 (1) qualifies for the exclusion from the definition of investment company under section 3(c)(1) of the Investment Company Act of 1940 r (2) qualifies for the exclusion from the definition of investment company under section 3(c)(7) of the Investment Company Act of 1940 5. List the name and country. in English. of each foreign financial regulatory authority with which the private fund is registered. No Information Filed 6. (a) Is this a "master fund" in a master-feeder arrangement? (b) If yes. what is the name and private fund identification number (if any) of the feeder funds investing in this private fund? No Information Filed (c) Is this a "feeder fund" in a master-feeder arrangement? (d) If yes. what is the name and private fund identification number (if any) of the master fund in which this private fund invests? Name of the Private Fund: Private Fund Identification Number: (include the "805-" prefix also) Yes No C Yes No s NOTE: You must complete question 6 for each master-feeder arrangement regardless of whether you are filing a single Schedule D, Section 7.B.(1). for the master-feeder arrangement or reporting on the funds separately. 7. If you are filing a single Schedule D, Section 7.B.(1) for a master-feeder arrangement according to the instructions to this Section 7.B.(1), for each of the feeder funds answer the following questions: No Information Filed NOTE: For purposes of questions 6 and 7, in a master-feeder arrangement. one or more funds ("feeder funds") invest all or substantially all of their assets in a single fund ("master fund"). A fund would also be a "feeder fund" investing in a "master fund" for purposes of this question if it issued multiple classes (or series) of shares or interests, and each class (or series) invests substantially all of its assets in a single master fund. 8. (a) Is this private fund a "fund of funds"? (b) If yes, does the private fund invest in funds managed by you or by a related person? NOTE: For purposes of this question only. answer "yes" if the fund invests 10 percent or more of its total assets in other pooled investment vehicles, whether or not they are also private funds, or registered investment companies. 9. During your last fiscal year, did the private fund invest in securities issued by investment companies registered under the Investment Company Act of 1940 (other than "money market funds." to the extent provided in Instruction 6.e.)? Yes No r r Yes No r 10. What type of fund is the private fund? r hedge fund r liquidity fund r private equity fund r real estate fund r securitized asset fund r venture capital fund a Other private fund PRIVATE EQUITY/VENTURE CAPITAL NOTE: For funds of funds, refer to the funds in which the private fund invests. For definitions of these fund types, please see Instruction 6 of the Instructions to Part 1A. EFTA01079376 11. Current gross asset value of the private fund: $ 20,474,826 Ownership 12. Minimum investment commitment required of an investor in the private fund: $ 250,000 NOTE: Report the amount routinely required of investors who are not your related persons (even if different from the amount set forth in the organizational documents of the fund). 13. Approximate number of the private funds beneficial owners: 59 14. What is the approximate percentage of the private fund beneficially owned by you and your related persons: 1% 15. What is the approximate percentage of the private fund beneficially owned (in the aggregate) by funds of funds: 2% 16. What is the approximate percentage of the private fund beneficially owned by non-United States persons: 0% Your Advisory Services 17. (a) Are you a subadviser to this private fund? Yes No (b) If the answer to question 17(a) is "yes," provide the name and SEC file number, if any, of the adviser of the private fund. It the answer to question 17(a) is "no." leave this question blank. r No Information Filed 18. (a) Do any other investment advisers advise the private fund? Yes No r (b) If the answer to question 18(a) is "yes," provide the name and SEC file number, if any, of the other advisers to the private fund. If the answer to question 18(a) is "no." leave this question blank. No Information Filed 19. Are your clients solicited to invest in the private fund? 20. Approximately what percentage of your clients has invested in the private fund? 4% Private Offering 21. Does the private fund rely on an exemption from registration of its securities under Regulation D of the Securities Act of 1933? 22. If yes, provide the private funds Form D file number (if any): Yes No 0 € Yes No Mi 0 B. SERVICE PROVIDERS Auditors 23. (a) (1) Are the private funds financial statements subject to an annual audit? (2) Are the financial statements prepared in accordance with U.S. GAAP? Yes No • r • r If the answer to 23(a)(1) is "yes." respond to questions (b) through (f) below. If the private fund uses more than one auditing firm, you must complete questions (b) through (f) separately for each auditing firm. Additional Auditor Information : 1 Record(s) Filed. If the answer to 23(a)(1) is "yes." respond to questions (b) through (f) below. If the private fund uses more than one auditing firm, you must complete questions (b) through (f) separately for each auditing firm. EFTA01079377 (b) Name of the auditing firm: DELOITTE & TOUCHE LLP (c) The location of the auditing firm's office responsible for the private funds audit (city, state and country): City: State: Country: STAMFORD Connecticut United States (d) Is the auditing firm an independent public accountant? (e) Is the auditing firm registered with the Public Company Accounting Oversight Board? (f) If "yes" to (e) above, is the auditing firm subject to regular inspection by the Public Company Accounting Oversight Board in accordance with its rules? Yes No G t a € 0 Yes No (g) Are the private funds audited financial statements distributed to the private funds investors? G (h) Does the report prepared by the auditing firm contain an unqualified opinion? r Yes r No Report Not Yet Received If you check "Report Not Yet Received," you must promptly file an amendment to your Form ADV to update your response when the report is available. Prime Broker 24. (a) Does the private fund use one or more prime brokers? Yes No r If the answer to 24(a) is "yes," respond to questions (b) through (e) below for each prime broker the private fund uses. If the private fund uses more than one prime broker, you must complete questions (b) through (e) separately for each prime broker. No Information Filed Custodian 25. (a) Does the private fund use any custodians (including the prime brokers listed above) to hold some or all of its assets? Yes No • r If the answer to 25(a) is "yes." respond to questions (b) through (f) below for each custodian the private fund uses. If the private fund uses more than one custodian, you must complete questions (b) through (f) separately for each custodian. Additional Custodian Information : 1 Record(s) Filed. If the answer to 25(a) is "yes." respond to questions (b) through (f) below for each custodian the private fund uses. If the private fund uses more than one custodian, you must complete questions (b) through (f) separately for each custodian. (b) Legal name of custodian: STATE STREET BANK & TRUST CO. (c) Primary business name of custodian: STATE STREET BANK & TRUST CO. (d) The location of the custodian's office responsible for custody of the private funds assets (city, state and country): City: State: Country: (e) Is the custodian a related person of your firm? (f) If the custodian is a broker-dealer, provide its SEC registration number (if any) CRD Number (if any): Yes No O 0 Administrator EFTA01079378 Yes No 26. (a) Does the private fund use an administrator other than your firm? If the answer to 26(a) is "yes," respond to questions (b) through (f) below. If the private fund uses more than one administrator, you must complete questions (b) through (f) separately for each administrator. Additional Administrator Information :1 Record(s) Filed. If the answer to 26(a) is "yes," respond to questions (b) through (f) below. If the private fund uses more than one administrator, you must complete questions (b) through (f) separately for each administrator. (b) Name of the administrator: ROCKIT SOLUTIONS LLC (c) Location of administrator (city. state and country): City: State: Country: (d) Is the administrator a related person of your firm? (e) Does the administrator prepare and send investor account statements to the private funds investors? . Yes (provided to all investors) r Some (provided to some but not all investors) r No (provided to no investors) Yes No G (f) If the answer to 26(e) is "no" or "some," who sends the investor account statements to the (rest of the) private funds investors? If investor account statements are not sent to the (rest of the) private funds investors, respond "not applicable." 27. During your last fiscal year, what percentage of the private funds assets (by value) was valued by a person, such as an administrator, that is not your related person? 0% Include only those assets where (i) such person carried out the valuation procedure established for that asset, if any. including obtaining any relevant quotes, and (ii) the valuation used for purposes of investor subscriptions, redemptions or distributions, and fee calculations (including allocations) was the valuation determined by such person. Marketers 28. (a) Does the private fund use the services of someone other than you or your employees for marketing purposes? Yes No r You must answer "yes" whether the person acts as a placement agent, consultant, finder, introducer, municipal advisor or other solicitor, or similar person. If the answer to 28(a) is "yes", respond to questions (b) through (g) below for each such marketer the private fund uses. If the private fund uses more than one marketer you must complete questions (b) through (g) separately for each marketer. No Information Filed A. PRIVATE FUND Information About the Private Fund 1. (a) Name of the private fund: ROCKEFELLER CLEANTECH VENTURES FUND LLC (b) Private fund identification number: (include the "805-" prefix also) 2. Under the laws of what state or country is the private fund organized: State: Delaware Country: United States 3. Name(s) of General Partner. Manager, Trustee, or Directors (or persons serving in a similar capacity): Namet of Genenfl Partnisr, Mfinager, Trustee, or Director EFTA01079379 4. The private fund (check all that apply; you must check at least one): 17 (1) qualifies for the exclusion from the definition of investment company under section 3(c)(1) of the Investment Company Act of 1940 r (2) qualifies for the exclusion from the definition of investment company under section 3(c)(7) of the Investment Company Act of 1940 5. List the name and country. in English. of each foreign financial regulatory authority with which the private fund is registered. No Information Filed Yes No 6. (a) Is this a "master fund" in a master-feeder arrangement? (b) If yes. what is the name and private fund identification number (if any) of the feeder funds investing in this private fund? 0 € No Information Filed Yes No (c) Is this a "feeder fund" in a master-feeder arrangement? (d) If yes. what is the name and private fund identification number (if any) of the master fund in which this private fund invests? Name of the Private Fund: Private Fund Identification Number: (include the "805-" prefix also) NOTE: You must complete question 6 for each master-feeder arrangement regardless of whether you are filing a single Schedule D, Section 7.B.(1). for the master-feeder arrangement or reporting on the funds separately. 7. If you are filing a single Schedule D, Section 7.B.(1) for a master-feeder arrangement according to the instructions to this Section 7.B.(1), for each of the feeder funds answer the following questions: No Information Filed NOTE: For purposes of questions 6 and 7, in a master-feeder arrangement. one or more funds ("feeder funds") invest all or substantially all of their assets in a single fund ("master fund"). A fund would also be a "feeder fund" investing in a "master fund" for purposes of this question if it issued multiple classes (or series) of shares or interests, and each class (or series) invests substantially all of its assets in a single master fund. Yes No 8. (a) Is this private fund a "fund of funds"? (b) If yes, does the private fund invest in funds managed by you or by a related person? r r NOTE: For purposes of this question only. answer "yes" if the fund invests 10 percent or more of its total assets in other pooled investment vehicles, whether or not they are also private funds, or registered investment companies. Yes No 9. During your last fiscal year, did the private fund invest in securities issued by investment companies registered under the Investment 0 € 10. Company Act of 1940 (other than "money market funds." to the extent provided in Instruction 6.e.)? What type of fund is the private fund? r hedge fund r liquidity fund r private equity fund r real estate fund r securitized asset fund r venture capital fund a Other private fund PRIVATE EQUITY/VENTURE CAPITAL NOTE: For funds of funds, refer to the funds in which the private fund invests. For definitions of these fund types, please see Instruction 6 of the Instructions to Part 1A. 11. Current gross asset value of the private fund: $ 12,678,680 Ownership 12. Minimum investment commitment required of an investor in the private fund: $ 250,000 NOTE: Report the amount routinely required of investors who are not your related persons (even if different from the amount set forth in the organizational documents of the fund). 13. Approximate number of the private funds beneficial owners: EFTA01079380 64 14. What is the approximate percentage of the private fund beneficially owned by you and your related persons: 2% 15. What is the approximate percentage of the private fund beneficially owned (in the aggregate) by funds of funds: 2% 16. What is the approximate percentage of the private fund beneficially owned by non-United States persons: 0% Your Advisory Services 17. (a) Are you a subadviser to this private fund? Yes No (b) If the answer to question 17(a) is "yes," provide the name and SEC file number, if any, of the adviser of the private fund. If the answer to question 17(a) is "no." leave this question blank. No Information Filed 18. (a) Do any other investment advisers advise the private fund? r Yes No r (b) If the answer to question 18(a) is "yes," provide the name and SEC file number, if any, of the other advisers to the private fund. If the answer to question 18(a) is "no." leave this question blank. No Information Filed 19. Are your clients solicited to invest in the private fund? 20. Approximately what percentage of your clients has invested in the private fund? 5% Private Offering 21. Does the private fund rely on an exemption from registration of its securities under Regulation 0 of the Securities Act of 1933? 22. If yes, provide the private funds Form D file number (if any): L B. SERVICE PROVIDERS Auditors No Information Filed 23. (a) (1) Are the private funds financial statements subject to an annual audit? (2) Are the financial statements prepared in accordance with U.S. GAAP? Yes No O € Yes No O € Yes No • r • r If the answer to 23(a)(1) is "yes." respond to questions (b) through (f) below. If the private fund uses more than one auditing firm, you must complete questions (b) through (f) separately for each auditing firm. Additional Auditor Information :1 Record(s) Filed. If the answer to 23(a)(1) is "yes." respond to questions (b) through (f) below. If the private fund uses more than one auditing firm, you must complete questions (b) through (f) separately for each auditing firm. (b) Name of the auditing firm: DELOITTE & TOUCHE LLP (c) The location of the auditing firm's office responsible for the private funds audit (city, state and country): (d) Is the auditing firm an independent public accountant? (e) Is the auditing firm registered with the Public Company Accounting Oversight Board? Yes No G G EFTA01079381 (f) If "yes" to (e) above, is the auditing firm subject to regular inspection by the Public Company Accounting Oversight Board in accordance with its rules? € 0 M Yes No (g) Are the private funds audited financial statements distributed to the private funds investors? O 0 (h) Does the report prepared by the auditing firm contain an unqualified opinion? r Yes r No Report Not Yet Received If you check "Report Not Yet Received," you must promptly file an amendment to your Form ADV to update your response when the report is available. Prime Broker 24. (a) Does the private fund use one or more prime brokers? Yes No r If the answer to 24(a) is "yes," respond to questions (b) through (e) below for each prime broker the private fund uses. If the private fund uses more than one prime broker, you must complete questions (b) through (e) separately for each prime broker. L Custodian No Information Filed 25. (a) Does the private fund use any custodians (including the prime brokers listed above) to hold some or all of its assets? Yes No • r If the answer to 25(a) is "yes." respond to questions (b) through (f) below for each custodian the private fund uses. If the private fund uses more than one custodian, you must complete questions (b) through (f) separately for each custodian. Additional Custodian Information : 1 Record(s) Filed. If the answer to 25(a) is "yes." respond to questions (b) through (f) below for each custodian the private fund uses. If the private fund uses more than one custodian, you must complete questions (b) through (f) separately for each custodian. (b) Legal name of custodian: STATE STREET BANK & TRUST CO. (c) Primary business name of custodian: STATE STREET BANK & TRUST CO. (d) The location of the custodian's office responsible for custody of the private funds assets (city. state and country): (e) Is the custodian a related person of your firm? (f) If the custodian is a broker-dealer, provide its SEC registration number (if any) CRD Number (if any): Administrator Yes No • s Yes No 26. (a) Does the private fund use an administrator other than your firm? r If the answer to 26(a) is "yes," respond to questions (b) through (f) below. If the private fund uses more than one administrator, you must complete questions (b) through (f) separately for each administrator. Additional Administrator Information : 1 Record(s) Filed. --- If the answer to 26(a) is "yes," respond to questions (b) through (f) below. If the private fund uses more than one administrator, you must 1 complete questions (b) through (f) separately for each administrator. (b) Name of the administrator: ROCKIT SOLUTIONS LLC EFTA01079382 (c) Location of administrator (city, state and country): City: State: Country: STAMFORD Connecticut United States Yes No (d) Is the administrator a related person of your firm? (e) Does the administrator prepare and send investor account statements to the private funds investors? e Yes (provided to all investors) Some (provided to some but not all investors) c' No (provided to no investors) € 0 (f) If the answer to 26(e) is "no" or "some," who sends the investor account statements to the (rest of the) private funds investors? If investor account statements are not sent to the (rest of the) private funds investors, respond "not applicable." 27. During your last fiscal year, what percentage of the private funds assets (by value) was valued by a person, such as an administrator, that is not your related person? 0% Include only those assets where (i) such person carried out the valuation procedure established for that asset, if any, including obtaining any relevant quotes, and (ii) the valuation used for purposes of investor subscriptions, redemptions or distributions, and fee calculations (including allocations) was the valuation determined by such person. Marketers 28. (a) Does the private fund use the services of someone other than you or your employees for marketing purposes? Yes No 0 0) You must answer "yes" whether the person acts as a placement agent, consultant, finder, introducer, municipal advisor or other solicitor, or similar person. If the answer to 28(a) is "yes", respond to questions (b) through (g) below for each such marketer the private fund uses. If the private fund uses more than one marketer you must complete questions (b) through (g) separately for each marketer. No Information Filed A. PRIVATE FUND Information About the Private Fund 1. 2. 3. 4. 5. 6. I No (a) Name of the private fund: ROCKEFELLER FINANCIAL ASIA LLC (b) Private fund identification number: include the "805-" •ref ix also) Under the laws of what state or country Is the private fund organized: State: Country: Delaware United States Name(s) of General Partner, Manager, Trustee, or Directors (or persons serving in a similar capacity): Name of General Partner, Manager, Trustee, or Director ROCKEFELLER & CO., INC. The private fund (check all that apply; you must check at least one): K (1) qualifies for the exclusion from the definition of investment company under section 3(c)(1) of the Investment Company Act of 1940 F (2) qualifies for the exclusion from the definition of investment company under section 3(c)(7) of the Investment Company Act of 1940 List the name and country, in English, of each foreign financial regulatory authoritywith which the private fund is registered. No Information Filed (a) Is this a "master fund" in a master-feeder arrangement? (b) If yes, what is the name and private fund identification number (If any) of the feeder funds investing in this private fund? Yes No O 0 Information Filed EFTA01079383 Yes No (c) Is this a "feeder fund" in a master-feeder arrangement? (d) If yes. what is the name and private fund identification number (if any) of the master fund in which this private fund invests? Name of the Private Fund: Private Fund Identification Number: (include the "805-" prefix also) € NOTE: You must complete question 6 for each master-feeder arrangement regardless of whether you are filing a single Schedule D, Section 7.B.(1). for the master-feeder arrangement or reporting on the funds separately. 7. If you are filing a single Schedule D, Section 7.B.(1) for a master-feeder arrangement according to the instructions to this Section 7.6.(1), for each of the feeder funds answer the following questions: No Information Filed NOTE: For purposes of questions 6 and 7, in a master-feeder arrangement. one or more funds ("feeder funds") invest all or substantially all of their assets in a single fund ("master fund"). A fund would also be a "feeder fund" investing in a "master fund" for purposes of this question if it issued multiple classes (or series) of shares or interests, and each class (or series) invests substantially all of its assets in a single master fund. 8. (a) Is this private fund a "fund of funds"? (b) If yes, does the private fund invest in funds managed by you or by a related person? NOTE: For purposes of this question only. answer "yes" if the fund invests 10 percent or more of its total assets in other pooled investment vehicles, whether or not they are also private funds, or registered investment companies. 9. During your last fiscal year, did the private fund invest in securities issued by investment companies registered under the Investment Company Act of 1940 (other than "money market funds." to the extent provided in Instruction 6.e.)? Yes No t: r r Yes No 10. What type of fund is the private fund? a hedge fund r liquidity fund r private equity fund r real estate fund r securitized asset fund r venture capital fund r Other private fund NOTE: For funds of funds, refer to the funds in which the private fund invests. For definitions of these fund types, please see Instruction 6 of the Instructions to Part 1A. 11. Current gross asset value of the private fund: $ 1,077,128 Ownership 12. Minimum investment commitment required of an investor in the private fund: $ 1,000,000 NOTE: Report the amount routinely required of investors who are not your related persons (even if different from the amount set forth in the organizational documents of the fund). 13. Approximate number of the private funds beneficial owners: 32 14. What is the approximate percentage of the private fund beneficially owned by you and your related persons: 0% 15. What is the approximate percentage of the private fund beneficially owned (in the aggregate) by funds of funds: 0% 16. What is the approximate percentage of the private fund beneficially owned by non-United States persons: 6% Your Advisory Services Yes No EFTA01079384 17. (a) Are you a subadviser to this private fund? (b) If the answer to question 17(a) is "yes," provide the name and SEC file number, if any, of the adviser of the private fund. If the answer to question 17(a) is "no." leave this question blank.  G No Information Filed 18. (a) Do any other investment advisers advise the private fund? Yes No r (b) If the answer to question 18(a) is "yes," provide the name and SEC file number, if any, of the other advisers to the private fund. If the answer to question 18(a) is "no." leave this question blank. No Information Filed 19. Are your clients solicited to invest in the private fund? 20. Approximately what percentage of your clients has invested in the private fund? 1% Private Offering 21. Does the private fund rely on an exemption from registration of its securities under Regulation D of the Securities Act of 1933? 22. If yes, provide the private funds Form D file number (if any): Yes No O G Yes No G 0 Form D file number B. SERVICE PROVIDERS Auditors 23. (a) (1) Are the private funds financial statements subject to an annual audit? (2) Are the financial statements prepared in accordance with U.S. GAAP? Yes No • r • r If the answer to 23(a)(1) is "yes." respond to questions (b) through (f) below. If the private fund uses more than one auditing firm, you must complete questions (b) through (f) separately for each auditing firm. Additional Auditor Information : 1 Record(s) Filed. If the answer to 23(a)(1) is "yes." respond to questions (b) through (f) below. If the private fund uses more than one auditing firm, you must complete questions (b) through (f) separately for each auditing firm. (b) Name of the auditing firm: DELOITTE & TOUCHE LLP (c) The location of the auditing firm's office responsible for the private funds audit (city, state and country): City: State: Country: STAMFORD Connecticut United States Yes No (d) Is the auditing firm an independent public accountant? G 0 (e) Is the auditing firm registered with the Public Company Accounting Oversight Board? G 0 (0 If "yes" to (e) above, is the auditing firm subject to regular inspection by the Public Company Accounting Oversight Board in accordance with its rules? G 0 Yes No (g) Are the private funds audited financial statements distributed to the private funds investors? tr.i (h) Does the report prepared by the auditing firm contain an unqualified opinion? r Yes r No a Report Not Yet Received If you check "Report Not Yet Received," you must promptly file an amendment to your Form ADV to update your response when the report is available. Prime Broker Yes No EFTA01079385 24. (a) Does the private fund use one or more prime brokers? G If the answer to 24(a) is "yes," respond to questions (b) through (e) below for each prime broker the private fund uses. If the private fund uses more than one prime broker, you must complete questions (b) through (e) separately for each prime broker. No Information Filed Custodian Yes No 25. (a) Does the private fund use any custodians (including the prime brokers listed above) to hold some or all of its assets? If the answer to 25(a) is "yes," respond to questions (b) through (f) below for each custodian the private fund uses. If the private fund uses more than one custodian, you must complete questions (b) through (f) separately for each custodian. Additional Custodian Information : 1 Record(s) Filed. If the answer to 25(a) is "yes," respond to questions (b) through (f) below for each custodian the private fund uses. If the private fund uses more than one custodian, you must complete questions (b) through (f) separately for each custodian. (b) Legal name of custodian: STATE STREET BANK & TRUST CO. (c) Primary business name of custodian: STATE STREET BANK & TRUST CO. (d) The location of the custodian's office responsible for custody of the private funds assets (city, state and country): City: State: Country: BOSTON Massachusetts United States Yes No (e) Is the custodian a related person of your firm? (f) If the custodian is a broker-dealer, provide its SEC registration number (if any) CRD Number (if any): G Administrator Yes No 26. (a) Does the private fund use an administrator other than your firm? S If the answer to 26(a) is "yes," respond to questions (b) through (f) below. If the private fund uses more than one administrator, you must complete questions (b) through (f) separately for each administrator. Additional Administrator Information :1 Record(s) Flied. If the answer to 26(a) is "yes," respond to questions (b) through (f) below. If the private fund uses more than one administrator, you must complete questions (b) through (f) separately for each administrator. (b) Name of the administrator: ROCKIT SOLUTIONS LLC (c) Location of administrator (city, state and country): City: State: Country: STAMFORD Connecticut United States (d) Is the administrator a related person of your firm? (e) Does the administrator prepare and send investor account statements to the private funds investors? a Yes (provided to all investors) c Some (provided to some but not all investors) o No (provided to no investors) Yes No G (f) If the answer to 26(e) is "no" or "some." who sends the investor account statements to the (rest of the) private funds investors? If EFTA01079386 investor account statements are not sent to the (rest of the) private funds investors, respond "not applicable." 27. During your last fiscal year, what percentage of the private funds assets (by value) was valued by a person, such as an administrator, that is not your related person? 0% Include only those assets where (i) such person carried out the valuation procedure established for that asset, if any. including obtaining any relevant quotes, and (ii) the valuation used for purposes of investor subscriptions, redemptions or distributions, and fee calculations (including allocations) was the valuation determined by such person. Marketers 28. (a) Does the private fund use the services of someone other than you or your employees for marketing purposes? Yes No r You must answer "yes" whether the person acts as a placement agent, consultant, finder, introducer, municipal advisor or other solicitor, or similar person. If the answer to 28(a) is "yes", respond to questions (b) through (g) below for each such marketer the private fund uses. If the private fund uses more than one marketer you must complete questions (b) through (g) separately for each marketer. No Information Filed A. PRIVATE FUND Information About the Private Fund 1. (a) Name of the private fund: ROCKEFELLER FINANCIAL CAPITAL PARTNERS ALPHA SELECT FUND LLC (b) Private fund identification number: (include the "805-" prefix also) 2. Under the laws of what state or country is the private fund organized: State: Country: Delaware United States 3. Name(s) of General Partner, Manager, Trustee, or Directors (or persons serving in a similar capacity): Name of GenerM Partnisr, Managtm Trustee, or Director • & CO., INC. 4. The private fund (check all that apply; you must check at least one): r (1) qualifies for the exclusion from the definition of investment company under section 3(c)(1) of the Investment Company Act of 1940 17 (2) qualifies for the exclusion from the definition of investment company under section 3(c)(7) of the Investment Company Act of 1940 5. List the name and country. in English. of each foreign financial regulatory authority with which the private fund is registered. No Information Filed 6. (a) Is this a "master fund" in a master-feeder arrangement? (b) If yes. what is the name and private fund identification number (if any) of the feeder funds investing in this private fund? Yes No r No Information Filed (c) Is this a "feeder fund" in a master-feeder arrangement? (d) If yes. what is the name and private fund identification number (if any) of the master fund in which this private fund invests? Name of the Private Fund: Private Fund Identification Number: (include the "805-" prefix also) Yes No 0 € NOTE: You must complete question 6 for each master-feeder arrangement regardless of whether you are filing a single Schedule D, Section 7.B.(1). EFTA01079387 for the master-feeder arrangement or reporting on the funds separately. 7. If you are filing a single Schedule D, Section 7.B.(1) for a master-feeder arrangement according to the instructions to this Section 7.B.(1), for each of the feeder funds answer the following questions: No Information Filed NOTE: For purposes of questions 6 and 7, in a master-feeder arrangement. one or more funds ("feeder funds") invest all or substantially all of their assets in a single fund ("master fund"). A fund would also be a "feeder fund" investing in a "master fund" for purposes of this question if it issued multiple classes (or series) of shares or interests, and each class (or series) invests substantially all of its assets in a single master fund. 8. (a) Is this private fund a "fund of funds"? (b) If yes, does the private fund invest in funds managed by you or by a related person? NOTE: For purposes of this question only. answer "yes" if the fund invests 10 percent or more of its total assets in other pooled investment vehicles, whether or not they are also private funds, or registered investment companies. 9. During your last fiscal year, did the private fund invest in securities issued by investment companies registered under the Investment Company Act of 1940 (other than "money market funds." to the extent provided in Instruction 6.e.)? Yes No r r Yes No 10. What type of fund is the private fund? a hedge fund r liquidity fund r private equity fund r real estate fund r securitized asset fund r venture capital fund r Other private fund NOTE: For funds of funds, refer to the funds in which the private fund invests. For definitions of these fund types, please see Instruction 6 of the Instructions to Part 1A. 11. Current gross asset value of the private fund: $ 27,940,644 Ownership 12. Minimum investment commitment required of an investor in the private fund: $ 250,000 NOTE: Report the amount routinely required of investors who are not your related persons (even if different from the amount set forth in the organizational documents of the fund). 13. Approximate number of the private funds beneficial owners: 27 14. What is the approximate percentage of the private fund beneficially owned by you and your related persons: 0% 15. What is the approximate percentage of the private fund beneficially owned (in the aggregate) by funds of funds: 4% 16. What is the approximate percentage of the private fund beneficially owned by non-United States persons: 0% Your Advisory Services 17. (a) Are you a subadviser to this private fund? Yes No r (b) If the answer to question 17(a) is "yes," provide the name and SEC file number, if any, of the adviser of the private fund. If the answer to question 17(a) is "no." leave this question blank. No Information Filed 18. (a) Do any other investment advisers advise the private fund? H Yes No (b) If the answer to question 18(a) is "yes," provide the name and SEC file number, if any, of the other advisers to the private fund. If the answer to question 18(a) is "no." leave this question blank. No Information Filed Yes No EFTA01079388 19. Are your clients solicited to invest in the private fund? G 20. Approximately what percentage of your clients has invested in the private fund? 3% Private Offering 21. Does the private fund rely on an exemption from registration of its securities under Regulation D of the Securities Act of 1933? 22. If yes, provide the private funds Form D file number (if any): Yes No G F 0 nn DRIB number B. SERVICE PROVIDERS Auditors 23. (a) (1) Are the private funds financial statements subject to an annual audit? (2) Are the financial statements prepared in accordance with U.S. GAAP? Yes No r r If the answer to 23(a)(1) is "yes." respond to questions (b) through (f) below. If the private fund uses more than one auditing firm, you must complete questions (b) through (f) separately for each auditing firm. Additional Auditor Information :1 Record(s) Filed. If the answer to 23(a)(1) is "yes." respond to questions (b) through (f) below. If the private fund uses more than one auditing firm, you must complete questions (b) through (f) separately for each auditing firm. (b) Name of the auditing firm: DELOITTE & TOUCHE LLP (c) The location of the auditing firm's office responsible for the private funds audit (city, state and country): City: State: Country: (d) Is the auditing firm an independent public accountant? (e) Is the auditing firm registered with the Public Company Accounting Oversight Board? (f) If "yes" to (e) above, is the auditing firm subject to regular inspection by the Public Company Accounting Oversight Board in accordance with its rules? Yes No G G 0 G Yes No (g) Are the private funds audited financial statements distributed to the private funds investors? € 0 (h) Does the report prepared by the auditing firm contain an unqualified opinion? r Yes r No a Report Not Yet Received If you check "Report Not Yet Received," you must promptly file an amendment to your Form ADV to update your response when the report is available. Prime Broker 24. (a) Does the private fund use one or more prime brokers? Yes No r If the answer to 24(a) is "yes," respond to questions (b) through (e) below for each prime broker the private fund uses. If the private fund uses more than one prime broker, you must complete questions (b) through (e) separately for each prime broker. No Information Filed Custodian 25. (a) Does the private fund use any custodians (including the prime brokers listed above) to hold some or all of its assets? Yes No G EFTA01079389 If the answer to 25(a) is "yes." respond to questions (b) through (f) below for each custodian the private fund uses. If the private fund uses more than one custodian, you must complete questions (b) through (f) separately for each custodian. Additional Custodian Information : 1 Record(s) Filed. If the answer to 25(a) is "yes." respond to questions (b) through (f) below for each custodian the private fund uses. If the private fund uses more than one custodian, you must complete questions (b) through (f) separately for each custodian. (b) Legal name of custodian: STATE STREET BANK & TRUST CO. (c) Primary business name of custodian: STATE STREET BANK & TRUST CO. (d) The location of the custodian's office responsible for custody of the private funds assets (city, state and country): Yes No (e) Is the custodian a related person of your firm? (f) If the custodian is a broker-dealer, provide its SEC registration number (if any) CRD Number (if any): Administrator 0 G Yes No 26. (a) Does the private fund use an administrator other than your firm? r r If the answer to 26(a) is "yes," respond to questions (b) through (f) below. If the private fund uses more than one administrator, you must complete questions (b) through (f) separately for each administrator. Additional Administrator Information : 1 Record(s) Filed. If the answer to 26(a) is "yes," respond to questions (b) through (f) below. If the private fund uses more than one administrator, you must complete questions (b) through (f) separately for each administrator. (b) Name of the administrator: ROCKIT SOLUTIONS LLC (c) Location of administrator (city. state and country): (d) Is the administrator a related person of your firm? (e) Does the administrator prepare and send investor account statements to the private funds investors? a Yes (provided to all investors) r Some (provided to some but not all investors) r No (provided to no investors) Yes No G (f) If the answer to 26(e) is "no" or "some." who sends the investor account statements to the (rest of the) private funds investors? If investor account statements are not sent to the (rest of the) private funds investors, respond "not applicable." 27. During your last fiscal year, what percentage of the private funds assets (by value) was valued by a person, such as an administrator, that is not your related person? 0% Include only those assets where (i) such person carried out the valuation procedure established for that asset, if any. including obtaining any relevant quotes, and (h) the valuation used for purposes of investor subscriptions, redemptions or distributions, and fee calculations (including allocations) was the valuation determined by such person. Marketers Yes No EFTA01079390 28. (a) Does the private fund use the services of someone other than you or your employees for marketing purposes? 0 s You must answer "yes" whether the person acts as a placement agent, consultant, finder, introducer, municipal advisor or other solicitor, or similar person. If the answer to 28(a) is "yes", respond to questions (b) through (g) below for each such marketer the private fund uses. If the private fund uses more than one marketer you must complete questions (b) through (g) separately for each marketer. No Information Flied A. PRIVATE Information FUND About the Private Fund 1. 2. 3. 4. 5. 6. 7. (a) (b) Under Name(s) Name of the private ROCKEFELLER GLOBAL Private fund identification (include the "805-" prefix fund: DIVIDEND GROWTH FUND LP number: also) state or country is the private fund organized: Country: United States Manager, Trustee, or Directors (or persons serving in a similar capacity): the laws of what State: Delaware of General Partner, Name of General Partner, Manager, Trustee, or Director ROCKEFELLER Si CO., INC. The private fund (check all that apply; you must check at least one): F7, (1) qualifies for the exclusion from the definition of investment company under section 3(c)(1) of the Investment Company Act of 1940 C (2) qualifies for the exclusion from the definition of investment company under section 3(c)(7) of the Investment Company Act of 1940 List the name and country, in English, of each foreign financial regulatory authoritywith which the private fund is registered. No Information Filed Yes No (a) Is this a "master fund" In a master-feeder arrangement? 0 CD (b) If yes, what is the name and private fund identification number (If any) of the feeder funds investing in this private fund? No Information Filed Yes No (c) Is this a "feeder fund" in a master-feeder arrangement? a CD (d) If yes, what is the name and private fund identification number (if any) of the master fund in which this private fund invests? Name of the Private Fund: Private Fund Identification Number: (include the "805-" prefix also) NOTE: You must complete question 6 for each master-feeder arrangement regardless of whether you are filing a single Schedule D, Section 7.B.(1). for the master-feeder arrangement or reporting on the funds separately. If you are filing a single Schedule D, Section 7.B.(1) for a master-feeder arrangement according to the instructions to this Section 7.B.(1), for each of the feeder funds answer the following questions: No Information Filed NOTE: For purposes of questions 6 and 7, in a master-feeder arrangement, one or more funds ("feeder funds") invest all or substantially all of their assets in a single fund ("master fund"). A fund would also be a "feeder fund" investing in a "master fund" for purposes of this question if It Issued multiple classes (or series) of shares or interests, and each class (or series) invests substantially all of its assets in a single master fund. EFTA01079391 8. Yes No (a) Is this private fund a "fund of funds"? 0 (b) If yes, does the private fund invest in funds managed by you or by a related person? 0 0 NOTE: For purposes of this question only. answer "yes" if the fund invests 10 percent or more of its total assets in other pooled investment vehicles, whether or not they are also private funds, or registered investment companies. 9. During your last fiscal year, did the private fund invest in securities issued by investment companies registered under the Investment Company Act of 1940 (other than "money market funds." to the extent provided in Instruction 6.e.)? Yes No PS € 10. What type of fund is the private fund? r hedge fund r liquidity fund r . private equity fund r real estate fund r securitized asset fund r venture capital fund Other private fund LONG-ONLY INVESTMENT FUND NOTE: For funds of funds, refer to the funds in which the private fund invests. For definitions of these fund types, please see Instruction 6 of the Instructions to Part 1A. 11. Current gross asset value of the private fund: $ 71,886,358 Ownership 12. Minimum investment commitment required of an investor in the private fund: $ 100,000 NOTE: Report the amount routinely required of investors who are not your related persons (even if different from the amount set forth in the organizational documents of the fund). 13. Approximate number of the private funds beneficial owners: 80 14. What is the approximate percentage of the private fund beneficially owned by you and your related persons: 0% 15. What is the approximate percentage of the private fund beneficially owned (in the aggregate) by funds of funds: 0% 16. What is the approximate percentage of the private fund beneficially owned by non-United States persons: 6% Your Advisory Services 17. (a) Are you a subadviser to this private fund? Yes No (b) If the answer to question 17(a) is "yes," provide the name and SEC file number, if any, of the adviser of the private fund. If the answer to question 17(a) is "no." leave this question blank. No Information Filed 18. (a) Do any other investment advisers advise the private fund? r H Yes No r (b) If the answer to question 18(a) is "yes," provide the name and SEC file number, if any, of the other advisers to the private fund. If the answer to question 18(a) is "no." leave this question blank. No Information Filed 19. Are your clients solicited to invest in the private fund? 20. Approximately what percentage of your clients has invested in the private fund? 7% Private Offering 21. Does the private fund rely on an exemption from registration of its securities under Regulation D of the Securities Act of 1933? 22. If yes, provide the private funds Form D file number (if any): 1 Yes No Yes No a 0 EFTA01079392 Form D file number B. SERVICE PROVIDERS Auditors 23. (a) (1) Are the private funds financial statements subject to an annual audit? (2) Are the financial statements prepared in accordance with U.S. GAAP? Yes No r r If the answer to 23(a)(1) is "yes." respond to questions (b) through (f) below. If the private fund uses more than one auditing firm, you must complete questions (b) through (f) separately for each auditing firm. Additional Auditor Information : 1 Record(s) Filed. If the answer to 23(a)(1) is "yes," respond to questions (b) through (f) below. If the private fund uses more than one auditing firm, you must complete questions (b) through (f) separately for each auditing firm. (b) Name of the auditing firm: DELOITTE & TOUCHE LLP (c) The location of the auditing firm's office responsible for the private funds audit (city, state and country): City: State: Country: STAMFORD Connecticut United States (d) Is the auditing firm an independent public accountant? (e) Is the auditing firm registered with the Public Company Accounting Oversight Board? (f) If "yes" to (e) above, is the auditing firm subject to regular inspection by the Public Company Accounting Oversight Board in accordance with its rules? Yes No G 0 € 0 G 0 Yes No (g) Are the private funds audited financial statements distributed to the private funds investors? G 0 (h) Does the report prepared by the auditing firm contain an unqualified opinion? r Yes r . No a Report Not Yet Received If you check "Report Not Yet Received," you must promptly file an amendment to your Form ADV to update your response when the report is available. Prime Broker 24. (a) Does the private fund use one or more prime brokers? Yes No r If the answer to 24(a) is "yes," respond to questions (b) through (e) below for each prime broker the private fund uses. If the private fund uses more than one prime broker, you must complete questions (b) through (e) separately for each prime broker. No Information Filed Custodian 25. (a) Does the private fund use any custodians (including the prime brokers listed above) to hold some or all of its assets? Yes No G 0 If the answer to 25(a) is "yes." respond to questions (b) through (f) below for each custodian the private fund uses. If the private fund uses more than one custodian, you must complete questions (b) through (f) separately for each custodian. Additional Custodian Information : 1 Record(s) Filed. If the answer to 25(a) is "yes." respond to questions (b) through (f) below for each custodian the private fund uses. If the private fund uses more than one custodian, you must complete questions (b) through (f) separately for each custodian. (b) Legal name of custodian: STATE STREET BANK & TRUST CO. EFTA01079393 (c) Primary business name of custodian: STATE STREET BANK & TRUST CO. (d) The location of the custodian's office responsible for custody of the private funds assets (city, state and country): Yes No (e) Is the custodian a related person of your firm? (f) If the custodian is a broker-dealer, provide its SEC registration number (if any) CRD Number (if any): Administrator C Yes No 26. (a) Does the private fund use an administrator other than your firm? r r If the answer to 26(a) is "yes," respond to questions (b) through (f) below. If the private fund uses more than one administrator, you must complete questions (b) through (f) separately for each administrator. Additional Administrator Information : 1 Record(s) Filed. If the answer to 26(a) is "yes," respond to questions (b) through (f) below. If the private fund uses more than one administrator, you must complete questions (b) through (f) separately for each administrator. (b) Name of the administrator: ROCKIT SOLUTIONS LLC (c) Location of administrator (city. state and country): City: State: Country: STAMFORD Connecticut United States Yes No (d) Is the administrator a related person of your firm? (e) Does the administrator prepare and send investor account statements to the private funds investors? a Yes (provided to all investors) r Some (provided to some but not all investors) r No (provided to no investors) (0 If the answer to 26(e) is "no" or "some." who sends the investor account statements to the (rest of the) private funds investors? If investor account statements are not sent to the (rest of the) private funds investors, respond "not applicable." 27. During your last fiscal year, what percentage of the private funds assets (by value) was valued by a person, such as an administrator, that is not your related person? Include only those assets where (i) such person carried out the valuation procedure established for that asset, if any. including obtaining any relevant quotes, and (ii) the valuation used for purposes of investor subscriptions, redemptions or distributions, and fee calculations (including allocations) was the valuation determined by such person. Marketers 28. (a) Does the private fund use the services of someone other than you or your employees for marketing purposes? Yes No r (F: You must answer "yes" whether the person acts as a placement agent, consultant, finder, introducer, municipal advisor or other solicitor, or similar person. If the answer to 28(a) is "yes", respond to questions (b) through (g) below for each such marketer the private fund uses. If the private fund uses more than one marketer you must complete questions (b) through (g) separately for each marketer. No Information Filed H . PRIVATE FUND EFTA01079394 Information About the Private Fund 1. (a) Name of the private fund: ROCKEFELLER GLOBAL DIVIDEND GROWTH FUND OP, LP (b) Private fund identification number: (include the "805-" prefix also) 2. Under the laws of what state or country is the private fund organized: State: Country: Delaware United States 3. Name(s) of General Partner, Manager, Trustee, or Directors (or persons serving in a similar capacity): Name of General Partner, Manager, Trustee, or Director • & CO., INC. 4. The private fund (check all that apply; you must check at least one): r (1) qualifies for the exclusion from the definition of investment company under section 3(c)(1) of the Investment Company Act of 1940 17 (2) qualifies for the exclusion from the definition of investment company under section 3(c)(7) of the Investment Company Act of 1940 5. List the name and country. in English. of each foreign financial regulatory authority with which the private fund is registered. No Information Filed Yes No 6. (a) Is this a "master fund" in a master-feeder arrangement? (b) If yes. what is the name and private fund identification number (if any) of the feeder funds investing in this private fund? O € No Information Filed (c) Is this a "feeder fund" in a master-feeder arrangement? (d) If yes. what is the name and private fund identification number (if any) of the master fund in which this private fund invests? Name of the Private Fund: Private Fund Identification Number: (include the "805-" prefix also) Yes No O € NOTE: You must complete question 6 for each master-feeder arrangement regardless of whether you are filing a single Schedule D, Section 7.B.(1). for the master-feeder arrangement or reporting on the funds separately. 7. If you are filing a single Schedule D, Section 7.B.(1) for a master-feeder arrangement according to the instructions to this Section 7.B.(1), for each of the feeder funds answer the following questions: No Information Filed NOTE: For purposes of questions 6 and 7, in a master-feeder arrangement. one or more funds ("feeder funds") invest all or substantially all of their assets in a single fund ("master fund"). A fund would also be a "feeder fund" investing in a "master fund" for purposes of this question if it issued multiple classes (or series) of shares or interests, and each class (or series) invests substantially all of its assets in a single master fund. 8. (a) Is this private fund a "fund of funds"? (b) If yes, does the private fund invest in funds managed by you or by a related person? NOTE: For purposes of this question only. answer "yes" if the fund invests 10 percent or more of its total assets in other pooled investment vehicles, whether or not they are also private funds, or registered investment companies. 9. During your last fiscal year, did the private fund invest in securities issued by investment companies registered under the Investment Company Act of 1940 (other than "money market funds." to the extent provided in Instruction 6.e.)? Yes No r  r Yes No r 10. What type of fund is the private fund? EFTA01079395 r hedge fund r liquidity fund r private equity fund real estate fund securitized asset fund venture capital fund 0 Other private fund LONG-ONLY INVESTMENT FUND NOTE: For funds of funds, refer to the funds in which the private fund invests. For definitions of these fund types, please see Instruction 6 of the Instructions to Part 1A. 11. Current gross asset value of the private fund: $ 68,990,618 Ownership 12. Minimum investment commitment required of an investor in the private fund: $ 500,000 NOTE: Report the amount routinely required of investors who are not your related persons (even if different from the amount set forth in the organizational documents of the fund). 13. Approximate number of the private funds beneficial owners: 57 14. What is the approximate percentage of the private fund beneficially owned by you and your related persons: 0% 15. What is the approximate percentage of the private fund beneficially owned (in the aggregate) by funds of funds: 21% 16. What is the approximate percentage of the private fund beneficially owned by non-United States persons: 0% Your Advisory Services 17. (a) Are you a subadviser to this private fund? Yes No (b) If the answer to question 17(a) is "yes," provide the name and SEC file number, if any, of the adviser of the private fund. If the answer to question 17(a) is "no." leave this question blank. No Information Filed 18. (a) Do any other investment advisers advise the private fund? Yes No r (b) If the answer to question 18(a) is "yes," provide the name and SEC file number, if any, of the other advisers to the private fund. If the answer to question 18(a) is "no." leave this question blank. No Information Filed 19. Are your clients solicited to invest in the private fund? 20. Approximately what percentage of your clients has invested in the private fund? 5% Private Offering 21. Does the private fund rely on an exemption from registration of its securities under Regulation D of the Securities Act of 1933? 22. If yes, provide the private funds Form D file number (if any): Yes No (;) 0 Yes No € mbar B. SERVICE PROVIDERS Auditors 23. (a) (1) Are the private funds financial statements subject to an annual audit? (2) Are the financial statements prepared in accordance with U.S. GAAP? Yes No r r If the answer to 23(a)(1) is "yes." respond to questions (b) through (f) below. If the private fund uses more than one auditing firm, you must EFTA01079396 complete questions (b) through (1) separately for each auditing firm. Additional Auditor Information : 1 Record(s) Filed. If the answer to 23(a)(1) is "yes." respond to questions (b) through (f) below. If the private fund uses more than one auditing firm, you must complete questions (b) through (f) separately for each auditing firm. (b) Name of the auditing firm: DELOITTE & TOUCHE LLP (c) The location of the auditing firm's office responsible for the private funds audit (city, state and country): City: State: Country: (d) Is the auditing firm an independent public accountant? (e) Is the auditing firm registered with the Public Company Accounting Oversight Board? (f) If "yes" to (e) above, is the auditing firm subject to regular inspection by the Public Company Accounting Oversight Board in accordance with its rules? Yes No G 0 G 0 G 0 Yes No (g) Are the private funds audited financial statements distributed to the private funds investors? 0 (h) Does the report prepared by the auditing firm contain an unqualified opinion? r Yes r No 6. Report Not Yet Received If you check "Report Not Yet Received," you must promptly file an amendment to your Form ADV to update your response when the report is available. Prime Broker 24. (a) Does the private fund use one or more prime brokers? Yes No r (F: If the answer to 24(a) is "yes," respond to questions (b) through (e) below for each prime broker the private fund uses. If the private fund uses more than one prime broker, you must complete questions (b) through (e) separately for each prime broker. No Information Filed Custodian 25. (a) Does the private fund use any custodians (including the prime brokers listed above) to hold some or all of its assets? Yes No If the answer to 25(a) is "yes." respond to questions (b) through (f) below for each custodian the private fund uses. If the private fund uses more than one custodian, you must complete questions (b) through (f) separately for each custodian. Additional Custodian Information : 1 Record(s) Filed. If the answer to 25(a) is "yes," respond to questions (b) through (f) below for each custodian the private fund uses. If the private fund uses more than one custodian, you must complete questions (b) through (f) separately for each custodian. (b) Legal name of custodian: STATE STREET BANK & TRUST CO. (c) Primary business name of custodian: STATE STREET BANK & TRUST CO. (d) The location of the custodian's office responsible for custody of the private funds assets (city. state and country): City: State: Country: Yes No (e) Is the custodian a related person of your firm? (f) If the custodian is a broker-dealer, provide its SEC registration number (if any) 0 G EFTA01079397 CRD Number (if any): Administrator Yes No 26. (a) Does the private fund use an administrator other than your firm? If the answer to 26(a) is "yes," respond to questions (b) through (f) below. If the private fund uses more than one administrator, you must complete questions (b) through (f) separately for each administrator. r Additional Administrator Information : 1 Record(s) Filed. If the answer to 26(a) is "yes," respond to questions (b) through (f) below. If the private fund uses more than one administrator, you must complete questions (b) through (f) separately for each administrator. (b) Name of the administrator: ROCKIT SOLUTIONS LLC (c) Location of administrator (city. state and country): City: State: Country: STAMFORD Connecticut United States (d) Is the administrator a related person of your firm? (e) Does the administrator prepare and send investor account statements to the private funds investors? a Yes (provided to all investors) r Some (provided to some but not all investors) r No (provided to no investors) Yes No G (f) If the answer to 26(e) is "no" or "some." who sends the investor account statements to the (rest of the) private funds investors? If investor account statements are not sent to the (rest of the) private funds investors, respond "not applicable." 27. During your last fiscal year, what percentage of the private funds assets (by value) was valued by a person, such as an administrator, that is not your related person? 0% Include only those assets where (i) such person carried out the valuation procedure established for that asset, if any. including obtaining any relevant quotes, and (ii) the valuation used for purposes of investor subscriptions, redemptions or distributions, and fee calculations (including allocations) was the valuation determined by such person. Marketers 28. (a) Does the private fund use the services of someone other than you or your employees for marketing purposes? Yes No r You must answer "yes" whether the person acts as a placement agent, consultant, finder, introducer, municipal advisor or other solicitor, or similar person. If the answer to 28(a) is "yes", respond to questions (b) through (g) below for each such marketer the private fund uses. If the private fund uses more than one marketer you must complete questions (b) through (g) separately for each marketer. No Information Filed A. PRIVATE FUND Information About the Private Fund 1. (a) Name of the private fund: ROCKEFELLER GLOBAL EQUITY FUND I LP (b) Private fund identification number: (include the "805-" prefix also) 2. Under the laws of what state or country is the private fund organized: EFTA01079398 State: Delaware Country: United States 3. Name(s) of General Partner, Manager, Trustee, or Directors (or persons serving in a similar capacity): ROCKEFELLER & CO., INC. 4. The private fund (check all that apply; you must check at least one): r; (1) qualifies for the exclusion from the definition of investment company under section 3(c)(1) of the Investment Company Act of 1940 (2) qualifies for the exclusion from the definition of investment company under section 3(c)(7) of the Investment Company Act of 1940 5. List the name and country. in English. of each foreign financial regulatory authority with which the private fund is registered. No Information Filed 6. (a) Is this a "master fund" in a master-feeder arrangement? (b) If yes. what is the name and private fund identification number (if any) of the feeder funds investing in this private fund? No Information Filed (c) Is this a "feeder fund" in a master-feeder arrangement? (d) If yes. what is the name and private fund identification number (if any) of the master fund in which this private fund invests? Name of the Private Fund: Private Fund Identification Number: (include the "805-" prefix also) Yes No r Yes No NOTE: You must complete question 6 for each master-feeder arrangement regardless of whether you are filing a single Schedule D, Section 7.B.(1). for the master-feeder arrangement or reporting on the funds separately. 7. If you are filing a single Schedule D, Section 7.B.(1) for a master-feeder arrangement according to the instructions to this Section 7.B.(1), for each of the feeder funds answer the following questions: L No Information Filed NOTE: For purposes of questions 6 and 7, in a master-feeder arrangement. one or more funds ("feeder funds") invest all or substantially all of their assets in a single fund ("master fund"). A fund would also be a "feeder fund" investing in a "master fund" for purposes of this question if it issued multiple classes (or series) of shares or interests, and each class (or series) invests substantially all of its assets in a single master fund. 8. (a) Is this private fund a "fund of funds"? (b) If yes, does the private fund invest in funds managed by you or by a related person? NOTE: For purposes of this question only. answer "yes" if the fund invests 10 percent or more of its total assets in other pooled investment vehicles, whether or not they are also private funds, or registered investment companies. 9. During your last fiscal year, did the private fund invest in securities issued by investment companies registered under the Investment Company Act of 1940 (other than "money market funds." to the extent provided in Instruction 6.e.)? Yes No r r r Yes No r 10. What type of fund is the private fund? r hedge fund r liquidity fund r private equity fund r real estate fund r securitized asset fund r venture capital fund Other private fund LONG-ONLY INVESTMENT FUND NOTE: For funds of funds, refer to the funds in which the private fund invests. For definitions of these fund types, please see Instruction 6 of the Instructions to Part 1A. 11. Current gross asset value of the private fund: $ 111,314,635 Ownership EFTA01079399 12. Minimum investment commitment required of an investor in the private fund: $ 100,000 NOTE: Report the amount routinely required of investors who are not your related persons (even if different from the amount set forth in the organizational documents of the fund). 13. Approximate number of the private funds beneficial owners: 43 14. What is the approximate percentage of the private fund beneficially owned by you and your related persons: 1% 15. What is the approximate percentage of the private fund beneficially owned (in the aggregate) by funds of funds: 0% 16. What is the approximate percentage of the private fund beneficially owned by non-United States persons: 0% Your Advisory Services 17. (a) Are you a subadviser to this private fund? Yes No (b) If the answer to question 17(a) is "yes," provide the name and SEC file number, if any, of the adviser of the private fund. If the answer to question 17(a) is "no." leave this question blank. r No Information Filed 18. (a) Do any other investment advisers advise the private fund? Yes No r (b) If the answer to question 18(a) is "yes," provide the name and SEC file number, if any, of the other advisers to the private fund. If the answer to question 18(a) is "no." leave this question blank. No Information Filed 19. Are your clients solicited to invest in the private fund? 20. Approximately what percentage of your clients has invested in the private fund? 4% Private Offering 21. Does the private fund rely on an exemption from registration of its securities under Regulation D of the Securities Act of 1933? 22. If yes, provide the private funds Form D file number (if any): Yes No € Yes No 0 € No Information Filed B. SERVICE PROVIDERS Auditors 23. (a) (1) Are the private funds financial statements subject to an annual audit? (2) Are the financial statements prepared in accordance with U.S. GAAP? Yes No r r If the answer to 23(a)(1) is "yes." respond to questions (b) through (f) below. If the private fund uses more than one auditing firm, you must complete questions (b) through (f) separately for each auditing firm. Additional Auditor Information :1 Record(s) Filed. If the answer to 23(a)(1) is "yes." respond to questions (b) through (f) below. If the private fund uses more than one auditing firm, you must complete questions (b) through (f) separately for each auditing firm. (b) Name of the auditing firm: DELOITTE & TOUCHE LLP (c) The location of the auditing firm's office responsible for the private funds audit (city, state and country): City: State: Country: EFTA01079400 STAMFORD Connecticut United States Yes No (d) Is the auditing firm an independent public accountant? G 0 (e) Is the auditing firm registered with the Public Company Accounting Oversight Board? G 0 (f) If "yes" to (e) above, is the auditing firm subject to regular inspection by the Public Company Accounting Oversight Board in accordance with its rules? G 0 Yes No (g) Are the private funds audited financial statements distributed to the private funds investors? € (h) Does the report prepared by the auditing firm contain an unqualified opinion? r Yes r No a Report Not Yet Received If you check "Report Not Yet Received," you must promptly file an amendment to your Form ADV to update your response when the report is available. Prime Broker Yes No 24. (a) Does the private fund use one or more prime brokers? r If the answer to 24(a) is "yes," respond to questions (b) through (e) below for each prime broker the private fund uses. If the private fund uses more than one prime broker, you must complete questions (b) through (e) separately for each prime broker. No Information Filed Custodian Yes No 25. (a) Does the private fund use any custodians (including the prime brokers listed above) to hold some or all of its assets? If the answer to 25(a) is "yes." respond to questions (b) through (f) below for each custodian the private fund uses. If the private fund uses more than one custodian, you must complete questions (b) through (f) separately for each custodian. r Additional Custodian Information : 1 Record(s) Filed. If the answer to 25(a) is "yes." respond to questions (b) through (f) below for each custodian the private fund uses. If the private fund uses more than one custodian, you must complete questions (b) through (f) separately for each custodian. (b) Legal name of custodian: STATE STREET BANK & TRUST CO. (c) Primary business name of custodian: STATE STREET BANK & TRUST CO. (d) The location of the custodian's office responsible for custody of the private funds assets (city, state and country): (e) Is the custodian a related person of your firm? (f) If the custodian is a broker-dealer, provide its SEC registration number (if any) CRD Number (if any): Yes No 0 G Administrator Yes No 26. (a) Does the private fund use an administrator other than your firm? r If the answer to 26(a) is "yes," respond to questions (b) through (f) below. If the private fund uses more than one administrator, you must complete questions (b) through (f) separately for each administrator. Additional Administrator Information : 1 Record(s) Filed. EFTA01079401 If the answer to 26(a) is "yes," respond to questions (b) through (f) below. If the private fund uses more than one administrator, you must complete questions (b) through (f) separately for each administrator. (b) Name of the administrator: ROCKIT SOLUTIONS LLC (c) Location of administrator (city. state and country): City: State: Country: Yes No (d) Is the administrator a related person of your firm? (e) Does the administrator prepare and send investor account statements to the private funds investors? ' Yes (provided to all investors) r Some (provided to some but not all investors) r No (provided to no investors) (f) If the answer to 26(e) is "no" or "some." who sends the investor account statements to the (rest of the) private funds investors? If investor account statements are not sent to the (rest of the) private funds investors, respond "not applicable." 0 27. During your last fiscal year, what percentage of the private funds assets (by value) was valued by a person, such as an administrator, that is not your related person? 0% Include only those assets where (i) such person carried out the valuation procedure established for that asset, if any. including obtaining any relevant quotes, and (ii) the valuation used for purposes of investor subscriptions, redemptions or distributions, and fee calculations (including allocations) was the valuation determined by such person. Marketers 28. (a) Does the private fund use the services of someone other than you or your employees for marketing purposes? Yes No r You must answer "yes" whether the person acts as a placement agent, consultant, finder, introducer, municipal advisor or other solicitor, or similar person. If the answer to 28(a) is "yes", respond to questions (b) through (g) below for each such marketer the private fund uses. If the private fund uses more than one marketer you must complete questions (b) through (g) separately for each marketer. No Information Filed A. PRIVATE FUND Information About the Private Fund 1. (a) Name of the private fund: ROCKEFELLER GLOBAL EQUITY FUND II LP (b) Private fund identification number: (include the "805-" prefix also) 2. Under the laws of what state or country is the private fund organized: State: Country: New York United States 3. Name(s) of General Partner, Manager, Trustee, or Directors (or persons serving in a similar capacity): Name of General Partner, Manager, Trustee, or Director • & CO., INC. 4. The private fund (check all that apply; you must check at least one): F7 (1) qualifies for the exclusion from the definition of investment company under section 3(c)(1) of the Investment Company Act of 1940 r (2) qualifies for the exclusion from the definition of investment company under section 3(c)(7) of the Investment Company Act of 1940 EFTA01079402 5. List the name and country. in English. of each foreign financial regulatory authority with which the private fund is registered. No Information Filed Yes No 6. (a) Is this a "master fund" in a master-feeder arrangement? (b) If yes. what is the name and private fund identification number (if any) of the feeder funds investing in this private fund? No Information Filed (c) Is this a "feeder fund" in a master-feeder arrangement? (d) If yes. what is the name and private fund identification number (if any) of the master fund in which this private fund invests? Name of the Private Fund: Private Fund Identification Number: (include the "805-" prefix also) O € Yes No O € NOTE: You must complete question 6 for each master-feeder arrangement regardless of whether you are filing a single Schedule D, Section 7.B.(1). for the master-feeder arrangement or reporting on the funds separately. 7. If you are filing a single Schedule D, Section 7.B.(1) for a master-feeder arrangement according to the instructions to this Section 7.B.(1), for each of the feeder funds answer the following questions: No Information Filed NOTE: For purposes of questions 6 and 7, in a master-feeder arrangement. one or more funds ("feeder funds") invest all or substantially all of their assets in a single fund ("master fund"). A fund would also be a "feeder fund" investing in a "master fund" for purposes of this question if it issued multiple classes (or series) of shares or interests, and each class (or series) invests substantially all of its assets in a single master fund. 8. (a) Is this private fund a "fund of funds"? (b) If yes, does the private fund invest in funds managed by you or by a related person? NOTE: For purposes of this question only. answer "yes" if the fund invests 10 percent or more of its total assets in other pooled investment vehicles, whether or not they are also private funds, or registered investment companies. 9. During your last fiscal year, did the private fund invest in securities issued by investment companies registered under the Investment Company Act of 1940 (other than "money market funds." to the extent provided in Instruction 6.e.)? Yes No  r Yes No 10. What type of fund is the private fund? r hedge fund r liquidity fund r private equity fund r real estate fund r securitized asset fund r venture capital fund Other private fund LONG-ONLY INVESTMENT FUND NOTE: For funds of funds, refer to the funds in which the private fund invests. For definitions of these fund types, please see Instruction 6 of the Instructions to Part 1A. 11. Current gross asset value of the private fund: $ 68,457,116 Ownership 12. Minimum investment commitment required of an investor in the private fund: $ 100,000 NOTE: Report the amount routinely required of investors who are not your related persons (even if different from the amount set forth in the organizational documents of the fund). 13. Approximate number of the private funds beneficial owners: 98 14. What is the approximate percentage of the private fund beneficially owned by you and your related persons: 1% EFTA01079403 15. What is the approximate percentage of the private fund beneficially owned (in the aggregate) by funds of funds: 0% 16. What is the approximate percentage of the private fund beneficially owned by non-United States persons: 0% Your Advisory Services Yes No 17. (a) Are you a subadviser to this private fund? r CF. (b) If the answer to question 17(a) is "yes," provide the name and SEC file number, if any, of the adviser of the private fund. If the answer to question 17(a) is "no." leave this question blank. No Information Filed 18. (a) Do any other investment advisers advise the private fund? H Yes No C (b) If the answer to question 18(a) is "yes," provide the name and SEC file number, if any, of the other advisers to the private fund. If the answer to question 18(a) is "no." leave this question blank. No Information Filed 19. Are your clients solicited to invest in the private fund? 20. Approximately what percentage of your clients has invested in the private fund? 8% Private Offering 21. Does the private fund rely on an exemption from registration of its securities under Regulation D of the Securities Act of 1933? 22. If yes, provide the private funds Form D file number (if any): No Information Filed B. SERVICE PROVIDERS Auditors 23. (a) (1) Are the private funds financial statements subject to an annual audit? (2) Are the financial statements prepared in accordance with U.S. GAAP? Yes No € Yes No Yes No r r If the answer to 23(a)(1) is "yes." respond to questions (b) through (f) below. If the private fund uses more than one auditing firm, you must complete questions (b) through (f) separately for each auditing firm. Additional Auditor Information : 1 Record(s) Flied. If the answer to 23(a)(1) is "yes." respond to questions (b) through (f) below. If the private fund uses more than one auditing firm, you must complete questions (b) through (f) separately for each auditing firm. (b) Name of the auditing firm: (c) DELOITTE & TOUCHE LLP The location of the auditing firm's office responsible for the private funds audit (city, state and country): City: State: Country: Yes No (d) Is the auditing firm an independent public accountant? Os) a (e) Is the auditing firm registered with the Public Company Accounting Oversight Board? 0) O (0 If "yes" to (e) above, is the auditing firm subject to regular inspection by the Public Company Accounting Oversight Board in accordance with its rules? € (g) Are the private funds audited financial statements distributed to the private funds investors? Yes No € O EFTA01079404 (h) Does the report prepared by the auditing firm contain an unqualified opinion? r Yes r No i; Report Not Yet Received If you check "Report Not Yet Received," you must promptly file an amendment to your Form ADV to update your response when the report is available. Prime Broker Yes No 24. (a) Does the private fund use one or more prime brokers? r If the answer to 24(a) is "yes," respond to questions (b) through (e) below for each prime broker the private fund uses. If the private fund uses more than one prime broker, you must complete questions (b) through (e) separately for each prime broker. No Information Filed Custodian 25. (a) Does the private fund use any custodians (including the prime brokers listed above) to hold some or all of its assets? Yes No e) is If the answer to 25(a) is "yes." respond to questions (b) through (f) below for each custodian the private fund uses. If the private fund uses more than one custodian, you must complete questions (b) through (f) separately for each custodian. Additional Custodian Information : 1 Record(s) Filed. If the answer to 25(a) is "yes." respond to questions (b) through (f) below for each custodian the private fund uses. If the private fund uses more than one custodian, you must complete questions (b) through (f) separately for each custodian. (b) Legal name of custodian: STATE STREET BANK & TRUST CO. (c) Primary business name of custodian: STATE STREET BANK & TRUST CO. (d) The location of the custodian's office responsible for custody of the private funds assets (city. state and country): City: State: Country: (e) Is the custodian a related person of your firm? (f) If the custodian is a broker-dealer, provide its SEC registration number (if any) CRD Number (if any): Administrator Yes No 0 € Yes No 26. (a) Does the private fund use an administrator other than your firm? r r If the answer to 26(a) is "yes," respond to questions (b) through (f) below. If the private fund uses more than one administrator, you must complete questions (b) through (f) separately for each administrator. Additional Administrator Information : 1 Record(s) Filed. If the answer to 26(a) is "yes," respond to questions (b) through (f) below. If the private fund uses more than one administrator, you must complete questions (b) through (f) separately for each administrator. (b) Name of the administrator: ROCKIT SOLUTIONS LLC (c) Location of administrator (city. state and country): City: State: Country: Yes No EFTA01079405 (d) Is the administrator a related person of your firm? (e) Does the administrator prepare and send investor account statements to the private funds investors? is Yes (provided to all investors) r Some (provided to some but not all investors) r No (provided to no investors) G (f) If the answer to 26(e) is "no" or "some." who sends the investor account statements to the (rest of the) private funds investors? If investor account statements are not sent to the (rest of the) private funds investors, respond "not applicable." 27. During your last fiscal year, what percentage of the private funds assets (by value) was valued by a person, such as an administrator, that is not your related person? 0% Include only those assets where (i) such person carried out the valuation procedure established for that asset, if any. including obtaining any relevant quotes, and (ii) the valuation used for purposes of investor subscriptions, redemptions or distributions, and fee calculations (including allocations) was the valuation determined by such person. Marketers 28. (a) Does the private fund use the services of someone other than you or your employees for marketing purposes? Yes No r You must answer "yes" whether the person acts as a placement agent, consultant, finder, introducer, municipal advisor or other solicitor, or similar person. If the answer to 28(a) is "yes", respond to questions (b) through (g) below for each such marketer the private fund uses. If the private fund uses more than one marketer you must complete questions (b) through (g) separately for each marketer. No Information Filed A. PRIVATE FUND Information About the Private Fund 1. (a) Name of the private fund: ROCKEFELLER GLOBAL EQUITY FUND II OP LP (b) Private fund identification number: (include the "805-" prefix also) 2. Under the laws of what state or country is the private fund organized: State: Country: Delaware United States 3. Name(s) of General Partner, Manager, Trustee, or Directors (or persons serving in a similar capacity): Name of Genemi Partner, Manager, Trustee, or Director • & CO., INC. 4. The private fund (check all that apply; you must check at least one): (1) qualifies for the exclusion from the definition of investment company under section 3(c)(1) of the Investment Company Act of 1940 17 (2) qualifies for the exclusion from the definition of investment company under section 3(c)(7) of the Investment Company Act of 1940 5. List the name and country. in English. of each foreign financial regulatory authority with which the private fund is registered. No Information Filed Yes No 6. (a) Is this a "master fund" in a master-feeder arrangement? (b) If yes. what is the name and private fund identification number (if any) of the feeder funds investing in this private fund? No Information Filed (c) Is this a "feeder fund" in a master-feeder arrangement? (d) If yes. what is the name and private fund identification number (if any) of the master fund in which this private fund invests? Name of the Private Fund: Yes No s EFTA01079406 Private Fund Identification Number: (include the "805-" prefix also) NOTE: You must complete question 6 for each master-feeder arrangement regardless of whether you are filing a single Schedule D, Section 7.B.(1). for the master-feeder arrangement or reporting on the funds separately. 7. If you are filing a single Schedule D, Section 7.B.(1) for a master-feeder arrangement according to the instructions to this Section 7.B.(1), for each of the feeder funds answer the following questions: No Information Filed NOTE: For purposes of questions 6 and 7, in a master-feeder arrangement. one or more funds ("feeder funds") invest all or substantially all of their assets in a single fund ("master fund"). A fund would also be a "feeder fund" investing in a "master fund" for purposes of this question if it issued multiple classes (or series) of shares or interests, and each class (or series) invests substantially all of its assets in a single master fund. 8. (a) Is this private fund a "fund of funds"? (b) If yes, does the private fund invest in funds managed by you or by a related person? NOTE: For purposes of this question only. answer "yes" if the fund invests 10 percent or more of its total assets in other pooled investment vehicles, whether or not they are also private funds, or registered investment companies. 9. During your last fiscal year, did the private fund invest in securities issued by investment companies registered under the Investment Company Act of 1940 (other than "money market funds." to the extent provided in Instruction 6.e.)? Yes No r r r Yes No r a 10. What type of fund is the private fund? r hedge fund r liquidity fund r private equity fund r real estate fund r securitized asset fund r venture capital fund a Other private fund LONG-ONLY INVESTMENT FUND NOTE: For funds of funds, refer to the funds in which the private fund invests. For definitions of these fund types, please see Instruction 6 of the Instructions to Part 1A. 11. Current gross asset value of the private fund: $ 156,367,168 Ownership 12. Minimum investment commitment required of an investor in the private fund: $ 100,000 NOTE: Report the amount routinely required of investors who are not your related persons (even if different from the amount set forth in the organizational documents of the fund). 13. Approximate number of the private funds beneficial owners: 105 14. What is the approximate percentage of the private fund beneficially owned by you and your related persons: 1% 15. What is the approximate percentage of the private fund beneficially owned (in the aggregate) by funds of funds: 0% 16. What is the approximate percentage of the private fund beneficially owned by non-United States persons: 2% Your Advisory Services 17. (a) Are you a subadviser to this private fund? Yes No r (b) If the answer to question 17(a) is "yes," provide the name and SEC file number, if any, of the adviser of the private fund. If the answer to question 17(a) is "no." leave this question blank. No Information Filed EFTA01079407 18. (a) Do any other investment advisers advise the private fund? Yes No r (b) If the answer to question 18(a) is "yes," provide the name and SEC file number, if any, of the other advisers to the private fund. If the answer to question 18(a) is "no." leave this question blank. No Information Filed 19. Are your clients solicited to invest in the private fund? 20. Approximately what percentage of your clients has invested in the private fund? 7% Private Offering 21. Does the private fund rely on an exemption from registration of its securities under Regulation D of the Securities Act of 1933? 22. If yes, provide the private funds Form D file number (if any): Yes No et 0 Yes No € No Information Filed B. SERVICE PROVIDERS Auditors 23. (a) (1) Are the private funds financial statements subject to an annual audit? (2) Are the financial statements prepared in accordance with U.S. GAAP? Yes No r r If the answer to 23(a)(1) is "yes." respond to questions (b) through (f) below. If the private fund uses more than one auditing firm, you must complete questions (b) through (f) separately for each auditing firm. Additional Auditor Information :1 Record(s) Filed. If the answer to 23(a)(1) is "yes." respond to questions (b) through (f) below. If the private fund uses more than one auditing firm, you must complete questions (b) through (f) separately for each auditing firm. (b) Name of the auditing firm: (c) DELOITTE & TOUCHE LLP The location of the auditing firm's office responsible for the private funds audit (city, state and country): City: State: Country: (d) Yes No € Is the auditing firm an independent public accountant? (e) Is the auditing firm registered with the Public Company Accounting Oversight Board? e 0 (0 If "yes" to (e) above, is the auditing firm subject to regular inspection by the Public Company Accounting Oversight Board in € accordance with its rules? Yes No (g) Are the private funds audited financial statements distributed to the private funds investors? € a (h) Does the report prepared by the auditing firm contain an unqualified opinion? r Yes r No a Report Not Yet Received If you check "Report Not Yet Received," you must promptly file an amendment to your Form ADV to update your response when the report is available. Prime Broker 24. (a) Does the private fund use one or more prime brokers? Yes No r G If the answer to 24(a) is "yes," respond to questions (b) through (e) below for each prime broker the private fund uses. If the private fund uses more than one prime broker, you must complete questions (b) through (e) separately for each prime broker. No Information Filed EFTA01079408 Custodian Yes No 25. (a) Does the private fund use any custodians (including the prime brokers listed above) to hold some or all of its assets? 0 0 If the answer to 25(a) is "yes." respond to questions (b) through (f) below for each custodian the private fund uses. If the private fund uses more than one custodian, you must complete questions (b) through (f) separately for each custodian. Additional Custodian Information : 1 Record(s) Filed. If the answer to 25(a) is "yes." respond to questions (b) through (f) below for each custodian the private fund uses. If the private fund uses more than one custodian, you must complete questions (b) through (f) separately for each custodian. (b) Legal name of custodian: (c) Primary business name of custodian: (d) The location of the custodian's office responsible for custody of the private funds assets (city, state and country): City: BOSTON State: Country: Massachusetts United States (e) Is the custodian a related person of your firm? (f) If the custodian is a broker-dealer, provide its SEC registration number (if any) CRD Number (if any): Yes No C 0 Administrator 26. (a) Does the private fund use an administrator other than your firm? Yes No r If the answer to 26(a) is "yes," respond to questions (b) through (f) below. If the private fund uses more than one administrator, you must complete questions (b) through (f) separately for each administrator. Additional Administrator Information : 1 Record(s) Filed. If the answer to 26(a) is "yes," respond to questions (b) through (f) below. If the private fund uses more than one administrator, you must complete questions (b) through (f) separately for each administrator. (b) Name of the administrator: ROCKIT SOLUTIONS LLC (c) Location of administrator (city. state and country): City: State: Country: Yes No (d) Is the administrator a related person of your firm? (e) Does the administrator prepare and send investor account statements to the private funds investors? a Yes (provided to all investors) r Some (provided to some but not all investors) r No (provided to no investors) (f) If the answer to 26(e) is "no" or "some," who sends the investor account statements to the (rest of the) private funds investors? If investor account statements are not sent to the (rest of the) private funds investors, respond "not applicable." 27. During your last fiscal year, what percentage of the private funds assets (by value) was valued by a person, such as an administrator, that is not your related person? 0% EFTA01079409 Include only those assets where (i) such person carried out the valuation procedure established for that asset, if any. including obtaining any relevant quotes, and (ii) the valuation used for purposes of investor subscriptions, redemptions or distributions, and fee calculations (including allocations) was the valuation determined by such person. Marketers Yes No 28. (a) Does the private fund use the services of someone other than you or your employees for marketing purposes? r You must answer "yes" whether the person acts as a placement agent, consultant, finder, introducer, municipal advisor or other solicitor, or similar person. If the answer to 28(a) is "yes", respond to questions (b) through (g) below for each such marketer the private fund uses. If the private fund uses more than one marketer you must complete questions (b) through (g) separately for each marketer. No Information Filed A. PRIVATE FUND Information About the Private Fund 1. (a) Name of the private fund: ROCKEFELLER GLOBAL FINANCIAL SERVICES RECOVERY FUND LLC (b) Private fund identification number: (include the "805-" prefix also) 2. Under the laws of what state or country is the private fund organized: State: Country: Delaware United States 3. Name(s) of General Partner, Manager, Trustee, or Directors (or persons serving in a similar capacity): Name of General Partner, Manager, Trnstee, or Director • FUND MANAGERS. LLC 4. The private fund (check all that apply; you must check at least one): 17 (1 ) qualifies for the exclusion from the definition of investment company under section 3(c)(1) of the Investment Company Act of 1940 r (2) qualifies for the exclusion from the definition of investment company under section 3(c)(7) of the Investment Company Act of 1940 5. List the name and country. in English. of each foreign financial regulatory authority with which the private fund is registered. No Information Filed 6. (a) Is this a "master fund" in a master-feeder arrangement? (b) If yes. what is the name and private fund identification number (if any) of the feeder funds investing in this private fund? Yes No 0 € No Information Filed (c) Is this a "feeder fund" in a master-feeder arrangement? (d) If yes. what is the name and private fund identification number (if any) of the master fund in which this private fund invests? Name of the Private Fund: Private Fund Identification Number: (include the "805-" prefix also) Yes No 0 € NOTE: You must complete question 6 for each master-feeder arrangement regardless of whether you are filing a single Schedule D, Section 7.B.(1). for the master-feeder arrangement or reporting on the funds separately. 7. If you are filing a single Schedule D, Section 7.B.(1) for a master-feeder arrangement according to the instructions to this Section 7.6.(1), for each of the feeder funds answer the following questions: No Information Filed EFTA01079410 NOTE: For purposes of questions 6 and 7, in a master-feeder arrangement. one or more funds ("feeder funds") invest all or substantially all of their assets in a single fund ("master fund"). A fund would also be a "feeder fund" investing in a "master fund" for purposes of this question if it issued multiple classes (or series) of shares or interests, and each class (or series) invests substantially all of its assets in a single master fund. 8. (a) Is this private fund a "fund of funds"? (b) If yes, does the private fund invest in funds managed by you or by a related person? NOTE: For purposes of this question only. answer "yes" if the fund invests 10 percent or more of its total assets in other pooled investment vehicles, whether or not they are also private funds, or registered investment companies. 9. During your last fiscal year, did the private fund invest in securities issued by investment companies registered under the Investment Company Act of 1940 (other than "money market funds." to the extent provided in Instruction 6.e.)? Yes No r r r Yes No r 10. What type of fund is the private fund? a hedge fund r liquidity fund r private equity fund r real estate fund r securitized asset fund r venture capital fund r Other private fund NOTE: For funds of funds, refer to the funds in which the private fund invests. For definitions of these fund types, please see Instruction 6 of the Instructions to Part 1A. 11. Current gross asset value of the private fund: $ 27,631,081 Ownership 12. Minimum investment commitment required of an investor in the private fund: $ 100,000 NOTE: Report the amount routinely required of investors who are not your related persons (even if different from the amount set forth in the organizational documents of the fund). 13. Approximate number of the private funds beneficial owners: 12 14. What is the approximate percentage of the private fund beneficially owned by you and your related persons: 1% 15. What is the approximate percentage of the private fund beneficially owned (in the aggregate) by funds of funds: 0% 16. What is the approximate percentage of the private fund beneficially owned by non-United States persons: 0% Your Advisory Services 17. (a) Are you a subadviser to this private fund? Yes No (b) If the answer to question 17(a) is "yes," provide the name and SEC file number, if any, of the adviser of the private fund. If the answer to question 17(a) is "no." leave this question blank. No Information Filed 18. (a) Do any other investment advisers advise the private fund? r lr H Yes No r (b) If the answer to question 18(a) is "yes," provide the name and SEC file number, if any, of the other advisers to the private fund. If the answer to question 18(a) is "no." leave this question blank. No Information Filed Yes No 19. Are your clients solicited to invest in the private fund? 20. Approximately what percentage of your clients has invested in the private fund? 1% Private Offering EFTA01079411 Yes No 21. Does the private fund rely on an exemption from registration of its securities under Regulation D of the Securities Act of 1933? 22. If yes, provide the private funds Form D file number (if any): 01 O B. SERVICE PROVIDERS Auditors 23. (a) (1) Are the private funds financial statements subject to an annual audit? (2) Are the financial statements prepared in accordance with U.S. GAAP? Yes No r r If the answer to 23(a)(1) is "yes." respond to questions (b) through (f) below. If the private fund uses more than one auditing firm, you must complete questions (b) through (f) separately for each auditing firm. Additional Auditor Information :1 Record(s) Filed. If the answer to 23(a)(1) is "yes." respond to questions (b) through (f) below. If the private fund uses more than one auditing firm, you must complete questions (b) through (f) separately for each auditing firm. (b) Name of the auditing firm: DELOITTE & TOUCHE LLP (c) The location of the auditing firm's office responsible for the private funds audit (city, state and country): City: State: Country: STAMFORD Connecticut United States (d) Is the auditing firm an independent public accountant? (e) Is the auditing firm registered with the Public Company Accounting Oversight Board? (f) If "yes" to (e) above, is the auditing firm subject to regular inspection by the Public Company Accounting Oversight Board in accordance with its rules? Yes No 01) O re (3 Yes No (g) Are the private funds audited financial statements distributed to the private funds investors? s (h) Does the report prepared by the auditing firm contain an unqualified opinion? r Yes r No a Report Not Yet Received If you check "Report Not Yet Received," you must promptly file an amendment to your Form ADV to update your response when the report is available. Prime Broker 24. (a) Does the private fund use one or more prime brokers? Yes No r If the answer to 24(a) is "yes," respond to questions (b) through (e) below for each prime broker the private fund uses. If the private fund uses more than one prime broker, you must complete questions (b) through (e) separately for each prime broker. Additional Prime Broker Information : 1 Record(s) Filed. If the answer to 24(a) is "yes," respond to questions (b) through (e) below for each prime broker the private fund uses. If the private fund uses more than one prime broker, you must complete questions (b) through (e) separately for each prime broker. (b) Name of the prime broker: J.P. MORGAN SECURITIES LLC (c) ker is registered with the SEC, its registration number: CRD Number (if any): EFTA01079412 (d) Location of prime broker's office used principally by the private fund (city, state and country): Yes No (e) Does this prime broker act as custodian for some or all of the private funds assets? Custodian 25. (a) Does the private fund use any custodians (including the prime brokers listed above) to hold some or all of its assets? G Yes No s If the answer to 25(a) is "yes." respond to questions (b) through (f) below for each custodian the private fund uses. If the private fund uses more than one custodian, you must complete questions (b) through (f) separately for each custodian. Additional Custodian Information : 2 Record(s) Filed. If the answer to 25(a) is "yes." respond to questions (b) through (f) below for each custodian the private fund uses. If the private fund uses more than one custodian, you must complete questions (b) through (f) separately for each custodian. (b) Legal name of custodian: J.P. MORGAN PRIVATE BANK (c) Primary business name of custodian: J.P. MORGAN PRIVATE BANK (d) The location of the custodian's office responsible for custody of the private funds assets (city, state and country): City: State: Country: (e) Is the custodian a related person of your firm? (f) If the custodian is a broker-dealer, provide its SEC registration number (if any) CRD Number (if any): Yes No G If the answer to 25(a) is "yes." respond to questions (b) through (f) below for each custodian the private fund uses. If the private fund uses more than one custodian, you must complete questions (b) through (f) separately for each custodian. (b) Legal name of custodian: J.P. MORGAN SECURITIES LLC (c) Primary business name of custodian: J.P. MORGAN SECURITIES LLC (d) The location of the custodian's office responsible for custody of the private funds assets (city, state and country): City: State: Country: NEW YORK New York United States (e) Is the custodian a related person of your firm? (1) If the custodian is a broker-dealer, provide its SEC registration number (if any) MM. Slumber (if any): Yes No G Administrator Yes No 26. (a) Does the private fund use an administrator other than your firm? 05 If the answer to 26(a) is "yes," respond to questions (b) through (f) below. If the private fund uses more than one administrator, you must EFTA01079413 complete questions (b) through (1) separately for each administrator. Additional Administrator Information : 1 Record(s) Filed. If the answer to 26(a) is "yes," respond to questions (b) through (f) below. If the private fund uses more than one administrator, you must complete questions (b) through (f) separately for each administrator. (b) Name of the administrator: ROCKIT SOLUTIONS LLC (c) Location of administrator (city. state and country): City: State: Country: STAMFORD Connecticut United States Yes No (d) Is the administrator a related person of your firm? (e) Does the administrator prepare and send investor account statements to the private funds investors? . Yes (provided to all investors) r Some (provided to some but not all investors) r No (provided to no investors) G (f) If the answer to 26(e) is "no" or "some," who sends the investor account statements to the (rest of the) private funds investors? If investor account statements are not sent to the (rest of the) private funds investors, respond "not applicable." 27. During your last fiscal year, what percentage of the private funds assets (by value) was valued by a person, such as an administrator, that is not your related person? 0% Include only those assets where (i) such person carried out the valuation procedure established for that asset, if any. including obtaining any relevant quotes, and (ii) the valuation used for purposes of investor subscriptions, redemptions or distributions, and fee calculations (including allocations) was the valuation determined by such person. Marketers 28. (a) Does the private fund use the services of someone other than you or your employees for marketing purposes? Yes No r You must answer "yes" whether the person acts as a placement agent, consultant, finder, introducer, municipal advisor or other solicitor, or similar person. If the answer to 28(a) is "yes", respond to questions (b) through (g) below for each such marketer the private fund uses. If the private fund uses more than one marketer you must complete questions (b) through (g) separately for each marketer. No Information Filed A. PRIVATE FUND Information About the Private Fund 1. (a) Name of the private fund: ROCKEFELLER INTERNATIONAL EQUITY FUND II LP (b) Private fund identification number: (include the "805-" prefix also) 2. Under the laws of what state or country is the private fund organized: State: Country: Delaware United States 3. Name(s) of General Partner. Manager, Trustee, or Directors (or persons serving in a similar capacity): Name of General Partner, Manager, Trustee, or Director • & CO., INC. 4. The private fund (check all that apply; you must check at least one): EFTA01079414 (7 (1) qualifies for the exclusion from the definition of investment company under section 3(c)(1) of the Investment Company Act of 1940 r (2) qualifies for the exclusion from the definition of investment company under section 3(c)(7) of the Investment Company Act of 1940 5. List the name and country. in English. of each foreign financial regulatory authority with which the private fund is registered. No Information Filed Yes No 6. (a) Is this a "master fund" in a master-feeder arrangement? (b) If yes. what is the name and private fund identification number (if any) of the feeder funds investing in this private fund? 0 € No Information Filed (c) Is this a "feeder fund" in a master-feeder arrangement? (d) If yes. what is the name and private fund identification number (if any) of the master fund in which this private fund invests? Name of the Private Fund: Private Fund Identification Number: (include the "805-" prefix also) Yes No r NOTE: You must complete question 6 for each master-feeder arrangement regardless of whether you are filing a single Schedule D, Section 7.B.(1). for the master-feeder arrangement or reporting on the funds separately. 7. If you are filing a single Schedule D, Section 7.B.(1) for a master-feeder arrangement according to the instructions to this Section 7.6.(1), for each of the feeder funds answer the following questions: No Information Filed NOTE: For purposes of questions 6 and 7, in a master-feeder arrangement. one or more funds ("feeder funds") invest all or substantially all of their assets in a single fund ("master fund"). A fund would also be a "feeder fund" investing in a "master fund" for purposes of this question if it issued multiple classes (or series) of shares or interests, and each class (or series) invests substantially all of its assets in a single master fund. 8. (a) Is this private fund a "fund of funds"? (b) If yes, does the private fund invest in funds managed by you or by a related person? NOTE: For purposes of this question only. answer "yes" if the fund invests 10 percent or more of its total assets in other pooled investment vehicles, whether or not they are also private funds, or registered investment companies. 9. During your last fiscal year, did the private fund invest in securities issued by investment companies registered under the Investment Company Act of 1940 (other than "money market funds." to the extent provided in Instruction 6.e.)? Yes No r r Yes No 10. What type of fund is the private fund? r hedge fund r liquidity fund r private equity fund r real estate fund r securitized asset fund r venture capital fund a Other private fund LONG-ONLY INVESTMENT FUND NOTE: For funds of funds, refer to the funds in which the private fund invests. For definitions of these fund types, please see Instruction 6 of the Instructions to Part 1A. 11. Current gross asset value of the private fund: $ 82,790,149 Ownership 12. Minimum investment commitment required of an investor in the private fund: $ 100,000 NOTE: Report the amount routinely required of investors who are not your related persons (even if different from the amount set forth in the organizational documents of the fund). r 13. Approximate number of the private funds beneficial owners: 27 EFTA01079415 14. What is the approximate percentage of the private fund beneficially owned by you and your related persons: 6% 15. What is the approximate percentage of the private fund beneficially owned (in the aggregate) by funds of funds: 33% 16. What is the approximate percentage of the private fund beneficially owned by non-United States persons: 0% Your Advisory Services 17. (a) Are you a subadviser to this private fund? Yes No (b) If the answer to question 17(a) is "yes," provide the name and SEC file number, if any, of the adviser of the private fund. If the answer to question 17(a) is "no." leave this question blank. r No Information Filed 18. (a) Do any other investment advisers advise the private fund? Yes No C (b) If the answer to question 18(a) is "yes," provide the name and SEC file number, if any, of the other advisers to the private fund. If the answer to question 18(a) is "no." leave this question blank. No Information Filed 19. Are your clients solicited to invest in the private fund? 20. Approximately what percentage of your clients has invested in the private fund? 2% Private Offering 21. Does the private fund rely on an exemption from registration of its securities under Regulation D of the Securities Act of 1933? 22. If yes, provide the private funds Form D file number (if any): Yes No • O Yes No • € No Information Filed B. SERVICE PROVIDERS Auditors 23. (a) (1) Are the private funds financial statements subject to an annual audit? (2) Are the financial statements prepared in accordance with U.S. GAAP? Yes No • r • r If the answer to 23(a)(1) is "yes." respond to questions (b) through (f) below. If the private fund uses more than one auditing firm, you must complete questions (b) through (f) separately for each auditing firm. Additional Auditor Information :1 Record(s) Filed. If the answer to 23(a)(1) is "yes." respond to questions (b) through (f) below. If the private fund uses more than one auditing firm, you must complete questions (b) through (f) separately for each auditing firm. (b) Name of the auditing firm: DELOITTE & TOUCHE LLP (c) The location of the auditing firm's office responsible for the private funds audit (city, state and country): City: State: Country: STAMFORD Connecticut United States (d) Is the auditing firm an independent public accountant? (e) Is the auditing firm registered with the Public Company Accounting Oversight Board? (0 If "yes" to (e) above, is the auditing firm subject to regular inspection by the Public Company Accounting Oversight Board in accordance with its rules? Yes No € O € EFTA01079416 Yes No (g) Are the private funds audited financial statements distributed to the private funds investors? s 0 (h) Does the report prepared by the auditing firm contain an unqualified opinion? r Yes r No a Report Not Yet Received If you check "Report Not Yet Received," you must promptly file an amendment to your Form ADV to update your response when the report is available. Prime Broker 24. (a) Does the private fund use one or more prime brokers? Yes No r If the answer to 24(a) is "yes," respond to questions (b) through (e) below for each prime broker the private fund uses. If the private fund uses more than one prime broker, you must complete questions (b) through (e) separately for each prime broker. No Information Filed Custodian Yes No 25. (a) Does the private fund use any custodians (including the prime brokers listed above) to hold some or all of its assets? If the answer to 25(a) is "yes." respond to questions (b) through (f) below for each custodian the private fund uses. If the private fund uses more than one custodian, you must complete questions (b) through (f) separately for each custodian. C Additional Custodian Information : 1 Record(s) Filed. If the answer to 25(a) is "yes." respond to questions (b) through (f) below for each custodian the private fund uses. If the private fund uses more than one custodian, you must complete questions (b) through (f) separately for each custodian. (b) Legal name of custodian: STATE STREET BANK & TRUST CO. (c) Primary business name of custodian: STATE STREET BANK & TRUST CO. (d) The location of the custodian's office responsible for custody of the private funds assets (city, state and country): City: State: Country: BOSTON Massachusetts United States (e) Is the custodian a related person of your firm? (f) If the custodian is a broker-dealer, provide its SEC registration number (if any) CRD Number (if any): Yes No € Administrator Yes No 26. (a) Does the private fund use an administrator other than your firm? If the answer to 26(a) is "yes," respond to questions (b) through (f) below. If the private fund uses more than one administrator, you must complete questions (b) through (f) separately for each administrator. r Additional Administrator Information : 1 Record(s) Filed. If the answer to 26(a) is "yes," respond to questions (b) through (f) below. If the private fund uses more than one administrator, you must complete questions (b) through (f) separately for each administrator. (b) Name of the administrator: ROCKIT SOLUTIONS LLC (c) Location of administrator (city. state and country): EFTA01079417 City: State: Country: STAMFORD Connecticut United States Yes No (d) Is the administrator a related person of your firm? G (e) Does the administrator prepare and send investor account statements to the private funds investors? is Yes (provided to all investors) r Some (provided to some but not all investors) r No (provided to no investors) (f) If the answer to 26(e) is "no" or "some." who sends the investor account statements to the (rest of the) private funds investors? If investor account statements are not sent to the (rest of the) private funds investors, respond "not applicable." 27. During your last fiscal year, what percentage of the private funds assets (by value) was valued by a person, such as an administrator, that is not your related person? 0% Include only those assets where (i) such person carried out the valuation procedure established for that asset, if any. including obtaining any relevant quotes, and (ii) the valuation used for purposes of investor subscriptions, redemptions or distributions, and fee calculations (including allocations) was the valuation determined by such person. Marketers 28. (a) Does the private fund use the services of someone other than you or your employees for marketing purposes? Yes No r You must answer "yes" whether the person acts as a placement agent, consultant, finder, introducer, municipal advisor or other solicitor, or similar person. If the answer to 28(a) is "yes", respond to questions (b) through (g) below for each such marketer the private fund uses. If the private fund uses more than one marketer you must complete questions (b) through (g) separately for each marketer. No Information Filed 1 H. PRIVATE FUND Information About the Private Fund 1. (a) Name of the private fund: ROCKEFELLER OCEAN FUND, L.P. (b) Private fund identification number: (include the "805-" prefix also) 2. Under the laws of what state or country is the private fund organized: State: Delaware Country: United States 3. Name(s) of General Partner, Manager, Trustee, or Directors (or persons serving in a similar capacity): ROCKEFELLER & CO., INC. 4. The private fund (check all that apply; you must check at least one): 17 (1 ) qualifies for the exclusion from the definition of investment company under section 3(c)(1) of the Investment Company Act of 1940 r (2) qualifies for the exclusion from the definition of investment company under section 3(c)(7) of the Investment Company Act of 1940 5. List the name and country. in English. of each foreign financial regulatory authority with which the private fund is registered. L No Information Filed 6. (a) Is this a "master fund" in a master-feeder arrangement? (b) If yes. what is the name and private fund identification number (if any) of the feeder funds investing in this private fund? Yes No No Information Filed Yes No EFTA01079418 (c) Is this a "feeder fund" in a master-feeder arrangement? (d) If yes. what is the name and private fund identification number (if any) of the master fund in which this private fund invests? Name of the Private Fund: • € Private Fund Identification Number: (include the "805-" prefix also) NOTE: You must complete question 6 for each master-feeder arrangement regardless of whether you are filing a single Schedule D, Section 7.B.(1). for the master-feeder arrangement or reporting on the funds separately. 7. If you are filing a single Schedule D, Section 7.B.(1) for a master-feeder arrangement according to the instructions to this Section 7.B.(1), for each of the feeder funds answer the following questions: No Information Filed NOTE: For purposes of questions 6 and 7, in a master-feeder arrangement. one or more funds ("feeder funds") invest all or substantially all of their assets in a single fund ("master fund"). A fund would also be a "feeder fund" investing in a "master fund" for purposes of this question if it issued multiple classes (or series) of shares or interests, and each class (or series) invests substantially all of its assets in a single master fund. 8. (a) Is this private fund a "fund of funds"? (b) If yes, does the private fund invest in funds managed by you or by a related person? NOTE: For purposes of this question only. answer "yes" if the fund invests 10 percent or more of its total assets in other pooled investment vehicles, whether or not they are also private funds, or registered investment companies. 9. During your last fiscal year, did the private fund invest in securities issued by investment companies registered under the Investment Company Act of 1940 (other than "money market funds." to the extent provided in Instruction 6.e.)? Yes No 0 S O 0 Yes No • € 10. What type of fund is the private fund? r hedge fund r liquidity fund r private equity fund r real estate fund r securitized asset fund r venture capital fund Other private fund LONG-ONLY INVESTMENT FUND NOTE: For funds of funds, refer to the funds in which the private fund invests. For definitions of these fund types, please see Instruction 6 of the Instructions to Part 1A. 11. Current gross asset value of the private fund: $ 19,736,669 Ownership 12. Minimum investment commitment required of an investor in the private fund: $ 100,000 NOTE: Report the amount routinely required of investors who are not your related persons (even if different from the amount set forth in the organizational documents of the fund). 13. Approximate number of the private funds beneficial owners: 13 14. What is the approximate percentage of the private fund beneficially owned by you and your related persons: 5% 15. What is the approximate percentage of the private fund beneficially owned (in the aggregate) by funds of funds: 0% 16. What is the approximate percentage of the private fund beneficially owned by non-United States persons: 0% Your Advisory Services 17. (a) Are you a subadviser to this private fund? Yes No • € EFTA01079419 (b) If the answer to question 17(a) is "yes," provide the name and SEC file number, if any, of the adviser of the private fund. If the answer to question 17(a) is "no," leave this question blank. No Information Filed Yes No 18. (a) Do any other investment advisers advise the private fund? 0 0 (b) If the answer to question 18(a) is "yes," provide the name and SEC file number, if any, of the other advisers to the private fund. If the answer to question 18(a) is "no," leave this question blank. No Information Filed 19. Are your clients solicited to invest in the private fund? 20. Approximately what percentage of your clients has invested in the private fund? 1% Private Offering 21. Does the private fund rely on an exemption from registration of its securities under Regulation D of the Securities Act of 1933? 22. If yes, provide the private funds Form D file number (if any): Yes No G 0 Yes No € B. SERVICE PROVIDERS Auditors Yes No 23. (a) (1) Are the private funds financial statements subject to an annual audit? G 0 (2) Are the financial statements prepared in accordance with U.S. GAAP? 0 0 If the answer to 23(a)(1) is "yes," respond to questions (b) through (f) below. If the private fund uses more than one auditing firm, you must complete questions (b) through (f) separately for each auditing firm. Additional Auditor Information : 1 Record(s) Filed. If the answer to 23(a)(1) is "yes," respond to questions (b) through (f) below. If the private hind uses more than one auditing firm, you must complete questions (b) through (f) separately for each auditing firm. (b) Name of the auditing firm: DELOITTE & TOUCHE LLP (c) The location of the auditing firm's office responsible for the private funds audit (city, state and country): City: State: Country: STAMFORD Connecticut United States (d) Is the auditing firm an independent public accountant? (e) Is the auditing firm registered with the Public Company Accounting Oversight Board? (f) If "yes" to (e) above, is the auditing firm subject to regular inspection by the Public Company Accounting Oversight Board in accordance with its rules? Yes No G 0 0 0 G 0 Yes No (g) Are the private funds audited financial statements distributed to the private funds investors? 0 0 (h) Does the report prepared by the auditing firm contain an unqualified opinion? C Yes O No € Report Not Yet Received If you check "Report Not Yet Received," you must promptly file an amendment to your Form ADV to update your response when the report is available. Prime Broker 24. (a) Does the private fund use one or more prime brokers? Yes No 0 0 EFTA01079420 If the answer to 24(a) is "yes," respond to questions (b) through (e) below for each prime broker the private fund uses. If the private fund uses more than one prime broker, you must complete questions (b) through (e) separately for each prime broker. No Information Filed Custodian Yes No 25. (a) Does the private fund use any custodians (including the prime brokers listed above) to hold some or all of its assets? If the answer to 25(a) is "yes." respond to questions (b) through (f) below for each custodian the private fund uses. If the private fund uses more than one custodian, you must complete questions (b) through (f) separately for each custodian. Additional Custodian Information : 1 Record(s) Filed. r 7 If the answer to 25(a) is "yes." respond to questions (b) through (f) below for each custodian the private fund uses. If the private fund uses more than one custodian, you must complete questions (b) through (f) separately for each custodian. (b) Legal name of custodian: STATE STREET BANK & TRUST CO. (c) Primary business name of custodian: STATE STREET BANK & TRUST CO. (d) The location of the custodian's office responsible for custody of the private funds assets (city, state and country): City: State: Country: (e) Is the custodian a related person of your firm? (f) If the custodian is a broker-dealer, provide its SEC registration number (if any) CRD Number (if any): Administrator 26. (a) Does the private fund use an administrator other than your firm? Yes No a € Yes No a 0 If the answer to 26(a) is "yes," respond to questions (b) through (f) below. If the private fund uses more than one administrator, you must complete questions (b) through (f) separately for each administrator. Additional Administrator Information : 1 Record(s) Filed. If the answer to 26(a) is "yes," respond to questions (b) through (f) below. If the private fund uses more than one administrator, you must complete questions (b) through (f) separately for each administrator. (b) Name of the administrator: ROCKIT SOLUTIONS LLC (c) Location of administrator (city. state and country): City: State: (d) Is the administrator a related person of your firm? Country: (e) Does the administrator prepare and send investor account statements to the private funds investors? a Yes (provided to all investors) r Some (provided to some but not all investors) r No (provided to no investors) Yes No t'!", a (f) If the answer to 26(e) is "no" or "some." who sends the investor account statements to the (rest of the) private funds investors? If investor account statements are not sent to the (rest of the) private funds investors, respond "not applicable." EFTA01079421 27. During your last fiscal year, what percentage of the private funds assets (by value) was valued by a person, such as an administrator, that is not your related person? 0% Include only those assets where (i) such person carried out the valuation procedure established for that asset, if any. including obtaining any relevant quotes, and (ii) the valuation used for purposes of investor subscriptions, redemptions or distributions, and fee calculations (including allocations) was the valuation determined by such person. Marketers Yes No 28. (a) Does the private fund use the services of someone other than you or your employees for marketing purposes? r You must answer "yes" whether the person acts as a placement agent, consultant, finder, introducer, municipal advisor or other solicitor, or similar person. If the answer to 28(a) is "yes", respond to questions (b) through (g) below for each such marketer the private fund uses. If the private fund uses more than one marketer you must complete questions (b) through (g) separately for each marketer. No Information Filed A. PRIVATE FUND Information About the Private Fund 1. (a) Name of the private fund: ROCKEFELLER OPPORTUNISTIC CREDIT FUND LLC (b) Private fund identification number: (include the "805-" prefix also) 2. Under the laws of what state or country is the private fund organized: State: Country: Delaware United States 3. Name(s) of General Partner, Manager, Trustee, or Directors (or persons serving in a similar capacity): Name, of Genemi Partnisr, Manager, Trustee, or Director • FUND MANAGERS. LLC 4. The private fund (check all that apply; you must check at least one): r (1) qualifies for the exclusion from the definition of investment company under section 3(c)(1) of the Investment Company Act of 1940 F7 (2) qualifies for the exclusion from the definition of investment company under section 3(c)(7) of the Investment Company Act of 1940 5. List the name and country. in English. of each foreign financial regulatory authority with which the private fund is registered. No Information Filed Yes No 6. (a) Is this a "master fund" in a master-feeder arrangement? (b) If yes. what is the name and private fund identification number (if any) of the feeder funds investing in this private fund? No Information Filed (c) Is this a "feeder fund" in a master-feeder arrangement? (d) If yes. what is the name and private fund identification number (if any) of the master fund in which this private fund invests? Name of the Private Fund: Private Fund Identification Number: (include the "805-" prefix also) Yes No € NOTE: You must complete question 6 for each master-feeder arrangement regardless of whether you are filing a single Schedule D, Section 7.B.(1). for the master-feeder arrangement or reporting on the funds separately. EFTA01079422 7. If you are filing a single Schedule D, Section 7.B.(1) for a master-feeder arrangement according to the instructions to this Section 7.6.(1), for each of the feeder funds answer the following questions: No Information Filed NOTE: For purposes of questions 6 and 7, in a master-feeder arrangement. one or more funds ("feeder funds") invest all or substantially all of their assets in a single fund ("master fund"). A fund would also be a "feeder fund" investing in a "master fund" for purposes of this question if it issued multiple classes (or series) of shares or interests, and each class (or series) invests substantially all of its assets in a single master fund. 8. (a) Is this private fund a "fund of funds"? (b) If yes, does the private fund invest in funds managed by you or by a related person? NOTE: For purposes of this question only. answer "yes" if the fund invests 10 percent or more of its total assets in other pooled investment vehicles, whether or not they are also private funds, or registered investment companies. 9. During your last fiscal year, did the private fund invest in securities issued by investment companies registered under the Investment Company Act of 1940 (other than "money market funds." to the extent provided in Instruction 6.e.)? Yes No r r Yes No r 10. What type of fund is the private fund? a hedge fund r liquidity fund r private equity fund r real estate fund r securitized asset fund r venture capital fund r Other private fund NOTE: For funds of funds, refer to the funds in which the private fund invests. For definitions of these fund types, please see Instruction 6 of the Instructions to Part 1A. 11. Current gross asset value of the private fund: $ 42,282,246 Ownership 12. Minimum investment commitment required of an investor in the private fund: $ 250,000 NOTE: Report the amount routinely required of investors who are not your related persons (even if different from the amount set forth in the organizational documents of the fund). 13. Approximate number of the private funds beneficial owners: 46 14. What is the approximate percentage of the private fund beneficially owned by you and your related persons: 2% 15. What is the approximate percentage of the private fund beneficially owned (in the aggregate) by funds of funds: 0% 16. What is the approximate percentage of the private fund beneficially owned by non-United States persons: 0% Your Advisory Services 17. (a) Are you a subadviser to this private fund? Yes No (b) If the answer to question 17(a) is "yes," provide the name and SEC file number, if any, of the adviser of the private fund. If the answer to question 17(a) is "no." leave this question blank. r a No Information Filed 18. (a) Do any other investment advisers advise the private fund? Yes No r (b) If the answer to question 18(a) is "yes," provide the name and SEC file number, if any, of the other advisers to the private fund. If the answer to question 18(a) is "no." leave this question blank. No Information Filed 19. Are your clients solicited to invest in the private fund? Yes No ai 0 EFTA01079423 20. Approximately what percentage of your clients has invested in the private fund? 4% Private Offering Yes No 21. Does the private fund rely on an exemption from registration of its securities under Regulation D of the Securities Act of 1933? tI) 0 22. If yes, provide the private funds Form D file number (if any): Form DM° number 021-134600 B. SERVICE PROVIDERS Auditors 23. (a) (1) Are the private funds financial statements subject to an annual audit? (2) Are the financial statements prepared in accordance with U.S. GAAP? Yes No r r If the answer to 23(a)(1) is "yes." respond to questions (b) through (f) below. If the private fund uses more than one auditing firm, you must complete questions (b) through (f) separately for each auditing firm. Additional Auditor Information :1 Record(s) Filed. If the answer to 23(a)(1) is "yes." respond to questions (b) through (f) below. If the private fund uses more than one auditing firm, you must complete questions (b) through (f) separately for each auditing firm. (b) Name of the auditing firm: DELOITTE & TOUCHE LLP (c) The location of the auditing firm's office responsible for the private funds audit (city, state and country): City: State: Country: (d) Is the auditing firm an independent public accountant? (e) Is the auditing firm registered with the Public Company Accounting Oversight Board? (f) If "yes" to (e) above, is the auditing firm subject to regular inspection by the Public Company Accounting Oversight Board in accordance with its rules? Yes No G 0 G 0 G 0 Yes No (g) Are the private funds audited financial statements distributed to the private funds investors? G (h) Does the report prepared by the auditing firm contain an unqualified opinion? r Yes r No a Report Not Yet Received If you check "Report Not Yet Received," you must promptly file an amendment to your Form ADV to update your response when the report is available. Prime Broker 24. (a) Does the private fund use one or more prime brokers? Yes No 0 G If the answer to 24(a) is "yes," respond to questions (b) through (e) below for each prime broker the private fund uses. If the private fund uses more than one prime broker, you must complete questions (b) through (e) separately for each prime broker. No Information Filed Custodian Yes No 25. (a) Does the private fund use any custodians (including the prime brokers listed above) to hold some or all of its assets? If the answer to 25(a) is "yes." respond to questions (b) through (f) below for each custodian the private fund uses. If the private fund uses more than one custodian, you must complete questions (b) through (f) separately for each custodian. r EFTA01079424 Additional Custodian Information : 1 Record(s) Filed. It the answer to 25(a) is "yes." respond to questions (b) through (f) below for each custodian the private fund uses. If the private fund uses more than one custodian, you must complete questions (b) through (f) separately for each custodian. (b) Legal name of custodian: STATE STREET BANK & TRUST CO. (c) Primary business name of custodian: STATE STREET BANK & TRUST CO. (d) The location of the custodian's office responsible for custody of the private funds assets (city, state and country): City: State: Country: Yes No (e) Is the custodian a related person of your firm? (f) If the custodian is a broker-dealer, provide its SEC registration number (if any) CRD Number (if any): 0 G Administrator Yes No 26. (a) Does the private fund use an administrator other than your firm? (!) If the answer to 26(a) is "yes," respond to questions (b) through (f) below. If the private fund uses more than one administrator, you must complete questions (b) through (f) separately for each administrator. Additional Administrator Information : 1 Record(s) Filed. If the answer to 26(a) is "yes," respond to questions (b) through (f) below. If the private fund uses more than one administrator, you must complete questions (b) through (f) separately for each administrator. (b) Name of the administrator: ROCKIT SOLUTIONS LLC (c) Location of administrator (city. state and country): City: State: Country: STAMFORD Connecticut United States (d) Is the administrator a related person of your firm? (e) Does the administrator prepare and send investor account statements to the private funds investors? a Yes (provided to all investors) r Some (provided to some but not all investors) r No (provided to no investors) Yes No G (f) If the answer to 26(e) is "no" or "some," who sends the investor account statements to the (rest of the) private funds investors? If investor account statements are not sent to the (rest of the) private funds investors, respond "not applicable." 27. During your last fiscal year, what percentage of the private funds assets (by value) was valued by a person, such as an administrator, that is not your related person? 0% Include only those assets where (i) such person carried out the valuation procedure established for that asset, if any. including obtaining any relevant quotes, and (a) the valuation used for purposes of investor subscriptions, redemptions or distributions, and fee calculations (including allocations) was the valuation determined by such person. Marketers 28. (a) Does the private fund use the services of someone other than you or your employees for marketing purposes? Yes No 0 O EFTA01079425 You must answer "yes" whether the person acts as a placement agent, consultant, finder, introducer, municipal advisor or other solicitor, or similar person. If the answer to 28(a) is "yes", respond to questions (b) through (g) below for each such marketer the private fund uses. If the private fund uses more than one marketer you must complete questions (b) through (g) separately for each marketer. No Information Filed A. PRIVATE Information FUND About the Private Fund 1. 2. 3. 4. 5. 6. 7. 8. (a) (b) Under Name(s) Name of the private ROCKEFELLER SPECIAL Private fund identification (include the "805-" fund: GLOBAL OPPORTUNITIES DISTRESSED FUND LLC number: prefix also) state or country is the private fund organized: Country: United States Manager, Trustee, or Directors (or persons serving in a similar capacity): the laws of what State: Delaware of General Partner, Name of General Partner, Manager, Trustee, or Director ROCKEFELLER & CO., INC. The private fund (check all that apply; you must check at least one): E.0 (1) qualifies for the exclusion from the definition of investment company under section 3(c)(1) of the Investment Company Act of 1940 ■ (2) qualifies for the exclusion from the definition of investment company under section 3(c)(7) of the Investment Company Act of 1940 List the name and country, in English, of each foreign financial regulatory authority with which the private fund is registered. No Information Filed Yes No (a) Is this a "master fund" in a master-feeder arrangement? 0 a (b) If yes, what is the name and private fund identification number (if any) of the feeder funds investing in this private fund? No Information Filed Yes No (c) is this a "feeder fund" in a master-feeder arrangement? 0 a (d) If yes, what is the name and private fund identification number (if any) of the master fund in which this private fund invests? Name of the Private Fund: Private Fund Identification Number: (include the "805-" prefix also) NOTE: You must complete question 6 for each master-feeder arrangement regardless of whether you are filing a single Schedule D, Section 7.B.(1). for the master-feeder arrangement or reporting on the funds separately. If you are filing a single Schedule D, Section 7.B.(1) for a master-feeder arrangement according to the instructions to this Section 7.B.(1), for each of the feeder funds answer the following questions: No Information Filed NOTE: For purposes of questions 6 and 7, in a master-feeder arrangement, one or more funds ("feeder funds") invest all or substantially all of their assets in a single fund ("master fund"). A fund would also be a "feeder fund" investing in a "master fund" for purposes of this question if it issued multiple classes (or series) of shares or interests, and each class (or series) invests substantially all of its assets in a single master fund. Yes No (a) is this private fund a "fund of funds"? a a EFTA01079426 (b) If yes, does the private fund invest in funds managed by you or by a related person? NOTE: For purposes of this question only. answer "yes" if the fund invests 10 percent or more of its total assets in other pooled investment vehicles, whether or not they are also private funds, or registered investment companies. Yes No 9. During your last fiscal year, did the private fund invest in securities issued by investment companies registered under the Investment Company Act of 1940 (other than "money market funds." to the extent provided in Instruction 6.e.)? r 10. What type of fund is the private fund? r hedge fund r liquidity fund r private equity fund r real estate fund r securitized asset fund r venture capital fund a Other private fund PRIVATE EQUITY/REAL ESTATE NOTE: For funds of funds, refer to the funds in which the private fund invests. For definitions of these fund types, please see Instruction 6 of the Instructions to Part 1A. 11. Current gross asset value of the private fund: $ 21,074,859 Ownership 12. Minimum investment commitment required of an investor in the private fund: $ 500,000 NOTE: Report the amount routinely required of investors who are not your related persons (even if different from the amount set forth in the organizational documents of the fund). 13. Approximate number of the private funds beneficial owners: 50 14. What is the approximate percentage of the private fund beneficially owned by you and your related persons: 0% 15. What is the approximate percentage of the private fund beneficially owned (in the aggregate) by funds of funds: 2% 16. What is the approximate percentage of the private fund beneficially owned by non-United States persons: 0% Your Advisory Services 17. (a) Are you a subadviser to this private fund? Yes No (b) If the answer to question 17(a) is "yes," provide the name and SEC file number, if any, of the adviser of the private fund. If the answer to question 17(a) is "no." leave this question blank. r No Information Filed 18. (a) Do any other investment advisers advise the private fund? Yes No r (b) If the answer to question 18(a) is "yes," provide the name and SEC file number, if any, of the other advisers to the private fund. If the answer to question 18(a) is "no." leave this question blank. No Information Filed 19. Are your clients solicited to invest in the private fund? 20. Approximately what percentage of your clients has invested in the private fund? 3% Private Offering 21. Does the private fund rely on an exemption from registration of its securities under Regulation D of the Securities Act of 1933? 22. If yes, provide the private funds Form D file number (if any): Yes No 0 G Yes No G EFTA01079427 B. SERVICE PROVIDERS Auditors 23. (a) (1) Are the private funds financial statements subject to an annual audit? (2) Are the financial statements prepared in accordance with U.S. GAAP? Yes No • r • r If the answer to 23(a)(1) is "yes." respond to questions (b) through (f) below. If the private fund uses more than one auditing firm, you must complete questions (b) through (f) separately for each auditing firm. Additional Auditor Information : 1 Record(s) Filed. If the answer to 23(a)(1) is "yes." respond to questions (b) through (f) below. If the private fund uses more than one auditing firm, you must complete questions (b) through (f) separately for each auditing firm. (b) Name of the auditing firm: DELOITTE & TOUCHE LLP (c) The location of the auditing firm's office responsible for the private funds audit (city, state and country): City: State: Country: (d) Is the auditing firm an independent public accountant? (e) Is the auditing firm registered with the Public Company Accounting Oversight Board? (f) If "yes" to (e) above, is the auditing firm subject to regular inspection by the Public Company Accounting Oversight Board in accordance with its rules? Yes No 07 Yes No (g) Are the private funds audited financial statements distributed to the private funds investors? 0 (h) Does the report prepared by the auditing firm contain an unqualified opinion? r Yes r No a Report Not Yet Received If you check "Report Not Yet Received," you must promptly file an amendment to your Form ADV to update your response when the report is available. Prime Broker 24. (a) Does the private fund use one or more prime brokers? Yes No r If the answer to 24(a) is "yes," respond to questions (b) through (e) below for each prime broker the private fund uses. If the private fund uses more than one prime broker, you must complete questions (b) through (e) separately for each prime broker. No Information Filed Custodian 25. (a) Does the private fund use any custodians (including the prime brokers listed above) to hold some or all of its assets? 1 Yes No (;) 0 If the answer to 25(a) is "yes," respond to questions (b) through (f) below for each custodian the private fund uses. If the private fund uses more than one custodian, you must complete questions (b) through (f) separately for each custodian. Additional Custodian Information : 1 Record(s) Filed. If the answer to 25(a) is "yes." respond to questions (b) through (f) below for each custodian the private fund uses. If the private fund uses more than one custodian, you must complete questions (b) through (f) separately for each custodian. (b) Legal name of custodian: STATE STREET BANK & TRUST CO. (c) Primary business name of custodian: STATE STREET BANK & TRUST CO. EFTA01079428 (d) The location of the custodian's office responsible for custody of the private funds assets (city, state and country): City: State: Country: BOSTON Massachusetts United States Yes No (e) Is the custodian a related person of your firm? 0 € (f) If the custodian is a broker-dealer, provide its SEC registration number (if any) CRD Number (if any): Administrator Yes No 26. (a) Does the private fund use an administrator other than your firm? C If the answer to 26(a) is "yes," respond to questions (b) through (f) below. If the private fund uses more than one administrator, you must complete questions (b) through (f) separately for each administrator. Additional Administrator Information : 1 Record(s) Filed. If the answer to 26(a) is "yes," respond to questions (b) through (f) below. If the private fund uses more than one administrator, you must complete questions (b) through (f) separately for each administrator. (b) Name of the administrator: ROCKIT SOLUTIONS LLC (c) Location of administrator (city, state and country): City: State: Country: STAMFORD Connecticut United States Yes No (d) Is the administrator a related person of your firm? (e) Does the administrator prepare and send investor account statements to the private funds investors? a Yes (provided to all investors) r Some (provided to some but not all investors) r No (provided to no investors) (F., 0 (f) If the answer to 26(e) is "no" or "some." who sends the investor account statements to the (rest of the) private funds investors? If investor account statements are not sent to the (rest of the) private funds investors, respond "not applicable." 27. During your last fiscal year, what percentage of the private funds assets (by value) was valued by a person, such as an administrator, that is not your related person? 0% Include only those assets where (i) such person carried out the valuation procedure established for that asset, if any. including obtaining any relevant quotes, and (ii) the valuation used for purposes of investor subscriptions, redemptions or distributions, and fee calculations (including allocations) was the valuation determined by such person. Marketers 28. (a) Does the private fund use the services of someone other than you or your employees for marketing purposes? Yes No r rti You must answer "yes" whether the person acts as a placement agent, consultant, finder, introducer, municipal advisor or other solicitor, or similar person. If the answer to 28(a) is "yes", respond to questions (b) through (g) below for each such marketer the private fund uses. If the private fund uses more than one marketer you must complete questions (b) through (g) separately for each marketer. No Information Filed A. PRIVATE FUND Information About the Private Fund EFTA01079429 1. (a) Name of the private fund: ROCKEFELLER SUSTAINABILITY & IMPACT SMID CAP FUND LP (b) Private fund identification number: (include the "805-" prefix also) 805-6438853271 2. Under the laws of what state or country is the private fund organized: State: Delaware Country: United States 3. Name(s) of General Partner, Manager, Trustee, or Directors (or persons serving in a similar capacity): ROCKEFELLER & CO., INC 4. The private fund (check all that apply; you must check at least one): 17 (1 ) qualifies for the exclusion from the definition of investment company under section 3(c)(1) of the Investment Company Act of 1940 r (2) qualifies for the exclusion from the definition of investment company under section 3(c)(7) of the Investment Company Act of 1940 5. List the name and country. in English. of each foreign financial regulatory authority with which the private fund is registered. No Information Filed 6. (a) Is this a "master fund" in a master-feeder arrangement? (b) If yes. what is the name and private fund identification number (if any) of the feeder funds investing in this private fund? L No Information Filed (c) Is this a "feeder fund" in a master-feeder arrangement? (d) If yes. what is the name and private fund identification number (if any) of the master fund in which this private fund invests? Name of the Private Fund: Private Fund Identification Number: (include the "805-" prefix also) Yes No O € Yes No O € NOTE: You must complete question 6 for each master-feeder arrangement regardless of whether you are filing a single Schedule D, Section 7.B.(1). for the master-feeder arrangement or reporting on the funds separately. 7. If you are filing a single Schedule D, Section 7.B.(1) for a master-feeder arrangement according to the instructions to this Section 7.B.(1), for each of the feeder funds answer the following questions: No Information Filed 1 NOTE: For purposes of questions 6 and 7, in a master-feeder arrangement. one or more funds ("feeder funds") invest all or substantially all of their assets in a single fund ("master fund"). A fund would also be a "feeder fund" investing in a "master fund" for purposes of this question if it issued multiple classes (or series) of shares or interests, and each class (or series) invests substantially all of its assets in a single master fund. 8. (a) Is this private fund a "fund of funds"? (b) If yes, does the private fund invest in funds managed by you or by a related person? NOTE: For purposes of this question only. answer "yes" if the fund invests 10 percent or more of its total assets in other pooled investment vehicles, whether or not they are also private funds, or registered investment companies. 9. During your last fiscal year, did the private fund invest in securities issued by investment companies registered under the Investment Company Act of 1940 (other than "money market funds." to the extent provided in Instruction 6.e.)? Yes No r  C Yes No 10. What type of fund is the private fund? r hedge fund r liquidity fund r private equity fund r real estate fund r securitized asset fund r venture capital fund Other private fund LONG-ONLY INVESTMENT FUND EFTA01079430 NOTE: For funds of funds, refer to the funds in which the private fund invests. For definitions of these fund types, please see Instruction 6 of the Instructions to Part 1A. 11. Current gross asset value of the private fund: $ 8,027,616 Ownership 12. Minimum investment commitment required of an investor in the private fund: $ 100,000 NOTE: Report the amount routinely required of investors who are not your related persons (even if different from the amount set forth in the organizational documents of the fund). 13. Approximate number of the private funds beneficial owners: 18 14. What is the approximate percentage of the private fund beneficially owned by you and your related persons: 0% 15. What is the approximate percentage of the private fund beneficially owned (in the aggregate) by funds of funds: 0% 16. What is the approximate percentage of the private fund beneficially owned by non-United States persons: 0% Your Advisory Services 17. (a) Are you a subadviser to this private fund? Yes No (b) If the answer to question 17(a) is "yes," provide the name and SEC file number, if any, of the adviser of the private fund. If the answer to question 17(a) is "no." leave this question blank. r EF, No Information Filed 18. (a) Do any other investment advisers advise the private fund? Yes No r (b) If the answer to question 18(a) is "yes," provide the name and SEC file number, if any, of the other advisers to the private fund. If the answer to question 18(a) is "no." leave this question blank. No Information Filed 19. Are your clients solicited to invest in the private fund? 20. Approximately what percentage of your clients has invested in the private fund? 2% Private Offering 21. Does the private fund rely on an exemption from registration of its securities under Regulation D of the Securities Act of 1933? 22. If yes, provide the private funds Form D file number (if any): Yes No Yes No ber B. SERVICE PROVIDERS Auditors 23. (a) (1) Are the private funds financial statements subject to an annual audit? (2) Are the financial statements prepared in accordance with U.S. GAAP? Yes No r r If the answer to 23(a)(1) is "yes." respond to questions (b) through (f) below. If the private fund uses more than one auditing firm, you must complete questions (b) through (f) separately for each auditing firm. Additional Auditor Information : 1 Record(s) Filed. EFTA01079431 If the answer to 23(a)(1) is "yes." respond to questions (b) through (f) below. If the private fund uses more than one auditing firm, you must complete questions (b) through (f) separately for each auditing firm. (b) Name of the auditing firm: DELOITTE & TOUCHE LLP (c) The location of the auditing firm's office responsible for the private funds audit (city, state and country): City: State: Country: (d) Is the auditing firm an independent public accountant? (e) Is the auditing firm registered with the Public Company Accounting Oversight Board? (f) If "yes" to (e) above, is the auditing firm subject to regular inspection by the Public Company Accounting Oversight Board in accordance with its rules? Yes No 0.) O (F.7 0 € Yes No (g) Are the private funds audited financial statements distributed to the private funds investors? € (h) Does the report prepared by the auditing firm contain an unqualified opinion? r Yes r No a Report Not Yet Received If you check "Report Not Yet Received," you must promptly file an amendment to your Form ADV to update your response when the report is available. Prime Broker 24. (a) Does the private fund use one or more prime brokers? Yes No r If the answer to 24(a) is "yes," respond to questions (b) through (e) below for each prime broker the private fund uses. If the private fund uses more than one prime broker, you must complete questions (b) through (e) separately for each prime broker. No Information Filed Custodian Yes No 25. (a) Does the private fund use any custodians (including the prime brokers listed above) to hold some or all of its assets? If the answer to 25(a) is "yes." respond to questions (b) through (f) below for each custodian the private fund uses. If the private fund uses more than one custodian, you must complete questions (b) through (f) separately for each custodian. r Additional Custodian Information : 1 Record(s) Filed. If the answer to 25(a) is "yes," respond to questions (b) through (f) below for each custodian the private fund uses. If the private fund uses more than one custodian, you must complete questions (b) through (f) separately for each custodian. (b) Legal name of custodian: STATE STREET BANK & TRUST CO. (c) Primary business name of custodian: STATE STREET BANK & TRUST CO. (d) The location of the custodian's office responsible for custody of the private funds assets (city, state and country): City: State: Country: BOSTON Massachusetts United States (e) Is the custodian a related person of your firm? (f) If the custodian is a broker-dealer, provide its SEC registration number (if any) CRD Number (if any): Yes No C EFTA01079432 Administrator Yes No 26. (a) Does the private fund use an administrator other than your firm? If the answer to 26(a) is "yes," respond to questions (b) through (f) below. If the private fund uses more than one administrator, you must complete questions (b) through (f) separately for each administrator. Additional Administrator Information : 1 Record(s) Filed. If the answer to 26(a) is "yes," respond to questions (b) through (f) below. If the private fund uses more than one administrator, you must complete questions (b) through (f) separately for each administrator. (b) Name of the administrator: ROCKIT SOLUTIONS LLC (c) Location of administrator (city. state and country): City: State: Country: (d) Is the administrator a related person of your firm? (e) Does the administrator prepare and send investor account statements to the private funds investors? . Yes (provided to all investors) r Some (provided to some but not all investors) r No (provided to no investors) Yes No G (f) If the answer to 26(e) is "no" or "some," who sends the investor account statements to the (rest of the) private funds investors? If investor account statements are not sent to the (rest of the) private funds investors, respond "not applicable." 27. During your last fiscal year, what percentage of the private funds assets (by value) was valued by a person, such as an administrator, that is not your related person? 0% Include only those assets where (i) such person carried out the valuation procedure established for that asset, if any. including obtaining any relevant quotes, and (ii) the valuation used for purposes of investor subscriptions, redemptions or distributions, and fee calculations (including allocations) was the valuation determined by such person. Marketers 28. (a) Does the private fund use the services of someone other than you or your employees for marketing purposes? Yes No r You must answer "yes" whether the person acts as a placement agent, consultant, finder, introducer, municipal advisor or other solicitor, or similar person. If the answer to 28(a) is "yes", respond to questions (b) through (g) below for each such marketer the private fund uses. If the private fund uses more than one marketer you must complete questions (b) through (g) separately for each marketer. No Information Filed A. PRIVATE FUND Information About the Private Fund 1. (a) Name of the private fund: ROCKEFELLER U.S. EQUITY FUND II LP (b) Private fund identification number: (include the "805-" prefix also) 2. Under the laws of what state or country is the private fund organized: State: Country: Delaware United States EFTA01079433 3. Name(s) of General Partner. Manager, Trustee, or Directors (or persons serving in a similar capacity): Namet of General Partner, Manager, Trustee, or Director • & CO., INC. 4. The private fund (check all that apply; you must check at least one): I7 (1) qualifies for the exclusion from the definition of investment company under section 3(c)(1) of the Investment Company Act of 1940 r (2) qualifies for the exclusion from the definition of investment company under section 3(c)(7) of the Investment Company Act of 1940 5. List the name and country. in English. of each foreign financial regulatory authority with which the private fund is registered. No Information Filed Yes No 6. (a) Is this a "master fund" in a master-feeder arrangement? (b) If yes. what is the name and private fund identification number (if any) of the feeder funds investing in this private fund? No Information Filed Yes No (c) Is this a "feeder fund" in a master-feeder arrangement? (d) If yes. what is the name and private fund identification number (if any) of the master fund in which this private fund invests? Name of the Private Fund: Private Fund Identification Number: (include the "805-" prefix also) NOTE: You must complete question 6 for each master-feeder arrangement regardless of whether you are filing a single Schedule D, Section 7.B.(1). for the master-feeder arrangement or reporting on the funds separately. 7. If you are filing a single Schedule D, Section 7.B.(1) for a master-feeder arrangement according to the instructions to this Section 7.B.(1), for each of the feeder funds answer the following questions: No Information Filed NOTE: For purposes of questions 6 and 7, in a master-feeder arrangement. one or more funds ("feeder funds") invest all or substantially all of their assets in a single fund ("master fund"). A fund would also be a "feeder fund" investing in a "master fund" for purposes of this question if it issued multiple classes (or series) of shares or interests, and each class (or series) invests substantially all of its assets in a single master fund. 8. (a) Is this private fund a "fund of funds"? (b) If yes, does the private fund invest in funds managed by you or by a related person? NOTE: For purposes of this question only. answer "yes" if the fund invests 10 percent or more of its total assets in other pooled investment vehicles, whether or not they are also private funds, or registered investment companies. 9. During your last fiscal year, did the private fund invest in securities issued by investment companies registered under the Investment Company Act of 1940 (other than "money market funds." to the extent provided in Instruction 6.e.)? Yes No r r r Yes No fr 0 10. What type of fund is the private fund? r hedge fund r liquidity fund r private equity fund r real estate fund r securitized asset fund r venture capital fund a Other private fund LONG-ONLY INVESTMENT FUND NOTE: For funds of funds, refer to the funds in which the private fund invests. For definitions of these fund types, please see Instruction 6 of the Instructions to Part 1A. 11. Current gross asset value of the private fund: $ 56,375,292 Ownership 12. Minimum investment commitment required of an investor in the private fund: $ 100,000 NOTE: Report the amount routinely required of investors who are not your related persons (even if different from the amount set forth in the EFTA01079434 organizational documents of the fund). 13. Approximate number of the private funds beneficial owners: 9 14. What is the approximate percentage of the private fund beneficially owned by you and your related persons: 11% 15. What is the approximate percentage of the private fund beneficially owned (in the aggregate) by funds of funds: 65% 16. What is the approximate percentage of the private fund beneficially owned by non-United States persons: 0% Your Advisory Services 17. (a) Are you a subadviser to this private fund? Yes No (b) If the answer to question 17(a) is "yes," provide the name and SEC file number, if any, of the adviser of the private fund. If the answer to question 17(a) is "no." leave this question blank. No Information Filed 18. (a) Do any other investment advisers advise the private fund? r Yes No r (b) If the answer to question 18(a) is "yes," provide the name and SEC file number, if any, of the other advisers to the private fund. If the answer to question 18(a) is "no." leave this question blank. No Information Filed 19. Are your clients solicited to invest in the private fund? 20. Approximately what percentage of your clients has invested in the private fund? 1% Private Offering 21. Does the private fund rely on an exemption from registration of its securities under Regulation D of the Securities Act of 1933? 22. If yes, provide the private funds Form D file number (if any): r B. SERVICE PROVIDERS Auditors No Information Filed 23. (a) (1) Are the private funds financial statements subject to an annual audit? (2) Are the financial statements prepared in accordance with U.S. GAAP? Yes No G Yes No 0 € Yes No r r If the answer to 23(a)(1) is "yes." respond to questions (b) through (f) below. If the private fund uses more than one auditing firm, you must complete questions (b) through (f) separately for each auditing firm. Additional Auditor Information :1 Record(s) Filed. If the answer to 23(a)(1) is "yes." respond to questions (b) through (f) below. If the private fund uses more than one auditing firm, you must complete questions (b) through (f) separately for each auditing firm. (b) Name of the auditing firm: DELOITTE & TOUCHE LLP (c) The location of the auditing firm's office responsible for the private funds audit (city, state and country): City: State: Country: (d) Is the auditing firm an independent public accountant? Yes No G EFTA01079435 (e) Is the auditing firm registered with the Public Company Accounting Oversight Board? (f) If "yes" to (e) above, is the auditing firm subject to regular inspection by the Public Company Accounting Oversight Board in accordance with its rules? tr."" a € Yes No (g) Are the private funds audited financial statements distributed to the private funds investors? a a (h) Does the report prepared by the auditing firm contain an unqualified opinion? r Yes r No Report Not Yet Received If you check "Report Not Yet Received," you must promptly file an amendment to your Form ADV to update your response when the report is available. Prime Broker 24. (a) Does the private fund use one or more prime brokers? Yes No r If the answer to 24(a) is "yes," respond to questions (b) through (e) below for each prime broker the private fund uses. If the private fund uses more than one prime broker, you must complete questions (b) through (e) separately for each prime broker. L Custodian No Information Filed 25. (a) Does the private fund use any custodians (including the prime brokers listed above) to hold some or all of its assets? Yes No • r If the answer to 25(a) is "yes." respond to questions (b) through (f) below for each custodian the private fund uses. If the private fund uses more than one custodian, you must complete questions (b) through (f) separately for each custodian. Additional Custodian Information : 1 Record(s) Filed. If the answer to 25(a) is "yes." respond to questions (b) through (f) below for each custodian the private fund uses. If the private fund uses more than one custodian, you must complete questions (b) through (f) separately for each custodian. (b) Legal name of custodian: STATE STREET BANK & TRUST CO. (c) Primary business name of custodian: STATE STREET BANK & TRUST CO. (d) The location of the custodian's office responsible for custody of the private funds assets (city, state and country): City: State: Country: (e) Is the custodian a related person of your firm? (f) If the custodian is a broker-dealer, provide its SEC registration number (if any) CRD Number (if any): Administrator Yes No o e Yes No 26. (a) Does the private fund use an administrator other than your firm? r If the answer to 26(a) is "yes," respond to questions (b) through (f) below. If the private fund uses more than one administrator, you must complete questions (b) through (f) separately for each administrator. Additional Administrator Information : 1 Record(s) Filed. --- If the answer to 26(a) is "yes," respond to questions (b) through (f) below. If the private fund uses more than one administrator, you must 1 complete questions (b) through (f) separately for each administrator. EFTA01079436 (b) Name of the administrator: ROCKIT SOLUTIONS LLC (c) Location of administrator (city, state and country): City: State: Country: (d) Is the administrator a related person of your firm? (e) Does the administrator prepare and send investor account statements to the private funds investors? e Yes (provided to all investors) Some (provided to some but not all investors) c' No (provided to no investors) Yes No € (f) If the answer to 26(e) is "no" or "some," who sends the investor account statements to the (rest of the) private funds investors? If Investor account statements are not sent to the (rest of the) private funds investors, respond "not applicable." 27. During your last fiscal year, what percentage of the private funds assets (by value) was valued by a person, such as an administrator, that is not your related person? 0% Include only those assets where (i) such person carried out the valuation procedure established for that asset, if any, including obtaining any relevant quotes, and (ii) the valuation used for purposes of investor subscriptions, redemptions or distributions, and fee calculations (including allocations) was the valuation determined by such person. Marketers Yes No 28. (a) Does the private fund use the services of someone other than you or your employees for marketing purposes? C You must answer "yes" whether the person acts as a placement agent, consultant, finder, introducer, municipal advisor or other solicitor, or similar person. If the answer to 28(a) is "yes", respond to questions (b) through (g) below for each such marketer the private fund uses. If the private hand uses more than one marketer you must complete questions (b) through (g) separately for each marketer. No Information Filed A. PRIVATE FUND Information About the Private Fund 1. 2. 3. 4. 5. (a) Name of the private fund: ROCKEFELLER US SMALL CAPITALIZATION FUND OP, L.P. (b) Private fund identification number: (include the "805-" prefix also) Under the laws of what state or country is the private fund organized: State: Country: Delaware United States Name(s) of General Partner, Manager, Trustee, or Directors (or persons serving in a similar capacity): Name of General Partner, Manager, Trustee, or Director ROCKEFELLER & CO., INC. The private fund (check all that apply; you must check at least one): K (1) qualifies for the exclusion from the definition of investment company under section 3(c)(1) of the Investment Company Act of 1940 F (2) qualifies for the exclusion from the definition of investment company under section 3(c)(7) of the Investment Company Act of 1940 List the name and country, in English, of each foreign financial regulatory authoritywith which the private fund is registered. No Information Filed Yes No EFTA01079437 6. (a) Is this a "master fund" in a master-feeder arrangement? (b) If yes. what is the name and private fund identification number (if any) of the feeder funds investing in this private fund? O € No Information Filed Yes No (c) Is this a "feeder fund" in a master-feeder arrangement? (d) If yes. what is the name and private fund identification number (if any) of the master fund in which this private fund invests? Name of the Private Fund: Private Fund Identification Number: (include the "805-" prefix also) NOTE: You must complete question 6 for each master-feeder arrangement regardless of whether you are filing a single Schedule D, Section 7.B.(1). for the master-feeder arrangement or reporting on the funds separately. 7. If you are filing a single Schedule D, Section 7.B.(1) for a master-feeder arrangement according to the instructions to this Section 7.6.(1), for each of the feeder funds answer the following questions: No Information Filed NOTE: For purposes of questions 6 and 7, in a master-feeder arrangement. one or more funds ("feeder funds") invest all or substantially all of their assets in a single fund ("master fund"). A fund would also be a "feeder fund" investing in a "master fund" for purposes of this question if it issued multiple classes (or series) of shares or interests, and each class (or series) invests substantially all of its assets in a single master fund. 8. (a) Is this private fund a "fund of funds"? (b) If yes, does the private fund invest in funds managed by you or by a related person? NOTE: For purposes of this question only. answer "yes" if the fund invests 10 percent or more of its total assets in other pooled investment vehicles, whether or not they are also private funds, or registered investment companies. 9. During your last fiscal year, did the private fund invest in securities issued by investment companies registered under the Investment Company Act of 1940 (other than "money market funds." to the extent provided in Instruction 6.e.)? Yes No r  r Yes No O € 10. What type of fund is the private fund? r hedge fund r liquidity fund r private equity fund r real estate fund r securitized asset fund r venture capital fund a Other private fund LONG-ONLY INVESTMENT FUND NOTE: For funds of funds, refer to the funds in which the private fund invests. For definitions of these fund types, please see Instruction 6 of the Instructions to Part 1A. 11. Current gross asset value of the private fund: $ 182,797,237 Ownership 12. Minimum investment commitment required of an investor in the private fund: $ 100,000 NOTE: Report the amount routinely required of investors who are not your related persons (even if different from the amount set forth in the organizational documents of the fund). 13. Approximate number of the private funds beneficial owners: 125 14. What is the approximate percentage of the private fund beneficially owned by you and your related persons: 0% 15. What is the approximate percentage of the private fund beneficially owned (in the aggregate) by funds of funds: 0% 16. What is the approximate percentage of the private fund beneficially owned by non-United States persons: EFTA01079438 0% Your Advisory Services Yes No 17. (a) Are you a subadviser to this private fund? (b) If the answer to question 17(a) is "yes," provide the name and SEC file number, if any, of the adviser of the private fund. If the answer to question 17(a) is "no," leave this question blank. r No Information Filed 18. (a) Do any other investment advisers advise the private fund? Yes No C (b) If the answer to question 18(a) is "yes," provide the name and SEC file number, if any, of the other advisers to the private fund. If the answer to question 18(a) is "no." leave this question blank. No Information Filed 19. Are your clients solicited to invest in the private fund? 20. Approximately what percentage of your clients has invested in the private fund? 8% Private Offering 21. Does the private fund rely on an exemption from registration of its securities under Regulation D of the Securities Act of 1933? 22. If yes, provide the private funds Form D file number (if any): Yes No € 0 Yes No € 0 Form D file number B. SERVICE PROVIDERS Auditors 23. (a) (1) Are the private funds financial statements subject to an annual audit? (2) Are the financial statements prepared in accordance with U.S. GAAP? Yes No r r If the answer to 23(a)(1) is "yes." respond to questions (b) through (f) below. If the private fund uses more than one auditing firm, you must complete questions (b) through (f) separately for each auditing firm. Additional Auditor Information :1 Record(s) Filed. If the answer to 23(a)(1) is "yes," respond to questions (b) through (f) below. If the private fund uses more than one auditing firm, you must complete questions (b) through (f) separately for each auditing firm. (b) Name of the auditing firm: DELOITTE & TOUCHE LLP (c) The location of the auditing firm's office responsible for the private funds audit (city, state and country): City: State: Country: (d) Is the auditing firm an independent public accountant? (e) Is the auditing firm registered with the Public Company Accounting Oversight Board? (f) If "yes" to (e) above, is the auditing firm subject to regular inspection by the Public Company Accounting Oversight Board in accordance with its rules? Yes No G 0 € 0 O 0 Yes No (g) Are the private funds audited financial statements distributed to the private funds investors? (h) Does the report prepared by the auditing firm contain an unqualified opinion? r Yes r No a Report Not Yet Received € 0 EFTA01079439 If you check "Report Not Yet Received," you must promptly file an amendment to your Form ADV to update your response when the report is available. Prime Broker 24. (a) Does the private fund use one or more prime brokers? Yes No r If the answer to 24(a) is "yes," respond to questions (b) through (e) below for each prime broker the private fund uses. If the private fund uses more than one prime broker, you must complete questions (b) through (e) separately for each prime broker. No Information Filed Custodian 25. (a) Does the private fund use any custodians (including the prime brokers listed above) to hold some or all of its assets? Yes No C If the answer to 25(a) is "yes." respond to questions (b) through (f) below for each custodian the private fund uses. If the private fund uses more than one custodian, you must complete questions (b) through (f) separately for each custodian. Additional Custodian Information : 1 Record(s) Flied. If the answer to 25(a) is "yes." respond to questions (b) through (f) below for each custodian the private fund uses. If the private fund uses more than one custodian, you must complete questions (b) through (f) separately for each custodian. (b) Legal name of custodian: STATE STREET BANK & TRUST CO. (c) Primary business name of custodian: STATE STREET BANK & TRUST CO. (d) The location of the custodian's office responsible for custody of the private funds assets (city. state and country): City: State: Country: (e) Is the custodian a related person of your firm? (f) If the custodian is a broker-dealer, provide its SEC registration number (if any) CRD Number (if any): Yes No € Administrator 26. (a) Does the private fund use an administrator other than your firm? Yes No 0, 0 If the answer to 26(a) is "yes," respond to questions (b) through (f) below. If the private fund uses more than one administrator, you must complete questions (b) through (f) separately for each administrator. Additional Administrator Information : 1 Record(s) Filed. If the answer to 26(a) is "yes," respond to questions (b) through (f) below. If the private fund uses more than one administrator, you must complete questions (b) through (f) separately for each administrator. (b) Name of the administrator: ROCKIT SOLUTIONS LLC (c) Location of administrator (city. state and country): City: State: Country: (d) Is the administrator a related person of your firm? Yes No (F., 0 EFTA01079440 (e) Does the administrator prepare and send investor account statements to the private funds investors? . Yes (provided to all investors) r Some (provided to some but not all investors) r No (provided to no investors) (f) If the answer to 26(e) is "no" or "some," who sends the investor account statements to the (rest of the) private funds investors? If investor account statements are not sent to the (rest of the) private funds investors, respond "not applicable." 27. During your last fiscal year, what percentage of the private funds assets (by value) was valued by a person, such as an administrator, that is not your related person? 0% Include only those assets where (i) such person carried out the valuation procedure established for that asset, if any. including obtaining any relevant quotes, and (ii) the valuation used for purposes of investor subscriptions, redemptions or distributions, and fee calculations (including allocations) was the valuation determined by such person. Marketers Yes No 28. (a) Does the private fund use the services of someone other than you or your employees for marketing purposes? r You must answer "yes" whether the person acts as a placement agent, consultant, finder, introducer, municipal advisor or other solicitor, or similar person. If the answer to 28(a) is "yes", respond to questions (b) through (g) below for each such marketer the private fund uses. If the private fund uses more than one marketer you must complete questions (b) through (g) separately for each marketer. No Information Filed A. PRIVATE FUND Information About the Private Fund 1. (a) Name of the private fund: ROCKEFELLER VENTURE FUND III LLC (b) Private fund identification number: (include the "805-" prefix also) 2. Under the laws of what state or country is the private fund organized: State: Country: Delaware United States 3. Name(s) of General Partner. Manager, Trustee, or Directors (or persons serving in a similar capacity): Name of General Partner, Manager, Trustee, or Director • PARTNERSHIP SERVICES, INC. 4. The private fund (check all that apply; you must check at least one): 17 (1 ) qualifies for the exclusion from the definition of investment company under section 3(c)(1) of the Investment Company Act of 1940 r (2) qualifies for the exclusion from the definition of investment company under section 3(c)(7) of the Investment Company Act of 1940 5. List the name and country. in English. of each foreign financial regulatory authority with which the private fund is registered. No Information Filed 6. (a) Is this a "master fund" in a master-feeder arrangement? (b) If yes. what is the name and private fund identification number (if any) of the feeder funds investing in this private fund? Yes No 0 € No Information Filed Yes No (c) Is this a "feeder fund" in a master-feeder arrangement? (d) If yes. what is the name and private fund identification number (if any) of the master fund in which this private fund invests? Name of the Private Fund: Private Fund Identification Number: EFTA01079441 (include the "805-" prefix also) NOTE: You must complete question 6 for each master-feeder arrangement regardless of whether you are filing a single Schedule D, Section 7.B.(1). for the master-feeder arrangement or reporting on the funds separately. 7. If you are filing a single Schedule D, Section 7.B.(1) for a master-feeder arrangement according to the instructions to this Section 7.B.(1), for each of the feeder funds answer the following questions: No Information Filed NOTE: For purposes of questions 6 and 7, in a master-feeder arrangement. one or more funds ("feeder funds") invest all or substantially all of their assets in a single fund ("master fund"). A fund would also be a "feeder fund" investing in a "master fund" for purposes of this question if it issued multiple classes (or series) of shares or interests, and each class (or series) invests substantially all of its assets in a single master fund. 8. (a) Is this private fund a "fund of funds"? (b) If yes, does the private fund invest in funds managed by you or by a related person? NOTE: For purposes of this question only. answer "yes" if the fund invests 10 percent or more of its total assets in other pooled investment vehicles, whether or not they are also private funds, or registered investment companies. 9. During your last fiscal year, did the private fund invest in securities issued by investment companies registered under the Investment Company Act of 1940 (other than "money market funds." to the extent provided in Instruction 6.e.)? Yes No • r r Yes No • € 10. What type of fund is the private fund? r hedge fund r liquidity fund r private equity fund r real estate fund r securitized asset fund a venture capital fund r Other private fund NOTE: For funds of funds, refer to the funds in which the private fund invests. For definitions of these fund types, please see Instruction 6 of the Instructions to Part 1A. 11. Current gross asset value of the private fund: $ 2,490,481 Ownership 12. Minimum investment commitment required of an investor in the private fund: $ 100,000 NOTE: Report the amount routinely required of investors who are not your related persons (even if different from the amount set forth in the organizational documents of the fund). 13. Approximate number of the private funds beneficial owners: 9 14. What is the approximate percentage of the private fund beneficially owned by you and your related persons: 0% 15. What is the approximate percentage of the private fund beneficially owned (in the aggregate) by funds of funds: 0% 16. What is the approximate percentage of the private fund beneficially owned by non-United States persons: 0% Your Advisory Services 17. (a) Are you a subadviser to this private fund? Yes No (b) If the answer to question 17(a) is "yes," provide the name and SEC file number, if any, of the adviser of the private fund. If the answer to question 17(a) is "no." leave this question blank.  a No Information Filed 18. (a) Do any other investment advisers advise the private fund? Yes No O € EFTA01079442 (b) If the answer to question 18(a) is "yes," provide the name and SEC file number, if any, of the other advisers to the private fund. If the answer to question 18(a) is "no." leave this question blank. No Information Filed Yes No 19. Are your clients solicited to invest in the private fund? 20. Approximately what percentage of your clients has invested in the private fund? 1% Private Offering 21. Does the private fund rely on an exemption from registration of its securities under Regulation D of the Securities Act of 1933? 22. If yes, provide the private funds Form D file number (if any): L B. SERVICE PROVIDERS Auditors No Information Filed 23. (a) (1) Are the private funds financial statements subject to an annual audit? (2) Are the financial statements prepared in accordance with U.S. GAAP? G Yes No S Yes No C C If the answer to 23(a)(1) is "yes." respond to questions (b) through (f) below. If the private fund uses more than one auditing firm, you must complete questions (b) through (f) separately for each auditing firm. No Information Filed Yes No (g) Are the private funds audited financial statements distributed to the private funds investors? s (h) Does the report prepared by the auditing firm contain an unqualified opinion? r Yes r No Report Not Yet Received If you check "Report Not Yet Received," you must promptly file an amendment to your Form ADV to update your response when the report is available. Prime Broker 24. (a) Does the private fund use one or more prime brokers? Yes No C If the answer to 24(a) is "yes," respond to questions (b) through (e) below for each prime broker the private fund uses. If the private fund uses more than one prime broker, you must complete questions (b) through (e) separately for each prime broker. No Information Filed Custodian Yes No 25. (a) Does the private fund use any custodians (including the prime brokers listed above) to hold some or all of its assets? If the answer to 25(a) is "yes." respond to questions (b) through (f) below for each custodian the private fund uses. If the private fund uses more than one custodian, you must complete questions (b) through (f) separately for each custodian. Additional Custodian Information : 1 Record(s) Filed. If the answer to 25(a) is "yes," respond to questions (b) through (f) below for each custodian the private fund uses. If the private fund uses more than one custodian, you must complete questions (b) through (f) separately for each custodian. (b) Legal name of custodian: STATE STREET BANK & TRUST CO. (c) Primary business name of custodian: STATE STREET BANK & TRUST CO. EFTA01079443 (d) The location of the custodian's office responsible for custody of the private funds assets (city, state and country): City: State: Country: Yes No (e) Is the custodian a related person of your firm? (f) If the custodian is a broker-dealer, provide its SEC registration number (if any) CRD Number (if any): Administrator 0 G Yes No 26. (a) Does the private fund use an administrator other than your firm? C If the answer to 26(a) is "yes," respond to questions (b) through (f) below. If the private fund uses more than one administrator, you must complete questions (b) through (f) separately for each administrator. Additional Administrator Information : 1 Record(s) Filed. If the answer to 26(a) is "yes," respond to questions (b) through (f) below. If the private fund uses more than one administrator, you must complete questions (b) through (f) separately for each administrator. (b) Name of the administrator: ROCKIT SOLUTIONS LLC (c) Location of administrator (city. state and country): City: State: Country: (d) Is the administrator a related person of your firm? (e) Does the administrator prepare and send investor account statements to the private funds investors? a Yes (provided to all investors) r Some (provided to some but not all investors) r No (provided to no investors) Yes No G (f) If the answer to 26(e) is "no" or "some." who sends the investor account statements to the (rest of the) private funds investors? If investor account statements are not sent to the (rest of the) private funds investors, respond "not applicable." 27. During your last fiscal year, what percentage of the private funds assets (by value) was valued by a person, such as an administrator, that is not your related person? 0% Include only those assets where (i) such person carried out the valuation procedure established for that asset, if any. including obtaining any relevant quotes, and (a) the valuation used for purposes of investor subscriptions, redemptions or distributions, and fee calculations (including allocations) was the valuation determined by such person. Marketers 28. (a) Does the private fund use the services of someone other than you or your employees for marketing purposes? Yes No r You must answer "yes" whether the person acts as a placement agent, consultant, finder, introducer, municipal advisor or other solicitor, or similar person. If the answer to 28(a) is "yes", respond to questions (b) through (g) below for each such marketer the private fund uses. If the private fund uses more than one marketer you must complete questions (b) through (g) separately for each marketer. No Information Filed A. PRIVATE FUND Information About the Private Fund EFTA01079444 1. (a) Name of the private fund: ROCKEFELLER VENTURE FUND LLC (b) Private fund identification number: (include the "805-" prefix also) 2. Under the laws of what state or country is the private fund organized: State: Delaware Country: United States 3. Name(s) of General Partner. Manager, Trustee, or Directors (or persons serving in a similar capacity): ROCKEFELLER & CO., INC. 4. The private fund (check all that apply; you must check at least one): I7 (1) qualifies for the exclusion from the definition of investment company under section 3(c)(1) of the Investment Company Act of 1940 r (2) qualifies for the exclusion from the definition of investment company under section 3(c)(7) of the Investment Company Act of 1940 5. List the name and country. in English. of each foreign financial regulatory authority with which the private fund is registered. No Information Filed 6. (a) Is this a "master fund" in a master-feeder arrangement? (b) If yes. what is the name and private fund identification number (if any) of the feeder funds investing in this private fund? No Information Filed (c) Is this a "feeder fund" in a master-feeder arrangement? (d) If yes. what is the name and private fund identification number (if any) of the master fund in which this private fund invests? Name of the Private Fund: Private Fund Identification Number: (include the "805-" prefix also) Yes No 0 € Yes No 0 € NOTE: You must complete question 6 for each master-feeder arrangement regardless of whether you are filing a single Schedule D, Section 7.B.(1). for the master-feeder arrangement or reporting on the funds separately. 7. If you are filing a single Schedule D, Section 7.B.(1) for a master-feeder arrangement according to the instructions to this Section 7.B.(1), for each of the feeder funds answer the following questions: No Information Filed NOTE: For purposes of questions 6 and 7, in a master-feeder arrangement. one or more funds ("feeder funds") invest all or substantially all of their assets in a single fund ("master fund"). A fund would also be a "feeder fund" investing in a "master fund" for purposes of this question if it issued multiple classes (or series) of shares or interests, and each class (or series) invests substantially all of its assets in a single master fund. Yes No 8. (a) Is this private fund a "fund of funds"? (b) If yes, does the private fund invest in funds managed by you or by a related person? r r NOTE: For purposes of this question only. answer "yes" if the fund invests 10 percent or more of its total assets in other pooled investment vehicles, whether or not they are also private funds, or registered investment companies. Yes No 9. During your last fiscal year, did the private fund invest in securities issued by investment companies registered under the Investment 0 € 10. Company Act of 1940 (other than "money market funds." to the extent provided in Instruction 6.e.)? What type of fund is the private fund? r hedge fund r liquidity fund r private equity fund r real estate fund r securitized asset fund a venture capital fund r Other private fund EFTA01079445 NOTE: For funds of funds, refer to the funds in which the private fund invests. For definitions of these fund types, please see Instruction 6 of the Instructions to Part 1A. 11. Current gross asset value of the private fund: $ 180,191 Ownership 12. Minimum investment commitment required of an investor in the private fund: $ 100,000 NOTE: Report the amount routinely required of investors who are not your related persons (even if different from the amount set forth in the organizational documents of the fund). 13. Approximate number of the private funds beneficial owners: 24 14. What is the approximate percentage of the private fund beneficially owned by you and your related persons: 6% 15. What is the approximate percentage of the private fund beneficially owned (in the aggregate) by funds of funds: 0% 16. What is the approximate percentage of the private fund beneficially owned by non-United States persons: 0% Your Advisory Services 17. (a) Are you a subadviser to this private fund? Yes No (b) If the answer to question 17(a) is "yes," provide the name and SEC file number, if any, of the adviser of the private fund. If the answer to question 17(a) is "no." leave this question blank. No Information Filed 18. (a) Do any other investment advisers advise the private fund? H Yes No r (b) If the answer to question 18(a) is "yes," provide the name and SEC file number, if any, of the other advisers to the private fund. If the answer to question 18(a) is "no." leave this question blank. No Information Filed 19. Are your clients solicited to invest in the private fund? 20. Approximately what percentage of your clients has invested in the private fund? 1% Private Offering 21. Does the private fund rely on an exemption from registration of its securities under Regulation D of the Securities Act of 1933? 22. If yes, provide the private funds Form D file number (if any): No Information Filed B. SERVICE PROVIDERS Auditors 23. (a) (1) Are the private funds financial statements subject to an annual audit? (2) Are the financial statements prepared in accordance with U.S. GAAP? Yes No Yes No 0 € Yes No r r If the answer to 23(a)(1) is "yes." respond to questions (b) through (f) below. If the private fund uses more than one auditing firm, you must complete questions (b) through (f) separately for each auditing firm. No Information Filed EFTA01079446 Yes No (g) Are the private funds audited financial statements distributed to the private funds investors? € (h) Does the report prepared by the auditing firm contain an unqualified opinion? r Yes r No a Report Not Yet Received If you check "Report Not Yet Received," you must promptly file an amendment to your Form ADV to update your response when the report is available. Prime Broker 24. (a) Does the private fund use one or more prime brokers? Yes No r (F: If the answer to 24(a) is "yes," respond to questions (b) through (e) below for each prime broker the private fund uses. If the private fund uses more than one prime broker, you must complete questions (b) through (e) separately for each prime broker. No Information Filed Custodian Yes No 25. (a) Does the private fund use any custodians (including the prime brokers listed above) to hold some or all of its assets? If the answer to 25(a) is "yes," respond to questions (b) through (f) below for each custodian the private fund uses. If the private fund uses more than one custodian, you must complete questions (b) through (f) separately for each custodian. C Additional Custodian Information : 1 Record(s) Filed. If the answer to 25(a) is "yes." respond to questions (b) through (f) below for each custodian the private fund uses. If the private fund uses more than one custodian, you must complete questions (b) through (f) separately for each custodian. (b) Legal name of custodian: STATE STREET BANK & TRUST CO. (c) Primary business name of custodian: STATE STREET BANK & TRUST CO. (d) The location of the custodian's office responsible for custody of the private funds assets (city, state and country): City: State: Country: BOSTON Massachusetts United States Yes No (e) Is the custodian a related person of your firm? 0 € (f) If the custodian is a broker-dealer, provide its SEC registration number (if any) CRD Number (if any): Administrator Yes No 26. (a) Does the private fund use an administrator other than your firm? r r If the answer to 26(a) is "yes," respond to questions (b) through (f) below. If the private fund uses more than one administrator, you must complete questions (b) through (f) separately for each administrator. Additional Administrator Information : 1 Record(s) Filed. If the answer to 26(a) is "yes," respond to questions (b) through (f) below. If the private fund uses more than one administrator, you must complete questions (b) through (f) separately for each administrator. (b) Name of the administrator: ROCKIT SOLUTIONS LLC (c) Location of administrator (city. state and country): EFTA01079447 City: State: Country: STAMFORD Connecticut United States Yes No (d) Is the administrator a related person of your firm? G (e) Does the administrator prepare and send investor account statements to the private funds investors? . Yes (provided to all investors) r Some (provided to some but not all investors) r No (provided to no investors) (f) If the answer to 26(e) is "no" or "some." who sends the investor account statements to the (rest of the) private funds investors? If investor account statements are not sent to the (rest of the) private funds investors, respond "not applicable." 27. During your last fiscal year, what percentage of the private funds assets (by value) was valued by a person, such as an administrator, that is not your related person? 0% Include only those assets where (i) such person carried out the valuation procedure established for that asset, if any. including obtaining any relevant quotes, and (ii) the valuation used for purposes of investor subscriptions, redemptions or distributions, and fee calculations (including allocations) was the valuation determined by such person. Marketers 28. (a) Does the private fund use the services of someone other than you or your employees for marketing purposes? Yes No r You must answer "yes" whether the person acts as a placement agent, consultant, finder, introducer, municipal advisor or other solicitor, or similar person. If the answer to 28(a) is "yes", respond to questions (b) through (g) below for each such marketer the private fund uses. If the private fund uses more than one marketer you must complete questions (b) through (g) separately for each marketer. No Information Filed EFTA01079448 A. PRIVATE FUND Information About the Private Fund 1. (a) Name of the private fund: VENROCK INVESTORS FUND LLC (b) Private fund identification number: (include the "805-" prefix also) 2. Under the laws of what state or country is the private fund organized: State: Country: Delaware United States 3. Name(s) of General Partner, Manager, Trustee, or Directors (or persons serving in a similar capacity): Name of General Partner, Manager, Trustee, c,r Director • PARTNERSHIP SERVICES, INC. 4. The private fund (check all that apply; you must check at least one): 17 (1 ) qualifies for the exclusion from the definition of investment company under section 3(c)(1) of the Investment Company Act of 1940 r (2) qualifies for the exclusion from the definition of investment company under section 3(c)(7) of the Investment Company Act of 1940 5. List the name and country. in English. of each foreign financial regulatory authority with which the private fund is registered. No Information Filed Yes No 6. (a) Is this a "master fund" in a master-feeder arrangement? (b) If yes. what is the name and private fund identification number (if any) of the feeder funds investing in this private fund? O € No Information Filed (c) Is this a "feeder fund" in a master-feeder arrangement? (d) If yes. what is the name and private fund identification number (if any) of the master fund in which this private fund invests? Name of the Private Fund: Private Fund Identification Number: (include the "805-" prefix also) Yes No O € NOTE: You must complete question 6 for each master-feeder arrangement regardless of whether you are filing a single Schedule D, Section 7.B.(1). for the master-feeder arrangement or reporting on the funds separately. 7. If you are filing a single Schedule D, Section 7.B.(1) for a master-feeder arrangement according to the instructions to this Section 7.6.(1), for each of the feeder funds answer the following questions: No Information Filed NOTE: For purposes of questions 6 and 7, in a master-feeder arrangement. one or more funds ("feeder funds") invest all or substantially all of their assets in a single fund ("master fund"). A fund would also be a "feeder fund" investing in a "master fund" for purposes of this question if it issued multiple classes (or series) of shares or interests, and each class (or series) invests substantially all of its assets in a single master fund. 8. (a) Is this private fund a "fund of funds"? (b) If yes, does the private fund invest in funds managed by you or by a related person? Yes No • r r NOTE: For purposes of this question only. answer "yes" if the fund invests 10 percent or more of its total assets in other pooled investment vehicles, whether or not they are also private funds, or registered investment companies. Yes No EFTA01079449 9. During your last fiscal year, did the private fund invest in securities issued by investment companies registered under the Investment Company Act of 1940 (other than "money market funds." to the extent provided in Instruction 6.e.)? O € 10. What type of fund is the private fund? r hedge fund r liquidity fund r private equity fund r real estate fund r securitized asset fund venture capital fund r Other private fund NOTE: For funds of funds, refer to the funds in which the private fund invests. For definitions of these fund types, please see Instruction 6 of the Instructions to Part 1A. 11. Current gross asset value of the private fund: $ 4,605,886 Ownership 12. Minimum investment commitment required of an investor in the private fund: $ 100,000 NOTE: Report the amount routinely required of investors who are not your related persons (even if different from the amount set forth in the organizational documents of the fund). 13. Approximate number of the private funds beneficial owners: 98 14. What is the approximate percentage of the private fund beneficially owned by you and your related persons: 6% 15. What is the approximate percentage of the private fund beneficially owned (in the aggregate) by funds of funds: 0% 16. What is the approximate percentage of the private fund beneficially owned by non-United States persons: 0% Your Advisory Services 17. (a) Are you a subadviser to this private fund? Yes No (b) If the answer to question 17(a) is "yes," provide the name and SEC file number, if any, of the adviser of the private fund. If the answer to question 17(a) is "no." leave this question blank. No Information Filed 18. (a) Do any other investment advisers advise the private fund? r Yes No r (b) If the answer to question 18(a) is "yes," provide the name and SEC file number, if any, of the other advisers to the private fund. If the answer to question 18(a) is "no." leave this question blank. No Information Filed 19. Are your clients solicited to invest in the private fund? 20. Approximately what percentage of your clients has invested in the private fund? 2% Private Offering 21. Does the private fund rely on an exemption from registration of its securities under Regulation D of the Securities Act of 1933? 22. If yes, provide the private funds Form D file number (if any): L No Information Filed B. SERVICE PROVIDERS Auditors 23. (a) (1) Are the private funds financial statements subject to an annual audit? Yes No O € Yes No Yes No  a EFTA01079450 (2) Are the financial statements prepared in accordance with U.S. GAAP? C If the answer to 23(a)(1) is "yes." respond to questions (b) through (f) below. If the private fund uses more than one auditing firm, you must complete questions (b) through (f) separately for each auditing firm. No Information Filed Yes No (g) Are the private funds audited financial statements distributed to the private funds investors? s (h) Does the report prepared by the auditing firm contain an unqualified opinion? r Yes r No Report Not Yet Received If you check "Report Not Yet Received," you must promptly file an amendment to your Form ADV to update your response when the report is available. Prime Broker 24. (a) Does the private fund use one or more prime brokers? Yes No C If the answer to 24(a) is "yes," respond to questions (b) through (e) below for each prime broker the private fund uses. If the private fund uses more than one prime broker, you must complete questions (b) through (e) separately for each prime broker. No Information Filed Custodian Yes No 25. (a) Does the private fund use any custodians (including the prime brokers listed above) to hold some or all of its assets? If the answer to 25(a) is "yes." respond to questions (b) through (f) below for each custodian the private fund uses. If the private fund uses more than one custodian, you must complete questions (b) through (f) separately for each custodian. Additional Custodian Information : 1 Record(s) Filed. r; If the answer to 25(a) is "yes." respond to questions (b) through (f) below for each custodian the private fund uses. If the private fund uses more than one custodian, you must complete questions (b) through (f) separately for each custodian. (b) Legal name of custodian: STATE STREET BANK & TRUST CO. (c) Primary business name of custodian: STATE STREET BANK & TRUST CO. (d) The location of the custodian's office responsible for custody of the private funds assets (city, state and country): City: State: Country: (e) Is the custodian a related person of your firm? (f) If the custodian is a broker-dealer, provide its SEC registration number (if any) CRD Number (if any): Administrator Yes No 0 € Yes No 26. (a) Does the private fund use an administrator other than your firm? C If the answer to 26(a) is "yes," respond to questions (b) through (f) below. If the private fund uses more than one administrator, you must complete questions (b) through (f) separately for each administrator. Additional Administrator Information : 1 Record(s) Filed. EFTA01079451 If the answer to 26(a) is "yes," respond to questions (b) through (f) below. If the private fund uses more than one administrator, you must complete questions (b) through (f) separately for each administrator. (b) Name of the administrator: ROCKIT SOLUTIONS LLC (c) Location of administrator (city. state and country): City State: (d) Is the administrator a related person of your firm? Country: (e) Does the administrator prepare and send investor account statements to the private funds investors? . Yes (provided to all investors) r Some (provided to some but not all investors) r No (provided to no investors) Yes No 0) O (f) If the answer to 26(e) is "no" or "some." who sends the investor account statements to the (rest of the) private funds investors? If investor account statements are not sent to the (rest of the) private funds investors, respond "not applicable." 27. During your last fiscal year, what percentage of the private funds assets (by value) was valued by a person, such as an administrator, that is not your related person? 0% Include only those assets where (i) such person carried out the valuation procedure established for that asset, if any. including obtaining any relevant quotes, and (ii) the valuation used for purposes of investor subscriptions, redemptions or distributions, and fee calculations (including allocations) was the valuation determined by such person. Marketers 28. (a) Does the private fund use the services of someone other than you or your employees for marketing purposes? Yes No r (F: You must answer "yes" whether the person acts as a placement agent, consultant, finder, introducer, municipal advisor or other solicitor, or similar person. If the answer to 28(a) is "yes", respond to questions (b) through (g) below for each such marketer the private fund uses. If the private fund uses more than one marketer you must complete questions (b) through (g) separately for each marketer. No Information Filed EFTA01079452 SECTION 7.B.(2) Private Fund Reporting 1. Name of the private fund: ROCKEFELLER FINANCIAL IDF I SERIES INTERESTS OF THE SALI MULTI-SERIES FUND. LP 2. Private fund identification number: prefix also) 3. Name and SEC File number of adviser that provides information about this private fund in Section 7.B.(1) of Schedule D of its Form ADV filing Name: SALI FUND SERVICES SEC File Number: Yes No 4. Are your clients solicited to invest in this private fund? r In answering this question, disregard feeder funds' investment in a master fund. For purposes of this question, in a master-feeder arrangement, one or more funds ("feeder funds") invest all or substantially all of their assets in a single fund ("master fund"). A fund would also be a "feeder fund" investing in a "master fund" for purposes of this question if it issued multiple classes (or series) of shares or interests, and each class (or series) invests substantially all of its assets in a single master fund. Item 8 Participation or Interest in ClientTransactions In this Item, we request information about your participation and interest in your clients' transactions. This information identifies additional areas in which conflicts of interest may occur between you and your clients. Like Item 7, Item 8 requires you to provide information about you and your related persons, including foreign affiliates. Proprietary Interest in ClientTransactions A. Do you or any related person: (1) buy securities for yourself from advisory clients, or sell securities you own to advisory clients (principal transactions)? (2) buy or sell for yourself securities (other than shares of mutual funds) that you also recommend to advisory clients? (3) recommend securities (or other investment products) to advisory clients in which you or any related person has some other proprietary (ownership) interest (other than those mentioned in Items 8.A.(1) or (2))? Sales Interest in ClientTransactions B. Do you or any related person: (1) as a broker-dealer or registered representative of a broker-dealer, execute securities trades for brokerage customers in which advisory client securities are sold to or bought from the brokerage customer (agency cross transactions)? recommend purchase of securities to advisory clients for which you or any related person serves as underwriter, general or managing partner, or purchaser representative? recommend purchase or sale of securities to advisory clients for which you or any related person has any other sales interest (other than the receipt of sales commissions as a broker or registered representative of a broker-dealer)? (2) (3) Investment or Brokerage Discretion C. Do you or any related person have discretionary authority to determine the: (1) securities to be bought or sold for a client's account? (2) amount of securities to be bought or sold for a client's account? (3) broker or dealer to be used for a purchase or sale of securities for a client's account? (4) commission rates to be paid to a broker or dealer for a client's securities transactions? D. If you answer "yes" to C.(3) above, are any of the brokers or dealers related persons? E. Do you or any related person recommend brokers or dealers to clients? F. If you answer "yes" to E above, are any of the brokers or dealers related persons? G. (1) Do you or any related person receive research or other products or services other than execution from a broker-dealer or a third party ("soft dollar benefits") in connection with client securities transactions? (2) If "yes" to G.(1) above, are all the "soft dollar benefits" you or any related persons receive eligible "research or brokerage services" under section 28(e) of the Securities Exchange Act of 1934? Yes No r r r Yes No r r r Yes No r r r r r r r r r EFTA01079453 H. Do you or any related person, directly or indirectly, compensate any person for client referrals? I. Do you or any related person, directly or indirectly, receive compensation from any person for client referrals? G a In responding to Items 8.H and at, consider all cash and non-cash compensation that you or a related person gave to (in answering Item 8.H) or received from (in answering Item a 0 any person in exchange for client referrals, including any bonus that is based, at least in part, on the number or amount of client referrals. Item 9 Custody In this Item, we ask you whether you or a related person has custody of client (other than clients that are investment companies registered under the Investment Company Act of 1940) assets and about your custodial practices. A. (1) Do you have custody of any advisory clients': (a) cash or bank accounts? (b) securities? Yes No G G If you are registering or registered with the SEC, answer "No" to Item 9.A. (1)(a) and (b) if you have custody solely because (1) you deduct your advisory fees directly from your clients' accounts, or 00 a related person has custody of client assets in connection with advisory services you provide to clients, but you have overcome the presumption that you are not operationally independent (pursuant to Advisers Act rule 206(4)-(2)(d)(5)) from the related person. (2) If you checked "yes" to Item 9.A.(1)(a) or (b), what is the approximate amount of client funds and securities and total number of clients for which you have custody: U.S. Dollar Amount Total Number of Clients (a) $ 13,061,029,185 (b) 958 If you are registering or registered with the SEC and you have custody solely because you deduct your advisory fees directly from your clients' accounts, do not include the amount of those assets and the number of those clients in your response to Item 9.A. (2). If your related person has custody of client assets in connection with advisory services you provide to clients, do not include the amount of those assets and number of those clients in your response to 9.A.(2). Instead, include that information in your response to Item 9.8. (2). B. (1) In connection with advisory services you provide to clients, do any of your related persons have custody of any of your advisory clients': (a) cash or bank accounts? (b) securities? You are required to answer this item regardless of how you answered Item 9.A. (1)(a) or (b). Yes No G G (2) If you checked "yes" to Item 9.8.(1)(a) or (b), what is the approximate amount of cfient funds and securities and total number of clients for which your related persons have custody: U.S. Dollar Amount Total Number of Clients (a) $ 2,872,704,382 (b) 610 C. If you or your related persons have custody of client funds or securities in connection with advisory services you provide to clients, check all the following that apply: (1) A qualified custodian(s) sends account statements at least quarterly to the investors in the pooled investment vehicle(s) you manage. (2) An independent public accountant audits annually the pooled investment vehicle(s) that you manage and the audited financial statements are distributed to the Investors in the pools. (3) An independent public accountant conducts an annual surprise examination of client funds and securities. (4) An independent public accountant prepares an internal control report with respect to custodial services when you or your related persons are qualified custodians for client funds and securities. PI PI PI PI you checked Item 9. C. (2), C. (3) or C. (4), list in Section 9. C. of Schedule D the accountants that are engaged to perform the audit or examination or prepare an internal control report. (If you checked Item 9.C.(2), you do not have to fist auditor information in Section 9.C. of Schedule D if you already provided this information with respect to the private funds you advise in Section 7.8.(1) of Schedule D). D. Do you or your related person(s) act as qualified custodians for your clients in connection with advisory services you provide to clients? (1) you act as a qualified custodian (2) your related person(s) act as qualified custodian(s) Yes No s s you checked "yes" to Item 9.12(2), all related persons that act as qualified custodians (other than any mutual fund transfer agent pursuant to rule 206(4)-2(b)(1)) must be identified in Section 7.A. of Schedule D, regardless of whether you have determined the related person to be operationally independent under rule 206(4)-2 of the Advisers Act EFTA01079454 E. If you are filing your annual updating amendment and you were subject to a surprise examination by an independent public accountant during your last fiscal year, provide the date (MM/YYYY) the examination commenced: 03/2015 F. If you or your related persons have custody of client funds or securities, how many persons, including, but not limited to, you and your related persons. act as qualified custodians for your clients in connection with advisory services you provide to clients? 16 SECTION 9.C. Independent Public Accountant You must complete the following information for each independent public accountant engaged to perform a surprise examination, perform an audit of a pooled investment vehicle that you manage, or prepare an internal control report. You must complete a separate Schedule D Section 9.C. for each independent public accountant. (1) Name of the independent public accountant: DELOITTE & TOUCHE LLP (2) The location of the independent public accountant's office responsible for the services provided: Number and Street 1: 30 ROCKEFELLER PLAZA City: State: Number and Street 2: Country: ZIN-4/Postal Code: (3) Is the independent public accountant registered with the Public Company Accounting Oversight Board? (4) If yes to (3) above, is the independent public accountant subject to regular inspection by the Public Company Accounting Oversight Board in accordance with its rules? (5) The independent public accountant is engaged to: A. 2" audit a pooled investment vehicle B. 2" perform a surprise examination of clients' assets C. 2" prepare an internal control report (6) Yes No r r Does any report prepared by the independent public accountant that audited the pooled investment vehicle or that examined internal controls contain an unqualified opinion? r Yes r No a Report Not Yet Received If you check 'Report Not Yet Received". you must promptly file an amendment to your Form ADV to update your response when the accountant's report is available. Item 10 Control Persons In this Item, we ask you to identify every person that, directly or indirectly, con [truncated]