EFTA Document EFTA01273265

4tUBS UBS Financial Services Inc. Account Number Client Id Fund Investment Application Cover Sheet ATLAS ENHANCED FUND LP Fund Name Ghldalne Maxwell Account title Ghlslalrie MarweN Client Name ACU6 Form EF2366SS Control Number Application id For Internal the 00y ECS-0114989654 lentiffhRERVII ECS-Ol 14989654 O200s U13.5 'Mandel Services Inc. Al Rights Reserved. Member SPC CONFIDENTIAL SDNY_GM_00020437 EFTA_00 I 31057 EFTA01273265 B•A•• m• • • SAL vASNV ASSFT MANAGEMENT , fr Atlas Enhanced Fund, L.P. Investor Application Form Investor(s) Please: • Complete the Investor Application Form and return this entire Subscription Booklet to your Financial Advisor. • Only fully completed Subscription Booklets (no faxes, no copies) will be accepted. • DO NOT TEAR OUT PAGES. • Retain a copy for your files. • Read the Fund's Memorandum and the Subscription Agreement. Be sure to complete all sections of the Investor Application Form Financial Advisors/Branch Managers • Please refer to the Fund Investment Application ('FIA') QuickCard for application submission instructions, or call UBS Alternative Investments US at 888-962-3842, option 1, sub option 4. • Effective July 1, 2014, FATCA compliant W-9s and W-8BENs are required for clients to execute new investments in all Alternative Investments. Please refer to the enclosed Tax Forms and related submission instructions. • All Investor Applications must be submitted on FIA to UBS Alternative Investments US no later than 6 full business days prior to month's end. Private and Confidontial CONFIDENTIAL SDNY_GM_00020438 EFTA_00B1058 EFTA01273266 Instructions for Completing Investor Application Prospective investors in the Atlas Enhanced Fund, LP. (the 'Fund•) should read the Memorandum as well as this Subscription Booklet prior to subscribing. Please complete all sections of the Investor Application Form. If you invest via this Subscription Booklet please promptly return the entire Subscription Booklet to your Financial Advisor. Do not tear out any pages. Retain a copy for your files. Please refer to Schedule 2 for the meanings of the capitalized terms used herein. Please consult your Financial Advisor or call UBS Alternative Investments US for assistance in completing this Investor Application Form. A. Capital Contribution Amount • Indicate the Capital Contribution applied for (which may be accepted in whole or in part by the Fund). • Provide your Account Number. • Funds must be drawn on an account that corresponds exactly to the name of Undersigned. The Fund may in its sole and absolute discretion accept as your Capital Contribution an amount less than the Capital Contribution applied for herein. CLEARED FUNDS MUST BE IN YOUR ACCOUNT 5 BUSINESS DAYS BEFORE 5 P.M. NEW YORK TIME PRIOR TO MONTH'S END. B. Investor Information: • Provide the Investor's mailing address exactly as it should appear on the address labels. • include the Investor's state of residence or principal place of business, if applicable, and Social Security/fax ID Number. • Provide the Investor's email address. C. Accredited Investor Representation: Please read Schedule 1 and check the appropriate box. Generally, an 'accredited investor' has a net worth in excess of S1 million for individuals (together with spouse) or total assets in excess of 5.5 million for entities. To calculate net worth, exclude the value of your primary residence, and count as a liability any indebtedness secured by that property M excess of the fair market value of that property. If you incurred the debt on your property within 60 days of subscribing for this investment and did not use those funds to purchase that house. you must include the full value of the debt as part of your liabilities. The Investor must certify that he, she or it is both an accredited investor and a qualified purchaser in order to invest in the Fund, unless otherwise determined by the Fund and/or Manager. Private and Confidential 2 CONFIDENTIAL SDNY_GM_00020439 EFTA_00131059 EFTA01273267 Instructions for Completing Investor Application (continued) D. Qualified Purchaser Representation: Please read Schedule 1 and check the appropriate boxes. Generally, a 'qualified purchaser" must be an individual or beneficiary of an IRA- or participant.directed plan or family uustientity with at least E5 million in qualified investments or an entity with at least $25 million in qualified investments. The Undersigned must certify that he, she or it is both an accredited investor and a qualified purchaser in order to invest in the Fund. E. Benefit Plan Investor Status: Please read carefully and check the appropriate box. F. Controlling Person Status: Please read carefully and check the appropriate box. G. Certification Regarding Initial Public Equity Offerings: Please initial and complete all applicable sections. H. Government Entity Status: Please read carefully and check the appropriate box(es). I. NFA Bylaw 1101 Certification: Please read carefully and initial the applicable acknowledgement(s). J. Investor Acknowledgement: Please read the acknowledgements contained in this section carefully, Initial the applicable acknowledgements and complete the applicable certification(s). K. Investor Signatures: Please sign. Private and Confidential 3 CONFIDENTIAL SDNY_GM_00020440 EFTA_00 131060 EFTA01273268 Schedule 1 PLEASE REFER TO THE REPRESENTATIONS BELOW Si ORDER TO COMPLETE DIE INVESTOR TYPE, ACCREDITED INVESTOR AND QUALIFIED PURCHASER RENtEsENTAilON QUESTIONS OF THE INVESTOR APPUCATION FORM. ACCREDITED INVESTOR STATUS ANO QUALIFIED PURCHASER STATUS The Undersigned must certify that he, she or it is an accredited investor and a qualified purchaser based on the categories listed below ACCREDITED INVESTOR STATUS I. Individuals, Joint Tenants and IRAs The Undersigned, either ixividualy a together with the Undersigned's spouse, has a net worths in excess of S I million. N. Trusts (a) The trust has 6) total assets n excess of S5 mitron, (I) 4 was not famed for the specific purpose of nesting in the Lund, and (iii) its investment in the Fund is directed by a person who has such knowledge and experience in financial and business matters that he a she k capable of evaluating the ments and risks of an investment in the fund, a (b) Each Grantor of the trust has the power to revoke the trust and regain tide to the trust assets, and each grantor d an accredited investor, or (0 The trustee of the tn.& is a 'bank' as defined in Section 3(aX2) of the Securities Act a a savings and loan association a other institution referred to in Section 3(aXSXA) of the Securities Act. It Retirement Plans (a) The plan has total assets in excess of 55 million; a ite Each participant in the plan is an accredited investor; or (c) The plan is participant directed, with investment decisions made solely by persons who are accredited investors; Cr OS Investment decisions fee the plan we made by a 'plan fiduciary' as defined Section 3(21) d ERISA that is a bank, insurance company, registered investment adviser or savings and loan association. IV. Corporations, Partnerships, Limited Lability Companies and Other Entities (a) The Undersigned is a Canoe bon, partnership. limited liability company, Massachusetts a similar business bust, or an orgarization described in Section SOfic)(3) of the internal Revenue Code of 1984 as amended (the -Code). rot famed for the specific purpose of Setting in the Fund, with total assets in excess of $5 milkon; or fta Each shareholder, partner, or other equity eivner of the Undersigned, as the case might be, is an accredited investa, a (0 The Undersigned is a 'bank' as defined in Section 3(412) of the Securities Act or a *savings and loan association' or other institution referred to in Section 3(aX5XA) of the Secunties Act, whether acting in its individual a f skxary capacity. a (C The Undersigned is a 'broker a dealer' ngstered pursuant to Section 15 of the Secwities Exchange Act, or fel The Undersigned is an 'insurance company' as defined in Section 2(a)(13) of the Sectrities no; or (0 The Undersigned is an 'irwinvnent company' registered under the Investment Company Act; or (g) Tne Undersigned is a 'small business investment company' licensed by the U.S. Small Business Administration under Section (301 ) or td) o1 the Small Business ewes/men% Act; or (Ii) The Undersigned is a 'business development company' as defined in Section 2taX48) of the ineestment Company Act a a 'business development company' defined in Section 202(0(22i of the Investment Advisers Act Note for Accredited Investor Status: • The term net worth means total assets at far market value minus total tabbies. To calculate net inorth excfude the fair market yaks of your finnan, residence; di) count as a Lowey any indebtedness secured by that property in eaten of the far market value of that Property, except that if you inclined that debl on your properly within 60 days of subscribing for this investment and did not use those funds to purchase that house, you most include the full yaks of the debt as part of your liabilities QUALIFIED PURCHASER STATUS V. Individuals, Joint Tenant and IRAs (as applicable) The Undersigned is a qualified purchaser because hershe (atone, or together with Winer spouse, if investing jointed owns not less than SS million :n investments • • VI. 'Family Corporations, 'Family Foundations. 'Family Endowments, •Family Partnerships, 'Family Trusts or other 'Family" [Mitts (a) The Undersigned was not formed for the specific purpose of investing in the Fund; its) The Undersigned owns not less than SS milion in nvestments;• • and Kt The Undersigned is owned directly or indrectty by or for 6) two a more natural persons who are (A) related as strings a spouses (including former spouses), or (8) direct lineal descendants by birth a adoption. (hi spouses of such persons, (n) the estates of such persons a M foundations, charitable organzations trusts established by or for the benefit of such persons VII. Trusts (Other than Truett that qualify under VI or VIII hereof) (a) The Undersigned was not famed for the specific purpose Of investing in the fund, and (b) The trustee or other authorized person making decisions with respect to the trust, arid each Settler or other penal who has contributed assets to the trust, 6 a person described in V. VI, VII or IX VIII. Other Entities fal The Undersigned was not loaned For the specific purpose of Investing in the Fund; and (b) the Undersigned is an entity, acting for its own account a for the accounts of other cNalif kid Purchasers, which in the aggregate owns and invests on a discretionary basis not less than 125 milion in investments •' CONFIDENTIAL Private and Confidential 4 SONY_GM_0002044i EFTA_00131061 EFTA01273269 Schedule 1 (continued) QUAUFIED PURCHASER STATUS (coard) IX. Entities that do not qualify under VI•VIR the Undersigned is a qualified purchaser became each beneficial owner of the Investor's securities is a %allied purchaser as described herein Note: Trusts may not rely on rein certification even if al of their beneficiaries are qualified purchasers. X. All Investors that an Entities (a) The undersigned is not a 3iC)(1) Cr XcX71 Corns>any. or (b) The Undersigned is a Section 3(c)(1) or 3(cX7) Company but does not have ANY Prompt,' 30 Holders. or (c) The Undersigned 4 a Section 31.011.; 3(c%7) Company arid has obtained consent to as treatment as a qualified purchaser from all of its Pre-April 30 Holden XI. Investors that checked VI or VII may check XI instead oe X The Undersigned has obtained consent to its treatment as a chakfied purchaser ham all of its trustees. directors or general partners. XII. Investors that checked X(b) or X(c) must also respond YES or NO to XII is any direct or indirect beneficial owner of the Undersigned itself a Section 3(cX1) or XcX7) Company that controls, is conuoded by, or is under common control with the Undersigned? If the Undersigned carton answer NO to XII because it has a control relationship suds a beneficial owner that is itself a Section Xc)(1) or 3(cX7) Company, the Undersigned may be reamed to obtain consent from the security holders of such Miner Notes for Qualified Purchaser Status: • • f he term ' investments- means any as (1) securities (as defned n the Secuites Act), except for Control Securities unless otherwise included as described below; lutures contracts or options thereon held for investment purposes; (31 Physoal conwpities held for investment purposes, (4) Swaps and other similar financial contracts entered into for investment purpose: (5) real estate held for investment proposes, and (6) cash and cash equivalents held for investment purposes. Control Securities may be included in -investments' if (A) the issuer of the control securities is itself a registered or private investment company or is exempted from the definition of investment company by Rule 3a-6 or Rule 3a-7 under the investment Company Act, (B) the Control Securities represent securities of an issuer that lies reports pursuant to Section 13 or ISId) of the Securities Exchange Act. (C) the suer of the Control Securities has a class of securities listed on a designated off -shore securities market under Regulation S under the Securities Act or (0) the issuer of the Control Securities is a private company with shareholders' equity not less than SSO million determined n accordance with generally accepted accounting principles, as reflected in the company's most recent financial statements (provided such financial statements were issued within 16 months of the date of Undersigned's purchase of hieing). NOTE: In determining whether the SS million or SIS million thresholds are met, investments can be valued at cost or fair market value as of a recent date. If investments have been acquired with indebtedness, the amount of the indebtedness must be deducted in determining whether the threshold has been met CONFIDENTIAL Private and Confidential 5 SDNY_GM_000204142 EFTA 00131062 EFTA01273270 Investor Application Form A. Capital Contribution Applied for. S Note. You: account will be debited for your Cap' tauten plus the Placement Fee of 2% (which may be waived in limited circumstances). A Placement Fe* cola be in addition to your Capital Contribution. Please see the Investor Acknowledgement section for ackfitional information regarding the Placement Fee. Subscriptions will only be accepted in U.S. Dollars. Account a ,IM MOIEMP 8. Investor forma • SSNfpax ID if vuls <wenn, native I State/Country t:11 Phone: twits lanicenser Feimcel Agee of Anse/ Fax Date dark occupauon: ncin I Preis dem nit Terfc.Mnt Pi )ect Citizenship: Mr. Mrs inveelot Nerve (Few name. coddle reins min)d. Last nerve) Oil- MOTS MOW" bY (Wiesen enneekit taV's Me Cv PAtopintakiim A an-am Nabonility UM, C. Accredited Investor Representation C heck ony one boa By execute's; this Investor Appkation the Undtrogned certifies that he. the, ce 4 its applicable) has read and understands the inwuttions to thus investor Application indudng, but not limited to. the instructions to cakulale the net worth lot accredited investas; and (ii) is a 'accreted invellor" under Regulation 0 *nutty, net worth in excess of SI melon lot ',tendons (together with spouse) or tots assets In excess of SS milion fa entilieM and has calculated not worth as Karim' h trt instructions n this meg*, APPObsiCri Mena read Schedule 1 and check one appropriate box brow. Note that you must be boas an &fledged investor and a quelled purchaser is order to invest in the Fund II Investor is an InctiviclueVAAnoini tenant (with Rights of Survivorship), check here If Investor is a Revocable Trust, check here O (IDa or O (Rhea O elk If investor is an irrevocable trust, check here II Investor is a Participant-Directed RelieteMol Plan. (We hero II Mentor is Other Retirement Plan, (here here: If investor it a Corporation. Partnership, united liablity Company and Other Entity, check here. emm O (RN or 0 lac O ab c O Mao, O (*bar O Oki O DVS or O IN)b or O (Mc or O OM a O (Me or O frull *rifling or O (Anh CONFIDENTIAL Private and Confidential 6 SDNY_GM_00020443 EFTA_00131063 EFTA01273271 Investor Application Form (continued) D. Qualified Purchaser Representation: the Undersigned is a "qualified purchaser' under the Investment Company Act (generaly. individuals. beneficiaries of (Rtiparticipam-directed Math. and Emily/Mist entities must own at least SS million or more in qualified irwiturnenis and entities must ova and invest at least S25 million in Qualified Investments) The Undersigned must certify that he, she or it is both an accredited inwstoi and a quaked purchaser m order to invest In the fund Please read Schedule 1 and check the appropriate boxes. trust entities should read careful), the specific -quaified purchaser' requirements on Schedule 1, &eluding the requirement (for trusts other than truss relying on certifications in VI and VU) that both the trustee (or other authorized person making decisions with respect to the trust) and each Senior or other peon who has contributed assets :o the trust must own at least S5 million in qualified investments. The Linde signed's execution of this Investor Application constitutes certification of the Undersigned's status as a 'qualified purchaser if Investor Kan individual or IRA. or ParticipantAirected Retirement Plan, check here* rf Imesta is *FamPr Corporation FOunclatiOrk 'Family" Endowment 'Family" PritrenhipS, 'family" Trusts or Other EntrlieS, Check hat It Infester is a Trust (other than a few that guard-sounder vi or ‘410, check here: If !month is another type of Entity. check here If investor is an Entity that does not quality under VINO!. chock hem 'Investors that checked /OP or X(c) must also respond YES or NO to item X.0 IN) ▪ (V)a. b and c AND 0 Neer 0 OW a 0 (pent 0 (Xl) O (Vina and h AND 0 Moor 0 Mb' or 0 Ode or 0 MI) O (Olga and b AND 0 Maw 0 OW or 0 Mr or 0 the • (0) AND 0 Marc D Pgb• or 0 doe or D go nt yew riewaied00ber °Mellow. °lea YES OR NO MOW 0 YES or 0 NO E. Benefit Plan Investor Status: Please certify, by checking the alVircinate box below, whether the InvelSor is or wil be described it any of the following categories (1) an "employee benefit pion" us deleted in Section 3(3) Of EftSA) that is subsea to EILISA: la a 'Man" (as (Jetted in Section 4975(eXt) of the Code) that is sublecl to Section 4975 of the Code or (3) an entity which Is deemed to LW a -benefit plan investor- or so hold "Man asses" under the Nan Assets Rules by reason Of equity investments in Stith entity by one or more persons described in clause (t) or (2) above. Examples of the foregoing include. among Other things. 'Keogh' plans, other tax.quafified retirement plant IRAs. (*ruin oiler types of employee benefit Plans (and accounts) and entities that are deemed to hold 'plan assets' thereof. Check one' CI YES or 12(NO F. Controlling Person Status: Please certify. by checking the appropriate box below, whether the Investor s a sea be descnbed in any 01 the following categories 0 a person or entity that has discretionary authority or control With respect to the assets of the Fund. Oa a person or entity that provides investment advice fora fee (director indirect/ with respect to the assets of the hand or 4.) an 'affiliate- of r person or entity described in clause (0 or 60 abate. For purposes of this representations an -Oriole of a person Of entity includes any person Of emit/ Controlling. controlled by a undo common conoOl with the nelson or entity. el iding by reason of hiving the power to exercise a controlling influence over the maned/wren:I Or Policies of the person or entity. Check one. 0 YES or leCIO CONFIDENTIAL Private and Confidential 7 SDNY_GM_00020444 EFTA 00131064 EFTA01273272 Investor Application Form (continued) G. Certification Regarding Initial Public Equity Offerings: Rule 5130 'Restricted Persons' 3 :44.:. ; The Fund may elect (Mt to invest in new issues even if yore individual account is eigkile for such transactions . . • Please initial the appropriate statement The Unckwsigned has initialed those summents below which apps to it or. V the Ondertigned is a corporation. partnershm. bus; or other toNy. %Mild) diVy to any person luring a lloneficiallnterest in the Undersigned: The Wrote. is any of the foltossAng: (a: A PNRA member him or of broker dealer (b) An officer. director, general partner, associate° person or employee of a FINRA member fain o: other Covered Broker Dealer; (c) An agent daft:mired Broker Dealer if the agent is engaged in the investment banking or securities bullpen (c0 An immediate Family Member of a person specified in fb) or (c) above. (a) A finder or other person acting n a fiduciary capacity to a Covered Broker Dealer naming attorneys, accountants and financial consultants: •••• • - (0 A person who has the authOnly *buy or sell secwilies for a bank. savaOs and loon institution. insurance company. investrrent company. investment advise[ d Collective Investment Account. (g) An Immediate Farndy Member Mammon specified In (e)or (0 above who receives horn a provides to such person Material Support. - (h) A person tided for required to be bee/ in Schreckae A or Schedule C to Form 8() IS owning 10% a more of a Coveted Evoker Deafer; - 0) A person Hued (or requiwis to be Wert in Schedule 8 or Schedule C a Form BD whose ownershrP 'Mein' 0 in a person Inked in fit 0 Apemen that owns deectty a Witettly 10% or mote of a putific reporting company bled (or required to be fisted) Schedule A ol Form SO with respect to a Covered Stoke( Deter. Other than a soak <organs that is fisted on a national securities exchange. - (k) A person that owns °erectly a indirectly 25% or more 01 a pubic reporang company that is a person lined in (i) above other than a pubic company that o lisped on a national secunbes exchange: (I) An Immediate Family Member of a tenon tested in (hi through (k) above who recesses from or mantles to such person Material Support; (m) An account (Inducing a corpormson, partnership. !ended bebsiy company, trust ce other entity) in which any of the persons referred to in (a) through 0) above has a Banelcial lowest (any person in (al through (m). a •5130 Restricted Person') The investor is none of the above. For Entities only If you initialed any of Item (a) through (n) above, you may sill be ebflible to Pertldpate in Thew issues" if you satisfy one of ter exemptions listed under 'New has Exernpilons• at the beck of the Subscription Agreement If so, plan specify the exemption nuinber (1 through 10) here (exemption 1(b) is not avallablek NOTE: Exemptions ere not appliraide for individual ratiminant accounts. individual or joint account, UGIMA or UllIAA Amount; %ANA are treated as newel persons for this purpose. CONFIDENTIAL Private and Confidential a SDNY_DM_00020445 EFTA_00131065 EFTA01273273 Investor Application Form (continued) G. Certification Regarding Initial Public Equity Offerings (eOntd): i:sc 3t : Rule 5131 "Covered Persons" . . • ( I) Phase initial below Il applicable or lithe investor is a corporation. partnershP, trust or other entity. which apply to any person haring Beneficial Interest in the investor- The investor. or any person haling a Beneficial Interest in the Investor, is 9 an executive officer or *kw of a Pubic Company or a Covered Non-Pubk Compary, or 9) a person receiving Material Stewod by an executive office or &actor of Company er a Covered efor.4119K ComPami(aeW person in (i) a 6). a'5131 Covered Person"). (2) II you initiated statement (1) above, you must name each relevant Pubk Company andke Covered Non-Pubic Company: (3) If you Initialed statement (11 above. please initial the following oily if such appicaSe Pubic Company or Covered NonPublic Company: (a) is currently a diets rkeWirg Inuesintent Banking Services provided by a ARRA member, or has paid compensation to a MIRA member for Investment Barium Services rn the past 12 months; (0) expects to man a FINRA Member for Investment Banking Services within the next 3 mondw or (0 has entered into an express or implied obligation, directly or indireCtly through its erkuthe officers or directors. to retain a MIRA member for the performance of future Investment Bening Services. H you initialed any of items (a) through (c) above, you may still be eliale to participate in "new issuer If you sad* one of the exemptions listed under New Issues Exemptions' at the back of the Subscription Agreement If so, please specify the exemption number here (exemption 1(a) is not available): H the Investor has represented that he, she or it is not a "Restricted Person' or a "Covered Person", the Investor further represents that he, she or it understands that this certificate expires after one year and agrees proem* to notify the rood should the account become a 'Restricted Person' or "Covered Person". H. Government Entity Status C) Is the Investor a Government Taws C) Yes 1/tio fie if the Investor is acting as agent, reprosentatike or nominee to one or more investors. is any ol such mveston a Government Entity) O Yes ti/ No (ii) If the answer to question GI) is "Yes', please imitate the navies ol any such investor CONFIDENTIAL Private and Confidential 9 SDNY_GM_00020446 EFTA_00131066 EFTA01273274 Investor Application Form (continued) FIFA Bylaw 1101 Certification (Meese initial es appropriate:, (c) Individual, IRA. Joint and Foundation Investor= The biretta represents and warrants that it is an inctodual. IRA or a foundation and that It is not required to be a member 01 the National Futures Association rt,fAl or to be *capered with the Commodity Futures Trading Commission ("CFTC") n any rapacity. ilelmar comma on to Section A. fewest°, Acknowledgement) OR All Other Entity Investors The Invest°, (or, d the Investor is a commodity pool the opersor thereof) represents and warrants it n not requred to be a member of the NM or to be se ts eed with the CFTC in any capacity (Pleas* note. while not Sways the case, generally, certain private investment vehicle such as single member limited lability companies and certain limited partnerships comprised of family members, among *them, should initial this section and below if applicable.) If the Investor is a hand or another investment entity and initialed item (0) above. please compete the Mowing. The freesia is a lamay swestrnent vehicle whew participants include only spouses, children, in-laws, grandparents and cousin, or the Investor is a far* dike and has tiled a notice with the CRC under No-Action teller 12.37 The Inrestoi relies upon an exemption from registration under CFTC Rule 4.13 and has hied a notice darning this exemption with Ow NFA The Investor relies upon an exclusion from the definition of the tom 'commodity pool operator' under CFTC Rule 4.5 and has feed a entitle darning this exemption with the NFA The Ineettot 6 a nontentrieulny pan, a connibAcey defined benefit plan', a governmental elan, an employee welfare benefit plan, or a church plan covered under the Employee Retirement Income Security Act of 1974. The investor relies upon another exemption or othenvne is not required to register "nth the CFTC (please indicate below the applicable ecerresion upon wrath the investa relies or indica* the bass upon which the Investor has determined Mal tegneation a an exemption is nor required) OR Entities that are WA Members and/or those required to register with the CFTC: The Investor (or, if the Investor is a commodity pool, the operator thereof; represents and variants that it is a member of the NFA and d registered 'oath the CFTC Please indicate below the capacity in which the Irritant (or the operator thereof; n registered (commodity pool operator, commodity trading advisor, (Munn COmmessicn merchant, nuoduono brakes, a retail foreign exchange dealer: I With respect to any such plan to with an anwloyee may voluntary". coMfibute, no portion of an employee's rontnbution is committed as margin :"9,Prenti4O1Cilf DIMAS or options cannons • Private and Confidential 10 CONFIDENTIAL S0NY_GM_00020447 EFTA 00131067 EFTA01273275 Investor Application Form (continued) 1. Investor Acknoindedoyment The Undersigned sruted consult its own U S tat advisor if it is us-rerun es to whether l n a "United States person" for eirPOWS of U.S. federal ' . income taxation • ' (a) . • . mat mid (diem steam both may be Ittitlited byes inniat • • ir per tenants, tan may be • . • mauled to inset (C) The UrdeeSigWd represents that he. she or it has received. carefily read and sal be bound by the Agreements. including the pre-dispute arbitration clause whch appears re the Subscription Agreement and the Fund Agreement, and agrees that signing below constitutes the immution and tweet of the Agreements. (4) The Undersigned represents that he, she or it has received a copy ol the Memorandum, has reed it end undentloch it, and the Undersigned is aware of the Fund's 'anted promionS On transferability and withdrawal; he, she or it understands That an investment er the Fond ewcives conflicts of interest including that tee Placement Agent and its affiliates veil recent payments from the Imesters. the Fund ancVor their affiliates based upon the aggregate amount of capital cony/minas to the fund (e) The Undenigned confirms that the mestment objective and risk profit appficaUe to the investment in this Fund we respectively. 'canter appreciation' alW 'aggressive • This objective and risk profile is applkable only to this imestment and may ditto from the investment goats and risk tolerance for the overall portfolio and the brokerage account in which this orestmenl is held. (0 The Undersigned understands that an investment in the Fund may impact the Undersigned's future liquidly (eiow, long a short-term) and represents thal the undersigned's Investment goats are conistent with the bite frame of pie rwestmem Op The trwestor hereby authorizes (I) the debit of funds. hom the tons account specified herein or sty other account maintained for the Subscribe, at UBSFS ('Accounts'). any payments required to be made in connedion with an investment n the fund and (2) the credit of any lunch to the Subsater3 Accounts. Including any chsutubonS made by the Fund. th) The Undersigned understands that the Fund may in its ode and absolute discretion accept as your Capital Cameo:ion an amount ten than the Capital Contribution applied to herein zi) The Fund is required pineedically to provide infotmabon to regulators of exchanges oi markets to which it is subject. The Inimseor acknowledges thtt UITS Financial Stnices Inc arid its *gents and grimes may receive requests for inhumation from the fund to comply with Such demands Metcalf for the disclosure of non-public personal information about me that is rotated or unrelated to my investment in the The Investor acknowledges and agrees that UM Financial Services Inc and its agents and athletes may disclose such non-pubic account information in 'remit» to such requests The frwestor further acknowledges that the Fund may provide any and al account information relating to my investment in the Fund to WS Financial SWIM MC and my ORS financial leorkes Inc. financial advisee (current or future) (j) The investor understands the meaning and legal consequences of the representations. warranties. agreements. cotenants, and contii Me Van cat OUI herein and in the Fund's subscription agreement and agrees that the subSCripUon made hereby may tie accepted in reliance Morten. The In...tot agrees to indemnify and hold numbest U8SFS, including its respective directors. offreit employees and any of its athletes and service prosaders (collectively, the -Indernrified Party') from and against any and all loss, damage. liability or expense, including costs arid attorneys' fees and chsbunements, whch the Indemnified Party may incur by reason of, or in connection with any representation a warranty made herein (or in the accompanying Funds subscription agreement a subscriber information term) not having been true when made, any misrepresentation made • . by the Subscriber or any lean by the Subscriber to fulfil any of the covenants a agreements set loth herein. Or n the fund's sttaiipoon • a nt or subscriber information form ot in nether document provided by Me Subscriber to the Fund or any of es Alines The Undersigned coteries that the Used States is his, her a its country of residence or principal irtrtul MN; place of business Of undersigned cannot make this overwind,, please talk to your Financial e pm tenants. own may be mond Advisor about whether you may Incest in the Fund) to end I The Undersigned represent that he, she or it is a -United States person* (as such term is defined in the Code) for purposes of US. federal income taxation and has provided to U.S a valid and duly completed Form W.9, or successor tom thereto, signed under penalties of perjury by such Undersigned. The Undersigned certifies under penalties of perjury that (A) let U.S. taxpayer identification number, es it appears in the Investor Application Form In this Subscription Booklet, is true and correct and (8) It is NOT subject to backup withholding because either (1) it Is exempt from backup withholding, (2) it has not been notified by the U.S. Internal Revenue Standee (RV) that It is subject to backup withholding as a resat of a failure to report all interest or dividends, or (3) the IRS her notified it that it is no longer subject to backup withholding. The Undersigned will notify the Fund within IS days if any of the above certifications are no longer valid. Upon request by the Fund or the Manager, the Undersigned shall promptly furnish to the Fund valid and duly completed Form W-9. or successor form thereto. signed under penalties of perjury by such Undersigned. The Undersigned has reviewed and confirmed al of the information in the Invester APPlicati0n and confirms that all of the information that is required to be provided by me Undersigned in this Investor Applcat.on n true, actuate and complete in all respects CONFIDENTIAL Private and Cenfideridal 11 SDNY_GM_00020448 EFTA_001131068 EFTA01273276 Pig(c me; 1. Ines Acknowledgement (coon)1 669 nil Pm tecaws, bath may be traced teinecl The Undersigned acknowledges that a Placental Fee of 2% of the Capital Contribution will be charged if the Undersigned invests through a brokerage account. *avower, in limited circumstances the Placement Fee may be waived by the Placement Agent. this Placement Fee is in addition to. and wd not reduce, the Undersigned's Capital Contribution. d the Placement Fee 6 reduced by agreement between the Placement Agent and the Undersigned, then the ;educed Placement Fee to Mich Me Undersigned has agreed will be reflected on the ulIS trade cenfirmaaon The Undenagneo confirms that the Placement Fee has been decinsed with histherAts Financial Ada arid any additional questions wit be addressed if request& NO Placement Fee is charged if ten imesiment Is made through a LABS ad.-tatty program. ON Meese check the appropriate tor below that most accurately describes the Undersigned. fAn individual mat is a United States Person (inducing his or her trims) 0 An individual that is not a United Sul& Person (including hrs or her ousts) OA br0ker-dealer O An InSuraree company QAn investment company registered with the U.S. Saunas and Exchange Commission OA 3(c)01 or 3(c%71 Company QA nonbretht OA pear plan (excluding a goer nrnental pension Pan) O A banking or thrift inStitution (proorisitary) OA state or municipal Government Entity including a governmental nadir gaol OA state or municipal governmental pension plan OA sovereign wealth fund and foreign official institution O Other (specify) (n) FOR GRANTOR TRUSTS ONLY q the Undersigned is a grantor trust the Undersigned acknowledges that any and al grantors of the trust are S persons for U.S federal income lox purposes (please note grantor Trust with non-U.S. persons as grantors may not invest n this Rana (a SCHEDULE K-1 ELECTRONIC DELIVERY CONSENT Corn*" In BeceinwiTY-ls. Flesitaicales The fund may. in the General Partners discretion. elect to furnish SchedJe K-Is ("K• is") to Partners electronically Please indKate whether or not the Subscriber consents to berg furniSted K-Is from the Fund or rile Administrator electronically if the fund woe to elect to do so @lege initial rap and oar met! CalegOry). • I A tr.: • • The Underared consents to being furnished K• Is horn the Randall* Administrator elecUoricady and not by mat The Subsea*. hereby acknowledges that it has read and understands the Disclosure Guidelines wt forth below The Subscriber must blow the Consent Procedures pronded below for oh consent to be effective The Undersigned does not consent to being furnished K-Is front the fund a the Adrnmistraux electronicaly and wants to be furnished It. Is by marl. alataeltalladeNIES By Consenting to being furnished K-Is electronically es set lorlh above, K- Is will be lumished to the Sub's-axe electronically rather than by mad or any oilier means. Nth, Subscriber does not consent to being furnnhed K-Is elettronicaly. the Fund andlor the Adminrstrata wal mad paper cosies of the Subscribers K. Is to the Schutt!! The above consent is for K- Is tor calendar year 2013 and each year thereafter. unless and until the Subscriber withdraws such consent Even if the Subscriber has consented to Herclnankally receiving *Is as provided herein, the Ste/sober may request a paper copy in writing Request for a paper copy of a KT that has been furnished to the Subscrber electrenially win not be considered a withdrawal of its cement The Subscriber can withdraw its consent in writing or by email to investorrelatiornetsmfunds corn Withdrawal wilt be effect*, upon receipt and roll be apt:Noble to K-1 s that would have been furnished tiectrorecany thereafter. II the Subscnter withdraws its consent. the Subscriber will racwe future K-1s by mall. A unthawed of consent elan not apply to any K-Is that have piteously been furnished electronically The Fund will acknowledge recept of any withitaval of consent in witting a etectionicany, depending on how Such withdrawal of Consent is made the General Partner may. in its discretion. decide not to &Monica/ furnish K-1s to one Or More limited Partners, in with case paper copies of applicable s to such Limited Partners will be mailed. N the Subscriber changes its information on where K-1s are to be turntshed electronic*. the S, scriber must notify the Fund and the Administrator in writing at the address or e-mail *dans noted vs the above paragraph Similarly. the Fund 6,0 n0tify the Subscriber in writing or Sanwa if how the hind and/or the Administrator wit furnish K.I s electronically changes To be furnished K. Is electronically, the Sutarter mist have an censer address to which the Fund andor the Admirsoltattt can email K-1s or notifications regarding K-1s The Subscribe( may be rewired to print a coot of its K.1 and attach it to its federal. stale or local tax returns If the Subscriber consents to be hirnished IC-1, electronically, the Fund and/or the Administrator MI send an e-mail to the Subscriber alter each year when its K.1 is available and the Fund and/or the Adrivnistratee wad serd an email the Subacribee it any of its K. is are amended consent Prorecketry To consent to being lutrished K- ls by !mail the Subscribe, must e-mal Imesbx Relations at inwestorreletionsatbamfunds.com stating that it wishes to be furnished K-Is by e-mail. Res will demonstrate that the Subscriber has the ability to receive K• I s by omen and will be able to recent K-1S sent to the Subscriber by e-rnal in the future. CONFIDENTIAL Private and Confidential 12 SDNY_GM_00020449 EFTA_00131069 EFTA01273277 K. Investor Signatures: Please sign below. Please note that signing below constitutes you: signature to the Investce Applicator, Fawn. the Subsenotion Agreement and the Find AgFeement in madame with their term c> . GrhSiOitle NIC111•R 11 Pr'''. Wore nn Plane d Aticn$ %wove' MAKE SURE YOU HAVE COMPLETED AU. APPLICABLE SECTIONS OF THIS INVESTOR APPUCATION FORM. CONFIDENTIAL Private and Confidential 13 SDNY_GM_00020450 EFTA_00 I 31070 EFTA01273278 For Financial Advisors All "wester Applications must be submittee on FIA to UOS Altemabve Investments US no later than 5 hill busloads days before 5 gm New York Time prior to month's end. I. Investor Suitability and NFA Bylaw 1101: With legard to the proposed investment of the aforementioned client in the Fund I. at Meng* Advisor to the chem by signing below, certify that I have- ( 1) informed the client of all pertinent fee It routing to the lictuidity and Transferabilicy of the fund, inducing the obligation to maintain sufficient timidly to meet onooang capital cats (if the Fund has a Capital cat structure; on potentially than notice and that the n'estment may impart the Cheats Mule liquidty. 2) reasonable grounds to believe (on the basis of information obtained from the dent concerning the okra age. investment objectives. insestment experience, income. net mg*, franca situation ar4 needs. Other ', vestments and any other information known by me. inducing the attached CAI) that (a) the Fud being subscribed for is savable and appropriate for the client (b) the client meets all applicable minimum income, net worth, liquid asset and other objective eatable* standard& lel me client can reasonably benefit (including realizing any intended tax benefit, if eiape6atee) horn the fund based on the client's bruncol position. toenail Immanent objectives and podia° structure. (o) the client can bear the economic nits of the investment in the fund: me dienfs goals are consistent with the time frame of the investment and (1) the ikon appears to have an understanding of (6 the fundamental rids of the fund (inducing that the dem may lose his or her entire investment/. (a) the restrictions on the fanicity and transferability or Ow fund. lei) the background and qualifications of the soon:Or(s) and investment inenargo(s) of the Fund, and fir) the tin consequences with maid to an enlistment in the Fund; obtained a valid and duly completed Form W-9 or W-8. as applicable, or successor form Onto. signed wider penalties of perjury by the dent and I have properly placed such form on file purstunt to internal WS POliCy, and (a) confirmed, with reasonable due inqury. including may review of relevant account documentation, the client's repreentations provided in the NFA Bylaw 1101 Certification fit applicable) Regarding lion 2(b) abode In the event that the client iS an entity (such as a trust or partnership, that does not itself meet the nonimen investment requirements (mob as let worth) I have ascertained Iron the appropriate panes (such as the Clint's trustee or general partner) that al of the client's beneficial owners meet such requirements. Vine this investmentputt in the client holding more than 30% of ht net worth as evidenced on CM nAttematise larestmentss OYES IINO t assisted the client in completing any information tat is requited to be proaded by the Cheat in the Investor ApIdiCalIOn. I have done so pursuant to the dent's authorization and direction scsagr based upon Mk:Malian that has been provided to me by the client t I did not asps( the client in completing any information in the kwestor Application. I certify that I have reviewed the completed Investor Application form, and I agree that all the information m connection with the Clint's investment in the fund that is provided by the dent is correct ano actuate. It. Investor QuallfkatIon foe Offshore Fund offerings only: I have reviewed the 'Country Qualifications" append to the Memorandum or Subscription Agreement and n any applicable supplement to the Memorandum or set forth in the irntruchons on the UBS intranet and I certify that I have reasonable grounds to believe that the dent is qua/died, under the law of its country of residence, as described therein. to mad in the Fund Medd:Son. it 6 critical that Financial Advisors review and understand the Rules of the Road CROTR-1. with specific locus on alternative rutin:lents, for each country in which the Financial Advisor expects to conduct cross border business and hereby confirm that I have reviewed, understand and have complied with the applicable ROTR It Financial Adasor Servitors Please Sign Below): Print Name of financial Advnor Financial Advisors must reconcile the Information listed on this applkation with the clients account records, including updating the client's net worth. objectives and any caber relevant information. Itnaixial Adesee E Adored Placement Fee aIkintefricirsumnancisi (mewl.' be charged in addition to Capital Contribution-) t that accompanies ani's form must be Branco Code6A LoNistco N101 SC.;/ Pb' Ni 11$ anneKa non d signed Financial Adviser Telephone elense nsalte..suce your Branch Manager signs the following page. CONFIDENTIAL Private and Confidential te SDNY_GM_00020451 EFTA_(() I31071 EFTA01273279 For Branch Managers IV. Brandt Manager Signature: locally that I have re/revved the competed bettor Suiutity and Imester QJaldkabons %MOM above, the dent InvestOr Application Form and CAL and if amicable, the Country QuaNiemen," appendix to the Memorandum a the Subscription Agreement and any applicable supplement thereto or set forth in the instructions on the UBS inUanst. In edition. ills cake; that Financial Advises review and understand the Rules of the Road (*ROW), with specific focus on alternative investments, for each county in which the Financial Advisor expect to coniata cross border baseless. I agree, based upon the information known tome, with the Financial Advisors determination that the investment bang subscribed ford suitable and appropriate Mr the dent and the financial Advisor has rerieVerefi understands and haS (emptied with the applicable ROM. I agree that, if the Financial Advise assisted Me client in completing any information that is required to be provided by the client in the Investor Application, based upon information known to me that the Financial Advisor has done so pursuant to the ctent's authorization and direction scie)y based upon infatuation that has been provided to the Financial Advise by the <Sent By signing below, if applcable, I have delednned that fn if the proposed investment is for an Access Person's (as defined in the Investment Maser Code of Ethics) employee or employee-related motet, my signature evidences ne pre-approver of the trade and that (2) the *CCM Person's proposed investment: a) wit not unrolls emit *City of eligible clients of U85 financial Senses Inc ('the him') to participate in the proposed investment and (b) does present a material conflict with the inteests of the Firm's <Gents or the Firm. tFP 4 ot6eY She lt main Print Nene of Branch Manager Starch Manage Sara tae: WeltatCM If the above named account is a UBS Financial es A, then the Ranch Manager, as a result, also signs as the custodian of the IRA and accepts end agrees to this subscription. qu..91,44 Date (MUST BE COMPLETED) Nos: If istructed the CAP Statement that accompanies this form musts dared Store or the same day vier appicathsz erred. PLACEMENT FEE APPROVAL SECTION -THIS SECTION IS ONLY REQUIRED IF A REDUCED PLACEMENT FEE IS CHARGED to be completed by Complex Director or Complex Admln Manages as Delegate tit necessary) By signing below you have *greed and accepted the maned Placement In 'bow in section el II you do not agree to the reduced placement lee. please inform the bunch vitt is responsible for contacbrg Al riveter Service Call Al Investor Services at (888) 962-3842. option I, sub option 4 for questions Print Name of Complex Director Complex Director Signature. Date (MUST INE COMPLETED) CONFIDENTIAL Private and Confidential 15 SDNY_GM_00020452 EFTA 00131072 EFTA01273280 Subscription Agreement ADDITIONAL INVESTOR REPRESENTATIONS AND COVENANTS near benaodges rat nas had le cope hay to wen Ow atend s Offe2 Merroraawn bleemeanab'S al to s reepentem legd mc) tat idea a tenneCten rang enesenwm. afar Se ken the manage, odd nor arty Of nee aflame; teondes tee mete in OnoteaiOn rya la in fa lee: a ad. ta' afal redubtory scareases !indeed n Me 3.4earandter: be of an ersaelne acre ab. do ra contra legal tan a segalOry advice and may b may net be Meant to Inman perks al orariabees tap feskum Menage ~9 ib &Mimes. a ne Case may he; eased as a placement agreement aft Urn I Fa nte Serves Kt.:Ilia/re Ream 10 wan 1.656 well nave • ~ad See ter alb:~ attune %ma Solichabin Man a a comertart :had from the enalenen Mahar, wan may tannhua a n lady of she management tee Gehenna real by the barren' Merager am the fund with react to tum anti Sun me rat be payable to UEISFS a it leg as deers sitrauCeP to nap sud by 6856 fat fl an re haw a Sterna dwelt, ce naked neared by as hale advise a a wasp& 1.456 vid tenon an Kean; lees led rot distrtuari In sede respect IC ban alas that makt as antere Pasoan to an area abeam To :he fl irt tO/ aptalte ria tallmon. Vis Enasal Sean. Is 34300ment agent da may rebate al: oi • ;onion d earthNe ote elan rerrari eldrape la interned dean To an Weary aerial where Me fat a' FranCee bean a compensated a per mama &Alba t0 Sun eater ~en: r the Xteestreerc S bead by an smareent urger a U85 away program between U95 and the Irate r. tie labor acknovalgen rot I the ante dean to eel fuch 1,26 acfresCar rmoram the atale maT be Meal the saw itialgellent Fee pad by nose united lanes ei t! fund taw at net nepa a s Utt5 &Mao program or Mead au daa Sway shane Can and abed ense a naddheSay share dada« may ea in se ealecances 1f0 odar Crate, The Mate sØØ wire far let emu on INS Ind orka enders eta rarg an fitatera in u»lord Secaraley. the basso" eknoweetes taw a RaCerara fee of 2% of Inc cab< comanon arta will oe naiad d the neon ants Inroad, • ocemage 4~6 area n Vona croansteces the Rare' Fee may e Sid by the flaterall Agent TIM Mammal Fee is a addlienn so. and will not reduce. Ow hasten boa conlatan emote ada aleareent feen 'educed or agreement between be faecal Agent and the near. Ian tee rued Olarenseret fee to Meth ese metta ms egad al be mated on the la rack corftrmater ', wear tincerstancis and aides tat 1•395 aM man of a bleats may be mamma Mr Meat UISTS bah to aainatme aslant andes managed by the eraelena Manage. a et atlas ate( than Me Surd. :ii aft lees may he ewe or den then no lee niaa by ulTS/S and OS Valais n CalfiKten tall: the plaemml of beta in the Idyl deenly, ads ea certain of es Wanes an ~pentad los ~ding sienna to *Seteraa armrite enameril what les. when compunation an indict tabula e &weal les. ensestmeni awry mar enanagerrent ard ban other :ea inauta3 Patehance fee, and df a flue of re Mad area to Uts6 and its alma corpmes. re sant of conartawn 1hel U9S6 ova gene .MN new 10 the as d aflame et poponary aria • ream than the ~aunt payee le Ire aganeasere s a tale Iran the sis or ishavated asennenn five la' roof managed by rwd Patty Mars, WAS wash fees Id alaulson. Ihareirolder wan et aciimprt tØ a • rombaten Sera clopenong an the arranonram U3522 has teeth me Ned party. be the Data thit a Staab et/e40/ was may Ores kern one hanti le bane art if we two NIS en Chirped the lame management tee naedo' erttentabalef lee •Je. tole 4. %tat an mesa aid pay the sane amount n her. and In, Inie &Mao in beger ansi mar cede ar notelet la kaannal Maas 10 returerma Ands for Kea wery recent toga mailerefeaten tenor has conlaced at fantail Adair win ay gears C nay hate legaing the Catflensaao read by tartan Franca ante meste pen to 690 csanlawaf toy tammon ciblood la maw by es IMPS Fatal Adtoce rating ta Kends ri return hotwascrowig erehao apersed or erased to ye may hewn. Meat unclean& That It is ablated to tease teary and as emit, new lateen& dry the ta Varna ed as nand the trauma covendited newt and a mantas ofd ry aud firduting 0~ a aner tax teases) rat are droned bang to sun to reamer. and as lance Kestor Weft That, baba. we Sung or :he kwestare Manager ander at Adonis:rater may baby a laugh • sow* providete pow* to the attestor tor the aeon% Caboted *Seal steen(!, KKK ard other achluntateet read; to the espy enact a nears enemata a La Fund m falanK fax fa as anti ran Password protected Knot nano on the Fumes lees sa, n lieu d a n aildmon to andre sten corfnunatial es had ewes et Is a mat Phase etat pal era :heart are not setta and may bead Mabee viruses re Ott Ogees. Ty na be ecarey raft en ono alas. ar .,ay he irereeded, Oren, at naiad web teteak the Ø0e d the sender or the ~Kid reopent. De rut* tM (ratetant maned/ re the Anonstrinas hate no wirranies in read w eire mates the tremor ~Kurds unet tie Fait the reastmen %mar and the awensiralee ere tM reghl To ',reveal moat arc teten eaeli ~sage .0 and no,. the tams as prone by agolicear as If the trale ha ar *cubes atout atherarry of an end puipanedy see by ti Fend, the *nested µrage 0 the Anti a& IØ a ~opt a weal *Smeder:. the new it awn to Oaact the purponad sera racenta The abbe at eiremacts Na le balsas re em aid may haw to elect 01 reirrug the Yasuo to hY Inn b orar tax wash n aanotchans in vetch the fcre ce any arsain94Aø is *wad the Mena awn ~Oa ettstaget area 'NEW ISSUES* EXEMPTIONS bot walkable to errata tamest araOures. astaxal b per accounts. UGAIA a UTMA emcbeS teem are amid at heel pan kw ros Oaoser eat la Beneficial :Meal el mated PeratS00e4 imenneese in VW agegale lb% et menor cc d the Macey ~ea cee ar teeirkied each n I-el/watt' ~ad/ It VW 10% it the eapleltOl tast the Ø nee Proateelit a iefkae no land col etret of all inarae0 pars al, apse to row issues a ree Magee Øw 10% 3S7 The Saki& bona ot 5131 Cosa Persons *es to: acted in re /dada 25% 01 the Urdenigne• er the Cieneldel Mega ef aSl 5:31 Care* awes en the ~era mceeds n Me 4WWit 2S% of The ~nand botde undenatied - ha implemented proneves redixe Pr antelion Wet% Of SI31 Cared Pena with ranee 10 hew tatt n Sse apnea, Eaton 2S% 2 An ~Mal berary manta ender la• ~Ment COne)46 An 3 A cram an Turd Stat fis maibann fan IOCC or moat ~vs and tees ratt hall arts: r: tie tono ~pally .0 Ina bears ol reseda, Ø • An ~ante r=//pally 0u1ø. tagne Cr n alment account ptcsded Mt Id ta arose is %add br panne troy loao n freer 90~/5 CA A a toned account IM innerte teleenial has 1000 or Mye poky dam e"o re twat« Correa don not limi one pokyabb wage bean re toed to Said me 4Øt orredaayli) le« led pray. as d a general data Me ~ace many don rot keg . pencyacdcleal benotate to resented area S A panly tad way den than lassfalee ea an arPiate o I a trokenderle 'Min such ~- dear :5 anOreed tO engage a en oink 0tkrirlq el new owes othee as • selling gaup renew a trolerwrier: that is listed an a national ~MS ethane, d rah an ne NAMPO Witaanal Mae b • a loner Sue/ vane whines meet re ~Ma ciagfain Cana la' In/t9 ca a natiOnal ~at/ ~hear ce cm WASOAO Nateral Maa: 0 An natant Calany Crganaed under he laws 474 • Omfan Neiman Sawde: the ne drreseneat ~nil Is Idea On a far «hange ør awhaalaed for ri t s te dole by a (oval reoviatory anion, and Intl /10 person 0Nren0 5 percent at nice Ge the urmen cameo es • eased pace 7 An :Aida benefits den rat 6 dada ace Becton arlt cd the Code. 0/0i%/ed dat seede 06" ealanered tot' nya bider clear A Slate a neleCal averame beat pun that o ~algae at minicalcalateen 9 A idieseept denude cegandatonuncia Seaton 5011c.ileof the Code IS A flora an order Sarah asaal d the Code ArniMonoy Laundering Tafmnifith•MII• n Ora to envoy an urea Suds end apeman»: atsi amid al the *Seerman of money lenrehro ta wifrit !wen each ~or that n an indadal sentient eat. nnonse win sags, Private and Confidential le CONFIDENTIAL SDNY_GM_00020453 EF1'A_00B1073 EFTA01273281 to is not. Ms w any Careen or wag cotaang. conuoted by a tdti <wawa cowl wan re owed*. a 'Probated gear :a ;arson ached in chatty :alanderthg a Went aCbreeS, triaging *ow *Paw a /Mans eat are included at any relevant led maintaseed Ity the U.S Trnsta Offslieem °flee of Fabian Assets Cate* ragy Senor nnatSel PclifX4 hates, their wrinvate Canny menten and dose assonates. and any roar art bail War, each wavy tat 6 an entity farriewis that. among Cialsr owns. td rl has caned oat thene41 due dame to aura the manes 01 it IWYWKW Maths. (,G a reasor4bly beano that ro berefttel comer d a Vinnated Fallen* . Oa rats tre enlace of such airbuses and cat ano *4 mania Pa% sasienatal tor at east !we yeas from the now of its <away vmhdrawa from re had aro fie it swim*. walla such nlownnen and any addtaal adardoon that the Turd andt: pe AdmeinAraler may nalae upon Tema that 6 Vesseed rOpkable (equation (ac' of the rand and tee ikermaintIOr resents re right tc knit.eit lsKh Toth* ofonr.ata% as t consam necessary to reify the gentry of a ~eta ander en Sewee at fun& In Shit fern a aney lease by the wax to produce any Inkansallas regusliC Ice tenercaeon *masa ant fital allot Cle Adineennlor may refute to accept ,a Mall n tne case of de Admniurated an aeohlalia" pate acirnalion has been pronad al any film teemed wl be inumed without traits* le the accamt Iran vach to manors way airily &bred VS (Canal iliceanbasS and an/Cully/ at*" adenriStered by re V.S. Treaty Dept/felts Office of reser Assets Central I 'OFAC pat% elste9 at :ling: the warrant in VarlfaCta6 wits and Me grouch of Inas to, Oda natal 5. caste. teentown. 'menet and masoclas to as of OFAC of dada manes. tenteta. texas and abuts an be bald an the OFAC wee Ote al —ONs gOWOCK far InveSICC fetireSenn end warrants that, among oar ening, are of ess wesa. ant Mesa conuoing, concrolled by a iandef Lorrirroi coranl with on orKeSlar. are P110, n erne • anacia intern. in thit 'nester a a/ person C *sem the neva 6 *lag at agent a Forme. * corewoon with C watmart in re tuna a a CesnIcy. ltntwy, pecan or Minty naffed en an COAC Sista 6 a perste a enoty pal fawn a has &place of business in a Manny or away awed on sad% list la rano we, not wadi Wy More" nom a PIOSIXWat mace a re cannel make the reptelardatien elearibeci et the ofeadie4 wawa Ya additcn to OIAC tandems, emestofs act tamed tanners are gnawed le grader inloimao and docsarnatert niquelatd by Ow fund lee Cannel Paravr a use turn twat* le ere/ sobs I S a4S- roney asuoleting revs and Cr:gunboat als was as. beatify. towpath laws and ntgelmons w afar lunaktiOnS Tars bort...0mM; dna 04 the law. al M rub extent or ant dockateS %hills may be respired (enrol to dredcard Sy Way a *ant*. It. Rona and Mt AdernSeant Were Pie flint to mews' such inlerrnatien a 6 naeSSaly testify Ow ittenity of a Anita and in bigot of funds Private and Confidential 17 CONFIDENTIAL SDNY_GM_00020454 EFTA_00131074 EFTA01273282 Fran W-9 (Rev. sett 20 I 3) DeverInhere of te Treasury I nn Reese Sena Request for Taxpayer Identification Number and Certification Name las shown on vat aflame lax fetia GhIsSalne Maxwell Business rernehlorsewded miry nonce deferent horn tore Give Form to the requester. Do not send to the IRS. Check imprOcrktne box kr federal to classilkatiorc Inclincluarsow pomace 0 C Cameroon 0 SCormatIon 0 Pertherehlo 0 Trust/estate O omens Italy company. Enter the tat ciesedcasen C=C caponttion SvS corpordon. OsoennerthaPIfi. O Olive (see Instruolkins)• EsemptionS bee inauctionia trot payee company) Fairmont+ from MICA mooting code SI awl ass tamer roma wa . a Suite no./ Ley. VS. anSZPTiade New VP* , NY 10065 Ual aeCounl turrterN) tare beta* RelueVers vane and widen (C0teall) Taxpayer Identification Number (TIN) Eder your TIN in the aopropnate bar. The TIN provided must match the name given On the Name line to avid backup ernhholding. Fa indvidualS. this is your social security number (SSW However. lot a resident Wien. sole proprietor. a disregarded entry, see the Part I nate:Odle on page 3. For other entities. It is your employs identilIcabOrt number (OK e you do not have a rumba. see How to eel a TIN on page 3. Note. If the account Is in more than one name see the chart on page 4 kw guidelines on whose number to enter. on - Certification Under penalties of perjury. I only thee 1. The number *ham on die form is my correct taxpayer Wentillcation number Whim waiting for a number to be issued to me). and 2. I am not subject to badwp Wehholditg beta ism fin) arn exempt horn bedded witheoldthA a (h) I have not been notified by the internal Revenue Service (IPS) that I am subject to backup withholding &Serino's of a Mitre to report ea irenn Or tevidends, a (C) the IRS has notified me that I am no Mir" subject to backup withh*fing. and 3. I am a U.S. citizen a other U.S. pow Weaned beicra). and 4. The FATCA code(*) entered on this form 61 any) exec/rang that I am exempt from FATCA mooning is correct. Cadre:Leon Instructions. You must cross out item 2 save If you have been notited by the RS that you we Currently subject to backuP wfihttoltfincl end dividends on your la return. For reel estate transactions. nem 2 does not apply. For malgage Of Stewed PrOCottY. Cancelation at debt. contributions to an individual retirenuire arrangement (IM, end and ds4dencle, you we • rewired to sign the certification. but you must provide your correct TIN. See the Social security number I Employs identitmellon number because you have faded to r infixed paid. aCQUetnil genoulty. payments other dructions en page neral Instructions Swoon Marna we tote MemelRevenue Code vast °Meade noted Future developments The IRS has created • Pace on 10.5 gar ix otonsams about corm W.6, at wiarrecgovrw9. InfonnetiOn tan any Mae demi:roman allecfrg Form WA ouch es leglidalon emoted after we releue it) vie to posted on that sway Purpose of Form A pram who es requkred 10 IS an Intention roam Mei the IRS east coin your correct tsatiterer idenlecallon number OW to meow lot was. Income pad to you. payments made to you n seamen ot owned cad met Vint party network tram/venom reel plata transactions. malgage interest YOu pad ealueleltin a slandonmmt et secured property. onceiestion a debt. a contribution, you made loan IRA. Use Peen W.9 only it you we • US. pence ercksang a resident Mere. to evade your correct TIN 10 the mason resetting it tee requested and. when applkaele. lo? 1. Cerny and the TIN you as Pane y cowed for you we nen° bra number 10 be earwig. 2. Orly that yea we net stated to backup wateteng. a. Cr exempren torn backup wehholofing11 you we a U.S. exempt payee, if aortal*. you are Si Certifying that ass a U.S. person your allocates share el any AWMeratep aware from a US. trade a business a na sited 10 the Dote • wthenktho tax on Iona* pours' shay of fl ed re* o0Meaed moony. and 4. Cagy that FATCA coastal entered on to farm a any, Irdcatins that you an mew° from the FATCA repatag. is cared. Nola ft sou am aU.S. parson wid a requester gives you a farm titer eat Fonn W-0 b mama your 11N. you Mal lie Me requersters form if a tn sonnenbaly pills to this Form WA. Delinalon or a U.S. person. For federal lar Disposes. you ere COnsidefod a U S. Wan n you arc • An idivacil tap a it U.S often a US. rowers aren. ▪ A rm.*. corPorwiers COmPaW. a ataciaton crewed a agaraid n the USW Stara a under re lava a the tinted States • An estate (Other than a feign estate). a • A *amnia trial (as definer) In FteguleflOns section 301.770t.i), Special Mee for partmesleps. Partnerships that caoxt a trade or animas in Ow Wiled Sales we gerenay reqtawd to pay a withhold% ter wider melon 1446 on sly tertian partnere awe or eNticlively connected taxable Mean from such buena. Foils. a Certain Cases where& Form WA has not been Waved, the nen uncle >41COOn 1448 name a partnership to praetor* t-a owes le a lodge person and pay art smilen 1446 wmnokling In. Therefore. If you ere • U.S. pasta urn is a Saralee in a partnership ccedtoins a vide or business in the dried Sues. provide Form WiSI to Me partnermo p irslatien your US. status and sold totem 1446 wahholang on your Shoo of pen nersho (Kam,. CS. No. 10231X c.,trottaistrm CONFIDENTIAL FornW-9 jaw Caws) SDNY_GM_00020455 EF1'A_00B1075 EFTA01273283