EFTA Document EFTA01358754

Yes No (g) Are the private funds audited financial statements distributed to the private funds investors? r (h) Does the report prepared by the auditing firm contain an unqualified opinion? f; Yes r No C 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. 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 CLEARING CORP. (c) If the prime broker is registered with the SEC, its registration number: 8 - 43724 CRD Number (if any): 28432 (d) Location of prime broker's office used principally by the private fund (city, state and country): City: State: Country: NEW YORK New York United States (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? Yes No r 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 (c) Primary business name of custodian: STATE STREET BANK & TRUST (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 r CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0046696 CONFIDENTIAL SDNY_GM_001 92880 EFTA01358754