EFTA Document EFTA01358781

U.S. Dollar Amount Total Number of Clients (a) $ 14,269,731,453 (b) 30 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. r r r If 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 list auditor information in Section 9.C. of Schedule O 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  r.  r. If you checked "yes" to Item 9.O.(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 O, regardless of whether you have determined the related person to be operationally independent under rule 206(4)-2 of the Advisers Act. 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: 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? 3 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: ERNST & YOUNG LLP (2) The location of the independent public accountant's office responsible for the services provided: Number and Street 1: Number and Street 2: 5 TIMES SQUARE City: State: Country: ZIP+4/Postal Code: NEW YORK New York United States 10036 (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. I7 audit a pooled investment vehicle B. r perform a surprise examination of clients' assets C. r prepare an internal control report Yes No • r • r (6) 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  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 accountant's report is available. CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0046723 CONFIDENTIAL SDNY_GM_001 92907 EFTA01358781