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efta-efta01370207DOJ Data Set 10CorrespondenceEFTA Document EFTA01370207
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DOJ Data Set 10
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Each entity, including a parent or subsidiary, must separately meet the requirements to be a qualified institutional buyer under Rule
144A. Securities owned by any subsidiary are included as owned or invested by its parent entity for purposes of Rule 144A only
if: (1) the subsidiary is consolidated in the parent entity's financial statements; and (2) the subsidiary's investments are managed
under the parent entity's direction (except that a subsidiary's securities are not included if the parent entity is itself a majority-owned
consolidated subsidiary of another enterprise and is not a reporting company under the Securities Exchange Act of 1934).
We further certify that we will purchase securities under Rule 144A from or through you only for our own account or for the account
of another entity which is a qualified institutional buyer including, if we are an insurance company, our separate accounts. We will not
purchase securities for another entity under Rule 144A unless it satisfies one or mare of paragraphs (i) through (v) above including as
applicable the $100 million test.
We agree to notify you of any change in the certifications herein, and each purchase by us of securities under Rule 144A from or
through you will constitute a reaffirmation of the certifications herein (as modified by any such notice) as of the time of such purchase.
Assets under management
Name of entity: SOUTHERN FINANCIAL, LL
$100 MM +
Calculated per Rule 144A: $
By:
(State a specific amount ounadAnYeetechrney-be approaimete but not range or minimum)
(Signaiure of Chief Rnandel Officer or
DECEMBER 31, 2015
JEFFREY EPSTEIN
Most recent fiscal year-end: _
Name:
(Month/day/yell
(Print or type)
As per date
OCTOBER 21, 2018
MANAGER
ownedAnvested:
Title:._
(complete only if the celcuiefion date is after most recent liscai yearend)
(Prim or typo
6100 RED HOOK QTR, 83, ST TH, VI
(Print ce typal
(Print or type)
Salesperson:__
13-AWM-0055
013787.041714
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e)
DB-SDNY-0062865
CONFIDENTIAL
SDNY_GM_00209049
EFTA01370207
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