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efta-efta01409126DOJ Data Set 10Correspondence

EFTA Document EFTA01409126

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DOJ Data Set 10
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efta-efta01409126
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EFTA Disclosure
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EFTA01409126 DISCLOSURE STATEMENT AND ACKNOWLEDGENMENT July 27, 2015 Southern Trust Company Inc. 6100 Red Hook Quarter B3 St. Thomas, VI 00802 The Key Client Partners ("KCP") business of Deutsche Bank Securities Inc, rOBSI") proposes to introduce you to the Corporate Banking and Securities ("CB&S") business of DBSI to discuss, if you deem suitable, a possible investment (an "Investment") in a life sciences company (the "Company"), which is primarily engaged in the production of genome sequencing equipment and solutions. KCP is not offering, selling or recommending the Investment, and is not acting as an agent for CB&S or the Company. You must make an independent assessment of the Investment, considering the nature, materiai terms, conditions and risks presented by such potential Investment, including reievant market factors and other investment considerations. If you elect to make an Investment, KCP will be paid a referral fee by CB&S, which may incent KCP to refer you to CB&S instead of to other possible Investments for which KCP would not receive a referral fee, or would receive a lower referral fee. Additionally, KCP and CB&S are separate businesses of DBSI, which are under the common control of Deutsche Bank AG, and which may be viewed as further incentive for KCP to refer you to CB&S. Please sign below to evidence (1) your acknowledgement of this Disclosure Statement, and of the disclosures included herein, (2) your confirmation that you are capable of evaluating the proposed Investment and (3) that prior to investing, you will determine that the proposed Investment is suitable for you. ACKNOWLEDGEMENT OF RECEIPT We acknowledge receipt of this Disclosure Statement and Acknowledgement from KCP describing the arrangements between KCP and CB&S. We acknowledge that the Investment may be illiquid and may be subject to restrictions on redemption. We understand that KCP is not recommending, offering or selling any particular Investment to me and is not involved in the EFTA01409127 placement of any Investment. We confirm that we: 1. are a "qualified institutional buyer" as such term is defined in Rule 144A of the U.S. Securities Act of 1933, as amended; 2. (a) are capable of evaluating investment risks independently, both in general and with regard to the Investment; (b) will exercise independent judgment in evaluating any potential Investment and our determination as to the suitability of any potential investment therein; and (c) are not relying on any advice or recommendation of KCP making an Investment; 3. understand the obligations and risks associated with the Investment, and have such knowledge and experience in financial matters generally as to be capable of evaluating the merits and risks of the Investment, and are capable of and willing to assume (financially and otherwise) those risks; Confidential 4. understand that, if we elect to make an Investment. KCP will be paid a referral fee by CB&S of up to [•]96 of aggregate value our Investment in the Company. I also understand that, as a result, KCP may be incented to refer me to CB&S instead of other possible Investments for which KCP would not receive a referral fee, or would receive a lower referral fee; 5. will immediately notify you if anything in this Disclosure Statement and Acknowledgement ceases to be true; and 6. are an authorized signatory of the undersigned entity. Confidential EFTA01409128

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