EFTA Document EFTA01364570

GLDUS238 SOUTHERN FINANCIAL LLC Important Information for Recipients in Certain Jurisdictions (4/6) For persons in Japan. The information in waitron to any interest and( or investment has not been and will not be registered pursuant to Article 4. Paragraph 1 of the Financial instruments and Exchange Law of japan claw no. 25 of 194$. as amended) (the 'NEL') and. accordingly. any interest and/or investment in them may not be offered or sold. directly or indirectly, in Japan or to. or for the benefit. of any Japanese person or to others tor re-offering or resale, directly or indirectly. in Japan or to any Japanese person except under circumstances which will result in compliance with all applthanle laws. regulations and guidelines proem gated by the relevant Japanese governmental aria regulatory authorities and in effect at the relevant tine. Foi this purpose. 'Japanese nthrson- maans any person resident in Japan, including any corporation or other entity orgenzed tinder the laws of Japan. In Japan. this material is distributed by Credit Suisse Securities (Japan) Limited ("CSJL'), a registered Financial Instruments Firm (Director-General of (Canto Local Finance Bureau (Kinsho) No 66) CSJL is a member of Japan Securities Dealers Association, Financial Futures Association of Japan, japan investment Advisers Association and Type II Financial Instruments Firms Association. For persons in Malaysia. This document is provided on a confidential basis and made upon your request Tnrs document does not constitute. and should not be construed as constituting, an offer or invilaten to subscribe for or purchase any securities as defined in the Capital Markets and Services Act 2007) in Malaysia or interests (as defined in the Conthanie,s Act 1rai5i to the public in Malaysia. The dispatch of this document does not make available any securities for subscription or purchase in Malaysia. This document has been issued outside of Malaysia and no issue, offer or invitation under this document has any effect in Malaysia. For persons in Mexico: This marketing material is distributed in the United Mexican States ("Mexico') by a Foreign Fthancial institaaion (Institution Financiera ?lei Exterior, not subset to the supervision of the National Banking and Secunties Commission (Comisian Nacional Bancana y de Valores) (the' CNBV') The securities mentioned herein are not registered in the National Securities Registry (Rogistro National de Valoresj (the 'Rita') or in the International Quotation System (Sterna Internackanal de Cotizacthnes) (the ;SIC") of the Mexican Stock Exchange (Botha Mexicana de Valores), therefore such securities, its issuance. offering, distribution and listing are not subject to the supervision of the CNBV or the provisions of Mexican law The securities shall not be sub*I to public offering, listing or brokerage in Mexico unless registered in the RNV or the SIC pursuant to the applicable legal provisions. For persons in Monaco: This product may not be offered or sold, directly or indirectly, to the public in Monaco other than by a Monaco Bank or a duly authorized Monegasque intermediary acting as a professional institutional investor variaah has such knowledge and experience in financial and business matters as to be capable of evaluating the risks arid merits of an awestment the Fund Consequently, this document may only be communicated to banks duly licensed by the -Autorite de Contrtale Prudentier and fully licensed portfolio management companies by virtue of Law n" 1.144 of Jula 26, 1991 and Lave 1233 of September 7, 2007. duly licensed by the "Conmassion de Controle des Aativitas Finanaieres. Such regu€ated intermediaries may in turn cornaniniaate this document to potential investors. For persons in New Zealand. This information has been prepared for and is provided only to permitted recipients In New Zealand who qualify as an Investment business" or "government agency' within the meaning of clause 37(1) and clause 40 of Schedule I of the New Zealand Financial Markets Conduct Act 2013. For persons in the Sultanate of Oman. The informatkin contained in this Presentation nether constitutes a public offer of securities in the Sultanate of Oman as contemplated by the Commercial Companies Law of Oman (Royal Decree 4174) or the Capital Market Law of Oman (Royal Decree 80;913i. nor does it constitute an offer to sell. or the solicitation of any offer to buy afoul-Omani securities in the Sultanare of Oman as contemplated by Article 1M) of the Executive Regulations to the Capital Market Law (issued by Decision No.1(200)). Additionally, this Presentation is not intended to lead to the conclusion of any contract of whatsoever nature within the territory of the Sultanate of Oman Glendower Capital SIR Om), CONFIDENTIAL CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0055118 CONFIDENTIAL SDNY_GM_00201302 EFTA01364570