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sd-10-EFTA01370207Dept. of JusticeOther

EFTA Document EFTA01370207

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 pare

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Dept. of Justice
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sd-10-EFTA01370207
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Summary

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 pare

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EFTA Disclosure
Text extracted via OCR from the original document. May contain errors from the scanning process.
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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