Text extracted via OCR from the original document. May contain errors from the scanning process.
AGP LP 519 Alpha Group Capital Paul Barrett
person authorized to make decisions with respect to the entity, and each settlor
or other person who has contributed assets to the entity, is a "qualified
purchaser;"
K
(v) an employee benefit plan that (a) owns not less than $25,000,000 in
"Investments" and (b) does not permit its participants to decide whether and how
much to invest in particular investment alternatives;
K
(vi) a private investment fund formed as a corporation, partnership or trust (an
"entity') that (a) was not formed for the specific purpose of acquiring an interest in
the Partnership, (b) will not have more than 40% of its net assets invested in the
Partnership, (c) would be an investment company under the Investment
Company Act but for the exclusions from investment company status in Section
3(c)(1) or 3(c)(7) thereof, (d) owns not less than $25,000,000 in "Investments",
and (e) in which each pre-April 30, 1996 beneficial owner of which has consented
to the treatment of the entity as a "qualified purchaser;"
K
(vii) an entity, other than a private investment fund (see (vi) above) or employee
benefit plan (see (v) above), that (a) was not formed for the specific purpose of
investing in the Partnership, (b) will not have more than 40% of its net assets
invested in the Partnership, and (c) owns and invests on a discretionary basis, for
its own account or for the accounts of "qualified purchasers," 525,000,000 or
more in "Investments;"
K
(viii) an entity, each beneficial owner of the securities of which is a "qualified
purchaser;"
K
(ix) a "qualified institutional buyer, as defined in Rule 144A under the Securities
Act, acting for its own account, the account of another qualified institutional
buyer, or the account of a "qualified purchaser (please refer to special
instructions in the worksheet attached as Appendix C); or
K
(x) none of the above applies (further information may be required to determine
qualified purchaser status).
Investor Type:
Each New Limited Partner must complete this Item in order for Alkeon Capital
Management, LLC (the 'Investment Manager) to be able to fulfill certain reporting requirements under
the Investment Advisers Act of 1940, as amended (the "Advisers Act"). Please check the one item below
that best describes the New Limited Partner.
The New Limited Partner is':
0
(i) a natural person resident in the United States (or a trust of such a person);
K
(ii) a natural person that is not resident in the United States (or a trust of such a
person);
K
(iii) a broker-dealer;
References to a 'natural person" in items (i) and (ii) include individuals. the trusts of such individuals and their IRAs (as
applicable).
3
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e)
DB-SDNY-0068687
CONFIDENTIAL
SDNY_GM_00214871
EFTA01374139