Text extracted via OCR from the original document. May contain errors from the scanning process.
AGP LP 519 Alpha Group Capital Paul Barrett
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(x) an immediate family member of a person described in (vii) or (ix) above. Under certain
circumstances, a New Limited Partner who checks this box may be able to participate in
New Issues. The Partnership may request additional information in order to determine
the eligibility of a New Limited Partner under this Restricted Person category; or
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(xi) any entity (including a corporation, partnership, limited liability company, trust or other
entity) in which any person or persons listed in (i)-(x) above has a beneficial interest:n
If you checked this box (xi) and you are an entity, please provide the aggregate
percentage of direct or indirect beneficial interests owned by Restricted Persons
in such entity:
%.
Do not check this box if you are any entity that does not permit Restricted
Persons to participate to any extent in New Issues.
B. K
None of the above categories apply and the New Limited Partner is eligible to participate
in New Issues in accordance with FINRA Rule 5130.
Check this box if you are an entity that does not permit Restricted Persons to participate
to any extent in New Issues.
ITEM II.
A. The New Limited Partner is:
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(i) an individual who is an executive officer or director of a public company1s or a covered
non-public company's (each, a "Company"), or a person materially supported by such
executive officer or director (collectively, "Covered Investors"). If you are checking this
box, please name the Company:
: or
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(ii) any entity (including a corporation, partnership, limited liability company, trust or other
entity) in which any person or persons listed in (i) above has a beneficial interest.
If you are checking this box, please name the Company or Companies that make the
person(s)
holding
the
beneficial
interest
a
Covered
Investor;
The Partnership may request additional information in order to determine the eligibility of
a New Limited Partner under this Covered Investor category.
Do not check this box if you are an entity that does not permit Covered Investors to
participate to any extent in New Issues.
The term 'beneficial interest' means any economic interest such as the right to share in gains or losses. The receipt of a
management or performance based fee for operating a collective investment account, or other fee for acting in a fiduciary
capacity, is not considered a beneficial interest in the account: however. if such fee is subsequently invested into the account
(as a deferred fee arrangement or othervase), it is considered a beneficial interest in that account.
11
A "public company" is any company that is registered under Section 12 of the Exchange Act or files periodic reports pursuant to
Section 15(d) thereof.
13 A 'covered non-public company" means any non-public company satisfying the following criteria: (i) income of at least $1 milkon in
the last fiscal year or in two of the last three fiscal years and shareholders equity of at least $15 million: (ii) shareholders equity
of at least $30 million and a two-year operating history: or (iii) total assets and total revenue of at least 575 million in the latest
fiscal year or in two of the last three fiscal years.
9
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e)
DB-SDNY-0068693
CONFIDENTIAL
SDNY_GM_00214877
EFTA01374143