Text extracted via OCR from the original document. May contain errors from the scanning process.
AGP LP 519 Alpha Group Capital Paul Barrett
II.
Indicate the category which best describes the New Limited Partner (and provide the documents
indicated below that correspond to the appropriate category):
K
Individual
K
Fund of Funds or Other Entity that Invests on Behalf of Third Patties
K
Trust
K
Privately Held Entity (other than a Fund of Funds, Entity that Invests on Behalf of Third Parties or
Trust)
K
Publicly Held Company
The following materials must be provided to the Administrator:
(a) For Individuals and Participants in Individual Retirement Accounts, Keogh Plans and Other
Self-Directed Defined Contribution Plans
K
A government issued form of picture identification (e.g., passport or drivers licence).
Identification must be current (i.e., non-expired) and legible.
K
Source of Funds (please complete Annex A).
K
A bank reference letter from the Wring Bank or a bank or broker-dealer located in a FATE-
member country (A sample letter of reference is attached hereto as Annex F).
K
United States IRS W8/W9 form (as applicable).
Please refer to the official IRS website,
www.irs.qov, for the appropriate form.
(b) For Fund of Funds or Other Entity that Invests on Behalf of Third Parties
K
A copy of the entity's organization or charter documents filed with the jurisdiction of organization.
K
An incumbency certificate attesting to the title of the individual executing the Anti-Money
Laundering Supplement on behalf of the prospective New Limited Partner (a sample Incumbency
Certificate is attached hereto as Annex 8).
K
A completed copy of Annex C certifying that the entity has adequate anti-money laundering
policies and procedures in place that are consistent with all applicable anti-money laundering
laws and regulations, including the USA PATRIOT Act and OFAC (as defined below).
K
A completed copy of Annex D listing the name of each person who directly, or indirectly through
intermediaries, is the beneficial owner of 10% or more of any voting or non-voting class of equity
interests of the prospective New Limited Partner, and the names of the entity's directors, general
partners, or members, as applicable. (You must complete Annex D regardless of whether there
are any 10% beneficial owners.)
K
Source of Funds (please complete Annex A).
K
A bank reference letter from the Wring Bank or a bank or broker-dealer located in a FATF-
member country (A sample letter of reference is attached hereto as Annex F).
K
United States IRS W8/W9 form (as applicable).
Please refer to the official IRS website,
www.irs.qov, for the appropriate form.
Appendix G-2
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e)
DB-SDNY-0068721
CONFIDENTIAL
SDNY_GM_00214905
EFTA01374162