EFTA Document EFTA01386246

AGP LP 519 Alpha Group Capital Paul Barrett matters that may affect substantially the rights or privileges of the holders of the securities to be voted, but is otherwise precluded by the rules of such exchange from voting without instruction. (3) A person who in the ordinary course of his or her business is a pledgee of securities under a written pledge agreement shall not be deemed to be the beneficial owner of such pledged securities until the pledgee has taken all formal steps necessary