EFTA Document EFTA01386721

GLDUS238 SOUTHERN FINANCIAL LLC (6) The Investor has not committed and will not invest more than 40% of its assets (including "committed capital") in any single entity, including the Partnership. "Committed capital" includes all amounts that have been contributed to the Investor by its shareholders, partners or other equity holders plus all amounts which such persons or entities remain obligated to contribute to it. K True K False C. (i) Does the Investor have one or more ultimate beneficiaries who (i) am entitled to 10% or more of the proceeds from this investment or (ii) hold 10% or more of the control rights of the Investor? O Yes* 0 No (ii) Is the Investor or any of the ultimate beneficiaries publicly traded? K Yes* K No (iii) Is the Investor or any of the ultimate beneficiaries a regulated entity? K Yes• K No If the responses to any of the above questions in (C)(i)-(iii) is "Yes," please complete the following chart. Name of Investor and Each 10% Beneficial Owner If the Investor or My of the 10% Beneficial Owners Is Publicly Traded, Please Identify the Exchange If the Investor or Any of the 10% Beneficial Owners Is a Regulated Entity, Please Identify Regulator and Jurisdiction * If yes, please provide further information in the chart or. if there is insufficient space in the chart, please include additional sheets of paper with the relevant information. PROPRIETARY AND CONFIDENTIAL D-3 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL DB-SDNY-0088544 SDNY GM_00234728 EFTA01386721