EFTA01384743.pdf

HUBUS133 Alpha Group Capital Form W-9 (Rev. 11.2017) Page 4 The following chart shows types of payments that may be exempt M—A tax exempt trust under a section 403(b) plan or section 457(g) from backup withholding. The chart applies to the exempt payees listed plan above. 1 through 13 Note: You may wish to consult with the financial institution requesting IF the payment Is tor... THEN the payment Is exempt this form to determine whether the FATCA code and/or exempt payee code should be completed. for... Interest and dividend payments All exempt payees except Line 5 for 7 Enter your address (number. street. and apartment or suite ntrnber). This is where the requester of this Form W-9 will mail your information Broker transactions Exempt payees 1 through 4 and 6 returns. If this address differs from the one the requester already has on through 11 and all C corporations. file, write NEW at the top. If a new address is provided, there is still a S corporations must not enter an chance the old address will be used until the payor changes your exempt payee code because they address in their records are exempt only for sales of nonoovered securities acquired Line 6 prior to 2012. Enter your city, state, and ZIP code. Barterexchange transactions and Exempt payees 1 through 4 patronage dividends Part I. Taxpayer Identification Number (TIN) Enter your 71N in the appropriate box. If you are a resident alien and Payments over 8600 requied to be Generally. exempt payees you do not have and are not eligible to got an SSN. your TIN Is your IRS reported and direct sales over 1 through 52 individual taxpayer identification number (ITIN). Enter it in the social $5,000' security number box. If you do not have an ITIN. see How to get a TIN Payments made in settlement of Exempt payees 1 through 4 below. payment card or third party network If you are a sole proprietor and you have an EIN, you may enter either transactions your SSN or EIN. See Form 1099-MISC, Miscellaneous Income, and its instructions. If you are a single-member LLC that is disregarded as an entity separate from its owner, enter the owner's SSN (or EIN, if the owner has 2 However, the following payments made to a corporation and one). Do not enter the disregarded entity's EIN. If the LLC is classified as reportable on Form 1099-MISC are not exempt from backup a corporation or partnership, enter the entity's EIN. withholding: medical and health care payments, attorneys fees. gross proceeds paid to an attorney reportable under section 6045(1), and Note: See What Name and Number To Ghee the Requester, later, for payments for services paid by a federal executive agency. further clarification of name and TIN combinations. Exemption from FATCA reporting code. The following codes Identify How to get a DN. If you do not have a TIN, apply for one immediately. payees that are exempt from reporting under FATCA. These codes To apply for an SSN, get Form SS-5. Application for a Social Security apply to persons submitting this form for accounts maintained outside Card, from your local SSA office or get this form online at of the United States by certain foreign financial institutions. Therefore, if www.SSA.gov. You may also get this form by calling 1-800-772-1213. you aro only submitting this form for an account you hold In the United Use Form W-7, Application for IRS Individual Taxpayer Identification States. you may leave this field blank. Consult with the person Number, to apply for an ITIN, or Form SS-4, Application for Employer requesting this form if you are uncertain if the financial institution is Identification Number, to apply for an EIN. You can apply for an EIN subject to these requirements. A requester may indicate that a code is online by accessing the IRS website at wow. ifs.gov/&airesses and not required by providing you with a Form W-9 with "Not Applicable" (or clicking on Employer Identification Number (EIN) under Starting a any similar indication) written or printed on the line for a FATCA Business. Go to amovirs,gtoy/Forrns to view, download, or print Form exemption code. W-7 ancVor Form SS-4. ). Or. you can go to IWAV.Irs.gov/OrderForms to place an order and have Form W-7 and/or SS-4 mailed to you within 10 A—An organization exempt from tax under section 501(a) or any business days. individual retirement plan as defined in section 7701(aX37) If you are asked to complete Form W-9 but do not have a TIN, apply B—The United States or any of its agencies or instrumentalities for a TIN and write "Applied For" in the space for the TIN, sign and date C—A state, the District of Columbia, a U.S. commonwealth or the form, and give it to the requester. For interest and dividend possession, or any of their ',orificel subdivisions or instrumentalities payments, and certain payments made with respect to readily tradable D—A corporation the stock of which is regularly traded on one or instarnents, generally you will have 60 days to get a TIN and give it to more established securities markets. as described in Regulations the requester before you aro subject to backup withholding on section 1.1472-1(cX1)(i) payments. The 60-day rule does not apply to other types of payments. You will be subject to backup withholding on all such payments until E—A corporation that is a member of the same expanded affiliated you provide your TIN to the requester. group as a corporation described in Regulations section 1.1472-1(c)(1Xi) Note: Entering "Applied For" means that you have already applied for a F—A dealer in securities, commodities. or derivative financial TIN or that you intend to apply for one soon. instruments (including notional principal contracts. futures. forwards, and options) that is registered as such under the laws of the United Caution: A disregarded V.S. entity that has a foreign ovmer must use States or any state the appropriate Form W-8. G—A real estate investment trust Part II. Certification H—A regulated investment company as defined In section 851 or an To establish to the withholding agent that you are a U.S. person, or entity registered at all times during the tax year under the Investment resident alien, sign Form W-9. You may be requested to sign by the Company Act of 1940 withholding agent even if item 1. 4. or 5 below indicates otherwise. I—A common trust fund as defined in section 584(a) For a joint account. orgy the person whose TIN is shown in Part I J—A bank as defined in section 581 should sign (when required). In the case of a disregarded entity, the K—A broker person identified on line 1 must sign. Exempt payees. see Exempt payee code, earlier. 1—A trust exempt from tax under section 664 or described in section 4947(a)(1) Signature requirements. Complete the certification as indicated in items 1 through 5 below. DOC ID-9978674.66 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0085241 CONFIDENTIAL SONY GM_00231425 EFTA01384743