EFTA01372363.pdf

✓ (4) have your principal office and place of business outside the United States; • (5) are an investment adviser (or subadviser) to an investment company registered under the Investment Company Act of 1940; ✓ (6) are an investment adviser to a company which has elected to be a business development company pursuant to section 54 of the Investment Company Act of 1940 and has not withdrawn the election, and you have at least $25 million of regulatory assets under management; ✓ (7) are a pension consultant with respect to assets of plans having an aggregate value of at least $200,000,000 that qualifies for the exemption in rule 203A-2(a); ✓ (8) are a related adviser under rule 203A-2(b) that controls, is controlled by, or is under common control with, an investment adviser that is registered with the SEC, and your principal office and place of business is the same as the registered adviser; If you check this box, complete Section 2.A.(8) of Schedule D. ✓ (9) are an adviser relying on rule 203A-2(c) because you expect to be eligible for SEC registration within 120 days; If you check this box, complete Section 2.A.(9) of Schedule D. ✓ (10) are a multi-state adviser that is required to register in 15 or more states and is relying on rule 203A-2(d); If you check this box, complete Section 2.A.(10) of Schedule D. ✓ (11) are an Internet adviser relying on rule 203A-2(e); ✓ (12) have received an SEC order exempting you from the prohibition against registration with the SEC; If you check this box, complete Section 2.A.(12) of Schedule D. ✓ (13) are no longer eligible to remain registered with the SEC. State Securities Authority Notice Filings and State Reporting by Exempt Reporting Advisers C. Under state laws, SEC-registered advisers may be required to provide to state securities authorities a copy of the Form ADV and any amendments they file with the SEC. These are called notice filings. In addition, exempt reporting advisers may be required to provide state securities authorities with a copy of reports and any amendments they file with the SEC. If this is an initial application or report, check the box(es) next to the state(s) that you would like to receive notice of this and all subsequent filings or reports you submit to the SEC. If this is an amendment to direct your notice filings or reports to additional state(s), check the box(es) next to the state(s) that you would like to receive notice of this and all subsequent filings or reports you submit to the SEC. If this is an amendment to your registration to stop your notice filings or reports from going to state(s) that currently receive them, uncheck the box(es) next to those state(s). Jurisdictions ✓ AL r IL ✓ NE ✓ sc ✓ AK ✓ IN ✓ NV ✓ SD ✓ AZ ✓ IA ✓ NH ✓ TN r AR ✓ xs ✓ JN ✓ -rK ✓ CA ✓ Ky ✓ NM ✓ UT ✓ co ✓ LA r NY ✓ vr ✓ c-r ✓ ME r NC rut ✓ DE ✓ MD ✓ ND ✓ VA ✓ oc ✓ MA r off r WA ✓ FL ✓ MI ✓ OK ✓ wv ✓ GA ✓ MN ✓ OR • wI ✓ GU ✓ MS ✓ PA ✓ WY ✓ HI ✓ mo ✓ PR ✓ ID ✓ MT ✓ RI If you are amending your registration to stop your notice filings or reports from going to a state that currently receives them and you do not want to pay that state's notice filing or report filing fee for the coming year, your amendment must be filed before the end of the year (December 31). SECTION 2.A.(8) Related Adviser If you are relying on the exemption in rule 203A-2(b) from the prohibition on registration because you control, are controlled by, or are under common control with an investment adviser that is registered with the SEC and your principal office and place of business is the same as that of the registered adviser, provide the following information: Name of Registered Investment Adviser co Number of Registered Investment Adviser SEC Number of Registered Investment Adviser CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0066057 CONFIDENTIAL SDNY_GM_00212241 EFTA01372363