EFTA01358757.pdf

76 14. What is the approximate percentage of the private fund beneficially owned by you and your related persons: 19% 15. What is the approximate percentage of the private fund beneficially owned (in the aggregate) by funds of funds: 17% 16. What is the approximate percentage of the private fund beneficially owned by non-United States persons: 1% Your Advisory Services Yes No 17. (a) Are you a subadviser to this private fund? ✓ r. (b) If the answer to question 17(a) is "yes," provide the name and SEC file number, if any, of the adviser of the private fund. If the answer to question 17(a) is "no," leave this question blank. No Information Filed Yes No 18. (a) Do any other investment advisers advise the private fund? ✓ r. (b) If the answer to question 18(a) is "yes," provide the name and SEC file number, if any, of the other advisers to the private fund. If the answer to question 18(a) is "no," leave this question blank. No Information Filed Yes No 19. Are your clients solicited to invest in the private fund? ✓ r. 20. Approximately what percentage of your clients has invested in the private fund? 0% Private Offering Yes No 21. Does the private fund rely on an exemption from registration of its securities under Regulation D of the Securities Act of 1933? • r 22. If yes, provide the private funds Form D file number (if any): Form D file number 021-97127 B. SERVICE PROVIDERS Auditors Yes No 23. (a) (1) Are the private funds financial statements subject to an annual audit? r (2) Are the financial statements prepared in accordance with U.S. GAAP? • r If the answer to 23(a)(1) is "yes," respond to questions (b) through (f) below. If the private fund uses more than one auditing firm, you must complete questions (b) through (f) separately for each auditing firm. Additional Auditor Information : 1 Record(s) Filed. If the answer to 23(a)(1) is "yes," respond to questions (b) through (f) below. If the private fund uses more than one auditing firm, you must complete questions (b) through (f) separately for each auditing firm. (b) Name of the auditing firm: ERNST & YOUNG (c) The location of the auditing firm's office responsible for the private funds audit (city, state and country): City: State: Country: NEW YORK New York United States Yes No (d) Is the auditing firm an independent public accountant? r . r (e) Is the auditing firm registered with the Public Company Accounting Oversight Board? r CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0046699 CONFIDENTIAL SDNY_GM_00192883 EFTA01358757