EFTA01358701.pdf

14 14. What is the approximate percentage of the private fund beneficially owned by you and your related persons: 0% 15. What is the approximate percentage of the private fund beneficially owned (in the aggregate) by funds of funds: 0% 16. What is the approximate percentage of the private fund beneficially owned by non-United States persons: 7% Your Advisory Services Yes No 17. (a) Are you a subadviser to this private fund? r 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 a (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): L No Information Filed B. SERVICE PROVIDERS Auditors Yes No 23. (a) (1) Are the private fund's 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. No Information Filed Yes No (g) Are the private funds audited financial statements distributed to the private funds investors? r (h) Does the report prepared by the auditing firm contain an unqualified opinion? f; Yes r Nor Report Not Yet Received If you check "Report Not Yet Received," you must promptly file an amendment to your Form ADV to update your response when the report is available. Prime Broker Yes No 24. (a) Does the private fund use one or more prime brokers? r If the answer to 24(a) is "yes," respond to questions (b) through (e) below for each prime broker the private fund uses. If the private fund uses more than one prime broker, you must complete questions (b) through (e) separately for each prime broker. CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0046642 CONFIDENTIAL SDNY_GM_00192826 EFTA01358701