EFTA01374144.pdf

AGP LP 519 Alpha Group Capital Paul Barrett B. ❑ None of the above categories applies. Check this box also if you are any entity which does not permit Covered Investors to participate to any extent in New Issues. ITEM III. DETERMINATION OF EXEMPTED ENTITY STATUS: A New Limited Partner that is an entity and that is also a Restricted Person under Item I or a Covered Investor under Item II may still be able to participate in New Issues if it indicates below that it is also an Exempted Entity. Please check all applicable boxes. The New Limited Partner is: ❑ () a publicly-traded entity (other than a broker-dealer or an affiliate of a broker-dealer, where such broker-dealer is authorized to engage in the public offering of New Issues either as a selling group member or underwriter) that is listed on a national securities exchange, or is a foreign issuer whose securities meet the quantitative designation criteria for listing on a national securities exchange; ❑ (i) an investment company registered under the Investment Company Act; ❑ (iii) a corporation, partnership, limited liability company, trust or any other entity (including a private investment vehicle such as a hedge fund or an offshore fund, or a broker-dealer organized as an investment partnership) and (A) the beneficial interests of Restricted Persons do not exceed in the aggregate 10% of such entity and the beneficial interests of Covered Investors of any one Company (as defined in Item II above) do not exceed in the aggregate 25% of such entity; or (B) such entity limits participation by Restricted Persons to not more than 10% of the profits and losses of New Issues and such entity limits participation by Covered Investors of any one Company to not more than 25% of the profits and losses of New Issues; If you checked this box (iii), please be sure you have included the percentage information requested in Item I (xi). The Partnership may request additional information in order to determine the eligibility of a New Limited Partner under this category. ❑ (iv) an investment company organized under the laws of a foreign jurisdiction and (A) the investment company is listed on a foreign exchange for sale to the public or authorized for sale to the public by a foreign regulatory authority; and (B) no person owning more than 5% of the shares of the investment company is a Restricted Person or Covered Investor; ❑ (v) (A) an employee benefits plan under ERISA that is qualified under Section 401(a) of the Code and such plan is not sponsored solely by a broker-dealer, (B) a state or municipal government benefits plan that is subject to state and/or municipal regulation or (C) a church plan under Section 414(e) of the Code; ❑ (vi) a tax exempt charitable organization under Section 501(c)(3) of the Code; ❑ (vi) a common trust fund or similar fund as described in Section 3(a)(12)(A)(ii) of the U.S. Securities Exchange Act of 1934, as amended (the "Exchange Act"), and the fund (A) has investments from 1,000 or more accounts, and 10 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0068694 CONFIDENTIAL SDNY_GM_00214878 EFTA01374144