EFTA01374142.pdf

AGP LP 519 Alpha Group Capital Paul Barrett ITEM DETERMINATION OF RESTRICTED PERSON STATUS: Please check all applicable boxes. A. The New Limited Partner is: 0 (i) a broker-dealer 0 (ii) an officer, director, general partner, associated person8 or employee of a broker-dealer (other than a limited business broker-dealer):' ❑ (iii) an agent of a broker-dealer (other than a limited business broker-dealer) that is engaged in the investment banking or securities business; ❑ (iv) an immediate family member8 of a person described in (ii) or (iii) above. Under certain circumstances, a New Limited Partner who checks this box may be able to participate in New Issues. The Partnership may request additional information in order to determine the eligibility of a New Limited Partner under this Restricted Person category; ❑ (v) a finder or any person acting in a fiduciary capacity to a managing underwriter, including, but not limited to, attorneys, accountants and financial consultants; ❑ (vi) a person who has authority to buy or sell securities for a bank, savings and loan institution, insurance company, investment company, investment adviser or collective investment account9 (including a private investment vehicle such as a hedge fund or an offshore fund); ❑ (vi) an immediate family member of a person described in (v) or (vi) above who materially supports,10 or receives material support from, the New Limited Partner, ❑ (vii) a person listed or required to be listed in Schedule A, B or C of a Form BD (other than with respect to a limited business broker-dealer), except persons whose listing on Schedule A, B or C is related to a person identified by an ownership code of less than 10% on Schedule A: ❑ (ix) a person that (A) directly or indirectly owns 10% or more of a public reporting company listed, or required to be listed, in Schedule A of a Form BD, or (B) directly or indirectly owns 25% or more of a public reporting company listed, or required to be listed in Schedule B of a Form BD, in each case (A) or (B), other than a reporting company that is listed on a national securities exchange, or other than with respect to a limited business broker/dealer; 6 A person *associated with' a broker-dealer includes any natural person engaged in the investment banking Of securities business who is directly or indirectly controlling or controlled by a broker-dealer, any partner, director, officer or sole proprietor of a broker-dealer. A limited business broker-dealer is any broker-dealer whose authorization to engage in the securities business is limited solely to the purchase and sale of investment company/variable contracts securities and direct participation program securities. a The term "immediate family member includes the Investor's: (I) parents, (Ii) mother-in-law or father-in-law. (Iii) husband or wife, (iv) brother or sister. (v) brother-in-law or sister-in-law. (vi) son-in-law or daughter-in-law. (vii) children, and (viii) any other person who is supported, directly or indirectly, to a material extent by an officer, director, general partner, employee, agent of a broker-dealer or person associated with a broker-dealer. a A 'collective investment account is any hedge fund, investment corporation, or any other collective investment vehicle that is engaged primarily in the purchase and/or sale of securities. Investment dubs (groups of individuals who pool their money to invest in stock or other securities and who are collectively responsible for making investment decisions) and family investment vehicles (legal entities that are beneficially owned solely by immediate family members (as defined above)) are not considered collective investment accounts. '0 The term 'material support" means directly or indirectly providing more than 25% of a person's income in the prior calendar year or living in the same household with a member of one's immediate family. 8 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0068692 CONFIDENTIAL SDNY_GM_00214876 EFTA01374142