EFTA01376712.pdf

7. END-USER EXCEPTION SELF-CERTIFICATION Any Client intending to elect the Elul-User Exception bat that hos not filed an &Utiliser Notice in accordance with Section l3.1(c)(A) of the Addendum must complete, sign and return this Setif-Certification to DB. Capitalized terror used in this Questionnaire are defined in the attached Glossary. Jan' Name of Client Swap Vehicle: SocYCKIth) CiNPrMCIPIL On each date on which Client ejects to use the End-User Exception with respect to a particular swap entered into pursuant to this Addendum, Client representsto ma that: (a) it is either. (i) not a Financial Entity (notwithstanding any exemptions or exclusions from such definition provided in Section 2(h)of the CEA or related CFTCRegulations); (ii) exempt from the defmition of Financial Entity as an Exempt Small Financial Institution; or (iii) excluded from the definition of Financial Entity because it only uses swaps to hedge or mitigate the commercial risk of an- affiliated perstm that is itself not Financial Entity. (b) such swap is being.used for purposes of Hedging or Mitigating Commercial Risk; (c) it has provided DB with the infotmation listed in CFTC Regulation 50.50(bXI)(iii) and all such information is trite; accurate and complete in every material respect and. covers the particular swap for which the. End-User Exception is being elaimed;:and (d) it generally meets its financial obligations associated with entering into uncleared swaps through one °fine following categories (please check all that apply): • a written credit support agreement; E pledged or segregated asses (including posting or receiving margin pursuant to a credit support agreement or otherwise; • a written third-partyguarantee; • Client's available financial resources; and/or rj any means other than those described above; (IfClient chxks this box, please pray:le/afar:her explanation on a separate sheetp.fpaper.) (e) it D IS IS NOT an Exchange Act Reporting Company. if Client is an Exchange Act Reporting Company, it thither represents that: (i) its SEC Central Index Key Number is (please inset): and anJcpropriam committee of its board of directors (or equivalent body) 0 HAS. i HAS NOT reviewed and approved the decision lo enter into Swaps that are 6395998 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0073069 CONFIDENTIAL SDNY_GM_00219253 EFTA01376712