EFTA01358596.pdf

(d) r registered security-based swap dealer (e) r major security-based swap participant (f) r commodity pool operator or commodity trading advisor (whether registered or exempt from registration) (g) r futures commission merchant (h) r banking or thrift institution (i) r trust company (j) r accountant or accounting firm 00 r lawyer or law firm (I) r insurance company or agency (m) r pension consultant (n) r real estate broker or dealer (o) r sponsor or syndicator of limited partnerships (or equivalent), excluding pooled investment vehicles (p) 17 sponsor, general partner, managing member (or equivalent) of pooled investment vehicles Yes No 6. Do you control or are you controlled by the related person? • r 7. Are you and the related person under common control? r. r 8. (a) Does the related person act as a qualified custodian for your clients in connection with advisory services you provide to clients? r (b) If you are registering or registered with the SEC and you have answered "yes," to question 8(a) above, have you overcome the r r presumption that you are not operationally independent (pursuant to rule 206(4)-(2)(d)(5)) from the related person and thus are not required to obtain a surprise examination for your clients' funds or securities that are maintained at the related person? (c) If you have answered "yes" to question 8.(a) above, provide the location of the related person's office responsible for custody of your clients' assets: Number and Street 1: Number and Street 2: City: State: Country: ZIP+4/Postal Code: If this address is a private residence, check this box: r Yes No 9. (a) If the related person is an investment adviser, is it exempt from registration? ✓ r. (b) If the answer is yes, under what exemption? 10. (a) Is the related person registered with a foreign financial regulatory authority ? r (b) If the answer is yes, list the name and country, in English, of each foreign financial regulatory authority with which the related person is registered. No Information Filed 11. Do you and the related person share any supervised persons? • r 12. Do you and the related person share the same physical location? r Item 7 Private Fund Reporting Yes No B. Are you an adviser to any private fund? r If "yes," then for each private fund that you advise, you must complete a Section 7.8.(1) of Schedule D, except in certain circumstances described in the next sentence and in Instruction 6 of the Instructions to Part IA. If another adviser reports this information with respect to any such private fund in Section 7.8.(1) of Schedule 0 of its Form ADV (e.g., if you are a subadviser), do not complete Section 7.8.(1) of Schedule D with respect to that private fund. You must, instead, complete Section 7.8.(2) of Schedule D. In either case, if you seek to preserve the anonymity of a private fund client by maintaining its identity in your books and records in numerical or alphabetical code, or similar designation, pursuant to rule 204-2(d), you may identify the private fund in Section 7.8.(1) or 7.842) of Schedule 0 using the same code or designation in place of the fund's name. SECTION 7.B.(1) Private Fund Reporting r A. PRIVATE FUND Information About the Private Fund 1. (a) Name of the private fund: ABSALON II LIMITED (b) Private fund identification number: (include the "805-" prefix also) CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0046535 CONFIDENTIAL SDNY_GM_00192719 EFTA01358596