EFTA01372470.pdf

INVESTMENT CORP DIRECTOR ; RICHTER INVESTMENT CORP. DE CERBERUS CAPITAL LIMITED PARTNER 11/1992 MANAGEMENT LP WILLIAM L. RICHTER DE RICHTER SHAREHOLDER 08/2014 EpERPETUITIES TRUST 2 INVESTMENT CORP. GREENBERG, HAROLD, JEROME I WILLIAM L. TRUSTEE 08/2014 RICHTER PERPETUITIES TRUST 2 STEINMETZ, HARRY, CHARLES I WILLIAM L. TRUSTEE 08/2014 F RICHTER PERPETUITIES TRUST 2 RICHTER, ARI, JOSEPH WILLIAM L. TRUSTEE 08/2014 N RICHTER PERPETUITIES TRUST 2 Schedule D - Miscellaneous You may use the space below to explain a response to an Item or to provide any other information. THE ADVISER IS NOT CURRENTLY MANAGING ANY CLIENT ASSETS BUT ALLOCATIONS MAY CHANGE AT ANY TIME WITHOUT NOTICE. WHILE THE ADVISER MAY TRADE A DE MINIM'S AMOUNT OF COMMODITY INTERESTS FROM TIME TO TIME, THE ADVISER IS EXEMPT FROM REGISTRATION WITH THE COMMODITY FUTURES TRADING COMMISSION AS A COMMODITY TRADING ADVISER. THE ADVISER IS AN AFFILIATE OF CERBERUS CAPITAL MANAGEMENT, L.P. ("CCM") AND ITS RELYING ADVISERS. CCM AND ITS RELYING ADVISERS ARE SEPARATELY REGISTERED AS INVESTMENT ADVISERS WITH THE SECURITIES AND EXCHANGE COMMISSION. THE ADVISER, CCM AND CCM'S RELYING ADVISERS SHARE RESOURCES INCLUDING, WITHOUT LIMITATION, PERSONNEL, POLICIES AND FACILITIES. ITEM 5.A AND ITEM 5.6 REFLECT ALL PERSONNEL OF THE ADVISER, CCM AND CCM'S RELYING ADVISERS. SCHEDULE A REFLECTS OFFICERS OF THE ADVISER AND CCM. Schedule R No Information Filed DRP Pages CRIMINAL DISCLOSURE REPORTING PAGE (ADV) No Information Filed REGULATORY ACTION DISCLOSURE REPORTING PAGE (ADV) No Information Filed CIVIL JUDICIAL ACTION DISCLOSURE REPORTING PAGE (ADV) No Information Filed Part 2 Exemption from brochure delivery requirements for SEC-registered advisers SEC rules exempt SEC-registered advisers from delivering a firm brochure to some kinds of clients. If these exemptions excuse you from delivering a brochure to all of your advisory clients, you do not have to prepare a brochure. Yes No Are you exempt from delivering a brochure to all of your clients under these rules? r If no, complete the ADV Part 2 filing below. Amend, retire or file new brochures: 1Brochure ID Brochure Name Brochure Type(s) 276130 CERBERUS SUB-ADVISORY I, LLC FORM Other CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0066179 CONFIDENTIAL SDNY_GM_00212363 EFTA01372470