EFTA01374140.pdf

AGP LP 519 Alpha Group Capital Paul Barrett because the beneficial interest is held through a chain involving one or more third-party intermediaries; or ❑ (xv) none of the above applies (further information may be required to determine investor type). Benefit Plan Investor Status: In order for the Partnership to accurately monitor its "Benefit Plan Investor participation, please review the following definition of a 'Benefit Plan Investor" and make the appropriate representations by checking all applicable boxes following the definition. A "Benefit Plan Investor is (i) any employee benefit plan subject to the fiduciary responsibility provisions of Title I of the Employee Retirement Income Security Act of 1974, as amended ("ERISA"), (ii) any individual retirement plan or account subject to the prohibited transaction rules of Section 4975 of the Internal Revenue Code of 1986, as amended (the "Code") or (iii) any entity whose underlying assets include "plan assets" (as defined by ERISA and the regulations thereunder) by reason of a plan's investment in the entity. The New Limited Partner represents that (please check all applicable boxes): A. ❑ it is not a Benefit Plan Investor; OR B. ❑ it is not a Benefit Plan Investor and it is a "government plan" as defined by Section 3(32) of ERISA or a non-electing 'church plan" within the meaning of Section 3(33) of ERISA; OR C. ❑ it is not a Benefit Plan Investor and it is a Controlled Person. A Controlled Person is excluded from the Partnership's 25% ERISA calculation and is (i) any person (including an entity) with investment authority or responsibility over the Partnership's assets or (ii) any person controlling, controlled by or under common control with a person described in (i). OR D. ❑ It is a Benefit Plan Investor that is: 1. ❑ subject to Part 4 of Title I of ERISA; 2. ❑ subject to Section 4975 of the Code (that has not checked D1); 3. ❑ an entity whose underlying assets include "plan assets". The New Limited Partner also represents that the percentage of its "plan assets" compared to the value of its total assets or included in its general account is not more than: ❑ 10% • ❑ 20% • ❑ 30% ❑ 40% ❑ 50% ❑ 60% ❑ 70% ❑ 80% ❑ 90% ❑ 100%; 5 CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0068689 CONFIDENTIAL SDNY_GM_00214873 EFTA01374140