EFTA01386229.pdf

AGP LP 519 Alpha Group Capital Paul Barrett ❑ (iv) an insurance company; ❑ (v) an investment company registered with the SEC; ❑ (vi) a Private Funds; If you check this box (vi), please answer the following two questions: Do you invest 10% or more in other pooled investment vehicles? ❑ Yes ❑ No Are you a fund of funds? Yes 0 No ❑ (vii) a non-profit: ❑ (viii) a pension plan (other than a governmental pension plan); ❑ (ix) a banking or thrift institution (proprietary); ❑ (x) a state or municipal Government Entity` (other than a governmental pension plan); ❑ (xi) a state or municipal governmental pension plan; ❑ (xii) a sovereign wealth fund or foreign official institution; ❑ (xiii) an entity that is beneficially owned by a person or entity described in (i) — (xii) above; If you check this box (xiii), please indicate which category in (i) — (xii) above best describes the beneficial owner(s) (with applicable percentages if beneficially owned by multiple categories). ❑ (xiv) a person or entity that is not a U.S. Person' and about which beneficial ownership information is not known and cannot reasonably be obtained For purposes of this Section. the term 'Private Fund" means any issuer that would be an investment company as defined in Section 3 of the Investment Company Act but for Section 3(c)(1) or 3(cX7) of the Investment Company Act. For purposes of this Section, the term 'Government Entity- means any U.S. state (including any U.S. state, the District of Columbia. Puerto Rico. the U.S. Virgin Islands or any other possession of the United States) or political subdivision of a state, including: (i) any agency, authority or instrumentality of the state or political subdivision: (ii) a plan or pool of assets controlled by the state or political subdivision or any agency, authority or instrumentality thereof; and (iii) any officer, agent, or employee of the state or political subdivision or any agency, authority or instrumentality thereof, acting in their official capacity. s See Appendix D attached hereto for the definition of 'U.S. Person". 4 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0087826 CONFIDENTIAL SDNY_GM_00234010 EFTA01386229