EFTA01386207.pdf

AGP LP 519 Alpha Group Caudal Paul Barren Item 3. Table of Contents Item 1. Cover Page 1 Item 2. Material Changes 1 Item 3. Table of Contents 2 Item 4. Advisory Business 3 Item 5. Fees and Compensation 5 Item 6. Performance-Based Fees and Side-By-Side Management 11 Item 7. Types of Clients 11 Item 8. Methods of Analysis, Investment Strategies and Risk of Loss 11 Item 9. Disciplinary Information 15 Item 10. Other Financial Industry Activities and Affiliation 15 Item 11. Code of Ethics, Participation or Interest In Client Transactions and Personal Trading 16 Item 12. Brokerage Practices 17 Item 13. Review of Accounts 20 Item 14. Client Referrals and Other Compensation 21 Item 15. Custody 21 Item 16. Investment Discretion 21 Item 17. Voting Client Securities 21 Item 18. Financial Information 21 Item 19. Requirements for State-Registered Advisers ......................................... 22 Privacy Policy 22 Trade Error Policy 22 2 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0087795 CONFIDENTIAL SONY GM_00233979 EFTA01386207