EFTA01368397.pdf

7. END-USER EXCEPTION SELF-CERTIFICATIO1 Any Okla intending to elect the End-User Exception but that has not filed an Etid.User Notice in ccconlance wish Section 13,1(e)(4) VtheAddentban neatcomplete,. sign and taunt this Self-Certification to DB. Capitalized ternsused in this Questionnaire are definedin the attached Gowns tegname of Client Swap Vehicle: C IN Rt. ctAC, (-LC On each date on which Client elects to use the End-User Exception with respect to a particular swap entered into pursuant to this Addendum, Client represents to DB that: (a) it is either: (I) nor a Financial Entity (notwithstanding any exemptions or exclusions from such definition provided in Section 2(h) of the CEA or related CFTC Regulations); (ii) exempt from the definition of Financial Entity as an Exempt Small Financial Institution; or (iii) excluded from the definition of Financial Entity because it only uses swaps to hedge or mitigate the commercial risk of an affiliated person that is itself ;IN a Financial Entity. (b) such swap is being.usai for purposes of Hedging orMitigating Commercial lIthd.; (c) it has provided Dl) with the information listed in CFTC Regulation 50.500XIXiii) and all such information is true; accurate and complete in every material respect and covers the particular swap for which the End-User Exception is being claimed; and (d) it generally meets its financial obligations associated with entering into uncleared swaps through one of the following categories (please check all that apply): o a written credit support agreement; g pledged or scgreganxl assets (including posting or receiving margin pursuant to a creditsupport agreement or otherwise; • a written third-partyguartmtee; Client's available financial resources; and/or Ei any means other than those described above; (filient checks this bar, please providefarther explanation on a separate sheet:ofpaper.) (a) it 0 IS / ERIS NOT an Exchange Act Reporting Company. if Client is an ExChange Act Reporting Company, it limber represents that: (I) its SEC Central Index Key Number is (please insert); and an propriate committee of its board of directors (or equivalent body) Cj HAS I LI HAS NOT reviewed and approved the decision to enter into swaps that are 6345931 CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0060123 CONFIDENTIAL SONY GM_00206307 EFTA01368397