EFTA01364905.pdf

GLDUS238 SOUTHERN FINANCIAL LLC (6) The Investor has not committed and will not invest more than 40% of its assets (including "committed capital") in any single entity, including the Partnership. "Committed capital" includes all amounts that have been contributed to the Investor by its shareholders, partners or other equity holders plus all amounts which such persons or entities remain obligated to contribute to it. ❑ True ❑ False C. (i) Does the Investor have one or more ultimate beneficiaries who (i) am entitled to 10% or more of the proceeds from this investment or (ii) hold 10% or more of the control rights of the Investor? O Yes* 0 No (ii) Is the Investor or any of the ultimate beneficiaries publicly traded? ❑ Yes* ❑ No (iii) Is the Investor or any of the ultimate beneficiaries a regulated entity? ❑ Yes• ❑ No If the responses to any of the above questions in (C)(i)-(iii) is "Yes," please complete the following chart. If the Investor or My If the Investor or Any of the of the 10% Beneficial 10% Beneficial Owners Is a Owners Is Publicly Regulated Entity, Please Name of Investor and Each 10% Traded, Please Identify Identify Regulator and Beneficial Owner the Exchange Jurisdiction * If yes, please provide further information in the chart or. if there is insufficient space in the chart, please include additional sheets of paper with the relevant information. PROPRIETARY AND CONFIDENTIAL D-3 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0055454 CONFIDENTIAL SDNY GM_00201638 EFTA01364905