EFTA Document EFTA01384736

RUBUS133 Alpha Group Capital Section D - Entities, continued — Partnerships Please core lete the relevant section of the enti e and rovide the followin documents: Legal Name Principal place of business Registered office address Nature and purpose of entity Tax Identification Number A copy of the Certificate of Formation A copy of the Partnership Agreement or Limited Partnership Agreement A copy of the mandate authorizing the General Partner to act on behalf of the partnership (this is usually contained within the partnership agreement). If individuals or entities other than the General Partner are acting on behalf of the Partnership, a copy of the mandate conferring authority on those who issue instructions Names and address / date of birth / date of incorporation of the all managing partners. See appendix VI. Names and address / date of birth / date of incorporation of General Partner, partners, and/or beneficial owners who own 25% or more of the partnership units, profit or voting rights and listing of directors if appropriate. See appendix VII. Where beneficial partner/owner is a corporate entity, the ultimate beneficial ownership needs to be determined and/or identified up to the ultimate beneficial owner each holding a directAndirect stake of 25% or more of the actual Customer. In establishing the ultimate beneficial owner documentary evidence detailing the ownership structure is required e.g. organization chart signed by an authorized signatory, company's share register, letter from the company's legal, extract from relevant company registered, other company documentation, etc., (E-mail confirmation is not acceptable for the above point, we will need the confirmation in writing, on headed paper and signed by an authorized signatory) Name, address, tax ID, date of birth on a signed and dated letter-head for two Partners (for a Limited Partnership, the General Partner) and/or one Partner and one authorized signatory. See appendix VI. OR ID documents and tax ID for two Partners (for a Limited Partnership, the General Partner) and/or one Partner and one authorized signatory (valid photo identification and third party residential/street confirmation, if not individual please complete relevant entity section) Copy of authorized signatory list / Certificate of Incumbency / Power or Attorney or equivalent document (must contain specimen signatures) Tax Form (W-BAN-9) For entities deemed to be in a High Risk jurisdiction, all of the above information is required. The following is also required: For General Partner', or two partners, or one partner and one authorized signatory: Current copy of a photographic identity document issued by the government or a State-owned entity (e.g. passport, drivers license). as well as proof of address (two current copies of utility bills or equivalent (e.g., bank statement, etc.) Current copy of a photographic identity document for all persons who own or control 25% or more of the entity's capital, profit or voting rights of the body or otherwise exercise control over the management of the body. Where beneficial owner is a corporate entity, ultimate beneficial ownership needs to be determined and/or identified up to the ultimate beneficial owner each holding a direct/indirect stake of 25% or more of the actual customer. Documentary evidence of the structure is required such as company's share register, letter from legal counsel, or extract from relevant company register 'Note rep/ding General Partners: The identification requirements w& depend on the type of entities the GPs are. f. II the GP is a company. Follow the requirements outlined for corpotations. ofc. 12 CONFIDENTIAL - PURSUANT TO FED. Ft CRIM. P. 6(e) DB-SDNY-0085215 CONFIDENTIAL SDNY_GM_00231399 EFTA01384736