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sd-10-EFTA01386232Dept. of JusticeOther

EFTA Document EFTA01386232

AGP LP 519 Alpha Group Capital Paul Barrett (2) The New Limited Partner understands the effect of the limitations on disposition and of his or her representation that his or her interest in the Partnership will not be sold, transferred or otherwise disposed of except pursuant to an exemption from registration under the Act. He or she understands that transfers can be made only with the consent of the General Partner in its sole discretion. (e) The New Limited Partner is unaware of, is in

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Dept. of Justice
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sd-10-EFTA01386232
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AGP LP 519 Alpha Group Capital Paul Barrett (2) The New Limited Partner understands the effect of the limitations on disposition and of his or her representation that his or her interest in the Partnership will not be sold, transferred or otherwise disposed of except pursuant to an exemption from registration under the Act. He or she understands that transfers can be made only with the consent of the General Partner in its sole discretion. (e) The New Limited Partner is unaware of, is in

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Text extracted via OCR from the original document. May contain errors from the scanning process.
AGP LP 519 Alpha Group Capital Paul Barrett (2) The New Limited Partner understands the effect of the limitations on disposition and of his or her representation that his or her interest in the Partnership will not be sold, transferred or otherwise disposed of except pursuant to an exemption from registration under the Act. He or she understands that transfers can be made only with the consent of the General Partner in its sole discretion. (e) The New Limited Partner is unaware of, is in no way relying on, and did not become aware of the offering of the limited partnership interests through or as a result of, any form of general solicitation or general advertising including, without limitation, any article, notice, advertisement or other communication published in any newspaper, magazine or similar media or broadcast over television or radio, or electronic mail over the intemet. in connection with the offering and sale of the limited partnership interests and is not subscribing for the limited partnership interests and did not become aware of the offering of the limited partnership interests through or as a result of any seminar or meeting to which the New Limited Partner was invited by, or any solicitation of a subscription by, a person not previously known to the New Limited Partner in connection with investments in securities generally. FIFTH: EACH NEW LIMITED PARTNER MUST FULLY COMPLETE THIS STATEMENT TO BE ELIGIBLE TO PARTICIPATE IN "NEW ISSUE" SECURITIES. Each New Limited Partner must complete this Section by checking the box next to all applicable categories under Part A of Item I to determine the extent to which the New Limited Partner may participate in "new issue" securities ('New Issues") in accordance with the applicable rules of the Financial Industry Regulatory Authority, Inc ("FINRA"). If the New Limited Partner is a corporation, partnership, trust or any other entity or a nominee for another person, the person completing this Section with respect to the New Limited Partner must be the beneficial owner(s), a person authorized to represent the beneficial owner(s), or a bank, foreign bank, broker-dealer, investment adviser or other conduit acting on behalf of the beneficial owner(s). INSTRUCTIONS: Each New Limited Partner must complete this Section by checking (i) the box next to all applicable categories under Part A of Item I to determine whether the New Limited Partner is a restricted person (a "Restricted Person") or indicating under Part B of Item I that none of the Restricted Person categories applies to it and the New Limited Partner is eligible to participate in New Issues. in accordance with FINRA Rule 5130, and (ii) the box next to the applicable category under Part A of Item II to determine whether the New Limited Partner is a covered investor (a "Covered Investor as defined in Item II below) or indicating under Part B of Item II that none of the Covered Investor categories applies to it and the New Limited Partner is eligible to participate in New Issues in accordance with FINRA Rule 5131. A New Limited Partner that is an entity and that is also a Restricted Person under Part A of Item I or a Covered Investor under Part A of Item II may still be able to participate in New Issues if it indicates in Item III that it is also an exempted entity (an "Exempted Entity"). Accordingly, each such New Limited Partner should check the box next to any applicable categories under Item III to determine whether the New Limited Partner is an Exempted Entity. If a New Limited Partner does not complete this Section, such New Limited Partner may not be permitted to participate in New Issues to any extent, until the New Limited Partner establishes its eligibility to participate in New Issues to the Partnership's satisfaction. K NEW LIMITED PARTNERS THAT WISH TO BE TREATED AS RESTRICTED PERSONS (and may participate in New Issues up to a 10% -de minimis" amount if available, as determined in the General Partners sole discretion) may check this box and do not need to complete Items I, II and III below. 7 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0087829 CONFIDENTIAL SDNY_GM_00234013 EFTA01386232

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