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Covered Non-Public Company: (3) II you initialed statement (1) above, please initial the following only if such applicable Public Company or Covered Non-Public Company. (a; is currently a client receiving Investment Banking Services provided by a FINRA member, or has paid compensation to a FINRA member for investme
l Interest in the Investor, is (i) an executive officer or director of a Public Company or a Coveted Non-Public Company, or 1.ii; a person receiving Material Support by an executive officer or director of a Public Company or a Covered NomPublK Company (any person in Wog 0i), a "5131 Covered Person") (2) If you i
or The Investor, a any person having a Beneficial Interest in the Invests, is (i) an executive officer or director of a Public Company or a Covered Non-Public Company, or (ii) a person receiving Material Support by an executive officer or director of a Public Company or a Covered Non-Public Company (any person in
ial Interest in the Invests, is (i) an executive officer or director of a Public Company or a Covered Non-Public Company, or (ii) a person receiving Material Support by an executive officer or director of a Public Company or a Covered Non-Public Company (any person in (i) or (ii), a "5131 Covered Person"). (2) I
• The Investor, or any person having a Beneficial Interest in the Investor, is (0 an executive officer or director of a Public Company or a Covered Non-Public Company, or (i) a person receiving Material Support by an executive officer or director of a Public Company or a Covered Non-Public Company (any person in (
cial Interest in the Investor, is (0 an executive officer or director of a Public Company or a Covered Non-Public Company, or (i) a person receiving Material Support by an executive officer or director of a Public Company or a Covered Non-Public Company (any person in (I) or (4), a "5131 Covered Person"). (2) If
Entities connected to both Non-Public Company and Material Support
Investment Banking Services
ORGANIZATIONForm BD
ORGANIZATION
Ghislaine Maxwell
PERSONCovered Broker
ORGANIZATIONCovered Broker Dealer
ORGANIZATIONKeogh
ORGANIZATIONCollective Investment Account
ORGANIZATIONBranch Managers
ORGANIZATIONDelegate
ORGANIZATIONCovered Non-Public Company
ORGANIZATIONInvestment Company
ORGANIZATIONSubscription Booklet
ORGANIZATIONthe Fund Investment Application
ORGANIZATIONQuickCard
ORGANIZATIONUBS Alternative Investments US
ORGANIZATIONthe Memorandum
ORGANIZATIONThis Placement Fee
ORGANIZATIONthe National Futures Association
ORGANIZATIONAl Investor Service
ORGANIZATIONthe Commodity Futures Trading Commission
ORGANIZATION