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ent (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 investment Banking Services in the past 12 months. (b) expects to retain
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
nt (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 Investment Banking Services in the past 12 months; (b) expects to retain
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
(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 Investment Banking Services in the past 12 months: - (b) expects to ret
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 Investment Banking Services and Material Support
Non-Public Company
ORGANIZATION
Ghislaine Maxwell
PERSONForm BD
ORGANIZATIONCovered Broker
ORGANIZATIONCovered Broker Dealer
ORGANIZATIONCollective Investment Account
ORGANIZATIONthe Memorandum
ORGANIZATIONDelegate
ORGANIZATIONBranch Managers
ORGANIZATIONKeogh
ORGANIZATIONSubscription Booklet
ORGANIZATIONthe Fund Investment Application
ORGANIZATIONQuickCard
ORGANIZATIONUBS Alternative Investments US
ORGANIZATIONThis Placement Fee
ORGANIZATIONInvestment Company
ORGANIZATIONthe Commodity Futures Trading Commission
ORGANIZATIONthe National Futures Association
ORGANIZATIONAl Investor Service
ORGANIZATIONCovered Non-Public Company
ORGANIZATION