Epstein Secrets

is item should NOT be initialed if the applicable broker-dealer is a limited business broker- dealer or if the person is identified on Schedule A of Form BD by an ownership code of less than 10%. (8) A person listed, or required to be listed, on Schedule B or Schedule C of a Form BD. This item shoul

subdivisions for the benefit of its employees, and has total assets in excess of $5,000,000. E. The Investor is an individual retirement account, Keogh Plan or other self-directed defined contribution plan in which a participant may exercise control over the investment of assets credited to his or her a

or required to be listed, in Schedule B of a Form BD (other than a limited business broker-dealer), except persons whose listing in Schedule B of a Form BD relates to an ownership interest in a person listed in Schedule A of a Form BD identified by an ownership code of less than 10%. K (e)(iii) any pe

Self-Directed Benefit Plans K (m) The Investor hereby certifies that it is an accredited investor because it is an individual retirement account, Keogh Plan or other self-directed plan (i.e., a tax-qualified defined contribution plan in which a participant may exercise control over the investment of ass

The Investor or any Owner directly or indirectly owns 10% or more of a public reporting company listed, or required to be listed, in Schedule A of a Form BD (other than a reporting company that is listed on a national securities exchange, or other than with respect to a limited business broker/dealer).

the Investor is an individual or if beneficial ownership of the Investor is held by an individual (for example, an Individual Retirement Account or Keogh Plan), such individual is of legal age and is a/has an: • citizen of: • resident of: • approximate net worth of the Investor: 4810-9064-3536 v.5