HUESUS133 Alpha Group Capital Item 3. Table of Contents Table of Contents Page Item 2. Material Changes 2 Item 3. Table of Contents 3 Item 4. Advisory Business 4 Item 5. Fees and Compensation 10 Item 6. Performance-Based Fees and Side-by-Side Management 21 Item 7. Types of Clients 211 Item 8. Methods of Analysis, Investment Strategies and Risk of Loss 22 Item 9. Disciplinary Information 83 Item 10. Other Financial Industry Activities and Affiliations 83 Item II. Code of Ethics, Participation or Interest in Client Transactions and Personal Trading 84 Item 12. Brokerage Practices 85 Item 13. Review of Accounts 90 Item 14. Client Referrals and Other Compensation 90 Item 15. Custody 90 Item 16. Investment Discretion 90 Item 17. Voting Client Securities 91 Item 18. Financial Information 92 3 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0084787 CONFIDENTIAL SONY GM_00230971 EFTA01384525