EFTA01273265.pdf

4tUBS
UBS Financial Services Inc.
Account Number
Client Id
Fund Investment Application Cover Sheet
ATLAS ENHANCED FUND LP
Fund Name
Ghldalne Maxwell
Account title
Ghlslalrie MarweN
Client Name
ACU6
Form
EF2366SS
Control Number
Application id
ECS-0114989654
lentiffhRERVII
ECS-Ol 14989654
O200s U13.5 'Mandel Services Inc. Al Rights Reserved. Member SPC
For Internal the 00y
CONFIDENTIAL SDNY_GM_00020437
EFTA_00 I 31057
EFTA01273265

•
B•A•• m••
SAL vASNV ASSFT MANAGEMENT , fr
Atlas Enhanced Fund, L.P.
Investor Application Form
Investor(s)
Please:
• Complete the Investor Application Form and return this entire Subscription Booklet to
your Financial Advisor.
• Only fully completed Subscription Booklets (no faxes, no copies) will be accepted.
• DO NOT TEAR OUT PAGES.
• Retain a copy for your files.
• Read the Fund's Memorandum and the Subscription Agreement.
Be sure to complete all sections of the Investor Application Form
Financial Advisors/Branch Managers
• Please refer to the Fund Investment Application ('FIA') QuickCard for
application submission instructions, or call UBS Alternative Investments US
at 888-962-3842, option 1, sub option 4.
• Effective July 1, 2014, FATCA compliant W-9s and W-8BENs are required for clients to execute
new investments in all Alternative Investments. Please refer to the enclosed Tax Forms and
related submission instructions.
• All Investor Applications must be submitted on FIA to UBS Alternative Investments US
no later than 6 full business days prior to month's end.
Private and Confidontial
CONFIDENTIAL SDNY_GM_00020438
EFTA_00B1058
EFTA01273266

Instructions for Completing Investor Application
Prospective investors in the Atlas Enhanced Fund, LP. (the 'Fund•) should read the Memorandum as well as this
Subscription Booklet prior to subscribing.
Please complete all sections of the Investor Application Form. If you invest via this Subscription Booklet please
promptly return the entire Subscription Booklet to your Financial Advisor. Do not tear out any pages. Retain a copy
for your files.
Please refer to Schedule 2 for the meanings of the capitalized terms used herein.
Please consult your Financial Advisor or call UBS Alternative Investments US for assistance in completing
this Investor Application Form.
A. Capital Contribution Amount
• Indicate the Capital Contribution applied for (which may be accepted in whole or in part by the Fund).
• Provide your Account Number.
• Funds must be drawn on an account that corresponds exactly to the name of Undersigned.
The Fund may in its sole and absolute discretion accept as your Capital Contribution an amount less
than the Capital Contribution applied for herein.
CLEARED FUNDS MUST BE IN YOUR ACCOUNT 5 BUSINESS DAYS BEFORE 5 P.M. NEW YORK TIME
PRIOR TO MONTH'S END.
B. Investor Information:
• Provide the Investor's mailing address exactly as it should appear on the address labels.
• include the Investor's state of residence or principal place of business, if applicable, and Social Security/fax
ID Number.
• Provide the Investor's email address.
C. Accredited Investor Representation:
Please read Schedule 1 and check the appropriate box. Generally, an 'accredited investor' has a net worth in
excess of S1 million for individuals (together with spouse) or total assets in excess of 5.5 million for entities. To
calculate net worth, exclude the value of your primary residence, and count as a liability any indebtedness
secured by that property M excess of the fair market value of that property. If you incurred the debt on your
property within 60 days of subscribing for this investment and did not use those funds to purchase that house.
you must include the full value of the debt as part of your liabilities.
The Investor must certify that he, she or it is both an accredited investor and a qualified purchaser in order to
invest in the Fund, unless otherwise determined by the Fund and/or Manager.
Private and Confidential
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CONFIDENTIAL SDNY_GM_00020439
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Instructions for Completing Investor Application
(continued)
D. Qualified Purchaser Representation:
Please read Schedule 1 and check the appropriate boxes. Generally, a 'qualified purchaser" must be an
individual or beneficiary of an IRA- or participant.directed plan or family uustientity with at least E5 million in
qualified investments or an entity with at least $25 million in qualified investments. The Undersigned must
certify that he, she or it is both an accredited investor and a qualified purchaser in order to invest in the Fund.
E. Benefit Plan Investor Status:
Please read carefully and check the appropriate box.
F. Controlling Person Status:
Please read carefully and check the appropriate box.
G. Certification Regarding Initial Public Equity Offerings:
Please initial and complete all applicable sections.
H. Government Entity Status:
Please read carefully and check the appropriate box(es).
I. NFA Bylaw 1101 Certification:
Please read carefully and initial the applicable acknowledgement(s).
J. Investor Acknowledgement:
Please read the acknowledgements contained in this section carefully, Initial the applicable acknowledgements
and complete the applicable certification(s).
K. Investor Signatures:
Please sign.
Private and Confidential
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CONFIDENTIAL SDNY_GM_00020440
EFTA_001 31060
EFTA01273268

Schedule 1
PLEASE REFER TO THE REPRESENTATIONS BELOW Si ORDER TO COMPLETE DIE INVESTOR TYPE, ACCREDITED INVESTOR AND
QUALIFIED PURCHASER RENtEsENTAilON QUESTIONS OF THE INVESTOR APPUCATION FORM.
ACCREDITED INVESTOR STATUS ANO IV. Corporations, Partnerships, Limited QUALIFIED PURCHASER STATUS
QUALIFIED PURCHASER STATUS Lability Companies and Other Entities
V. Individuals, Joint Tenant and IRAs
The Undersigned must certify that he, she or (a) The Undersigned is a Canoe bon, (as applicable)
it is an accredited investor and a qualified partnership. limited liability company,
purchaser based on the categories listed Massachusetts a similar business bust, or The Undersigned is a qualified purchaser
below an orgarization described in Section because hershe (atone, or together with
ACCREDITED INVESTOR STATUS S 1 O 98 fic 4 ) (3 a ) s o f a m th e e n i d n e te d r n ( a t l h e R ev - e C nu o e d C e) o . d e r o o t f l W es i s n t e h r a s n p S o S u s m e, il l i i f o i n n : v n e s in ti v n e g s j t o m in e t n e t d s • o • w ns not
I T . h e In U d n i d v e id rs u ig a n ls e , d J , oi e n i t t h T e e r na i n x t iv s i a d n u d a I l R y As a m i f n a i l m t k h o e e n d F ; o u fo n r r d , t h w e it s h p t e o c t i a fi l c a p s u se rp ts o i s n e e o x f c e S ss e o tt f i n $ g 5 F V o I. u n ' d F a a ti m on il s y . ' C F o a r m po i r l a y t ion E s n , dow 'F m a e m n i t l s y ,
together with the Undersigned's spouse, has •Family Partnerships, 'Family Trusts or
a net worths in excess of S I million. fta Each shareholder, partner, or other other 'Family" [Mitts
equity eivner of the Undersigned, as the
N. Trusts case might be, is an accredited investa, a (a) The Undersigned was not formed for
the specific purpose of investing in the
(a) The trust has 6) total assets n excess of (0 The Undersigned is a 'bank' as Fund;
S5 mitron, (I) 4 was not famed for the defined in Section 3(412) of the Securities
specific purpose of nesting in the Lund, Act or a *savings and loan association' or its) The Undersigned owns not less than SS
and (iii) its investment in the Fund is directed other institution referred to in Section milion in nvestments;• • and
b ex y p a e ri p e e n r c s e o n in w fi h n o an h c a ia s l s a u n c d h b k u n s o in w es le s d m ge a tt a e n r d s a 3( c a ti X n 5 g X i A n ) its o f i n t d h iv e i du S a e l c u a n ti f e s s k x A a c r t y , c w a h p e a t c h it e y r . K in t d re T c h tt e y U by n d o e r r s f i o gn r e 6 d ) t i w s o o w a n e m d o d re ir e n c a tl t y u r o a r l
m f t u h e a n n t d t h , s a e a a n d s r h is e k k s o ca f p a ab n l e i n o v f e s e t v m a e lu n a t tin in g t t h h e e ( a C The Undersigned is a 'broker a p sp e o rs u o s n e s s w (in h c o lu a d r in e g ( A fo ) r r m el e a r t e s d p o a u s s e s s tr ) i , n o g r s ( a 8 )
dealer' ngstered pursuant to Section 15 of direct lineal descendants by birth a
(b) Each Grantor of the trust has the the Secwities Exchange Act, or adoption. (hi spouses of such persons,
power to revoke the trust and regain tide to (n) the estates of such persons a
the trust assets, and each grantor d an fel The Undersigned is an 'insurance M foundations, charitable organzations
accredited investor, or company' as defined in Section 2(a)(13) of trusts established by or for the benefit of
the Sectrities no; or such persons
(0 The trustee of the tn.& is a 'bank' as
defined in Section 3(aX2) of the Securities (0 The Undersigned is an 'irwinvnent VII. Trusts (Other than Truett that
Act a a savings and loan association a company' registered under the Investment qualify under VI or VIII hereof)
o 3( t a h X e S r XA in ) s o ti f t u th ti e o n S ec r u e r f i e ti r e r s e d A ct t . o in Section ( C g o ) m p T a n n e y U A n c d t; e o rs r igned is a 'small business ( t a h ) e s T p h e e c i U fic n de p r u s r i p g o n s e e d w Of a s i n n v o e t s t f in a g m i e n d t f h o e r
It Retirement Plans investment company' licensed by the U.S. fund, and
Small Business Administration under Section
(a) The plan has total assets in excess of 55 (301 ) or td) o1 the Small Business (b) The trustee or other authorized person
million; a ewes/men% Act; or making decisions with respect to the trust,
arid each Settler or other penal who has
ite Each participant in the plan is an (Ii) The Undersigned is a 'business contributed assets to the trust, 6 a person
accredited investor; or development company' as defined in described in V. VI, VII or IX
Section 2taX48) of the ineestment Company
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Act a a 'business development company' VIII. Other Entities
who are accredited investors; Cr defined in Section 202(0(22i of the fal The Undersigned was not loaned For
Investment Advisers Act the specific purpose of Investing in the
m O S S e a c d t e i I o n n v b e y s 3 t ( a m 2 1 e ' ) p n l t a d d n e c E fi i d R si u I o S c n A i s a r t f y e h ' e a t a t s h i e s d e p a f l i a n b e n a d w n k e , N • ote T fo h r e A te c r c m re n d e it t e w d o In rt v h e m s e to a r n S s t t a o t t u a s l : a ssets F (b u ) n d; t h a e n d U ndersigned is an entity, acting for
insurance company, registered investment at far market value minus total tabbies. its own account a for the accounts of other
adviser or savings and loan association.
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count as a Lowey any indebtedness secured not less than 125 milion in investments •'
by that property in eaten of the far market
value of that Property, except that if you
inclined that debl on your properly within
60 days of subscribing for this investment
and did not use those funds to purchase
that house, you most include the full yaks
of the debt as part of your liabilities
Private and Confidential
4
CONFIDENTIAL SONY_GM_0002044i
EFTA_00131061
EFTA01273269

Schedule 1 (continued)
I Q X U . A E U n F t I i E ti D es P t U h R a C t H d A o S n E o R t S q T u A a T li U fy S u (c n o d a er r d) m XI u I. s I t n a v ls e o s t r o e r s s p t o h n a d t c Y h E e S c o k r e N d O X( t b o ) o X r II X (c) C -in o v n e tr s o t l m e S n e t c s u ' rit i i f e s (A m ) ay th e b e is s i u n e c r l ud o e f d th in e
p i N a I T b V f t n u h s r e o I v u r • e d c t c a e V s e a e h s t l I : s m U a s R t o c s m o n e r r e ' d i f s a b r e s y e e s . r t d h s n e a i e c o h c g u i h t e n r r r r e i e e t d i b b e l i y n e e s i n n s o i e e s n f a f i i c a r c e i i a q a i % n r u l i e c a a s e o l l i l r f w i i t e e a i n f r d d ic e e a r p p t q u i u o u o r r n c c a f h h e li a a f v i t s s e e h e e d n e r r M c i r t U a b X i t t h e s h o s n y n c i e l n e e n a s , a d X s l w t e n U f e o i 7 U e o y e r r n a r ) n s n n r d t i d C d s i g S N e s i h e n f o r r e r O e i r s e m u p o s c c i d n g m t i t p g i s t ? d n o o a u n o e e n n d e r t I d r X h y s f d X i e I n m c I t a c i d t h o t h ) b a s s i a m ( b r e e y e 1 e e t e c c m ) l b c f n u c a U t o e o e o r u a i b r n n f t n s r i y e c e d t e S 3 r i c n e o h a a ( e i o e r c t o l l m c s s X n f l t o i i h , d g i c 7 t e o w a r e i i n ) d s o a n s r n e C l s l c d t e 3 a o o w o o r ( o w m n c c c i o f t X t n u o h a p h b 1 e o s n a a r t ) u d r t a t t n t o r h c e o i o y o n i n h e d s , r f l s s s I S i p b t f c n S h e r e u r y e o o v a c c i I c v e e n d m u u t u a s R r ) r r t l r i t i r t i t i t o e u m t e o o t i i h e i e l e f l e s f e i s s e n s t t n s h v h r m l d t e r e i e e 3 e s e e c a p s a t C p u S C f e r t o - i m r k r 6 n o e d r o e i e t t c m i e s i n s t t e u i o e n o o t p s r u p r n n t r i n a o t u n t i c n e i l r d s o a o R y s s S s e f m u e u e E i r d t a A c i c l p s x n e e R u n u c e a c v s r t r e t h l n e i i i f , t t g 3 g a t y i i s e e o n a n u ( t a s s o m B a - g l a 7 S t r h ) e e r e o t e e a i t i n d A o s h f c g s u t n e c t i e n a i o s a c o t x d S t . n f o n e c C e f e ( m l - r C u m a o r s i e 1 s s n p ) h n d 3 p s s d a o t t u t t h r h o e o e n r e o o e e e r d y f r r r l
the Securities Act or (0) the issuer of the
X. All Investors that an Entities Notes for Qualified Purchaser Status: Control Securities is a private company with
(a) The undersigned is not a 3iC)(1) Cr • • f he term ' investments- means any m sh i a lli r o e n h old d e e r t s e ' r m e in q e u d ity n n ot a c l c e o s r s d a t n h c a e n w S i S t O h
XcX71 Corns>any. or as (1) securities (as defned n the Secuites generally accepted accounting principles, as
P ( 3 b ( r ) c o X m 7 T p ) h t C e ,' o 3 U m 0 n d p H e a o r n l s d y i e g r n b s e u . d o t r i d s o a e s S e n c o ti t o n h a 3 v (c e ) (1 A ) N o Y r o f A o t c h r t e l ) u , r w tu e in i r s x e v e c e s e s p c t i m o t n n c e f l t o u n ra r d t c e t C d s o p o n u r a t r s o r p o p o l s t d i e o e S s n s e ; c s c r u i t b h r ( i e e t 3 i d e r 1 e s P o b h n u e y n h l s l o e e o w s a ld s ; l f t s r i h e n ta e f a l t e e n c m c d t i e a a e d t l n e s t s t i a n o w t e f e m t r h U e e e n n i s d t s s c e u o ( r e p s m d r ig o p w n v a e i i n d t d h y e ' ' i s s d n s 1 m p u 6 u c o r m h c s h t o f i a n n s r a t e e h n c s c e o i o n a f f t l
( f t 3 c r o ( o ) c m % a 7 s T a ) h ll C t e r o e o U f a m i n t t m p s d a e P e n r r n s e y t i - g A a n a r p s e id r d i l a h 4 3 a 0 q s a u H o S a o b l e i l t f c d a ie t e i i n d o n e n d p 3 u 1. c r 0 o c 1 h n 1 a s ;. s e e n r t p ( p c c 4 o u r o o ) n r n p p S tr o o w w a s s a c p e e t p s i s : t s , ( i e 5 a s e ) n a r n d e h n t e ( a d e 6 r l l e d ) e d c s o a f t o t a s h r h t i e n e i a n r t o h v n e e d l s s d c f i t m o m a f r s o i e l h a r n r t e i i n n q p v v u u f e e i i r v n s s p a a t t o m m l n e s e c e n e i n n t s a s t t , l i m N h n O v i i e l e l T i i s o E n t n m : g e o ) In n . r t s S d I c S e a t n e m rm b il e l i i n o i v n n a g l t u h e r w e d s h h a e o t t h ld c e s o r s a t t r h e o e r m f e a S t i S r ,
XI. Investors that checked VI or VII may held for investment purposes. market value as of a recent date. If
check XI instead oe X investments have been acquired with
indebtedness, the amount of the
The Undersigned has obtained consent to its indebtedness must be deducted in
treatment as a chakfied purchaser ham all determining whether the threshold has been
of its trustees. directors or general partners. met
Private and Confidential
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CONFIDENTIAL SDNY_GM_000204142
EFTA 00131062
EFTA01273270

Investor Application Form
A. Capital Contribution Applied for. S
S c N s i e u r o c c b t u t e s i m o . c n r Y s i p t f o a o t u n io r c : n a a e s c c s k ) w c . f o it i u A l io l n o n P t n a l w a l l y c i i n l e b l f m b o e e e r a m n d c t c e a F e b ti e p o it * t e n e c d d o r l e i f a n o g b r a U e y r . d S o in i . u n D r a g o C d t l h d a la e p i r t ' i s P o . l n ac t e o m y t e o a n u t u r F C t e e a e p n . it p a l l u C s o t n h t e ri P bu la t c io e n m . e P n l t e F a e s e e o se f e 2 % th e (w In h v ic e h s t m or a A y c b k e n w ow ai le ve d d ge in m l e im nt i ted
Account a if vuls <wenn, native I
, IM MOIEMP
8. Investor forma •
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C. Accredited Investor Representation
C heck ony one boa
m B i t n h y u v i s l e e i o x in l e l n o v c e f r u " a s t t e u o e ' n s r n d ; A t t e i h p l r i i e p s R M l I i e c n a g a v t u e n io s l d a t n o t h i i o r a n n A s d 0 c p u a p d * lc k n n u a g l u a t , i t b o t e t u n d y t n t n , h o o e n t t e w U li t m o n w r d i t o t t h e r r o d t a h g s t n o i K n e . a e d th x r c c e i e e m i s r n t s s i ' f h o t ie r u f s S c t t t r h i I o t a m n i t n s h e s e t l t o o r . u n c t c h a l t o e i k o t , u n c ' l , s e a t e l 4 n e n i t d t h t s h o e i s n a n p s m e p ( t l t e i w o c g a g o e b r * l t , t e h h A ) e l P o r P w t h O a a it c b s h c s r r s i e C e p a d r o i d i u t e a s d e n ) i d n o u v r n e t d s o e t t a r s s s t a ; a s a n s n d e d s ts ( t i I h i n ) e i e s i x n a c w e 'a s u s c t t o c io f r n e SS s te t d o
o M rd e e n r a t r o e i a n d v e S s c t h i e n d t u h l e e F 1 u a n n d d check one appropriate box brow. Note that you must be boas an &fledged investor and a quelled purchaser is
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If Investor is a Revocable Trust, check here O (IDa or O (Rhea O elk
If investor is an irrevocable trust,
check here O (RN or 0 lac
II Investor is a Participant-Directed
RelieteMol Plan. (We hero O ab c
II Mentor is Other Retirement Plan,
(here here: O Mao, O (*bar O Oki
If investor it a Corporation. Partnership,
u ch n e i c te k d h e li r a e b . lity Company and Other Entity, O DVS or O IN)b or O (Mc or O OM a O (Me or O frull *rifling or O (Anh
Private and Confidential
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CONFIDENTIAL SDNY_GM_00020443
EFTA_00131063
EFTA01273271

Investor Application Form (continued)
D. Qualified Purchaser Representation:
r o U o M Q t t e h h t w n u h q a e e d a n u e t e h l f i r U i r u r f . a e i s a n e a n m t i u d d g n d t l e e n I h d e n r n e o a s v E d t s r i P s e g i ' m t z s l s n e o e t s i a S e m n l d t y s d 5 a e / e S p t M n u i m c e s r t s h i e r s s i s a e l a a ) t l o d i s d o e n " u a T n q n l S m e h t u ' i c i q e t a a 1 n i h e u l U k , e i s f a i & d q n i n e m l u u d e i g d f l a e l e i u u e d r l s p i e s d d f 1 t u i i c i e g n p o r i a d s n c u g w n i h e r o i c d n t a d n n h h s v s a m e c a e e t h w s r u s r l e e e ' e t i s c m t r q a t h u k u s c e n r t i e n r t e d h e S t r s e s t e m S p i r . f e y m e a t c h n t p i t T h l e t l p t h i a ( o o f e I r t o n n o h t v r L p h o e e i e t r r n , s r i u a d m t s t m s r e h t u o e t e e s s r s n e o t i b o g ) t r i t o a n n h C i x e n t e o q e d d r is m u s ' s t e . a b h p a l e o a i a c f x t n i t n h r e h e u y d t c S a r s u A u i e n r t t w s c n i e o a t s i i o n n c t ( u r r c t g e i r o r o t e n l i e y e r f n e d i s o n e n i t t t h g r e s i h s a i d h s o e l a o y i r n n n I . u n p w d c l i v d n e e e e s d r r s n o t t i e i o v t t f o n i a i i i t c d r i d e a a u w n s t A a c i h o d l m a p s o n p . r a u s e h l b s i q f c i a e u t n a u s n o l ) t V a , e c i v o f k o I t i a n c h a e n i e n a a t d c r d r n i o s b i p e d n p V u u s e s i U r t n c t e c o i ) v h t i d f f u e i a t c t h a ( s s e R s a t e s - s a t t r q i e p t b c m u t l a s e o e a r : r o t a i t h t o f i r s i c i f d e t i t t i c e h p h S d a r e a e 2 t p m t i 5 o t o t u r r m - n u u r i d n c s s i i o v t l h r t l e e e i f a m o e c s s n t t u t ( e h e o I i s r e n n d r t '
if Investor Kan individual or IN)
IRA. or ParticipantAirected
Retirement Plan, check here*
rf Imesta is
*FamPr Corporation
FOunclatiOrk
'Family" Endowment ▪ (V)a. b and c AND 0 Neer 0 OW a 0 (pent 0 (Xl)
'Family" PritrenhipS,
'family" Trusts or Other
EntrlieS, Check hat
It Infester is a Trust (other than
a few that guard-sounder vi or O (Vina and h AND 0 Moor 0 Mb' or 0 Ode or 0 MI)
‘410, check here:
I E f n !m tity o . n c t h h e c is k a h n e o r t e h er type of O (Olga and b AND 0 Maw 0 OW or 0 Mr or 0 the
If investor is an Entity that does
not quality under VINO!. chock • (0) AND 0 Marc D Pgb• or 0 doe or D go
hem
'Investors that checked /OP nt yew riewaied00ber °Mellow.
or X(c) must also respond °lea YES OR NO MOW
YES or NO to item X.0
0 YES or 0 NO
E. Benefit Plan Investor Status:
Please certify, by checking the alVircinate box below, whether the InvelSor is or wil be described it any of the following categories (1) an
"employee benefit pion" us deleted in Section 3(3) Of EftSA) that is subsea to EILISA: la a 'Man" (as (Jetted in Section 4975(eXt) of the Code)
A th s a s t e t is s s R u u b le le s c b l y t o re S a e s c o t n io O n f 4 e 9 q 7 u 5 it o y f i n th ve e s C tm od en e t s o i r n ( 3 S ) t i a th n e e n n t t i i t t y y b w y h o ic n h e I s o r d m ee o m re e d p e to rs L o W n s a d - e b s e c n ri e b f e it d p in la c n l a in u v s e e s ( to t) r - o r o ( r 2 s ) o a h b o o l v d e . " M E a x n am a p s l s e e s s o " f u t n h d e e f r o t r h e e g o N i a n n g
i a n c c c l o u u d n e t . s ) a a m n o d n e g n t O it t i h e e s r th th at in a g r s e . d ' e K e e m o e g d h t ' o p h l o an ld s , ' p o l t a h n e a r s t s a e x t . s q ' u t a h f e if r i e e o d f . r etirement plant IRAs. (*ruin oiler types of employee benefit Plans (and
Check one' CI YES or 12(NO
F. Controlling Person Status:
Please certify. by checking the appropriate box below, whether the Investor s a sea be descnbed in any 01 the following categories 0 a person
or entity that has discretionary authority or control With respect to the assets of the Fund. Oa a person or entity that provides investment advice
fora fee (director indirect/ with respect to the assets of the hand or 4.) an 'affiliate- of r person or entity described in clause (0 or 60 abate.
For purposes of this representations an -Oriole of a person Of entity includes any person Of emit/ Controlling. controlled by a undo common
conoOl with the nelson or entity. eliding by reason of hiving the power to exercise a controlling influence over the maned/wren:I Or Policies of
the person or entity.
Check one. 0 YES or leCIO
Private and Confidential
7
CONFIDENTIAL SDNY_GM_00020444
EFTA 00131064
EFTA01273272

Investor Application Form (continued)
G. Certification Regarding Initial Public Equity Offerings:
Rule 5130 'Restricted Persons'
3 :44 . .:. . ; The Fund may elect (Mt to invest in new issues even if yore individual account is eigkile for such transactions
• Please initial the appropriate statement The Unckwsigned has initialed those summents below which apps to it or. V the Ondertigned is a
corporation. partnershm. bus; or other toNy. %Mild) diVy to any person luring a lloneficiallnterest in the Undersigned:
The Wrote. is any of the foltossAng:
(a: A PNRA member him or of broker dealer
•••• • (b) An officer. director, general partner, associate° person or employee of a FINRA member fain o: other Covered Broker Dealer;
(c) An agent daft:mired Broker Dealer if the agent is engaged in the investment banking or securities bullpen
(c0 An immediate Family Member of a person specified in fb) or (c) above.
(a) A finder or other person acting n a fiduciary capacity to a Covered Broker Dealer naming attorneys, accountants and
financial consultants:
- (0 A person who has the authOnly *buy or sell secwilies for a bank. savaOs and loon institution. insurance company.
investrrent company. investment advise[ d Collective Investment Account.
(g) An Immediate Farndy Member Mammon specified In (e)or (0 above who receives horn a provides to such person Material
Support.
- (h) D A e p a e fe rs r; o n tided for required to be bee/ in Schreckae A or Schedule C to Form 8() IS owning 10% a more of a Coveted Evoker
- 0) i A n p fi e t rson Hued (or requiwis to be Wert in Schedule 8 or Schedule C a Form BD whose ownershrP 'Mein' 0 in a person Inked
0 Apemen that owns deectty a Witettly 10% or mote of a putific reporting company bled (or required to be fisted)
Schedule A ol Form SO with respect to a Covered Stoke( Deter. Other than a soak <organs that is fisted on a national
securities exchange.
- (k) A person that owns °erectly a indirectly 25% or more 01 a pubic reporang company that is a person lined in (i) above other
than a pubic company that o lisped on a national secunbes exchange:
(I) An Immediate Family Member of a tenon tested in (hi through (k) above who recesses from or mantles to such person
Material Support;
(m) An account (Inducing a corpormson, partnership. !ended bebsiy company, trust ce other entity) in which any of the persons
referred to in (a) through 0) above has a Banelcial lowest (any person in (al through (m). a •5130 Restricted Person')
The investor is none of the above.
For Entities only If you initialed any of Item (a) through (n) above, you may sill be ebflible to Pertldpate in Thew issues" if you
satisfy one of ter exemptions listed under 'New has Exernpilons• at the beck of the Subscription Agreement
If so, plan specify the exemption nuinber (1 through 10) here (exemption 1(b) is not avallablek
NOTE: Exemptions ere not appliraide for individual ratiminant accounts. individual or joint account, UGIMA or UllIAA Amount;
%ANA are treated as newel persons for this purpose.
Private and Confidential
a
CONFIDENTIAL SDNY_DM_00020445
EFTA_00131065
EFTA01273273

Investor Application Form (continued)
G. Certification Regarding Initial Public Equity Offerings (eOntd):
i:sc 3t :
. . Rule 5131 "Covered Persons"
• ( I) B en P e h f a ic s ia e l i I n n i t t e ia re l b s e t i l n o w th I e l i n a v p e p s l t i o c r a - ble or lithe investor is a corporation. partnershP, trust or other entity. which apply to any person haring
C o T r h o e m a i p n C a v o e n v y s e t e o re r r . d a o N C r o o a v n n e y - r P e p u d e b r e s k f o o n C r. 4 h o 1 a m 1 li 9 p n K a g r C y a , o B m o e r P n a 9 e m ) f i i ( c a a i e a p W l e In r p s t o e e n r r s e o re s n c t i e n in i v ( i i t n ) h a g e M I 6 nv a ) e . t e a s r t ' o i 5 a r 1 , l i S 3 s t 1 9 e w C a o o n v d e e b x re e y d c a u P t n e iv r e e s x o o e n f c f " i u ) c . t e iv r e o r o * ff k ic w e or o & f a a c P to u r b i o c f Company
(2) II you initiated statement (1) above, you must name each relevant Pubk Company andke Covered Non-Pubic Company:
(3) If you Initialed statement (11 above. please initial the following oily if such appicaSe Pubic Company or Covered NonPublic Company:
(a) m is e c m ur b re e n r t f l o y r a I n d v i e e s t t s m r e k n e t W Ba ir r g iu In m u e S s e i r n v t i e ce n s t B rn a t n h k e in p g a S st e 1 rv 2 ic m es o p n r t o h v s i ; d ed by a ARRA member, or has paid compensation to a MIRA
(0) expects to man a FINRA Member for Investment Banking Services within the next 3 mondw or
(0 M ha I s R e A n m te e re m d b e in r to fo r a n th e ex p p e re rf s o s r m or a n im ce p l o ie f d f u o t b u l r i e g a In ti v o e n s , t m di e re n c t t B ly e o n r i n in g d i S re e C rv t i l c y e s th . rough its erkuthe officers or directors. to retain a
e H x y e o m u p i t n io it n ia s l e lis d t e a d n y u n o d f e it r e m N s e ( w a) I s th su ro e u s g E h x e (c m ) a p b tio o n ve s , ' a yo t t u h m e a ba y c s k t i o ll f b t e h e e S lia ub l s e c t r o ip p tio a n rt A ic g ip r a e t e e m in e n "n t ew issuer If you sad* one of the
If so, please specify the exemption number here (exemption 1(a) is not available):
r H s e h p o t r h u e e l s d e I t n n h t v e s e a s th t c o a c r o t u h h n a e t s , b s r e e h c p e o r m e o s r e e i a n t t 'R e un d e d s t e t h r r i a s c t t t a e h n d e d P , s e s t r h h s e a o t n o ' t r h o i i r s t " C c is e o r n v t e i o fi r t c e a d a t e P " R e e r e x s p s o t i n r r e i " c . s t e a d f t P er e r o s n o e n ' y o e r a r a a " n C d o a v g e r r e e e d s P p e r r o so e n m ", * t h t e o I n n o v t e if s y t o t r h e fu r rt o h o e d r
H. Government Entity Status
C) Is the Investor a Government Taws
C) Yes 1/tio
fie if the Investor is acting as agent, reprosentatike or nominee to one or more investors. is any ol such mveston a Government Entity)
O Yes ti/No
(ii) If the answer to question GI) is "Yes', please imitate the navies ol any such investor
Private and Confidential
9
CONFIDENTIAL SDNY_GM_00020446
EFTA_00131066
EFTA01273274

Investor Application Form (continued)
FIFA Bylaw 1101 Certification (Meese initial es appropriate:,
Individual, IRA. Joint and Foundation Investor=
The biretta represents and warrants that it is an inctodual. IRA or a foundation and that It is not required to be a
member 01 the National Futures Association rt,fAl or to be *capered with the Commodity Futures Trading Commission
("CFTC") n any rapacity. ilelmar comma on to Section A. fewest°, Acknowledgement)
OR
All Other Entity Investors
The Invest°, (or, d the Investor is a commodity pool the opersor thereof) represents and warrants it n not requred to be
a member of the NM or to be se tseed with the CFTC in any capacity
(Pleas* note. while not Sways the case, generally, certain private investment vehicle such as single member
limited lability companies and certain limited partnerships comprised of family members, among *them,
should initial this section and below if applicable.)
If the Investor is a hand or another investment entity and initialed item (0) above. please compete the Mowing.
c T o h u e s f i r n e , e o s r i a th i e s a I n l v a e m st a o y r s i w s a e s f t a rn r e * n t d v i e k h e ic l a e n w d h h e a w s t p il a e r d t i a c i n p o a t n i t c s e i w nc i l t u h d t e h o e n C ly R s C po u u n s d e e s, r c N h o il - d A re c n ti , o i n n - t l e a l w le s r , g 1 r 2 a . n 3 d 7 p arents and
The Inrestoi relies upon an exemption from registration under CFTC Rule 4.13 and has hied a notice darning this
exemption with Ow NFA
The Investor relies upon an exclusion from the definition of the tom 'commodity pool operator' under CFTC Rule 4.5
and has feed a entitle darning this exemption with the NFA
b T e h n e e I f n it e e p t l t a o n t , 6 o r a a n c o h n u t r e c n h t r p i l e a u n l n co y v p er a e n d , u a n c d o e n r n t i h b e A E c m ey p l d o e y f e i e n e R d e b ti e re n m ef e it n t p I l n a c n o ', m a e g S o e v c e u r r n it m y e A n c t t a l o f e l 1 a 9 n 7 , 4 an . employee welfare
t T h h e e a i p nv p e li s c t a o b r le re e li c e e s r u re p s o i n o n a n u o p t o h n e r w e r x a e th m p th ti e o i n n o v r e o st t a h e r n el v ie n s e o i r s i n n o d t i c re a q * u t i h re e d b t a o s r s e u gi p s o te n r w "n h t i h ch t h t e h e C I F n T v C e s ( t p o l r e a h s a e s i d n e d t i e c r a m te i n b e e d lo M w a l
tegneation a an exemption is nor required)
OR
Entities that are WA Members and/or those required to register with the CFTC:
(c) The Investor (or, if the Investor is a commodity pool, the operator thereof; represents and variants that it is a member of
the NFA and d registered 'oath the CFTC
Please indicate below the capacity in which the Irritant (or the operator thereof; n registered (commodity pool operator,
commodity trading advisor, (Munn COmmessicn merchant, nuoduono brakes, a retail foreign exchange dealer:
I With respect to any such plan to with an anwloyee may voluntary". coMfibute, no portion of an employee's rontnbution is committed as margin
:"9,Prenti4O1Cilf DIMAS or options cannons
• Private and Confidential
10
CONFIDENTIAL S0NY_GM_00020447
EFTA 00131067
EFTA01273275

Investor Application Form (continued)
1. Investor Acknoindedoyment
' . i T n h c e o m Un e d t e a r x s a ig ti n o e n d sruted consult its own U S tat advisor if it is us-rerun es to whether l n a "United States person" for eirPOWS of U.S. federal
. • ' • . (a) The Undersigned represent that he, she or it is a -United States person* (as such term is defined in
the Code) for purposes of US. federal income taxation and has provided to U.S a valid and duly
m (di a e t m steam b m ot i h d m ay be U co n m de p r l s e i t g e n d e d F . o rm Th e W U .9 n , d o er r s i s g u n c e c d e s c s e or r tif t i o es m u n th d e e r r e t p o e , n s a i l g ti n e e s d o u f n p d e e r r j u p ry e n t a h l a tie t s ( A o ) f le p t e r U ju .S ry . t b a y x pa su y c e h r
Ittitlited identification number, es it appears in the Investor Application Form In this Subscription Booklet, is
true and correct and (8) It is NOT subject to backup withholding because either (1) it Is exempt from
backup withholding, (2) it has not been notified by the U.S. Internal Revenue Standee (RV) that It is
subject to backup withholding as a resat of a failure to report all interest or dividends, or (3) the IRS
her notified it that it is no longer subject to backup withholding. The Undersigned will notify the
Fund within IS days if any of the above certifications are no longer valid. Upon request by the Fund
or the Manager, the Undersigned shall promptly furnish to the Fund valid and duly completed Form
W-9. or successor form thereto. signed under penalties of perjury by such Undersigned.
• • . • • i m b r y a p e u e s le r d t e to na in nt s s e , i n t t n a ia n t may be t t T r h u h a e e t , U a a n ll c d o t e u f r a s th i t g e e n a e in n d f d o h r c a m o s m a re t p i v o l i e n e t w e th e in a d t a a i l s n l r d r e e s c q p o u e n i c r f e i t r s d m e to d b a e l p o r f o t v h i e d e in d f o b r y m m a e tio U n n i d n e t r h s e ig I n n e v d e s in te r t h A is P I P n l v ic e a s t t i o 0 r n A a p n p d l c c a on t. f o ir n m n s
i ( a m C r ) b m it u ra T ti t h o io e n n U a r n c d l d a e u e t s w S e i e g w W et h d o c r f h e t p h a r e e p s p A e e g n a r t e r s s e t m h re a e t n t h h ts e e . . S s u he b s o c r r i i p t t i h o a n s A re g c r e e i e v m ed e . n c t a a r n e d fi ly th r e e a F d u a n n d d A s g a re l e b m e e b n o t u , n a d n b d y a t g h r e ee A s g t r h e a e t m s e i n g t n s i . n i g n c b lu e d lo in w g c th o e n s p t r it e u - t d e is s p t u h t e e
( c b is 4 o a ) n s a e f w l d i a c T u t r h s e p e o o o U f n f n i n d t t h h t e e e e r r s a e F ig g s u n g t n e r i d e n d ' g s c r a l e u 'a t p e d n r i e a n t s e m g e d o t n h u t p s a n r t o t t h t m o e a f e i t o c h n P a e S l p a , i c t s O a e h n l m e c t o e o ra n r n n t i y t A s / h f m g e a e r s i a n n r b t e a i a l c s it n e y t i d o v a e i t n t d h s d e a a w f f c f u i i o l t n i h p a d d y te r o a s l w v t e a h il l e ; r h M e e c e , e m s n h o t e r p a o a n y r d m u it m e u n , n t h s d a e f s r r o s re m ta e n d t d h i s e t e T Im h n a d e t s u a t n e n r d s i e n . n v th e tl e s o t F c m h u e n i n t d , t a a e n n r c d t V h t o e h r e F t h U o e n n ir d d e a e r f w s fli i i c g a i n v te e e s d s
(e) The Undenigned confirms that the mestment objective and risk profit appficaUe to the investment in this Fund we respectively. 'canter
appreciation' alW 'aggressive • This objective and risk profile is applkable only to this imestment and may ditto from the investment goats and
risk tolerance for the overall portfolio and the brokerage account in which this orestmenl is held.
( re 0 p res T e h n e t s U t n h d a e l r t s h ig e n u e n d d e un rs d i e g r n s e ta d n 's d I s n v th es a t t m a e n n i t n g ve o s a t t m s a e r n e t c in o n th is e t e F n u t n w d i m th a y th i e m b pa it c e t f t r h a e m U e n o d f e p rs ie ig r n w e e d s 's t m fu e tu m r e liquidly (eiow, long a short-term) and
Op The trwestor hereby authorizes (I) the debit of funds. hom the tons account specified herein or sty other account maintained for the
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dion with an investment n the fund and (2) the credit of any
th) The Undersigned understands that the Fund may in its ode and absolute discretion accept as your Capital Cameo:ion an amount ten than
the Capital Contribution applied to herein
zi) The Fund is required pineedically to provide infotmabon to regulators of exchanges oi markets to which it is subject. The Inimseor
acknowledges thtt UITS Financial Stnices Inc arid its *gents and grimes may receive requests for inhumation from the fund to comply with
Such demands Metcalf for the disclosure of non-public personal information about me that is rotated or unrelated to my investment in the
The Investor acknowledges and agrees that UM Financial Services Inc and its agents and athletes may disclose such non-pubic account
information in 'remit» to such requests The frwestor further acknowledges that the Fund may provide any and al account information relating
to my investment in the Fund to WS Financial SWIM MC and my ORS financial leorkes Inc. financial advisee (current or future)
( c j a ) t OU T I h h e e in re v i e n s a to n r d u i n n d e th rs e t a F n u d n s d ' t s h s e u m bs e c a r n ip in ti g o n a n a d gr l e e e g m al e c n o t n a s n eq d u a e g n r c e e e s s o th f a th t e th r e ep s r u e b s S e C n r t i a p t U io o n n s m . w a a d r e r a h n e t r ie e s b . y a m gr a e y e t m ie e n a t c s c . e c p o t t e e d n i a n n r t e s, li a a n n c d e c M on o t r i t i M en e . V T a h n e
In...tot agrees to indemnify and hold numbest U8SFS, including its respective directors. offreit employees and any of its athletes and service
prosaders (collectively, the -Indernrified Party') from and against any and all loss, damage. liability or expense, including costs arid attorneys' fees
and chsbunements, whch the Indemnified Party may incur by reason of, or in connection with any representation a warranty made herein (or in
the accompanying Funds subscription agreement a subscriber information term) not having been true when made, any misrepresentation made
• . by the Subscriber or any lean by the Subscriber to fulfil any of the covenants a agreements set loth herein. Or n the fund's sttaiipoon
• a nt or subscriber information form ot in nether document provided by Me Subscriber to the Fund or any of es Alines
The Undersigned coteries that the Used States is his, her a its country of residence or principal
i e t r o t p r e tu m n l d te I n ants. ow M n N m ; a y be mond p A l d a v c i e so o r f a b b o us u i t n w es h s e th O e f r u y n o d u e m rs a ig y n I e nc d e s c t a i n n n t o h t e m F a u k n e d ) t his overwind,, please talk to your Financial
Private and Cenfideridal
11
CONFIDENTIAL SDNY_GM_00020448
EFTA_001131068
EFTA01273276

1. Ines Acknowledgement (coon)1
n t i e l P in m ec l t ecaws, b 6 at 6 h 9 m ay be traced c c T i h h rc a e u r U g m e n s d d ta e n i r f s c i e g t s h n e e th d e U a P n c l d k a n e c o r e s w m ig l e e n n d e t g d F e e s in e t v h m e a s a t t y s a b P t e h l a r w o c a u e i g v n e h t d a a l b F y e b t e r h o o e k f e P 2 r l a a % c g e e o m f a e t c n h c t e o A u C g n a e t p . n i t t . a * l t h a C i v s o o n P w t l r a e ib c r e u , m ti i o n e n n t l w i m F i e l i l e t e b i d e s
in addition to. and wd not reduce, the Undersigned's Capital Contribution. d the Placement
Fee 6 reduced by agreement between the Placement Agent and the Undersigned, then the
;educed Placement Fee to Mich Me Undersigned has agreed will be reflected on the ulIS trade
cenfirmaaon The Undenagneo confirms that the Placement Fee has been decinsed with
histherAts Financial Ada arid any additional questions wit be addressed if request& NO
Placement Fee is charged if ten imesiment Is made through a LABS ad.-tatty program.
ON Meese check the appropriate tor below that most accurately describes the Undersigned.
fAn individual mat is a United States Person (inducing his or her trims)
0
An individual that is not a United Sul& Person (including hrs or her ousts)
OA br0ker-dealer
O An InSuraree company
QAn investment company registered with the U.S. Saunas and Exchange Commission
OA 3(c)01 or 3(c%71 Company
QA nonbretht
OA pear plan (excluding a goer nrnental pension Pan)
O A banking or thrift inStitution (proorisitary)
OA state or municipal Government Entity including a governmental nadir gaol
OA state or municipal governmental pension plan
OA sovereign wealth fund and foreign official institution
O Other (specify)
(n) S p F e O rs R o G ns R f A o N r T U O .S R T fe R d U e S r T a S l i n O c N o L m Y e q lo t x h p e u U rp n o d s e e rs s i g (p n le e a d s i e s n a o g t r e a n g t r o a r n t t r o u r s T t r t u h s e t U w n it d h e n rs o ig n n -U e . d S a . c p k e n rs o o w n le s d a g s e g s r a th n a to t r a s n m y a a y n n d o a t l in g v r e a s n t t o n r s t h o i f s t R h a e n tr a u st are
(a SCHEDULE K-1 ELECTRONIC DELIVERY CONSENT
• C r i i s le o " ) r A n t d o * m " P i I a n n r i t s n B t e r e a r c s t e o e i r n l e e w c l i e T tr c Y o tr n - o l i s c n . a i F c ll a y le l ly s P i i f t le a t a h i s c e e a f i l n u e d n s K d T a w h te e o w e fu h t n e o d t h e m e le r a c o y t r . t o i n n o d t t o h t e h s e o G @ e S n u l e b e r s g a c e l r P i i b n a e i r r t t i c n a o e l r n r a s s e p d n i a s ts c n r t e d o t o i b o a n e . r r e g m le f e c u t t r ! n to C iS a f t u l e e r d g n O i K s r - h y I ) s . S c fr h o e m dJ t e h e K F -I u s n ( d " K o • r
I A tr.: •
•
P he ro re ce b d y u T a r h e c e k s n U p o r n w o d n le d e d e r g a d e r s b e e t d h lo a c w o t n i f t o s h e r a n o s t h s r c e to o a n d b s e a e i n n n t d g t u o fu n b r d n e e i s r e s h f t f e a e d n c K d tiv s • e I t s h e h o D r i n sc t l h o e s u R re a G n u d id a el l i l n * e A s d w m t i n fo is r t t r h a t b o e r l e o le w c U T o h ri e c a S d u y b a sc n r d ib n er o t m b u y s m t b a lo t w Th t e h S e u C b o s n e se a n *. t
Pig(c me; furnishe T d h I e t. U Is n b d y e r m si a g r n l. e d does not consent to being furnished K-Is front the fund a the Adrnmistraux electronicaly and wants to be
r a w a l a t a h l t e m a r e a t l d h ta a p l a n la p b d e y e r m c N o a I s E d ie S o s r o a f B n y t y h C e o o i S l n ie u s b r e s n m c ti r e n i a b g n e t s r o s . K b N e .I i t s n h g t , o f S u t u h rn b e i s s S c h r e i c b d e h r K u d - t o I t s ! e ! s e l n e o c t tr o co n n ic s a e ll n y t e to s s b e e t i n lo g r f l u h r a n b n o h v e e d , K K - - I I s s e w le il t l t b ro e n l i u c m al i y s . h t e h d e t F o u n th d e a S n u d b lo 's r - a th x e e A e d le m ct i r n o r n s i t c ra a t ll a y
The above consent is for K- Is tor calendar year 2013 and each year thereafter. unless and until the Subscriber withdraws such consent
Even if the Subscriber has consented to Herclnankally receiving *Is as provided herein, the Ste/sober may request a paper copy in writing Request
for a paper copy of a KT that has been furnished to the Subscrber electrenially win not be considered a withdrawal of its cement
The Subscriber can withdraw its consent in writing or by email to investorrelatiornetsmfunds corn Withdrawal wilt be effect*, upon receipt and roll
b fu e t u a r p e t : K N - o 1 b s le b y to m K a - l 1 l. s th A a t u n w t o h u a ld w e ha d v e o f b e c e o n ns f e u n rn t is e h la e n d t n ie o c t t r a o p re p c ly a n t y o th a e n r y e a K f - te Is r. th II a t t h h e a S ve u b p s i c te n o te u r s w ly it h b d e r e a n w s fu i r t n s i s c h o e n d s e e n le t. c t t h ro e n S ic u a b ll s y c rib T e h r e w F il u l n ra d c w w i e ll
acknowledge recept of any withitaval of consent in witting a etectionicany, depending on how Such withdrawal of Consent is made
the General Partner may. in its discretion. decide not to &Monica/ furnish K-1s to one Or More limited Partners, in with case paper copies of
applicable s to such Limited Partners will be mailed. N the Subscriber changes its information on where K-1s are to be turntshed electronic*. the
S, scriber must notify the Fund and the Administrator in writing at the address or e-mail *dans noted vs the above paragraph Similarly. the Fund
6,0 n0tify the Subscriber in writing or Sanwa if how the hind and/or the Administrator wit furnish K.I s electronically changes
To be furnished K. Is electronically, the Sutarter mist have an censer address to which the Fund andor the Admirsoltattt can email K-1s or
notifications regarding K-1s The Subscribe( may be rewired to print a coot of its K.1 and attach it to its federal. stale or local tax returns
If the Subscriber consents to be hirnished IC-1, electronically, the Fund and/or the Administrator MI send an e-mail to the Subscriber alter each year
when its K.1 is available and the Fund and/or the Adrivnistratee wad serd an email the Subacribee it any of its K. is are amended
consent Prorecketry To consent to being lutrished K- ls by !mail the Subscribe, must e-mal Imesbx Relations at inwestorreletionsatbamfunds.com
stating that it wishes to be furnished K-Is by e-mail. Res will demonstrate that the Subscriber has the ability to receive K• I s by omen and will be able
to recent K-1S sent to the Subscriber by e-rnal in the future.
Private and Confidential
12
CONFIDENTIAL SDNY_GM_00020449
EFTA_00131069
EFTA01273277

K. Investor Signatures:
P th le e a F se in s d ig A n g b F e e lo e w m . e P n l t e i a n s m e n a o d te a t m ha e t s w ig it n h in t g h e b i e r l t o e w r m co nstitutes you: signature to the Investce Applicator, Fawn. the Subsenotion Agreement and
c> .
GrhSiOitle NIC111•R 11
Pr'''. Wore nn Plane d Aticn$ %wove'
MAKE SURE YOU HAVE COMPLETED AU. APPLICABLE SECTIONS OF THIS INVESTOR APPUCATION FORM.
Private and Confidential
13
CONFIDENTIAL SDNY_GM_00020450
EFTA_00 I 31070
EFTA01273278

For Financial Advisors
All "wester Applications must be submittee on FIA to UOS Altemabve Investments US no later than 5 hill busloads days before 5 gm
New York Time prior to month's end.
I. Investor Suitability and NFA Bylaw 1101:
With legard to the proposed investment of the aforementioned client in the Fund I. at Meng* Advisor to the chem by signing below, certify that I
have-
( 1) i C t n im h fo e i r a d m ts ly e M d t o t u h m l e e e c l e i li q t e u o n n i t d o o t o y f a . a n ll g p c e a r p ti i n ta e l n c t a f t e s e ( I i t f r t o h u e t F in u g n d to h a th s e a l i C c a tu p id ita it l y c a a n t d s t T ru ra c n t s u f r e e r ; a o bi n lic p y o o te f n th ti e a l f ly u n th d a , n in n d o u t c ic in e g a t n h d e t o h b a l t i g t a he ti o n n 'e t s o t m m a e i n n t t a m in a s y u im ffic p i a e r n t t the
2) i r n e s a e s s o t n m a e b n le t e g x ro p u e n ri d e s n c t e o , b in e c li o e m ve e ( . o n n e t t h m e b g a * s , is f o ra f i n nf c o a rm s a it t u io a n tio o n b a ta r i 4 ne n d e e fr d o s m . O th th e e d r ' e , n ve t s c t o m n e c n e t r s n a in n g d t a h n e y o o k th r e a r i n a f g o e r . m in a v t e io s n tm kn en o t w o n b j b e y c t m iv e e . s i . n ducing
the attached CAI) that
(a) the Fud being subscribed for is savable and appropriate for the client
(b) the client meets all applicable minimum income, net worth, liquid asset and other objective eatable* standard&
lel me client can reasonably benefit (including realizing any intended tax benefit, if eiape6atee) horn the fund based on the client's bruncol
position. toenail Immanent objectives and podia° structure.
(o) the client can bear the economic nits of the investment in the fund:
me dienfs goals are consistent with the time frame of the investment and
(1) the ikon appears to have an understanding of
(6 the fundamental rids of the fund (inducing that the dem may lose his or her entire investment/.
(a) the restrictions on the fanicity and transferability or Ow fund.
lei) the background and qualifications of the soon:Or(s) and investment inenargo(s) of the Fund, and
fir) the tin consequences with maid to an enlistment in the Fund;
a o n b d ta I i n h e a d v e a p v r a o l p id e a rl n y d p d la u c l e y d c o su m c p h l e fo te rm d F o o n rm fi l W e p - u 9 r o s r t u W n - t 8 t . o a in s t a e p r p n l a ic l a W bl S e, P o O r l s iC u y c , c a e n ss d o r form Onto. signed wider penalties of perjury by the dent
(a) B co y n la f w irm 1 e 1 d 0 , 1 w C it e h rt r if e ic a a so tio na n b f l i e t a d p u p e l i i c n a q b u le ry ) . including may review of relevant account documentation, the client's repreentations provided in the NFA
b R re e e q n g u e a i f r r i e d c m i i a n e l g o n l w i t o s n ( n e m r 2 o s ( b m b ) a e a s e b l t e o s d t u e w c h I o n r r e t t q h h u ) e I i r e e h v m a e v n e e t n a t t h s s . a c e t r t t h a e in c e l d ie I n r t o iS n a th n e e n a t p it p y r o (s p u r c ia h t e a s p a a n tr e u s s t ( s o u r c p h a a r s tn t e h r e s h C ip li , n t t h 's a t t r d u o s e te s e n o o r t g its e e n l e f r m al e p e a t r t t h n e e r n ) o th n a im t a e l n o in f v th e e s t c m li e e n n t t 's
Vine this investmentputt in the client holding more than 30% of ht net worth as evidenced on CM nAttematise larestmentss
OYES IINO
t assisted the client in completing any information tat is requited to be proaded by the Cheat in the Investor ApIdiCalIOn. I
m ha e v e b y d o th n e e c s l o ie p n u t r s t u I a d n i t d t n o o t t h a e s d p e s( n t t h 's e a c u lie th n o t r i i n z a c t o io m n p a le n t d in d g ir a e n c y ti o in n f o s r c m sa a gr t i b o a n s i e n d t u h p e o k n w M es k to :M r A a p li p a l n ic a th ti a o t n h . a I s c e b r e ti e fy n t p h r a o t v I i d h e a d v e to
reviewed the completed Investor Application form, and I agree that all the information m connection with the Clint's
investment in the fund that is provided by the dent is correct ano actuate.
It. Investor QuallfkatIon foe Offshore Fund offerings only:
I have reviewed the 'Country Qualifications" append to the Memorandum or Subscription Agreement and n any applicable supplement to the
Memorandum or set forth in the irntruchons on the UBS intranet and I certify that I have reasonable grounds to believe that the dent is qua/died,
under the law of its country of residence, as described therein. to mad in the Fund Medd:Son. it 6 critical that Financial Advisors review and
understand the Rules of the Road CROTR-1. with specific locus on alternative rutin:lents, for each country in which the Financial Advisor expects to
conduct cross border business and hereby confirm that I have reviewed, understand and have complied with the applicable ROTR
It Financial Adasor Servitors Please Sign Below):
Print Name of financial Advnor
aIkintefricirsumnancisi
(Pmlaceewmel.n' t Fee
be charged in addition to Capital Contribution-)
N101 SC.;/ Pb'
t that accompanies ani's form must be Branco Code6A LoNistco Ni
11$ anneKa non d signed
Financial Advisors must reconcile the Information listed on this Financial Adviser Telephone
applkation with the clients account records, including updating
the client's net worth. objectives and any caber relevant information. Itnaixial Adesee E Adored
elense nsalte..suce your Branch Manager signs the following page.
Private and Confidential
te
CONFIDENTIAL SDNY_GM_00020451
EFTA_(() I31071
EFTA01273279

For Branch Managers
IV. Brandt Manager Signature:
C lo A c L a l a ly n d th if a a t I m h i a c v a e b r l e e / , r e th v e ve d C t o h u e n c t o ry m Q p u e a te N d i e b m e e tt n o ," r a S p u pe iu n t d i i t x y t a o n t d h e Im M e e s m te o r r Q an J d a u ld m ka a b o t n h s e % Su M b O sc M rip a t b io o n v A e, g r th e e e m d e e n n t t a In n v d e a st n O y r a A p p p p li l c ic a a b t l i e o n su F p o p r l m em a e n n d t
thereto or set forth in the instructions on the UBS inUanst. In edition. ills cake; that Financial Advises review and understand the Rules
of the Road (*ROW), with specific focus on alternative investments, for each county in which the Financial Advisor expect to coniata
cross border baseless. I agree, based upon the information known tome, with the Financial Advisors determination that the investment bang
R su O b M sc . r i I b a e g d r e fo e r t d ha s t u , i i t f a t b h le e a F n in d a n a c p i p a r l o A p d ri v a i t s e e M a r s s t i h s e te d d e M n e t c a l n ie d n t t h in e c fi o n m an p c le ia ti l n A g d a v n is y o i r n h fo a r s m re a r t ie io V n e r t e h f a i u t i n s d r e e r q s u ta ir n e d d s t a o n b d e h p a r S o ( v e id m e p d t i b e y d t w he it h cl i t e h n e t a in p p th lic e a ble
Investor Application, based upon information known to me that the Financial Advisor has done so pursuant to the ctent's authorization and
direction scie)y based upon infatuation that has been provided to the Financial Advise by the <Sent
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p P r e o r p s o on se 's d p i r n o v p e o s s t e m d e i n n t v a e n st d m (b en ) d t: o a e ) s w t i F t n p o Pr t e u se n n ro t a ll s m e a m te it rial c o * n C fl i i t c y t o w f i t e h li g th ib e l e in c t l e ie e n s t t s s o o f f U th 8 e 5 F fi i n rm an 's c < ia G l e S n e ts n o se r s th I e n c F ir ( m 'th . e him') to participate in the
ot6eY She lt main
Print Nene of Branch Manager
qu..91,44
Starch Manage Sara tae:W eltatCM Date (MUST BE COMPLETED)
I R f a th n e c h a b M o a v n e a n g a e m r, e a d s a a c r c e o s u u n lt t , i s al a so U s B i S gn F s i n a a s n t c h i e a l c ustod e ia s n o A f , t h th e e I n R t A h e N m o u s s : I t f s is d t a ru re c d t e S d to t r h e e o C r A t P h S e t s a a te m m e e d n a t y t h v a ie t r a a c p co p m ic p a a t n h ie s s z t e hi r s r e fo d r . m
and accepts end agrees to this subscription.
PLACEMENT FEE APPROVAL SECTION -THIS SECTION IS ONLY REQUIRED IF A REDUCED PLACEMENT FEE IS CHARGED
to be completed by Complex Director or Complex Admln Manages as Delegate tit necessary)
By signing below you have *greed and accepted the maned Placement In 'bow in section el
II you do not agree to the reduced placement lee. please inform the bunch vitt is responsible for contacbrg Al riveter Service Call Al Investor
Services at (888) 962-3842. option I, sub option 4 for questions
Print Name of Complex Director
Complex Director Signature. Date (MUST INE COMPLETED)
Private and Confidential
15
CONFIDENTIAL SDNY_GM_00020452
EFTA 00131072
EFTA01273280

Subscription Agreement
ADDITIONAL INVESTOR REPRESENTATIONS Mars, WAS wash fees Id alaulson. 'NEW ISSUES* EXEMPTIONS
AND COVENANTS Ihareirolder wan et aciimprt tØ a •
c m o m r m 3 r n a M c e a . o r o a e d 4 a e e e a n y p n e n a . t p r r g e a e a r t i e r o r r a g h t n a i n a a r n e b a e n a t ' , e O t d e a y b o a l m t e n e w e e f d o a g b r s n n l : t e d l a e e e a b n g r t l a o e o e e d n t i b d s O a M d o o e u l n m e n g r n f b e w a r a e e c w a t a y o r ) m e n s m t r n a y s t y e n a . e e O t r l r t g s a s f a a i c n a a n d t a t e l o e O a O e r i a l e n e n b w r a f a e y I ' a a S s n a f a e a r l m a d a s c v t m t e r ! a i e a c i n S e n n e n e l d n a d e ; n a s a s t e e e f n b k a C e o d t h e . p d n O t o e a m e d n l d n d e r n e f a k o e f s s : y s e r M a t l t a a b h e 2 e e e e l l M F b f t m a t b U S r e a o o o m r e 3 a a g t m a a l n g 5 n e o a g n a n 2 a a t a u b a e a 2 i e c g n s 4 n a e b a r h i t . g l m m a t a a 1 a e e % s A n a e 0 n t n t r n i n t / h l r e d s e t e t t t e e e a 4 S i e r a h t t e i 0 h m t u t f C e e i f e / e r r m e a w a r w e a r a r a w e t . e t r n n f e a m c l N a e i n t n e s a w m e c n a e n d l d o o s d a o e d t A e p a N e m ' p s y e n a a n a I n e d I a a o n r S o y r s o r g t , y t n O r t a n r f e . g e e o e r o b i I a e r n a a n n d e h t s K i t n r e e d a a C t s k h s e l t b h e h e e & a p i a e t r r c D a p n l b C M o e l a y e y a w o a n f r d e n r a l n t t a a t r e h t l a y k a a o e h n c e a h y r e e e o r e a a t t d n s l h h n c a n a • r a t a e i J a m n i n t n a t n i e l m a e n e e e a t t . l P i i P e M m b a t n t e r e a e s o a e o m a r t c t r t a n a a h a g a h t t e o x S r e e w e e r a e 0 0 a e n e a c 0 l l a l i c p b k t m e p Ø I a l - a 4 e d a e e p b i l w a t i r d m O l t l e s t / e h l i w e l a e r e a n 1 t t f t a a a k n o a 0 h M s c a e t % t c l e t e e B , e o a ' t s e e u h ~ r c e n n n e a l r a e i e t a o n s p f p d y Ø . i t c V s U a l a / i a W a e G ~ n l n A I e a : t t d t I M g o a A a V c e k m r a W e n o w o g e a l w a e U c r e e o l e e l T s e s i e t a M s t r s O l r l e A b u a a e m t t % e e r s o a m e a O s a o i c r 1 e t u k f b e 0 r r r i e e e e e a % d s e t S d ll .
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CONFIDENTIAL SDNY_GM_00020453
EF1'A_00B1073
EFTA01273281

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Private and Confidential
17
CONFIDENTIAL SDNY_GM_00020454
EFTA_00131074
EFTA01273282

W-9
Fran Request for Taxpayer Give Form to the
(Rev. sett 20 I 3) Identification Number and Certification requester. Do not
D In ev n er Inh R er e e e o s f t e e S T e re n a a su ry send to the IRS.
Name las shown on vat aflame lax fetia
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r t e o s a id v e i n d t b W a ie c n k . u s p o e le rn p h r h o o p l r d ie in to g. r . F a a d in is d r v e i g d a u r a d lS ed . t e h n is t r i y s , y s o e u e r t s h o e c P ia a l r s t e I c n u a ri t t e y : n O um dl b e e o r ( n S p S a W ge H 3 o . F w o e r v o e t r h . l e o r t a
e T n IN tit o ie n s . p I a t g is e y 3 o . u r employs identilIcabOrt number (OK e you do not have a rumba. see How to eel a
Note. If the account Is in more than one name see the chart on page 4 kw guidelines on whose I Employs identitmellon number
number to enter.
on -
Certification
Under penalties of perjury. I only thee
1. The number *ham on die form is my correct taxpayer Wentillcation number Whim waiting for a number to be issued to me). and
2. n I S a o e m r M v i n c i o e r t " ( I s P s u S u b ) b j e t j h e c a c t t t t o I t o a b m b a a d s c w u k b u p j p e W c w t e i t h t o h h b h o a * ld f c i i k n tg u g b p . e a w t n a it d h i h sm old fi i n n ) g & ar S n e e r x in e o m 's p t o h f o a r M n b it e r d e d t e o d r w ep it o h r e t o e l a d t i h r A e n a n (h O ) r I t h e a v v id e e n n o d t s b , e a e n (C n ) o th ti e fi e IR d S b h y a th s e n o in t t i e fie rn d a m l R e e t v h e a n t u I e a m
3. I am a U.S. citizen a other U.S. pow Weaned beicra). and
4. The FATCA code(*) entered on this form 61 any) exec/rang that I am exempt from FATCA mooning is correct.
b C e a c d a r u e s : e L e yo o u n h In a s v t e r u fa c d t e io d n t s o . r Y ou must cross o e u n t d it e d m ivi 2 d e s n a d v s e o n If y y o o u u r h la av e re b t e u e rn n . n F o o t r i t r e e d el b e y s t t a h t e e R tra S n t s h a a c t t i y o o n u s . w n e e m Cu 2 r r d e o n e tly s n su o b t j a e p c p t l t y o . F ba o c r k m u a P l g w a fih g t e to ltfincl
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CONFIDENTIAL SDNY_GM_00020455
EF1'A_00B1075
EFTA01273283