EPSTEIN
page 3 / 1960 . OCR, unverified
PROPRIE'fARY AND CONFIDEN77AL
B-2
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e)
DB-SDNY-0099878
CONFIDENTIAL
SDNY_GM_00246062
EFTA01393972
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METADATA_FILENAME: EFTA01393973.pdf
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GLDUS137 Forrestal Capital LLC
the benefit of its employees, if such a plan has total assets in excess of
$5,000,000.
An employee benefit plan within the meaning of the Employee Retirement
Income Security Act of 1974, if the investment decision is made by a plan
fiduciary, as defined in Section 3(21) of such Act, which is either a bank,
savings and loan association, insurance company, or registered investment
adviser, or if the employee benefit plan has total assets in excess of
$5,000,000, or, if a self-directed plan, with investment decisions made
solely by persons that are Accredited Investors.
The Investor is an entity in which all of the equity owners are Accredited Investors.
PROPRIETARY AND CONFIDENTIAL
C-4
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e)
DB-SDNY-0099880
CONFIDENTIAL
SDNY_GM_00246064
EFTA01393973
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METADATA_SOURCE: IMAGES0062
METADATA_FILENAME: EFTA01393974.pdf
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GLDUS137 Forrestal Capital LLC
Exhibit D
FOR ENTITIES (PARTNERSHIPS, TRUSTS, CORPORATIONS, ETC.)
Any investor subscribing as an individual should skip this section.
INVESTMENT COMPANY ACT REPRESENTATIONS
A.
The Investor is a "qualified purchaser" as defined in Section 2(aX51)(A) of the Investment
Company Act as a result of
(I)
(Please Check All That Apply)
The Investor is a company' that (i) owns not less than $5,000,000 in
investments,2 (ii) is owned directly or indirectly by or for two or more natural
persons who are related as siblings or spouse (including former spouses), or
direct lineal descendants by birth or adoption, spouses of such persons. the
estates of such persons, or foundations, charitable organizations or trusts
established by or for the benefit of such persons, and (iii) was not formed for
the specific purpose of acquiring the Interest.
K
(2)
The Investor is a company, partnership or trust, acting for its own account or the
accounts of other qualified purchasers, that (i) was not formed for the specific
purpose of acquiring the Interest, and (ii) in the aggregate owns and invests on
a discretionary basis not less than ¶25,000.000 in -investments."
(3)
The Investor is a trust not covered by Item 1 of this Exhibit that was not formed
for the purpose of acquiring the Interest, as to which the trustee or other person
authorized to make decisions with respect to the trust, and each senior or other
person who has contributed assets to the trust is (a) a person described in Item
I or Item 2 above, or (b) a natural person (including a person who will hold a
joint, community property or similar shared ownership interest in the
Partnership with that person's qualified purchaser spouse) who owns
investments' worth not less than $5,000,000.
K
(4)
The Investor is a qualified institutional buyer (as defined in paragraph (a) of
Rule I44A promulgated under the Securities Act) meeting the requirements of
Rule 2a51-1(g) promulgated under the Investment Company Act.
Section 2(a)(8) of the Investment Company Act defines "company" as a corporation. partnership, association.
joint stock company. trust, fund or any organized group of persons whether incorporated or not. If the Investor
is a company that, but for the exceptions provided for in paragraph (1) or (7) of Section 3(c) of the Investment
Company Act, would be an investment company (an "excepted investment company"), all beneficial owners of
its outstanding securities (other than short-term paper). determined in accordance with Section 3(cXIXA) on the
Investment Company Act. that acquired such secunties on or before April 30.19% (as "pre-amendment beneficial
owners"), and all pm amendment beneficial owners of the outstanding securities (other than short-team paper) of
any excepted investment company that. directly or indirectly owns any outstanding securities of such excepted
investment company. have consented to its treatment as a qualified purchaser. See Rule 2a51 2(e) promulgated
under the Investment Company Act.
•
For definition of "investments." see Rule 2a51-1 promulgated under the Investment Company Act.
PROPRIETARY AND CONFIDEN71AL
D-I
CONFIDENTIAL - PURSUANT TO FED. R. CRI M. P. 6(e)
DB-SDNY-0099881
CONFIDENTIAL
SDNY_GM_00246065
EFTA01393974
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METADATA_SOURCE: IMAGES0062
METADATA_FILENAME: EFTA01393975.pdf
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GLDUS137 Forrestal Capital LLC
Exhibit E
PLAN INVESTOR REPRESENTATIONS
This exhibit is applicable only to Investors who arc "Plan Investors": (1) U.S. pension or other
employee benefit plans subject to Title I of the Employee Retirement Income Security Act of 1974, as