Common use of The USA PATRIOT Act Clause in Contracts

The USA PATRIOT Act. The USA PATRIOT Act is designed to detect, deter, and punish terrorists in the United States and abroad. The Act imposes new anti-money laundering requirements on brokerage firms and financial institutions. Since April 24, 2002, all brokerage firms have been required to have new, comprehensive anti-money laundering programs. To help you understand these efforts, we want to provide you with some information about money laundering and our steps to implement the USA PATRIOT Act. What is money laundering? Money laundering is the process of disguising illegally obtained money so that the funds appear to come from legitimate sources or activities. Money laundering occurs in connection with a wide variety of crimes, including illegal arms sales, drug trafficking, robbery, fraud, racketeering, and terrorism. How big is the problem and why is it important? The use of the U.S. financial system by criminals to facilitate terrorism or other crimes could well taint our financial markets. According to the U.S. State Department, one recent estimate puts the amount of worldwide money laundering activity at $1 trillion a year. What are we required to do to eliminate money laundering? Under rules required by the USA PATRIOT Act, our anti-money laundering program must designate a special compliance officer, set up employee training, conduct independent audits, and establish policies and procedures to detect and report suspicious transaction and ensure compliance with such laws. As part of our required program, we may ask you to provide various identification documents or other information. Until you provide the information or documents we need, we may not be able to effect any transactions for you. ANTI-MONEY LAUNDERING INFORMATION FORM The following is required in accordance with the AML provision of the USA PATRIOT ACT. (Please fill out and return with requested documentation.) INVESTOR NAME: ______________________________________________________________________________ LEGAL ADDRESS: ______________________________________________________________________________ _____________________________________________________________________________ SSN# or TAX ID# OF INVESTOR: ________________________________________________________________________________ YEARLY INCOME: _____________________________________________________________________________ NET WORTH: _________________________________________________________________________________* * For purposes of calculating your net worth in this form, (a) your primary residence shall not be included as an asset; (b) indebtedness secured by your primary residence, up to the estimated fair market value of your primary residence at the time of your purchase of the Securities, shall not be included as a liability (except that if the amount of such indebtedness outstanding at the time of your purchase of the Securities exceeds the amount outstanding sixty (60) days before such time, other than as a result of the acquisition of your primary residence, the amount of such excess shall be included as a liability); and (c) indebtedness that is secured by your primary residence in excess of the estimated fair market value of your primary residence at the time of your purchase of the Securities shall be included as a liability. INVESTMENT OBJECTIVE(S) (FOR ALL INVESTORS): _________________________________________________ ADDRESS OF BUSINESS OR OF EMPLOYER: ________________________________________________________ FOR INVESTORS WHO ARE INDIVIDUALS: AGE: _____________________________________________________ FOR INVESTORS WHO ARE INDIVIDUALS: OCCUPATION: _____________________________________________ FOR INVESTORS WHO ARE ENTITIES: NATURE OF BUSINESS: __________________________________________

The USA PATRIOT Act. The USA PATRIOT Act is designed to detect, deter, and punish terrorists in the United States and abroad. The Act imposes new anti-money laundering requirements on brokerage firms and financial institutions. Since April 24, 2002, 2002 all brokerage firms have been required to have new, comprehensive anti-money laundering programs. To help you understand these efforts, we want to provide you with some information about money laundering and our steps to implement the USA PATRIOT Act. What is money laundering? Money laundering is the process of disguising illegally obtained money so that the funds appear to come from legitimate sources or activities. Money laundering occurs in connection with a wide variety of crimes, including illegal arms sales, drug trafficking, robbery, fraud, racketeering, and terrorism. How big is the problem and why is it important? The use of the U.S. financial system by criminals to facilitate terrorism or other crimes could well taint our financial markets. According to the U.S. State Department, one recent estimate puts the amount of worldwide money laundering activity at $1 trillion a year. What are we required to do to eliminate money laundering? Under rules required by the USA PATRIOT Act, our anti-money laundering program must designate a special compliance officer, set up employee training, conduct independent audits, and establish policies and procedures to detect and report suspicious transaction and ensure compliance with such laws. As part of our required program, we may ask you to provide various identification documents or other information. Until you provide the information or documents we need, we may not be able to effect any transactions for you. ANTI-MONEY LAUNDERING INFORMATION FORM The following is required in accordance with the AML provision of the USA PATRIOT ACT. (Please fill out and return with requested documentation.) INVESTOR NAME: ______________________________________________________________________________ LEGAL ADDRESS: ______________________________________________________________________________ _____________________________________________________________________________ SSN# or TAX ID# OF INVESTOR: __________________________________________________________________ FOR INVESTORS WHO ARE INDIVIDUALS: YEARLY INCOME: __________________________________ YEARLY INCOMEAGE: _____________________________ NET WORTH (excluding value of primary residence): _______________________________________ OCCUPATION: _____________________________________________________________________________ NET WORTHADDRESS OF EMPLOYER: ___________________________________________________________ _______________________* * For purposes of calculating your net worth in this form, (a) your primary residence shall not be included as an asset; (b) indebtedness secured by your primary residence, up to the estimated fair market value of your primary residence at the time of your purchase of the Securities, shall not be included as a liability (except that if the amount of such indebtedness outstanding at the time of your purchase of the Securities exceeds the amount outstanding sixty (60) days before such time, other than as a result of the acquisition of your primary residence, the amount of such excess shall be included as a liability); and (c) indebtedness that is secured by your primary residence in excess of the estimated fair market value of your primary residence at the time of your purchase of the Securities shall be included as a liability. INVESTMENT OBJECTIVE(S) (FOR ALL INVESTORS): _________________________________________________ ADDRESS OF BUSINESS OR OF EMPLOYER: ________________________________________________________ FOR INVESTORS WHO ARE INDIVIDUALS: AGE: INVESTMENT OBJECTIVE(S): _____________________________________________________ FOR INVESTORS WHO ARE INDIVIDUALS: OCCUPATION: _____________________________________________ FOR INVESTORS WHO ARE ENTITIES: NATURE OF BUSINESS: __________________________________________

The USA PATRIOT Act. The USA PATRIOT Act is designed to detect, deter, and punish terrorists in the United States and abroad. The Act imposes new anti-money laundering requirements on brokerage firms and financial institutions. Since April 24, 2002, 2002 all brokerage firms have been required to have new, comprehensive anti-money laundering programs. To help you understand these efforts, we want to provide you with some information about money laundering and our steps to implement the USA PATRIOT Act. What is money laundering? Money laundering is the process of disguising illegally obtained money so that the funds appear to come from legitimate sources or activities. Money laundering occurs in connection with a wide variety of crimes, including illegal arms sales, drug trafficking, robbery, fraud, racketeering, and terrorism. How big is the problem and why is it important? The use of the U.S. financial system by criminals to facilitate terrorism or other crimes could well taint our financial markets. According to the U.S. State Department, one recent estimate puts the amount of worldwide money laundering activity at $1 trillion a year. What are we required to do to eliminate money laundering? Under rules required by the USA PATRIOT Act, our anti-money laundering program must designate a special compliance officer, set up employee training, conduct independent audits, and establish policies and procedures to detect and report suspicious transaction and ensure compliance with such laws. As part of our required program, we may ask you to provide various identification documents or other information. Until you provide the information or documents we need, we may not be able to effect any transactions for you. ANTI-MONEY LAUNDERING INFORMATION FORM The following is required in accordance with the AML provision of the USA PATRIOT ACT. (Please fill out and return with requested documentation.) INVESTOR NAME: ______________________________________________________________________________ LEGAL ADDRESS: ______________________________________________________________________________ _____________________________________________________________________________ SSN# or TAX ID# OF INVESTOR: ________________________________________________________________________________ YEARLY INCOME: ____________________________________FOR INVESTORS WHO ARE INDIVIDUALS: AGE: _________________________________________ NET WORTH: __________________________________________________________________________________ * * For purposes of calculating your net worth in this form, (a) your primary residence shall not be included as an asset; (b) indebtedness secured by your primary residence, up to the estimated fair market value of your primary residence at the time of your purchase of the Securitiessecurities, shall not be included as a liability (except that if the amount of such indebtedness outstanding at the time of your purchase of the Securities securities exceeds the amount outstanding sixty (60) 60 days before such time, other than as a result of the acquisition of your primary residence, the amount of such excess shall be included as a liability); and (c) indebtedness that is secured by your primary residence in excess of the estimated fair market value of your primary residence at the time of your purchase of the Securities securities shall be included as a liability. INVESTMENT OBJECTIVE(S) (FOR ALL INVESTORS): _________________________________________________ ADDRESS OF BUSINESS OR OF EMPLOYER: ________________________________________________________ FOR INVESTORS WHO ARE INDIVIDUALS: AGE: _____________________________________________________ FOR INVESTORS WHO ARE INDIVIDUALS: OCCUPATION: _____________________________________________ ADDRESS OF BUSINESS OR OF EMPLOYER: FOR INVESTORS WHO ARE ENTITIES: NATURE OF BUSINESS: __________________________________________:

The USA PATRIOT Act. The USA PATRIOT Act is designed to detect, deter, and punish terrorists in the United States and abroad. The Act imposes new anti-money laundering requirements on brokerage firms and financial institutions. Since April 24, 2002, 2002 all brokerage firms have been required to have new, comprehensive anti-money laundering programs. To help you understand these efforts, we want to provide you with some information about money laundering and our steps to implement the USA PATRIOT Act. What is money laundering? Money laundering is the process of disguising illegally obtained money so that the funds appear to come from legitimate sources or activities. Money laundering occurs in connection with a wide variety of crimes, including illegal arms sales, drug trafficking, robbery, fraud, racketeering, and terrorism. How big is the problem and why is it important? The use of the U.S. financial system by criminals to facilitate terrorism or other crimes could well taint our financial markets. According to the U.S. State Department, one recent estimate puts the amount of worldwide money laundering activity at $1 trillion a year. What are we required to do to eliminate money laundering? Under rules required by the USA PATRIOT Act, our anti-money laundering program must designate a special compliance officer, set up employee training, conduct independent audits, and establish policies and procedures to detect and report suspicious transaction and ensure compliance with such laws. As part of our required program, we may ask you to provide various identification documents or other information. Until you provide the information or documents we need, we may not be able to effect any transactions for you. ANTI-MONEY LAUNDERING INFORMATION FORM The following is required in accordance with the AML provision of the USA PATRIOT ACT. (Please fill out and return with requested documentation.) INVESTOR NAME: ______________________________________________________________________________ LEGAL ADDRESS: ______________________________________________________________________________ _______INVESTMENT OBJECTIVE: ______________________________________________________________________ SSN# or TAX ID# FOR INVESTORS WHO ARE ENTITIES: TYPE OF INVESTORBUSINESS: ________________________________________________________________________________ YEARLY INCOME: _____________________________________________________________________________ NET WORTH: _________________________________________________________________________________* * For purposes of calculating your net worth in this form, (a) your primary residence shall not be included as an asset; (b) indebtedness secured by your primary residence, up to the estimated fair market value of your primary residence at the time of your purchase of the Securities, shall not be included as a liability (except that if the amount of such indebtedness outstanding at the time of your purchase of the Securities exceeds the amount outstanding sixty (60) days before such time, other than as a result of the acquisition of your primary residence, the amount of such excess shall be included as a liability); and (c) indebtedness that is secured by your primary residence in excess of the estimated fair market value of your primary residence at the time of your purchase of the Securities shall be included as a liability. INVESTMENT OBJECTIVE(S) (FOR ALL INVESTORS): _________________________________________________ ADDRESS OF BUSINESS OR OF EMPLOYER: ________________________________________________________ FOR INVESTORS WHO ARE INDIVIDUALS: AGE: _____________________________________________________ FOR INVESTORS WHO ARE INDIVIDUALS: OCCUPATION: _____________________________________________ FOR INVESTORS WHO ARE ENTITIES: NATURE OF BUSINESS: __________________________________________

The USA PATRIOT Act. The USA PATRIOT Act is designed to detect, deter, and punish terrorists in the United States and abroad. The Act imposes new anti-money laundering requirements on brokerage firms and financial institutions. Since April 24, 2002, 2002 all brokerage firms have been required to have new, comprehensive anti-money laundering programs. To help you understand these efforts, we want to provide you with some information about money laundering and our steps to implement the USA PATRIOT Act. What is money laundering? Money laundering is the process of disguising illegally obtained money so that the funds appear to come from legitimate sources or activities. Money laundering occurs in connection with a wide variety of crimes, including illegal arms sales, drug trafficking, robbery, fraud, racketeering, and terrorism. How big is the problem and why is it important? The use of the U.S. financial system by criminals to facilitate terrorism or other crimes could well taint our financial markets. According to the U.S. State Department, one recent estimate puts the amount of worldwide money laundering activity at $1 trillion a year. What are we required to do to eliminate money laundering? Under rules required by the USA PATRIOT Act, our anti-money laundering program must designate a special compliance officer, set up employee training, conduct independent audits, and establish policies and procedures to detect and report suspicious transaction and ensure compliance with such laws. As part of our required program, we may ask you to provide various identification documents or other information. Until you provide the information or documents we need, we may not be able to effect any transactions for you. ANTI-MONEY LAUNDERING INFORMATION FORM The following is required in accordance with the AML provision of the USA PATRIOT ACT. (Please fill out and return with requested documentation.) INVESTOR PURCHASER NAME: ______________________________________________________________________________ LEGAL ADDRESS: ______________________________________________________________________________ _____________________________________________________________________________ SSN# SSN or TAX ID# OF INVESTORPURCHASER: ________________________________________________________________________________ YEARLY INCOME: ______________:_______________________________________________________________ NET WORTH: ______________:___________________________________________________________________* * For purposes of calculating your “net worth in this form, worth”: (ai) your primary residence shall not be included as an asset; (bii) indebtedness that is secured by your primary residence, up to the estimated fair market value of your the primary residence at the time of your purchase of the Securitiessubscription, shall not be included as a liability (except that if the amount of such indebtedness outstanding at the time of your purchase of the Securities subscription exceeds the amount outstanding sixty (60) days before such time, other than as a result of the acquisition of your the primary residence, the amount of such excess shall be included as a liability); and (ciii) indebtedness that is secured by your primary residence in excess of the estimated fair market value of your the primary residence at the time of your purchase of the Securities subscription shall be included as a liability. INVESTMENT OBJECTIVE(S) (FOR ALL INVESTORS): _________________PURCHASERS: ________________________________ ADDRESS OF BUSINESS OR OF EMPLOYER: ________________________________________ _____________________________ FOR INVESTORS PURCHASERS WHO ARE INDIVIDUALS: AGE: ________________________________________ FOR PURCHASERS WHO ARE INDIVIDUALS: OCCUPATION: ________________________________________ FOR PURCHASERS WHO ARE ENTITIES: Business Sector/Industry): ___________________________ BANK SECRECY ACT (BSA) REQUIREMENT Identify and complete for each of the 25% or more beneficial owner(s) of the entity as defined below:1 Name:______________________________ Percent of Ownership:___________ Home Address (No P.O. Box): ________________________________________________ Phone Number:__________________________________ Email Address:__________________________________ Title (if applicable): _________________________________________________ FOR INVESTORS WHO ARE INDIVIDUALS: OCCUPATION: ___________Social Security Number:__________________________________ FOR INVESTORS WHO ARE ENTITIES: NATURE OF BUSINESS: Date of Birth:___________________________________________ Please provide documents to verify the identity of the beneficial owner(s), including a current valid issued government ID for each beneficial owner identified above.

The USA PATRIOT Act. The USA PATRIOT Act is designed to detect, deter, and punish terrorists in the United States and abroad. The Act imposes new anti-money laundering requirements on brokerage firms and financial institutions. Since April 24, 2002, 2002 all brokerage firms have been required to have new, comprehensive anti-money laundering programs. To help you understand these efforts, we want to provide you with some information about money laundering and our steps to implement the USA PATRIOT Act. What is money laundering? Money laundering is the process of disguising illegally obtained money so that the funds appear to come from legitimate sources or activities. Money laundering occurs in connection with a wide variety of crimes, including illegal arms sales, drug trafficking, robbery, fraud, racketeering, and terrorism. How big is the problem and why is it important? The use of the U.S. financial system by criminals to facilitate terrorism or other crimes could well taint our financial markets. According to the U.S. State Department, one recent estimate puts the amount of worldwide money laundering activity at $1 trillion a year. What are we required to do to eliminate money laundering? Under rules required by the USA PATRIOT Act, our anti-money laundering program must designate a special compliance officer, set up employee training, conduct independent audits, and establish policies and procedures to detect and report suspicious transaction and ensure compliance with such laws. As part of our required program, we may ask you to provide various identification documents or other information. Until you provide the information or documents we need, we may not be able to effect any transactions for you. ANTI-MONEY LAUNDERING INFORMATION FORM The following is required in accordance with the AML provision of the USA PATRIOT ACT. (Please fill out and return with requested documentation.) INVESTOR NAME: ______________________________________________________________________________ LEGAL ADDRESS: ______________________________________________________________________________ _____________________________________________________________________________ SSN# or TAX ID# OF INVESTOR: ________________________________________________________________________________ YEARLY INCOME: _____________________________________________________________________________ NET WORTH: __________________________________________________________________________________ * * For purposes of calculating your net worth in this form, (a) your primary residence shall not be included as an asset; (b) indebtedness secured by your primary residence, up to the estimated fair market value of your primary residence at the time of your purchase of the Securitiessecurities, shall not be included as a liability (except that if the amount of such indebtedness outstanding at the time of your purchase of the Securities securities exceeds the amount outstanding sixty (60) 60 days before such time, other than as a result of the acquisition of your primary residence, the amount of such excess shall be included as a liability); and (c) indebtedness that is secured by your primary residence in excess of the estimated fair market value of your primary residence at the time of your purchase of the Securities securities shall be included as a liability. INVESTMENT OBJECTIVE(S) (FOR ALL INVESTORS): : __________________________ ADDRESS OF BUSINESS OR OF EMPLOYER:_____________________________________________ ADDRESS OF BUSINESS OR OF EMPLOYER: ________________________________________________________ FOR INVESTORS WHO ARE INDIVIDUALS: AGE: _____________________________________________________ FOR INVESTORS WHO ARE INDIVIDUALS: OCCUPATION: _____________________________________ FOR INVESTORS WHO ARE ENTITIES: Business Sector/Industry): ____________________________________ FOR INVESTORS WHO ARE ENTITIESBANK SECRECY ACT (BSA) REQUIREMENT Identify and complete for each of the 25% or more beneficial owner(s) of the entity as defined below:1 Name: NATURE OF BUSINESS______________________________________ Percent of Ownership: ___________________ Home Address (No PO Box):__________________________________________________________ Phone Number: _________________ Email Address: ________________________________ Title (if applicable): ___________________________________________________________ Social Security Number: ___________________ Date of Birth: ________________ Please provide documents to verify the identity of the beneficial owner(s), including a current valid issued government id for each beneficial owner identified above. 1 Beneficial Owner: each individual, if any, who directly or indirectly, through any contract, arrangement, understanding, relationship or otherwise owns 25% or more of the equity interests of a legal entity investor: (A) a single individual with significant responsibility to control, manage or direct a legal entity investor, including, (i) an executive officer or senior manager (e.g. Chief Executive Officer, Chief Financial Officer, Chief Operating Officer, Managing Member, General Partner, President, Vice President or Treasurer) or (ii) any other individual who regularly performs similar functions or (B) if a trust owns directly or indirectly, through any contract, arrangement, understanding, relationship or otherwise, 25% or more of the equity interests of a legal entity investor, the beneficial owner shall mean the trustee. It is the ultimate beneficial owner(s) that must be identified and not nominees.

The USA PATRIOT Act. The USA PATRIOT Act is designed to detect, deter, and punish terrorists in the United States and abroad. The Act imposes new anti-money laundering requirements on brokerage firms and financial institutions. Since April 24, 2002, 2002 all brokerage firms have been required to have new, comprehensive anti-money laundering programs. To help you understand these efforts, we want to provide you with some information about money laundering and our steps to implement the USA PATRIOT Act. What is money laundering? Money laundering is the process of disguising illegally obtained money so that the funds appear to come from legitimate sources or activities. Money laundering occurs in connection with a wide variety of crimes, including illegal arms sales, drug trafficking, robbery, fraud, racketeering, and terrorism. How big is the problem and why is it important? The use of the U.S. financial system by criminals to facilitate terrorism or other crimes could well taint our financial markets. According to the U.S. State Department, one recent estimate puts the amount of worldwide money laundering activity at $1 trillion a year. What are we required to do to eliminate money laundering? Under rules required by the USA PATRIOT Act, our anti-money laundering program must designate a special compliance officer, set up employee training, conduct independent audits, and establish policies and procedures to detect and report suspicious transaction and ensure compliance with such laws. As part of our required program, we may ask you to provide various identification documents or other information. Until you provide the information or documents we need, we may not be able to effect any transactions for you. ANTI-MONEY LAUNDERING INFORMATION FORM The following is required in accordance with the AML provision of the USA PATRIOT ACT. (Please fill out and return with requested documentation.) INVESTOR NAME: ________________________________:______________________________________________ LEGAL ADDRESS: ______________________________________________________________________________ _____________________________________________________________________________ SSN# or TAX ID# OF INVESTOR: _:_______________________________________________________________________________ YEARLY INCOME: _____INVESTMENT OBJECTIVE:________________________________________________________________________ NET WORTHFOR INVESTORS WHO ARE ENTITIES: TYPE OF BUSINESS:_________________________________________________________________________________* * For purposes of calculating your net worth in this form, (a) your primary residence shall not be included as an asset; (b) indebtedness secured by your primary residence, up to the estimated fair market value of your primary residence at the time of your purchase of the Securities, shall not be included as a liability (except that if the amount of such indebtedness outstanding at the time of your purchase of the Securities exceeds the amount outstanding sixty (60) days before such time, other than as a result of the acquisition of your primary residence, the amount of such excess shall be included as a liability); and (c) indebtedness that is secured by your primary residence in excess of the estimated fair market value of your primary residence at the time of your purchase of the Securities shall be included as a liability. INVESTMENT OBJECTIVE(S) (FOR ALL INVESTORS): _________________________________________________ ADDRESS OF BUSINESS OR OF EMPLOYER: ________________________________________________________ FOR INVESTORS WHO ARE INDIVIDUALS: AGE: _____________________________________________________ FOR INVESTORS WHO ARE INDIVIDUALS: OCCUPATION: _____________________________________________ FOR INVESTORS WHO ARE ENTITIES: NATURE OF BUSINESS: __________________________________________

The USA PATRIOT Act. The USA PATRIOT Act is designed to detect, deter, and punish terrorists in the United States and abroad. The Act imposes new anti-money laundering requirements on brokerage firms and financial institutions. Since April 24, 2002, 2002 all brokerage firms have been required to have new, comprehensive anti-money laundering programs. To help you understand these efforts, we want to provide you with some information about money laundering and our steps to implement the USA PATRIOT Act. What is money laundering? Money laundering is the process of disguising illegally obtained money so that the funds appear to come from legitimate sources or activities. Money laundering occurs in connection with a wide variety of crimes, including illegal arms sales, drug trafficking, robbery, fraud, racketeering, and terrorism. How big is the problem and why is it important? The use of the U.S. financial system by criminals to facilitate terrorism or other crimes could well taint our financial markets. According to the U.S. State Department, one recent estimate puts the amount of worldwide money laundering activity at $1 trillion a year. What are we required to do to eliminate money laundering? Under rules required by the USA PATRIOT Act, our anti-money laundering program must designate a special compliance officer, set up employee training, conduct independent audits, and establish policies and procedures to detect and report suspicious transaction and ensure compliance with such laws. As part of our required program, we may ask you to provide various identification documents or other information. Until you provide the information or documents we need, we may not be able to effect any transactions for you. ANTI-MONEY LAUNDERING INFORMATION FORM The following is required in accordance with the AML provision of the USA PATRIOT ACT. (Please fill out and return with requested documentation.) INVESTOR NAME: ______________________________________________________________________________ LEGAL ADDRESS: ______________________________________________________________________________ _____________________________________________________________________________ SSN# or TAX ID# OF INVESTOR: ________________________________________________________________________________ YEARLY INCOME: _____________________________________________________________________________ NET WORTH: _________________________________________________________________________________* * For purposes of calculating your net worth in this form, (a) your primary residence shall not be included as an asset; (b) indebtedness secured by your primary residence, up to the estimated fair market value of your primary residence at the time of your purchase of the Securitiessecurities, shall not be included as a liability (except that if the amount of such indebtedness outstanding at the time of your purchase of the Securities securities exceeds the amount outstanding sixty (60) 60 days before such time, other than as a result of the acquisition of your primary residence, the amount of such excess shall be included as a liability); and (c) indebtedness that is secured by your primary residence in excess of the estimated fair market value of your primary residence at the time of your purchase of the Securities securities shall be included as a liability. INVESTMENT OBJECTIVE(S) (FOR ALL INVESTORS): ________________________: _________________________ ADDRESS OF BUSINESS OR OF EMPLOYER: _________________________________ _________________________________ FOR INVESTORS WHO ARE INDIVIDUALS: AGE: _____________________________________________________ FOR INVESTORS WHO ARE INDIVIDUALS: OCCUPATION: ___________________ FOR INVESTORS WHO ARE ENTITIES: NATURE OF BUSINESS (type of sector or industry): ___________________________ FOR INVESTORS WHO ARE ENTITIES: NATURE OF BUSINESS: __________________________________________

The USA PATRIOT Act. The USA PATRIOT Act is designed to detect, deter, and punish terrorists in the United States and abroad. The Act imposes new anti-money laundering requirements on brokerage firms and financial institutions. Since April 24, 2002, 2002 all brokerage firms have been required to have new, comprehensive anti-money laundering programs. To help you understand these efforts, we want to provide you with some information about money laundering and our steps to implement the USA PATRIOT Act. What is money laundering? Money laundering is the process of disguising illegally obtained money so that the funds appear to come from legitimate sources or activities. Money laundering occurs in connection with a wide variety of crimes, including illegal arms sales, drug trafficking, robbery, fraud, racketeering, and terrorism. How big is the problem and why is it important? The use of the U.S. financial system by criminals to facilitate terrorism or other crimes could well taint our financial markets. According to the U.S. State Department, one recent estimate puts the amount of worldwide money laundering activity at $1 trillion a year. What are we required to do to eliminate money laundering? Under rules required by the USA PATRIOT Act, our anti-money laundering program must designate a special compliance officer, set up employee training, conduct independent audits, and establish policies and procedures to detect and report suspicious transaction and ensure compliance with such laws. As part of our required program, we may ask you to provide various identification documents or other information. Until you provide the information or documents we need, we may not be able to effect any transactions for you. ANTI-MONEY LAUNDERING INFORMATION FORM The following is required in accordance with the AML provision of the USA PATRIOT ACT. (Please fill out and return with requested documentation.) INVESTOR NAME: ______________________________________________________________________________ LEGAL ADDRESS: ______________________________________________________________________________ _____________________________________________________________________________ SSN# or TAX ID# OF INVESTOR: ________________________________________________________________________________ YEARLY INCOME: _____________________________________________________________ FOR INVESTORS WHO ARE INDIVIDUALS: AGE: __________________________________ NET WORTH: _________________________________________________________________________________* * For purposes of calculating your net worth in this form, (a) your primary residence shall not be included as an asset; (b) indebtedness secured by your primary residence, up to the estimated fair market value of your primary residence at the time of your purchase of the Securitiessecurities, shall not be included as a liability (except that if the amount of such indebtedness outstanding at the time of your purchase of the Securities securities exceeds the amount outstanding sixty (60) 60 days before such time, other than as a result of the acquisition of your primary residence, the amount of such excess shall be included as a liability); and (c) indebtedness that is secured by your primary residence in excess of the estimated fair market value of your primary residence at the time of your purchase of the Securities securities shall be included as a liability. INVESTMENT OBJECTIVE(S) (FOR ALL INVESTORS): _________________________INVESTORS WHO ARE INDIVIDUALS: OCCUPATION: ________________________ ADDRESS OF BUSINESS OR OF EMPLOYER: _____________________________________ ____________________ FOR INVESTORS WHO ARE INDIVIDUALS: AGE: _____________________________________________________________ FOR INVESTORS WHO ARE INDIVIDUALSENTITIES: OCCUPATIONYEARLY INCOME: __________________________________ NET WORTH: ____________ FOR INVESTORS WHO ARE ENTITIES: NATURE TYPE OF BUSINESS: ____________________________________ INVESTMENT OBJECTIVE(S) (FOR ALL INVESTORS): __________________________

The USA PATRIOT Act. The USA PATRIOT Act is designed to detect, deter, and punish terrorists in the United States and abroad. The Act imposes new anti-money laundering requirements on brokerage firms and financial institutions. Since April 24, 2002, 2002 all brokerage firms have been required to have new, comprehensive anti-money laundering programs. To help you understand these efforts, we want to provide you with some information about money laundering and our steps to implement the USA PATRIOT Act. What is money laundering? Money laundering is the process of disguising illegally obtained money so that the funds appear to come from legitimate sources or activities. Money laundering occurs in connection with a wide variety of crimes, including illegal arms sales, drug trafficking, robbery, fraud, racketeering, and terrorism. How big is the problem and why is it important? The use of the U.S. financial system by criminals to facilitate terrorism or other crimes could well taint our financial markets. According to the U.S. State Department, one recent estimate puts the amount of worldwide money laundering activity at $1 trillion a year. What are we required to do to eliminate money laundering? Under rules required by the USA PATRIOT Act, our anti-money laundering program must designate a special compliance officer, set up employee training, conduct independent audits, and establish policies and procedures to detect and report suspicious transaction and ensure compliance with such laws. As part of our required program, we may ask you to provide various identification documents or other information. Until you provide the information or documents we need, we may not be able to effect any transactions for you. ANNEX D ANTI-MONEY LAUNDERING INFORMATION FORM The following is required in accordance with the AML provision of the USA PATRIOT ACT. (Please fill out and return with requested documentation.) INVESTOR NAME: ______________________________________________________________________________ LEGAL ADDRESS: ______________________________________________________________________________ _____________________________________________________________________________ SSN# or TAX ID# OF INVESTOR: ________________________________________________________________________________ YEARLY INCOME: _____________________________________________________________________________ NET WORTH: _________________________________________________________________________________* * For purposes of calculating your net worth in this form, (a) your primary residence shall not be included as an asset; (b) indebtedness secured by your primary residence, up to the estimated fair market value of your primary residence at the time of your purchase of the Securities, shall not be included as a liability (except that if the amount of such indebtedness outstanding at the time of your purchase of the Securities exceeds the amount outstanding sixty (60) days before such time, other than as a result of the acquisition of your primary residence, the amount of such excess shall be included as a liability); and (c) indebtedness that is secured by your primary residence in excess of the estimated fair market value of your primary residence at the time of your purchase of the Securities shall be included as a liability. INVESTMENT OBJECTIVE(S) (FOR ALL INVESTORS): _________________________________________________ ADDRESS OF BUSINESS OR OF EMPLOYER: ________________________________________________________ FOR INVESTORS WHO ARE INDIVIDUALS: AGE: ________________________ NET WORTH: _____________________________________________________ * * For purposes of calculating your net worth in this form, (a) your primary residence shall not be included as an asset; (b) indebtedness secured by your primary residence, up to the estimated fair market value of your primary residence at the time of your purchase of the securities, shall not be included as a liability (except that if the amount of such indebtedness outstanding at the time of your purchase of the securities exceeds the amount outstanding 60 days before such time, other than as a result of the acquisition of your primary residence, the amount of such excess shall be included as a liability); and (c) indebtedness that is secured by your primary residence in excess of the estimated fair market value of your primary residence at the time of your purchase of the securities shall be included as a liability. FOR INVESTORS WHO ARE INDIVIDUALS: OCCUPATION: _________________________ ADDRESS OF BUSINESS OR OF EMPLOYER:______________________________________ ______________________________________________________________________________ FOR INVESTORS WHO ARE ENTITIES: NATURE YEARLY INCOME: __________ NET WORTH: ___________ TYPE OF BUSINESS: ____________________________________ INVESTMENT OBJECTIVE(S) (FOR ALL INVESTORS): ______________________________