(iii) An executed statement (and a letter or other evidence)
pursuant to which you have instructed each broker, dealer, bank, or other institution to provide duplicate account statements and confirmations of all Securities transactions, unless Adviser indicates that the information is otherwise available to
it. The form of this statement is attached as Appendix IV (for personal accounts) and Appendix V (for related accounts) hereto.
(iv) The date you submitted the report.
(b) The Initial Report of Private Investments contains the following:
(i) A description of all private investments in which you have a Beneficial Ownership Interest, the principal amount of
those private investments, the approximate dates of acquisition, and whether the private investments involve or are associated with companies that have publicly traded debt or equity.
(ii) The date you submitted the report.
Quarterly Transaction Report: Unless, as noted below, the Chief Compliance Officer already receives trade confirmations
or account statements for all of your transactions in Reportable Securities, within 30 days after the end of each calendar quarter, you, as a Supervised Person (other than Disinterested Directors), must submit to the Chief Compliance Officer or
designee a transaction report, a form of which is attached as Appendix III hereto, that contains:
(a) With respect
to any transaction during the quarter in any Reportable Security in which you had, or as a result of the transaction acquired, a Beneficial Ownership Interest:
(i) The date of the transaction, the name/title and as applicable, the exchange ticker symbol or CUSIP number, interest
rate and maturity date, the number of equity shares of, or the principal amount of debt represented by, and principal amount of each Reportable Security involved;
(ii) The nature of the transaction, i.e., purchase, sale or other type of acquisition or disposition;
(iii) The price at which the transaction in the Reportable Security was effected;
(iv) The name of the broker, dealer, bank, or other institution with or through which the transaction was effected.
(b) The name and address of any broker, dealer, bank, or other institution, such as a general partner of a limited
partnership, or transfer agent of a company, that maintained any account in which any Securities were held during the quarter in which you have a Beneficial Ownership Interest, the account numbers and names of the persons for whom the accounts were
held, and the date when each account was established.