# Profoundd archive — Epstein Files # Bates number: EFTA01273265 # Title: 4tUBS UBS Financial Services Inc. # Dataset: 10 # Pages: 19 # Images: 19 detected # Tags: epstein, doj, dataset-10, image-described # Source PDF: https://profoundd.com/epstein-docs/EFTA01273265/download # Doc viewer: https://profoundd.com/epstein-docs/EFTA01273265 # # Text below is what Profoundd has extracted from the source PDF. # 'ocr-enriched' tag means OCR was applied to scan-only pages. # Image descriptions are AI-generated factual captions (llava:13b). #---------------------------------------------------------------------- === SUMMARY === 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 For Internal the 00y ECS-0114989654 lentiffhRERVII ECS-Ol 14989654 O200s U13.5 'Mandel Services Inc. Al Rights Reserved. Member SPC CONFIDENTIAL SDNY_GM_00020437 EFTA_00 I 31057 EFTA01273265 B•A•• m••• SAL vASNV ASSFT MANAGEMENT , fr Atlas Enhanced Fund, L.P === EXTRACTED TEXT === 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 For Internal the 00y ECS-0114989654 lentiffhRERVII ECS-Ol 14989654 O200s U13.5 'Mandel Services Inc. Al Rights Reserved. Member SPC 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 2 CONFIDENTIAL SDNY_GM_00020439 EFTA_00131059 EFTA01273267 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 3 CONFIDENTIAL SDNY_GM_00020440 EFTA_00 131060 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 QUALIFIED PURCHASER STATUS The Undersigned must certify that he, she or it is an accredited investor and a qualified purchaser based on the categories listed below ACCREDITED INVESTOR STATUS I. Individuals, Joint Tenants and IRAs The Undersigned, either ixividualy a together with the Undersigned's spouse, has a net worths in excess of S I million. N. Trusts (a) The trust has 6) total assets n excess of S5 mitron, (I) 4 was not famed for the specific purpose of nesting in the Lund, and (iii) its investment in the Fund is directed by a person who has such knowledge and experience in financial and business matters that he a she k capable of evaluating the ments and risks of an investment in the fund, a (b) Each Grantor of the trust has the power to revoke the trust and regain tide to the trust assets, and each grantor d an accredited investor, or (0 The trustee of the tn.& is a 'bank' as defined in Section 3(aX2) of the Securities Act a a savings and loan association a other institution referred to in Section 3(aXSXA) of the Securities Act. It Retirement Plans (a) The plan has total assets in excess of 55 million; a ite Each participant in the plan is an accredited investor; or (c) The plan is participant directed, with investment decisions made solely by persons who are accredited investors; Cr OS Investment decisions fee the plan we made by a 'plan fiduciary' as defined Section 3(21) d ERISA that is a bank, insurance company, registered investment adviser or savings and loan association. IV. Corporations, Partnerships, Limited Lability Companies and Other Entities (a) The Undersigned is a Canoe bon, partnership. limited liability company, Massachusetts a similar business bust, or an orgarization described in Section SOfic)(3) of the internal Revenue Code of 1984 as amended (the -Code). rot famed for the specific purpose of Setting in the Fund, with total assets in excess of $5 milkon; or fta Each shareholder, partner, or other equity eivner of the Undersigned, as the case might be, is an accredited investa, a (0 The Undersigned is a 'bank' as defined in Section 3(412) of the Securities Act or a *savings and loan association' or other institution referred to in Section 3(aX5XA) of the Secunties Act, whether acting in its individual a f skxary capacity. a (C The Undersigned is a 'broker a dealer' ngstered pursuant to Section 15 of the Secwities Exchange Act, or fel The Undersigned is an 'insurance company' as defined in Section 2(a)(13) of the Sectrities no; or (0 The Undersigned is an 'irwinvnent company' registered under the Investment Company Act; or (g) Tne Undersigned is a 'small business investment company' licensed by the U.S. Small Business Administration under Section (301) or td) o1 the Small Business ewes/men% Act; or (Ii) The Undersigned is a 'business development company' as defined in Section 2taX48) of the ineestment Company Act a a 'business development company' defined in Section 202(0(22i of the Investment Advisers Act Note for Accredited Investor Status: • The term net worth means total assets at far market value minus total tabbies. To calculate net inorth excfude the fair market yaks of your finnan, residence; di) count as a Lowey any indebtedness secured 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 QUALIFIED PURCHASER STATUS V. Individuals, Joint Tenant and IRAs (as applicable) The Undersigned is a qualified purchaser because hershe (atone, or together with Winer spouse, if investing jointed owns not less than SS million :n investments • • VI. 'Family Corporations, 'Family Foundations. 'Family Endowments, •Family Partnerships, 'Family Trusts or other 'Family" [Mitts (a) The Undersigned was not formed for the specific purpose of investing in the Fund; its) The Undersigned owns not less than SS milion in nvestments;• • and Kt The Undersigned is owned directly or indrectty by or for 6) two a more natural persons who are (A) related as strings a spouses (including former spouses), or (8) direct lineal descendants by birth a adoption. (hi spouses of such persons, (n) the estates of such persons a M foundations, charitable organzations trusts established by or for the benefit of such persons VII. Trusts (Other than Truett that qualify under VI or VIII hereof) (a) The Undersigned was not famed for the specific purpose Of investing in the fund, and (b) The trustee or other authorized person making decisions with respect to the trust, arid each Settler or other penal who has contributed assets to the trust, 6 a person described in V. VI, VII or IX VIII. Other Entities fal The Undersigned was not loaned For the specific purpose of Investing in the Fund; and (b) the Undersigned is an entity, acting for its own account a for the accounts of other cNalif kid Purchasers, which in the aggregate owns and invests on a discretionary basis not less than 125 milion in investments •' CONFIDENTIAL Private and Confidential 4 SONY_GM_0002044i EFTA_00131061 EFTA01273269 Schedule 1 (continued) QUAUFIED PURCHASER STATUS (coard) IX. Entities that do not qualify under VI•VIR the Undersigned is a qualified purchaser became each beneficial owner of the Investor's securities is a %allied purchaser as described herein Note: Trusts may not rely on rein certification even if al of their beneficiaries are qualified purchasers. X. All Investors that an Entities (a) The undersigned is not a 3iC)(1) Cr XcX71 Corns>any. or (b) The Undersigned is a Section 3(c)(1) or 3(cX7) Company but does not have ANY Prompt,' 30 Holders. or (c) The Undersigned 4 a Section 31.011.; 3(c%7) Company arid has obtained consent to as treatment as a qualified purchaser from all of its Pre-April 30 Holden XI. Investors that checked VI or VII may check XI instead oe X The Undersigned has obtained consent to its treatment as a chakfied purchaser ham all of its trustees. directors or general partners. XII. Investors that checked X(b) or X(c) must also respond YES or NO to XII is any direct or indirect beneficial owner of the Undersigned itself a Section 3(cX1) or XcX7) Company that controls, is conuoded by, or is under common control with the Undersigned? If the Undersigned carton answer NO to XII because it has a control relationship suds a beneficial owner that is itself a Section Xc)(1) or 3(cX7) Company, the Undersigned may be reamed to obtain consent from the security holders of such Miner Notes for Qualified Purchaser Status: • • f he term ' investments - means any as (1) securities (as defned n the Secuites Act), except for Control Securities unless otherwise included as described below; lutures contracts or options thereon held for investment purposes; (31 Physoal conwpities held for investment purposes, (4) Swaps and other similar financial contracts entered into for investment purpose: (5) real estate held for investment proposes, and (6) cash and cash equivalents held for investment purposes. Control Securities may be included in -investments' if (A) the issuer of the control securities is itself a registered or private investment company or is exempted from the definition of investment company by Rule 3a-6 or Rule 3a-7 under the investment Company Act, (B) the Control Securities represent securities of an issuer that lies reports pursuant to Section 13 or ISId) of the Securities Exchange Act. (C) the suer of the Control Securities has a class of securities listed on a designated off -shore securities market under Regulation S under the Securities Act or (0) the issuer of the Control Securities is a private company with shareholders' equity not less than SSO million determined n accordance with generally accepted accounting principles, as reflected in the company's most recent financial statements (provided such financial statements were issued within 16 months of the date of Undersigned's purchase of hieing). NOTE: In determining whether the SS million or SIS million thresholds are met, investments can be valued at cost or fair market value as of a recent date. If investments have been acquired with indebtedness, the amount of the indebtedness must be deducted in determining whether the threshold has been met CONFIDENTIAL Private and Confidential 5 SDNY_GM_00020 4142 EFTA 00131062 EFTA01273270 Investor Application Form A. Capital Contribution Applied for. S Note. You: account will be debited for your Cap' tauten plus the Placement Fee of 2% (which may be waived in limited circumstances). A Placement Fe* cola be in addition to your Capital Contribution. Please see the Investor Acknowledgement section for ackfitional information regarding the Placement Fee. Subscriptions will only be accepted in U.S. Dollars. Account a ,IM MOIEMP 8. Investor forma • SSNfpax ID if vuls . GrhSiOitle NIC111•R 11 Pr'''. Wore nn Plane d Aticn$ %wove' MAKE SURE YOU HAVE COMPLETED AU. APPLICABLE SECTIONS OF THIS INVESTOR APPUCATION FORM. CONFIDENTIAL Private and Confidential 13 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) informed the client of all pertinent fee It routing to the lictuidity and Transferabilicy of the fund, inducing the obligation to maintain sufficient timidly to meet onooang capital cats (if the Fund has a Capital cat structure; on potentially than notice and that the n'estment may impart the Cheats Mule liquidty. 2) reasonable grounds to believe (on the basis of information obtained from the dent concerning the okra age. investment objectives. insestment experience, income. net mg*, franca situation ar4 needs. Other ',vestments and any other information known by me. inducing 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; obtained a valid and duly completed Form W-9 or W-8. as applicable, or successor form Onto. signed wider penalties of perjury by the dent and I have properly placed such form on file purstunt to internal WS POliCy, and (a) confirmed, with reasonable due inqury. including may review of relevant account documentation, the client's repreentations provided in the NFA Bylaw 1101 Certification fit applicable) Regarding lion 2(b) abode In the event that the client iS an entity (such as a trust or partnership, that does not itself meet the nonimen investment requirements (mob as let worth) I have ascertained Iron the appropriate panes (such as the Clint's trustee or general partner) that al of the client's beneficial owners meet such requirements. 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 have done so pursuant to the dent's authorization and direction scsagr based upon Mk:Malian that has been provided to me by the client t I did not asps( the client in completing any information in the kwestor Application. I certify that I have 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 Financial Advisors must reconcile the Information listed on this applkation with the clients account records, including updating the client's net worth. objectives and any caber relevant information. Itnaixial Adesee E Adored Placement Fee aIkintefricirsumnancisi (mewl.' be charged in addition to Capital Contribution-) t that accompanies ani's form must be Branco Code6A LoNistco N101 SC.;/ Pb' Ni 11$ anneKa non d signed Financial Adviser Telephone elense nsalte..suce your Branch Manager signs the following page. CONFIDENTIAL Private and Confidential te SDNY_GM_00020451 EFTA_(() I31071 EFTA01273279 For Branch Managers IV. Brandt Manager Signature: locally that I have re/revved the competed bettor Suiutity and Imester QJaldkabons %MOM above, the dent InvestOr Application Form and CAL and if amicable, the Country QuaNiemen," appendix to the Memorandum a the Subscription Agreement and any applicable supplement 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 subscribed ford suitable and appropriate Mr the dent and the financial Advisor has rerieVerefi understands and haS (emptied with the applicable ROM. I agree that, if the Financial Advise assisted Me client in completing any information that is required to be provided by the client in the 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