Investment Fund Certification

Please provide a brief overview of the fund’s investment strategy. Please address geographic focus, industry focus, company size/stage, investment size, preference for control transactions, preference for leading deals, co- investing or being sole investor, track record investing in minority-owned businesses.

Provide a copy of the fund’s most recent annual income statement and balance sheet.

Provide an organizational chart of all entities related to the fund including the “General Partner” (i.e., entity responsible for management of the fund),investors (as a single group), any management company, any advisor or sub- advisor, any investment committee, any advisory committee, etc.

Provide a table listing all officers and directors (or their equivalent positions) of the General Partner including name, position, and ethnicity. Provide the resumes for such officers and directors.

If the fund has minority investors, provide a table with their names, the amount and percentage of ownership in the fund, and their ethnicities.

Describe the decision-making process used to make new investments, investment exits, follow-on investments, and general fund operations. Your response should address the voting power of the fund principals, voting requirements among principals to approve/disapprove new or follow-on investments, exits and fund operations, any special voting rights of held by one or more principals, and any requirement for approval or consent by any one or more principals.

Please provide a detailed description of the carried interest provisions of your fund, identify the basis of the calculation (e.g., whole fund or deal-by-deal)and explain your vesting policy.

For each of the fund and the General Partner, please provide a copy of its (i)organizational documents (e.g., LP or LLC Agreement, charter, bylaws, voting agreements, etc.), (ii) any operational agreements (e.g., any management agreement, any advisory and sub-advisory agreements, etc.) and any other agreements which may impact the ownership, management, and control of either entity.

Provide any additional material documents or other documents that you would like NMSDC to consider in reviewing your Application.

For renewing Applicants, if your initial certification was subject to any special conditions, provide disclosure that the Applicant remains in compliance with such conditions.