Deutsche Bank cover sheet and netting checklist for a counterparty ISDA agreement, 2015

COVER SHEET FOR GLOBAL MARKETS WITH NETTING CHECKLIST for Signature and for Processing¶

To: Cynthia Cuomo
	for Signature
To: Milagros Morales for Processing
From: Ajinkya Natarajan
Date: October 10,2015
Counterparty/Agent Name: Southern Financial, LLC
CP Principal(if applicable):
Jurisdiction of Organization: USA
Entity Type: Limited Liability Company
Type of Agreement:
	ISDA Master Agreement	Credit Support Annex	Amendment	Futures & Options Agrmt(scanning only)	Other
	$\Box$	$\Box$	$\boxed{\times}$	$\Box$	$\Box$

□ COUNTERPARTY IS URGENTLY REQUESTING THE RETURN OF THIS AGREEMENT.¶

Attached, please find the following for review and signature:¶

Execution copies of the above referenced agreement between Deutsche Bank AG and Southern Financial, LLC dated as of October 10, 2015.¶

Supporting documentation: Enclosed or Missing/Pending:¶

| Enc. or M/P |¶

| :--- | :--- |¶

(Note: The text is cut off at the bottom of the image, so it cannot be accurately transcribed.)¶

☐ ☐ Secretary of State/Registration¶

Certificate of Inc./Restated Certificate of Inc.¶

□ □ Charter and By-laws¶

□ □ Offering document¶

□ Limited Partnership Agreement¶

□ □ Signature Specimen/Incumbency¶

☐ ☐ Corporate Resolution(s)¶

□ □ Investment Management Agreement¶

□ □ Sub-Management/Sub-Advisory Agreement¶

| Enc. or M/P |¶

| :--- | :--- |¶

(Note: The text is cut off at the bottom of the image, so it cannot be accurately transcribed.)¶

☐ Legal Opinion ☐ Waived¶

□ □ Guaranty¶

□ □ Guaranty Signature Specimen/ Incumbency¶

□ Blackline copy (against template), if applicable.¶

☐ ☐ IRS Tax Form W-8BEN¶

PLM CONTRACT NUMBER: 640310¶

☐ ☐ IRS Tax Form W-8IMY¶

□ □ Other:¶

□ □ Other:¶

R:/Global _Markets/Netting Info/GM-CVRSHT w-Netting (Aug 5, 2010)¶

USAO 001704 DB-SDNY-0000744¶

CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e)¶

EFTA_00019614¶

EFTA00169351¶

PARAGON LEGAL MODULE (PLM) - NETTING INFORMATION STORAGE SHEET¶

Negotiator: AJINKYA NATARAJAN¶

Negotiator: AJINKYA NATARAJAN¶

Counterparty: Southern Financial, Llc¶

Contract #: 640310¶

Contract Type: Isda And Csa Amendment¶

Please store the following information in Paragon Legal Module:¶

In the master agreement’s Contract Details Screen:¶

Credit Line Netting: YES □ NO □¶

Regulatory Netting YES □ NO □¶

In the CP Properties Screen for the Head Office:¶

Credit Line Netting: YES □ NO □¶

Regulatory Netting YES □ NO □¶

In the CP Properties Screen for the CP Office ___¶

Credit Line Netting: YES □ NO □ N/A □¶

Regulatory Netting YES □ NO □ N/A □¶

In the CP Properties Screen for the CP Office ___¶

Credit Line Netting: YES □ NO □ N/A □¶

Regulatory Netting YES □ NO □ N/A □¶

In the field “Netting Comment”:¶

In the field “Attention to”:¶

Global _Markets/Netting Info/GM-CVRSHT w-Netting (Aug 5, 2010)¶

CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e)¶

USAO_001705 DB-SDNY-0000745 EFTA_00019615¶

EFTA00169352¶