AGP LP 519 Alpha Group Capital Paul Barrett
not considered eligible investors and are not entitled to participate in the ARS buyback under the terms of
the settlement.
Merrill Lynch's control affiliate BAS entered into similar consent orders with state securities regulators.
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0068544
CONFIDENTIAL SDNY_GM_00214728
EFTA01374037