HUBUS133 Alpha Group Capital HUDSON BAY FUND LP GENERAL ELIGIBILITY REPRESENTATIONS VI. ALLOCATIONS OF NEW ISSUES—RULE 5130 The Partnership from time to time may invest in a "new issue", as defined in FINRA Rule 5130 ("Rule 5130"). Rule 5130 generally prohibits a FINRA member from selling a new issue to any account (e.g., a private investment fund) in which a Restricted Person (as defined in Item A(2) of this Section) has a beneficial interest,' unless such fund or account has complied with certain requirements. In order for the Partnership to determine (i) whether it has complied with such requirements and (ii) the extent to which the Investor is eligible to participate in profits and ►osses attributable to new issues, the Investor must initial those statements below which apply to it and. if the Investor is a corporation, partnership, trust or other entity acting as nominee for another person, which apply to such person for which the entity is acting as nominee. IF THE INVESTOR WISHES TO NOT PARTICIPATE IN ANY PROFITS AND LOSSES ATTRIBUTABLE TO NEW ISSUES, PLEASE INITIAL HERE. (Skip the remainder of this Section VI.) If the Investor has not made the election above, and the Investor is an individual, the Investor must initial the appropriate Items below in Section B. If the Investor has not made the election above, and the Investor is an entity, the Investor must initial the appropriate Items below in Sections A and/or B, as applicable. A. Exempt Persons (Entities only; individual investors please skip to Section B below): (Initial as Appropriate) The Investor is: I. an investment company registered under the Company Act. 2. a common trust fund or similar find as described in Section 3(a)(12)(A)(iii) of the Exchange Act, and the fund (a) has investments from 1,000 or more accounts, and (b) does not limit beneficial interests in the fund principally to trust accounts of persons listed in Section B below ("Restricted Persons"). 3. an i