HUBUS133 Alpha Group Capital Form W-9 (Rev. 11.2017) Page 4 The following chart shows types of payments that may be exempt from backup withholding. The chart applies to the exempt payees listed above. 1 through 13 IF the payment Is tor... THEN the payment Is exempt for... Interest and dividend payments Broker transactions All exempt payees except for 7 Exempt payees 1 through 4 and 6 through 11 and all C corporations. S corporations must not enter an exempt payee code because they are exempt only for sales of nonoovered securities acquired prior to 2012. Barterexchange transactions and Exempt payees 1 through 4 patronage dividends Payments over 8600 requied to be reported and direct sales over $5,000' Generally. exempt payees 1 through 52 Payments made in settlement of payment card or third party network transactions Exempt payees 1 through 4 See Form 1099-MISC, Miscellaneous Income, and its instructions. 2 However, the following payments made to a corporation and reportable on Form 1099-MISC are not exempt from backup withholding: medical and health care payments, attorneys fees. gross proceeds paid to an attorney reportable under section 6045(1), and payments for services paid by a federal executive agency. Exemption from FATCA reporting code. The following codes Identify payees that are exempt from reporting under FATCA. These codes apply to persons submitting this form for accounts maintained outside of the United States by certain foreign financial institutions. Therefore, if you aro only submitting this form for an account you hold In the United States. you may leave this field blank. Consult with the person requesting this form if you are uncertain if the financial institution is subject to these requirements. A requester may indicate that a code is not required by providing you with a Form W-9 with "Not Applicable" (or any similar indication) written or printed on the line for a FATCA exemption code. A—An organ