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THE FIGURE ABOVE INCLUDES ESTIMATED AMOUNTS EXPECTED TO BE PAID TO PLACEMENT AGENTS IN THE NEXT 12 MONTHS BASED ON PROJECTED SALES AND COMMISSION RATES.

2026-07-01

D/A

$2,071,137.00

Yes

$0.00

Yes

AMOUNTS REPRESENTED APPLY TO THE ISSUER AND CERTAIN AFFILIATED FUND VEHICLES.

2026-07-01

D/A

$2,937,286.00

Yes

$0.00

Yes

AMOUNTS REPRESENTED APPLY TO THE ISSUER AND CERTAIN AFFILIATED FUND VEHICLES.

2026-07-01

D/A

$2,657,598.00

Yes

$0.00

Yes

AMOUNTS REPRESENTED APPLY TO THE ISSUER AND CERTAIN AFFILIATED FUND VEHICLES.

2026-06-30

D/A

$1,372,377.00

Yes

$0.00

ANY COMMISSIONS ARE PAID FROM A POTENTIAL INVESTOR DIRECTLY TO SUCH FINANCIAL INTERMEDIARIES IN AMOUNTS THAT ARE IN THE DISCRETION OF THE FINANCIAL INTERMEDIARIES AND THE COMPANY IS NOT ABLE TO ESTIMATE THE AMOUNT OF COMMISSIONS.

2026-06-30

$3,919,607.00

$0.00

2026-06-29

D/A

$2,916,665.00

Yes

$0.00

ESTIMATE BASED ON EXPECTED ANNUAL FUNDRAISE OF THE ISSUER. EXCLUDES ANY AMOUNTS PAID DIRECTLY BY INVESTORS AS SUCH AMOUNTS ARE UNKNOWN TO THE ISSUER.

2026-06-26

D/A

$150,000.00

Yes

$0.00

ESTIMATED BASED ON EXPECTED ANNUAL FUNDRAISE OF THE ISSUER AND MACQUARIE ENERGY TRANSITION INFRASTRUCTURE FUND, L.P. EXCLUDES ANY AMOUNTS PAID DIRECTLY BY INVESTORS AS SUCH AMOUNTS ARE UNKNOWN TO THE ISSUER.

2026-06-26

D/A

$150,000.00

Yes

$0.00

ESTIMATED BASED ON EXPECTED ANNUAL FUNDRAISE OF THE ISSUER AND METI TE FEEDER, L.P. EXCLUDES ANY AMOUNTS PAID DIRECTLY BY INVESTORS AS SUCH AMOUNTS ARE UNKNOWN TO THE ISSUER.

2026-06-25

D/A

$8,240,524.00

Yes

$0.00

Yes

2026-06-25

D/A

$2,404,059.00

Yes

$0.00

Yes

2026-06-24

D/A

$2,228,846.00

Yes

$0.00

SALES COMMISSIONS REPORTED ARE THOSE PAID THROUGH MAY, 2025.

2026-06-23

D/A

$9,472,030.00

Yes

$0.00

IM PAYS UP TO 30% OF MGT FEES TO SELLING AGENTS-SEE ITEM 12. CURRENT OFFERING BEGAN PRIOR TO 3/15/09; ITEM 15 REFLECTS INFO FROM SUCH DATE. CERTAIN ENTITIES LISTED IN ITEM 12 ARE NO LONGER REGISTERED BROKER-DEALERS + THEREFORE RECEIVE NO COMMISSIONS.

2026-06-23

D/A

$1,531,804.00

Yes

$0.00

2026-06-22

D/A

$5,210,513.00

$0.00

2026-06-18

D/A

$516,936.00

$0.00

INCLUDES ONLY SALES COMMISSIONS AND FINDERS- FEES EXPENSES PAID BY THE ISSUER, IF ANY.

2026-06-16

D/A

$14,000,000.00

Yes

$0.00

FCF AND FWS ACT AS PLACEMENT AGENTS, BUT NONE OF FCF, FWS NOR THEIR REGISTERED REPS ARE RECEIVING ANY SALES COMMISSIONS, FINDERS- FEES OR OTHER REMUNERATION FROM THE ISSUER FOR ACTING IN SUCH CAPACITY. EST. SALES COMMISSIONS MAY BE PAYABLE TO MSSB.

2026-06-11

D/A

$42,479,000.00

Yes

$0.00

SALES COMMISSION INCLUDES ESTIMATED SALES COMMISSION RELATING TO STRATEGIC PARTNERS X L.P. AND STRATEGIC PARTNERS OFFSHORE X L.P.

2026-06-11

D/A

$42,479,000.00

Yes

$0.00

SALES COMMISSION INCLUDES ESTIMATED SALES COMMISSION RELATING TO STRATEGIC PARTNERS OFFSHORE X L.P. AND STRATEGIC PARTNERS X L.P.

2026-06-01

D/A

$0.00

2026-06-01

D/A

$0.00

2026-05-29

D/A

$0.00

Yes

$0.00

THE PLACEMENT AGENTS LISTED IN ITEM 12 SHALL BE PAID A FEE BASED ON A FEE SCHEDULE. THESE FEES ARE OFFSET AGAINST THE MANAGEMENT FEES PAYABLE BY THE ISSUER.

2026-05-29

D/A

$0.00

Yes

$0.00

THE PLACEMENT AGENTS LISTED IN ITEM 12 SHALL BE PAID A FEE BASED ON A FEE SCHEDULE. THESE FEES ARE OFFSET AGAINST THE MANAGEMENT FEES PAYABLE BY THE ISSUER.

2026-05-28

D/A

$527,890.00

Yes

$0.00

2026-05-28

D/A

$0.00

NO COMMISSION PAID BY ISSUER; HOWEVER ITEM 12 ENTITIES ARE PAID BY GENERAL PARTNER (OR ITS AFFILIATE) COMMISSIONS OR SIMILAR SALES COMPENSATION EQUAL TO A PERCENTAGE OF FEES PAID BY ISSUER TO GENERAL PARTNER (OR ITS AFFILIATE) FROM ASSETS UNDER MANAGEMENT

2026-05-27

D/A

$68,759.00

Yes

$0.00

SALES COMMISSIONS REFLECT ESTIMATED FEES PAID IN CALENDAR YEAR 2025 AND THEREAFTER.

2026-05-27

D/A

$676,317.00

Yes

$0.00

SALES COMMISSIONS REFLECT ESTIMATED FEES PAID IN CALENDAR YEAR 2025 AND THEREAFTER.

2026-05-27

D/A

$15,374.00

Yes

$0.00

SALES COMMISSIONS REFLECT ESTIMATED FEES PAID IN CALENDAR YEAR 2025 AND THEREAFTER.

2026-05-26

D/A

$0.00

CERTAIN PRIVATE PLACEMENT CLIENTS OF MORGAN STANLEY, SMITH BARNEY, LLC ("MSSB") ARE REQUIRED TO PAY (I) AN UPFRONT PLACEMENT FEE TO MSSB AND (II) AN ANNUAL ONGOING FEE TO THE FUND (WHICH IS THEN PAID TO MSSB).

2026-05-22

D/A

$0.00

SALE COMMISSIONS AND/OR FINDERS- FEES MAY OR MAY NOT BE RECEIVED IN CONNECTION WITH THE OFFERING.

2026-05-22

D/A

$0.00

SALE COMMISSIONS AND/OR FINDERS- FEES MAY OR MAY NOT BE RECEIVED IN CONNECTION WITH THE OFFERING.

2026-05-22

$260,000.00

Yes

$0.00

CERTAIN PRIVATE PLACEMENT CLIENTS OF MORGAN STANLEY SMITH BARNEY LLC ("MSSB") WILL PAY A STRUCTURING FEE TO THE FUND, A PORTION OF WHICH IS THEN PAID TO MSSB, WHICH IS REFLECTED IN THIS ITEM 15.

2026-05-22

D/A

$16,169,514.00

Yes

$0.00

Yes

SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF THE UPFRONT SALES LOAD THAT MAY BE PAID FOR THE ENTIRE OFFERING.

2026-05-18

D/A

$12,000,000.00

Yes

$0.00

THIS FIGURE IS AGGREGATE ACROSS COLLER INTERNATIONAL PARTNERS - A, L.P. AND OTHER VEHICLES COMPRISING COLLER INTERNATIONAL PARTNERS IX.

2026-05-18

D/A

$12,000,000.00

Yes

$0.00

THIS FIGURE IS AGGREGATE ACROSS COLLER INTERNATIONAL PARTNERS - C, SLP AND OTHER VEHICLES COMPRISING COLLER INTERNATIONAL PARTNERS IX.

2026-05-18

D/A

$12,000,000.00

Yes

$0.00

THIS FIGURE IS AGGREGATE ACROSS COLLER GP-LED + DIRECT SECONDARIES - A, L.P. AND OTHER VEHICLES COMPRISING THE COLLER GP-LED + DIRECT SECONDARIES FUND.

2026-05-18

D/A

$12,000,000.00

Yes

$0.00

THIS FIGURE IS AGGREGATE ACROSS COLLER INTERNATIONAL PARTNERS - B, L.P. AND OTHER VEHICLES COMPRISING COLLER INTERNATIONAL PARTNERS IX.

2026-05-18

D/A

$12,000,000.00

Yes

$0.00

THIS FIGURE IS AGGREGATE ACROSS COLLER GP-LED + DIRECT SECONDARIES - B, L.P. AND OTHER VEHICLES COMPRISING THE COLLER GP-LED + DIRECT SECONDARIES FUND.

2026-05-18

D/A

$12,000,000.00

Yes

$0.00

THIS FIGURE IS AGGREGATE ACROSS COLLER LP SECONDARIES - B, L.P. AND OTHER VEHICLES COMPRISING THE COLLER LP SECONDARIES FUND.

2026-05-18

D/A

$12,000,000.00

Yes

$0.00

THIS FIGURE IS AGGREGATE ACROSS COLLER LP SECONDARIES - A, L.P. AND OTHER VEHICLES COMPRISING THE COLLER LP SECONDARIES FUND.

2026-05-15

D/A

$152,668,741.00

Yes

$0.00

AS OF 4/30/26

2026-05-15

D/A

$15,000,000.00

Yes

$0.00

A PORTION OF THE ESTIMATED SALES COMMISSIONS INCLUDES SALES BY PARALLEL FUNDS.

2026-05-15

D/A

$15,000,000.00

Yes

$0.00

A PORTION OF THE ESTIMATED SALES COMMISSIONS INCLUDES SALES BY PARALLEL FUNDS.

2026-05-15

D/A

$15,000,000.00

Yes

$0.00

A PORTION OF THE ESTIMATED SALES COMMISSIONS INCLUDES SALES BY PARALLEL FUNDS.

2026-05-12

D/A

$3,805,959.00

Yes

$0.00

THE GENERAL PARTNER OF THE ISSUER NO LONGER COMPENSATES AMD, UMB OR SENDERO FOR SALES GOING FORWARD, BUT CONTINUES TO PAY A PORTION OF MANAGEMENT FEES AND INCENTIVE ALLOCATION FOR SALES MADE PRIOR TO THE TERMINATION OF THEIR RESPECTIVE AGREEMENTS.

2026-05-12

D/A

$3,827,093.00

Yes

$0.00

THE SPONSOR OF THE ISSUER NO LONGER COMPENSATES AMD, UMB OR SENDERO FOR SALES GOING FORWARD, BUT CONTINUES TO PAY A PORTION OF MANAGEMENT FEES AND INCENTIVE ALLOCATION FOR SALES MADE PRIOR TO THE TERMINATION OF THEIR RESPECTIVE AGREEMENTS.

2026-05-12

D/A

$10,859,497.00

Yes

$0.00

2026-05-11

$4,000,000.00

$0.00

2026-05-08

D/A

$16,169,514.00

Yes

$0.00

Yes

SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF THE UPFRONT SALES LOAD THAT MAY BE PAID FOR THE ENTIRE OFFERING.

2026-05-06

D/A

$12,500,000.00

Yes

$0.00

THE INVESTMENT MANAGER OF THE ISSUER SHARES A PORTION OF ITS MANAGEMENT FEE RECEIVED FROM THE ISSUER WITH ONE OR MORE OF THE ISSUER-S PLACEMENT AGENTS. SUCH PLACEMENT AGENTS MAY RECEIVE OTHER FEES (E.G., SALES LOADS) PAYABLE DIRECTLY TO

2026-05-05

D/A

$0.00

2026-05-05

D/A

$0.00

2026-05-01

D/A

$277,500.00

Yes

$0.00

2026-05-01

D/A

$277,500.00

Yes

$0.00

2026-04-24

D/A

$16,169,514.00

Yes

$0.00

Yes

SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF THE UPFRONT SALES LOAD THAT MAY BE PAID FOR THE ENTIRE OFFERING.

2026-04-22

D/A

$576,997.00

$0.00

2026-04-22

D/A

$7,584,906.00

Yes

$0.00

Yes

2026-04-22

D/A

$1,494,539.00

$0.00

2026-04-16

$0.00

SALE COMMISSIONS AND/OR FINDERS- FEES MAY OR MAY NOT BE RECEIVED IN CONNECTION WITH THE OFFERING.

2026-04-15

D/A

$8,379.00

$0.00

2026-04-15

D/A

$55,784.00

$0.00

2026-04-15

D/A

$0.00

2026-04-15

D/A

$0.00

2026-04-15

$0.00

2026-04-14

D/A

$110,000.00

Yes

$0.00

THE AMOUNT OF THE SALES COMMISSION IS ESTIMATED FOR THE ISSUER AND ITS RELATED VEHICLES AND REPRESENTS AN ESTIMATE OF THE TOTAL FEES TO BE PAID TO THE ENTITY LISTED IN ITEM 12 ABOVE.

2026-04-14

D/A

$797,250.00

Yes

$0.00

THE AMOUNT OF THE SALES COMMISSION IS ESTIMATED FOR THE ISSUER AND ITS RELATED VEHICLES AND REPRESENTS AN ESTIMATE OF THE TOTAL FEES TO BE PAID TO THE ENTITY LISTED IN ITEM 12 ABOVE.

2026-04-14

D/A

$18,778,919.00

Yes

$0.00

2026-04-13

$3,834,380.00

Yes

$0.00

FEES ARE BASED ON PROJECTED AMOUNTS SOLD AND ESTIMATED BASED ON EXPECTED SIZE OF OFFERING OF ISSUER AND CVC-PE GLOBAL PRIVATE EQUITY FUND (TE), L.P. COMMISSIONS PAID DIRECTLY BY INVESTORS TO INTERMEDIARIES ARE UNKNOWN TO ISSUER AND ARE EXCLUDED.

2026-04-13

$3,834,380.00

Yes

$0.00

FEES ARE BASED ON PROJECTED AMOUNTS SOLD AND ESTIMATED BASED ON EXPECTED SIZE OF OFFERING OF ISSUER AND CVC-PE GLOBAL PRIVATE EQUITY FUND, L.P. COMMISSIONS PAID DIRECTLY BY INVESTORS TO INTERMEDIARIES ARE UNKNOWN TO ISSUER AND ARE EXCLUDED.

2026-04-10

D/A

$42,000,000.00

Yes

$0.00

2026-04-10

D/A

$16,169,514.00

Yes

$0.00

Yes

SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF THE UPFRONT SALES LOAD THAT MAY BE PAID FOR THE ENTIRE OFFERING.

2026-04-09

D/A

$38,000,000.00

Yes

$0.00

THIS ESTIMATE INCLUDES FEES WHICH MAY BE PAYABLE DURING THE NEXT 12 MONTHS.

2026-04-09

D/A

$67,000,000.00

Yes

$0.00

THE ESTIMATE INCLUDES FEES WHICH MAY BE PAYABLE DURING THE NEXT 12 MONTHS.

2026-04-09

D/A

$2,000,000.00

Yes

$0.00

THE ESTIMATE INCLUDES AMOUNTS WHICH MAY BE PAYABLE IN THE NEXT 12 MONTHS.

2026-04-09

D/A

$500,000.00

Yes

$0.00

THE ESTIMATE INCLUDES AMOUNTS THAT MAY BE PAYABLE IN THE NEXT 12 MONTHS.

2026-04-07

D/A

$1,611,850.00

Yes

$0.00

ESTIMATE INCLUDES FEES THAT MAY BE PAID OVER THE NEXT 12 MONTHS.

2026-04-02

D/A

$15,243,780.00

$0.00

2026-04-01

D/A

$5,000,000.00

Yes

$0.00

FEES ARE BASED ON PROJECTED AMOUNTS SOLD AND ESTIMATED FOR THIS FILING AND ON EXPECTED SIZE OF OFFERING OF ISSUER AND VISTAONE (TE), L.P. COMMISSIONS PAID DIRECTLY BY INVESTORS TO INTERMEDIARIES ARE UNKNOWN TO ISSUER AND NOT INCLUDED IN ESTIMATED AMOUNT.

2026-04-01

D/A

$5,000,000.00

Yes

$0.00

FEES ARE BASED ON PROJECTED AMOUNTS SOLD AND ESTIMATED FOR THIS FILING AND ON EXPECTED SIZE OF OFFERING OF ISSUER AND VISTAONE L.P. COMMISSIONS PAID DIRECTLY BY INVESTORS TO INTERMEDIARIES ARE UNKNOWN TO ISSUER AND NOT INCLUDED IN ESTIMATED AMOUNT.

2026-04-01

D/A

$0.00

NO SALES COMMISSIONS HAVE BEEN PAID.

2026-03-26

D/A

$493,229.00

$0.00

INCLUDES ONLY SALES COMMISSIONS AND FINDERS- FEES EXPENSES PAID BY THE ISSUER, IF ANY.

2026-03-25

D/A

$0.00

$19,002,555.00

THIS INCLUDES COMPENSATION PAID IN RELATION TO THE SALE OF SHARES IN THE ISSUER.

2026-03-25

D/A

$0.00

$35,389,183.00

THIS INCLUDES COMPENSATION PAID IN RELATION TO THE SALE OF SHARES IN THE ISSUER.

2026-03-25

D/A

$0.00

NO SALES COMMISSIONS WILL BE RECEIVED OR PAID BY THE ISSUER OR RELATED PERSONS.

2026-03-23

D/A

$0.00

Yes

THE PERSONS/FIRMS LISTED IN ITEM 12 RECEIVE CERTAIN FEES, INCLUDING A PERCENTAGE OF THE MANAGEMENT FEES AND/OR PERFORMANCE ALLOCATIONS.

2026-03-23

D/A

$0.00

Yes

THE PERSONS/FIRMS LISTED IN ITEM 12 RECEIVE CERTAIN FEES, INCLUDING A PERCENTAGE OF THE MANAGEMENT FEES AND/OR PERFORMANCE ALLOCATIONS.

2026-03-23

D/A

$462,081.00

Yes

$0.00

2026-03-23

D/A

$103,193.00

Yes

$0.00

Yes

2026-03-18

D/A

$137,000,000.00

Yes

$0.00

THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.

2026-03-18

D/A

$5,200,000.00

Yes

$0.00

THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.

2026-03-18

D/A

$112,000,000.00

Yes

$0.00

THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.

2026-03-18

D/A

$0.00

WITH RESPECT TO CLASS F-D, F-S, G-D AND G-S SHARES, UPFRONT SELLING COMMISSIONS AND PLACEMENT FEES OF UP TO 3.0% OF TRANSACTION PRICE MAY BE CHARGED AT THE DISCRETION OF THE INTERMEDIARY. THE ISSUER IS NOT ABLE TO ESTIMATE THE AMOUNT OF SUCH COMMISSIONS.

2026-03-17

D/A

$19,000,000.00

Yes

$0.00

THE ESTIMATE INCLUDES AMOUNTS WHICH MAY BE PAYABLE IN THE NEXT 12 MONTHS.

2026-03-17

D/A

$7,713,863.00

Yes

$0.00

IM PAYS UP TO 30% OF MGT FEES TO SELLING AGENTS-SEE ITEM 12. CURRENT OFFERING BEGAN PRIOR TO 3/15/09; ITEM 15 REFLECTS INFO FROM SUCH DATE. CERTAIN ENTITIES LISTED IN ITEM 12 DO NOT ACT AS BROKER-DEALERS FOR THE ISSUER + THEREFORE RECEIVE NO COMMISSIONS.

2026-03-13

D/A

$5,034,595.00

Yes

$0.00

2026-03-13

D/A

$3,620,968.00

Yes

$0.00

2026-03-13

D/A

$40,000,000.00

Yes

$0.00

2026-03-11

$0.00

2026-03-11

D/A

$14,830,189.00

Yes

$0.00

Yes

SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF THE UPFRONT SALES LOAD THAT MAY BE PAID FOR THE ENTIRE OFFERING.

2026-03-11

$51,178,310.00

$0.00

2026-03-11

$46,982,918.00

$0.00

2026-03-10

D/A

$0.00

SALE COMMISSIONS AND/OR FINDERS- FEES MAY OR MAY NOT BE RECEIVED IN CONNECTION WITH THE OFFERING.

2026-03-10

D/A

$5,638,710.00

Yes

$0.00

Yes

SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SALES COMMISSIONS AND DEALER MANAGER FEES THAT MAY BE PAID.

2026-03-10

D/A

$14,726,849.00

$0.00

2026-03-06

D/A

$6,460,401.00

$0.00

2026-03-06

D/A

$0.00

2026-03-06

D/A

$4,447,150.00

$0.00

2026-03-06

D/A

$286,876.00

$0.00

2026-03-05

D/A

$60,000.00

Yes

$0.00

2026-03-05

D/A

$800,000.00

Yes

$0.00

2026-03-05

D/A

$0.00

2026-03-05

D/A

$300,000.00

Yes

$0.00

2026-03-05

D/A

$1,300,000.00

Yes

$0.00

2026-03-05

$1,050,565.00

$0.00

2026-03-04

D/A

$0.00

$78,168,131.00

THE TOTAL DOLLAR AMOUNT OF FINDERS- FEES REFLECTS THE TOTAL AMOUNT PAID TO UBS AND MSSB FROM INCEPTION TO DATE.

2026-03-04

D/A

$0.00

$29,276,825.00

THE TOTAL DOLLAR AMOUNT OF FINDERS- FEES REFLECTS THE TOTAL AMOUNT PAID TO UBS + MSSB FROM INCEPTION TO DATE

2026-03-04

D/A

$0.00

EACH RECIPIENT DISCLOSED IN ITEM 12 WILL RECEIVE CERTAIN INTRODUCTION, PLACEMENT OR SERVICING FEES, AS APPLICABLE, WITH RESPECT TO CLIENTS REFERRED OR INTRODUCED TO THE ISSUER, AS DISCLOSED TO THEIR RESPECTIVE APPLICABLE CLIENTS.

2026-03-04

D/A

$0.00

2026-03-02

D/A

$24,057,851.00

Yes

$0.00

Yes

2026-02-27

D/A

$26,977,961.00

Yes

$0.00

Yes

2026-02-24

D/A

$0.00

THE INVESTMENT MANAGER MAY PAY TO CERTAIN INSTITUTIONS PROVIDING PLATFORM AND/OR DISTRIBUTIONS A PORTION OF ITS MANAGEMENT FEES AND/OR A FEE EQUAL TO A PORTION OF THE GROSS AMOUNT OF NEW ASSETS CONTRIBUTED TO THE FUND THROUGH SUCH PLATFORM.

2026-02-24

D/A

$0.00

THE INVESTMENT MANAGER MAY PAY TO CERTAIN INSTITUTIONS PROVIDING PLATFORM AND/OR DISTRIBUTION SERVICES A PORTION OF ITS MANAGEMENT FEES AND/OR A FEE EQUAL TO A PORTION OF THE GROSS AMOUNT OF NEW ASSETS CONTRIBUTED TO THE FUND THROUGH SUCH PLATFORM.

2026-02-19

D/A

$14,830,189.00

Yes

$0.00

Yes

SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF THE UPFRONT SALES LOAD THAT MAY BE PAID FOR THE ENTIRE OFFERING.

2026-02-17

D/A

$0.00

2026-02-13

D/A

$5,638,710.00

Yes

$0.00

Yes

SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SALES COMMISSIONS AND DEALER MANAGER FEES THAT MAY BE PAID.

2026-02-10

D/A

$0.00

Yes

$0.00

FIRMS LISTED IN ITEM 12 RECEIVE FEES FROM THE INVESTMENT MANAGER AND/OR GENERAL PARTNER CALCULATED AS A PERCENTAGE OF THEIR MANAGEMENT FEES AND/OR PERFORMANCE ALLOCATIONS, AS APPLICABLE, FOR INVESTORS INTRODUCED BY THE APPLICABLE FIRM

2026-02-10

D/A

$0.00

Yes

$0.00

FIRMS LISTED IN ITEM 12 RECEIVE FEES FROM THE INVESTMENT MANAGER AND/OR GENERAL PARTNER OF THE MASTER FUND CALCULATED AS A PERCENTAGE OF THEIR MANAGEMENT FEES AND/OR PERFORMANCE ALLOCATIONS, AS APPLICABLE, FOR INVESTORS INTRODUCED BY THE APPLICABLE FIRM

2026-02-06

D/A

$2,923,303.00

Yes

$0.00

2026-02-06

D/A

$266,894.00

Yes

$0.00

2026-02-06

D/A

$10,000,000.00

Yes

$0.00

2026-02-06

D/A

$10,000,000.00

Yes

$0.00

2026-02-06

D/A

$11,750,000.00

Yes

$0.00

Yes

THE FIGURE DISCLOSED ABOVE REFLECTS ESTIMATED MAXIMUM AMOUNT AND IS SUBJECT TO FUTURE CONTINGENCIES.

2026-02-06

D/A

$10,000,000.00

Yes

$0.00

ESTIMATE BASED ON EXPECTED ANNUAL FUNDRAISE OF THE ISSUER AND TPG PRIVATE EQUITY OPPORTUNITIES, L.P. EXCLUDES ANY AMOUNTS PAID DIRECTLY BY INVESTORS AS SUCH AMOUNTS ARE UNKNOWN TO THE ISSUER.

2026-02-05

D/A

$0.00

Yes

$0.00

Yes

PLACEMENT AGENT FEES TO BE PAID BASED UPON A FEE SCHEDULE. SUCH FEES ARE OFFSET AGAINST THE MANAGEMENT FEES PAYABLE BY THE ISSUER.

2026-02-05

D/A

$0.00

Yes

$0.00

Yes

PLACEMENT AGENT FEES TO BE PAID BASED UPON A FEE SCHEDULE. SUCH FEES ARE OFFSET AGAINST THE MANAGEMENT FEES PAYABLE BY THE ISSUER.

2026-02-05

$0.00

2026-02-05

D/A

$0.00

2026-02-05

D/A

$14,830,189.00

Yes

$0.00

Yes

SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF THE UPFRONT SALES LOAD THAT MAY BE PAID FOR THE ENTIRE OFFERING.

2026-02-03

D/A

$0.00

SALE COMMISSIONS AND/OR FINDERS- FEES MAY OR MAY NOT BE RECEIVED IN CONNECTION WITH THE OFFERING.

2026-02-03

D/A

$0.00

SALE COMMISSIONS AND/OR FINDERS- FEES MAY OR MAY NOT BE RECEIVED IN CONNECTION WITH THE OFFERING.

2026-02-03

D/A

$0.00

SALE COMMISSIONS AND/OR FINDERS- FEES MAY OR MAY NOT BE RECEIVED IN CONNECTION WITH THE OFFERING.

2026-02-03

D/A

$0.00

CERTAIN INVESTORS ARE REQUIRED TO PAY (I) AN UPFRONT PLACEMENT FEE AND/OR (II) AN ONGOING ANNUAL FEE TO THE PLACEMENT AGENT.

2026-01-27

D/A

$1,228,963.00

Yes

$0.00

THE ISSUER-S INVESTMENT MANAGER COMPENSATES THE PLACEMENT AGENTS. SUCH COMPENSATION MAY INCLUDE, BUT IS NOT LIMITED TO, FIXED FEES, A PORTION OF THE INVESTMENT MANAGER-S MANAGEMENT FEE, AND/OR A PORTION OF (CONTINUED IN CLARIFICATION BOX ITEM #16)

2026-01-26

D/A

$0.00

2026-01-26

D/A

$0.00

2026-01-20

D/A

$14,830,189.00

Yes

$0.00

Yes

SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF THE UPFRONT SALES LOAD THAT MAY BE PAID FOR THE ENTIRE OFFERING.

2026-01-16

D/A

$1,466,449.00

$0.00

MORGAN STANLEY SMITH BARNEY LLC WILL RECEIVE CERTAIN PLACEMENT AND SERVICING FEES WITH RESPECT TO CLIENTS IT REFERS TO THE ISSUER, AS DISCLOSED TO THE APPLICABLE CLIENTS.

2026-01-16

D/A

$0.00

SALE COMMISSIONS AND/OR FINDERS- FEES MAY OR MAY NOT BE RECEIVED IN CONNECTION WITH THE OFFERING.

2026-01-16

D/A

$23,100,000.00

Yes

$0.00

ESTIMATE BASED ON EXPECTED ANNUAL FUNDRAISE OF THE ISSUER AND BLACKSTONE INFRASTRUCTURE STRATEGIES (TE) L.P. EXCLUDES ANY AMOUNTS PAID DIRECTLY BY INVESTORS AS SUCH AMOUNTS ARE UNKNOWN TO THE ISSUER.

2026-01-16

D/A

$71,300,000.00

Yes

$0.00

ESTIMATE BASED ON EXPECTED ANNUAL FUNDRAISE OF THE ISSUER AND BLACKSTONE PRIVATE EQUITY STRATEGIES FUND (TE) L.P. EXCLUDES ANY AMOUNTS PAID DIRECTLY BY INVESTORS AS SUCH AMOUNTS ARE UNKNOWN TO THE ISSUER.

2026-01-16

D/A

$23,100,000.00

Yes

$0.00

ESTIMATE BASED ON EXPECTED ANNUAL FUNDRAISE OF THE ISSUER AND BLACKSTONE INFRASTRUCTURE STRATEGIES L.P. EXCLUDES ANY AMOUNTS PAID DIRECTLY BY INVESTORS AS SUCH AMOUNTS ARE UNKNOWN TO THE ISSUER.

2026-01-16

D/A

$71,300,000.00

Yes

$0.00

ESTIMATE BASED ON EXPECTED ANNUAL FUNDRAISE OF THE ISSUER AND BLACKSTONE PRIVATE EQUITY STRATEGIES FUND L.P. EXCLUDES ANY AMOUNTS PAID DIRECTLY BY INVESTORS AS SUCH AMOUNTS ARE UNKNOWN TO THE ISSUER.

2026-01-15

D/A

$0.00

$45,095,245.00

Yes

2026-01-15

D/A

$0.00

$1,965,004.00

Yes

2026-01-15

D/A

$0.00

$964,059.00

Yes

2026-01-15

D/A

$0.00

$10,769,700.00

Yes

2026-01-13

D/A

$9,100,000.00

Yes

$0.00

2026-01-06

D/A

$0.00

2026-01-06

D/A

$0.00

2026-01-06

D/A

$2,674,794.00

Yes

$0.00

SALES COMMISSIONS ARE PAID BY ENERGY INCOME PARTNERS, LLC, NOT THE ISSUER.

2026-01-05

D/A

$36,800,000.00

Yes

$0.00

2025-12-29

D/A

$5,149,978.00

$0.00

2025-12-29

D/A

$12,043,830.00

$0.00

2025-12-29

D/A

$738,015.00

$0.00

2025-12-29

D/A

$1,087,753.00

$0.00

2025-12-23

D/A

$267,333.00

$0.00

2025-12-23

D/A

$267,333.00

$0.00

2025-12-23

D/A

$267,333.00

$0.00

2025-12-22

D/A

$0.00

2025-12-19

D/A

$0.00

2025-12-19

D/A

$14,830,189.00

Yes

$0.00

Yes

SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF THE UPFRONT SALES LOAD THAT MAY BE PAID FOR THE ENTIRE OFFERING.

2025-12-19

D/A

$0.00

Yes

$0.00

Yes

MORGAN STANLEY SMITH BARNEY LLC MAY BE PAID A PLACEMENT FEE, BUT THE AMOUNT CANNOT BE ESTIMATED AT THIS TIME.

2025-12-18

D/A

$6,103,526.00

Yes

$0.00

INCLUDES AMOUNTS PAID FOR SOLICITATION OUTSIDE OF THE UNITED STATES.

2025-12-18

D/A

$905,102.00

Yes

$0.00

Yes

PLACEMENT FEE

2025-12-18

D/A

$0.00

Yes

$0.00

Yes

PLACEMENT AGENT FEES TO BE PAID BASED UPON A FEE SCHEDULE. SUCH FEES ARE OFFSET DOLLAR-FOR-DOLLAR AGAINST THE MANAGEMENT FEES BORNE BY THE ISSUER.

2025-12-18

D/A

$0.00

Yes

$0.00

Yes

THE ISSUER IS A FEEDER FUND FOR ARCTOS AMERICAN FOOTBALL FUND, LP (THE "FUND"). PLACEMENT AGENT FEES TO BE PAID BASED UPON A FEE SCHEDULE. SUCH FEES ARE OFFSET DOLLAR-FOR-DOLLAR AGAINST THE MANAGEMENT FEES BORNE BY THE FUND.

2025-12-17

D/A

$10,324,052.00

$0.00

THE ISSUER-S ADVISOR, AN AFFILIATE, PAYS FROM ITS OWN RESOURCES (INCLUDING FROM AMOUNTS DISCLOSED IN ITEM 16) SALES COMPENSATION TO FINANCIAL INTERMEDIARIES WHO ASSIST WITH THE ISSUER-S PRIVATE PLACEMENT OF INTERESTS IN THE ESTIMATED ANNUAL AMOUNT ABOVE.

2025-12-17

D/A

$2,059,554.00

Yes

$0.00

2025-12-17

D/A

$27,872,286.00

Yes

$0.00

2025-12-16

D/A

$51,943,567.00

$0.00

THE INVESTMENT MANAGER OF THE ISSUER OR AN AFFILIATE THEREOF ULTIMATELY BEARS THE FULL AMOUNT OF SUCH SALES COMMISSIONS, AS DISCLOSED IN THE ISSUER-S OFFERING MATERIALS.

2025-12-16

D/A

$51,943,567.00

$0.00

THE INVESTMENT MANAGER OF THE ISSUER OR AN AFFILIATE THEREOF ULTIMATELY BEARS THE FULL AMOUNT OF SUCH SALES COMMISSIONS, AS DISCLOSED IN THE ISSUER-S OFFERING MATERIALS.

2025-12-16

D/A

$0.00

ANY COMMISSION ARE PAID FROM A POTENTIAL INVESTOR DIRECTLY TO SUCH FINANCIAL INTERMEDIARIES IN AMOUNTS THAT ARE IN THE DISCRETION OF THE FINANCIAL INTERMEDIARIES AND THE COMPANY IS NOT ABLE TO ESTIMATE THE AMOUNT OF COMMISSIONS.

2025-12-11

D/A

$1,886,250.00

Yes

$0.00

2025-12-11

D/A

$1,886,250.00

Yes

$0.00

2025-12-10

$96,029,555.00

$0.00

2025-12-10

D/A

$5,219,354.00

Yes

$0.00

Yes

SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT FEES THAT MAY BE PAID.

2025-12-09

D/A

$22,925,000.00

Yes

$0.00

2025-12-08

$40,869,078.00

Yes

$0.00

THE SALES COMMISSIONS IN ITEM 15 REFLECTS THE TOTAL SALES COMMISSIONS (WHICH ARE INCLUSIVE OF, BUT NOT LIMITED TO SALES COMMISSIONS, SERVICING FEES, ETC.). THE ABOVE NUMBER IS MEANT TO BE A GENERAL ESTIMATE.

2025-12-04

$0.00

NO SALE COMMISSIONS WILL BE RECEIVED OR PAID BY THE ISSUER OR RELATED PERSONS.

2025-12-03

D/A

$0.00

Yes

$0.00

Yes

SALE COMMISSIONS AND/OR FINDERS- FEES ARE EXPECTED TO BE PAID IN CONNECTION WITH THE OFFERING TO CERTAIN INVESTORS, IN THE FORM OF CERTAIN UPFRONT AND ANNUAL PAYMENTS CALCULATED BASED ON CAPITAL COMMITMENTS AND/OR INVESTED CAPITAL OF CERTAIN INVESTORS.

2025-12-03

D/A

$0.00

Yes

$0.00

Yes

2025-12-03

$0.00

SALE COMMISSIONS AND/OR FINDERS- FEES MAY OR MAY NOT BE RECEIVED IN CONNECTION WITH THE OFFERING.

2025-12-01

$11,632,059.00

$0.00

2025-12-01

$4,867,719.00

$0.00

2025-12-01

$2,378,394.00

Yes

$0.00

2025-11-28

D/A

$420,000.00

Yes

$0.00

ESTIMATE BASED ON EXPECTED ANNUAL FUNDRAISE OF THE ISSUER AND BROOKFIELD PRIVATE EQUITY TE FEEDER FUND LP. EXCLUDES ANY AMOUNTS PAID DIRECTLY BY INVESTORS AS SUCH AMOUNTS ARE UNKNOWN TO THE ISSUER.

2025-11-26

D/A

$990,986.00

Yes

$0.00

2025-11-26

D/A

$513,011.00

Yes

$0.00

2025-11-26

D/A

$0.00

ANY COMMISSIONS ARE PAID FROM A POTENTIAL INVESTOR DIRECTLY TO SUCH FINANCIAL INTERMEDIARIES IN AMOUNTS THAT ARE IN THE DISCRETION OF THE FINANCIAL INTERMEDIARIES AND THE ISSUER IS NOT ABLE TO ESTIMATE THE AMOUNT OF SUCH COMMISSIONS.

2025-11-25

D/A

$2,055,005.00

$0.00

2025-11-25

D/A

$0.00

2025-11-21

$0.00

Yes

$0.00

2025-11-21

$0.00

Yes

$0.00

2025-11-21

D/A

$0.00

2025-11-19

D/A

$4,000,000.00

Yes

$0.00

2025-11-13

D/A

$468,552.00

$0.00

INCLUDES ONLY SALES COMMISSIONS AND FINDERS- FEES EXPENSES PAID BY THE ISSUER, IF ANY.

2025-11-10

$0.00

NO SALES COMMISSIONS WILL BE RECEIVED OR PAID BY THE ISSUER OR RELATED PERSONS.

2025-11-06

D/A

$10,479,639.00

Yes

$0.00

Yes

2025-11-06

D/A

$0.00

CERTAIN PRIVATE PLACEMENT CLIENTS OF MORGAN STANLEY ("MS") ARE REQUIRED TO PAY (I) AN UPFRONT PLACEMENT FEE TO MS AND (II) AN ANNUAL ONGOING FEE TO THE FUND (WHICH IS THEN PAID TO MS).

2025-11-06

D/A

$0.00

CERTAIN PRIVATE PLACEMENT CLIENTS OF MORGAN STANLEY ("MS") ARE REQUIRED TO PAY (I) AN UPFRONT PLACEMENT FEE TO MS AND (II) AN ANNUAL ONGOING FEE TO THE FUND (WHICH IS THEN PAID TO MS).

2025-10-28

D/A

$0.00

2025-10-28

D/A

$0.00

2025-10-28

D/A

$0.00

2025-10-28

D/A

$0.00

2025-10-28

D/A

$0.00

2025-10-28

D/A

$0.00

2025-10-27

D/A

$0.00

2025-10-27

D/A

$0.00

2025-10-27

D/A

$0.00

SALES COMP PAID BY INS. CO. OUT OF ITS OWN RESOURCES. THE COMPANY PERIODICALLY DEDUCTS INS. + OTHER CONTRACT CHARGES FROM AMOUNTS ALLOCATED TO THE SEPARATE ACCOUNT ISSUER IN ACCORDANCE WITH THE TERMS OF THE APPLICABLE VARIABLE LIFE INS CONTRACT.

2025-10-24

D/A

$0.00

SALES COMMISSIONS AND/OR FINDERS- FEES MAY OR MAY NOT BE RECEIVED IN CONNECTION WITH THE OFFERING.

2025-10-24

D/A

$0.00

ANY COMMISSIONS ARE PAID FROM A POTENTIAL INVESTOR DIRECTLY TO THE FINANCIAL INTERMEDIARIES IN AMOUNTS THAT ARE IN THE DISCRETION OF THE FINANCIAL INTERMEDIARIES AND THE ISSUER IS NOT ABLE TO ESTIMATE THE AMOUNT OF SUCH COMMISSIONS.

2025-10-24

D/A

$12,150,000.00

Yes

$0.00

SALES COMMISSIONS INCLUDES SALES COMMISSION RELATING TO PARALLEL FUNDS.

2025-10-22

D/A

$31,000,000.00

Yes

$0.00

2025-10-21

D/A

$0.00

Yes

$0.00

2025-10-21

D/A

$0.00

Yes

$0.00

CERTAIN PRIVATE PLACEMENT CLIENTS OF MORGAN STANLEY SMITH BARNEY LLC ("MSSB") ARE REQUIRED TO PAY (I) AN UPFRONT PLACEMENT FEE TO MSSB AND (II) AN ANNUAL ONGOING FEE TO THE FUND (WHICH IS THEN PAID TO MSSB).

2025-10-21

D/A

$27,100,000.00

Yes

$0.00

Yes

AMOUNT LISTED IN ITEM 15 ARE ESTIMATED AND INCLUDE AMOUNTS IN RESPECT OF THE ISSUER-S RELATED ENTITIES.

2025-10-20

D/A

$21,774,105.00

Yes

$0.00

Yes

2025-10-17

D/A

$1,150,000.00

Yes

$0.00

Yes

PLACEMENT AGENT FEES ARE TO BE PAID ACCORDING TO AN ESTABLISHED FEE SCHEDULE.

2025-10-17

D/A

$1,150,000.00

Yes

$0.00

Yes

PLACEMENT AGENT FEES ARE TO BE PAID ACCORDING TO AN ESTABLISHED FEE SCHEDULE.

2025-10-14

D/A

$5,219,354.00

Yes

$0.00

Yes

SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT FEES THAT MAY BE PAID.

2025-10-10

D/A

$60,400,000.00

Yes

$0.00

2025-10-10

D/A

$60,400,000.00

Yes

$0.00

ESTIMATE BASED ON EXPECTED ANNUAL FUNDRAISE OF THE ISSUER AND BLACKSTONE PRIVATE EQUITY STRATEGIES FUND L.P. EXCLUDES ANY AMOUNTS PAID DIRECTLY BY INVESTORS AS SUCH AMOUNTS ARE UNKNOWN TO THE ISSUER.

2025-10-08

D/A

$22,925,000.00

Yes

$0.00

2025-10-07

D/A

$0.00

2025-10-07

D/A

$0.00

CERTAIN INVESTORS ARE REQUIRED TO PAY (I) AN UPFRONT PLACEMENT FEE AND/OR (II) AN ONGOING ANNUAL FEE TO THE PLACEMENT AGENT.

2025-10-03

D/A

$5,219,354.00

Yes

$0.00

Yes

SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT FEES THAT MAY BE PAID.

2025-10-03

D/A

$387,405.00

Yes

$0.00

2025-09-19

D/A

$5,219,354.00

Yes

$0.00

Yes

SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT FEES THAT MAY BE PAID.

2025-09-18

D/A

$44,000.00

Yes

$0.00

2025-09-18

$0.00

Yes

$0.00

2025-09-18

$0.00

Yes

$0.00

2025-09-17

D/A

$8,497,818.00

Yes

$0.00

Yes

2025-09-17

D/A

$0.00

Yes

$0.00

Yes

THE ENTITIES IN ITEM 12 WILL EACH RECEIVE A FEE FOR CERTAIN INVESTORS INVESTING IN THE ISSUER AND/OR AN AFFILIATED FUND OF THE ISSUER IN AN AMOUNT EQUAL TO A PERCENTAGE OF SUCH INVESTORS- COMMITMENTS TO THE ISSUER AND/OR AN AFFILIATED FUND OF THE ISSUER.

2025-09-17

D/A

$0.00

Yes

$0.00

Yes

2025-09-17

D/A

$0.00

Yes

$0.00

Yes

2025-09-17

D/A

$0.00

Yes

$0.00

Yes

2025-09-17

D/A

$0.00

Yes

$0.00

Yes

2025-09-16

D/A

$0.00

2025-09-16

D/A

$0.00

2025-09-15

$0.00

Yes

$0.00

2025-09-12

D/A

$0.00

THE ISSUER HAS ENTERED INTO AGREEMENTS WITH THE PERSONS DISCLOSED IN ITEM 12 PURSUANT TO WHICH COMMISSIONS ON APPROVED INVESTORS SHALL BE PAID TO THE REGISTERED BROKER-DEALERS.

2025-09-12

D/A

$6,256,741.00

Yes

$0.00

THE ISSUER-S INVESTMENT MANAGER OR THE GENERAL PARTNER COMPENSATES THE PLACEMENT AGENTS. SUCH COMPENSATION MAY INCLUDE, BUT IS NOT LIMITED TO, FIXED FEES, A PORTION OF THE INVESTMENT MANAGER-S MANAGEMENT FEE,(CONTINUED IN CLARIFICATION BOX ITEM #16)

2025-09-12

D/A

$2,292,842.00

Yes

$0.00

2025-09-12

D/A

$3,970,716.00

Yes

$0.00

2025-09-12

D/A

$6,172,045.00

Yes

$0.00

2025-09-09

D/A

$0.00

PLACEMENT AGENT FEES ARE TO BE PAID WITH RESPECT TO SPECIFIED INVESTORS ON AN ESTABLISHED FEE SCHEDULE.

2025-09-08

D/A

$606,359.00

Yes

$0.00

THE COMMISSIONS REPORTED ARE THOSE PAID DURING THE TIME PERIOD OF JULY 1, 2024 THROUGH JUNE 30, 2025.

2025-09-05

D/A

$425,000.00

Yes

$0.00

THE ESTIMATE INCLUDES FEES THAT MAY BE PAYABLE DURING THE NEXT 12 MONTHS

2025-09-05

D/A

$1,600,000.00

Yes

$0.00

THE ESTIMATE INCLUDES AMOUNTS THAT MAY BE PAYABLE IN THE NEXT 12 MONTHS.

2025-09-04

D/A

$5,219,354.00

Yes

$0.00

Yes

SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT FEES THAT MAY BE PAID.

2025-09-03

D/A

$56,000,000.00

Yes

$0.00

Yes

THE FIGURE ABOVE INCLUDES ESTIMATED AMOUNTS EXPECTED TO BE PAID TO PLACEMENT AGENTS IN THE NEXT 12 MONTHS BASED ON PROJECTED SALES AND COMMISSION RATES.

2025-08-27

D/A

$0.00

2025-08-26

D/A

$0.00

Yes

$0.00

SALES COMMISSIONS AND/OR FINDERS- FEES MAY OR MAY NOT BE RECEIVED IN CONNECTION WITH THE OFFERING.

2025-08-26

D/A

$0.00

Yes

$0.00

SALES COMMISSIONS AND/OR FINDERS- FEES MAY OR MAY NOT BE RECEIVED IN CONNECTION WITH THE OFFERING.

2025-08-26

D/A

$0.00

Yes

$0.00

SALES COMMISSIONS AND/OR FINDERS- FEES MAY OR MAY NOT BE RECEIVED IN CONNECTION WITH THE OFFERING.

2025-08-19

D/A

$12,771,777.00

Yes

$0.00

Yes

2025-08-15

D/A

$0.00

2025-08-14

D/A

$32,000,000.00

Yes

$0.00

THE AMOUNT OF THE SALES COMMISSION IS ESTIMATED FOR THE ISSUER AND ITS RELATED VEHICLES AND REPRESENTS AN ESTIMATE OF THE TOTAL FEES.

2025-08-14

D/A

$32,000,000.00

Yes

$0.00

THE AMOUNT OF THE SALES COMMISSION IS ESTIMATED FOR THE ISSUER AND ITS RELATED VEHICLES AND REPRESENTS AN ESTIMATE OF THE TOTAL FEES.

2025-08-14

D/A

$0.00

SALE COMMISSIONS AND/OR FINDERS- FEES MAY OR MAY NOT BE RECEIVED IN CONNECTION WITH THE OFFERING.

2025-08-13

D/A

$78,177.00

Yes

$0.00

2025-08-11

D/A

$1,416,855.00

$112,909.00

Yes

2025-08-11

D/A

$2,174,550.00

$166,015.00

Yes

2025-08-11

D/A

$5,219,354.00

Yes

$0.00

Yes

SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT FEES THAT MAY BE PAID.

2025-08-08

D/A

$36,700,000.00

Yes

$0.00

THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS. CREDIT SUISSE SECURITIES (USA) LLC IS THE FORMER FIRM OF THE INDIVIDUALS LISTED IN ITEM 12.

2025-08-08

D/A

$115,000,000.00

Yes

$0.00

THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.

2025-08-08

D/A

$5,266,481.00

Yes

$0.00

2025-08-08

D/A

$6,547,746.00

Yes

$0.00

2025-08-07

D/A

$445,751.00

$0.00

INCLUDES ONLY SALES COMMISSIONS AND FINDERS- FEES EXPENSES PAID BY THE ISSUER, IF ANY.

2025-08-04

D/A

$0.00

2025-08-01

D/A

$27,800,000.00

Yes

$0.00

AMOUNTS LISTED IN ITEM 15 ARE ESTIMATED AND INCLUDE AMOUNTS IN RESPECT OF THE ISSUER-S RELATED ENTITIES.

2025-07-31

D/A

$5,219,354.00

Yes

$0.00

Yes

SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT FEES THAT MAY BE PAID.

2025-07-31

D/A

$3,586,110.00

$0.00

2025-07-30

D/A

$0.00

CERTAIN PRIVATE PLACEMENT CLIENTS OF MORGAN STANLEY SMITH BARNEY, LLC ("MSSB") ARE REQUIRED TO PAY (I) AN UPFRONT PLACEMENT FEE TO MSSB AND (II) AN ANNUAL ONGOING FEE TO THE FUND (WHICH IS THEN PAID TO MSSB).

2025-07-30

D/A

$0.00

2025-07-28

D/A

$11,791,593.00

Yes

$0.00

2025-07-28

D/A

$5,434,222.00

$0.00

2025-07-25

D/A

$0.00

NO SALES COMMISSIONS WILL BE RECEIVED OR PAID BY THE ISSUER OR RELATED PERSONS.

2025-07-23

$0.00

THE ENTITIES IN ITEM 12 ACT AS PLACEMENT AGENTS FOR THE ISSUER, BUT NEITHER THEY NOR THEIR REGISTERED REPS ARE RECEIVING ANY SALES COMMISSION, FINDERS- FEES, OR OTHER REMUNERATION FROM THE ISSUER FOR ACTING IN SUCH CAPACITY IN THIS OFFERING.

2025-07-23

$0.00

2025-07-23

D/A

$0.00

2025-07-23

D/A

$0.00

2025-07-22

D/A

$3,756,280.00

Yes

$0.00

COMMISSIONS ARE ONLY RECEIVED BY BROKER-DEALERS IN STATES WHERE THEY ARE LICENSED.

2025-07-22

D/A

$0.00

2025-07-21

D/A

$15,000,000.00

Yes

$0.00

SALES COMMISSIONS INCLUDE SALES COMMISSIONS RELATING TO VISTRIA HOUSING FUND, LP; VISTRIA HOUSING FUND F-2, LP; VHF CLOSED 2024, LLC AND TVG REAL ESTATE AFFILIATES, LP.

2025-07-17

D/A

$0.00

2025-07-17

D/A

$0.00

SALE COMMISSIONS AND/OR FINDERS- FEES MAY OR MAY NOT BE RECEIVED IN CONNECTION WITH THE OFFERING.

2025-07-15

D/A

$8,900,000.00

Yes

$0.00

Yes

2025-07-15

D/A

$0.00

2025-07-15

D/A

$13,700,000.00

Yes

$0.00

Yes

THE INDIVIDUALS LISTED IN ITEM 12 ABOVE ARE PAID DIRECTLY OR INDIRECTLY COMMISSIONS OR SIMILAR SALES COMPENSATION EQUAL TO A PERCENTAGE OF THE FEE PAID TO THE GENERAL PARTNER FROM THE ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION.

2025-07-15

D/A

$0.00

Yes

$0.00

Yes

2025-07-15

D/A

$5,998,697.00

Yes

$0.00

Yes

SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT FEES THAT MAY BE PAID.

2025-07-14

D/A

$1,500,000.00

Yes

$0.00

2025-07-14

D/A

$26,702,881.00

Yes

$0.00

THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.

2025-07-11

D/A

$53,000,000.00

Yes

$0.00

2025-07-11

D/A

$17,700,000.00

Yes

$0.00

ESTIMATE BASED ON EXPECTED ANNUAL FUNDRAISE OF THE ISSUER AND BLACKSTONE INFRASTRUCTURE STRATEGIES L.P. EXCLUDES ANY AMOUNTS PAID DIRECTLY BY INVESTORS AS SUCH AMOUNTS ARE UNKNOWN TO THE ISSUER.

2025-07-11

D/A

$53,000,000.00

Yes

$0.00

ESTIMATE BASED ON EXPECTED ANNUAL FUNDRAISE OF THE ISSUER AND BLACKSTONE PRIVATE EQUITY STRATEGIES FUND L.P. EXCLUDES ANY AMOUNTS PAID DIRECTLY BY INVESTORS AS SUCH AMOUNTS ARE UNKNOWN TO THE ISSUER.

2025-07-11

D/A

$17,700,000.00

Yes

$0.00

ESTIMATE BASED ON EXPECTED ANNUAL FUNDRAISE OF THE ISSUER AND BLACKSTONE INFRASTRUCTURE STRATEGIES (TE) L.P. EXCLUDES ANY AMOUNTS PAID DIRECTLY BY INVESTORS AS SUCH AMOUNTS ARE UNKNOWN TO THE ISSUER.

2025-07-10

D/A

$12,537,455.00

$0.00

2025-07-07

$2,500,000.00

Yes

$0.00

THE SALES COMMISSION IS PAYABLE TO THE INVESTMENT BANKER LISTED IN 12 ABOVE.

2025-07-02

D/A

$2,541,168.00

Yes

$0.00

EACH INVESTOR PAYS UP TO 3% OF ITS AGGREGATE INVESTMENT TO AGENT UPFRONT, IN ADDITION TO ANY AMOUNTS INVESTED IN THE FUND. GENERAL PARTNER PAYS AGENT A PORTION OF THE FEES PAID TO IT BY THE FUND ON AN ONGOING BASIS.

2025-06-27

D/A

$6,716,165.00

Yes

$0.00

Yes

2025-06-27

D/A

$1,984,348.00

Yes

$0.00

Yes

2025-06-23

D/A

$8,973,544.00

Yes

$0.00

2025-06-23

D/A

$1,399,670.00

Yes

$0.00

2025-06-20

D/A

$5,210,513.00

$0.00

2025-06-20

D/A

$3,156,473.00

Yes

$0.00

SALES COMMISSIONS REPORTED ARE THOSE PAID THROUGH MAY, 2025.

2025-06-16

D/A

$13,000,000.00

Yes

$0.00

2025-06-10

D/A

$11,791,593.00

Yes

$0.00

2025-06-04

D/A

$0.00

Yes

$0.00

Yes

2025-06-04

D/A

$0.00

Yes

$0.00

Yes

2025-06-02

D/A

$0.00

Yes

$0.00

Yes

2025-06-02

D/A

$0.00

Yes

$0.00

Yes

2025-06-02

D/A

$0.00

Yes

$0.00

Yes

2025-06-02

D/A

$0.00

Yes

$0.00

Yes

2025-06-02

D/A

$0.00

Yes

$0.00

Yes

2025-05-30

D/A

$0.00

2025-05-30

$165,000.00

$0.00

2025-05-30

D/A

$0.00

2025-05-28

D/A

$21,774,105.00

Yes

$0.00

Yes

2025-05-27

D/A

$11,791,593.00

Yes

$0.00

2025-05-22

D/A

$0.00

SALE COMMISSIONS AND/OR FINDERS- FEES MAY OR MAY NOT BE RECEIVED IN CONNECTION WITH THE OFFERING.

2025-05-22

D/A

$0.00

SALE COMMISSIONS AND/OR FINDERS- FEES MAY OR MAY NOT BE RECEIVED IN CONNECTION WITH THE OFFERING.

2025-05-22

D/A

$423,650.00

$0.00

INCLUDES ONLY SALES COMMISSIONS AND FINDERS- FEES EXPENSES PAID BY THE ISSUER, IF ANY.

2025-05-15

D/A

$142,549,034.00

Yes

$0.00

2025-05-15

D/A

$32,112,965.00

Yes

$5,466,425.00

Yes

THE PLACEMENT AGENTS IN ITEM 12 WILL BE APPORTIONED A FEE BASED ON CERTAIN COMMITMENTS RAISED. VERITAS CAPITAL SECURITIES, L.L.C. ("VCS") IS A REGISTERED BROKER-DEALER AFFILIATE OF ISSUER; NO SALES COMPENSATION WILL BE PAYABLE TO VCS OR ITS PERSONNEL.

2025-05-12

D/A

$10,160,585.00

Yes

$0.00

2025-05-12

D/A

$3,609,200.00

Yes

$0.00

2025-05-12

D/A

$11,791,593.00

Yes

$0.00

2025-05-12

D/A

$3,751,001.00

Yes

$0.00

2025-05-06

D/A

$11,500,000.00

Yes

$0.00

2025-05-05

D/A

$0.00

2025-05-05

D/A

$0.00

2025-04-29

D/A

$11,791,593.00

Yes

$0.00

2025-04-23

D/A

$17,675,000.00

Yes

$0.00

2025-04-21

D/A

$17,380,165.00

Yes

$0.00

Yes

2025-04-17

D/A

$5,243,375.00

Yes

$0.00

Yes

2025-04-16

D/A

$5,852.00

$0.00

2025-04-16

D/A

$37,789.00

$0.00

2025-04-15

D/A

$0.00

2025-04-14

D/A

$0.00

2025-04-14

D/A

$0.00

2025-04-11

D/A

$3,759,280.00

Yes

$0.00

COMMISSIONS ARE ONLY RECEIVED BY BROKER-DEALERS IN STATES WHERE THEY ARE LICENSED.

2025-04-11

D/A

$37,800,000.00

Yes

$0.00

2025-04-11

D/A

$103,193.00

Yes

$0.00

Yes

2025-04-10

D/A

$6,800,000.00

Yes

$0.00

THE ESTIMATE INCLUDES AMOUNTS WHICH MAY BE PAYABLE IN THE NEXT 12 MONTHS.

2025-04-10

D/A

$54,000,000.00

Yes

$0.00

THE ESTIMATE INCLUDES FEES WHICH MAY BE PAYABLE DURING THE NEXT 12 MONTHS.

2025-04-10

D/A

$1,250,000.00

Yes

$0.00

THE ESTIMATE INCLUDES AMOUNTS WHICH MAY BE PAYABLE IN THE NEXT 12 MONTHS.

2025-04-10

D/A

$32,000,000.00

Yes

$0.00

THIS ESTIMATE INCLUDES FEES WHICH MAY BE PAYABLE DURING THE NEXT 12 MONTHS.

2025-04-09

D/A

$5,998,697.00

Yes

$0.00

Yes

SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT FEES THAT MAY BE PAID.

2025-04-08

D/A

$1,329,318.00

$0.00

2025-04-08

D/A

$121,848.00

$0.00

2025-04-08

D/A

$44,500,000.00

Yes

$0.00

2025-04-08

D/A

$44,500,000.00

Yes

$0.00

ESTIMATE BASED ON EXPECTED ANNUAL FUNDRAISE OF THE ISSUER AND BLACKSTONE PRIVATE EQUITY STRATEGIES FUND L.P. EXCLUDES ANY AMOUNTS PAID DIRECTLY BY INVESTORS AS SUCH AMOUNTS ARE UNKNOWN TO THE ISSUER.

2025-04-08

D/A

$10,000,000.00

Yes

$0.00

ESTIMATE BASED ON EXPECTED ANNUAL FUNDRAISE OF THE ISSUER AND BLACKSTONE INFRASTRUCTURE STRATEGIES L.P. EXCLUDES ANY AMOUNTS PAID DIRECTLY BY INVESTORS AS SUCH AMOUNTS ARE UNKNOWN TO THE ISSUER.

2025-04-08

D/A

$10,000,000.00

Yes

$0.00

ESTIMATE BASED ON EXPECTED ANNUAL FUNDRAISE OF THE ISSUER AND BLACKSTONE INFRASTRUCTURE STRATEGIES (TE) L.P. EXCLUDES ANY AMOUNTS PAID DIRECTLY BY INVESTORS AS SUCH AMOUNTS ARE UNKNOWN TO THE ISSUER.

2025-04-07

D/A

$1,451,743.00

Yes

$0.00

ESTIMATE INCLUDES FEES THAT MAY BE PAID OVER THE NEXT 12 MONTHS.

2025-04-04

D/A

$21,700,000.00

Yes

$0.00

AMOUNT LISTED IN ITEM 15 ARE ESTIMATED AND INCLUDE AMOUNTS IN RESPECT OF THE ISSUER-S RELATED ENTITIES.

2025-04-04

D/A

$21,700,000.00

Yes

$0.00

AMOUNT LISTED IN ITEM 15 ARE ESTIMATED AND INCLUDE AMOUNTS IN RESPECT OF THE ISSUER-S RELATED ENTITIES.

2025-04-04

D/A

$21,700,000.00

Yes

$0.00

AMOUNT LISTED IN ITEM 15 ARE ESTIMATED AND INCLUDE AMOUNTS IN RESPECT OF THE ISSUER-S RELATED ENTITIES.

2025-04-04

D/A

$21,700,000.00

Yes

$0.00

AMOUNT LISTED IN ITEM 15 ARE ESTIMATED AND INCLUDE AMOUNTS IN RESPECT OF THE ISSUER-S RELATED ENTITIES.

2025-04-04

D/A

$21,700,000.00

Yes

$0.00

AMOUNT LISTED IN ITEM 15 ARE ESTIMATED AND INCLUDE AMOUNTS IN RESPECT OF THE ISSUER-S RELATED ENTITIES.

2025-04-04

D/A

$21,700,000.00

Yes

$0.00

AMOUNT LISTED IN ITEM 15 ARE ESTIMATED AND INCLUDE AMOUNTS IN RESPECT OF THE ISSUER-S RELATED ENTITIES.

2025-04-04

D/A

$21,700,000.00

Yes

$0.00

AMOUNT LISTED IN ITEM 15 ARE ESTIMATED AND INCLUDE AMOUNTS IN RESPECT OF THE ISSUER-S RELATED ENTITIES.

2025-04-04

D/A

$21,700,000.00

Yes

$0.00

AMOUNT LISTED IN ITEM 15 ARE ESTIMATED AND INCLUDE AMOUNTS IN RESPECT OF THE ISSUER-S RELATED ENTITIES.

2025-04-04

D/A

$21,700,000.00

Yes

$0.00

AMOUNT LISTED IN ITEM 15 ARE ESTIMATED AND INCLUDE AMOUNTS IN RESPECT OF THE ISSUER-S RELATED ENTITIES.

2025-04-04

D/A

$21,700,000.00

Yes

$0.00

AMOUNT LISTED IN ITEM 15 ARE ESTIMATED AND INCLUDE AMOUNTS IN RESPECT OF THE ISSUER-S RELATED ENTITIES.

2025-04-04

D/A

$21,700,000.00

Yes

$0.00

AMOUNT LISTED IN ITEM 15 ARE ESTIMATED AND INCLUDE AMOUNTS IN RESPECT OF THE ISSUER-S RELATED ENTITIES.

2025-04-04

D/A

$21,700,000.00

Yes

$0.00

AMOUNT LISTED IN ITEM 15 ARE ESTIMATED AND INCLUDE AMOUNTS IN RESPECT OF THE ISSUER-S RELATED ENTITIES.

2025-04-04

D/A

$21,700,000.00

Yes

$0.00

AMOUNT LISTED IN ITEM 15 ARE ESTIMATED AND INCLUDE AMOUNTS IN RESPECT OF THE ISSUER-S RELATED ENTITIES.

2025-04-04

D/A

$21,700,000.00

Yes

$0.00

AMOUNT LISTED IN ITEM 15 ARE ESTIMATED AND INCLUDE AMOUNTS IN RESPECT OF THE ISSUER-S RELATED ENTITIES.

2025-04-04

D/A

$21,700,000.00

Yes

$0.00

AMOUNT LISTED IN ITEM 15 ARE ESTIMATED AND INCLUDE AMOUNTS IN RESPECT OF THE ISSUER-S RELATED ENTITIES.

2025-04-01

D/A

$6,687,697.00

Yes

$0.00

Yes

2025-04-01

D/A

$6,431,004.00

Yes

$0.00

Yes

2025-04-01

D/A

$0.00

NO SALES COMMISSIONS HAVE BEEN PAID.

2025-03-27

D/A

$5,998,697.00

Yes

$0.00

Yes

SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT FEES THAT MAY BE PAID.

2025-03-26

$0.00

$15,875,090.00

THIS INCLUDES COMPENSATION PAID IN RELATION TO THE SALE OF SHARES IN THE ISSUER.

2025-03-26

$0.00

$29,649,865.00

THIS INCLUDES COMPENSATION PAID IN RELATION TO THE SALE OF SHARES IN THE ISSUER.

2025-03-25

D/A

$11,047,052.00

Yes

$0.00

2025-03-21

D/A

$0.00

Yes

THE PERSONS/FIRMS LISTED IN ITEM 12 RECEIVE CERTAIN FEES, INCLUDING A PERCENTAGE OF THE MANAGEMENT FEES AND/OR PERFORMANCE ALLOCATIONS.

2025-03-21

D/A

$0.00

Yes

THE PERSONS/FIRMS LISTED IN ITEM 12 RECEIVE CERTAIN FEES, INCLUDING A PERCENTAGE OF THE MANAGEMENT FEES AND/OR PERFORMANCE ALLOCATIONS.

2025-03-17

D/A

$1,286,880.00

Yes

$0.00

2025-03-17

D/A

$11,761,000.00

Yes

$0.00

THE ESTIMATE INCLUDES AMOUNTS WHICH MAY BE PAYABLE IN THE NEXT 12 MONTHS.

2025-03-17

D/A

$7,109,231.00

Yes

$0.00

2025-03-17

D/A

$140,925,000.00

Yes

$0.00

THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.

2025-03-17

D/A

$4,211,000.00

Yes

$0.00

THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.

2025-03-17

D/A

$112,210,000.00

Yes

$0.00

THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.

2025-03-14

D/A

$37,000,000.00

Yes

$0.00

2025-03-14

D/A

$5,998,697.00

Yes

$0.00

Yes

SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT FEES THAT MAY BE PAID.

2025-03-13

D/A

$1,879,445.00

Yes

$0.00

2025-03-13

D/A

$1,286,880.00

Yes

$0.00

2025-03-13

D/A

$11,750,000.00

Yes

$0.00

Yes

THE FIGURE DISCLOSED ABOVE REFLECTS ESTIMATED MAXIMUM AMOUNT AND IS SUBJECT TO FUTURE CONTINGENCIES.

2025-03-12

D/A

$51,176,870.00

$0.00

2025-03-12

D/A

$23,609,419.00

$0.00

2025-03-10

D/A

$6,344,096.00

$0.00

2025-03-10

D/A

$0.00

2025-03-10

D/A

$4,380,887.00

$0.00

2025-03-10

D/A

$218,301.00

$0.00

2025-03-10

D/A

$4,000,971.00

$0.00

2025-03-07

D/A

$0.00

SALE COMMISSIONS AND/OR FINDERS- FEES MAY OR MAY NOT BE RECEIVED IN CONNECTION WITH THE OFFERING.

2025-03-06

D/A

$5,889,678.00

Yes

$0.00

PAYMENT WILL BE MADE IN QUARTERLY INSTALLMENTS

2025-03-06

D/A

$3,135,085.00

Yes

$0.00

2025-03-05

D/A

$240,000.00

Yes

$0.00

2025-03-03

D/A

$1,678,639.00

$0.00

2025-03-03

D/A

$1,678,639.00

$0.00

2025-03-03

D/A

$1,678,639.00

$0.00

2025-03-03

D/A

$1,678,639.00

$0.00

2025-03-03

D/A

$1,678,639.00

$0.00

2025-03-03

D/A

$1,678,639.00

$0.00

2025-03-03

D/A

$1,678,639.00

$0.00

2025-02-28

D/A

$0.00

$74,829,650.00

THE TOTAL DOLLAR AMOUNT OF FINDERS- FEES REFLECTS THE TOTAL AMOUNT PAID TO UBS AND MSSB FROM INCEPTION TO DATE.

2025-02-28

D/A

$0.00

$28,365,700.00

THE TOTAL DOLLAR AMOUNT OF FINDERS- FEES REFLECTS THE TOTAL AMOUNT PAID TO UBS + MSSB FROM INCEPTION TO DATE

2025-02-26

D/A

$12,719,008.00

Yes

$0.00

Yes

2025-02-24

D/A

$0.00

2025-02-24

D/A

$0.00

2025-02-21

D/A

$0.00

2025-02-21

D/A

$0.00

2025-02-14

D/A

$0.00

Yes

$0.00

Yes

2025-02-14

D/A

$0.00

Yes

$0.00

Yes

2025-02-13

D/A

$403,951.00

$0.00

INCLUDES ONLY SALES COMMISSIONS AND FINDERS- FEES EXPENSES PAID BY THE ISSUER, IF ANY.

2025-02-11

D/A

$5,243,375.00

Yes

$0.00

Yes

2025-02-11

D/A

$11,047,052.00

Yes

$0.00

2025-02-11

D/A

$3,661,529.00

Yes

$0.00

2025-02-11

D/A

$3,661,530.00

Yes

$0.00

2025-02-10

D/A

$0.00

Yes

$0.00

2025-02-10

D/A

$0.00

Yes

$0.00

2025-02-10

D/A

$5,998,697.00

Yes

$0.00

Yes

SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT FEES THAT MAY BE PAID.

2025-02-04

D/A

$3,756,280.00

Yes

$0.00

COMMISSIONS ARE ONLY RECEIVED BY BROKER-DEALERS IN STATES WHERE THEY ARE LICENSED.

2025-02-03

D/A

$0.00

SALE COMMISSIONS AND/OR FINDERS- FEES MAY OR MAY NOT BE RECEIVED IN CONNECTION WITH THE OFFERING.

2025-02-03

D/A

$0.00

SALE COMMISSIONS AND/OR FINDERS- FEES MAY OR MAY NOT BE RECEIVED IN CONNECTION WITH THE OFFERING.

2025-02-03

D/A

$0.00

SALE COMMISSIONS AND/OR FINDERS- FEES MAY OR MAY NOT BE RECEIVED IN CONNECTION WITH THE OFFERING.

2025-01-30

D/A

$1,118,674.00

Yes

$0.00

2025-01-27

D/A

$11,047,052.00

Yes

$0.00

2025-01-27

D/A

$3,661,529.00

Yes

$0.00

2025-01-27

D/A

$3,661,530.00

Yes

$0.00

2025-01-24

D/A

$5,998,697.00

Yes

$0.00

Yes

SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT FEES THAT MAY BE PAID.

2025-01-23

D/A

$0.00

2025-01-23

D/A

$0.00

2025-01-21

D/A

$1,466,449.00

$0.00

MORGAN STANLEY SMITH BARNEY LLC WILL RECEIVE CERTAIN PLACEMENT AND SERVICING FEES WITH RESPECT TO CLIENTS IT REFERS TO THE ISSUER, AS DISCLOSED TO THE APPLICABLE CLIENTS.

2025-01-21

D/A

$61,413.00

Yes

$0.00

ANY SUCH FEES ARE ONLY TO BE PAID UPON THE SALE OF INTERESTS TO CERTAIN INVESTORS (BASED UPON A FEE SCHEDULE). SUCH AMOUNTS HAVE NOT YET BEEN FINALIZED.

2025-01-16

$0.00

SALE COMMISSIONS AND/OR FINDERS- FEES MAY OR MAY NOT BE RECEIVED IN CONNECTION WITH THE OFFERING.

2025-01-15

D/A

$0.00

$8,286,352.00

Yes

BROKER-DEALER RECEIVES A PORTION OF THE ANNUAL MANAGEMENT FEES AND PERFORMANCE-BASED COMPENSATION (IF ANY) ASSOCIATED WITH THE INVESTOR-S INVESTMENT.

2025-01-15

D/A

$0.00

$39,176,803.00

Yes

BROKER-DEALER RECEIVES A PORTION OF THE ANNUAL MANAGEMENT FEES AND PERFORMANCE-BASED COMPENSATION (IF ANY) ASSOCIATED WITH THE INVESTOR-S INVESTMENT.

2025-01-15

D/A

$0.00

$1,443,446.00

2025-01-15

D/A

$657,199.00

$0.00

2025-01-13

D/A

$6,600,000.00

Yes

$0.00

2025-01-13

D/A

$2,568,652.00

Yes

$0.00

SALES COMMISSIONS ARE PAID BY ENERGY INCOME PARTNERS, LLC, NOT THE ISSUER.

2025-01-10

D/A

$5,998,697.00

Yes

$0.00

Yes

SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT FEES THAT MAY BE PAID.

2025-01-08

$0.00

IA PAYS BD FEES FOR REFERRING INVESTORS; OTHER FEES MAY BE PAYABLE DIRECTLY TO THE BD BY INVESTORS IN THE FUND.

2025-01-07

D/A

$3,661,530.00

Yes

$0.00

2025-01-07

D/A

$3,661,529.00

Yes

$0.00

2025-01-03

D/A

$33,500,000.00

Yes

$0.00

2025-01-03

D/A

$2,850,000.00

Yes

$0.00

SALES COMMISSIONS INCLUDE SALES COMMISSIONS RELATING TO STRATEGIC PARTNERS OFFSHORE INFRASTRUCTURE IV L.P.

2025-01-03

D/A

$2,850,000.00

Yes

$0.00

SALES COMMISSION INCLUDES SALES COMMISSION RELATING TO STRATEGIC PARTNERS INFRASTRUCTURE IV L.P.

2025-01-03

D/A

$0.00

2025-01-03

D/A

$0.00

2025-01-02

D/A

$5,243,375.00

Yes

$0.00

Yes

2024-12-30

D/A

$0.00

Yes

$0.00

Yes

AMOUNTS TO BE PAID TO CERTAIN RECIPIENTS LISTED IN ITEM 12 (SALES COMPENSATION) WILL BE DETERMINED BASED ON A PERCENTAGE OF CAPITAL COMMITMENTS FROM CERTAIN LIMITED PARTNERS AND WILL BE PAID BY ARES MANAGEMENT LLC, THE SOLE MEMBER OF THE MANAGER.

2024-12-30

D/A

$0.00

Yes

$0.00

Yes

2024-12-30

D/A

$0.00

Yes

$0.00

Yes

2024-12-30

D/A

$344,063.00

$0.00

SALES COMMISSIONS REPRESENTS TOTAL FEES EXPECTED TO BE PAID TO PLACEMENT AGENT AS A RESULT OF THE SALES OF INTERESTS TO DATE.

2024-12-30

D/A

$700,000.00

$0.00

SALES COMMISSIONS REPRESENTS TOTAL FEES EXPECTED TO BE PAID TO PLACEMENT AGENT AS A RESULT OF THE SALES OF INTERESTS TO DATE.

2024-12-26

D/A

$0.00

2024-12-23

D/A

$9,471,286.00

$0.00

2024-12-23

D/A

$3,661,529.00

Yes

$0.00

2024-12-23

D/A

$3,661,530.00

Yes

$0.00

2024-12-20

D/A

$0.00

2024-12-20

D/A

$0.00

2024-12-20

D/A

$5,243,375.00

Yes

$0.00

Yes

2024-12-18

D/A

$0.00

2024-12-17

D/A

$41,107,486.00

Yes

$0.00

Yes

THE INVESTMENT MANAGER OF THE ISSUER OR AN AFFILIATE THEREOF ULTIMATELY BEARS THE FULL AMOUNT OF SUCH SALES COMMISSIONS, AS DISCLOSED IN THE ISSUER-S OFFERING MATERIALS.

2024-12-17

D/A

$41,107,486.00

Yes

$0.00

Yes

THE INVESTMENT MANAGER OF THE ISSUER OR AN AFFILIATE THEREOF ULTIMATELY BEARS THE FULL AMOUNT OF SUCH SALES COMMISSIONS, AS DISCLOSED IN THE ISSUER-S OFFERING MATERIALS.

2024-12-17

D/A

$16,232,211.00

Yes

$0.00

2024-12-17

D/A

$16,232,211.00

Yes

$0.00

2024-12-17

D/A

$16,232,211.00

Yes

$0.00

2024-12-17

$98,449,428.00

$0.00

2024-12-16

D/A

$5,243,375.00

Yes

$0.00

Yes

2024-12-12

D/A

$2,187,500.00

Yes

$0.00

A PORTION OF THE ESTIMATED SALES AND COMMISSIONS INCLUDE SALES BY PARALLEL FUNDS AND/OR FEEDER FUNDS.

2024-12-09

D/A

$3,661,530.00

Yes

$0.00

2024-12-09

D/A

$3,661,529.00

Yes

$0.00

2024-12-04

D/A

$2,044,888.00

Yes

$0.00

2024-12-04

D/A

$5,243,375.00

Yes

$0.00

Yes

2024-11-29

D/A

$427,500.00

$0.00

SALES COMMISSIONS REPRESENTS TOTAL FEES EXPECTED TO BE PAID TO PLACEMENT AGENT AS A RESULT OF THE SALES OF INTERESTS TO DATE.

2024-11-29

D/A

$230,938.00

$0.00

SALES COMMISSIONS REPRESENTS TOTAL FEES EXPECTED TO BE PAID TO PLACEMENT AGENT AS A RESULT OF THE SALES OF INTERESTS TO DATE.

2024-11-26

D/A

$0.00

2024-11-26

D/A

$0.00

2024-11-26

D/A

$3,549,469.00

Yes

$0.00

2024-11-26

D/A

$3,549,469.00

Yes

$0.00

2024-11-26

D/A

$3,661,530.00

Yes

$0.00

2024-11-26

D/A

$3,661,529.00

Yes

$0.00

2024-11-25

D/A

$365,625.00

$0.00

2024-11-25

D/A

$683,125.00

$0.00

2024-11-21

D/A

$35,000,000.00

Yes

$0.00

THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS. CREDIT SUISSE SECURITIES (USA) LLC IS THE FORMER FIRM OF THE INDIVIDUALS LISTED IN ITEM 12.

2024-11-21

D/A

$112,500,000.00

Yes

$0.00

THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.

2024-11-21

D/A

$0.00

2024-11-20

D/A

$5,243,375.00

Yes

$0.00

Yes

2024-11-19

D/A

$1,910,895.00

$0.00

2024-11-15

D/A

$5,243,375.00

Yes

$0.00

Yes

2024-11-14

D/A

$385,263.00

$0.00

INCLUDES ONLY SALES COMMISSIONS AND FINDERS- FEES EXPENSES PAID BY THE ISSUER, IF ANY.

2024-11-12

D/A

$0.00

2024-11-12

D/A

$3,661,529.00

Yes

$0.00

2024-11-12

D/A

$3,661,530.00

Yes

$0.00

2024-11-08

D/A

$9,627,410.00

$0.00

2024-11-08

D/A

$5,243,375.00

Yes

$0.00

Yes

2024-11-07

D/A

$0.00

2024-11-07

D/A

$0.00

2024-11-06

D/A

$0.00

2024-11-06

D/A

$0.00

2024-11-05

D/A

$2,485,573.00

Yes

$0.00

COMMISSIONS ARE ONLY RECEIVED BY BROKER-DEALERS IN STATES WHERE THEY ARE LICENSED.

2024-11-05

D/A

$3,549,469.00

Yes

$0.00

2024-11-05

D/A

$3,549,469.00

Yes

$0.00

2024-10-31

D/A

$0.00

2024-10-31

D/A

$0.00

2024-10-29

D/A

$5,243,375.00

Yes

$0.00

Yes

2024-10-29

D/A

$41,900,000.00

Yes

$0.00

SALES COMMISSION ESTIMATE IS BASED ON THE EXPECTED SIZE OF THE OFFERING OF THE ISSUER AND BLACKSTONE PRIVATE EQUITY STRATEGIES FUND (TE) L.P. FOR ONE YEAR.

2024-10-29

D/A

$41,900,000.00

Yes

$0.00

SALES COMMISSION ESTIMATE IS BASED ON THE EXPECTED SIZE OF THE OFFERING OF THE ISSUER AND BLACKSTONE PRIVATE EQUITY STRATEGIES FUND L.P. FOR ONE YEAR.

2024-10-28

D/A

$0.00

2024-10-28

D/A

$0.00

2024-10-28

D/A

$0.00

2024-10-28

D/A

$0.00

2024-10-28

D/A

$0.00

2024-10-28

D/A

$0.00

2024-10-28

D/A

$5,243,375.00

Yes

$0.00

Yes

2024-10-28

D/A

$3,661,529.00

Yes

$0.00

2024-10-28

D/A

$3,661,530.00

Yes

$0.00

2024-10-28

D/A

$0.00

2024-10-25

D/A

$0.00

SALES COMMISSIONS AND/OR FINDERS- FEES MAY OR MAY NOT BE RECEIVED IN CONNECTION WITH THE OFFERING.

2024-10-24

D/A

$12,150,000.00

Yes

$0.00

SALES COMMISSIONS INCLUDES SALES COMMISSION RELATING TO PARALLEL FUNDS.

2024-10-22

D/A

$27,000,000.00

Yes

$0.00

2024-10-21

D/A

$3,549,469.00

Yes

$0.00

2024-10-21

D/A

$5,243,375.00

Yes

$0.00

Yes

2024-10-21

D/A

$3,549,469.00

Yes

$0.00

2024-10-21

D/A

$3,661,530.00

Yes

$0.00

2024-10-21

D/A

$3,661,529.00

Yes

$0.00

2024-10-16

D/A

$12,068,871.00

Yes

$0.00

Yes

2024-10-15

D/A

$4,167,375.00

$0.00

THE COMMISSIONS REFLECTS THE AMOUNT PAID BY THE ISSUER AND ITS PARALLEL FUND.

2024-10-15

D/A

$4,167,375.00

$0.00

THE COMMISSIONS REFLECTS THE AMOUNT PAID BY THE ISSUER AND ITS PARALLEL FUND.

2024-10-10

D/A

$5,243,375.00

Yes

$0.00

Yes

2024-10-08

D/A

$0.00

2024-10-07

D/A

$6,087,758.00

Yes

$0.00

INCLUDES AMOUNTS PAID FOR SOLICITATION OUTSIDE OF THE UNITED STATES.

2024-10-07

$663,540.00

$0.00

2024-10-03

D/A

$5,243,375.00

Yes

$0.00

Yes

2024-10-03

D/A

$270,255.00

Yes

$0.00

2024-09-30

D/A

$0.00

2024-09-30

D/A

$0.00

2024-09-27

D/A

$0.00

Yes

$0.00

SALES COMMISSIONS AND/OR FINDERS- FEES MAY OR MAY NOT BE RECEIVED IN CONNECTION WITH THE OFFERING.

2024-09-27

D/A

$0.00

Yes

$0.00

SALES COMMISSIONS AND/OR FINDERS- FEES MAY OR MAY NOT BE RECEIVED IN CONNECTION WITH THE OFFERING.

2024-09-25

D/A

$0.00

2024-09-25

D/A

$5,243,375.00

Yes

$0.00

Yes

2024-09-20

D/A

$7,639,363.00

Yes

$0.00

Yes

2024-09-20

D/A

$0.00

PLACEMENT AGENT FEES ARE TO BE PAID WITH RESPECT TO SPECIFIED INVESTORS ON AN ESTABLISHED FEE SCHEDULE.

2024-09-13

D/A

$5,857,154.00

Yes

$0.00

2024-09-11

D/A

$3,549,469.00

Yes

$0.00

2024-09-11

D/A

$3,549,469.00

Yes

$0.00

2024-09-09

D/A

$705,617.00

Yes

$0.00

THE COMMISSIONS REPORTED ARE THOSE PAID DURING THE TIME PERIOD OF JULY 1, 2023 THROUGH JUNE 30, 2024.

2024-09-06

D/A

$420,000.00

Yes

$0.00

THE ESTIMATE INCLUDES FEES THAT MAY BE PAYABLE DURING THE NEXT 12 MONTHS

2024-09-06

D/A

$1,400,000.00

Yes

$0.00

THE ESTIMATE INCLUDES AMOUNTS THAT MAY BE PAYABLE IN THE NEXT 12 MONTHS.

2024-09-06

D/A

$563,125.00

$0.00

2024-09-06

D/A

$302,500.00

$0.00

2024-09-05

D/A

$12,074,380.00

Yes

$0.00

Yes

2024-09-03

D/A

$3,000,000.00

Yes

$0.00

ESTIMATE BASED ON THE SIZE OF THE OFFERING OF THE ISSUER. INCLUDES COMMISSION PAYABLE IN CONNECTION WITH INVESTMENT VEHICLES ORGANIZED BY PLACEMENT AGENTS.

2024-08-30

$33,000,000.00

Yes

$0.00

Yes

THE FIGURE ABOVE INCLUDES ESTIMATED AMOUNTS EXPECTED TO BE PAID TO PLACEMENT AGENTS IN THE NEXT 12 MONTHS BASED ON PROJECTED SALES AND COMMISSION RATES.

2024-08-30

D/A

$0.00

2024-08-30

$0.00

2024-08-27

D/A

$0.00

2024-08-27

D/A

$0.00

Yes

$0.00

SALES COMMISSIONS AND/OR FINDERS- FEES MAY OR MAY NOT BE RECEIVED IN CONNECTION WITH THE OFFERING.

2024-08-27

D/A

$0.00

Yes

$0.00

SALES COMMISSIONS AND/OR FINDERS- FEES MAY OR MAY NOT BE RECEIVED IN CONNECTION WITH THE OFFERING.

2024-08-27

D/A

$0.00

Yes

$0.00

SALES COMMISSIONS AND/OR FINDERS- FEES MAY OR MAY NOT BE RECEIVED IN CONNECTION WITH THE OFFERING.

2024-08-27

D/A

$0.00

2024-08-27

D/A

$4,195,208.00

Yes

$0.00

2024-08-27

D/A

$3,549,469.00

Yes

$0.00

2024-08-27

D/A

$4,195,208.00

Yes

$0.00

2024-08-27

D/A

$3,549,469.00

Yes

$0.00

2024-08-16

$0.00

SALE COMMISSIONS AND/OR FINDERS- FEES MAY OR MAY NOT BE RECEIVED IN CONNECTION WITH THE OFFERING.

2024-08-14

D/A

$32,000,000.00

Yes

$0.00

THE AMOUNT OF THE SALES COMMISSION IS ESTIMATED FOR THE ISSUER AND ITS RELATED VEHICLES AND REPRESENTS AN ESTIMATE OF THE TOTAL FEES.

2024-08-14

D/A

$32,000,000.00

Yes

$0.00

THE AMOUNT OF THE SALES COMMISSION IS ESTIMATED FOR THE ISSUER AND ITS RELATED VEHICLES AND REPRESENTS AN ESTIMATE OF THE TOTAL FEES.

2024-08-13

D/A

$3,549,469.00

Yes

$0.00

2024-08-13

D/A

$3,549,469.00

Yes

$0.00

2024-08-12

D/A

$20,000,000.00

Yes

$0.00

THE COMMISSION ESTIMATE INCLUDES AMOUNTS THAT MAY BE PAYABLE IN THE NEXT 12 MONTHS IN CONNECTION WITH SALES OF INTERESTS IN THIS ISSUER AND FOR THE ISSUER-S PARALLEL FUNDS IF SPECIFIED AMOUNTS ARE INVESTED.

2024-08-12

D/A

$20,000,000.00

Yes

$0.00

2024-08-09

D/A

$1,416,855.00

$4,756,085.00

Yes

2024-08-09

D/A

$2,170,050.00

$6,214,997.00

Yes

2024-08-09

D/A

$3,761,632.00

Yes

$0.00

2024-08-09

D/A

$4,124,493.00

Yes

$0.00

2024-08-08

D/A

$366,968.00

$0.00

INCLUDES ONLY SALES COMMISSIONS AND FINDERS- FEES EXPENSES PAID BY THE ISSUER, IF ANY.

2024-08-06

D/A

$12,074,380.00

Yes

$0.00

Yes

2024-08-01

D/A

$0.00

2024-08-01

D/A

$0.00

2024-08-01

D/A

$436,875.00

$0.00

2024-07-30

D/A

$4,153,349.00

$0.00

2024-07-30

D/A

$3,549,469.00

Yes

$0.00

2024-07-30

D/A

$3,549,469.00

Yes

$0.00

2024-07-22

D/A

$1,300,000.00

Yes

$0.00

ESTIMATE BASED ON COMPENSATION ARRANGEMENTS WITH ENTITIES IDENTIFIED IN ITEM 12.

2024-07-22

D/A

$2,000,000.00

Yes

$0.00

ESTIMATE BASED ON COMPENSATION ARRANGEMENTS WITH ENTITIES IDENTIFIED IN ITEM 12.

2024-07-22

D/A

$0.00

2024-07-22

D/A

$0.00

2024-07-22

D/A

$4,195,208.00

Yes

$0.00

2024-07-22

D/A

$4,195,208.00

Yes

$0.00

2024-07-22

D/A

$3,549,469.00

Yes

$0.00

2024-07-22

D/A

$3,549,469.00

Yes

$0.00

2024-07-18

D/A

$21,872,231.00

Yes

$0.00

THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.

2024-07-17

$0.00

SALE COMMISSIONS AND/OR FINDERS- FEES MAY OR MAY NOT BE RECEIVED IN CONNECTION WITH THE OFFERING.

2024-07-16

D/A

$0.00

2024-07-15

D/A

$0.00

2024-07-15

D/A

$11,635,634.00

Yes

$0.00

Yes

2024-07-15

D/A

$0.00

Yes

$0.00

Yes

2024-07-15

D/A

$7,248,392.00

Yes

$0.00

Yes

2024-07-15

D/A

$395,000.00

$0.00

2024-07-15

D/A

$214,375.00

$0.00

2024-07-12

D/A

$500,000.00

Yes

$0.00

THE ESTIMATE INCLUDES AMOUNTS WHICH MAY BE PAYABLE IN THE NEXT 12 MONTHS.

2024-07-11

D/A

$132,553,189.00

Yes

$0.00

2024-07-11

D/A

$349,149.00

$0.00

INCLUDES ONLY SALES COMMISSIONS AND FINDERS- FEES EXPENSES PAID BY THE ISSUER, IF ANY.

2024-07-10

D/A

$15,000,000.00

Yes

$0.00

THE AMOUNT OF THE SALES COMMISSION IS ESTIMATED FOR THE ISSUER AND ITS RELATED VEHICLES AND REPRESENTS AN ESTIMATE OF THE TOTAL FEES TO BE PAID TO THE ENTITIES LISTED IN ITEM 12 ABOVE.

2024-07-10

D/A

$15,000,000.00

Yes

$0.00

THE AMOUNT OF THE SALES COMMISSION IS ESTIMATED FOR THE ISSUER AND ITS RELATED VEHICLES AND REPRESENTS AN ESTIMATE OF THE TOTAL FEES TO BE PAID TO THE ENTITIES LISTED IN ITEM 12 ABOVE.

2024-07-01

D/A

$3,549,469.00

Yes

$0.00

2024-07-01

D/A

$3,549,469.00

Yes

$0.00

2024-06-28

D/A

$5,367,992.00

Yes

$0.00

Yes

2024-06-28

D/A

$1,550,163.00

Yes

$0.00

Yes

2024-06-28

D/A

$4,659,104.00

Yes

$0.00

HIGHLAND INFORMATION SERVICES, INC., IS NO LONGER REGISTERED AS A BROKER AND NO LONGER RECEIVES SALES COMMISSIONS FROM THE ISSUER.

2024-06-25

D/A

$4,195,208.00

Yes

$0.00

2024-06-25

D/A

$4,195,208.00

Yes

$0.00

2024-06-24

D/A

$2,425,525.00

Yes

$0.00

2024-06-24

D/A

$2,425,525.00

Yes

$0.00

2024-06-24

D/A

$2,425,525.00

Yes

$0.00

2024-06-24

D/A

$2,425,525.00

Yes

$0.00

2024-06-24

D/A

$2,425,525.00

Yes

$0.00

2024-06-24

D/A

$3,676,592.00

Yes

$0.00

SALES COMMISSIONS REPORTED ARE THOSE PAID DURING THE TIME PERIOD OF JUNE 2023 THROUGH MAY, 2024.

2024-06-21

D/A

$1,269,906.00

Yes

$0.00

IM PAYS UP TO 30% OF MG! FEES TO SELLING AGENTS-SEE ITEM 12. CURRENT OFFERING BEGAN PRIOR TO 3/15/09; ITEM 15 REFLECTS INFO FROM SUCH DATE. CERTAIN ENTITIES LISTED IN ITEM 12 ARE NO LONGER REGISTERED BROKER-DEALERS + THEREFORE RECEIVE NO COMMISSIONS.

2024-06-21

D/A

$8,492,294.00

Yes

$0.00

2024-06-20

D/A

$0.00

2024-06-14

D/A

$1,300,000.00

Yes

$0.00

ESTIMATE BASED ON COMPENSATION ARRANGEMENTS WITH ENTITIES IDENTIFIED IN ITEM 12.

2024-06-14

D/A

$448,050.00

$0.00

2024-06-14

D/A

$143,895.00

$0.00

2024-06-14

D/A

$12,000,000.00

Yes

$0.00

THE LLC ACTS AS PLACEMENT AGENT, BUT NEITHER IT NOR ITS REGISTERED REPS ARE RECEIVING ANY SALES COMMISSIONS, FINDERS- FEES OR OTHER REMUNERATION FROM THE ISSUER FOR ACTING IN SUCH CAPACITY. EST. SALES COMMISSIONS MAY BE PAYABLE TO MSSB.

2024-06-14

D/A

$83,750.00

$0.00

2024-06-14

D/A

$225,625.00

$0.00

2024-06-13

D/A

$0.00

Yes

$0.00

Yes

THE RECIPIENTS LISTED IN ITEM 12 ABOVE ARE PAID AN AMOUNT EQUAL TO A PERCENTAGE OF THE MANAGEMENT FEE PAID TO THE INVESTMENT MANAGER (OR ITS AFFILIATE) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION.

2024-06-12

D/A

$3,014,836.00

Yes

$0.00

PLACEMENT AGENTS HAVE BEEN COMPENSATED BY THE ISSUER-S INVESTMENT MANAGER (IM), INCLUDING A PORTION OF THE IM-S MANAGEMENT AND PERFORMANCE FEE, AS WELL AS A FIXED FEE. THE ESTIMATE INCLUDES AMOUNTS WHICH MAY BE PAID IN THE NEXT 12 MONTHS.

2024-06-12

D/A

$248,570.00

$0.00

PLACEMENT AGENTS ARE COMPENSATED BY THE ISSUER-S GENERAL PARTNER AND INVESTMENT MANAGER, INCLUDING A PORTION OF THEIR RESPECTIVE PERFORMANCE AND MANAGEMENT FEE, AS WELL AS A FIXED FEE. THE ESTIMATE INCLUDES AMOUNTS WHICH MAY BE PAID IN THE NEXT 12 MONTHS.

2024-06-11

D/A

$4,195,208.00

Yes

$0.00

2024-06-11

D/A

$4,195,208.00

Yes

$0.00

2024-06-07

D/A

$13,905,175.00

Yes

$0.00

2024-05-31

$2,750,000.00

Yes

$0.00

THE ESTIMATE INCLUDES AMOUNTS WHICH MAY BE PAYABLE IN THE NEXT 12 MONTHS.

2024-05-31

$14,500,000.00

Yes

$0.00

THE ESTIMATE INCLUDES AMOUNTS THAT MAY BE PAYABLE IN THE NEXT 12 MONTHS.

2024-05-31

D/A

$195,233.00

$0.00

2024-05-24

$145,027.00

$0.00

2024-05-22

D/A

$0.00

SALE COMMISSIONS AND/OR FINDERS- FEES MAY OR MAY NOT BE RECEIVED IN CONNECTION WITH THE OFFERING.

2024-05-22

D/A

$0.00

SALE COMMISSIONS AND/OR FINDERS- FEES MAY OR MAY NOT BE RECEIVED IN CONNECTION WITH THE OFFERING.

2024-05-22

D/A

$4,195,208.00

Yes

$0.00

2024-05-22

D/A

$4,195,208.00

Yes

$0.00

2024-05-21

D/A

$2,021,042.00

Yes

$0.00

COMMISSIONS ARE ONLY RECEIVED BY BROKER-DEALERS IN STATES WHERE THEY ARE LICENSED.

2024-05-16

D/A

$4,659,104.00

Yes

$0.00

HIGHLAND INFORMATION SERVICES, INC., IS NO LONGER REGISTERED AS A BROKER AND NO LONGER RECEIVES SALES COMMISSIONS FROM THE ISSUER.

2024-05-13

D/A

$9,361,683.00

Yes

$0.00

2024-05-13

D/A

$3,398,889.00

Yes

$0.00

2024-05-13

D/A

$5,316,256.00

Yes

$0.00

Yes

OCM INVESTMENTS, LLC, CRD# 128803 AND BROOKFIELD OAKTREE WEALTH SOLUTIONS LLC, CRD# 313390 WILL PLACE THE INVESTMENTS BUT ARE NOT ANTICIPATED TO RECEIVE SALES COMMISSIONS.

2024-05-13

D/A

$5,316,256.00

Yes

$0.00

Yes

OCM INVESTMENTS, LLC, CRD# 128803 AND BROOKFIELD OAKTREE WEALTH SOLUTIONS LLC, CRD# 313390 WILL PLACE THE INVESTMENTS BUT ARE NOT ANTICIPATED TO RECEIVE SALES COMMISSIONS.

2024-05-10

D/A

$0.00

2024-05-10

D/A

$3,672,603.00

Yes

$0.00

SPONSOR NO LONGER COMPENSATES AMD OR UMB FOR SALES AFTER 3/1/11 BUT CONTINUES TO PAY A PORTION OF MGMT FEES + INCENTIVE ALLOCATION FOR PRIOR SALES TO AMD ONLY-SEE ITEM 12. ITEM 15 REFLECTS INFO FROM 3/15/09.

2024-05-10

D/A

$9,548,802.00

Yes

$0.00

2024-05-10

D/A

$3,454,470.00

Yes

$0.00

GP NO LONGER COMPENSATES AMD OR UMB FOR SALES AFTER 3/1/11 BUT CONTINUES TO PAY A PORTION OF MGMT FEES + INCENTIVE ALLOCATION FOR PRIOR SALES TO AMD ONLY- SEE ITEM 12. ITEM 15 REFLECTS INFO FROM 3/15/09.

2024-05-10

D/A

$0.00

2024-05-07

D/A

$4,195,208.00

Yes

$0.00

2024-05-07

D/A

$4,195,208.00

Yes

$0.00

2024-05-07

D/A

$6,714,170.00

Yes

$0.00

2024-05-06

D/A

$10,300,000.00

Yes

$0.00

2024-05-03

D/A

$8,302,539.00

$0.00

2024-05-03

D/A

$1,995,457.00

Yes

$0.00

2024-05-03

D/A

$4,379,752.00

$0.00

2024-04-26

D/A

$500,000.00

Yes

$0.00

ESTIMATE BASED ON COMPENSATION ARRANGEMENTS WITH ENTITIES IDENTIFIED IN ITEM 12.

2024-04-26

D/A

$2,000,000.00

Yes

$0.00

ESTIMATE BASED ON COMPENSATION ARRANGEMENTS WITH ENTITIES IDENTIFIED IN ITEM 12.

2024-04-25

D/A

$0.00

2024-04-25

D/A

$349,149.00

$0.00

INCLUDES ONLY SALES COMMISSIONS AND FINDERS- FEES EXPENSES PAID BY THE ISSUER, IF ANY.

2024-04-22

D/A

$11,993,330.00

$0.00

2024-04-22

D/A

$1,087,753.00

$0.00

2024-04-22

D/A

$2,035,005.00

$0.00

2024-04-19

D/A

$738,015.00

$0.00

2024-04-19

D/A

$4,864,407.00

$0.00

2024-04-18

D/A

$0.00

Yes

$0.00

Yes

PAID BASED ON PERCENTAGE OF COMMITTED CAPITAL OF INVESTORS INTRODUCED BY SELLING AGENT. MANAGEMENT FEES WILL BE OFFSET BY ANY SUCH AMOUNTS PAID BY THE ISSUER. SUCH AMOUNTS DO NOT REDUCE THE OFFERING PROCEEDS AVAILABLE FOR INVESTMENT.

2024-04-18

D/A

$6,250,000.00

Yes

$0.00

THE ESTIMATE INCLUDES AMOUNTS WHICH MAY BE PAYABLE IN THE NEXT 12 MONTHS.

2024-04-18

D/A

$46,000,000.00

Yes

$0.00

THE ESTIMATE INCLUDES FEES WHICH MAY BE PAYABLE DURING THE NEXT 12 MONTHS.

2024-04-18

D/A

$27,250,000.00

Yes

$0.00

THIS ESTIMATE INCLUDES FEES WHICH MAY BE PAYABLE DURING THE NEXT 12 MONTHS.

2024-04-16

D/A

$4,200.00

$0.00

2024-04-16

D/A

$24,304.00

$0.00

2024-04-16

D/A

$6,714,170.00

Yes

$0.00

2024-04-12

D/A

$12,476,584.00

Yes

$0.00

Yes

2024-04-11

D/A

$6,936,840.00

Yes

$0.00

Yes

2024-04-11

D/A

$88,600,000.00

Yes

$0.00

THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.

2024-04-11

D/A

$2,900,000.00

Yes

$0.00

THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.

2024-04-11

D/A

$33,000,000.00

Yes

$0.00

2024-04-10

$2,000,000.00

Yes

$0.00

ESTIMATE BASED ON COMPENSATION ARRANGEMENTS WITH ENTITIES IDENTIFIED IN ITEM 12.

2024-04-10

D/A

$0.00

NO SALES COMMISSIONS HAVE BEEN PAID.

2024-04-09

D/A

$972,306.00

Yes

$0.00

ESTIMATE INCLUDES FEES THAT MAY BE PAID OVER THE NEXT 12 MONTHS.

2024-04-08

D/A

$17,615,914.00

Yes

$0.00

2024-04-05

D/A

$0.00

Yes

$0.00

Yes

PLACEMENT AGENT FEES ARE TO BE PAID BASED UPON AN ESTABLISHED FEE SCHEDULE. TO THE EXTENT SUCH FEES ARE PAID BY THE ISSUER THEY ARE OFFSET AGAINST THE MANAGEMENT FEE.

2024-04-05

D/A

$0.00

Yes

$0.00

Yes

PLACEMENT AGENT FEES ARE TO BE PAID BASED UPON AN ESTABLISHED FEE SCHEDULE. TO THE EXTENT SUCH FEES ARE PAID BY THE ISSUER THEY ARE OFFSET AGAINST THE MANAGEMENT FEE.

2024-04-05

D/A

$0.00

Yes

$0.00

Yes

PLACEMENT AGENT FEES ARE TO BE PAID BASED UPON AN ESTABLISHED FEE SCHEDULE. TO THE EXTENT SUCH FEES ARE PAID BY THE ISSUER THEY ARE OFFSET AGAINST THE MANAGEMENT FEE.

2024-04-05

D/A

$0.00

Yes

$0.00

Yes

PLACEMENT AGENT FEES ARE TO BE PAID BASED UPON AN ESTABLISHED FEE SCHEDULE. TO THE EXTENT SUCH FEES ARE PAID BY THE ISSUER THEY ARE OFFSET AGAINST THE MANAGEMENT FEE.

2024-04-05

D/A

$0.00

Yes

$0.00

Yes

PLACEMENT AGENT FEES ARE TO BE PAID BASED UPON AN ESTABLISHED FEE SCHEDULE. TO THE EXTENT SUCH FEES ARE PAID BY THE ISSUER THEY ARE OFFSET AGAINST THE MANAGEMENT FEE.

2024-04-05

D/A

$0.00

2024-04-04

D/A

$2,044,888.00

Yes

$0.00

2024-04-02

D/A

$674,195.00

Yes

$0.00

2024-04-02

D/A

$2,500,000.00

Yes

$0.00

A PORTION OF THE ESTIMATED SALES COMMISSIONS INCLUDE SALES BY PARALLEL FUNDS AND/OR MASTER FUND.

2024-04-02

D/A

$2,500,000.00

Yes

$0.00

A PORTION OF THE ESTIMATED SALES COMMISSIONS INCLUDE SALES BY PARALLEL FUNDS AND/OR FEEDER FUNDS.

2024-04-02

D/A

$956,761.00

Yes

$0.00

2024-04-02

D/A

$6,714,170.00

Yes

$0.00

2024-04-01

D/A

$1,279,670.00

Yes

$0.00

2024-03-29

D/A

$188,254.00

$0.00

2024-03-29

D/A

$188,254.00

$0.00

2024-03-29

D/A

$188,254.00

$0.00

2024-03-29

D/A

$188,254.00

$0.00

2024-03-29

D/A

$188,254.00

$0.00

2024-03-29

D/A

$188,254.00

$0.00

2024-03-28

$0.00

$13,261,852.00

THIS INCLUDES COMPENSATION PAID IN RELATION TO THE SALE OF SHARES IN THE ISSUER.

2024-03-28

$0.00

$24,744,608.00

THIS INCLUDES COMPENSATION PAID IN RELATION TO THE SALE OF SHARES IN THE ISSUER.

2024-03-26

D/A

$7,894,879.00

Yes

$0.00

Yes

2024-03-26

D/A

$3,992,542.00

Yes

$0.00

Yes

2024-03-25

D/A

$19,604,375.00

Yes

$1,800,000.00

Yes

REFLECTS AGGREGATE SALES COMMISSIONS AND FINDERS- FEES PAID BY THE ISSUER AND ITS AFFILIATED VEHICLES.

2024-03-25

D/A

$19,604,375.00

Yes

$1,800,000.00

Yes

REFLECTS AGGREGATE SALES COMMISSIONS AND FINDERS- FEES PAID BY THE ISSUER AND ITS AFFILIATED VEHICLES.

2024-03-21

D/A

$0.00

Yes

THE PERSONS/FIRMS LISTED IN ITEM 12 RECEIVE CERTAIN FEES, INCLUDING A PERCENTAGE OF THE MANAGEMENT FEES AND/OR PERFORMANCE ALLOCATIONS.

2024-03-21

D/A

$0.00

Yes

THE PERSONS/FIRMS LISTED IN ITEM 12 RECEIVE CERTAIN FEES, INCLUDING A PERCENTAGE OF THE MANAGEMENT FEES AND/OR PERFORMANCE ALLOCATIONS.

2024-03-21

$3,436,800.00

$27,316,889.00

THE TOTAL DOLLAR AMOUNT OF SALES COMMISSION PAID REFLECTS THE TOTAL AMOUNT PAID TO JPM FROM INCEPTION TO DATE. THE TOTAL DOLLAR AMOUNT OF FINDERS FEES PAID REFLECTS THE TOTAL AMOUNT PAID TO JPM, CAIS + MSSB FROM INCEPTION TO DATE.

2024-03-19

D/A

$12,074,380.00

Yes

$0.00

Yes

2024-03-19

D/A

$12,330,579.00

Yes

$0.00

Yes

2024-03-19

D/A

$0.00

$6,640,857.00

Yes

BROKER-DEALER RECEIVES A PORTION OF THE ANNUAL MANAGEMENT FEES AND PERFORMANCE-BASED COMPENSATION (IF ANY) ASSOCIATED WITH THE INVESTOR-S INVESTMENT.

2024-03-19

D/A

$0.00

$34,207,211.00

Yes

BROKER-DEALER RECEIVES A PORTION OF THE ANNUAL MANAGEMENT FEES AND PERFORMANCE-BASED COMPENSATION (IF ANY) ASSOCIATED WITH THE INVESTOR-S INVESTMENT.

2024-03-19

D/A

$402,223.00

Yes

$0.00

2024-03-15

D/A

$40,384.00

Yes

$0.00

EACH INVESTOR PAYS UP TO 3% OF ITS AGGREGATE INVESTMENT TO AGENT UPFRONT, IN ADDITION TO ANY AMOUNTS INVESTED IN THE FUND. THE MANAGER PAYS AGENT A PORTION OF THE FEES PAID TO IT BY THE FUND ON AN ONGOING BASIS.

2024-03-15

D/A

$6,900,000.00

Yes

$0.00

THE ESTIMATE INCLUDES AMOUNTS WHICH MAY BE PAYABLE IN THE NEXT 12 MONTHS.

2024-03-15

D/A

$30,000,000.00

Yes

$0.00

SALES COMMISSIONS REPRESENTS THE TOTAL SALES COMMISSIONS PAID OR TO BE PAID TO THE ENTITIES LISTED IN ITEM 12 ABOVE OVER TIME AS A RESULT OF THE SALES OR ANTICIPATED SALES OF INTERESTS IN THE ISSUER.

2024-03-15

D/A

$6,561,158.00

Yes

$0.00

2024-03-15

D/A

$108,700,000.00

Yes

$0.00

THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.

2024-03-15

D/A

$164,313.00

Yes

$0.00

2024-03-14

D/A

$32,000,000.00

Yes

$0.00

2024-03-14

D/A

$5,210,513.00

$0.00

2024-03-14

D/A

$51,176,870.00

$0.00

2024-03-14

D/A

$23,609,418.00

$0.00

2024-03-13

D/A

$53,386.00

Yes

$0.00

2024-03-13

D/A

$34,583.00

Yes

$0.00

2024-03-13

D/A

$9,361,683.00

Yes

$0.00

2024-03-13

D/A

$3,398,889.00

Yes

$0.00

2024-03-12

D/A

$8,329,313.00

$0.00

2024-03-12

D/A

$6,714,170.00

Yes

$0.00

2024-03-12

D/A

$5,169,471.00

$0.00

2024-03-08

D/A

$5,714,786.00

$0.00

2024-03-08

D/A

$2,166,874.00

$0.00

STIFEL, NICOLAUS + CO. INC. BECAME SUCCESSOR TO BARCLAYS CAPITAL INC.-S PLACEMENT PROGRAM AND MORGAN STANLEY SMITH BARNEY LLC BECAME SUCCESSOR TO CREDIT SUISSE SECURITIES (USA) LLC-S PLACEMENT PROGRAM. COMPENSATION DUE IS PAID TO THE SUCCESSOR.

2024-03-08

D/A

$2,882,900.00

$0.00

2024-03-08

D/A

$6,148,087.00

$0.00

2024-03-08

D/A

$0.00

Yes

$0.00

Yes

RECIPIENTS LISTED IN ITEM 12 (EXCLUDING WFD, BUT INCLUDING, IF APPLICABLE, EMPLOYEES OF WFD) ARE PAID AN AMOUNT EQUAL TO A PERCENTAGE OF THE MANAGEMENT FEE PAID TO THE IM (OR ITS AFFILIATES) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGEMENT.

2024-03-08

D/A

$0.00

2024-03-08

D/A

$3,950,885.00

$0.00

2024-03-08

D/A

$134,179.00

$0.00

2024-03-08

D/A

$0.00

SALE COMMISSIONS AND/OR FINDERS- FEES MAY OR MAY NOT BE RECEIVED IN CONNECTION WITH THE OFFERING.

2024-03-08

D/A

$500,000.00

Yes

$0.00

2024-03-08

D/A

$1,298,437.00

$0.00

2024-03-08

D/A

$1,298,437.00

$0.00

2024-03-07

D/A

$0.00

Yes

$0.00

Yes

PLACEMENT AGENTS FEES TO BE PAID BASED UPON A FEE SCHEDULE. SUCH FEES ARE OFFSET AGAINST THE MANAGEMENT FEES PAYABLE BY THE ISSUER.

2024-03-07

D/A

$0.00

Yes

$0.00

Yes

PLACEMENT AGENTS FEES TO BE PAID BASED UPON A FEE SCHEDULE. SUCH FEES ARE OFFSET AGAINST THE MANAGEMENT FEES PAYABLE BY THE ISSUER.

2024-03-07

D/A

$0.00

Yes

$0.00

Yes

PLACEMENT AGENTS FEES TO BE PAID BASED UPON A FEE SCHEDULE. SUCH FEES ARE OFFSET AGAINST THE MANAGEMENT FEES PAYABLE BY THE ISSUER.

2024-03-07

D/A

$1,800,000.00

Yes

$0.00

2024-03-07

D/A

$1,800,000.00

Yes

$0.00

2024-03-06

D/A

$25,000,000.00

Yes

$0.00

2024-03-04

$940,670.00

$0.00

2024-03-01

D/A

$0.00

Yes

$0.00

Yes

THE ISSUER DOES NOT PAY ANY SALES COMMISSIONS OR FINDERS- FEES EXPENSES. THE INVESTMENT MANAGER OF THE ISSUER PAYS A PORTION OF THE MANAGEMENT FEES IT RECEIVES FROM THE ISSUER TO MMX GLOBAL PARTNERS, LLC AND MORGAN STANLEY SMITH BARNEY, LLC.

2024-03-01

D/A

$0.00

SALES AGENT RECEIVES A PORTION OF THE MANAGEMENT FEE PAYABLE BY THE ISSUER TO THE INVESTMENT MANAGER.

2024-03-01

D/A

$0.00

SALES AGENT RECEIVES A PORTION OF THE MANAGEMENT FEE PAYABLE BY THE ISSUER TO THE INVESTMENT MANAGER.

2024-03-01

D/A

$18,666,473.00

Yes

$0.00

INCLUDES SALES COMMISSIONS PAID TO ALL PLACEMENT AGENTS LISTED IN THIS FORM D. RAYMOND JAMES + ASSOCIATES INC. BECAME SUCCESSOR TO DEUTSCHE BANK ALEX. BROWN INC. IN SEPTEMBER 2016.

2024-03-01

D/A

$22,343,419.00

Yes

$0.00

INCLUDES SALES COMMISSIONS PAID TO ALL PLACEMENT AGENTS LISTED IN THIS FORM D. RAYMOND JAMES + ASSOCIATES INC. BECAME SUCCESSOR TO DEUTSCHE BANK ALEX. BROWN INC. IN SEPTEMBER 2016.

2024-03-01

D/A

$0.00

SALES AGENT RECEIVES A PORTION OF THE MANAGEMENT FEE PAYABLE BY THE ISSUER TO THE INVESTMENT MANAGER.

2024-03-01

D/A

$1,517,178.00

$0.00

2024-03-01

D/A

$1,517,178.00

$0.00

2024-03-01

D/A

$3,024,924.00

$0.00

THE AMOUNT LISTED ABOVE IS AGGREGATED BETWEEN THE ISSUER, ITS RELATED FEEDER FUNDS, AND ANY SUBSIDIARY LIMITED PARTNERSHIP THROUGH WHICH THE ISSUER MAKES INVESTMENTS.

2024-03-01

D/A

$1,517,178.00

$0.00

2024-03-01

D/A

$1,517,178.00

$0.00

2024-03-01

D/A

$1,517,178.00

$0.00

2024-03-01

D/A

$1,517,178.00

$0.00

2024-03-01

D/A

$1,517,178.00

$0.00

2024-03-01

D/A

$0.00

Yes

$0.00

Yes

THE ISSUER DOES NOT PAY SALES COMMISSIONS OR FINDERS- FEES EXPENSES. THE INVESTMENT ADVISER OF THE ISSUER PAYS A PORTION OF THE MANAGEMENT FEES IT RECEIVES TO MMX GLOBAL PARTNERS, LLC AND MORGAN STANLEY SMITH BARNEY, LLC.

2024-03-01

D/A

$0.00

Yes

$0.00

Yes

2024-03-01

D/A

$0.00

Yes

$0.00

Yes

2024-03-01

D/A

$0.00

Yes

$0.00

Yes

THE ISSUER DOES NOT PAY SALES COMMISSIONS OR FINDERS- FEES EXPENSES. THE INVESTMENT ADVISER OF THE ISSUER PAYS A PORTION OF THE MANAGEMENT FEES IT RECEIVES TO MMX GLOBAL PARTNERS AND MORGAN STANLEY SMITH BARNEY..

2024-03-01

D/A

$0.00

Yes

$0.00

Yes

2024-02-29

D/A

$0.00

$71,904,642.00

THE TOTAL DOLLAR AMOUNT OF FINDERS- FEES REFLECTS THE TOTAL AMOUNT PAID TO UBS AND MSSB FROM INCEPTION TO DATE.

2024-02-29

D/A

$0.00

$27,791,414.00

THE TOTAL DOLLAR AMOUNT OF FINDERS- FEES REFLECTS THE TOTAL AMOUNT PAID TO UBS + MSSB FROM INCEPTION TO DATE

2024-02-27

D/A

$6,714,170.00

Yes

$0.00

2024-02-23

D/A

$0.00

Yes

$0.00

Yes

2024-02-23

D/A

$0.00

2024-02-23

D/A

$0.00

2024-02-23

D/A

$0.00

2024-02-23

D/A

$0.00

2024-02-22

D/A

$9,838,087.00

Yes

$0.00

Yes

2024-02-22

D/A

$333,984.00

$0.00

INCLUDES ONLY SALES COMMISSIONS AND FINDERS- FEES EXPENSES PAID BY THE ISSUER, IF ANY.

2024-02-20

D/A

$364,000.00

$0.00

2024-02-16

D/A

$0.00

2024-02-16

D/A

$0.00

2024-02-14

D/A

$0.00

Yes

$0.00

Yes

PLACEMENT AGENTS MAY RECEIVE ONGOING COMPENSATION IN RESPECT TO SELLING INTEREST. IN ADDITION, THE FUND-S MANAGER MAY PAY A PORTION OF ITS MANAGEMENT FEES TO CERTAIN AGENTS.

2024-02-14

D/A

$0.00

Yes

$0.00

Yes

PLACEMENT AGENTS MAY RECEIVE ONGOING COMPENSATION IN RESPECT TO SELLING INTEREST. IN ADDITION, THE FUND-S MANAGER MAY PAY A PORTION OF ITS MANAGEMENT FEES TO CERTAIN AGENTS.

2024-02-14

D/A

$6,714,170.00

Yes

$0.00

2024-02-13

D/A

$6,884,053.00

Yes

$0.00

Yes

OCM INVESTMENTS, LLC, CRD# 128803 AND BROOKFIELD OAKTREE WEALTH SOLUTIONS LLC, CRD# 313390 WILL PLACE INVESTMENTS BUT ARE NOT ANTICIPATED TO RECEIVE COMMISSIONS. THE ABOVE REFLECTS SALES COMMISSIONS PAID IN RESPECT OF THE ISSUER AND ITS MASTER FUND.

2024-02-13

D/A

$6,884,053.00

Yes

$0.00

Yes

2024-02-13

D/A

$6,884,053.00

Yes

$0.00

Yes

OCM INVESTMENTS, LLC, CRD# 128803 AND BROOKFIELD OAKTREE WEALTH SOLUTIONS LLC, CRD# 313390 WILL PLACE INVESTMENTS BUT ARE NOT ANTICIPATED TO RECEIVE COMMISSIONS.

2024-02-13

D/A

$5,316,256.00

Yes

$0.00

Yes

OCM INVESTMENTS, LLC, CRD# 128803 AND BROOKFIELD OAKTREE WEALTH SOLUTIONS LLC, CRD# 313390 WILL PLACE INVESTMENTS BUT ARE NOT ANTICIPATED TO RECEIVE COMMISSIONS.

2024-02-09

D/A

$0.00

Yes

$0.00

2024-02-09

D/A

$0.00

Yes

$0.00

2024-02-09

D/A

$0.00

$5,680,838.00

Yes

2024-02-06

D/A

$6,714,170.00

Yes

$0.00

2024-02-02

D/A

$408,903.00

$0.00

2024-02-02

D/A

$12,476,584.00

Yes

$0.00

Yes

2024-02-01

D/A

$0.00

$71,904,642.00

THE TOTAL DOLLAR AMOUNT OF FINDERS- FEES REFLECTS THE TOTAL AMOUNT PAID TO UBS AND MSSB FROM INCEPTION TO DATE.

2024-02-01

D/A

$0.00

$27,791,414.00

THE TOTAL DOLLAR AMOUNT OF FINDERS- FEES REFLECTS THE TOTAL AMOUNT PAID TO UBS + MSSB FROM INCEPTION TO DATE

2024-01-31

D/A

$0.00

SALE COMMISSIONS AND/OR FINDERS- FEES MAY OR MAY NOT BE RECEIVED IN CONNECTION WITH THE OFFERING.

2024-01-31

D/A

$0.00

SALE COMMISSIONS AND/OR FINDERS- FEES MAY OR MAY NOT BE RECEIVED IN CONNECTION WITH THE OFFERING.

2024-01-31

D/A

$0.00

SALE COMMISSIONS AND/OR FINDERS- FEES MAY OR MAY NOT BE RECEIVED IN CONNECTION WITH THE OFFERING.

2024-01-31

D/A

$1,001,396.00

Yes

$0.00

2024-01-25

D/A

$12,300,000.00

Yes

$0.00

SALES COMMISSIONS INCLUDE SALES COMMISSIONS RELATING TO MSTV FUND II EMPLOYEES LP AND NORTH HAVEN TACTICAL VALUE FUND II LP.

2024-01-25

D/A

$12,300,000.00

Yes

$0.00

SALES COMMISSIONS INCLUDE SALES COMMISSIONS RELATING TO MSTV FUND II EMPLOYEES LP AND NORTH HAVEN TACTICAL VALUE FUND II LP.

2024-01-22

D/A

$6,714,170.00

Yes

$0.00

2024-01-19

D/A

$874,158.00

$0.00

MORGAN STANLEY SMITH BARNEY LLC WILL RECEIVE CERTAIN PLACEMENT AND SERVICING FEES WITH RESPECT TO CLIENTS IT REFERS TO THE ISSUER, AS DISCLOSED TO THE APPLICABLE CLIENTS.

2024-01-19

D/A

$0.00

GRV SECURITIES LLC WILL NOT RECEIVE FEES. J.P. MORGAN SECURITIES LLC AND MORGAN STANLEY WILL RECEIVE A FEE BASED ON ESTABLISHED FEE ARRANGEMENTS.

2024-01-19

D/A

$0.00

GRV SECURITIES LLC WILL NOT RECEIVE FEES. J.P. MORGAN SECURITIES LLC AND MORGAN STANLEY WILL RECEIVE A FEE BASED ON ESTABLISHED FEE ARRANGEMENTS.

2024-01-19

D/A

$10,000,000.00

Yes

$0.00

SALES COMMISSIONS INCLUDE THE AGGREGATE SALES COMMISSIONS RELATING TO EQT X (NO.1) USD SCSP, EQT X (NO.2) USD SCSP, EQT X (NO.1) EUR SCSP, EQT X (NO.2) EUR SCSP AND EQT X (NO.3) EUR SCSP.

2024-01-19

D/A

$10,000,000.00

Yes

$0.00

SALES COMMISSIONS INCLUDE THE AGGREGATE SALES COMMISSIONS RELATING TO EQT X (NO.1) USD SCSP, EQT X (NO.2) USD SCSP, EQT X (NO.1) EUR SCSP, EQT X (NO.2) EUR SCSP AND EQT X (NO.3) EUR SCSP.

2024-01-18

D/A

$0.00

$1,324,460.00

2024-01-17

D/A

$0.00

Yes

$0.00

Yes

2024-01-17

D/A

$0.00

Yes

$0.00

Yes

2024-01-17

D/A

$0.00

Yes

$0.00

Yes

2024-01-12

D/A

$4,000,000.00

Yes

$0.00

2024-01-12

D/A

$553,353.00

Yes

$0.00

AGREEMENTS WITH ABG, LLC AND J.P. MORGAN SECURITIES, LLC WERE EACH TERMINATED ON APRIL 29, 2020 AND APRIL 1, 2023, RESPECTIVELY.

2024-01-12

D/A

$2,480,465.00

Yes

$0.00

SALES COMMISSIONS ARE PAID BY ENERGY INCOME PARTNERS, LLC, NOT THE ISSUER.

2024-01-11

D/A

$12,074,380.00

Yes

$0.00

Yes

2024-01-10

D/A

$464,265.00

Yes

$0.00

2024-01-10

D/A

$228,313.00

Yes

$0.00

2024-01-05

D/A

$3,992,542.00

Yes

$0.00

Yes

2024-01-03

D/A

$29,500,000.00

Yes

$0.00

2024-01-02

D/A

$3,504,761.00

Yes

$0.00

2024-01-02

D/A

$5,902,082.00

Yes

$0.00

2023-12-22

D/A

$8,736,866.00

$0.00

2023-12-21

$0.00

2023-12-21

$0.00

2023-12-20

$86,385,464.00

$0.00

2023-12-15

$75,900.00

Yes

$0.00

A PORTION OF THE PLACEMENT FEES ARE PAID DIRECTLY BY THE INVESTORS TO THE PLACEMENT AGENT, AND MAY BE MODIFIED BY THE PLACEMENT AGENT.

2023-12-15

$23,000.00

Yes

$0.00

A PORTION OF THE PLACEMENT FEES ARE PAID DIRECTLY BY THE INVESTORS TO THE PLACEMENT AGENT, AND MAY BE MODIFIED BY THE PLACEMENT AGENT.

2023-12-15

D/A

$2,906,920.00

Yes

$0.00

2023-12-15

D/A

$2,906,920.00

Yes

$0.00

2023-12-15

D/A

$2,906,920.00

Yes

$0.00

2023-12-13

D/A

$14,187,064.00

Yes

$0.00

2023-12-05

D/A

$298,000.00

Yes

$0.00

Yes

THE COMMISSION AMOUNT REFLECTS THE VALUE PAID TO MORGAN STANLEY SMITH BARNEY LLC AT THIS TIME (INCLUDING WHAT IS PAID BY THE ISSUER?S PARALLEL FUND), AND THE ULTIMATE TOTAL AMOUNT IS SUBJECT TO FUTURE CONTINGENCIES.

2023-12-05

D/A

$298,000.00

Yes

$0.00

Yes

MORGAN STANLEY SMITH BARNEY LLC (MSSB) WILL BE PAID FEES, THE VALUE OF WHICH CANNOT BE DETERMINED AT THIS TIME, CONTINGENT ON SUBSCRIPTIONS, IF ANY, BY MSSB CLIENTS TO ISSUER AND ANY FEEDER AND PARALLEL ENTITIES.

2023-11-30

D/A

$0.00

NONE OF THE RECIPIENTS IN ITEM 12 HEREOF ARE COMPENSATED BY THE ISSUER.

2023-11-28

D/A

$0.00

2023-11-22

$0.00

SALE COMMISSIONS AND/OR FINDERS- FEES MAY OR MAY NOT BE RECEIVED IN CONNECTION WITH THE OFFERING.

2023-11-22

D/A

$0.00

SALES COMMISSIONS AND/OR FINDERS- FEES MAY OR MAY NOT BE RECEIVED IN CONNECTION WITH THE OFFERING.

2023-11-22

$0.00

SALES COMMISSIONS AND/OR FINDERS- FEES MAY OR MAY NOT BE RECEIVED IN CONNECTION WITH THE OFFERING.

2023-11-22

$104,600.00

$0.00

2023-11-21

D/A

$32,500,000.00

Yes

$0.00

THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS. CREDIT SUISSE SECURITIES (USA) LLC IS THE FORMER FIRM OF THE INDIVIDUALS LISTED IN ITEM 12.

2023-11-21

D/A

$109,000,000.00

Yes

$0.00

THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.

2023-11-17

D/A

$11,350,000.00

Yes

$0.00

Yes

THE COMMISSIONS ESTIMATE REFLECTS THE ESTIMATED MAXIMUM AMOUNT (INCLUDING WHAT IS EXPECTED TO BE PAID BY THE ISSUER-S PARALLEL FUND) AND IS SUBJECT TO FUTURE CONTINGENCIES.

2023-11-17

D/A

$11,350,000.00

Yes

$0.00

Yes

THE COMMISSIONS ESTIMATE REFLECTS THE ESTIMATED MAXIMUM AMOUNT (INCLUDING WHAT IS EXPECTED TO BE PAID BY THE ISSUER-S PARALLEL FUND) AND IS SUBJECT TO FUTURE CONTINGENCIES.

2023-11-16

D/A

$0.00

Yes

$0.00

Yes

2023-11-16

D/A

$10,600,000.00

Yes

$0.00

THE FIGURE DISCLOSED ABOVE REFLECTS ESTIMATED MAXIMUM AMOUNT AND IS SUBJECT TO FUTURE CONTINGENCIES.

2023-11-13

D/A

$3,970,716.00

Yes

$0.00

2023-11-13

D/A

$2,292,842.00

Yes

$0.00

2023-11-13

D/A

$6,172,045.00

Yes

$0.00

2023-11-09

D/A

$318,733.00

$0.00

INCLUDES ONLY SALES COMMISSIONS AND FINDERS- FEES EXPENSES PAID BY THE ISSUER, IF ANY.

2023-11-08

D/A

$0.00

2023-11-08

D/A

$0.00

2023-11-08

D/A

$0.00

2023-11-08

D/A

$0.00

2023-11-08

D/A

$9,447,655.00

$0.00

2023-11-08

D/A

$0.00

Yes

$0.00

Yes

MORGAN STANLEY SMITH BARNEY LLC MAY BE PAID A PLACEMENT FEE, BUT THE AMOUNT CANNOT BE ESTIMATED AT THIS TIME.

2023-11-02

D/A

$3,492,095.00

$0.00

THE ISSUER IS REQUIRED TO PAY A SUCCESS FEE BASED ON THE AGGREGATE CAPITAL SUBSCRIBED BY THE INVESTORS, SUBJECT TO CERTAIN EXCEPTIONS, PLUS CERTAIN REIMBURSABLE EXPENSES OF THE PLACEMENT AGENT. THE ABOVE AMOUNT INCLUDES FEES PAID ON BEHALF OF AFFILIATES.

2023-10-27

D/A

$9,515,092.00

$0.00

2023-10-26

D/A

$0.00

$70,177,127.00

THE TOTAL DOLLAR AMOUNT OF FINDERS- FEES REFLECTS THE TOTAL AMOUNT PAID TO UBS AND MSSB FROM INCEPTION TO DATE.

2023-10-26

D/A

$0.00

$27,275,881.00

THE TOTAL DOLLAR AMOUNT OF FINDERS- FEES REFLECTS THE TOTAL AMOUNT PAID TO UBS + MSSB FROM INCEPTION TO DATE

2023-10-25

D/A

$0.00

2023-10-25

D/A

$0.00

2023-10-24

D/A

$13,752,000.00

Yes

$0.00

SALES COMMISSIONS INCLUDES SALES COMMISSION RELATING TO PARALLEL FUNDS.

2023-10-20

D/A

$1,160,750.00

Yes

$0.00

2023-10-20

D/A

$2,127,682.00

Yes

$0.00

2023-10-19

D/A

$17,424,242.00

Yes

$0.00

Yes

2023-10-17

D/A

$0.00

2023-10-17

D/A

$0.00

CERTAIN PRIVATE PLACEMENT CLIENTS OF MORGAN STANLEY SMITH BARNEY ("MSSB") ARE REQUIRED TO PAY (I) AN UPFRONT PLACEMENT FEE DIRECTLY TO MSSB AND (II) AN ONGOING ANNUAL FEE TO THE FUND (WHICH IS THEN PAID TO MSSB).

2023-10-17

D/A

$0.00

2023-10-17

D/A

$23,250,497.00

Yes

$0.00

2023-10-13

D/A

$6,503,522.00

Yes

$0.00

FOR PERIOD THROUGH 10/1/2023. AGREEMENT WITH ABG, LLC AND J.P. MORGAN SECURITIES LLC WERE EACH TERMINATED ON APRIL 29, 2020, AND APRIL 1, 2023, RESPECTIVELY.

2023-10-13

D/A

$37,994.00

$0.00

2023-10-13

D/A

$97,668.00

$0.00

2023-10-12

D/A

$0.00

$456,825.00

A COMMISSION WILL BE PAID AFTER EACH OF THE ISSUER-S CLOSINGS BASED ON A PERCENTAGE OF THE SUBSCRIPTIONS OF CERTAIN OF THE ISSUER-S LIMITED PARTNERS.

2023-10-12

D/A

$0.00

$456,825.00

A COMMISSION WILL BE PAID AFTER EACH OF THE ISSUER-S CLOSINGS BASED ON A PERCENTAGE OF THE SUBSCRIPTIONS OF CERTAIN OF THE ISSUER-S LIMITED PARTNERS.

2023-10-12

D/A

$0.00

$456,825.00

A COMMISSION WILL BE PAID AFTER EACH OF THE ISSUER-S CLOSINGS BASED ON A PERCENTAGE OF THE SUBSCRIPTIONS OF CERTAIN OF THE ISSUER-S LIMITED PARTNERS.

2023-10-06

D/A

$6,074,569.00

Yes

$0.00

INCLUDES AMOUNTS PAID FOR SOLICITATION OUTSIDE OF THE UNITED STATES.

2023-10-06

D/A

$66,909.00

Yes

$0.00

2023-10-04

$154,125.00

Yes

$0.00

2023-10-02

D/A

$6,840,623.00

$0.00

SALES COMMISSIONS REPRESENT PAYMENTS TO ALL PLACEMENT AGENTS LISTED IN THIS FORM D.

2023-09-28

D/A

$13,861,499.00

Yes

$0.00

2023-09-28

D/A

$5,769,654.00

Yes

$0.00

2023-09-22

D/A

$6,403,069.00

Yes

$0.00

Yes

2023-09-22

D/A

$18,476,253.00

Yes

$0.00

THE STATED ESTIMATE INCLUDES BOTH PLACEMENT AGENT FEES AND TRAILER FEES AND INCLUDES FEES PROJECTED TO BE PAID IN THE NEXT 12 MONTHS.

2023-09-22

D/A

$12,789,856.00

Yes

$0.00

THE STATED ESTIMATE INCLUDES BOTH PLACEMENT AGENT FEES AND TRAILER FEES AND INCLUDES FEES PROJECTED TO BE PAID IN THE NEXT 12 MONTHS.

2023-09-21

D/A

$2,863,625.00

$0.00

2023-09-19

D/A

$0.00

2023-09-19

D/A

$0.00

2023-09-15

D/A

$0.00

GRV SECURITIES LLC WILL NOT RECEIVE FEES. MORGAN STANLEY WILL RECEIVE A TRAILER FEE BASED ON ESTABLISHED FEE ARRANGEMENTS.

2023-09-15

D/A

$0.00

GRV SECURITIES LLC WILL NOT RECEIVE FEES. MORGAN STANLEY WILL RECEIVE A TRAILER FEE BASED ON ESTABLISHED FEE ARRANGEMENTS.

2023-09-13

D/A

$5,298,347.00

Yes

$0.00

2023-09-08

D/A

$400,000.00

Yes

$0.00

THE ESTIMATE INCLUDES FEES THAT MAY BE PAYABLE DURING THE NEXT 12 MONTHS

2023-09-08

D/A

$1,050,000.00

Yes

$0.00

THE ESTIMATE INCLUDES AMOUNTS THAT MAY BE PAYABLE IN THE NEXT 12 MONTHS.

2023-09-08

D/A

$438,368.00

Yes

$0.00

Yes

2023-09-07

D/A

$891,018.00

Yes

$0.00

THE COMMISSIONS REPORTED ARE THOSE PAID DURING THE TIME PERIOD OF JULY 1, 2022 THROUGH JUNE 30, 2023.

2023-09-05

D/A

$3,970,716.00

Yes

$0.00

2023-09-05

D/A

$2,292,842.00

Yes

$0.00

2023-09-05

D/A

$6,172,045.00

Yes

$0.00

2023-09-01

D/A

$0.00

Yes

$0.00

Yes

RECIPIENTS IN ITEM 12 ARE PAID AN AMOUNT EQUAL TO A PERCENTAGE OF THE MANAGEMENT FEE PAID TO THE INVESTMENT MGR. (OR ITS AFFILIATE) ATTRIBUTABLE TO CERTAIN AUM AND/OR THE INCENTIVE ALLOCATION. FALLLINE TERMINATED REGISTRATION WITH THE SEC JAN. 21, 2020.

2023-08-31

D/A

$0.00

2023-08-31

D/A

$23,250,497.00

Yes

$0.00

2023-08-29

D/A

$0.00

PRIVATE PLACEMENT CLIENTS OF ROCKEFELLER FINANCIAL LLC, RAYMOND JAMES + ASSOCIATES, INC. AND RAYMOND JAMES FINANCIAL SERVICES, INC. AND MORGAN STANLEY, SMITH BARNEY, LLC MAY BE REQUIRED TO PAY AN UPFRONT PLACEMENT FEE AND/OR AN ANNUAL OR MONTHLY FEE.

2023-08-25

D/A

$1,342,701.00

Yes

$0.00

ESTIMATED FEES DO NOT INCLUDE TRAILER FEES PAID, WHICH ARE INSTEAD REFLECTED IN THE TOTAL FEES WITH RESPECT TO RIVERVIEW OPPORTUNISTIC FUND, BEGINNING FROM THE INCEPTION OF THE ISSUER AND PROJECTED THROUGH THE NEXT 12 MONTHS.

2023-08-25

D/A

$19,763,207.00

Yes

$0.00

ESTIMATE INCLUDES FEES FROM DIRECT INVESTMENT AND TRAILER FEES PAID WITH RESPECT TO RIVERVIEW OPPORTUNISTIC FUND SPC AND RIVERVIEW OPPORTUNISTIC FUND - RETIREMENT PLAN INVESTORS LP, FROM THE INCEPTION OF THE FUND AND PROJECTED THROUGH NEXT YEAR.

2023-08-25

D/A

$854,500.00

Yes

$0.00

2023-08-18

D/A

$19,530,180.00

Yes

$0.00

THE AMOUNT OF SALES COMMISSIONS IS ESTIMATED FOR THE ISSUER AND ITS PARALLEL FUND.

2023-08-18

D/A

$19,530,180.00

Yes

$0.00

THE AMOUNT OF SALES COMMISSIONS IS ESTIMATED FOR THE ISSUER AND ITS PARALLEL FUND.

2023-08-18

D/A

$3,970,716.00

Yes

$0.00

2023-08-18

D/A

$2,292,842.00

Yes

$0.00

2023-08-15

D/A

$32,000,000.00

Yes

$0.00

THE AMOUNT OF THE SALES COMMISSION IS ESTIMATED FOR THE ISSUER AND ITS RELATED VEHICLES AND REPRESENTS AN ESTIMATE OF THE TOTAL FEES.

2023-08-15

D/A

$32,000,000.00

Yes

$0.00

THE AMOUNT OF THE SALES COMMISSION IS ESTIMATED FOR THE ISSUER AND ITS RELATED VEHICLES AND REPRESENTS AN ESTIMATE OF THE TOTAL FEES.

2023-08-11

D/A

$1,416,855.00

$4,542,418.00

Yes

2023-08-11

D/A

$2,170,050.00

$5,955,957.00

Yes

2023-08-11

D/A

$434,289.00

$11,000.00

Yes

ESTIMATE REPRESENTS FEES PAID TO DATE. FINDERS RECEIVE A PORTION OF FEES PAID TO THE GENERAL PARTNER AND ITS AFFILIATES. BUTLER CAPITAL INVESTMENTS, LLC IS NO LONGER SERVING AS A PLACEMENT AGENT AS OF JANUARY 1, 2012.

2023-08-10

D/A

$305,300.00

$0.00

INCLUDES ONLY SALES COMMISSIONS AND FINDERS- FEES EXPENSES PAID BY THE ISSUER, IF ANY.

2023-08-10

D/A

$17,424,242.00

Yes

$0.00

Yes

2023-08-09

D/A

$2,517,200.00

Yes

$0.00

2023-08-09

D/A

$2,211,374.00

Yes

$0.00

2023-08-09

D/A

$7,984,904.00

$0.00

SALES COMMISSIONS REPRESENT PAYMENTS TO ALL PLACEMENT AGENTS LISTED IN THIS FORM D.

2023-08-09

D/A

$2,292,842.00

Yes

$0.00

2023-08-09

D/A

$3,970,716.00

Yes

$0.00

2023-08-08

D/A

$0.00

2023-08-04

D/A

$8,591.00

$0.00

2023-08-04

D/A

$47,740,000.00

Yes

$0.00

Yes

INCLUDES SALES COMMISSION OF FUND AND AFFILIATED FUNDS.

2023-08-04

D/A

$47,740,000.00

Yes

$0.00

Yes

INCLUDES SALES COMMISSION OF FUND AND AFFILIATED FUNDS.

2023-08-04

D/A

$47,740,000.00

Yes

$0.00

Yes

INCLUDES SALES COMMISSION OF FUND AND AFFILIATED FUNDS.

2023-08-01

D/A

$126,550.00

$0.00

2023-08-01

D/A

$8,591.00

$0.00

2023-08-01

D/A

$2,177,560.00

Yes

$0.00

Yes

SUCH FEES ARE TO BE PAID UPON SALE OF INTERESTS TO CERTAIN INVESTORS BASED ON ESTABLISHED FEE SCHEDULE AND WILL NOT BE FINALIZED UNTIL FINAL CLOSING. AMOUNTS SHOWN APPLY TO THE ISSUER AND CERTAIN AFFILIATED FUND VEHICLES.

2023-08-01

D/A

$2,177,560.00

Yes

$0.00

Yes

2023-07-27

D/A

$15,837,500.00

Yes

$0.00

Yes

THE FIGURE ABOVE REFLECTS THE ESTIMATED AGGREGATE FEES PAYABLE TO PLACEMENT AGENTS IN RESPECT OF KKR GLOBAL IMPACT FUND II SCSP.

2023-07-21

D/A

$0.00

2023-07-20

D/A

$18,676,110.00

Yes

$0.00

THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.

2023-07-18

D/A

$0.00

2023-07-17

D/A

$41,000,000.00

Yes

$0.00

SALES COMMISSION INCLUDES SALES COMMISSIONS RELATING TO LEXINGTON CAPITAL PARTNERS X, L.P.

2023-07-17

D/A

$41,000,000.00

Yes

$0.00

SALES COMMISSION INCLUDES SALES COMMISSIONS RELATING TO LCP X (OFFSHORE), L.P.

2023-07-14

D/A

$46,593,180.00

Yes

$0.00

SALES COMMISSIONS REPRESENTS AN ESTIMATE OF THE TOTAL SALES COMMISSIONS TO BE PAID TO THE ENTITIES LISTED IN ITEM 12 OVER TIME AS A RESULT OF THE ANTICIPATED SALES OF INTERESTS IN THE ISSUER AND/OR CERTAIN RELATED ENTITIES SUBJECT TO FUTURE CONTINGENCIES.

2023-07-14

D/A

$46,593,180.00

Yes

$0.00

2023-07-14

D/A

$46,593,180.00

Yes

$0.00

2023-07-14

D/A

$0.00

2023-07-14

D/A

$0.00

Yes

$0.00

Yes

2023-07-14

D/A

$9,796,348.00

Yes

$0.00

Yes

2023-07-14

D/A

$6,070,848.00

Yes

$0.00

Yes

2023-07-13

$5,000,000.00

Yes

$0.00

THE ESTIMATE INCLUDES AMOUNTS WHICH MAY BE PAYABLE IN THE NEXT 12 MONTHS.

2023-07-12

D/A

$2,374,672.00

Yes

$0.00

2023-07-12

D/A

$724,375.00

Yes

$0.00

THE AMOUNT OF SALES COMMISSION IS AN ESTIMATE OF THE TOTAL FEES TO BE PAID TO PLACEMENT AGENTS IN THE OFFERING OF INTERESTS IN THE ISSUER.

2023-07-11

D/A

$19,487.00

Yes

$0.00

2023-07-07

D/A

$4,490,373.00

Yes

$0.00

THE FIGURE DISCLOSED ABOVE REFLECTS AN ESTIMATED AMOUNT AND IS SUBJECT TO FUTURE CONTINGENCIES.

2023-07-06

D/A

$4,408,520.00

Yes

$0.00

2023-07-06

D/A

$10,256,078.00

Yes

$0.00

2023-07-06

D/A

$2,292,842.00

Yes

$0.00

2023-07-06

D/A

$3,970,716.00

Yes

$0.00

2023-07-05

D/A

$96,625.00

Yes

$0.00

2023-06-30

D/A

$4,361,396.00

Yes

$0.00

Yes

2023-06-30

D/A

$1,237,159.00

Yes

$0.00

Yes

2023-06-23

D/A

$10,600,000.00

Yes

$0.00

THE FIGURE DISCLOSED ABOVE REFLECTS ESTIMATED MAXIMUM AMOUNT AND IS SUBJECT TO FUTURE CONTINGENCIES.

2023-06-23

D/A

$0.00

2023-06-22

D/A

$3,961,996.00

Yes

$0.00

SALES COMMISSIONS REPORTED ARE THOSE PAID DURING THE TIME PERIOD OF JUNE 2022 THROUGH MAY, 2023.

2023-06-21

D/A

$1,070,848.00

$0.00

2023-06-21

D/A

$5,892,721.00

$0.00

2023-06-21

D/A

$1,152,787.00

Yes

$0.00

2023-06-21

D/A

$8,017,026.00

Yes

$0.00

2023-06-16

D/A

$1,264,930.00

Yes

$0.00

2023-06-16

D/A

$6,488,193.00

Yes

$0.00

2023-06-16

D/A

$417,450.00

Yes

$0.00

EACH INVESTOR PAYS UP TO 3% OF ITS AGGREGATE INVESTMENT TO AGENT UPFRONT, IN ADDITION TO ANY AMOUNTS INVESTED IN THE FUND. PROGRAM MANAGER PAYS AGENT A PORTION OF THE FEES PAID TO IT BY THE FUND ON AN ONGOING BASIS.

2023-06-16

D/A

$2,049,724.00

Yes

$0.00

2023-06-16

D/A

$81,895.00

Yes

$0.00

2023-06-16

D/A

$903,819.00

Yes

$0.00

2023-06-16

D/A

$1,217,634.00

Yes

$0.00

2023-06-16

D/A

$427,115.00

Yes

$0.00

2023-06-16

D/A

$0.00

THE RECIPIENTS LISTED IN ITEM 12 SERVE AS THE ISSUER-S PLACEMENT AGENTS AND ARE PAID A PLACEMENT FEE BY THE INVESTMENT MANAGER OF THE ISSUER FOR THEIR SERVICES.

2023-06-16

D/A

$0.00

THE RECIPIENTS LISTED IN ITEM 12 SERVE AS THE ISSUER-S PLACEMENT AGENTS AND ARE PAID A PLACEMENT FEE BY THE INVESTMENT MANAGER OF THE ISSUER FOR THEIR SERVICES.

2023-06-14

D/A

$11,000,000.00

Yes

$0.00

2023-06-13

D/A

$0.00

Yes

$0.00

Yes

2023-06-13

D/A

$6,162,739.00

Yes

$0.00

2023-06-13

D/A

$216,122.00

$0.00

2023-06-08

D/A

$12,168,169.00

Yes

$0.00

2023-06-07

D/A

$0.00

2023-06-07

D/A

$0.00

CERTAIN PLACEMENT AGENTS RECEIVE A PORTION OF THE MANAGEMENT FEE PAYABLE BY THE ISSUER TO THE INVESTMENT MANAGER WITH RESPECT TO CERTAIN INVESTORS IN THE FUND.

2023-06-02

D/A

$98,393.00

$0.00

2023-06-02

D/A

$0.00

Yes

$0.00

Yes

THE RECIPIENTS LISTED IN ITEM 12 ARE PAID AN AMOUNT EQUAL TO A PERCENTAGE OF THE MANAGEMENT FEE PAID TO THE INVESTMENT MANAGER (OR ITS AFFILIATE) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION.

2023-06-01

D/A

$124,261,884.00

Yes

$0.00

2023-05-24

D/A

$40,850.00

Yes

$0.00

2023-05-24

D/A

$322,281.00

Yes

$0.00

2023-05-24

D/A

$167,225.00

Yes

$0.00

2023-05-24

D/A

$3,263,230.00

Yes

$0.00

2023-05-22

D/A

$436,875.00

$0.00

2023-05-19

D/A

$3,563,170.00

Yes

$0.00

2023-05-19

D/A

$3,563,170.00

Yes

$0.00

2023-05-19

D/A

$6,681,025.00

$0.00

2023-05-19

D/A

$6,681,025.00

$0.00

2023-05-19

D/A

$1,808,454.00

Yes

$0.00

2023-05-19

D/A

$1,808,454.00

Yes

$0.00

2023-05-18

D/A

$0.00

Yes

$0.00

Yes

THE RECIPIENTS LISTED SECOND, THIRD, AND FOURTH IN ITEM 12 ARE PAID AN AMOUNT EQUAL TO A PERCENTAGE OF THE MANAGEMENT FEE PAID TO AN AFFILIATE OF THE ISSUER ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGEMENT.

2023-05-18

D/A

$786,748.00

Yes

$0.00

Yes

2023-05-17

D/A

$0.00

2023-05-17

D/A

$0.00

2023-05-16

D/A

$4,490,919.00

Yes

$0.00

HIGHLAND INFORMATION SERVICES, INC., IS NO LONGER REGISTERED AS A BROKER AND NO LONGER RECEIVES SALES COMMISSIONS FROM THE ISSUER.

2023-05-11

D/A

$293,054.00

$0.00

INCLUDES ONLY SALES COMMISSIONS AND FINDERS- FEES EXPENSES PAID BY THE ISSUER, IF ANY.

2023-05-11

D/A

$3,623,781.00

Yes

$0.00

2023-05-11

D/A

$3,358,472.00

Yes

$0.00

2023-05-11

D/A

$9,282,254.00

Yes

$0.00

2023-05-11

D/A

$10,256,078.00

Yes

$0.00

2023-05-09

D/A

$4,232,479.00

Yes

$0.00

BROKER-DEALER RECEIVES A PORTION OF THE ANNUAL MANAGEMENT FEES AND PERFORMANCE-BASED COMPENSATION (IF ANY) ASSOCIATED WITH THE INVESTOR-S INVESTMENT.

2023-05-08

D/A

$786,748.00

Yes

$0.00

Yes

2023-05-05

D/A

$0.00

Yes

$0.00

Yes

2023-05-05

D/A

$0.00

Yes

$0.00

Yes

2023-05-04

D/A

$17,424,242.00

Yes

$0.00

Yes

2023-05-04

D/A

$9,000,000.00

Yes

$0.00

2023-05-03

D/A

$25,609,500.00

Yes

$0.00

Yes

THE FIGURE ABOVE REFLECTS THE ESTIMATED AGGREGATE FEES PAYABLE TO PLACEMENT AGENTS IN RESPECT OF KKR NEXT GENERATION TECHNOLOGY GROWTH FUND III SCSP.

2023-04-26

D/A

$2,401.00

$0.00

2023-04-21

D/A

$1,916,275.00

$0.00

EMPLOYEES OF AFFILIATE OF GP ("CARLYLE") INVOLVED IN THE PLACEMENT OF ISSUER INTEREST RECEIVE COMPENSATION IN PART BASED ON THE AMOUNT OF CAPITAL RAISED FOR THE ISSUER; SUCH COMPENSATION IS BORNE BY CARLYLE AND NOT BY THE ISSUER-S INVESTORS.

2023-04-21

D/A

$1,873,476.00

Yes

$0.00

2023-04-20

D/A

$8,613.00

$0.00

2023-04-19

D/A

$19,250,000.00

Yes

$0.00

THIS ESTIMATE INCLUDES FEES WHICH MAY BE PAYABLE DURING THE NEXT 12 MONTHS.

2023-04-19

D/A

$4,750,000.00

Yes

$0.00

THE ESTIMATE INCLUDES AMOUNTS WHICH MAY BE PAYABLE IN THE NEXT 12 MONTHS.

2023-04-19

D/A

$30,000,000.00

Yes

$0.00

THE ESTIMATE INCLUDES FEES WHICH MAY BE PAYABLE DURING THE NEXT 12 MONTHS.

2023-04-18

D/A

$0.00

2023-04-14

$594,573.00

$0.00

2023-04-11

D/A

$1,200,000.00

Yes

$0.00

THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.

2023-04-11

D/A

$76,800,000.00

Yes

$0.00

THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.

2023-04-11

D/A

$28,000,000.00

Yes

$0.00

2023-04-10

D/A

$24,160,936.00

Yes

$0.00

BROKER-DEALER RECEIVES A PORTION OF THE ANNUAL MANAGEMENT FEES AND PERFORMANCE-BASED COMPENSATION (IF ANY) ASSOCIATED WITH THE INVESTOR-S INVESTMENT.

2023-04-07

D/A

$729,132.00

Yes

$0.00

ESTIMATE INCLUDES FEES THAT MAY BE PAID OVER THE NEXT 12 MONTHS.

2023-04-04

D/A

$1,928,788.00

Yes

$0.00

2023-04-03

D/A

$15,386,757.00

Yes

$0.00

2023-03-29

$0.00

$10,863,636.00

THIS INCLUDES COMPENSATION PAID IN RELATION TO THE SALE OF SHARES IN THE ISSUER.

2023-03-29

$0.00

$19,938,309.00

THIS INCLUDES COMPENSATION PAID IN RELATION TO THE SALE OF SHARES IN THE ISSUER.

2023-03-29

D/A

$10,256,078.00

Yes

$0.00

2023-03-23

D/A

$18,383,750.00

Yes

$1,600,000.00

Yes

REFLECTS AGGREGATE SALES COMMISSIONS AND FINDERS- FEES PAID BY THE ISSUER AND ITS AFFILIATED VEHICLES.

2023-03-23

D/A

$18,383,750.00

Yes

$1,600,000.00

Yes

REFLECTS AGGREGATE SALES COMMISSIONS AND FINDERS- FEES PAID BY THE ISSUER AND ITS AFFILIATED VEHICLES.

2023-03-21

D/A

$0.00

Yes

THE PERSONS/FIRMS LISTED IN ITEM 12 RECEIVE CERTAIN FEES, INCLUDING A PERCENTAGE OF THE MANAGEMENT FEES AND/OR PERFORMANCE ALLOCATIONS.

2023-03-21

D/A

$0.00

Yes

THE PERSONS/FIRMS LISTED IN ITEM 12 RECEIVE CERTAIN FEES, INCLUDING A PERCENTAGE OF THE MANAGEMENT FEES AND/OR PERFORMANCE ALLOCATIONS.

2023-03-21

D/A

$0.00

2023-03-21

D/A

$3,436,800.00

$27,316,889.00

2023-03-21

D/A

$11,350,000.00

Yes

$0.00

Yes

THE COMMISSIONS ESTIMATE REFLECTS THE ESTIMATED MAXIMUM AMOUNT (INCLUDING WHAT IS EXPECTED TO BE PAID BY THE ISSUER-S PARALLEL FUND) AND IS SUBJECT TO FUTURE CONTINGENCIES.

2023-03-21

D/A

$11,350,000.00

Yes

$0.00

Yes

THE COMMISSIONS ESTIMATE REFLECTS THE ESTIMATED MAXIMUM AMOUNT (INCLUDING WHAT IS EXPECTED TO BE PAID BY THE ISSUER-S PARALLEL FUND) AND IS SUBJECT TO FUTURE CONTINGENCIES.

2023-03-20

D/A

$1,800,000.00

Yes

$0.00

2023-03-20

D/A

$1,800,000.00

Yes

$0.00

2023-03-17

D/A

$133,706.00

Yes

$0.00

2023-03-17

D/A

$38,395.00

Yes

$0.00

2023-03-16

D/A

$6,332,946.00

Yes

$0.00

2023-03-15

D/A

$4,200,000.00

Yes

$0.00

THE ESTIMATE INCLUDES AMOUNTS WHICH MAY BE PAYABLE IN THE NEXT 12 MONTHS.

2023-03-15

D/A

$20,000,000.00

Yes

$0.00

SALES COMMISSIONS REPRESENTS THE TOTAL SALES COMMISSIONS PAID OR TO BE PAID TO THE ENTITIES LISTED IN ITEM 12 ABOVE OVER TIME AS A RESULT OFTHE SALES OR ANTICIPATED SALES OF INTERESTS IN THE ISSUER.

2023-03-15

D/A

$98,500,000.00

Yes

$0.00

THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.

2023-03-14

D/A

$10,597,504.00

Yes

$0.00

2023-03-14

D/A

$1,228,489.00

Yes

$0.00

2023-03-14

D/A

$0.00

2023-03-14

D/A

$0.00

2023-03-14

D/A

$28,000,000.00

Yes

$0.00

2023-03-13

D/A

$9,361,683.00

Yes

$0.00

2023-03-13

D/A

$3,898,889.00

Yes

$0.00

2023-03-13

D/A

$10,861,683.00

Yes

$0.00

2023-03-13

D/A

$3,398,889.00

Yes

$0.00

2023-03-13

D/A

$50,759,960.00

$0.00

2023-03-13

D/A

$15,536,919.00

$0.00

2023-03-13

D/A

$10,256,078.00

Yes

$0.00

2023-03-10

D/A

$2,166,874.00

$0.00

2023-03-10

D/A

$2,779,688.00

$0.00

2023-03-10

D/A

$5,764,747.00

$0.00

2023-03-10

D/A

$3,343,759.00

$0.00

2023-03-10

D/A

$5,787,191.00

$0.00

2023-03-06

D/A

$0.00

Yes

$0.00

Yes

2023-03-06

D/A

$0.00

Yes

$0.00

Yes

2023-03-06

D/A

$0.00

Yes

$0.00

Yes

2023-03-06

D/A

$4,100,000.00

Yes

$0.00

2023-03-06

D/A

$18,800,000.00

Yes

$0.00

(CONTINUED FROM ITEM 15) THE PLACEMENT AGENT (OUTSIDE THE ISSUER) IN ADDITION TO (AND NOT DEDUCTED FROM) INVESTMENT AMOUNTS; THE AMOUNT OF SUCH FEES ARE UNKNOWN TO THE ISSUER AND THE INVESTMENT MANAGER.

2023-03-03

D/A

$17,860,996.00

Yes

$0.00

INCLUDES SALES COMMISSIONS PAID TO ALL PLACEMENT AGENTS LISTED IN THIS FORM D. RAYMOND JAMES + ASSOCIATES INC. BECAME SUCCESSOR TO DEUTSCHE BANK ALEX. BROWN INC. IN SEPTEMBER 2016.

2023-03-03

D/A

$21,893,103.00

Yes

$0.00

INCLUDES SALES COMMISSIONS PAID TO ALL PLACEMENT AGENTS LISTED IN THIS FORM D. RAYMOND JAMES + ASSOCIATES INC. BECAME SUCCESSOR TO DEUTSCHE BANK ALEX. BROWN INC. IN SEPTEMBER 2016.

2023-03-03

D/A

$3,299,152.00

$0.00

2023-03-03

D/A

$0.00

Yes

$0.00

Yes

PLACEMENT AGENTS FEES TO BE PAID BASED UPON A FEE SCHEDULE. SUCH FEES ARE OFFSET AGAINST THE MANAGEMENT FEES PAYABLE BY THE ISSUER.

2023-03-03

D/A

$0.00

Yes

$0.00

Yes

PLACEMENT AGENTS FEES TO BE PAID BASED UPON A FEE SCHEDULE. SUCH FEES ARE OFFSET AGAINST THE MANAGEMENT FEES PAYABLE BY THE ISSUER.

2023-03-03

D/A

$0.00

Yes

$0.00

Yes

PLACEMENT AGENTS FEES TO BE PAID BASED UPON A FEE SCHEDULE. SUCH FEES ARE OFFSET AGAINST THE MANAGEMENT FEES PAYABLE BY THE ISSUER.

2023-03-03

D/A

$0.00

Yes

$0.00

Yes

2023-03-03

D/A

$2,692,719.00

$0.00

2023-03-03

D/A

$0.00

Yes

$0.00

Yes

2023-03-03

D/A

$0.00

Yes

$0.00

Yes

2023-03-02

D/A

$0.00

SALES AGENT RECEIVES A PORTION OF THE MANAGEMENT FEE PAYABLE BY THE ISSUER TO THE INVESTMENT MANAGER.

2023-03-02

D/A

$0.00

SALES AGENT RECEIVES A PORTION OF THE MANAGEMENT FEE PAYABLE BY THE ISSUER TO THE INVESTMENT MANAGER.

2023-03-02

D/A

$0.00

SALES AGENT RECEIVES A PORTION OF THE MANAGEMENT FEE PAYABLE BY THE ISSUER TO THE INVESTMENT MANAGER.

2023-02-24

D/A

$0.00

Yes

$0.00

Yes

2023-02-24

D/A

$0.00

2023-02-24

D/A

$0.00

2023-02-23

D/A

$0.00

Yes

$0.00

Yes

THE RECIPIENT LISTED SECOND IN ITEM 12 IS PAID AN AMOUNT EQUAL TO A PERCENTAGE OF THE MANAGEMENT FEE PAID TO THE INVESTMENT MANAGER (OR ITS AFFILIATE) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGEMENT.

2023-02-23

D/A

$786,748.00

Yes

$0.00

Yes

2023-02-23

D/A

$0.00

2023-02-23

D/A

$0.00

2023-02-22

D/A

$3,098,226.00

Yes

$0.00

Yes

2023-02-17

D/A

$0.00

Yes

$0.00

Yes

2023-02-17

D/A

$0.00

2023-02-17

D/A

$0.00

2023-02-16

$0.00

2023-02-15

D/A

$595,694.00

$0.00

2023-02-14

D/A

$4,008,455.00

Yes

$0.00

2023-02-14

D/A

$4,008,455.00

Yes

$0.00

2023-02-14

D/A

$0.00

Yes

$0.00

Yes

PLACEMENT AGENTS MAY RECEIVE ONGOING COMPENSATION IN RESPECT TO SELLING INTEREST. IN ADDITION, THE FUND-S MANAGER MAY PAY A PORTION OF ITS MANAGEMENT FEES TO CERTAIN AGENTS.

2023-02-14

D/A

$0.00

Yes

$0.00

Yes

PLACEMENT AGENTS MAY RECEIVE ONGOING COMPENSATION IN RESPECT TO SELLING INTEREST. IN ADDITION, THE FUND-S MANAGER MAY PAY A PORTION OF ITS MANAGEMENT FEES TO CERTAIN AGENTS.

2023-02-14

D/A

$10,256,078.00

Yes

$0.00

2023-02-10

D/A

$0.00

$5,664,532.00

Yes

2023-02-09

D/A

$0.00

Yes

$0.00

2023-02-09

D/A

$0.00

Yes

$0.00

2023-02-09

D/A

$280,609.00

$0.00

INCLUDES ONLY SALES COMMISSIONS AND FINDERS- FEES EXPENSES PAID BY THE ISSUER, IF ANY.

2023-02-06

D/A

$839,990.00

Yes

$0.00

2023-02-03

D/A

$163,110.00

$0.00

2023-02-03

D/A

$14,162,139.00

$0.00

2023-01-31

D/A

$50,000,000.00

Yes

$0.00

SALES COMMISSIONS INCLUDES SALES COMMISSIONS RELATING TO PARALLEL FUNDS.

2023-01-31

D/A

$50,000,000.00

Yes

$0.00

SALES COMMISSIONS INCLUDES SALES COMMISSIONS RELATING TO PARALLEL FUNDS.

2023-01-31

D/A

$50,000,000.00

Yes

$0.00

SALES COMMISSIONS INCLUDES SALES COMMISSIONS RELATING TO PARALLEL FUNDS.

2023-01-31

D/A

$50,000,000.00

Yes

$0.00

SALES COMMISSIONS INCLUDES SALES COMMISSIONS RELATING TO PARALLEL FUNDS.

2023-01-31

D/A

$50,000,000.00

Yes

$0.00

SALES COMMISSIONS INCLUDES SALES COMMISSIONS RELATING TO PARALLEL FUNDS.

2023-01-31

D/A

$50,000,000.00

Yes

$0.00

SALES COMMISSIONS INCLUDES SALES COMMISSIONS RELATING TO PARALLEL FUNDS.

2023-01-31

D/A

$50,000,000.00

Yes

$0.00

SALES COMMISSIONS INCLUDES SALES COMMISSIONS RELATING TO PARALLEL FUNDS.

2023-01-30

D/A

$12,300,000.00

Yes

$0.00

SALES COMMISSIONS INCLUDE SALES COMMISSIONS RELATING TO MSTV FUND II EMPLOYEES LP AND NORTH HAVEN TACTICAL VALUE FUND II LP.

2023-01-30

D/A

$12,300,000.00

Yes

$0.00

SALES COMMISSIONS INCLUDE SALES COMMISSIONS RELATING TO MSTV FUND II EMPLOYEES LP AND NORTH HAVEN TACTICAL VALUE FUND II LP.

2023-01-26

D/A

$645,000.00

Yes

$0.00

EMPLOYEES OF AFFILIATE OF GP ("CARLYLE") INVOLVED IN THE PLACEMENT OF ISSUER INTEREST RECEIVE COMPENSATION IN PART BASED ON THE AMOUNT OF CAPITAL RAISED FOR THE ISSUER, SUCH COMPENSATION IS BORNE BY CARLYLE AND NOT THE ISSUER-S INVESTORS.

2023-01-25

D/A

$18,030,180.00

Yes

$0.00

THE AMOUNT OF SALES COMMISSIONS IS ESTIMATED FOR THE ISSUER AND ITS PARALLEL FUND.

2023-01-25

D/A

$18,030,180.00

Yes

$0.00

THE AMOUNT OF SALES COMMISSIONS IS ESTIMATED FOR THE ISSUER AND ITS PARALLEL FUND.

2023-01-24

D/A

$11,255,708.00

Yes

$0.00

EMPLOYEES OF AFFILIATE OF GP ("CARLYLE") INVOLVED IN THE PLACEMENT OF ISSUER INTERESTS RECEIVE COMPENSATION IN PART BASED ON THE AMOUNT OF CAPITAL RAISED FOR THE ISSUER, SUCH COMPENSATION IS BORNE BY CARLYLE AND NOT THE ISSUER-S INVESTORS

2023-01-20

D/A

$574,185.00

$0.00

MORGAN STANLEY SMITH BARNEY LLC WILL RECEIVE CERTAIN PLACEMENT AND SERVICING FEES WITH RESPECT TO CLIENTS IT REFERS TO THE ISSUER, AS DISCLOSED TO THE APPLICABLE CLIENTS.

2023-01-13

D/A

$520,422.00

Yes

$0.00

FOR PERIOD THRU 1/1/2023. AGREEMENT WITH ABG, LLC WAS TERMINATED ON APRIL 29, 2020.

2023-01-13

D/A

$2,405,479.00

Yes

$0.00

SALES COMMISSIONS ARE PAID BY ENERGY INCOME PARTNERS, LLC, NOT THE ISSUER.

2023-01-12

D/A

$2,100,000.00

Yes

$0.00

2023-01-10

D/A

$15,386,757.00

Yes

$0.00

2023-01-05

D/A

$3,504,761.00

Yes

$0.00

2023-01-05

D/A

$5,902,082.00

Yes

$0.00

2023-01-03

D/A

$22,500,000.00

Yes

$0.00

2022-12-30

D/A

$8,001,850.00

$0.00

2022-12-28

D/A

$0.00

Yes

$0.00

Yes

PLACEMENT AGENT FEES ARE TO BE PAID BASED UPON AN ESTABLISHED FEE SCHEDULE. SUCH FEES ARE OFFSET DOLLAR FOR DOLLAR AGAINST THE MANAGEMENT FEES PAYABLE BY THE ISSUER, AS FURTHER DISCLOSED IN THE ISSUER-S AGREEMENT.

2022-12-28

D/A

$0.00

Yes

$0.00

Yes

2022-12-28

$67,543,370.00

$0.00

2022-12-21

D/A

$0.00

Yes

$0.00

Yes

2022-12-20

D/A

$0.00

2022-12-20

D/A

$3,763,938.00

$0.00

2022-12-19

D/A

$0.00

2022-12-19

D/A

$0.00

2022-12-16

D/A

$4,408,520.00

Yes

$0.00

2022-12-13

D/A

$15,386,757.00

Yes

$0.00

2022-12-09

D/A

$3,618,781.00

Yes

$0.00

2022-12-09

D/A

$1,762,156.00

Yes

$0.00

2022-12-08

D/A

$0.00

EMPLOYEES OF AFFILIATE OF GP ("CARLYLE") INVOLVED IN THE PLACEMENT OF THE ISSUER INTERESTS RECEIVE COMPENSATION IN PART BASED ON THE AMOUNT OF CAPITAL RAISED FOR THE ISSUER, SUCH COMPENSATION IS BORNE BY CARLYLE AND THE ISSUER-S INVESTORS.

2022-12-08

D/A

$964,843.00

Yes

$0.00

2022-12-07

D/A

$0.00

2022-12-07

D/A

$0.00

2022-12-01

$1,424,680.00

$0.00

2022-11-30

D/A

$30,000,000.00

Yes

$0.00

THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS. CREDIT SUISSE SECURITIES (USA) LLC IS THE FORMER FIRM OF THE INDIVIDUALS LISTED IN ITEM 12.

2022-11-30

D/A

$105,500,000.00

Yes

$0.00

THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.

2022-11-30

D/A

$0.00

NONE OF THE RECIPIENTS IN ITEM 12 HEREOF ARE COMPENSATED BY THE ISSUER.

2022-11-30

D/A

$35,000,000.00

Yes

$0.00

SALES COMMISSION INCLUDES SALES COMMISSIONS RELATING TO LCP X (OFFSHORE), L.P.

2022-11-30

D/A

$35,000,000.00

Yes

$0.00

SALES COMMISSION INCLUDES SALES COMMISSIONS RELATING TO LEXINGTON CAPITAL PARTNERS X, L.P.

2022-11-28

D/A

$15,386,757.00

Yes

$0.00

2022-11-16

D/A

$0.00

2022-11-16

D/A

$0.00

Yes

$0.00

Yes

2022-11-16

D/A

$0.00

Yes

$0.00

Yes

2022-11-15

D/A

$11,993,625.00

Yes

$0.00

SALES COMMISSIONS INCLUDES AMOUNTS OF A PARALLEL FUND.

2022-11-15

D/A

$11,993,625.00

Yes

$0.00

SALES COMMISSIONS INCLUDES AMOUNTS OF A PARALLEL FUND

2022-11-10

D/A

$269,261.00

$0.00

INCLUDES ONLY SALES COMMISSIONS AND FINDERS- FEES EXPENSES PAID BY THE ISSUER, IF ANY.

2022-11-09

D/A

$0.00

2022-11-08

D/A

$2,516,912.00

Yes

$0.00

2022-11-08

D/A

$0.00

2022-11-08

D/A

$9,000,848.00

$0.00

2022-11-07

D/A

$15,386,757.00

Yes

$0.00

2022-11-04

D/A

$5,425,000.00

Yes

$0.00

PLACEMENT AGENT FEES REFLECT AMOUNTS THAT MAY BE PAID IN CONNECTION WITH THE ISSUER AND AFFILIATED FUNDS IN THE OFFERING.

2022-11-04

D/A

$5,425,000.00

Yes

$0.00

PLACEMENT AGENT FEES REFLECT AMOUNTS THAT MAY BE PAID IN CONNECTION WITH THE ISSUER AND AFFILIATED FUNDS IN THE OFFERING.

2022-11-04

D/A

$5,425,000.00

Yes

$0.00

PLACEMENT AGENT FEES REFLECT AMOUNTS THAT MAY BE PAID IN CONNECTION WITH THE ISSUER AND AFFILIATED FUNDS IN THE OFFERING.

2022-11-04

D/A

$5,425,000.00

Yes

$0.00

PLACEMENT AGENT FEES REFLECT AMOUNTS THAT MAY BE PAID IN CONNECTION WITH THE ISSUER AND AFFILIATED FUNDS IN THE OFFERING.

2022-11-02

D/A

$59,100,000.00

Yes

$0.00

SALES COMMISSIONS INCLUDE SALES COMMISSIONS RELATING TO STRATEGIC PARTNERS IX L.P. AND STRATEGIC PARTNERS OFFSHORE IX L.P.

2022-11-02

D/A

$59,100,000.00

Yes

$0.00

SALES COMMISSIONS INCLUDE SALES COMMISSIONS RELATING TO STRATEGIC PARTNERS IX L.P. AND STRATEGIC PARTNERS OFFSHORE IX L.P.

2022-10-28

D/A

$10,754,185.00

$0.00

2022-10-27

D/A

$0.00

$65,539,669.00

THE TOTAL DOLLAR AMOUNT OF FINDERS- FEES REFLECTS THE TOTAL AMOUNT PAID TO UBS AND MSSB FROM INCEPTION TO DATE.

2022-10-27

D/A

$0.00

$25,521,283.00

THE TOTAL DOLLAR AMOUNT OF FINDERS- FEES REFLECTS THE TOTAL AMOUNT PAID TO UBS + MSSB FROM INCEPTION TO DATE

2022-10-25

D/A

$0.00

Yes

$0.00

Yes

AMOUNTS TO BE PAID, IF ANY, TO RECIPIENTS IN ITEM 12 WILL BE DETERMINED GENERALLY BASED ON A PERCENTAGE OF CAPITAL RAISED.

2022-10-25

D/A

$0.00

Yes

$0.00

Yes

AMOUNTS TO BE PAID, IF ANY, TO RECIPIENTS IN ITEM 12 WILL BE DETERMINED GENERALLY BASED ON A PERCENTAGE OF CAPITAL RAISED.

2022-10-24

D/A

$3,080,195.00

Yes

$0.00

2022-10-24

D/A

$3,080,195.00

Yes

$0.00

2022-10-24

D/A

$15,386,757.00

Yes

$0.00

2022-10-20

D/A

$17,362,500.00

Yes

$0.00

SALES COMMISSIONS INCLUDES SALES COMMISSION RELATING TO PARALLEL FUNDS.

2022-10-20

D/A

$111,092.00

$0.00

2022-10-14

D/A

$0.00

$234,750.00

A COMMISSION WILL BE PAID AFTER EACH OF THE ISSUER-S CLOSINGS BASED ON A PERCENTAGE OF THE SUBSCRIPTIONS OF CERTAIN OF THE ISSUER-S LIMITED PARTNERS.

2022-10-14

D/A

$0.00

$234,750.00

A COMMISSION WILL BE PAID AFTER EACH OF THE ISSUER-S CLOSINGS BASED ON A PERCENTAGE OF THE SUBSCRIPTIONS OF CERTAIN OF THE ISSUER-S LIMITED PARTNERS.

2022-10-14

D/A

$0.00

$234,750.00

A COMMISSION WILL BE PAID AFTER EACH OF THE ISSUER-S CLOSINGS BASED ON A PERCENTAGE OF THE SUBSCRIPTIONS OF CERTAIN OF THE ISSUER-S LIMITED PARTNERS.

2022-10-14

D/A

$6,298,013.00

Yes

$0.00

FOR PERIOD THROUGH 10/1/2022. AGREEMENT WITH ABG, LLC WAS TERMINATED ON APRIL 29, 2020.

2022-10-14

D/A

$1,281.00

$0.00

2022-10-14

D/A

$11,858.00

$0.00

2022-10-11

D/A

$0.00

Yes

$0.00

Yes

AMOUNTS TO BE PAID TO CERTAIN RECIPIENTS LISTED IN ITEM 12 (SALES COMPENSATION) WILL BE DETERMINED BASED ON A PERCENTAGE OF CAPITAL RAISED FROM CERTAIN LIMITED PARTNERS.

2022-10-11

D/A

$0.00

Yes

$0.00

Yes

AMOUNTS TO BE PAID TO CERTAIN RECIPIENTS LISTED IN ITEM 12 (SALES COMPENSATION) WILL BE DETERMINED BASED ON A PERCENTAGE OF CAPITAL RAISED FROM CERTAIN LIMITED PARTNERS.

2022-10-11

D/A

$0.00

Yes

$0.00

Yes

AMOUNTS TO BE PAID TO CERTAIN RECIPIENTS LISTED IN ITEM 12 (SALES COMPENSATION) WILL BE DETERMINED BASED ON A PERCENTAGE OF CAPITAL RAISED FROM CERTAIN LIMITED PARTNERS.

2022-10-11

D/A

$0.00

Yes

$0.00

Yes

PLACEMENT AGENT FEES TO BE PAID BASED UPON A FEE SCHEDULE. SUCH FEES ARE OFFSET AGAINST THE MANAGEMENT FEES PAYABLE BY THE ISSUER.

2022-10-11

D/A

$0.00

Yes

$0.00

Yes

PLACEMENT AGENT FEES TO BE PAID BASED UPON A FEE SCHEDULE. SUCH FEES ARE OFFSET AGAINST THE MANAGEMENT FEES PAYABLE BY THE ISSUER.

2022-10-11

D/A

$0.00

Yes

$0.00

Yes

PLACEMENT AGENT FEES TO BE PAID BASED UPON A FEE SCHEDULE. SUCH FEES ARE OFFSET AGAINST THE MANAGEMENT FEES PAYABLE BY THE ISSUER.

2022-10-11

D/A

$15,386,757.00

Yes

$0.00

2022-10-07

D/A

$5,986,788.00

Yes

$0.00

INCLUDES AMOUNTS PAID FOR SOLICITATION OUTSIDE OF THE UNITED STATES.

2022-10-06

D/A

$1,464,044.00

Yes

$0.00

Yes

2022-10-03

D/A

$2,904,144.00

$0.00

SALES COMMISSIONS REPRESENT PAYMENTS TO ALL PLACEMENT AGENTS LISTED IN THIS FORM D.

2022-10-03

D/A

$3,975,027.00

Yes

$0.00

2022-10-03

D/A

$3,975,027.00

Yes

$0.00

2022-09-30

D/A

$13,639,807.00

Yes

$0.00

2022-09-30

D/A

$5,731,969.00

Yes

$0.00

2022-09-30

D/A

$0.00

Yes

$0.00

PERSONS NAMED IN ITEM 12 WILL BE PAID COMMISSIONS ON THOSE INVESTORS THAT THEY HAVE INTRODUCED TO THE ISSUER. THE TOTAL AMOUNT OF SUCH PAYMENTS CANNOT BE ESTIMATED AT THIS TIME.

2022-09-30

D/A

$0.00

Yes

$0.00

PERSONS NAMED IN ITEM 12 WILL BE PAID COMMISSIONS ON THOSE INVESTORS THAT THEY HAVE INTRODUCED TO THE ISSUER. THE TOTAL AMOUNT OF SUCH PAYMENTS CANNOT BE ESTIMATED AT THIS TIME.

2022-09-29

D/A

$4,408,520.00

Yes

$0.00

2022-09-29

D/A

$4,408,520.00

Yes

$0.00

2022-09-27

D/A

$15,386,757.00

Yes

$0.00

2022-09-26

D/A

$5,497,277.00

Yes

$0.00

Yes

2022-09-21

D/A

$4,599,001.00

$0.00

2022-09-21

D/A

$2,863,625.00

$0.00

2022-09-19

D/A

$0.00

2022-09-19

D/A

$0.00

2022-09-16

D/A

$0.00

Yes

$0.00

Yes

AMOUNTS TO BE PAID TO CERTAIN RECIPIENTS LISTED IN ITEM 12 (SALES COMPENSATION) WILL BE DETERMINED BASED ON A PERCENTAGE OF CAPITAL COMMITMENTS FROM CERTAIN LIMITED PARTNERS.

2022-09-16

D/A

$0.00

Yes

$0.00

Yes

AMOUNTS TO BE PAID TO CERTAIN RECIPIENTS LISTED IN ITEM 12 (SALES COMPENSATION) WILL BE DETERMINED BASED ON A PERCENTAGE OF CAPITAL COMMITMENTS FROM CERTAIN LIMITED PARTNERS.

2022-09-16

D/A

$0.00

Yes

$0.00

Yes

AMOUNTS TO BE PAID TO CERTAIN RECIPIENTS LISTED IN ITEM 12 (SALES COMPENSATION) WILL BE DETERMINED BASED ON A PERCENTAGE OF CAPITAL COMMITMENTS FROM CERTAIN LIMITED PARTNERS.

2022-09-16

D/A

$2,728,636.00

$0.00

2022-09-15

D/A

$4,818,638.00

Yes

$0.00

2022-09-14

D/A

$15,914,601.00

Yes

$0.00

Yes

2022-09-13

D/A

$545,000.00

$0.00

2022-09-12

D/A

$15,386,757.00

Yes

$0.00

2022-09-09

D/A

$354,324.00

Yes

$0.00

Yes

2022-09-08

D/A

$350,000.00

Yes

$0.00

THE ESTIMATE INCLUDES FEES THAT MAY BE PAYABLE DURING THE NEXT 12 MONTHS

2022-09-08

D/A

$850,000.00

Yes

$0.00

THE ESTIMATE INCLUDES AMOUNTS THAT MAY BE PAYABLE IN THE NEXT 12 MONTHS.

2022-09-07

D/A

$1,076,565.00

Yes

$0.00

THE COMMISSIONS REPORTED ARE THOSE PAID DURING THE TIME PERIOD OF JULY 1, 2021 THROUGH JUNE 30, 2022.

2022-09-02

D/A

$0.00

Yes

$0.00

Yes

2022-08-31

D/A

$15,963,520.00

Yes

$0.00

2022-08-30

D/A

$15,386,757.00

Yes

$0.00

2022-08-26

D/A

$1,342,701.00

Yes

$0.00

2022-08-26

D/A

$19,361,585.00

Yes

$0.00

2022-08-26

D/A

$854,500.00

Yes

$0.00

2022-08-26

D/A

$4,795,848.00

Yes

$0.00

ESTIMATED FEES BEGINNING FROM THE ISSUER-S INCEPTION AND PROJECTED THROUGH THE NEXT 12 MONTHS.

2022-08-25

D/A

$0.00

2022-08-25

D/A

$0.00

Yes

$0.00

Yes

2022-08-25

D/A

$0.00

Yes

$0.00

Yes

2022-08-22

D/A

$0.00

Yes

$0.00

Yes

THE ENTITIES LISTED IN ITEM 12 WILL EACH RECEIVE A FEE FOR CERTAIN INVESTORS THAT INVEST IN THE ISSUER IN AN AMOUNT EQUAL TO A PERCENTAGE OF SUCH INVESTORS- COMMITMENTS TO THE ISSUER.

2022-08-22

D/A

$0.00

Yes

$0.00

Yes

THE ENTITY LISTED IN ITEM 12 WILL RECEIVE A FEE FOR CERTAIN INVESTORS THAT INVEST IN THE ISSUER IN AN AMOUNT EQUAL TO A PERCENTAGE OF THE INVESTORS- COMMITMENT TO THE ISSUER.

2022-08-22

D/A

$65,700.00

$0.00

OFFERS AND SALES OF THE FUND WILL BE MADE BY AND THROUGH PIMCO INVESTMENTS LLC. HOWEVER, PIMCO INVESTMENTS LLC WILL NOT RECIEVE ANY SALES COMMISSIONS FOR ITS SERVICES.

2022-08-22

D/A

$0.00

OFFERS AND SALES OF THE FUND WILL BE MADE BY AND THROUGH PIMCO INVESTMENTS LLC. HOWEVER, PIMCO INVESTMENTS LLC WILL NOT RECIEVE ANY SALES COMMISSIONS FOR ITS SERVICES.

2022-08-22

D/A

$180,687.00

$0.00

OFFERS AND SALES OF THE FUND WILL BE MADE BY AND THROUGH PIMCO INVESTMENTS LLC. HOWEVER, PIMCO INVESTMENTS LLC WILL NOT RECIEVE ANY SALES COMMISSIONS FOR ITS SERVICES.

2022-08-22

D/A

$46,118.00

$0.00

OFFERS AND SALES OF THE FUND WILL BE MADE BY AND THROUGH PIMCO INVESTMENTS LLC. HOWEVER, PIMCO INVESTMENTS LLC WILL NOT RECEIVE ANY SALES COMMISSIONS FOR ITS SERVICES.

2022-08-22

D/A

$15,386,757.00

Yes

$0.00

2022-08-16

D/A

$8,052,047.00

Yes

$0.00

2022-08-16

D/A

$8,424,966.00

Yes

$0.00

2022-08-12

D/A

$1,416,855.00

$4,467,067.00

Yes

2022-08-12

D/A

$2,170,050.00

$5,864,185.00

Yes

2022-08-12

D/A

$7,875,000.00

Yes

$0.00

THE FIGURE DISCLOSED ABOVE REFLECTS AN ESTIMATED AMOUNT AND IS SUBJECT TO FUTURE CONTINGENCIES.

2022-08-11

D/A

$258,132.00

$0.00

INCLUDES ONLY SALES COMMISSIONS AND FINDERS- FEES EXPENSES PAID BY THE ISSUER, IF ANY.

2022-08-10

D/A

$710,000.00

Yes

$0.00

2022-08-09

D/A

$3,213,671.00

$0.00

SALES COMMISSIONS REPRESENT PAYMENTS TO ALL PLACEMENT AGENTS LISTED IN THIS FORM D.

2022-07-27

D/A

$102,637.00

$0.00

2022-07-27

D/A

$4,368.00

$0.00

2022-07-26

D/A

$71,986.00

$0.00

2022-07-25

D/A

$1,587,000.00

Yes

$0.00

2022-07-25

D/A

$1,985,732.00

Yes

$0.00

2022-07-25

D/A

$3,354,496.00

Yes

$0.00

2022-07-25

D/A

$2,541,168.00

Yes

$0.00

2022-07-25

D/A

$986,694.00

Yes

$0.00

2022-07-25

D/A

$2,748,795.00

Yes

$0.00

2022-07-25

D/A

$53,930.00

Yes

$0.00

2022-07-25

D/A

$1,308,234.00

Yes

$0.00

2022-07-25

D/A

$657,093.00

Yes

$0.00

2022-07-25

D/A

$2,850,090.00

Yes

$0.00

2022-07-22

$0.00

2022-07-22

$0.00

2022-07-22

D/A

$15,644,000.00

Yes

$0.00

THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.

2022-07-20

D/A

$0.00

2022-07-19

D/A

$9,644,545.00

Yes

$0.00

2022-07-19

D/A

$9,644,545.00

Yes

$0.00

2022-07-19

D/A

$9,644,545.00

Yes

$0.00

2022-07-19

D/A

$0.00

2022-07-19

D/A

$0.00

2022-07-18

D/A

$0.00

2022-07-18

D/A

$0.00

Yes

$0.00

PERSONS NAMED IN ITEM 12 WILL BE PAID COMMISSIONS ON THOSE INVESTORS THAT THEY HAVE INTRODUCED TO THE ISSUER. SUCH PAYMENTS CANNOT BE ESTIMATED AT THIS TIME.

2022-07-18

D/A

$0.00

Yes

$0.00

PERSONS NAMED IN ITEM 12 WILL BE PAID COMMISSIONS ON THOSE INVESTORS THAT THEY HAVE INTRODUCED TO THE ISSUER. SUCH PAYMENTS CANNOT BE ESTIMATED AT THIS TIME.

2022-07-15

D/A

$0.00

2022-07-15

D/A

$0.00

Yes

$0.00

Yes

2022-07-15

D/A

$7,932,129.00

Yes

$0.00

Yes

2022-07-15

D/A

$4,893,485.00

Yes

$0.00

Yes

2022-07-12

D/A

$1,937,054.00

Yes

$0.00

2022-07-12

D/A

$11,500.00

$0.00

2022-07-12

D/A

$4,150.00

$0.00

2022-07-11

D/A

$19,487.00

Yes

$0.00

2022-07-05

D/A

$4,408,520.00

Yes

$0.00

2022-06-30

D/A

$2,818,995.00

Yes

$190,715.00

Yes

2022-06-30

D/A

$633,763.00

Yes

$200,441.00

Yes

2022-06-30

D/A

$25,609,500.00

Yes

$0.00

Yes

THE FIGURE ABOVE REFLECTS THE ESTIMATED AGGREGATE FEES PAYABLE TO PLACEMENT AGENTS IN RESPECT OF KKR NEXT GENERATION TECHNOLOGY GROWTH FUND III SCSP.

2022-06-29

D/A

$889,761.00

Yes

$0.00

2022-06-29

D/A

$889,761.00

Yes

$0.00

2022-06-28

D/A

$15,914,601.00

Yes

$0.00

Yes

2022-06-24

D/A

$3,295,092.00

Yes

$0.00

SALES COMMISSIONS REPORTED ARE THOSE PAID DURING THE TIME PERIOD OF JUNE 2021 THROUGH MAY, 2022.

2022-06-22

D/A

$35,433,641.00

Yes

$0.00

2022-06-22

D/A

$504,569.00

Yes

$0.00

2022-06-21

D/A

$1,060,101.00

Yes

$0.00

2022-06-21

D/A

$7,581,781.00

Yes

$0.00

2022-06-17

D/A

$1,225,580.00

Yes

$0.00

2022-06-17

D/A

$6,488,193.00

Yes

$0.00

2022-06-17

D/A

$394,605.00

Yes

$0.00

2022-06-17

D/A

$1,723,974.00

Yes

$0.00

2022-06-17

D/A

$72,895.00

Yes

$0.00

2022-06-17

D/A

$903,819.00

Yes

$0.00

2022-06-17

D/A

$1,165,229.00

Yes

$0.00

2022-06-17

D/A

$424,615.00

Yes

$0.00

2022-06-17

D/A

$1,807,633.00

Yes

$0.00

2022-06-17

D/A

$176,609.00

$0.00

2022-06-17

D/A

$3,015,611.00

Yes

$0.00

2022-06-14

D/A

$0.00

Yes

$0.00

2022-06-14

D/A

$0.00

Yes

$0.00

2022-06-14

D/A

$0.00

Yes

$0.00

2022-06-14

D/A

$0.00

Yes

$0.00

2022-06-14

D/A

$10,000,000.00

Yes

$0.00

2022-06-08

D/A

$8,382,500.00

Yes

$0.00

2022-06-03

D/A

$0.00

Yes

$0.00

Yes

2022-06-01

D/A

$22,000,000.00

Yes

$0.00

THE ESTIMATE INCLUDES FEES WHICH MAY BE PAYABLE DURING THE NEXT 12 MONTHS.

2022-05-31

D/A

$0.00

2022-05-31

D/A

$4,094,573.00

Yes

$0.00

Yes

2022-05-26

D/A

$3,500,000.00

Yes

$0.00

THE ESTIMATE INCLUDES AMOUNTS WHICH MAY BE PAYABLE IN THE NEXT 12 MONTHS.

2022-05-26

D/A

$15,000,000.00

Yes

$0.00

THIS ESTIMATE INCLUDES FEES WHICH MAY BE PAYABLE DURING THE NEXT 12 MONTHS.

2022-05-26

D/A

$22,000,000.00

Yes

$0.00

THE ESTIMATE INCLUDES FEES WHICH MAY BE PAYABLE DURING THE NEXT 12 MONTHS.

2022-05-24

D/A

$40,850.00

Yes

$0.00

2022-05-24

D/A

$322,281.00

Yes

$0.00

2022-05-24

D/A

$163,100.00

Yes

$0.00

2022-05-24

D/A

$3,203,898.00

Yes

$0.00

2022-05-24

D/A

$100,550.00

$0.00

2022-05-24

D/A

$614,500.00

$0.00

2022-05-23

D/A

$1,208,963.00

$0.00

2022-05-19

D/A

$116,373,026.00

Yes

$0.00

2022-05-18

D/A

$4,408,520.00

Yes

$0.00

2022-05-16

$0.00

2022-05-16

D/A

$4,064,633.00

Yes

$0.00

HIGHLAND INFORMATION SERVICES, INC., IS NO LONGER REGISTERED AS A BROKER AND NO LONGER RECEIVES SALES COMMISSIONS FROM THE ISSUER.

2022-05-12

D/A

$246,734.00

$0.00

INCLUDES ONLY SALES COMMISSIONS AND FINDERS- FEES EXPENSES PAID BY THE ISSUER, IF ANY.

2022-05-11

D/A

$3,563,577.00

Yes

$0.00

2022-05-11

D/A

$9,028,836.00

Yes

$0.00

2022-05-11

D/A

$3,254,785.00

Yes

$0.00

2022-05-09

D/A

$1,990,579.00

Yes

$0.00

BROKER-DEALER RECEIVES A PORTION OF THE ANNUAL MANAGEMENT FEES AND PERFORMANCE-BASED COMPENSATION (IF ANY) ASSOCIATED WITH THE INVESTOR-S INVESTMENT.

2022-05-06

D/A

$75,000,000.00

Yes

$0.00

THE AMOUNT OF THE SALES COMMISSION IS ESTIMATED FOR THE ISSUER AND ITS PARALLEL VEHICLES AND REPRESENTS AN ESTIMATE OF THE TOTAL FEES TO BE PAID TO PLACEMENT AGENTS IN THE OFFERING OF INTERESTS IN THE ISSUER AND THOSE VEHICLES.

2022-05-06

D/A

$75,000,000.00

Yes

$0.00

2022-05-06

D/A

$75,000,000.00

Yes

$0.00

2022-05-06

D/A

$75,000,000.00

Yes

$0.00

2022-05-06

D/A

$0.00

Yes

$0.00

Yes

2022-05-06

D/A

$0.00

Yes

$0.00

Yes

2022-05-04

D/A

$8,000,000.00

Yes

$0.00

PLACEMENT AGENT FEE.

2022-05-04

D/A

$5,000,000.00

Yes

$0.00

2022-05-04

D/A

$6,800,000.00

Yes

$0.00

2022-05-02

D/A

$0.00

Yes

$0.00

Yes

AMOUNTS TO BE PAID TO CERTAIN RECIPIENTS LISTED IN ITEM 12 (SALES COMPENSATION) WILL BE DETERMINED BASED ON A PERCENTAGE OF CAPITAL RAISED FROM CERTAIN LIMITED PARTNERS.

2022-05-02

D/A

$0.00

Yes

$0.00

Yes

AMOUNTS TO BE PAID TO CERTAIN RECIPIENTS LISTED IN ITEM 12 (SALES COMPENSATION) WILL BE DETERMINED BASED ON A PERCENTAGE OF CAPITAL RAISED FROM CERTAIN LIMITED PARTNERS.

2022-05-02

D/A

$0.00

Yes

$0.00

Yes

AMOUNTS TO BE PAID TO CERTAIN RECIPIENTS LISTED IN ITEM 12 (SALES COMPENSATION) WILL BE DETERMINED BASED ON A PERCENTAGE OF CAPITAL RAISED FROM CERTAIN LIMITED PARTNERS.

2022-04-26

D/A

$3,612,478.00

Yes

$0.00

2022-04-25

D/A

$0.00

2022-04-22

D/A

$1,747,729.00

Yes

$0.00

2022-04-20

$1,470,721.00

$0.00

2022-04-18

D/A

$3,534,435.00

Yes

$0.00

Yes

2022-04-15

D/A

$363,370.00

$0.00

MORGAN STANLEY SMITH BARNEY LLC WILL RECEIVE CERTAIN PLACEMENT AND SERVICING FEES WITH RESPECT TO CLIENTS IT REFERS TO THE ISSUER, AS DISCLOSED TO THE APPLICABLE CLIENTS.

2022-04-13

D/A

$1,600,000.00

Yes

$0.00

THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.

2022-04-13

D/A

$75,300,000.00

Yes

$0.00

THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.

2022-04-11

D/A

$23,000,000.00

Yes

$0.00

2022-04-11

D/A

$24,160,936.00

Yes

$0.00

BROKER-DEALER RECEIVES A PORTION OF THE ANNUAL MANAGEMENT FEES AND PERFORMANCE-BASED COMPENSATION (IF ANY) ASSOCIATED WITH THE INVESTOR-S INVESTMENT.

2022-04-08

D/A

$647,818.00

Yes

$0.00

ESTIMATE INCLUDES FEES THAT MAY BE PAID OVER THE NEXT 12 MONTHS.

2022-04-08

D/A

$15,914,601.00

Yes

$0.00

Yes

2022-04-07

D/A

$0.00

2022-04-07

D/A

$0.00

Yes

$0.00

Yes

2022-04-07

D/A

$4,094,573.00

Yes

$0.00

Yes

2022-04-06

D/A

$0.00

Yes

$0.00

Yes

2022-03-31

$0.00

CERTAIN PRIVATE PLACEMENT CLIENTS OF MORGAN STANLEY SMITH BARNEY, LLC (MSSB) ARE REQUIRED TO PAY (I) AN UPFRONT PLACEMENT FEE DIRECTLY TO MSSB AND (II) AN ANNUAL ONGOING FEE TO THE FUND (WHICH IS THEN PAID TO MSSB).

2022-03-31

$0.00

CERTAIN PRIVATE PLACEMENT CLIENTS OF MORGAN STANLEY, SMITH BARNEY, LLC (MSSB) ARE REQUIRED TO PAY (I) AN UPFRONT PLACEMENT FEE TO MSSB AND (II) AN ANNUAL ONGOING FEE TO THE FUND (WHICH IS THEN PAID TO MSSB).

2022-03-30

D/A

$5,210,513.00

$0.00

2022-03-29

D/A

$3,821,754.00

$23,762,248.00

2022-03-28

D/A

$10,000,000.00

Yes

$0.00

THIS AMOUNT INCLUDES FEES EXPECTED TO BE PAID WITH RESPECT TO THIS LIMITED PARTNERSHIP AND ITS RELATED VEHICLES.

2022-03-28

D/A

$10,000,000.00

Yes

$0.00

THIS AMOUNT INCLUDES FEES EXPECTED TO BE PAID WITH RESPECT TO THIS LIMITED PARTNERSHIP AND ITS RELATED VEHICLES.

2022-03-25

D/A

$9,590,000.00

Yes

$0.00

Yes

INCLUDES SALES COMMISSIONS OF FUND AND AFFILIATED FUNDS.

2022-03-25

D/A

$9,590,000.00

Yes

$0.00

Yes

INCLUDES SALES COMMISSIONS OF FUND AND AFFILIATED FUNDS.

2022-03-25

D/A

$5,180,000.00

Yes

$0.00

Yes

2022-03-24

D/A

$0.00

Yes

$0.00

Yes

2022-03-24

D/A

$0.00

$8,549,777.00

THIS INCLUDES COMPENSATION PAID IN RELATION TO THE SALE OF SHARES IN THE ISSUER.

2022-03-24

D/A

$0.00

$15,565,430.00

THIS INCLUDES COMPENSATION PAID IN RELATION TO THE SALE OF SHARES IN THE ISSUER.

2022-03-24

D/A

$0.00

Yes

$0.00

Yes

2022-03-24

D/A

$0.00

Yes

$0.00

Yes

2022-03-23

D/A

$18,050,000.00

Yes

$1,400,000.00

Yes

REFLECTS AGGREGATE SALES COMMISSIONS AND FINDERS- FEES PAID BY THE ISSUER AND ITS AFFILIATED VEHICLES.

2022-03-23

D/A

$18,050,000.00

Yes

$1,400,000.00

Yes

REFLECTS AGGREGATE SALES COMMISSIONS AND FINDERS- FEES PAID BY THE ISSUER AND ITS AFFILIATED VEHICLES.

2022-03-22

D/A

$3,436,800.00

$27,280,807.00

2022-03-21

D/A

$0.00

Yes

THE PERSONS/FIRMS LISTED IN ITEM 12 RECEIVE CERTAIN FEES, INCLUDING A PERCENTAGE OF THE MANAGEMENT FEES AND/OR PERFORMANCE ALLOCATIONS.

2022-03-21

D/A

$0.00

Yes

THE PERSONS/FIRMS LISTED IN ITEM 12 RECEIVE CERTAIN FEES, INCLUDING A PERCENTAGE OF THE MANAGEMENT FEES AND/OR PERFORMANCE ALLOCATIONS.

2022-03-18

D/A

$3,156.00

Yes

$0.00

2022-03-18

D/A

$1,187.00

Yes

$0.00

2022-03-16

D/A

$0.00

Yes

$0.00

Yes

2022-03-16

D/A

$5,538,752.00

Yes

$0.00

2022-03-16

D/A

$0.00

Yes

$0.00

Yes

2022-03-16

D/A

$0.00

Yes

$0.00

Yes

2022-03-15

D/A

$0.00

2022-03-15

D/A

$20,000,000.00

Yes

$0.00

SALES COMMISSIONS REPRESENTS THE TOTAL SALES COMMISSIONS PAID OR TO BE PAID TO THE ENTITIES LISTED IN ITEM 12 ABOVE OVER TIME AS A RESULT OF THE SALES OR ANTICIPATED SALES OF INTERESTS IN THE ISSUER.

2022-03-14

$0.00

2022-03-14

D/A

$23,000,000.00

Yes

$0.00

2022-03-14

D/A

$86,400,000.00

Yes

$0.00

THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.

2022-03-11

D/A

$4,586,714.00

$0.00

2022-03-11

D/A

$1,111,098.00

$0.00

2022-03-11

D/A

$5,681,583.00

$0.00

2022-03-11

D/A

$5,397,427.00

$0.00

2022-03-11

D/A

$2,166,874.00

$0.00

2022-03-09

D/A

$50,479,799.00

$0.00

2022-03-09

D/A

$12,583,946.00

$0.00

2022-03-04

D/A

$16,925,309.00

Yes

$0.00

INCLUDES SALES COMMISSIONS PAID TO ALL PLACEMENT AGENTS LISTED IN THIS FORM D. RAYMOND JAMES + ASSOCIATES INC. BECAME SUCCESSOR TO DEUTSCHE BANK ALEX. BROWN INC. IN SEPTEMBER 2016.

2022-03-04

D/A

$21,278,279.00

Yes

$0.00

INCLUDES SALES COMMISSIONS PAID TO ALL PLACEMENT AGENTS LISTED IN THIS FORM D. RAYMOND JAMES + ASSOCIATES INC. BECAME SUCCESSOR TO DEUTSCHE BANK ALEX. BROWN INC. IN SEPTEMBER 2016.

2022-03-04

D/A

$0.00

2022-03-04

D/A

$436,875.00

$0.00

2022-03-02

D/A

$0.00

SALES AGENT RECEIVES A PORTION OF THE MANAGEMENT FEE PAYABLE BY THE ISSUER TO THE INVESTMENT MANAGER.

2022-03-02

D/A

$0.00

SALES AGENT RECEIVES A PORTION OF THE MANAGEMENT FEE PAYABLE BY THE ISSUER TO THE INVESTMENT MANAGER.

2022-02-25

D/A

$0.00

Yes

$0.00

Yes

THE RECIPIENT LISTED SECOND IN ITEM 12 IS PAID AN AMOUNT EQUAL TO A PERCENTAGE OF THE MANAGEMENT FEE PAID TO THE INVESTMENT MANAGER (OR ITS AFFILIATE) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGEMENT.

2022-02-25

D/A

$0.00

Yes

$0.00

Yes

2022-02-25

D/A

$786,748.00

Yes

$0.00

Yes

2022-02-25

D/A

$0.00

2022-02-25

D/A

$0.00

2022-02-24

D/A

$3,098,226.00

Yes

$0.00

Yes

2022-02-18

D/A

$0.00

2022-02-18

D/A

$0.00

2022-02-17

D/A

$2,331,845.00

Yes

$0.00

SALES COMMISSIONS ARE PAID BY ENERGY INCOME PARTNERS, LLC, NOT THE ISSUER.

2022-02-15

D/A

$0.00

MORGAN STANLEY SMITH BARNEY LLC WILL RECEIVE CERTAIN PLACEMENT AND SERVICING FEES WITH RESPECT TO CLIENTS IT REFERS TO THE ISSUER, AS DISCLOSED TO THE APPLICABLE CLIENTS.

2022-02-15

D/A

$0.00

Yes

$0.00

Yes

PLACEMENT AGENTS MAY RECEIVE UPFRONT COMMISSIONS BASED ON AMOUNT INVESTED IN FUND BY CERTAIN CLIENTS. IN ADDITION, THE FUND-S GENERAL PARTNER MAY PAY A PORTION OF ITS MANAGEMENT FEES TO CERTAIN PLACEMENT AGENTS.

2022-02-14

D/A

$0.00

Yes

$0.00

Yes

PLACEMENT AGENTS MAY RECEIVE UP FRONT COMMISSIONS BASED ON AMOUNT INVESTED IN FUND BY SPECIFIED SHAREHOLDERS. IN ADDITION, THE FUND-S INVESTMENT MANAGER MAY PAY A PORTION OF IT-S MANAGEMENT OR PERFORMANCE FEES.

2022-02-11

D/A

$0.00

$5,648,653.00

Yes

2022-02-11

D/A

$1,198,750.00

Yes

$0.00

THE FIGURE DISCLOSED ABOVE REFLECTS ESTIMATED AMOUNTS EXPECTED TO BE PAID TO PLACEMENT AGENTS IN RESPECT OF THE OFFERING OF LIMITED PARTNERSHIP INTERESTS OF THE ISSUER

2022-02-11

D/A

$10,971,594.00

Yes

$0.00

THE FIGURE DISCLOSED ABOVE REFLECTS ESTIMATED AMOUNTS EXPECTED TO BE PAID TO PLACEMENT AGENTS IN RESPECT OF THE OFFERING OF LIMITED PARTNERSHIP INTERESTS OF THE ISSUER

2022-02-11

D/A

$762,688.00

$0.00

2022-02-10

D/A

$236,915.00

$0.00

INCLUDES ONLY SALES COMMISSIONS AND FINDERS- FEES EXPENSES PAID BY THE ISSUER, IF ANY.

2022-02-09

D/A

$75,000,000.00

Yes

$0.00

2022-02-09

D/A

$75,000,000.00

Yes

$0.00

2022-02-09

D/A

$75,000,000.00

Yes

$0.00

2022-02-09

D/A

$75,000,000.00

Yes

$0.00

2022-02-08

D/A

$0.00

Yes

$0.00

2022-02-08

D/A

$0.00

Yes

$0.00

2022-02-08

D/A

$50,988,194.00

Yes

$0.00

Yes

PLACEMENT AGENT FEES REFLECT AMOUNTS THAT MAY BE PAID IN CONNECTION WITH THE FUND AND AFFILIATED FUNDS IN THE OFFERING.

2022-02-08

D/A

$50,988,194.00

Yes

$0.00

Yes

PLACEMENT AGENT FEES REFLECT AMOUNTS THAT MAY BE PAID IN CONNECTION WITH THE FUND AND AFFILIATED FUNDS IN THE OFFERING.

2022-02-08

D/A

$50,988,194.00

Yes

$0.00

Yes

PLACEMENT AGENT FEES REFLECT AMOUNTS THAT MAY BE PAID IN CONNECTION WITH THE FUND AND AFFILIATED FUNDS IN THE OFFERING.

2022-02-08

D/A

$50,988,194.00

Yes

$0.00

Yes

PLACEMENT AGENT FEES REFLECT AMOUNTS THAT MAY BE PAID IN CONNECTION WITH THE FUND AND AFFILIATED FUNDS IN THE OFFERING.

2022-02-08

D/A

$50,988,194.00

Yes

$0.00

Yes

PLACEMENT AGENT FEES REFLECT AMOUNTS THAT MAY BE PAID IN CONNECTION WITH THE FUND AND AFFILIATED FUNDS IN THE OFFERING.

2022-02-04

D/A

$655,967.00

Yes

$0.00

2022-02-04

D/A

$0.00

Yes

$0.00

Yes

2022-02-03

D/A

$0.00

THE RECIPIENTS LISTED IN ITEM 12 SERVE AS THE ISSUER-S PLACEMENT AGENTS AND ARE PAID A PLACEMENT FEE BY THE INVESTMENT MANAGER OF THE ISSUER FOR THEIR SERVICES.

2022-02-03

D/A

$0.00

THE RECIPIENTS LISTED IN ITEM 12 SERVE AS THE ISSUER-S PLACEMENT AGENTS AND ARE PAID A PLACEMENT FEE BY THE INVESTMENT MANAGER OF THE ISSUER FOR THEIR SERVICES.

2022-01-19

D/A

$20,000,000.00

Yes

$0.00

Yes

2022-01-19

D/A

$20,000,000.00

Yes

$0.00

Yes

2022-01-19

D/A

$20,000,000.00

Yes

$0.00

Yes

2022-01-19

D/A

$20,000,000.00

Yes

$0.00

Yes

2022-01-19

D/A

$20,000,000.00

Yes

$0.00

Yes

2022-01-14

D/A

$480,879.00

Yes

$0.00

FOR PERIOD THRU 1/1/2022. AGREEMENT WITH ABG, LLC WAS TERMINATED ON APRIL 29, 2020.

2022-01-13

D/A

$762,688.00

$0.00

2022-01-12

D/A

$750,000.00

Yes

$0.00

2022-01-10

D/A

$1,543,650.00

Yes

$0.00

2022-01-10

D/A

$1,543,650.00

Yes

$0.00

2022-01-07

D/A

$0.00

Yes

$0.00

Yes

AMOUNTS TO BE PAID TO CERTAIN RECIPIENTS LISTED IN ITEM 12 (SALES COMPENSATION) WILL BE DETERMINED BASED ON A PERCENTAGE OF CAPITAL COMMITMENTS FROM CERTAIN LIMITED PARTNERS.

2022-01-07

D/A

$0.00

Yes

$0.00

Yes

AMOUNTS TO BE PAID TO CERTAIN RECIPIENTS LISTED IN ITEM 12 (SALES COMPENSATION) WILL BE DETERMINED BASED ON A PERCENTAGE OF CAPITAL COMMITMENTS FROM CERTAIN LIMITED PARTNERS.

2022-01-07

D/A

$0.00

Yes

$0.00

Yes

AMOUNTS TO BE PAID TO CERTAIN RECIPIENTS LISTED IN ITEM 12 (SALES COMPENSATION) WILL BE DETERMINED BASED ON A PERCENTAGE OF CAPITAL COMMITMENTS FROM CERTAIN LIMITED PARTNERS.

2022-01-07

$0.00

Yes

$0.00

Yes

2022-01-05

$12,000.00

$0.00

2022-01-05

$12,000.00

$0.00

THE FIGURE IN ITEM 15 REPRESENTS THE ESTIMATED TOTAL FOR THE ISSUER TOGETHER WITH ITS AFFILIATED OFFSHORE AND OFFSHORE FEEDER FUNDS.

2022-01-05

$12,000.00

$0.00

THE FIGURE IN ITEM 15 REPRESENTS THE ESTIMATED TOTAL FOR THE ISSUER TOGETHER WITH ITS AFFILIATED ONSHORE AND OFFSHORE FEEDER FUNDS.

2022-01-05

D/A

$3,061,240.00

Yes

$0.00

2022-01-03

D/A

$22,500,000.00

Yes

$0.00

2022-01-03

D/A

$0.00

Yes

$0.00

Yes

AMOUNT TO BE PAID BASED ON A PERCENTAGE OF CAPITAL RAISED.

2022-01-03

D/A

$0.00

Yes

$0.00

Yes

AMOUNT TO BE PAID BASED ON A PERCENTAGE OF CAPITAL RAISED.

2021-12-29

D/A

$0.00

Yes

$0.00

Yes

AMOUNTS TO BE PAID TO CERTAIN RECIPIENTS LISTED IN ITEM 12 (SALES COMPENSATION) WILL BE DETERMINED BASED ON A PERCENTAGE OF CAPITAL COMMITMENTS FROM CERTAIN LIMITED PARTNERS.

2021-12-29

D/A

$0.00

Yes

$0.00

Yes

AMOUNTS TO BE PAID TO CERTAIN RECIPIENTS LISTED IN ITEM 12 (SALES COMPENSATION) WILL BE DETERMINED BASED ON A PERCENTAGE OF CAPITAL COMMITMENTS FROM CERTAIN LIMITED PARTNERS.

2021-12-29

D/A

$3,975,027.00

Yes

$0.00

2021-12-22

D/A

$0.00

Yes

$0.00

Yes

2021-12-22

D/A

$260,000.00

Yes

$0.00

2021-12-21

D/A

$0.00

2021-12-17

D/A

$7,297,695.00

$0.00

2021-12-16

D/A

$4,986,362.00

Yes

$0.00

2021-12-14

D/A

$3,061,240.00

Yes

$0.00

2021-12-09

D/A

$20,000,000.00

Yes

$0.00

Yes

2021-12-09

D/A

$20,000,000.00

Yes

$0.00

Yes

2021-12-09

D/A

$20,000,000.00

Yes

$0.00

Yes

2021-12-09

D/A

$20,000,000.00

Yes

$0.00

Yes

2021-12-09

$70,197,921.00

$0.00

2021-12-01

D/A

$3,061,240.00

Yes

$0.00

2021-11-23

D/A

$27,500,000.00

Yes

$0.00

THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS. CREDIT SUISSE SECURITIES (USA) LLC IS THE FORMER FIRM OF THE INDIVIDUALS LISTED IN ITEM 12.

2021-11-23

D/A

$102,000,000.00

Yes

$0.00

THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.

2021-11-23

$0.00

THE LLC, A REGISTERED BROKER-DEALER, ACTS AS PLACEMENT AGENT FOR THE ISSUER, BUT NEITHER IT NOR ITS REGISTERED REPS ARE RECEIVING ANY SALES COMMISSION, FINDERS- FEES, OR OTHER REMUNERATION FROM THE ISSUER FOR ACTING IN SUCH CAPACITY IN THIS OFFERING.

2021-11-22

D/A

$6,511,853.00

$0.00

2021-11-19

D/A

$3,504,761.00

Yes

$0.00

2021-11-19

D/A

$5,902,082.00

Yes

$0.00

2021-11-18

D/A

$15,000,000.00

Yes

$0.00

2021-11-18

D/A

$3,061,240.00

Yes

$0.00

2021-11-16

$0.00

2021-11-16

D/A

$442,885.00

Yes

$0.00

2021-11-16

D/A

$3,794,804.00

Yes

$0.00

2021-11-12

D/A

$227,891.00

$0.00

INCLUDES ONLY SALES COMMISSIONS AND FINDERS- FEES EXPENSES PAID BY THE ISSUER, IF ANY.

2021-11-12

D/A

$3,260,273.00

Yes

$0.00

2021-11-12

D/A

$2,268,307.00

Yes

$0.00

2021-11-12

D/A

$1,014,209.00

Yes

$0.00

2021-11-12

D/A

$4,916,350.00

Yes

$0.00

2021-11-12

D/A

$2,823,504.00

Yes

$0.00

2021-11-12

D/A

$4,916,350.00

Yes

$0.00

2021-11-12

D/A

$2,625,918.00

Yes

$0.00

2021-11-10

D/A

$1,297,399.00

Yes

$0.00

2021-11-10

$3,061,240.00

Yes

$0.00

2021-11-09

D/A

$2,715,909.00

Yes

$0.00

2021-11-09

D/A

$1,788,803.00

Yes

$0.00

2021-11-08

D/A

$6,297,459.00

$0.00

2021-10-29

D/A

$2,216,442.00

$0.00

2021-10-28

D/A

$0.00

$60,791,655.00

THE TOTAL DOLLAR AMOUNT OF FINDERS- FEES REFLECTS THE TOTAL AMOUNT PAID TO UBS AND MSSB FROM INCEPTION TO DATE.

2021-10-28

D/A

$0.00

$23,763,116.00

THE TOTAL DOLLAR AMOUNT OF FINDERS- FEES REFLECTS THE TOTAL AMOUNT PAID TO UBS + MSSB FROM INCEPTION TO DATE

2021-10-21

$5,902,491.00

$0.00

2021-10-21

$951,981.00

$0.00

2021-10-20

D/A

$7,718,224.00

Yes

$0.00

2021-10-20

D/A

$7,718,224.00

Yes

$0.00

2021-10-20

D/A

$7,718,224.00

Yes

$0.00

2021-10-15

D/A

$6,042,415.00

Yes

$0.00

FOR PERIOD THROUGH 10/1/2021. AGREEMENT WITH ABG, LLC WAS TERMINATED ON APRIL 29, 2020.

2021-10-15

$0.00

2021-10-15

D/A

$0.00

2021-10-14

D/A

$0.00

A COMMISSION WILL BE PAID AFTER EACH OF THE ISSUER-S CLOSINGS BASED ON A PERCENTAGE OF THE SUBSCRIPTIONS OF CERTAIN OF THE ISSUER-S LIMITED PARTNERS.

2021-10-14

D/A

$0.00

A COMMISSION WILL BE PAID AFTER EACH OF THE ISSUER-S CLOSINGS BASED ON A PERCENTAGE OF THE SUBSCRIPTIONS OF CERTAIN OF THE ISSUER-S LIMITED PARTNERS.

2021-10-14

D/A

$0.00

A COMMISSION WILL BE PAID AFTER EACH OF THE ISSUER-S CLOSINGS BASED ON A PERCENTAGE OF THE SUBSCRIPTIONS OF CERTAIN OF THE ISSUER-S LIMITED PARTNERS.

2021-10-12

D/A

$0.00

$54,138,525.00

THE TOTAL DOLLAR AMOUNT OF FINDERS- FEES REFLECTS THE TOTAL AMOUNT PAID TO UBS AND MSSB FROM INCEPTION TO DATE.

2021-10-12

D/A

$0.00

$21,411,118.00

THE TOTAL DOLLAR AMOUNT OF FINDERS- FEES REFLECTS THE TOTAL AMOUNT PAID TO UBS + MSSB FROM INCEPTION TO DATE

2021-10-12

D/A

$3,821,754.00

$23,762,248.00

2021-10-12

D/A

$3,436,800.00

$27,242,301.00

2021-10-08

D/A

$5,715,559.00

Yes

$0.00

INCLUDES AMOUNTS PAID FOR SOLICITATION OUTSIDE OF THE UNITED STATES.

2021-10-08

D/A

$0.00

$572,375.00

Yes

2021-10-08

D/A

$1,002,903.00

Yes

$0.00

Yes

2021-10-01

D/A

$13,225,912.00

Yes

$0.00

2021-10-01

D/A

$5,679,780.00

Yes

$0.00

2021-10-01

D/A

$1,300,000.00

Yes

$0.00

2021-09-29

D/A

$984,375.00

$0.00

2021-09-29

D/A

$1,242,250.00

$0.00

2021-09-28

$3,763,938.00

$0.00

2021-09-27

D/A

$4,599,001.00

$0.00

2021-09-27

D/A

$2,863,625.00

$0.00

2021-09-27

D/A

$3,567,740.00

Yes

$0.00

Yes

2021-09-24

D/A

$4,238,874.00

Yes

$0.00

2021-09-14

D/A

$0.00

2021-09-14

D/A

$0.00

2021-09-14

D/A

$75,000,000.00

Yes

$0.00

THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.

2021-09-10

D/A

$216,139.00

Yes

$0.00

Yes

2021-09-09

D/A

$12,596.00

Yes

$0.00

Yes

2021-09-09

D/A

$218,656.00

$0.00

INCLUDES ONLY SALES COMMISSIONS AND FINDERS- FEES EXPENSES PAID BY THE ISSUER, IF ANY.

2021-09-08

D/A

$375,000.00

Yes

$0.00

THE ESTIMATE INCLUDES AMOUNTS THAT MAY BE PAYABLE IN THE NEXT 12 MONTHS.

2021-09-08

D/A

$1,190,000.00

Yes

$0.00

2021-09-08

D/A

$1,725,000.00

Yes

$0.00

THE ESTIMATE INCLUDES AMOUNTS WHICH MAY BE PAYABLE IN THE NEXT 12 MONTHS.

2021-09-08

D/A

$1,978,537.00

$0.00

2021-09-08

D/A

$300,000.00

Yes

$0.00

THE ESTIMATE INCLUDES FEES THAT MAY BE PAYABLE DURING THE NEXT 12 MONTHS

2021-09-08

D/A

$71,875.00

Yes

$0.00

2021-09-07

D/A

$563,498.00

Yes

$0.00

THE COMMISSIONS REPORTED ARE THOSE PAID DURING THE TIME PERIOD OF JULY 1, 2020 THROUGH JUNE 30, 2021.

2021-09-03

D/A

$11,187,566.00

Yes

$0.00

THE STATED ESTIMATE INCLUDES BOTH PLACEMENT AGENT FEES AND TRAILER FEES AND INCLUDES FEES PROJECTED TO BE PAID IN THE NEXT 12 MONTHS.

2021-09-03

D/A

$12,164,034.00

Yes

$0.00

THE STATED ESTIMATE INCLUDES BOTH PLACEMENT AGENT FEES AND TRAILER FEES AND INCLUDES FEES PROJECTED TO BE PAID IN THE NEXT 12 MONTHS.

2021-09-03

D/A

$15,669,043.00

Yes

$0.00

THE STATED ESTIMATE INCLUDES BOTH PLACEMENT AGENT FEES AND TRAILER FEES AND INCLUDES FEES PROJECTED TO BE PAID IN THE NEXT 12 MONTHS.

2021-09-03

D/A

$3,274,572.00

Yes

$0.00

THE STATED ESTIMATE INCLUDES BOTH PLACEMENT AGENT FEES AND TRAILER FEES AND INCLUDES FEES PROJECTED TO BE PAID IN THE NEXT 12 MONTHS.

2021-09-03

D/A

$0.00

Yes

$0.00

Yes

2021-09-01

D/A

$0.00

$382,500.00

2021-09-01

D/A

$0.00

$67,500.00

2021-08-27

D/A

$1,342,701.00

Yes

$0.00

2021-08-27

D/A

$18,696,903.00

Yes

$0.00

2021-08-27

D/A

$854,500.00

Yes

$0.00

2021-08-27

D/A

$4,799,348.00

Yes

$0.00

ESTIMATED FEES BEGINNING FROM THE ISSUER-S INCEPTION AND PROJECTED THROUGH THE NEXT 12 MONTHS.

2021-08-26

D/A

$0.00

Yes

$0.00

Yes

2021-08-26

D/A

$0.00

Yes

$0.00

Yes

2021-08-16

D/A

$0.00

2021-08-16

D/A

$0.00

2021-08-12

D/A

$1,414,355.00

$4,016,211.00

Yes

2021-08-12

D/A

$2,116,425.00

$5,237,180.00

Yes

2021-08-12

D/A

$218,656.00

$0.00

INCLUDES ONLY SALES COMMISSIONS AND FINDERS- FEES EXPENSES PAID BY THE ISSUER, IF ANY.

2021-08-09

D/A

$889,761.00

Yes

$0.00

2021-08-09

D/A

$889,761.00

Yes

$0.00

2021-08-09

D/A

$889,761.00

Yes

$0.00

2021-08-09

D/A

$889,761.00

Yes

$0.00

2021-08-09

D/A

$0.00

2021-08-09

D/A

$15,523,750.00

Yes

$0.00

Yes

THE FIGURE DISCLOSED ABOVE REFLECTS ESTIMATED AMOUNTS EXPECTED TO BE PAID TO PLACEMENT AGENTS IN RESPECT OF U.S. AND NON-U.S. INVESTORS.

2021-08-04

D/A

$0.00

2021-07-30

D/A

$1,205.00

$0.00

2021-07-29

D/A

$60,405.00

$0.00

2021-07-29

D/A

$8,052,047.00

Yes

$0.00

2021-07-29

D/A

$8,424,966.00

Yes

$0.00

2021-07-26

D/A

$10,750,000.00

Yes

$0.00

THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.

2021-07-23

D/A

$19,719.00

$0.00

2021-07-23

D/A

$3,337,608.00

Yes

$0.00

2021-07-23

D/A

$982,444.00

Yes

$0.00

2021-07-23

D/A

$2,250,851.00

Yes

$0.00

2021-07-23

D/A

$2,628,385.00

Yes

$0.00

2021-07-23

D/A

$53,930.00

Yes

$0.00

2021-07-23

D/A

$1,261,734.00

Yes

$0.00

2021-07-23

D/A

$657,093.00

Yes

$0.00

2021-07-23

D/A

$2,649,415.00

Yes

$0.00

2021-07-23

D/A

$1,578,850.00

Yes

$0.00

2021-07-23

D/A

$1,684,257.00

Yes

$0.00

2021-07-16

D/A

$0.00

2021-07-12

D/A

$1,397,202.00

Yes

$0.00

2021-07-09

D/A

$5,000.00

$0.00

2021-07-09

D/A

$4,150.00

$0.00

2021-07-01

D/A

$0.00

Yes

$0.00

Yes

THE RECIPIENT LISTED IN ITEM 12 MAY CHARGE A PLACEMENT FEE TO ITS CLIENTS INVESTING IN THE ISSUER OF UP TO 2% OF THEIR COMMITMENT AMOUNT.

2021-06-25

D/A

$75,000,000.00

Yes

$0.00

2021-06-25

D/A

$75,000,000.00

Yes

$0.00

2021-06-25

D/A

$75,000,000.00

Yes

$0.00

2021-06-25

D/A

$75,000,000.00

Yes

$0.00

2021-06-25

D/A

$3,055,456.00

Yes

$0.00

SALES COMMISSIONS REPORTED ARE THOSE PAID DURING THE TIME PERIOD OF JUNE 2020 THROUGH MAY, 2021.

2021-06-24

D/A

$35,287,017.00

Yes

$0.00

2021-06-24

D/A

$479,545.00

Yes

$0.00

2021-06-22

D/A

$0.00

Yes

$0.00

Yes

AMOUNTS TO BE PAID TO CERTAIN RECIPIENTS LISTED IN ITEM 12 (SALES COMPENSATION) WILL BE DETERMINED BASED ON A PERCENTAGE OF CAPITAL COMMITMENTS FROM CERTAIN LIMITED PARTNERS.

2021-06-22

D/A

$0.00

Yes

$0.00

Yes

AMOUNTS TO BE PAID TO CERTAIN RECIPIENTS LISTED IN ITEM 12 (SALES COMPENSATION) WILL BE DETERMINED BASED ON A PERCENTAGE OF CAPITAL COMMITMENTS FROM CERTAIN LIMITED PARTNERS.

2021-06-22

D/A

$0.00

Yes

$0.00

Yes

AMOUNTS TO BE PAID TO CERTAIN RECIPIENTS LISTED IN ITEM 12 (SALES COMPENSATION) WILL BE DETERMINED BASED ON A PERCENTAGE OF CAPITAL COMMITMENTS FROM CERTAIN LIMITED PARTNERS.

2021-06-22

D/A

$1,994,212.00

Yes

$0.00

2021-06-22

D/A

$140,089.00

$0.00

2021-06-21

D/A

$65,425.00

Yes

$0.00

INVESTOR SERVICING FEE

2021-06-21

D/A

$1,624,776.00

Yes

$0.00

2021-06-21

D/A

$7,211,966.00

Yes

$0.00

2021-06-21

D/A

$1,022,822.00

Yes

$0.00

2021-06-17

D/A

$1,217,960.00

Yes

$0.00

2021-06-17

D/A

$6,488,193.00

Yes

$0.00

2021-06-17

D/A

$291,235.00

Yes

$0.00

2021-06-17

D/A

$1,167,934.00

Yes

$0.00

2021-06-17

D/A

$50,345.00

Yes

$0.00

2021-06-17

D/A

$22,300.00

Yes

$0.00

2021-06-17

D/A

$903,819.00

Yes

$0.00

2021-06-17

D/A

$1,069,710.00

Yes

$0.00

2021-06-17

D/A

$394,115.00

Yes

$0.00

2021-06-14

D/A

$9,000,000.00

Yes

$0.00

2021-06-08

D/A

$8,382,500.00

Yes

$0.00

2021-06-04

D/A

$0.00

Yes

$0.00

Yes

2021-05-28

D/A

$0.00

2021-05-26

D/A

$8,000,000.00

Yes

$0.00

THIS ESTIMATE INCLUDES FEES WHICH MAY BE PAYABLE DURING THE NEXT 12 MONTHS.

2021-05-26

D/A

$10,000,000.00

Yes

$0.00

THE ESTIMATE INCLUDES FEES WHICH MAY BE PAYABLE DURING THE NEXT 12 MONTHS.

2021-05-24

D/A

$40,850.00

Yes

$0.00

2021-05-24

D/A

$322,281.00

Yes

$0.00

2021-05-24

D/A

$154,800.00

Yes

$0.00

2021-05-24

D/A

$3,159,844.00

Yes

$0.00

2021-05-24

D/A

$138,000.00

Yes

$0.00

2021-05-24

D/A

$452,000.00

Yes

$0.00

2021-05-24

$100,550.00

$0.00

2021-05-24

$614,500.00

$0.00

2021-05-21

D/A

$110,694,682.00

Yes

$0.00

2021-05-14

D/A

$3,589,882.00

Yes

$0.00

HIGHLAND INFORMATION SERVICES, INC., IS NO LONGER REGISTERED AS A BROKER AND NO LONGER RECEIVES SALES COMMISSIONS FROM THE ISSUER.

2021-05-11

D/A

$3,465,326.00

Yes

$0.00

2021-05-11

D/A

$8,684,341.00

Yes

$0.00

2021-05-11

D/A

$3,148,121.00

Yes

$0.00

2021-05-06

D/A

$209,418.00

$0.00

INCLUDES ONLY SALES COMMISSIONS AND FINDERS- FEES EXPENSES PAID BY THE ISSUER, IF ANY.

2021-05-06

D/A

$20,217.00

$0.00

2021-05-06

D/A

$0.00

Yes

$0.00

Yes

2021-05-06

D/A

$0.00

Yes

$0.00

Yes

2021-05-04

D/A

$6,500,000.00

Yes

$0.00

PLACEMENT AGENT FEE.

2021-05-04

D/A

$734,665.00

$0.00

2021-05-04

D/A

$4,863,608.00

$0.00

2021-05-04

D/A

$448,074.00

$0.00

2021-05-04

D/A

$22,500,000.00

$0.00

THE FIGURE DISCLOSED ABOVE REFLECTS ESTIMATED AMOUNTS EXPECTED TO BE PAID TO PLACEMENT AGENTS IN RESPECT OF SALES EXEMPT FROM REGISTRATION UNDER REGULATION D AND/OR AVAILABLE EXEMPTIONS AND INCLUDES AMOUNTS PAID TO BROOKFIELD AFFILIATES

2021-05-04

D/A

$22,500,000.00

$0.00

2021-05-04

D/A

$22,500,000.00

$0.00

2021-05-04

D/A

$22,500,000.00

$0.00

2021-05-04

D/A

$22,500,000.00

$0.00

2021-04-30

D/A

$0.00

2021-04-23

D/A

$0.00

Yes

$0.00

Yes

THE PLACEMENT AGENT WILL RECEIVE AN ANNUAL FEE EQUAL TO A PERCENTAGE OF THE OF THE CONTRIBUTIONS OF EACH CLIENT: 62.5 BASIS POINTS PER ANNUM FOR CONTRIBUTIONS OF LESS THAN $10 MILLION AND 50 BASIS POINTS FOR CONTRIBUTIONS OF $10 MILLION OR MORE.

2021-04-23

D/A

$1,595,692.00

Yes

$0.00

2021-04-22

$0.00

MORGAN STANLEY SMITH BARNEY LLC WILL RECEIVE CERTAIN PLACEMENT AND SERVICING FEES WITH RESPECT TO CLIENTS IT REFERS TO THE ISSUER, AS DISCLOSED TO THE APPLICABLE CLIENTS.

2021-04-22

D/A

$0.00

2021-04-09

D/A

$652,990.00

Yes

$0.00

ESTIMATE INCLUDES FEES THAT MAY BE PAID OVER THE NEXT 12 MONTHS.

2021-04-09

D/A

$17,000,000.00

Yes

$0.00

2021-04-07

D/A

$0.00

MORGAN STANLEY SMITH BARNEY LLC WILL RECEIVE CERTAIN PLACEMENT AND SERVICING FEES WITH RESPECT TO CLIENTS IT REFERS TO THE ISSUER, AS DISCLOSED TO THE APPLICABLE CLIENTS.

2021-04-07

D/A

$0.00

MORGAN STANLEY SMITH BARNEY LLC WILL RECEIVE CERTAIN PLACEMENT AND SERVICING FEES WITH RESPECT TO CLIENTS IT REFERS TO THE ISSUER, AS DISCLOSED TO THE APPLICABLE CLIENTS.

2021-04-07

D/A

$0.00

MORGAN STANLEY SMITH BARNEY LLC WILL RECEIVE CERTAIN PLACEMENT AND SERVICING FEES WITH RESPECT TO CLIENTS IT REFERS TO THE ISSUER, AS DISCLOSED TO THE APPLICABLE CLIENTS.

2021-04-07

D/A

$0.00

2021-04-07

D/A

$0.00

2021-04-07

$0.00

Yes

$0.00

Yes

THE RECIPIENT LISTED IN ITEM 12 MAY CHARGE A PLACEMENT FEE TO ITS CLIENTS INVESTING IN THE ISSUER, IF ANY, OF UP TO 2% OF THEIR COMMITMENT AMOUNT.

2021-04-02

D/A

$10,000,000.00

Yes

$0.00

Yes

INCLUDES SALES COMMISSIONS OF FUND AND AFFILIATED FUNDS.

2021-04-02

D/A

$10,000,000.00

Yes

$0.00

Yes

INCLUDES SALES COMMISSION OF FUND AND AFFILIATED FUNDS.

2021-04-02

D/A

$10,000,000.00

Yes

$0.00

Yes

INCLUDES SALES COMMISSIONS OF FUND AND AFFILIATED FUNDS.

2021-04-02

D/A

$10,000,000.00

Yes

$0.00

Yes

INCLUDES SALES COMMISSIONS OF FUND AND AFFILIATED FUNDS.

2021-04-01

D/A

$1,948,505.00

$0.00

2021-04-01

D/A

$3,821,754.00

$23,762,248.00

2021-03-31

D/A

$4,863,608.00

$0.00

2021-03-31

D/A

$448,074.00

$0.00

2021-03-31

D/A

$11,871,330.00

$0.00

2021-03-31

D/A

$957,508.00

$0.00

2021-03-31

D/A

$734,665.00

$0.00

2021-03-31

D/A

$1,007,855.00

$0.00

2021-03-31

D/A

$50,000,000.00

Yes

$0.00

Yes

ESTIMATE INCLUDES SALES COMMISSIONS OF ISSUER AND ITS PARALLEL FUNDS.

2021-03-31

D/A

$50,000,000.00

Yes

$0.00

Yes

ESTIMATE INCLUDES SALES COMMISSIONS OF ISSUER AND ITS PARALLEL FUNDS.

2021-03-31

D/A

$50,000,000.00

Yes

$0.00

Yes

ESTIMATE INCLUDES SALES COMMISSIONS OF ISSUER AND ITS PARALLEL FUNDS.

2021-03-31

D/A

$50,000,000.00

Yes

$0.00

Yes

ESTIMATE INCLUDES SALES COMMISSIONS OF ISSUER AND ITS PARALLEL FUNDS.

2021-03-30

D/A

$0.00

$6,523,563.00

THIS INCLUDES COMPENSATION PAID IN RELATION TO THE SALE OF SHARES IN THE ISSUER.

2021-03-30

D/A

$0.00

$12,139,754.00

THIS INCLUDES COMPENSATION PAID IN RELATION TO THE SALE OF SHARES IN THE ISSUER.

2021-03-29

D/A

$0.00

Yes

$0.00

Yes

2021-03-29

D/A

$0.00

Yes

$0.00

Yes

2021-03-29

D/A

$0.00

Yes

$0.00

Yes

2021-03-26

D/A

$0.00

Yes

$0.00

Yes

2021-03-26

D/A

$8,250,000.00

Yes

$0.00

THIS AMOUNT INCLUDES FEES EXPECTED TO BE PAID WITH RESPECT TO THIS LIMITED PARTNERSHIP AND ITS RELATED VEHICLES.

2021-03-26

D/A

$8,250,000.00

Yes

$0.00

THIS AMOUNT INCLUDES FEES EXPECTED TO BE PAID WITH RESPECT TO THIS LIMITED PARTNERSHIP AND ITS RELATED VEHICLES.

2021-03-26

D/A

$10,000,000.00

Yes

$0.00

THIS AMOUNT INCLUDES FEES EXPECTED TO BE PAID WITH RESPECT TO THIS LIMITED PARTNERSHIP AND ITS RELATED VEHICLES.

2021-03-26

D/A

$10,000,000.00

Yes

$0.00

THIS AMOUNT INCLUDES FEES EXPECTED TO BE PAID WITH RESPECT TO THIS LIMITED PARTNERSHIP AND ITS RELATED VEHICLES.

2021-03-26

D/A

$0.00

Yes

$0.00

Yes

2021-03-26

D/A

$0.00

Yes

$0.00

Yes

2021-03-25

D/A

$0.00

NO COMMISSIONS HAVE BEEN PAID TO DATE.

2021-03-25

D/A

$166,263.00

$0.00

CERTAIN PRIVATE PLACEMENT CLIENTS OF MORGAN STANLEY SMITH BARNEY LLC (MSSB) ARE REQUIRED TO PAY (I) AN UPFRONT PLACEMENT FEE DIRECTLY TO MSSB, AND (II) AN ONGOING ANNUAL FEE TO THE ISSUER (A PORTION OF WHICH IS THEN PAID TO MSSB).

2021-03-25

D/A

$7,239.00

$0.00

2021-03-25

D/A

$3,436,800.00

$27,242,301.00

2021-03-19

D/A

$0.00

Yes

THE PERSONS/FIRMS LISTED IN ITEM 12 RECEIVE CERTAIN FEES, INCLUDING A PERCENTAGE OF THE MANAGEMENT FEES AND/OR PERFORMANCE ALLOCATIONS.

2021-03-19

D/A

$0.00

Yes

THE PERSONS/FIRMS LISTED IN ITEM 12 RECEIVE CERTAIN FEES, INCLUDING A PERCENTAGE OF THE MANAGEMENT FEES AND/OR PERFORMANCE ALLOCATIONS.

2021-03-16

D/A

$0.00

2021-03-16

D/A

$0.00

2021-03-16

D/A

$971,006.00

Yes

$0.00

2021-03-15

D/A

$5,123,687.00

Yes

$0.00

2021-03-15

D/A

$50,277,533.00

$0.00

2021-03-15

D/A

$1,910,382.00

$0.00

2021-03-12

D/A

$17,000,000.00

Yes

$0.00

2021-03-12

D/A

$525,135.00

$0.00

2021-03-12

D/A

$2,973,568.00

$0.00

2021-03-12

D/A

$95,000,000.00

Yes

$0.00

THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.

2021-03-12

D/A

$2,576,946.00

$0.00

2021-03-12

D/A

$5,074,044.00

$0.00

2021-03-12

D/A

$2,142,127.00

$0.00

2021-03-05

D/A

$16,043,179.00

Yes

$0.00

INCLUDES SALES COMMISSIONS PAID TO ALL PLACEMENT AGENTS LISTED IN THIS FORM D. RAYMOND JAMES + ASSOCIATES INC. BECAME SUCCESSOR TO DEUTSCHE BANK ALEX. BROWN INC. IN SEPTEMBER 2016.

2021-03-05

D/A

$20,816,494.00

Yes

$0.00

INCLUDES SALES COMMISSIONS PAID TO ALL PLACEMENT AGENTS LISTED IN THIS FORM D. RAYMOND JAMES + ASSOCIATES INC. BECAME SUCCESSOR TO DEUTSCHE BANK ALEX. BROWN INC. IN SEPTEMBER 2016.

2021-03-04

D/A

$15,004,998.00

$0.00

TOTAL SALES COMMISSIONS INCURRED IN RELATION TO ALL VEHICLES COMPRISING CIP VIII IN RESPECT OF INVESTORS GLOBALLY.

2021-03-04

D/A

$15,004,998.00

$0.00

TOTAL SALES COMMISSIONS INCURRED IN RELATION TO ALL VEHICLES COMPRISING CIP VIII IN RESPECT OF INVESTORS GLOBALLY.

2021-03-02

D/A

$0.00

SALES AGENT RECEIVES A PORTION OF THE MANAGEMENT FEE PAYABLE BY THE ISSUER TO THE INVESTMENT MANAGER.

2021-03-02

D/A

$0.00

SALES AGENT RECEIVES A PORTION OF THE MANAGEMENT FEE PAYABLE BY THE ISSUER TO THE INVESTMENT MANAGER.

2021-03-02

D/A

$0.00

SALES AGENT RECEIVES A PORTION OF THE MANAGEMENT FEE PAYABLE BY THE ISSUER TO THE INVESTMENT MANAGER.

2021-02-25

D/A

$0.00

Yes

$0.00

Yes

THE RECIPIENT LISTED SECOND IN ITEM 12 IS PAID AN AMOUNT EQUAL TO A PERCENTAGE OF THE MANAGEMENT FEE PAID TO THE INVESTMENT MANAGER (OR ITS AFFILIATE) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGEMENT.

2021-02-25

D/A

$0.00

Yes

$0.00

Yes

2021-02-25

D/A

$0.00

Yes

$0.00

Yes

2021-02-25

D/A

$0.00

ISSUER WILL NOT PAY ANY COMMISSION OR FINDERS FEE TO MORGAN STANLEY. A QUARTERLY MANAGEMENT FEE WILL BE PAID TO MORGAN STANLEY BY ITS CLIENTS WHO PURCHASED INTERESTS IN ISSUER.

2021-02-25

D/A

$1,650,000.00

Yes

$0.00

ANY COMMISSIONS WILL BE PAID ENTIRELY TO PJT PARTNERS AND GENCAP. ISSUER WILL NOT PAY ANY COMMISSION OR FINDERS FEE TO MORGAN STANLEY. A QUARTERLY MANAGEMENT FEE WILL BE PAID TO MORGAN STANLEY BY ITS CLIENTS WHO PURCHASED INTERESTS IN ISSUER.

2021-02-24

D/A

$2,056,438.00

Yes

$0.00

Yes

2021-02-12

D/A

$0.00

Yes

$0.00

Yes

2021-02-12

D/A

$0.00

Yes

$0.00

Yes

2021-02-12

D/A

$0.00

Yes

$0.00

Yes

2021-02-12

D/A

$0.00

Yes

$0.00

Yes

PLACEMENT AGENTS MAY RECEIVE UP FRONT COMMISSIONS OF UP TO 3% OF AMOUNT INVESTED IN FUND BY THEIR CLIENTS. IN ADDITION, THE FUND-S INV. MGR. MAY PAY A PORTION OF ITS MGMT. FEES TO CERTAIN FINDERS.

2021-02-12

D/A

$0.00

Yes

$0.00

Yes

PLACEMENT AGENTS MAY RECEIVE AN UPFRONT COMMISSION OF UP TO 3% BASED ON AMOUNT INVESTED IN THE FUND BY CERTAIN LIMITED PARTNERS. IN ADDITION, THE FUND-S GENERAL PARTNER MAY PAY A PORTION OF ITS MANAGEMENT FEES TO CERTAIN PLACEMENT AGENTS.

2021-02-12

D/A

$0.00

Yes

$0.00

Yes

PLACEMENT AGENTS MAY RECEIVE UP FRONT COMMISSIONS OF UP TO 3% OF AMOUNT INVESTED IN FUND BY CERTAIN SHAREHOLDERS INTRODUCED TO THE FUND. IN ADDITION, THE FUND-S INVESTMENT MANAGER MAY PAY A PORTION OF IT-S MANAGEMENT FEES TO CERTAIN PLACEMENT AGENTS.

2021-02-10

D/A

$0.00

$5,511,542.00

Yes

2021-02-08

D/A

$0.00

Yes

$0.00

2021-02-08

D/A

$0.00

Yes

$0.00

2021-02-08

D/A

$520,149.00

Yes

$0.00

2021-02-05

$0.00

Yes

$0.00

Yes

2021-01-28

D/A

$200,232.00

$0.00

INCLUDES ONLY SALES COMMISSIONS AND FINDERS- FEES EXPENSES PAID BY THE ISSUER, IF ANY.

2021-01-19

$626,033.00

$0.00

2021-01-19

$1,919,943.00

$0.00

2021-01-15

D/A

$433,953.00

Yes

$0.00

FOR PERIOD THRU 1/1/2021.

2021-01-14

D/A

$70,000.00

Yes

$0.00

2021-01-14

D/A

$1,500,000.00

Yes

$0.00

2021-01-14

D/A

$2,100,000.00

Yes

$0.00

2021-01-13

$0.00

2021-01-13

D/A

$2,266,119.00

Yes

$0.00

SALES COMMISSIONS ARE PAID BY ENERGY INCOME PARTNERS, LLC, NOT THE ISSUER.

2021-01-12

$421,215.00

$0.00

2021-01-04

D/A

$19,000,000.00

Yes

$0.00

2021-01-04

$0.00

THE ENTITIES IN ITEM 12 ACT AS PLACEMENT AGENTS FOR THE ISSUER, BUT NEITHER THEY NOR THEIR REGISTERED REPS ARE RECEIVING ANY SALES COMMISSION, FINDERS? FEES, OR OTHER REMUNERATION FROM THE ISSUER FOR ACTING IN SUCH CAPACITY IN THIS OFFERING.

2020-12-30

$139,838,854.00

$0.00

2020-12-29

$2,823,504.00

Yes

$0.00

Yes

ITEM 15 IS AN ESTIMATE OF COMMISSIONS AND FEES.

2020-12-18

D/A

$6,607,355.00

Yes

$0.00

Yes

2020-12-18

D/A

$2,106,750.00

$0.00

2020-12-18

D/A

$2,106,750.00

$0.00

2020-12-18

D/A

$24,765,863.00

Yes

$0.00

2020-12-17

$232,116.00

$0.00

2020-12-15

$0.00

2020-12-11

D/A

$20,000,000.00

Yes

$0.00

Yes

2020-12-11

D/A

$20,000,000.00

Yes

$0.00

Yes

2020-12-11

D/A

$20,000,000.00

Yes

$0.00

Yes

2020-12-11

D/A

$20,000,000.00

Yes

$0.00

Yes

2020-12-10

$1,414,263.00

$0.00

2020-11-25

D/A

$25,000,000.00

Yes

$0.00

THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS. CREDIT SUISSE SECURITIES (USA) LLC IS THE FORMER FIRM OF THE INDIVIDUALS LISTED IN ITEM 12.

2020-11-25

D/A

$98,000,000.00

Yes

$0.00

THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.

2020-11-25

D/A

$188,082.00

$0.00

INCLUDES ONLY SALES COMMISSIONS AND FINDERS- FEES EXPENSES PAID BY THE ISSUER, IF ANY.

2020-11-17

D/A

$0.00

GRV SECURITIES LLC WILL NOT RECEIVE FEES. J.P. MORGAN SECURITIES LLC AND MORGAN STANLEY WILL RECEIVE A TRAILER FEE BASED ON ESTABLISHED FEE ARRANGEMENTS.

2020-11-17

D/A

$0.00

GRV SECURITIES LLC WILL NOT RECEIVE FEES. J.P. MORGAN SECURITIES LLC AND MORGAN STANLEY WILL RECEIVE A TRAILER FEE BASED ON ESTABLISHED FEE ARRANGEMENTS.

2020-11-13

D/A

$15,000,000.00

Yes

$0.00

2020-11-06

$208,125.00

Yes

$0.00

Yes

2020-10-30

D/A

$1,016,442.00

$0.00

2020-10-28

D/A

$0.00

$54,138,525.00

THE TOTAL DOLLAR AMOUNT OF FINDERS- FEES REFLECTS THE TOTAL AMOUNT PAID TO UBS AND MSSB FROM INCEPTION TO DATE.

2020-10-28

D/A

$0.00

$21,411,118.00

THE TOTAL DOLLAR AMOUNT OF FINDERS- FEES REFLECTS THE TOTAL AMOUNT PAID TO UBS + MSSB FROM INCEPTION TO DATE

2020-10-19

D/A

$15,383,006.00

Yes

$475,000.00

Yes

2020-10-16

D/A

$0.00

AS OF 7/1/20, A MTHLY FEE WILL BE PD TO PLCMT AGT UP TO 1/12 OF 1% (1% APR) OF THE NET ASSETS OF ISSUER AS OF BEG OF EA MO (PRIOR TO 7/1/20, MTHLY FEE WAS PD TO PLCMT AGT UP TO 1/12 OF 2% OR 2% APR). THIS FEE IS REFERRED AS THE ONGOING PLCMT AGT FEE.

2020-10-16

D/A

$0.00

2020-10-15

D/A

$5,734,730.00

Yes

$0.00

FOR PERIOD THROUGH 10/1/2020.

2020-10-09

D/A

$5,470,539.00

Yes

$0.00

INCLUDES AMOUNTS PAID FOR SOLICITATION OUTSIDE OF THE UNITED STATES.

2020-10-09

D/A

$535,813.00

Yes

$0.00

Yes

2020-10-08

D/A

$0.00

$538,644.00

Yes

2020-10-02

D/A

$12,784,589.00

Yes

$0.00

2020-10-02

D/A

$5,590,221.00

Yes

$0.00

2020-10-01

D/A

$1,450,061.00

Yes

$0.00

Yes

2020-10-01

$488,650.00

$0.00

2020-09-30

$148,695.00

$0.00

2020-09-25

D/A

$4,599,001.00

$0.00

2020-09-25

D/A

$2,863,625.00

$0.00

2020-09-24

D/A

$3,662,241.00

Yes

$0.00

2020-09-18

D/A

$50,000,000.00

Yes

$0.00

Yes

ESTIMATE INCLUDES SALES COMMISSIONS OF ISSUER AND ITS PARALLEL FUNDS.

2020-09-18

D/A

$50,000,000.00

Yes

$0.00

Yes

ESTIMATE INCLUDES SALES COMMISSIONS OF ISSUER AND ITS PARALLEL FUNDS.

2020-09-18

D/A

$50,000,000.00

Yes

$0.00

Yes

ESTIMATE INCLUDES SALES COMMISSIONS OF ISSUER AND ITS PARALLEL FUNDS.

2020-09-18

D/A

$50,000,000.00

Yes

$0.00

Yes

ESTIMATE INCLUDES SALES COMMISSIONS OF ISSUER AND ITS PARALLEL FUNDS.

2020-09-14

D/A

$3,000,000.00

Yes

$0.00

THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.

2020-09-11

D/A

$5,000,000.00

Yes

$0.00

THE FIGURE IN ITEM 15 REPRESENTS THE ESTIMATED TOTAL FOR THE ISSUER TOGETHER WITH ITS AFFILIATED ONSHORE AND OFFSHORE FUNDS.

2020-09-11

D/A

$5,000,000.00

Yes

$0.00

THE FIGURE IN ITEM 15 REPRESENTS THE ESTIMATED TOTAL FOR THE ISSUER TOGETHER WITH ITS AFFILIATED OFFSHORE AND OFFSHORE FEEDER FUNDS.

2020-09-11

D/A

$5,000,000.00

Yes

$0.00

THE FIGURE IN ITEM 15 REPRESENTS THE ESTIMATED TOTAL FOR THE ISSUER TOGETHER WITH ITS AFFILIATED ONSHORE AND OFFSHORE FEEDER FUNDS.

2020-09-10

D/A

$12,596.00

Yes

$0.00

Yes

2020-09-10

D/A

$174,685.00

$0.00

INCLUDES ONLY SALES COMMISSIONS AND FINDERS- FEES EXPENSES PAID BY THE ISSUER, IF ANY.

2020-09-10

D/A

$99,040.00

Yes

$0.00

Yes

2020-09-04

D/A

$1,012,352.00

Yes

$0.00

THE COMMISSIONS REPORTED ARE THOSE PAID DURING THE TIME PERIOD OF JULY 1, 2019 THROUGH JUNE 30, 2020.

2020-09-03

D/A

$0.00

Yes

$0.00

Yes

2020-08-28

D/A

$1,342,701.00

Yes

$0.00

2020-08-28

D/A

$18,206,594.00

Yes

$0.00

2020-08-28

D/A

$854,500.00

Yes

$0.00

2020-08-28

D/A

$4,827,008.00

Yes

$0.00

ESTIMATED FEES BEGINNING FROM THE ISSUER-S INCEPTION AND PROJECTED THROUGH THE NEXT 12 MONTHS.

2020-08-27

D/A

$2,874,415.00

Yes

$0.00

THE STATED ESTIMATE INCLUDES BOTH PLACEMENT AGENT FEES AND TRAILER FEES AND INCLUDES FEES PROJECTED TO BE PAID IN THE NEXT 12 MONTHS.

2020-08-27

D/A

$10,763,560.00

Yes

$0.00

THE STATED ESTIMATE INCLUDES BOTH PLACEMENT AGENT FEES AND TRAILER FEES AND INCLUDES FEES PROJECTED TO BE PAID IN THE NEXT 12 MONTHS.

2020-08-27

D/A

$13,924,372.00

Yes

$0.00

THE STATED ESTIMATE INCLUDES BOTH PLACEMENT AGENT FEES AND TRAILER FEES AND INCLUDES FEES PROJECTED TO BE PAID IN THE NEXT 12 MONTHS.

2020-08-27

D/A

$10,436,936.00

Yes

$0.00

THE STATED ESTIMATE INCLUDES BOTH PLACEMENT AGENT FEES AND TRAILER FEES AND INCLUDES FEES PROJECTED TO BE PAID IN THE NEXT 12 MONTHS.

2020-08-20

$496,663.00

$0.00

2020-08-19

$3,385,148.00

$0.00

2020-08-14

D/A

$0.00

2020-08-14

D/A

$0.00

2020-08-14

D/A

$0.00

2020-08-13

D/A

$2,339,100.00

Yes

$0.00

2020-08-13

D/A

$398,000.00

Yes

$0.00

2020-08-12

D/A

$1,408,355.00

$3,572,034.00

Yes

2020-08-12

D/A

$2,091,425.00

$4,688,844.00

Yes

THESE FIGURES REFLECT THE TOTAL AMOUNT OF FINDERS- FEES AND SALES COMMISSIONS, INCLUSIVE OF US AND NON-US INVESTORS.

2020-08-04

D/A

$8,424,966.00

Yes

$0.00

2020-08-04

D/A

$8,052,047.00

Yes

$0.00

2020-07-31

D/A

$0.00

2020-07-31

D/A

$52,750.00

Yes

$0.00

2020-07-31

D/A

$184,500.00

Yes

$0.00

2020-07-28

D/A

$100,000.00

$0.00

HAMILTON LANE SECURITIES LLC RECEIVES FROM THE MANAGER A MONTHLY FEE FOR GENERAL PLACEMENT AGENT SERVICES PROVIDED ON BEHALF OF THE ISSUERS AND OTHER FUNDS MANAGED BY THE MANAGER.

2020-07-28

D/A

$100,000.00

$0.00

HAMILTON LANE SECURITIES LLC RECEIVES FROM THE MANAGER A MONTHLY FEE FOR GENERAL PLACEMENT AGENT SERVICES PROVIDED ON BEHALF OF THE ISSUERS AND OTHER FUNDS MANAGED BY THE MANAGER.

2020-07-28

D/A

$8,000,000.00

Yes

$0.00

THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.

2020-07-23

D/A

$818,794.00

Yes

$0.00

2020-07-23

D/A

$3,332,608.00

Yes

$0.00

2020-07-23

D/A

$1,569,850.00

Yes

$0.00

2020-07-23

D/A

$1,215,740.00

Yes

$0.00

2020-07-23

D/A

$1,244,234.00

Yes

$0.00

2020-07-23

D/A

$246,250.00

Yes

$0.00

EACH INVESTOR MAY PAY UP TO 3% OF ITS AGGREGATE INVESTMENT TO AGENT UPFRONT, IN ADDITION TO ANY AMOUNTS INVESTED IN THE FUND. GENERAL PARTNER PAYS AGENT A PORTION OF THE FEES PAID TO IT BY THE FUND ON AN ONGOING BASIS.

2020-07-23

D/A

$281,410.00

Yes

$0.00

2020-07-23

D/A

$979,444.00

Yes

$0.00

2020-07-23

D/A

$656,093.00

Yes

$0.00

2020-07-23

D/A

$109,142.00

Yes

$0.00

2020-07-23

D/A

$45,430.00

Yes

$0.00

2020-07-22

D/A

$30,246.00

$0.00

$0.00

$0.00

$0.00

D/A

$18,161,065.00

Yes

$0.00

2020-06-29

$1,008,264.00

$0.00

EACH INVESTOR PAYS AN UPFRONT PERCENTAGE OF ITS AGGREGATE INVESTMENT TO THE PLACEMENT AGENT, IN ADDITION TO ANY AMOUNTS INVESTED IN THE FUND. GENERAL PARTNER PAYS THE PLACEMENT AGENT A PORTION OF THE FEES PAID TO IT BY THE FUND ON AN ONGOING BASIS.

2020-06-29

$161,850.00

$0.00

2020-06-26

D/A

$3,494,244.00

Yes

$0.00

SALES COMMISSIONS REPORTED ARE THOSE PAID DURING THE TIME PERIOD OF JUNE 2019 THROUGH MAY, 2020.

2020-06-24

D/A

$35,057,998.00

Yes

$0.00

2020-06-24

D/A

$458,163.00

Yes

$0.00

2020-06-22

D/A

$1,785,845.00

Yes

$0.00

PLACEMENT AGENTS ARE COMPENSATED BY THE ISSUER-S INVESTMENT MANAGER(IM)INCLUDING FIXED FEES, A PORTION OF(1)IM-S MGMT FEE,AND/OR(2)PERFORMANCE FEES PAID TO THE IM OR ITS AFFILIATES. THE ESTIMATE INCLUDES AMOUNTS WHICH MAY BE PAID IN THE NEXT 12 MONTHS.

2020-06-22

D/A

$108,637.00

$0.00

XT CAPITAL PARTNERS, LLC WAS PAID A RETAINER FEE TO SOLICIT FOR THIS ISSUER AND SOME AFFILIATED ISSUERS, BY THE ISSUERS- GPS OR INVESTMENT MANAGERS, BUT HAS EARNED AND IS EXPECTED TO EARN A COMMISSION FOR SALES FOR ANOTHER AFFILIATED ISSUER.

2020-06-19

D/A

$65,425.00

Yes

$0.00

INVESTOR SERVICING FEE

2020-06-19

D/A

$6,905,784.00

Yes

$0.00

2020-06-19

D/A

$1,001,817.00

Yes

$0.00

2020-06-18

D/A

$3,504,761.00

Yes

$0.00

2020-06-18

D/A

$5,902,082.00

Yes

$0.00

2020-06-17

D/A

$1,210,285.00

Yes

$0.00

2020-06-17

D/A

$6,488,193.00

Yes

$0.00

2020-06-17

D/A

$222,795.00

Yes

$0.00

2020-06-17

D/A

$910,020.00

Yes

$0.00

2020-06-17

D/A

$50,345.00

Yes

$0.00

2020-06-17

D/A

$1,419,851.00

Yes

$0.00

2020-06-17

D/A

$772,869.00

Yes

$0.00

2020-06-17

D/A

$962,330.00

Yes

$0.00

2020-06-17

D/A

$361,795.00

Yes

$0.00

2020-06-17

D/A

$22,300.00

Yes

$0.00

2020-06-12

D/A

$8,000,000.00

Yes

$0.00

2020-06-11

D/A

$158,894.00

$0.00

INCLUDES ONLY SALES COMMISSIONS AND FINDERS- FEES EXPENSES PAID BY THE ISSUER, IF ANY.

2020-06-08

D/A

$6,299,328.00

Yes

$0.00

2020-06-05

D/A

$0.00

Yes

$0.00

Yes

2020-06-03

D/A

$1,402,355.00

Yes

$0.00

2020-06-01

D/A

$114,781.00

$0.00

CERTAIN EMPLOYEES OF AN AFFILIATE OF THE GP RECEIVE COMPENSATION IN PART BASED ON THE CAPITAL RAISED; SUCH COMPENSATION IS BORNE BY METROPOLITAN, NOT THE FUND-S INVESTORS.

2020-06-01

D/A

$183,145.00

$0.00

CERTAIN EMPLOYEES OF AN AFFILIATE OF THE GP RECEIVE COMPENSATION IN PART BASED ON THE CAPITAL RAISED; SUCH COMPENSATION IS BORNE BY METROPOLITAN, NOT THE FUND-S INVESTORS.

2020-06-01

D/A

$41,525.00

$0.00

CERTAIN EMPLOYEES OF AN AFFILIATE OF THE GP RECEIVE COMPENSATION IN PART BASED ON THE CAPITAL RAISED; SUCH COMPENSATION IS BORNE BY METROPOLITAN, NOT THE FUND-S INVESTORS.

2020-05-28

D/A

$14,652,518.00

Yes

$0.00

THE AMOUNT OF SALES COMMISSION IS ESTIMATED FOR THE ISSUER AND ITS PARALLEL FUNDS.

2020-05-28

D/A

$14,652,518.00

Yes

$0.00

THE AMOUNT OF SALES COMMISSION IS ESTIMATED FOR THE ISSUER AND ITS PARALLEL FUNDS.

2020-05-26

D/A

$1,750,000.00

Yes

$0.00

THE ESTIMATE INCLUDES FEES WHICH MAY BE PAYABLE DURING THE NEXT 12 MONTHS.

2020-05-26

D/A

$3,000,000.00

Yes

$0.00

THIS ESTIMATE INCLUDES FEES WHICH MAY BE PAYABLE DURING THE NEXT 12 MONTHS.

2020-05-26

D/A

$0.00

Yes

$0.00

Yes

AMOUNT TO BE PAID BASED ON A PERCENTAGE OF CAPITAL RAISED.

2020-05-26

D/A

$0.00

Yes

$0.00

Yes

AMOUNT TO BE PAID BASED ON A PERCENTAGE OF CAPITAL RAISED.

2020-05-26

D/A

$0.00

Yes

$0.00

Yes

AMOUNT TO BE PAID BASED ON A PERCENTAGE OF CAPITAL RAISED.

2020-05-22

D/A

$75,679.00

$0.00

2020-05-22

D/A

$33,250.00

Yes

$0.00

2020-05-22

D/A

$318,281.00

Yes

$0.00

2020-05-22

D/A

$104,400.00

Yes

$0.00

2020-05-22

D/A

$3,025,175.00

Yes

$0.00

2020-05-22

D/A

$116,500.00

Yes

$0.00

2020-05-22

D/A

$332,000.00

Yes

$0.00

2020-05-21

D/A

$105,754,345.00

Yes

$0.00

2020-05-21

D/A

$0.00

2020-05-15

D/A

$10,814.00

$0.00

2020-05-13

D/A

$18,141,065.00

Yes

$0.00

2020-05-12

D/A

$0.00

2020-05-11

D/A

$3,027,949.00

Yes

$0.00

2020-05-11

D/A

$2,856,899.00

Yes

$0.00

2020-05-11

D/A

$7,486,083.00

Yes

$0.00

2020-05-06

D/A

$34,098.00

$0.00

2020-05-06

D/A

$0.00

Yes

$0.00

Yes

2020-05-06

D/A

$0.00

Yes

$0.00

Yes

2020-05-04

D/A

$4,700,000.00

Yes

$0.00

PLACEMENT AGENT FEE.

2020-05-04

D/A

$3,289,441.00

Yes

$0.00

HIGHLAND INFORMATION SERVICES, INC., IS NO LONGER REGISTERED AS A BROKER AND NO LONGER RECEIVES SALES COMMISSIONS FROM THE ISSUER.

2020-04-28

D/A

$1,766,695.00

Yes

$0.00

CERTAIN INVESTORS MAY PAY A ONE-TIME UPFRONT FEE TO BROKERS OR DEALERS, AND THE MANAGER OF THE ISSUER MAY PAY AN ANNUAL ONGOING FEE TO CERTAIN BROKERS OR DEALERS. THESE FEES ARE NOT EXPENSES OF THE ISSUER.

2020-04-28

D/A

$5,894,738.00

Yes

$0.00

2020-04-24

D/A

$0.00

Yes

$0.00

Yes

2020-04-24

D/A

$1,412,794.00

Yes

$0.00

2020-04-17

D/A

$2,165,892.00

Yes

$0.00

SALES COMMISSIONS ARE PAID BY ENERGY INCOME PARTNERS, LLC, NOT THE ISSUER.

2020-04-10

D/A

$10,000,000.00

Yes

$0.00

2020-04-09

D/A

$862,036.00

Yes

$0.00

ESTIMATE INCLUDES FEES THAT MAY BE PAID OVER THE NEXT 12 MONTHS.

2020-04-08

D/A

$10,300,000.00

Yes

$0.00

SALES COMMISSIONS INCLUDE SALES COMMISSIONS RELATING TO BLACKSTONE REAL ESTATE PARTNERS EUROPE VI SCSP; BREP EUROPE VI (ALBERTA) L.P. AND BREP EUROPE VI (CAYMAN) L.P.

2020-04-03

D/A

$10,000,000.00

Yes

$0.00

Yes

INCLUDES SALES COMMISSIONS OF FUND AND AFFILIATED FUNDS.

2020-04-03

D/A

$10,000,000.00

Yes

$0.00

Yes

INCLUDES SALES COMMISSIONS OF FUND AND AFFILIATED FUNDS.

2020-04-03

D/A

$10,000,000.00

Yes

$0.00

Yes

INCLUDES SALES COMMISSION OF FUND AND AFFILIATED FUNDS.

2020-04-03

D/A

$10,000,000.00

Yes

$0.00

Yes

INCLUDES SALES COMMISSIONS OF FUND AND AFFILIATED FUNDS.

2020-04-01

D/A

$3,821,754.00

$23,748,839.00

2020-03-31

D/A

$0.00

Yes

$0.00

Yes

2020-03-31

D/A

$0.00

Yes

$0.00

Yes

2020-03-31

D/A

$0.00

Yes

$0.00

Yes

2020-03-31

D/A

$0.00

Yes

$0.00

Yes

2020-03-31

D/A

$0.00

Yes

$0.00

Yes

2020-03-31

D/A

$0.00

Yes

$0.00

Yes

2020-03-30

D/A

$0.00

$4,625,838.00

2020-03-30

D/A

$0.00

$8,741,465.00

2020-03-27

$7,500,000.00

Yes

$0.00

THIS AMOUNT INCLUDES FEES EXPECTED TO BE PAID WITH RESPECT TO THIS LIMITED PARTNERSHIP AND ITS RELATED VEHICLES.

2020-03-27

$7,500,000.00

Yes

$0.00

THIS AMOUNT INCLUDES FEES EXPECTED TO BE PAID WITH RESPECT TO THIS LIMITED PARTNERSHIP AND ITS RELATED VEHICLES.

2020-03-25

D/A

$3,436,800.00

$27,082,679.00

2020-03-20

D/A

$3,875,000.00

Yes

$0.00

ANY COMMISSIONS WILL BE PAID ENTIRELY TO PARK HILL AND GENCAP. ISSUER WILL NOT PAY ANY COMMISSION OR FINDERS FEE TO MORGAN STANLEY. A QUARTERLY MANAGEMENT FEE WILL BE PAID TO MORGAN STANLEY BY ITS CLIENTS WHO PURCHASED INTERESTS IN ISSUER.

2020-03-19

D/A

$0.00

Yes

THE PERSONS/FIRMS LISTED IN ITEM 12 RECEIVE CERTAIN FEES, INCLUDING A PERCENTAGE OF THE MANAGEMENT FEES AND/OR PERFORMANCE ALLOCATIONS.

2020-03-19

D/A

$0.00

Yes

THE PERSONS/FIRMS LISTED IN ITEM 12 RECEIVE CERTAIN FEES, INCLUDING A PERCENTAGE OF THE MANAGEMENT FEES AND/OR PERFORMANCE ALLOCATIONS.

2020-03-16

$0.00

2020-03-16

D/A

$2,090,728.00

$0.00

2020-03-16

D/A

$2,489,695.00

$0.00

2020-03-16

D/A

$4,788,605.00

$0.00

2020-03-16

D/A

$0.00

2020-03-13

D/A

$11,000,000.00

Yes

$0.00

2020-03-13

D/A

$1,898,209.00

$0.00

2020-03-13

D/A

$2,970,000.00

Yes

$0.00

2020-03-13

D/A

$4,773,852.00

Yes

$0.00

2020-03-13

D/A

$6,836,104.00

Yes

$0.00

2020-03-13

D/A

$282,171.00

$0.00

2020-03-13

D/A

$997,614.00

Yes

$0.00

2020-03-13

D/A

$7,500,000.00

Yes

$0.00

THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.

2020-03-13

D/A

$80,000,000.00

Yes

$0.00

THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.

2020-03-11

D/A

$7,005,000.00

Yes

$0.00

2020-03-11

D/A

$1,575,000.00

Yes

$0.00

2020-03-11

D/A

$7,005,000.00

Yes

$0.00

2020-03-11

D/A

$1,575,000.00

Yes

$0.00

2020-03-11

D/A

$49,725,830.00

$0.00

2020-03-06

D/A

$15,252,061.00

Yes

$0.00

INCLUDES SALES COMMISSIONS PAID TO ALL PLACEMENT AGENTS LISTED IN THIS FORM D. RAYMOND JAMES + ASSOCIATES INC. BECAME SUCCESSOR TO DEUTSCHE BANK ALEX. BROWN INC. IN SEPTEMBER 2016.

2020-03-06

D/A

$20,356,854.00

Yes

$0.00

INCLUDES SALES COMMISSIONS PAID TO ALL PLACEMENT AGENTS LISTED IN THIS FORM D. RAYMOND JAMES + ASSOCIATES INC. BECAME SUCCESSOR TO DEUTSCHE BANK ALEX. BROWN INC. IN SEPTEMBER 2016.

2020-03-04

D/A

$1,416,396.00

Yes

$0.00

Yes

2020-03-02

D/A

$0.00

SALES AGENT RECEIVES A PORTION OF THE MANAGEMENT FEE PAYABLE BY THE ISSUER TO THE INVESTMENT MANAGER.

2020-03-02

D/A

$0.00

SALES AGENT RECEIVES A PORTION OF THE MANAGEMENT FEE PAYABLE BY THE ISSUER TO THE INVESTMENT MANAGER.

2020-03-02

D/A

$0.00

SALES AGENT RECEIVES A PORTION OF THE MANAGEMENT FEE PAYABLE BY THE ISSUER TO THE INVESTMENT MANAGER.

2020-03-02

$722,720.00

$0.00

EACH INVESTOR PAYS UP TO 1.3% OF ITS AGGREGATE INVESTMENT TO THE PLACEMENT AGENT UPFRONT, IN ADDITION TO ANY AMOUNTS INVESTED IN THE FUND. GENERAL PARTNER PAYS THE PLACEMENT AGENT A PORTION OF THE FEES PAID TO IT BY THE FUND ON AN ONGOING BASIS.

2020-03-02

$2,254,650.00

$0.00

2020-02-25

D/A

$0.00

Yes

$0.00

Yes

THE RECIPIENT LISTED SECOND IN ITEM 12 IS PAID AN AMOUNT EQUAL TO A PERCENTAGE OF THE MANAGEMENT FEE PAID TO THE INVESTMENT MANAGER (OR ITS AFFILIATE) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGEMENT.

2020-02-25

D/A

$0.00

Yes

$0.00

Yes

2020-02-25

D/A

$0.00

Yes

$0.00

Yes

2020-02-24

D/A

$2,056,438.00

Yes

$0.00

Yes

2020-02-21

D/A

$7,947,031.00

Yes

$0.00

2020-02-21

D/A

$8,273,946.00

Yes

$0.00

2020-02-14

D/A

$0.00

Yes

$0.00

Yes

2020-02-14

D/A

$0.00

Yes

$0.00

Yes

2020-02-14

D/A

$0.00

Yes

$0.00

Yes

2020-02-14

D/A

$0.00

Yes

$0.00

Yes

PLACEMENT AGENTS MAY RECEIVE UP FRONT COMMISSIONS OF UP TO 3% OF AMOUNT INVESTED IN FUND BY THEIR CLIENTS. IN ADDITION, THE FUND-S INV. MGR. MAY PAY A PORTION OF ITS MGMT. FEES TO CERTAIN FINDERS.

2020-02-14

D/A

$0.00

Yes

$0.00

Yes

2020-02-14

D/A

$0.00

Yes

$0.00

Yes

2020-02-11

D/A

$341,250.00

Yes

$0.00

2020-02-11

D/A

$2,307,500.00

Yes

$0.00

2020-02-11

D/A

$3,522,774.00

Yes

$0.00

2020-02-11

D/A

$0.00

$5,250,697.00

Yes

2020-02-10

D/A

$453,039.00

Yes

$0.00

2020-02-07

D/A

$14,141,065.00

Yes

$0.00

2020-02-06

D/A

$0.00

Yes

$0.00

2020-02-06

D/A

$0.00

Yes

$0.00

2020-01-23

D/A

$133,067.00

$0.00

INCLUDES ONLY SALES COMMISSIONS AND FINDERS- FEES EXPENSES PAID BY THE ISSUER, IF ANY.

2020-01-15

$424,240.00

$0.00

2020-01-14

D/A

$3,522,774.00

Yes

$0.00

2020-01-10

D/A

$30,000,000.00

Yes

$0.00

2020-01-10

D/A

$30,000,000.00

Yes

$0.00

2020-01-09

$12,641,065.00

Yes

$0.00

2020-01-03

D/A

$15,500,000.00

Yes

$0.00

2020-01-02

$566,450.00

$0.00

2020-01-02

$2,683,138.00

$0.00

2019-12-27

$18,500,000.00

Yes

$0.00

2019-12-20

D/A

$5,468,461.00

Yes

$0.00

Yes

2019-12-16

$74,075.00

$0.00

EACH INVESTOR PAYS UP TO 2% OF ITS AGGREGATE INVESTMENT TO THE PLACEMENT AGENT UPFRONT, IN ADDITION TO ANY AMOUNTS INVESTED IN THE FUND. GENERAL PARTNER PAYS THE PLACEMENT AGENT A PORTION OF THE FEES PAID TO IT BY THE FUND ON AN ONGOING BASIS.

2019-12-16

$460,425.00

$0.00

EACH INVESTOR PAYS UP TO 2% OF ITS AGGREGATE INVESTMENT TO THE PLACEMENT AGENT UPFRONT, IN ADDITION TO ANY AMOUNT INVESTED IN THE FUND. GENERAL PARTNER PAYS THE PLACEMENT AGENT A PORTION OF THE FEES PAID TO IT BY THE FUND ON AN ONGOING BASIS.

2019-12-16

D/A

$80,000,000.00

Yes

$0.00

PORTIONS OF THE AMOUNTS ABOVE ARE PAYABLE BY THE ADVISER.

2019-12-13

D/A

$2,056,438.00

Yes

$0.00

Yes

2019-12-13

D/A

$0.00

Yes

$0.00

Yes

2019-12-12

$118,173,048.00

$0.00

2019-12-11

D/A

$4,980,332.00

$0.00

PLACEMENT FEES

2019-12-10

D/A

$12,000,000.00

Yes

$0.00

THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS. CREDIT SUISSE SECURITIES (USA) LLC IS THE FORMER FIRM OF THE INDIVIDUALS LISTED IN ITEM 12.

2019-12-06

D/A

$2,220,000.00

Yes

$0.00

THE FIGURE DISCLOSED ABOVE REFLECTS ESTIMATED AMOUNTS EXPECTED TO BE PAID TO PLACEMENT AGENTS IN RESPECT OF THE OFFERING OF LIMITED PARTNERSHIP INTERESTS OF THE ISSUER.

2019-12-03

D/A

$1,203,727.00

Yes

$0.00

Yes

2019-11-29

D/A

$34,500,000.00

Yes

$0.00

THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS

2019-11-29

D/A

$30,500,000.00

Yes

$0.00

THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.

2019-11-29

D/A

$4,700,000.00

$0.00

THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.

2019-11-29

D/A

$22,500,000.00

Yes

$0.00

THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS. CREDIT SUISSE SECURITIES (USA) LLC IS THE FORMER FIRM OF THE INDIVIDUALS LISTED IN ITEM 12.

2019-11-29

D/A

$92,500,000.00

Yes

$0.00

THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.

2019-11-25

D/A

$2,979,949.00

$0.00

2019-11-22

D/A

$0.00

2019-11-22

D/A

$2,699,963.00

Yes

$0.00

2019-11-13

D/A

$0.00

Yes

$0.00

Yes

2019-11-08

D/A

$15,000,000.00

Yes

$0.00

2019-11-01

D/A

$509,222.00

$0.00

2019-10-31

D/A

$1,628,699.00

Yes

$0.00

SALES COMMISSION IS ESTIMATED FOR THE ISSUER AND ITS PARALLEL VEHICLES.

2019-10-31

D/A

$1,628,699.00

Yes

$0.00

SALES COMMISSION IS ESTIMATED FOR THE ISSUER AND ITS PARALLEL VEHICLES.

2019-10-31

D/A

$1,628,699.00

Yes

$0.00

SALES COMMISSION IS ESTIMATED FOR THE ISSUER AND ITS PARALLEL VEHICLES.

2019-10-28

D/A

$0.00

$46,896,706.00

THE TOTAL DOLLAR AMOUNT OF FINDERS- FEES REFLECTS THE TOTAL AMOUNT PAID TO UBS AND MSSB FROM INCEPTION TO DATE.

2019-10-28

D/A

$0.00

$18,775,932.00

THE TOTAL DOLLAR AMOUNT OF FINDERS- FEES REFLECTS THE TOTAL AMOUNT PAID TO UBS + MSSB FROM INCEPTION TO DATE

2019-10-28

D/A

$0.00

Yes

$0.00

Yes

2019-10-25

D/A

$0.00

Yes

$0.00

Yes

THE RECIPIENTS LISTED IN ITEM 12 ARE PAID AN AMOUNT EQUAL TO A PERCENTAGE OF THE MANAGEMENT FEE PAID BY THE ISSUER TO THE INVESTMENT MANGER (OR ITS AFFILIATE) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION.

2019-10-25

D/A

$0.00

Yes

$0.00

Yes

2019-10-24

D/A

$105,073.00

$0.00

INCLUDES ONLY SALES COMMISSIONS AND FINDERS- FEES EXPENSES PAID BY THE ISSUER, IF ANY.

2019-10-24

D/A

$50,000,000.00

Yes

$0.00

Yes

ESTIMATE INCLUDES SALES COMMISSIONS OF ISSUER AND ITS PARALLEL FUNDS.

2019-10-18

D/A

$5,000,000.00

Yes

$0.00

Yes

2019-10-17

D/A

$0.00

A MONTHLY FEE WILL BE PAID TO THE PLACEMENT AGENT OF UP TO 1/12 OF 2.00% (A 2.00% ANNUAL RATE)OF THE NET ASSETS OF THE ISSUER AS OF THE BEGINNING OF EACH MONTH. THIS FEE IS REFERRED TO AS THE ONGOING PLACEMENT AGENT FEE.

2019-10-16

D/A

$0.00

2019-10-16

D/A

$0.00

2019-10-15

D/A

$5,442,770.00

$0.00

FOR PERIOD THROUGH 10/1/19.

2019-10-11

D/A

$305,704.00

Yes

$0.00

Yes

2019-10-10

D/A

$5,199,310.00

Yes

$0.00

INCLUDES AMOUNTS PAID FOR SOLICITATION OUTSIDE OF THE UNITED STATES.

2019-10-09

D/A

$0.00

$498,293.00

Yes

2019-10-08

D/A

$959,177.00

Yes

$0.00

EACH INVESTOR PAYS UP TO 3% OF ITS AGGREGATE INVESTMENT TO THE PLACEMENT AGENT UPFRONT, IN ADDITION TO ANY AMOUNTS INVESTED IN THE FUND. THE GENERAL PARTNER PAYS TO THE PLACEMENT AGENT A PORTION OF THE FEES PAID TO IT BY THE FUND ON AN ONGOING BASIS.

2019-10-04

D/A

$12,486,124.00

Yes

$0.00

2019-10-04

D/A

$5,508,513.00

Yes

$0.00

2019-10-01

D/A

$431,045.00

Yes

$0.00

Yes

2019-09-27

D/A

$4,599,001.00

$0.00

2019-09-27

D/A

$2,863,625.00

$0.00

2019-09-25

$2,424,106.00

$0.00

2019-09-25

D/A

$2,648,897.00

Yes

$0.00

2019-09-23

D/A

$12,596.00

Yes

$0.00

Yes

2019-09-20

D/A

$50,000,000.00

Yes

$0.00

Yes

ESTIMATE INCLUDES SALES COMMISSIONS OF ISSUER AND ITS PARALLEL FUNDS.

2019-09-20

D/A

$50,000,000.00

Yes

$0.00

Yes

ESTIMATE INCLUDES SALES COMMISSIONS OF ISSUER AND ITS PARALLEL FUNDS.

2019-09-20

D/A

$50,000,000.00

Yes

$0.00

Yes

ESTIMATE INCLUDES SALES COMMISSIONS OF ISSUER AND ITS PARALLEL FUNDS.

2019-09-11

D/A

$2,214,876.00

Yes

$0.00

2019-09-11

D/A

$3,325,069.00

Yes

$0.00

2019-09-10

D/A

$59,387.00

Yes

$0.00

Yes

2019-09-06

D/A

$978,270.00

Yes

$0.00

THE COMMISSIONS REPORTED ARE THOSE PAID DURING THE TIME PERIOD OF JULY 1, 2018 THROUGH JUNE 30, 2019.

2019-09-03

D/A

$0.00

Yes

$0.00

Yes

2019-08-30

D/A

$854,500.00

Yes

$0.00

2019-08-30

D/A

$1,342,701.00

Yes

$0.00

2019-08-30

D/A

$17,394,434.00

Yes

$0.00

2019-08-30

D/A

$4,954,093.00

Yes

$0.00

ESTIMATED FEES BEGINNING FROM THE ISSUER-S INCEPTION AND PROJECTED THROUGH THE NEXT 12 MONTHS.

2019-08-30

D/A

$0.00

THE INVESTMENT ADVISER WILL RECEIVE A MONTHLY MANAGEMENT FEE AT A PERCENTAGE RATE BASED ON THE ISSUER-S NET ASSETS.

2019-08-29

D/A

$12,490,812.00

Yes

$0.00

THE STATED ESTIMATE INCLUDES BOTH PLACEMENT AGENT FEES AND TRAILER FEES AND INCLUDES FEES PROJECTED TO BE PAID IN THE NEXT 12 MONTHS.

2019-08-29

D/A

$9,583,185.00

Yes

$0.00

THE STATED ESTIMATE INCLUDES BOTH PLACEMENT AGENT FEES AND TRAILER FEES AND INCLUDES FEES PROJECTED TO BE PAID IN THE NEXT 12 MONTHS.

2019-08-29

D/A

$9,662,586.00

Yes

$0.00

THE STATED ESTIMATE INCLUDES BOTH PLACEMENT AGENT FEES AND TRAILER FEES AND INCLUDES FEES PROJECTED TO BE PAID IN THE NEXT 12 MONTHS.

2019-08-29

D/A

$2,503,421.00

Yes

$0.00

THE STATED ESTIMATE INCLUDES BOTH PLACEMENT AGENT FEES AND TRAILER FEES AND INCLUDES FEES PROJECTED TO BE PAID IN THE NEXT 12 MONTHS.

2019-08-26

D/A

$0.00

2019-08-22

D/A

$0.00

Yes

$0.00

Yes

2019-08-22

D/A

$0.00

Yes

$0.00

Yes

2019-08-20

$1,193,139.00

Yes

$0.00

EACH INVESTOR PAYS UP TO 3% OF ITS AGGREGATE INVESTMENT TO THE PLACEMENT AGENT UPFRONT, IN ADDITION TO ANY AMOUNTS INVESTED IN THE FUND. GENERAL PARTNER PAYS THE PLACEMENT AGENT A PORTION OF THE FEES PAID TO IT BY THE FUND ON AN ONGOING BASIS.

2019-08-20

$469,001.00

Yes

$0.00

2019-08-19

D/A

$3,325,069.00

Yes

$0.00

2019-08-16

D/A

$16,875,000.00

Yes

$0.00

THE AMOUNT OF SALES COMMISSIONS IS ESTIMATED FOR THE ISSUER AND ITS PARALLEL FUND.

2019-08-16

D/A

$16,875,000.00

Yes

$1,400,000.00

Yes

THE AMOUNT OF SALES COMMISSIONS IS ESTIMATED FOR THE ISSUER AND ITS PARALLEL FUND.

2019-08-14

D/A

$0.00

2019-08-14

D/A

$0.00

2019-08-14

D/A

$0.00

2019-08-13

D/A

$0.00

Yes

$0.00

Yes

SALES COMMISSIONS MAY BE PAID TO MORGAN STANLEY SMITH BARNEY LLC OVER TIME AS A RESULT OF THE ANTICIPATED SALES OF INTERESTS IN THE ISSUER AND/OR CERTAIN RELATED ENTITIES BASED ON AMOUNT OF CAPITAL PLACED BY SUCH PERSONS.

2019-08-13

D/A

$0.00

Yes

$0.00

Yes

2019-08-13

D/A

$0.00

Yes

$0.00

Yes

2019-08-13

D/A

$0.00

Yes

$0.00

Yes

2019-08-12

D/A

$1,393,355.00

$2,772,001.00

Yes

2019-08-12

D/A

$1,929,425.00

$3,674,606.00

Yes

2019-08-12

$1,251,282.00

Yes

$0.00

EACH INVESTOR PAYS UP TO 3% OF ITS AGGREGATE INVESTMENT TO THE PLACEMENT AGENT UPFRONT, IN ADDITION TO ANY AMOUNTS INVESTED IN THE FUND. THE GENERAL PARTNER PAYS THE PLACEMENT AGENT A PORTION OF THE FEES PAID TO IT BY THE FUND ON AN ONGOING BASIS.

2019-08-12

D/A

$2,214,876.00

Yes

$0.00

2019-08-08

D/A

$75,150.00

$0.00

INCLUDES ONLY SALES COMMISSIONS AND FINDERS- FEES EXPENSES PAID BY THE ISSUER, IF ANY.

2019-08-01

$480,463.00

Yes

$0.00

2019-08-01

D/A

$100,000.00

$0.00

HAMILTON LANE SECURITIES LLC RECEIVES FROM THE MANAGER A MONTHLY FEE FOR GENERAL PLACEMENT AGENT SERVICES PROVIDED ON BEHALF OF THE ISSUERS AND OTHER FUNDS MANAGED BY THE MANAGER.

2019-08-01

$100,000.00

$0.00

HAMILTON LANE SECURITIES LLC RECEIVES FROM THE MANAGER A MONTHLY FEE FOR GENERAL PLACEMENT AGENT SERVICES PROVIDED ON BEHALF OF THE ISSUERS AND OTHER FUNDS MANAGED BY THE MANAGER.

2019-08-01

D/A

$100,000.00

$0.00

HAMILTON LANE SECURITIES LLC RECEIVES FROM THE MANAGER A MONTHLY FEE FOR GENERAL PLACEMENT AGENT SERVICES PROVIDED ON BEHALF OF THE ISSUERS AND OTHER FUNDS MANAGED BY THE MANAGER.

2019-08-01

$100,000.00

$0.00

HAMILTON LANE SECURITIES LLC RECEIVES FROM THE MANAGER A MONTHLY FEE FOR GENERAL PLACEMENT AGENT SERVICES PROVIDED ON BEHALF OF THE ISSUERS AND OTHER FUNDS MANAGED BY THE MANAGER.

2019-07-29

D/A

$5,000,000.00

Yes

$0.00

Yes

2019-07-24

D/A

$15,300,000.00

Yes

$0.00

THE AMOUNT OF THE SALES COMMISSIONS IS ESTIMATED FOR THE ISSUER AND ITS PARALLEL VEHICLES AND REPRESENTS AN ESTIMATE OF THE TOTAL FEES TO BE PAID TO THE ENTITIES LISTED IN ITEM 12 ABOVE.

2019-07-24

D/A

$15,300,000.00

Yes

$0.00

THE AMOUNT OF THE SALES COMMISSIONS IS ESTIMATED FOR THE ISSUER AND ITS PARALLEL VEHICLES AND REPRESENTS AN ESTIMATE OF THE TOTAL FEES TO BE PAID TO THE ENTITIES LISTED IN ITEM 12 ABOVE.

2019-07-24

D/A

$15,300,000.00

Yes

$0.00

THE AMOUNT OF THE SALES COMMISSIONS IS ESTIMATED FOR THE ISSUER AND ITS PARALLEL VEHICLES AND REPRESENTS AN ESTIMATE OF THE TOTAL FEES TO BE PAID TO THE ENTITIES LISTED IN ITEM 12 ABOVE.

2019-07-23

D/A

$0.00

2019-07-23

D/A

$55,878.00

$0.00

2019-07-23

D/A

$656,093.00

Yes

$0.00

EACH INVESTOR MAY PAY UP TO 3% OF ITS AGGREGATE INVESTMENT TO AGENT UPFRONT, IN ADDITION TO ANY AMOUNTS INVESTED IN THE FUND. PROGRAM MANAGER PAYS AGENT A PORTION OF THE FEES PAID TO IT BY THE FUND ON AN ONGOING BASIS.

2019-07-23

D/A

$37,642.00

Yes

$0.00

2019-07-23

D/A

$260,130.00

Yes

$0.00

2019-07-23

D/A

$1,179,345.00

Yes

$0.00

2019-07-23

D/A

$567,751.00

Yes

$0.00

2019-07-23

D/A

$972,944.00

Yes

$0.00

2019-07-23

D/A

$1,440,625.00

Yes

$0.00

2019-07-23

D/A

$3,317,608.00

Yes

$0.00

2019-07-23

D/A

$161,530.00

Yes

$0.00

2019-07-23

D/A

$45,430.00

Yes

$0.00

2019-07-23

D/A

$1,244,234.00

Yes

$0.00

2019-07-23

D/A

$1,133,140.00

Yes

$0.00

EACH INVESTOR MAY PAY UP TO 3% OF ITS AGGREGATE INVESTMENT TO AN AGENT UPFRONT, IN ADDITION TO ANY AMOUNTS INVESTED IN THE FUND. PROGRAM MANAGER PAYS AGENT A PORTION OF THE FEES PAID TO IT BY FUND ON AN ONGOING BASIS.

2019-07-23

D/A

$163,050.00

Yes

$0.00

2019-07-23

D/A

$1,719,657.00

Yes

$0.00

2019-07-23

D/A

$370,750.00

Yes

$0.00

2019-07-23

D/A

$244,250.00

Yes

$0.00

2019-07-23

D/A

$291,140.00

Yes

$0.00

EACH INVESTOR MAY PAY UP TO 3% OF ITS AGGREGATE INVESTMENT TO AGENT UPFRONT, IN ADDITION TO ANY AMOUNTS INVESTED IN THE FUND. MANAGING MEMBER PAYS AGENT A PORTION OF THE FEES PAID TO IT BY THE FUND ON AN ONGOING BASIS.

2019-07-23

D/A

$1,516,850.00

Yes

$0.00

2019-07-15

D/A

$0.00

Yes

$0.00

Yes

THE RECIPIENT LISTED SECOND IN ITEM 12 IS PAID AN AMOUNT EQUAL TO A PERCENTAGE OF THE MANAGEMENT FEE PAID TO THE INVESTMENT MANAGER (OR ITS AFFILIATE) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGEMENT.

2019-07-12

D/A

$125,165.00

Yes

$0.00

2019-07-11

D/A

$3,325,069.00

Yes

$0.00

2019-07-11

D/A

$5,445,578.00

Yes

$0.00

THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.

2019-07-10

$700,800.00

Yes

$0.00

2019-07-09

D/A

$613,500.00

Yes

$0.00

2019-07-09

D/A

$613,500.00

Yes

$0.00

2019-07-09

D/A

$613,500.00

Yes

$0.00

2019-07-09

$613,500.00

Yes

$0.00

2019-07-08

D/A

$0.00

Yes

$0.00

Yes

2019-07-03

D/A

$58,000,000.00

Yes

$0.00

THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.

2019-07-03

D/A

$61,000,000.00

Yes

$0.00

THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.

2019-07-02

D/A

$5,404,115.00

Yes

$0.00

2019-06-27

D/A

$4,118,348.00

Yes

$0.00

SALES COMMISSIONS REPORTED ARE THOSE PAID DURING THE TIME PERIOD OF JUNE 2018 THROUGH MAY, 2019.

2019-06-25

D/A

$25,000,000.00

Yes

$0.00

2019-06-24

D/A

$34,689,655.00

Yes

$0.00

2019-06-24

D/A

$435,456.00

Yes

$0.00

2019-06-21

D/A

$1,197,915.00

Yes

$0.00

2019-06-21

D/A

$81,021.00

$0.00

2019-06-21

D/A

$1,585,796.00

Yes

$0.00

2019-06-19

D/A

$0.00

Yes

$0.00

COMMISSIONS ARE NOT EARNED AND PAYABLE UNTIL FUNDS ARE DRAWN.

2019-06-18

$1,500,000.00

Yes

$0.00

THE ESTIMATE INCLUDES AMOUNTS THAT MAY BE PAYABLE IN THE NEXT 12 MONTHS.

2019-06-17

D/A

$56,120.00

Yes

$0.00

EACH INVESTOR PAYS UP TO 2% OF ITS AGGREGATE INVESTMENT TO AGENT UPFRONT, IN ADDITION TO ANY AMOUNTS INVESTED IN THE FUND. GENERAL PARTNER PAYS AGENT A PORTION OF THE FEES PAID TO IT BY THE FUND ON AN ONGOING BASIS.

2019-06-17

D/A

$196,255.00

Yes

$0.00

2019-06-17

D/A

$1,198,135.00

Yes

$0.00

2019-06-17

D/A

$6,266,653.00

Yes

$0.00

2019-06-17

D/A

$3,500.00

Yes

$0.00

EACH INVESTOR PAYS UP TO 2% OF ITS AGGREGATE INVESTMENT TO AGENT UPFRONT, IN ADDITION TO ANY AMOUNTS INVESTED IN THE FUND. PROGRAM MANAGER PAYS AGENT A PORTION OF THE FEES PAID TO IT BY THE FUND ON AN ONGOING BASIS.

2019-06-17

D/A

$98,500.00

Yes

$0.00

2019-06-17

D/A

$222,795.00

Yes

$0.00

2019-06-17

D/A

$831,570.00

Yes

$0.00

2019-06-17

D/A

$50,345.00

Yes

$0.00

2019-06-17

D/A

$1,419,851.00

Yes

$0.00

2019-06-17

D/A

$780,730.00

Yes

$0.00

2019-06-17

D/A

$274,820.00

Yes

$0.00

2019-06-17

D/A

$22,300.00

Yes

$0.00

2019-06-17

D/A

$752,369.00

Yes

$0.00

2019-06-14

D/A

$7,000,000.00

Yes

$0.00

2019-06-11

$52,750.00

Yes

$0.00

2019-06-11

$184,500.00

Yes

$0.00

2019-06-07

D/A

$2,936,407.00

Yes

$0.00

2019-06-07

D/A

$0.00

Yes

$0.00

Yes

2019-06-05

D/A

$3,504,761.00

Yes

$0.00

2019-06-05

D/A

$5,902,082.00

Yes

$0.00

2019-05-30

D/A

$114,781.00

$0.00

CERTAIN EMPLOYEES OF AN AFFILIATE OF THE GP RECEIVE COMPENSATION IN PART BASED ON THE CAPITAL RAISED; SUCH COMPENSATION IS BORNE BY METROPOLITAN, NOT THE FUND-S INVESTORS.

2019-05-30

D/A

$183,145.00

$0.00

CERTAIN EMPLOYEES OF AN AFFILIATE OF THE GP RECEIVE COMPENSATION IN PART BASED ON THE CAPITAL RAISED; SUCH COMPENSATION IS BORNE BY METROPOLITAN, NOT THE FUND-S INVESTORS.

2019-05-30

D/A

$41,525.00

$0.00

CERTAIN EMPLOYEES OF AN AFFILIATE OF THE GP RECEIVE COMPENSATION IN PART BASED ON THE CAPITAL RAISED; SUCH COMPENSATION IS BORNE BY METROPOLITAN, NOT THE FUND-S INVESTORS.

2019-05-29

D/A

$100,020,222.00

Yes

$0.00

2019-05-24

D/A

$5,000,000.00

Yes

$0.00

Yes

INCLUDES SALES COMMISSIONS OF FUND AND AFFILIATED FUNDS.

2019-05-24

D/A

$5,000,000.00

Yes

$0.00

Yes

INCLUDES SALES COMMISSIONS OF FUND AND AFFILIATED FUNDS.

2019-05-24

D/A

$3,325,069.00

Yes

$0.00

2019-05-23

D/A

$64,491.00

$0.00

2019-05-23

D/A

$39,121.00

$0.00

INCLUDES ONLY SALES COMMISSIONS AND FINDERS- FEES EXPENSES PAID BY THE ISSUER, IF ANY.

2019-05-22

D/A

$1,491,532.00

Yes

$0.00

2019-05-22

D/A

$934,845.00

Yes

$0.00

2019-05-22

D/A

$247,130.00

Yes

$0.00

2019-05-22

D/A

$248,365.00

Yes

$0.00

2019-05-22

D/A

$972,944.00

Yes

$0.00

EACH INVESTOR PAYS UP TO 2% OF ITS AGGREGATE INVESTMENT TO AGENT UPFRONT, IN ADDITION TO ANY AMOUNTS INVESTED IN THE FUND. MANAGING MEMBER PAYS AGENT A PORTION OF THE FEES PAID TO IT BY THE FUND ON AN ONGOING BASIS.

2019-05-22

D/A

$1,382,002.00

Yes

$0.00

2019-05-22

D/A

$1,205,750.00

Yes

$0.00

EACH INVESTOR PAYS UP TO 2% OF ITS AGGREGATE INVESTMENT TO AN AGENT UPFRONT, IN ADDITION TO ANY AMOUNTS INVESTED IN THE FUND. PROGRAM MANAGER PAYS AGENT A PORTION OF THE FEES PAID TO IT BY FUND ON AN ONGOING BASIS.

2019-05-22

D/A

$29,500.00

Yes

$0.00

2019-05-22

D/A

$183,805.00

Yes

$0.00

2019-05-22

D/A

$104,400.00

Yes

$0.00

2019-05-22

D/A

$607,714.00

Yes

$0.00

2019-05-22

D/A

$116,500.00

Yes

$0.00

2019-05-22

D/A

$332,000.00

Yes

$0.00

2019-05-21

$2,392,027.00

Yes

$0.00

2019-05-16

D/A

$889,761.00

Yes

$0.00

2019-05-16

D/A

$889,761.00

Yes

$0.00

2019-05-10

$1,750,000.00

Yes

$0.00

THE ESTIMATE INCLUDES AMOUNTS WHICH MAY BE PAYABLE OVER THE NEXT 12 MONTHS

2019-05-10

D/A

$2,841,076.00

Yes

$0.00

IM NO LONGER COMPENSATES AMD OR UMB FOR SALES AFTER 3/1/11. HOWEVER, IM CONTINUES TO PAY A PORTION OF MGMT FEES + INCENTIVE ALLOCATION FOR PRIOR SALES TO AMD ONLY-SEE ITEM 12. ITEM 15 REFLECTS INFO FROM 3/15/09.

2019-05-10

D/A

$6,994,597.00

Yes

$0.00

SPONSOR NO LONGER COMPENSATES AMD OR UMB FOR SALES AFTER 3/1/11. HOWEVER, THE SPONSOR CONTINUES TO PAY A PORTION OF MGMT FEES + INCENTIVE ALLOCATION FOR PRIOR SALES TO AMD ONLY-SEE ITEM 12. ITEM 15 REFLECTS INFO FROM 3/15/09.

2019-05-10

D/A

$2,713,982.00

Yes

$0.00

GP NO LONGER COMPENSATES AMD OR UMB FOR SALES AFTER 3/1/11 BUT CONTINUES TO PAY A PORTION OF MGMT FEES + INCENTIVE ALLOCATION FOR PRIOR SALES-SEE ITEM 12. ITEM 15 REFLECTS INFO FROM 3/15/09.

2019-05-10

$9,500,000.00

Yes

$0.00

THE ESTIMATE INCLUDES AMOUNTS WHICH MAY BE PAYABLE OVER THE NEXT 12 MONTHS.

2019-05-06

D/A

$0.00

Yes

$0.00

Yes

2019-05-06

D/A

$0.00

Yes

$0.00

Yes

2019-05-03

D/A

$3,500,000.00

Yes

$0.00

PLACEMENT AGENT FEE.

2019-05-02

D/A

$10,240.00

$0.00

2019-05-02

D/A

$3,037,057.00

Yes

$0.00

HIGHLAND INFORMATION SERVICES, INC., IS NO LONGER REGISTERED AS A BROKER AND NO LONGER RECEIVES SALES COMMISSIONS FROM THE ISSUER.

2019-04-30

D/A

$2,699,963.00

Yes

$0.00

2019-04-30

D/A

$2,979,949.00

$0.00

2019-04-26

D/A

$1,205,551.00

Yes

$0.00

2019-04-26

D/A

$0.00

Yes

$0.00

Yes

2019-04-25

D/A

$0.00

2019-04-24

D/A

$37,642.00

Yes

$0.00

2019-04-24

D/A

$443,593.00

Yes

$0.00

2019-04-24

D/A

$291,140.00

Yes

$0.00

2019-04-24

D/A

$93,185.00

Yes

$0.00

2019-04-24

D/A

$1,113,640.00

Yes

$0.00

2019-04-24

D/A

$0.00

Yes

$0.00

Yes

2019-04-24

D/A

$161,530.00

Yes

$0.00

2019-04-24

D/A

$45,430.00

Yes

$0.00

2019-04-24

D/A

$244,250.00

Yes

$0.00

2019-04-24

D/A

$567,751.00

Yes

$0.00

2019-04-24

D/A

$157,050.00

Yes

$0.00

2019-04-19

D/A

$1,843,626.00

Yes

$0.00

SALES COMMISSIONS ARE PAID BY ENERGY INCOME PARTNERS, LLC, NOT THE ISSUER.

2019-04-15

$650,000.00

Yes

$0.00

THE ESTIMATE INCLUDES AMOUNTS THAT MAY BE PAYABLE OVER THE NEXT 12 MONTHS.

2019-04-12

D/A

$28,000,000.00

Yes

$0.00

SALES COMMISSIONS INCLUDE SALES COMMISSIONS RELATING TO STRATEGIC PARTNERS OFFSHORE VIII L.P.

2019-04-12

D/A

$28,000,000.00

Yes

$0.00

SALES COMMISSIONS INCLUDE SALES COMMISSIONS RELATING TO STRATEGIC PARTNERS VIII L.P.

2019-04-11

D/A

$30,300,000.00

Yes

$0.00

THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.

2019-04-11

D/A

$823,237.00

Yes

$0.00

ESTIMATE INCLUDES FEES THAT MAY BE PAID OVER THE NEXT 12 MONTHS.

2019-04-10

D/A

$5,454,599.00

Yes

$0.00

2019-04-10

D/A

$1,560,776.00

Yes

$0.00

2019-04-10

D/A

$4,000,000.00

Yes

$0.00

2019-04-08

D/A

$642,093.00

Yes

$0.00

2019-04-08

D/A

$289,750.00

Yes

$0.00

2019-04-08

D/A

$1,666,304.00

Yes

$0.00

2019-04-08

D/A

$633,602.00

Yes

$0.00

2019-04-04

$650,000.00

$0.00

THE ESTIMATE INCLUDES AMOUNTS WHICH MAY BE PAYABLE IN THE NEXT 12 MONTHS.

2019-04-03

D/A

$3,821,754.00

$23,679,394.00

2019-04-02

D/A

$0.00

Yes

$0.00

Yes

2019-04-02

D/A

$0.00

Yes

$0.00

Yes

2019-04-02

D/A

$0.00

Yes

$0.00

Yes

2019-04-02

$6,500,000.00

Yes

$0.00

THE ESTIMATE INCLUDES AMOUNTS WHICH MAY BE PAYABLE IN THE NEXT 12 MONTHS.

2019-04-02

D/A

$0.00

Yes

$0.00

Yes

THE ISSUER DOES NOT PAY SALES COMMISSIONS OR FINDERS- FEES EXPENSES. THE INVESTMENT ADVISER OF THE ISSUER PAYS A PORTION OF THE MANAGEMENT FEES IT RECEIVES TO MMX GLOBAL PARTNERS.

2019-04-02

D/A

$0.00

Yes

$0.00

Yes

2019-04-02

D/A

$0.00

Yes

$0.00

Yes

2019-03-29

D/A

$0.00

2019-03-29

D/A

$0.00

2019-03-27

$1,400,000.00

Yes

$0.00

THE ESTIMATE INCLUDES AMOUNTS WHICH MAY BE PAYABLE IN THE NEXT 12 MONTHS.

2019-03-26

D/A

$3,436,800.00

$26,648,896.00

2019-03-19

D/A

$0.00

Yes

THE PERSONS/FIRMS LISTED IN ITEM 12 RECEIVE CERTAIN FEES, INCLUDING A PERCENTAGE OF THE MANAGEMENT FEES AND/OR PERFORMANCE ALLOCATIONS.

2019-03-19

D/A

$0.00

Yes

THE PERSONS/FIRMS LISTED IN ITEM 12 RECEIVE CERTAIN FEES, INCLUDING A PERCENTAGE OF THE MANAGEMENT FEES AND/OR PERFORMANCE ALLOCATIONS.

2019-03-19

D/A

$0.00

Yes

$0.00

THE PERSONS/FIRMS LISTED IN ITEM 12 RECEIVE A PERCENTAGE OF THE MANAGEMENT FEES AND/OR INCENTIVE ALLOCATIONS OF THE INVESTMENT MANAGER OR ITS AFFILIATES.

2019-03-15

D/A

$981,844.00

Yes

$0.00

2019-03-15

D/A

$4,415,400.00

Yes

$0.00

2019-03-15

D/A

$6,557,775.00

Yes

$0.00

2019-03-15

D/A

$2,431,600.00

$0.00

2019-03-15

D/A

$4,543,832.00

$0.00

2019-03-15

D/A

$2,046,627.00

$0.00

2019-03-13

D/A

$5,000,000.00

Yes

$0.00

2019-03-13

D/A

$1,017,083.00

$0.00

2019-03-13

D/A

$127,249.00

$0.00

2019-03-11

D/A

$22,300.00

Yes

$0.00

2019-03-11

D/A

$690,619.00

Yes

$0.00

2019-03-08

D/A

$49,317,489.00

$0.00

2019-03-07

D/A

$14,469,491.00

$0.00

INCLUDES SALES COMMISSIONS PAID TO ALL PLACEMENT AGENTS LISTED IN THIS FORM D. RAYMOND JAMES + ASSOCIATES INC. BECAME SUCCESSOR TO DEUTSCHE BANK ALEX. BROWN INC. IN SEPTEMBER 2016.

2019-03-07

D/A

$19,870,806.00

Yes

$0.00

INCLUDES SALES COMMISSIONS PAID TO ALL PLACEMENT AGENTS LISTED IN THIS FORM D. RAYMOND JAMES + ASSOCIATES INC. BECAME SUCCESSOR TO DEUTSCHE BANK ALEX. BROWN INC. IN SEPTEMBER 2016.

2019-03-05

D/A

$2,970,000.00

Yes

$0.00

2019-03-01

D/A

$0.00

SALES AGENT RECEIVES A PORTION OF THE MANAGEMENT FEE PAYABLE BY THE ISSUER TO THE INVESTMENT MANAGER.

2019-03-01

D/A

$0.00

SALES AGENT RECEIVES A PORTION OF THE MANAGEMENT FEE PAYABLE BY THE ISSUER TO THE INVESTMENT MANAGER.

2019-03-01

D/A

$0.00

SALES AGENT RECEIVES A PORTION OF THE MANAGEMENT FEE PAYABLE BY THE ISSUER TO THE INVESTMENT MANAGER.

2019-03-01

D/A

$686,501.00

Yes

$0.00

Yes

2019-03-01

D/A

$0.00

NO PROCEEDS OF THE OFFERING HAVE BEEN USED TO PAY SALES COMMISSIONS OR FINDERS- FEES; THE SALES COMMISSIONS AMOUNT LISTED ABOVE IS FOR 2018 CALENDAR YEAR.

2019-03-01

D/A

$0.00

NO PROCEEDS OF THE OFFERING HAVE BEEN USED TO PAY SALES COMMISSIONS OR FINDERS- FEES; THE SALES COMMISSIONS AMOUNT LISTED ABOVE IS FOR 2018 CALENDAR YEAR.

2019-02-28

D/A

$22,500,000.00

Yes

$0.00

THE AMOUNT OF THE SALES COMMISSIONS IS ESTIMATED FOR THE ISSUER AND ITS PARALLEL VEHICLES AND REPRESENTS AN ESTIMATE OF THE TOTAL FEES TO BE PAID TO THE ENTITIES LISTED IN ITEM 12 ABOVE.

2019-02-28

$22,500,000.00

Yes

$0.00

THE AMOUNT OF THE SALES COMMISSIONS IS ESTIMATED FOR THE ISSUER AND ITS PARALLEL VEHICLES AND REPRESENTS AN ESTIMATE OF THE TOTAL FEES TO BE PAID TO THE ENTITIES LISTED IN ITEM 12 ABOVE.

2019-02-28

D/A

$22,500,000.00

Yes

$0.00

THE AMOUNT OF THE SALES COMMISSIONS IS ESTIMATED FOR THE ISSUER AND ITS PARALLEL VEHICLES AND REPRESENTS AN ESTIMATE OF THE TOTAL FEES TO BE PAID TO THE ENTITIES LISTED IN ITEM 12 ABOVE.

2019-02-27

D/A

$0.00

CERTAIN ENTITIES LISTED IN ITEM 12 NO LONGER PAID COMM. MII IS AN AFFILIATE OF FRM (USA). THE ISSUER DID NOT PAY SALES COMM. TO MII IN THIS OFFERING. MII COMPENSATES ITS RRS A SALARY AND DISC. BONUS, DET. BY FACTORS, INCL. ASSETS RAISED FOR THE ISSUER.

2019-02-27

D/A

$0.00

2019-02-27

D/A

$0.00

2019-02-27

D/A

$0.00

2019-02-27

D/A

$0.00

2019-02-22

D/A

$0.00

$4,948,085.00

Yes

2019-02-21

D/A

$7,596,863.00

Yes

$0.00

2019-02-21

D/A

$7,770,641.00

Yes

$0.00

2019-02-15

D/A

$0.00

PLACEMENT AGENTS MAY RECEIVE UPFRONT COMMISSIONS BASED ON AMOUNT INVESTED IN FUND BY CERTAIN CLIENTS. IN ADDITION, THE FUND-S INVESTMENT MANAGER MAY PAY A PORTION OF ITS MANAGEMENT FEES TO CERTAIN PLACEMENT AGENTS.

2019-02-15

D/A

$0.00

2019-02-15

D/A

$0.00

Yes

$0.00

Yes

2019-02-15

D/A

$0.00

Yes

$0.00

Yes

PLACEMENT AGENTS MAY RECEIVE UP FRONT COMMISSIONS OF UP TO 3% OF AMOUNT INVESTED IN FUND BY THEIR CLIENTS. IN ADDITION, THE FUND-S INV. MGR. MAY PAY A PORTION OF ITS MGMT. FEES TO CERTAIN FINDERS.

2019-02-15

D/A

$0.00

Yes

$0.00

Yes

2019-02-15

D/A

$0.00

Yes

$0.00

Yes

2019-02-15

D/A

$0.00

Yes

$0.00

Yes

PLACEMENT AGENTS MAY RECEIVE UP FRONT COMMISSIONS OF UP TO 3% OF AMOUNT INVESTED IN FUND BY CERTAIN CLIENTS. IN ADDITION, THE FUND-S GP MAY PAY A PORTION OF ITS MGMT. FEES TO CERTAIN FINDERS.

2019-02-15

D/A

$0.00

Yes

$0.00

Yes

2019-02-15

D/A

$0.00

Yes

$0.00

Yes

2019-02-12

D/A

$2,400,000.00

Yes

$0.00

2019-02-12

D/A

$2,400,000.00

Yes

$0.00

2019-02-11

D/A

$0.00

NO PROCEEDS OF THE OFFERING HAVE BEEN USED TO PAY SALES COMMISSIONS OR FINDER-S FEES.

2019-02-08

D/A

$338,676.00

Yes

$0.00

2019-02-07

D/A

$1,939,394.00

Yes

$0.00

2019-02-06

D/A

$0.00

Yes

$0.00

2019-02-06

D/A

$0.00

Yes

$0.00

2019-02-05

D/A

$0.00

2019-02-05

D/A

$0.00

2019-02-05

D/A

$0.00

2019-01-28

D/A

$243,301.00

$0.00

2019-01-28

D/A

$1,537.00

$0.00

2019-01-28

D/A

$0.00

2019-01-28

D/A

$0.00

2019-01-24

D/A

$0.00

NO COMMISSION WAS PAID BY ISSUER.

2019-01-22

D/A

$5,785,553.00

Yes

$0.00

2019-01-18

D/A

$0.00

Yes

$0.00

Yes

OCM INVESTMENTS, LLC, CRD# 128803, 333 SOUTH GRAND AVENUE, 28TH FLOOR, LOS ANGELES, CA 90071, WILL PLACE THE INVESTMENTS BUT IS NOT ANTICIPATED TO RECEIVE SALES COMMISSIONS.

2019-01-18

D/A

$0.00

Yes

$0.00

Yes

OCM INVESTMENTS, LLC, CRD# 128803, 333 SOUTH GRAND AVENUE, 28TH FLOOR, LOS ANGELES, CA 90071, WILL PLACE THE INVESTMENTS BUT IS NOT ANTICIPATED TO RECEIVE SALES COMMISSIONS.

2019-01-17

D/A

$205,300.00

Yes

$0.00

2019-01-17

D/A

$480,850.00

Yes

$0.00

2019-01-16

D/A

$0.00

$64,316.00

THE TOTAL DOLLAR AMOUNT OF FINDERS- FEES REFLECTS THE TOTAL AMOUNT PAID TO MSSB FROM INCEPTION TO DATE

2019-01-16

D/A

$1,611,492.00

$0.00

SALES COMMISSIONS REPORTED ARE AS OF 12/31/2018.

2019-01-14

D/A

$1,797,796.00

Yes

$0.00

2019-01-11

D/A

$3,162,774.00

Yes

$0.00

2019-01-04

D/A

$11,300,000.00

Yes

$0.00

2019-01-04

D/A

$465,300.00

$0.00

2019-01-04

D/A

$1,939,394.00

Yes

$0.00

2019-01-03

D/A

$20,000,000.00

Yes

$0.00

2019-01-02

$3,600,000.00

Yes

$0.00

THE ESTIMATE INCLUDES AMOUNTS WHICH MAY BE PAYABLE IN THE NEXT 12 MONTHS.

2019-01-02

$900,000.00

Yes

$0.00

THE ESTIMATE INCLUDES AMOUNTS THAT MAY BE PAYABLE OVER THE NEXT 12 MONTHS.

2018-12-20

D/A

$4,122,094.00

Yes

$0.00

Yes

2018-12-13

D/A

$2,056,438.00

Yes

$0.00

Yes

2018-12-13

D/A

$0.00

Yes

$0.00

Yes

2018-12-13

$1,600,000.00

Yes

$0.00

THE ESTIMATE INCLUDES AMOUNTS WHICH MAY BE PAYABLE IN THE NEXT 12 MONTHS.

2018-12-12

D/A

$2,888,057.00

$0.00

PLACEMENT FEES

2018-12-11

$102,911,926.00

$0.00

2018-12-07

D/A

$1,797,796.00

Yes

$0.00

2018-11-28

D/A

$218,675.00

Yes

$0.00

2018-11-21

D/A

$70,316.00

Yes

$0.00

2018-11-09

D/A

$22,500,000.00

Yes

$0.00

THE AMOUNT OF THE SALES COMMISSIONS IS ESTIMATED FOR THE ISSUER AND ITS PARALLEL VEHICLES AND REPRESENTS AN ESTIMATE OF THE TOTAL FEES TO BE PAID TO THE ENTITIES LISTED IN ITEM 12 ABOVE.

2018-11-09

D/A

$22,500,000.00

Yes

$0.00

THE AMOUNT OF THE SALES COMMISSIONS IS ESTIMATED FOR THE ISSUER AND ITS PARALLEL VEHICLES AND REPRESENTS AN ESTIMATE OF THE TOTAL FEES TO BE PAID TO THE ENTITIES LISTED IN ITEM 12 ABOVE.

2018-11-08

D/A

$6,000,000.00

$0.00

THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.

2018-11-08

D/A

$21,000,000.00

Yes

$0.00

THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS. CREDIT SUISSE SECURITIES (USA) LLC IS THE FORMER FIRM OF THE INDIVIDUALS LISTED IN ITEM 12.

2018-11-08

D/A

$65,000,000.00

Yes

$0.00

THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS

2018-11-08

D/A

$32,000,000.00

Yes

$0.00

THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS. CREDIT SUISSE SECURITIES (USA) LLC IS THE FORMER FIRM OF THE INDIVIDUALS LISTED IN ITEM 12.

2018-11-08

D/A

$7,500,000.00

Yes

$0.00

THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS. CREDIT SUISSE SECURITIES (USA) LLC IS THE FORMER FIRM OF THE INDIVIDUALS LISTED IN ITEM 12.

2018-11-08

D/A

$85,000,000.00

Yes

$0.00

THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.

2018-11-08

D/A

$15,000,000.00

Yes

$0.00

2018-11-02

D/A

$772,500.00

$0.00

2018-10-29

D/A

$0.00

$36,979,379.00

THE TOTAL DOLLAR AMOUNT OF FINDERS- FEES REFLECTS THE TOTAL AMOUNT PAID TO UBS AND MSSB FROM INCEPTION TO DATE.

2018-10-29

D/A

$0.00

$36,979,379.00

THE TOTAL DOLLAR AMOUNT OF FINDERS- FEES REFLECTS THE TOTAL AMOUNT PAID TO UBS AND MSSB FROM INCEPTION TO DATE.

2018-10-29

D/A

$0.00

$14,898,442.00

THE TOTAL DOLLAR AMOUNT OF FINDERS- FEES REFLECTS THE TOTAL AMOUNT PAID TO UBS + MSSB FROM INCEPTION TO DATE

2018-10-29

D/A

$0.00

Yes

$0.00

Yes

2018-10-29

D/A

$0.00

Yes

$0.00

Yes

2018-10-26

D/A

$202,050.00

Yes

$0.00

2018-10-26

D/A

$425,850.00

Yes

$0.00

2018-10-23

$50,000,000.00

Yes

$0.00

Yes

ESTIMATE INCLUDES SALES COMMISSIONS OF ISSUER AND ITS PARALLEL FUNDS.

2018-10-19

D/A

$34,000,000.00

Yes

$0.00

THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.

2018-10-19

D/A

$88,900.00

$0.00

2018-10-19

D/A

$130,274.00

Yes

$0.00

Yes

2018-10-19

D/A

$1,797,796.00

Yes

$0.00

2018-10-18

D/A

$0.00

2018-10-18

D/A

$0.00

THE PLACEMENT AGENT WILL RECEIVE A MONTHLY FEE OF UP TO 1/12TH OF 2.00% (A 2.00% ANNUAL RATE) OF THE NET ASSETS OF THE ISSUER AS OF THE BEGINNING OF EACH MONTH. THIS FEE IS REFERRED TO AS THE ONGOING PLACEMENT AGENT FEE.

2018-10-15

D/A

$4,968,975.00

$0.00

FOR PERIOD THROUGH 10/1/18.

2018-10-12

D/A

$2,264,560.00

Yes

$0.00

2018-10-12

D/A

$0.00

2018-10-12

D/A

$0.00

2018-10-10

D/A

$4,917,312.00

Yes

$0.00

INCLUDES AMOUNTS PAID FOR SOLICITATION OUTSIDE OF THE UNITED STATES.

2018-10-09

D/A

$0.00

$464,571.00

Yes

2018-10-05

D/A

$0.00

Yes

$0.00

2018-10-05

D/A

$12,186,405.00

Yes

$0.00

2018-10-05

D/A

$5,496,392.00

Yes

$0.00

2018-10-05

D/A

$0.00

Yes

$0.00

2018-10-05

D/A

$461,105.00

Yes

$0.00

2018-10-05

D/A

$115,120.00

Yes

$0.00

2018-10-03

D/A

$358,850.00

Yes

$0.00

2018-10-03

D/A

$7,268,658.00

$0.00

2018-10-02

D/A

$28,715.00

Yes

$0.00

Yes

2018-09-28

D/A

$4,599,001.00

$0.00

2018-09-28

D/A

$2,863,625.00

$0.00

2018-09-28

D/A

$1,797,796.00

Yes

$0.00

2018-09-27

$0.00

Yes

$0.00

2018-09-27

D/A

$2,607,656.00

Yes

$0.00

2018-09-25

D/A

$5,700,000.00

Yes

$0.00

Yes

2018-09-25

D/A

$5,700,000.00

Yes

$0.00

Yes

2018-09-21

D/A

$0.00

2018-09-19

D/A

$0.00

2018-09-18

D/A

$20,000,000.00

Yes

$0.00

2018-09-12

D/A

$196,255.00

Yes

$0.00

2018-09-12

D/A

$1,489,109.00

Yes

$0.00

2018-09-12

D/A

$0.00

Yes

$0.00

Yes

SUCH FEES, IF ANY, WILL ONLY BE PAID UPON THE SALE OF INTERESTS TO CERTAIN INVESTORS AND SUCH AMOUNTS WILL NOT BE FINALIZED UNTIL COMPLETION OF THE OFFERING.

2018-09-12

D/A

$0.00

Yes

$0.00

Yes

SUCH FEES, IF ANY, WILL ONLY BE PAID UPON THE SALE OF INTERESTS TO CERTAIN INVESTORS AND SUCH AMOUNTS WILL NOT BE FINALIZED UNTIL COMPLETION OF THE OFFERING.

2018-09-10

D/A

$12,596.00

Yes

$0.00

Yes

2018-09-10

D/A

$26,176.00

Yes

$0.00

Yes

2018-09-07

D/A

$988,141.00

Yes

$0.00

THE COMMISSIONS REPORTED ARE THOSE PAID DURING THE TIME PERIOD OF JULY 1, 2017 THROUGH JUNE 30, 2018.

2018-08-31

D/A

$11,051,737.00

Yes

$0.00

THE STATED ESTIMATE INCLUDES BOTH PLACEMENT AGENT FEES AND TRAILER FEES, AND INCLUDES FEES PROJECTED TO BE PAID IN THE NEXT 12 MONTHS.

2018-08-31

D/A

$8,846,300.00

Yes

$0.00

THE STATED ESTIMATE INCLUDES BOTH PLACEMENT AGENT FEES AND TRAILER FEES AND INCLUDES FEES PROJECTED TO BE PAID IN THE NEXT 12 MONTHS.

2018-08-31

D/A

$8,252,948.00

Yes

$0.00

THE STATED ESTIMATE INCLUDES BOTH PLACEMENT AGENT FEES AND TRAILER FEES AND INCLUDES FEES PROJECTED TO BE PAID IN THE NEXT 12 MONTHS.

2018-08-31

D/A

$1,342,701.00

Yes

$0.00

2018-08-31

D/A

$16,452,317.00

Yes

$0.00

2018-08-31

D/A

$854,500.00

Yes

$0.00

2018-08-31

D/A

$4,754,295.00

Yes

$0.00

ESTIMATED FEES BEGINNING FROM THE ISSUER-S INCEPTION AND PROJECTED THROUGH THE NEXT 12 MONTHS.

2018-08-31

D/A

$0.00

THE INVESTMENT ADVISER WILL RECEIVE A MONTHLY MANAGEMENT FEE AT A PERCENTAGE RATE BASED ON THE ISSUER-S NET ASSETS.

2018-08-30

D/A

$2,143,261.00

Yes

$0.00

THE STATED ESTIMATE INCLUDES BOTH PLACEMENT AGENT FEES AND TRAILER FEES AND INCLUDES FEES PROJECTED TO BE PAID IN THE NEXT 12 MONTHS.

2018-08-23

D/A

$12,828,358.00

$0.00

2018-08-15

D/A

$154,050.00

Yes

$0.00

2018-08-15

D/A

$163,250.00

Yes

$0.00

2018-08-15

D/A

$0.00

2018-08-14

D/A

$0.00

THE ISSUER-S INVESTMENT MANAGER MAY PAY FEES TO PLACEMENT AGENTS IN RESPECT OF INTERESTS SOLD TO CERTAIN INVESTORS. ANY SUCH FEES WILL BE CALCULATED AND PAID IN ACCORDANCE WITH THE TERMS OF THE RELEVANT PLACEMENT AGENT AGREEMENT.

2018-08-14

D/A

$0.00

2018-08-13

D/A

$658,220.00

$1,372,355.00

Yes

2018-08-13

D/A

$910,971.00

$1,812,625.00

Yes

2018-08-13

$1,475,588.00

$0.00

OCM INVESTMENTS, LLC, CRD #128803, 333 SOUTH GRAND AVENUE, 28TH FLOOR, LOS ANGELES, CA 90071, WILL PLACE THE INVESTMENTS BUT IS NOT ANTICIPATED TO RECEIVE SALES COMMISSIONS.

2018-08-03

D/A

$292,310.00

Yes

$0.00

2018-08-03

D/A

$199,500.00

Yes

$0.00

2018-08-03

D/A

$56,120.00

Yes

$0.00

2018-08-03

D/A

$55,730.00

Yes

$0.00

2018-08-03

D/A

$1,131,785.00

Yes

$0.00

2018-08-03

D/A

$3,500.00

Yes

$0.00

2018-08-03

D/A

$98,500.00

Yes

$0.00

2018-08-03

D/A

$217,295.00

Yes

$0.00

2018-08-03

D/A

$817,070.00

Yes

$0.00

2018-08-03

D/A

$0.00

Yes

$0.00

Yes

THE RECIPIENT LISTED IN ITEM 12 IS PAID AN AMOUNT EQUAL TO A PERCENTAGE OF THE MANAGEMENT FEE PAID TO THE INVESTMENT MANAGER (OR ITS AFFILIATE) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION.

2018-08-03

D/A

$0.00

Yes

$0.00

Yes

2018-08-03

D/A

$50,345.00

Yes

$0.00

2018-08-03

D/A

$0.00

Yes

$0.00

AMOUNTS TO BE PAID TO MORGAN STANLEY SMITH BARNEY LLC AND HFF SECURITIES L.P. WILL BE DETERMINED BASED ON A PERCENTAGE OF CAPITAL RAISED FROM CERTAIN LIMITED PARTNERS.

2018-07-26

$2,250,000.00

Yes

$0.00

THE ESTIMATE INCLUDES AMOUNTS THAT MAY BE PAYABLE OVER THE NEXT 12 MONTHS.

2018-07-26

$6,750,000.00

Yes

$0.00

THE ESTIMATE INCLUDES AMOUNTS THAT MAY BE PAYABLE IN THE NEXT 12 MONTHS.

2018-07-26

D/A

$579,500.00

$0.00

EMPLOYEES OF AFFILIATE OF GP ("CARLYLE") INVOLVED IN THE PLACEMENT OF ISSUER INTERESTS RECEIVE COMPENSATION IN PART BASED ON THE AMOUNT OF CAPITAL RAISED FOR THE ISSUER; SUCH COMPENSATION IS BORNE BY CARLYLE AND NOT THE ISSUER-S INVESTORS.

2018-07-25

D/A

$0.00

2018-07-24

D/A

$44,898.00

$0.00

2018-07-13

D/A

$0.00

Yes

$0.00

Yes

THE RECIPIENT LISTED SECOND IN ITEM 12 IS PAID AN AMOUNT EQUAL TO A PERCENTAGE OF THE MANAGEMENT FEE PAID TO THE INVESTMENT MANAGER (OR ITS AFFILIATE) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGEMENT.

2018-07-13

D/A

$0.00

2018-07-13

D/A

$0.00

2018-07-12

D/A

$125,165.00

Yes

$0.00

2018-07-12

$0.00

2018-07-12

D/A

$16,308,896.00

$0.00

2018-07-11

D/A

$2,352,447.00

Yes

$0.00

THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.

2018-07-06

D/A

$0.00

Yes

$0.00

Yes

2018-07-06

D/A

$1,419,851.00

Yes

$0.00

2018-07-05

D/A

$54,000,000.00

Yes

$0.00

THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.

2018-07-05

D/A

$55,000,000.00

Yes

$0.00

THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.

2018-06-29

D/A

$2,275,781.00

$0.00

2018-06-29

D/A

$34,376,458.00

Yes

$0.00

2018-06-29

D/A

$414,009.00

Yes

$0.00

2018-06-29

D/A

$7,036,701.00

$0.00

2018-06-28

$382,470.00

$0.00

2018-06-27

D/A

$5,386,856.00

Yes

$0.00

SALES COMMISSIONS REPORTED ARE THOSE PAID DURING THE TIME PERIOD OF JUNE 2017 THROUGH MAY, 2018.

2018-06-25

D/A

$25,000,000.00

Yes

$0.00

2018-06-22

D/A

$866,958.00

Yes

$0.00

2018-06-21

D/A

$0.00

Yes

$0.00

COMMISSIONS ARE NOT EARNED AND PAYABLE UNTIL FUNDS ARE DRAWN.

2018-06-21

D/A

$8,000,000.00

Yes

$0.00

Yes

2018-06-21

D/A

$980,089.00

Yes

$0.00

2018-06-21

D/A

$34,660.00

$0.00

2018-06-15

D/A

$1,263,407.00

Yes

$0.00

2018-06-15

D/A

$690,345.00

Yes

$0.00

2018-06-15

D/A

$234,130.00

Yes

$0.00

2018-06-15

D/A

$248,365.00

Yes

$0.00

2018-06-15

D/A

$972,944.00

Yes

$0.00

2018-06-15

D/A

$476,152.00

Yes

$0.00

2018-06-15

D/A

$1,247,154.00

Yes

$0.00

2018-06-15

D/A

$516,477.00

Yes

$0.00

2018-06-15

D/A

$970,875.00

Yes

$0.00

2018-06-15

D/A

$397,800.00

Yes

$0.00

2018-06-15

$572,192.00

$0.00

2018-06-15

$3,300,308.00

$0.00

2018-06-15

D/A

$6,000,000.00

Yes

$0.00

2018-06-12

D/A

$5,356,615.00

Yes

$0.00

2018-06-12

D/A

$889,761.00

Yes

$0.00

2018-06-12

D/A

$889,761.00

Yes

$0.00

2018-06-08

D/A

$2,936,407.00

Yes

$0.00

2018-06-08

D/A

$0.00

Yes

$0.00

Yes

2018-06-06

D/A

$0.00

$14,295.00

THE TOTAL DOLLAR AMOUNT OF FINDERS- FEES REFLECTS THE TOTAL AMOUNT PAID TO MSSB FROM INCEPTION TO DATE

2018-06-05

D/A

$411,200.00

Yes

$0.00

Yes

2018-06-04

D/A

$3,504,761.00

Yes

$0.00

2018-06-04

D/A

$5,902,082.00

Yes

$0.00

2018-06-01

D/A

$0.00

Yes

$0.00

Yes

2018-06-01

D/A

$18,750.00

$0.00

CERTAIN EMPLOYEES OF AN AFFILIATE OF THE GP RECEIVE COMPENSATION IN PART BASED ON THE CAPITAL RAISED; SUCH COMPENSATION IS BORNE BY METROPOLITAN, NOT THE FUND-S INVESTORS.

2018-06-01

D/A

$26,250.00

$0.00

CERTAIN EMPLOYEES OF AN AFFILIATE OF THE GP RECEIVE COMPENSATION IN PART BASED ON THE CAPITAL RAISED; SUCH COMPENSATION IS BORNE BY METROPOLITAN, NOT THE FUND-S INVESTORS.

2018-06-01

D/A

$8,750.00

$0.00

CERTAIN EMPLOYEES OF AN AFFILIATE OF THE GP RECEIVE COMPENSATION IN PART BASED ON THE CAPITAL RAISED; SUCH COMPENSATION IS BORNE BY METROPOLITAN, NOT THE FUND-S INVESTORS.

2018-06-01

D/A

$147,570.00

$0.00

CERTAIN EMPLOYEES OF AN AFFILIATE OF THE GP RECEIVE COMPENSATION IN PART BASED ON THE CAPITAL RAISED; SUCH COMPENSATION IS BORNE BY METROPOLITAN, NOT THE FUND-S INVESTORS.

2018-06-01

D/A

$6,250.00

$0.00

CERTAIN EMPLOYEES OF AN AFFILIATE OF THE GP RECEIVE COMPENSATION IN PART BASED ON THE CAPITAL RAISED; SUCH COMPENSATION IS BORNE BY METROPOLITAN, NOT THE FUND-S INVESTORS.

2018-05-25

D/A

$7,017,858.00

Yes

$0.00

2018-05-23

D/A

$47,558.00

$0.00

2018-05-23

D/A

$135,700.00

Yes

$0.00

2018-05-23

D/A

$163,250.00

Yes

$0.00

2018-05-17

D/A

$652,000.00

Yes

$0.00

Yes

CERTAIN EMPLOYEES OF AN AFFILIATE OF THE GP ("CARLYLE") RECEIVE COMPENSATION IN PART BASED ON THE CAPITAL RAISED; SUCH COMPENSATION IS BORNE BY CARLYLE, NOT THE FUND-S INVESTORS.

2018-05-16

$138,600.00

$0.00

2018-05-16

$124,200.00

$0.00

2018-05-14

D/A

$9,500,000.00

Yes

$0.00

THE ESTIMATE INCLUDES AMOUNTS WHICH MAY BE PAYABLE IN THE NEXT 12 MONTHS.

2018-05-10

D/A

$2,637,190.00

Yes

$0.00

GP NO LONGER COMPENSATES AMD OR UMB FOR SALES AFTER 3/1/11 BUT CONTINUES TO PAY A PORTION OF MGMT FEES + INCENTIVE ALLOCATION FOR PRIOR SALES-SEE ITEM 12. ITEM 15 REFLECTS INFO FROM 3/15/09.

2018-05-10

D/A

$2,755,382.00

Yes

$0.00

2018-05-10

D/A

$6,764,690.00

Yes

$0.00

2018-05-07

D/A

$0.00

Yes

$0.00

Yes

2018-05-04

D/A

$2,000,000.00

Yes

$0.00

PLACEMENT AGENT FEE.

2018-05-04

D/A

$0.00

Yes

$0.00

Yes

2018-05-03

D/A

$12,558.00

$0.00

2018-05-01

$160,188.00

Yes

$0.00

2018-04-30

D/A

$2,695,900.00

Yes

$0.00

2018-04-27

D/A

$0.00

2018-04-27

D/A

$1,093,543.00

Yes

$0.00

2018-04-27

D/A

$0.00

Yes

$0.00

Yes

2018-04-26

D/A

$405,210.00

$0.00

CERTAIN EMPLOYEES OF AN AFFILIATE OF THE GP RECEIVE COMPENSATION IN PART BASED ON THE CAPITAL RAISED; SUCH COMPENSATION IS BORNE BY METROPOLITAN, NOT THE FUND-S INVESTORS.

2018-04-25

D/A

$37,642.00

Yes

$0.00

2018-04-25

D/A

$443,593.00

Yes

$0.00

2018-04-25

D/A

$291,140.00

Yes

$0.00

2018-04-25

D/A

$93,185.00

Yes

$0.00

2018-04-25

D/A

$1,087,640.00

Yes

$0.00

2018-04-25

D/A

$161,530.00

Yes

$0.00

2018-04-25

D/A

$45,430.00

Yes

$0.00

2018-04-25

D/A

$244,250.00

Yes

$0.00

2018-04-25

D/A

$567,751.00

Yes

$0.00

2018-04-25

D/A

$579,350.00

Yes

$0.00

2018-04-25

D/A

$151,050.00

Yes

$0.00

2018-04-25

D/A

$0.00

AMOUNT TO BE PAID TO MORGAN STANLEY SMITH BARNEY LLC WILL BE DETERMINED BASED ON A PERCENTAGE OF CAPITAL RAISED FROM CERTAIN LIMITED PARTNERS.

2018-04-25

D/A

$0.00

AMOUNTS TO BE PAID TO MORGAN STANLEY SMITH BARNEY LLC WILL BE DETERMINED BASED ON A PERCENTAGE OF CAPITAL RAISED FROM CERTAIN LIMITED PARTNERS.

2018-04-25

D/A

$0.00

Yes

$0.00

AMOUNTS TO BE PAID TO MORGAN STANLEY SMITH BARNEY LLC WILL BE DETERMINED BASED ON A PERCENTAGE OF CAPITAL RAISED FROM CERTAIN LIMITED PARTNERS.

2018-04-24

$2,500,000.00

$0.00

THE ESTIMATE INCLUDES AMOUNTS WHICH MAY BE PAYABLE IN THE NEXT 12 MONTHS.

2018-04-20

D/A

$1,564,316.00

Yes

$0.00

SALES COMMISSIONS ARE PAID BY ENERGY INCOME PARTNERS, LLC, NOT THE ISSUER.

2018-04-16

D/A

$0.00

2018-04-11

D/A

$757,368.00

Yes

$0.00

ESTIMATE INCLUDES FEES THAT MAY BE PAID OVER THE NEXT 12 MONTHS.

2018-04-10

D/A

$29,600,000.00

Yes

$0.00

THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.

2018-04-10

D/A

$750,000.00

Yes

$0.00

2018-04-06

D/A

$61,000,000.00

Yes

$0.00

THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS

2018-04-06

D/A

$628,093.00

Yes

$0.00

2018-04-06

D/A

$198,750.00

Yes

$0.00

2018-04-03

D/A

$3,821,754.00

$22,304,311.00

2018-04-02

D/A

$0.00

Yes

$0.00

Yes

2018-04-02

D/A

$0.00

Yes

$0.00

Yes

2018-04-02

D/A

$0.00

Yes

$0.00

Yes

2018-04-02

D/A

$0.00

Yes

$0.00

Yes

THE ISSUER DOES NOT PAY SALES COMMISSIONS OR FINDERS- FEES EXPENSES. THE INVESTMENT ADVISER OF THE ISSUER PAYS A PORTION OF THE MANAGEMENT FEES IT RECEIVES TO MMX GLOBAL PARTNERS.

2018-04-02

D/A

$0.00

Yes

$0.00

Yes

2018-04-02

D/A

$0.00

Yes

$0.00

Yes

2018-03-26

D/A

$0.00

THE ISSUER DOES NOT PAY ANY SALES COMMISSIONS; HOWEVER, GRAHAM CAPITAL MANAGEMENT, LP, THE ISSUER-S MANAGER, MAY PAY A PORTION OF FEES THAT IT RECEIVES FROM THE ISSUER TO THIRD PARTIES AS COMPENSATION FOR THEIR SALES ACTIVITIES FOR THE ISSUER

2018-03-26

D/A

$0.00

2018-03-26

D/A

$3,436,800.00

$24,704,936.00

2018-03-22

D/A

$70,000,000.00

Yes

$0.00

THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.

2018-03-20

D/A

$993,468.00

$0.00

2018-03-20

D/A

$4,228,834.00

$0.00

2018-03-19

D/A

$0.00

Yes

THE PERSONS/FIRMS LISTED IN ITEM 12 RECEIVE CERTAIN FEES, INCLUDING A PERCENTAGE OF THE MANAGEMENT FEES AND/OR PERFORMANCE ALLOCATIONS.

2018-03-19

D/A

$0.00

Yes

THE PERSONS/FIRMS LISTED IN ITEM 12 RECEIVE CERTAIN FEES, INCLUDING A PERCENTAGE OF THE MANAGEMENT FEES AND/OR PERFORMANCE ALLOCATIONS.

2018-03-19

D/A

$0.00

Yes

$0.00

THE PERSONS/FIRMS LISTED IN ITEM 12 RECEIVE A PERCENTAGE OF THE MANAGEMENT FEES AND/OR INCENTIVE ALLOCATIONS OF THE INVESTMENT MANAGER OR ITS AFFILIATES.

2018-03-15

D/A

$4,209,730.00

Yes

$0.00

MAS COMPENSATES SELLING AGENTS THROUGH SHARING A PORTION OF FEES GENERATED FROM THE INTERESTS SOLD BY THE SELLING AGENTS, W/O REIMBURSEMENT FROM THE ISSUER. SELLING AGENTS ARE NOT PAID OUT OF THE OFFERING PROCEEDS. REQUESTED INFORMATION COMMENCES 3/15/09.

2018-03-15

D/A

$3,570,667.00

Yes

$0.00

MAS COMPENSATES SELLING AGENTS THROUGH SHARING A PORTION OF FEES, W/O REIMBURSEMENT FROM ISSUER. SELLING AGENTS ARE NOT PAID OUT OF OFFERING PROCEEDS. INFO COMMENCES 3/15/09. PHOENIX GLOBAL IS NO LONGER A REGISTERED B-D + NO LONGER RECEIVES COMMISSIONS.

2018-03-15

D/A

$2,635,666.00

Yes

$0.00

2018-03-15

D/A

$4,616,063.00

Yes

$0.00

2018-03-15

D/A

$0.00

Yes

$0.00

Yes

2018-03-15

$900,000.00

Yes

$0.00

THE ESTIMATE INCLUDES AMOUNTS WHICH MAY BE PAYABLE FOR UPCOMING CLOSINGS.

2018-03-14

D/A

$3,446,508.00

Yes

$0.00

2018-03-14

D/A

$2,431,600.00

$0.00

2018-03-14

D/A

$4,543,832.00

$0.00

2018-03-14

D/A

$2,046,627.00

$0.00

2018-03-13

D/A

$1,000,000.00

Yes

$0.00

2018-03-13

D/A

$31,320.00

$0.00

2018-03-13

D/A

$339,318.00

$0.00

2018-03-12

D/A

$50,000,000.00

Yes

$0.00

THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.

2018-03-12

D/A

$49,000,000.00

Yes

$0.00

THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.

2018-03-12

D/A

$48,475,278.00

$0.00

2018-03-09

D/A

$22,300.00

Yes

$0.00

2018-03-09

D/A

$628,869.00

Yes

$0.00

2018-03-05

D/A

$22,500,000.00

Yes

$0.00

THE AMOUNT OF THE SALES COMMISSIONS IS ESTIMATED FOR THE ISSUER AND ITS PARALLEL VEHICLES AND REPRESENTS AN ESTIMATE OF THE TOTAL FEES TO BE PAID TO THE ENTITIES LISTED IN ITEM 12 ABOVE.

2018-03-05

D/A

$22,500,000.00

Yes

$0.00

THE AMOUNT OF THE SALES COMMISSIONS IS ESTIMATED FOR THE ISSUER AND ITS PARALLEL VEHICLES AND REPRESENTS AN ESTIMATE OF THE TOTAL FEES TO BE PAID TO THE ENTITIES LISTED IN ITEM 12 ABOVE.

2018-03-05

D/A

$2,970,000.00

Yes

$0.00

2018-03-02

D/A

$0.00

SALES AGENT RECEIVES A PORTION OF THE MANAGEMENT FEE PAYABLE BY THE ISSUER TO THE INVESTMENT MANAGER.

2018-03-02

D/A

$0.00

SALES AGENT RECEIVES A PORTION OF THE MANAGEMENT FEE PAYABLE BY THE ISSUER TO THE INVESTMENT MANAGER.

2018-03-02

D/A

$0.00

SALES AGENT RECEIVES A PORTION OF THE MANAGEMENT FEE PAYABLE BY THE ISSUER TO THE INVESTMENT MANAGER.

2018-03-02

D/A

$254,174.00

$0.00

NO PROCEEDS OF THE OFFERING HAVE BEEN USED TO PAY SALES COMMISSIONS OR FINDERS- FEES; THE SALES COMMISSIONS AMOUNT LISTED ABOVE IS FOR 2017 CALENDAR YEAR.

2018-03-02

D/A

$244,330.00

$0.00

NO PROCEEDS OF THE OFFERING HAVE BEEN USED TO PAY SALES COMMISSIONS OR FINDERS- FEES; THE SALES COMMISSIONS AMOUNT LISTED ABOVE IS FOR 2017 CALENDAR YEAR.

2018-02-27

D/A

$0.00

2018-02-27

D/A

$0.00

2018-02-27

D/A

$0.00

2018-02-26

D/A

$0.00

$4,599,770.00

Yes

2018-02-21

D/A

$20,319.00

Yes

$0.00

Yes

2018-02-21

D/A

$7,428,484.00

Yes

$0.00

2018-02-21

D/A

$7,182,581.00

Yes

$0.00

2018-02-15

D/A

$0.00

Yes

$0.00

Yes

2018-02-15

D/A

$0.00

Yes

$0.00

Yes

2018-02-15

D/A

$0.00

Yes

$0.00

Yes

PLACEMENT AGENTS MAY RECEIVE UP FRONT COMMISSIONS OF UP TO 3% OF AMOUNT INVESTED IN FUND BY THEIR CLIENTS. IN ADDITION, THE FUND-S INV. MGR. MAY PAY A PORTION OF ITS MGMT. FEES TO CERTAIN FINDERS.

2018-02-15

D/A

$0.00

Yes

$0.00

Yes

2018-02-15

D/A

$0.00

Yes

$0.00

Yes

2018-02-15

D/A

$0.00

Yes

$0.00

Yes

PLACEMENT AGENTS MAY RECEIVE UP FRONT COMMISSIONS OF UP TO 3% OF AMOUNT INVESTED IN FUND BY CERTAIN CLIENTS. IN ADDITION, THE FUND-S GP MAY PAY A PORTION OF ITS MGMT. FEES TO CERTAIN FINDERS.

2018-02-15

D/A

$0.00

Yes

$0.00

Yes

2018-02-09

D/A

$0.00

NO PROCEEDS OF THE OFFERING HAVE BEEN USED TO PAY SALES COMMISSIONS OR FINDER-S FEES.

2018-02-09

D/A

$232,819.00

Yes

$0.00

2018-02-06

D/A

$0.00

Yes

MORGAN STANLEY WILL RECEIVE PLACEMENT AGENT COMPENSATION BASED ON A FORMULA RELATING TO THE $31,950,000 OF CAPITAL RAISED BY MORGAN STANLEY FOR THE ISSUER.

2018-02-05

D/A

$0.00

NO COMMISSION WAS PAID BY ISSUER.

2018-01-24

D/A

$4,000,000.00

Yes

$0.00

THE ESTIMATE INCLUDES AMOUNTS WHICH MAY BE PAYABLE IN THE NEXT 12 MONTHS.

2018-01-24

$1,200,000.00

Yes

$0.00

THE ESTIMATE INCLUDES AMOUNTS THAT MAY BE PAYABLE OVER THE NEXT 12 MONTHS.

2018-01-24

D/A

$700,000.00

Yes

$0.00

THE ESTIMATE INCLUDES AMOUNTS WHICH MAY BE PAYABLE IN THE NEXT 12 MONTHS.

2018-01-23

D/A

$0.00

Yes

$0.00

Yes

2018-01-19

D/A

$5,778,349.00

Yes

$0.00

2018-01-19

D/A

$754,417.00

$0.00

SALES COMMISSIONS REPORTED ARE AS OF 12/31/2017.

2018-01-17

D/A

$763,256.00

$0.00

2018-01-17

D/A

$2,163,290.00

$0.00

2018-01-16

D/A

$0.00

$39,234.00

THE TOTAL DOLLAR AMOUNT OF FINDERS- FEES REFLECTS THE TOTAL AMOUNT PAID TO MSSB FROM INCEPTION TO DATE

2018-01-16

D/A

$4,479,459.00

$0.00

FOR PERIOD THROUGH 1/1/18.

2018-01-05

D/A

$8,500,000.00

Yes

$0.00

2018-01-04

D/A

$0.00

Yes

$0.00

Yes

AMOUNTS TO BE PAID TO CERTAIN RECIPIENTS LISTED IN ITEM 12 (SALES COMPENSATION) WILL BE DETERMINED BASED ON A PERCENTAGE OF CAPITAL RAISED FROM CERTAIN LIMITED PARTNERS.

2018-01-04

D/A

$0.00

Yes

$0.00

Yes

AMOUNTS TO BE PAID TO CERTAIN RECIPIENTS LISTED IN ITEM 12 (SALES COMPENSATION) WILL BE DETERMINED BASED ON A PERCENTAGE OF CAPITAL RAISED FROM CERTAIN LIMITED PARTNERS.

2018-01-04

D/A

$8,549.00

$0.00

2018-01-03

D/A

$1,161,000.00

Yes

$0.00

2017-12-29

$650,000.00

Yes

$0.00

THE ESTIMATE INCLUDES AMOUNTS WHICH MAY BE PAYABLE IN THE NEXT 12 MONTHS.

2017-12-29

$2,700,000.00

Yes

$0.00

THE ESTIMATE INCLUDES AMOUNTS WHICH MAY BE PAYABLE IN THE NEXT 12 MONTHS

2017-12-29

D/A

$650,000.00

Yes

$0.00

THE ESTIMATE INCLUDES AMOUNTS WHICH MAY BE PAYABLE IN THE NEXT 12 MONTHS.

2017-12-26

D/A

$5,680,750.00

$0.00

2017-12-21

D/A

$7,500.00

Yes

$0.00

2017-12-21

D/A

$961,625.00

Yes

$0.00

2017-12-21

D/A

$688,000.00

Yes

$0.00

2017-12-21

$2,500,000.00

Yes

$0.00

THE ESTIMATE INCLUDES AMOUNTS WHICH MAY BE PAYABLE IN THE NEXT 12 MONTHS.

2017-12-20

D/A

$4,500,000.00

$0.00

THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.

2017-12-20

D/A

$19,000,000.00

Yes

$0.00

THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS. CREDIT SUISSE SECURITIES (USA) LLC IS THE FORMER FIRM OF THE INDIVIDUALS LISTED IN ITEM 12.

2017-12-20

D/A

$28,000,000.00

Yes

$0.00

THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS. CREDIT SUISSE SECURITIES (USA) LLC IS THE FORMER FIRM OF THE INDIVIDUALS LISTED IN ITEM 12.

2017-12-20

D/A

$6,300,000.00

Yes

$0.00

THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS. CREDIT SUISSE SECURITIES (USA) LLC IS THE FORMER FIRM OF THE INDIVIDUALS LISTED IN ITEM 12.

2017-12-20

D/A

$65,000,000.00

Yes

$0.00

THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.

2017-12-20

D/A

$123,200.00

Yes

$0.00

2017-12-20

D/A

$163,250.00

Yes

$0.00

2017-12-19

D/A

$2,580,708.00

Yes

$0.00

Yes

2017-12-19

$78,942,257.00

$0.00

2017-12-15

D/A

$0.00

$17,589.00

THE TOTAL DOLLAR AMOUNT OF FINDERS- FEES REFLECTS THE TOTAL AMOUNT PAID TO MSSB FROM INCEPTION TO DATE.

2017-12-15

D/A

$0.00

$54,325.00

THE TOTAL DOLLAR AMOUNT OF FINDERS- FEES REFLECTS THE TOTAL AMOUNT PAID TO MSSB FROM INCEPTION TO DATE.

2017-12-13

$607,915.00

$0.00

PLACEMENT FEES

2017-12-06

D/A

$3,700,000.00

Yes

$0.00

Yes

2017-12-06

D/A

$3,700,000.00

Yes

$0.00

Yes

2017-12-04

$5,820,938.00

$0.00

2017-12-01

D/A

$212,500.00

$0.00

PIMCO INVESTMENTS LLC WILL NOT RECEIVE ANY SALES COMMISSIONS FOR ITS SERVICES.

2017-12-01

D/A

$20,000.00

$0.00

PIMCO INVESTMENTS LLC WILL NOT RECEIVE ANY SALES COMMISSIONS FOR ITS SERVICES.

2017-12-01

D/A

$1,427,000.00

$0.00

PIMCO INVESTMENTS LLC WILL NOT RECEIVE ANY SALES COMMISSIONS FOR ITS SERVICES.

2017-11-21

D/A

$1,335,734.00

Yes

$0.00

2017-11-16

D/A

$1,850,000.00

Yes

$0.00

Yes

2017-11-16

D/A

$1,850,000.00

Yes

$0.00

Yes

2017-11-16

D/A

$1,850,000.00

Yes

$0.00

Yes

2017-11-16

D/A

$1,850,000.00

Yes

$0.00

Yes

2017-11-14

D/A

$199,461.00

$0.00

*THE ISSUER-S RELATIONSHIP WITH MORGAN STANLEY SMITH BARNEY TERMINATED ON NOVEMBER 1, 2017.

2017-11-13

D/A

$343,000.00

Yes

$0.00

2017-11-13

D/A

$7,500.00

Yes

$0.00

2017-11-13

D/A

$924,625.00

Yes

$0.00

2017-11-13

D/A

$2,946,250.00

$0.00

2017-11-09

D/A

$50,000.00

$0.00

2017-11-07

D/A

$851,180.00

$0.00

2017-11-06

D/A

$15,000,000.00

Yes

$0.00

2017-11-02

D/A

$158,250.00

Yes

$0.00

2017-11-01

D/A

$0.00

Yes

$0.00

Yes

2017-11-01

D/A

$0.00

Yes

$0.00

Yes

THE RECIPIENT LISTED IN ITEM 12 IS PAID AN AMOUNT EQUAL TO A PERCENTAGE OF THE MANAGEMENT FEE PAID BY THE ISSUER TO THE INVESTMENT MANGER (OR ITS AFFILIATE) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION

2017-10-27

D/A

$0.00

$27,188,908.00

THE TOTAL DOLLAR AMOUNT OF FINDERS- FEES REFLECTS THE TOTAL AMOUNT PAID TO UBS AND MSSB FROM INCEPTION TO DATE.

2017-10-27

D/A

$0.00

$11,147,237.00

THE TOTAL DOLLAR AMOUNT OF FINDERS- FEES REFLECTS THE TOTAL AMOUNT PAID TO UBS + MSSB FROM INCEPTION TO DATE

2017-10-25

D/A

$1,120,134.00

$0.00

2017-10-23

D/A

$1,734,365.00

$0.00

2017-10-19

D/A

$0.00

2017-10-19

D/A

$0.00

2017-10-19

D/A

$0.00

2017-10-19

D/A

$0.00

2017-10-19

D/A

$0.00

2017-10-19

D/A

$9,096.00

Yes

$0.00

Yes

2017-10-16

D/A

$58,000,000.00

Yes

$0.00

THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS

2017-10-16

D/A

$32,000,000.00

Yes

$0.00

THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.

2017-10-16

D/A

$1,706,889.00

$0.00

2017-10-16

D/A

$172,757.00

Yes

$0.00

2017-10-11

D/A

$563,501.00

Yes

$0.00

2017-10-11

D/A

$1,805,625.00

Yes

$0.00

2017-10-11

D/A

$0.00

$443,510.00

Yes

2017-10-10

D/A

$4,579,663.00

Yes

$0.00

INCLUDES AMOUNTS PAID FOR SOLICITATION OUTSIDE OF THE UNITED STATES.

2017-10-06

D/A

$11,992,156.00

Yes

$0.00

2017-10-06

D/A

$5,398,035.00

Yes

$0.00

2017-10-05

D/A

$0.00

Yes

$0.00

2017-10-05

D/A

$0.00

Yes

$0.00

2017-10-05

$111,000.00

Yes

$0.00

2017-09-29

D/A

$4,599,001.00

$0.00

2017-09-29

D/A

$2,863,625.00

$0.00

2017-09-29

D/A

$2,113,111.00

Yes

$0.00

2017-09-26

$272,500.00

Yes

$0.00

INCLUDES CERTAIN UPFRONT PLACEMENT FEES PAYABLE DIRECTLY BY CERTAIN REFERRED INVESTORS, ANNUAL INVESTOR SERVICING FEES AND UPFRONT PLACEMENT FEES PAYABLE BY AN AFFILIATE OF THE ISSUER WITH RESPECT TO CERTAIN REFERRED INVESTORS.

2017-09-26

$272,500.00

Yes

$0.00

2017-09-25

D/A

$4,172,573.00

$0.00

EMPLOYEES OF AFFILIATE OF GP ("CARLYLE") INVOLVED IN THE PLACEMENT OF FUND INTERESTS RECEIVE COMPENSATION IN PART BASED ON THE AMOUNT OF CAPITAL RAISED FOR THE FUND; SUCH COMPENSATION IS BORNE BY CARLYLE AND NOT BY THE FUND-S INVESTORS.

2017-09-18

D/A

$3,500,000.00

Yes

$0.00

THE ESTIMATE INCLUDES AMOUNTS THAT MAY BE PAYABLE IN THE NEXT 12 MONTHS.

2017-09-18

D/A

$354,691.00

$0.00

2017-09-18

D/A

$34,917.00

$0.00

2017-09-15

D/A

$0.00

2017-09-15

D/A

$0.00

2017-09-12

D/A

$196,255.00

Yes

$0.00

2017-09-12

D/A

$1,489,109.00

Yes

$0.00

2017-09-12

D/A

$3,000.00

Yes

$0.00

2017-09-08

D/A

$0.00

Yes

$0.00

Yes

AMOUNTS TO BE PAID TO CERTAIN RECIPIENTS LISTED IN ITEM 12 (SALES COMPENSATION) WILL BE DETERMINED BASED ON A PERCENTAGE OF CAPITAL RAISED FROM CERTAIN LIMITED PARTNERS.

2017-09-08

D/A

$0.00

Yes

$0.00

Yes

AMOUNTS TO BE PAID TO CERTAIN RECIPIENTS LISTED IN ITEM 12 (SALES COMPENSATION) WILL BE DETERMINED BASED ON A PERCENTAGE OF CAPITAL RAISED FROM CERTAIN LIMITED PARTNERS.

2017-09-08

D/A

$353,865.00

$0.00

2017-09-08

D/A

$6,167,153.00

$0.00

2017-09-08

D/A

$1,675,405.00

$0.00

2017-09-08

D/A

$999,109.00

Yes

$0.00

THE COMMISSIONS REPORTED ARE THOSE PAID DURING THE TIME PERIOD OF JULY 1, 2016 THROUGH JUNE 30, 2017.

2017-09-07

D/A

$957,508.00

$0.00

2017-09-07

D/A

$990,855.00

$0.00

2017-09-07

D/A

$307,525.00

$0.00

2017-09-06

D/A

$9,863,111.00

Yes

$0.00

THE STATED ESTIMATE INCLUDES BOTH PLACEMENT AGENT FEES AND TRAILER FEES, AND INCLUDES FEES PROJECTED TO BE PAID IN THE NEXT 12 MONTHS.

2017-09-06

D/A

$8,047,956.00

Yes

$0.00

THE STATED ESTIMATE INCLUDES BOTH PLACEMENT AGENT FEES AND TRAILER FEES AND INCLUDES FEES PROJECTED TO BE PAID IN THE NEXT 12 MONTHS.

2017-09-06

D/A

$9,450,943.00

$0.00

A PORTION OF THE FEE WAS PAID IN CONNECTION WITH SALES MADE OUTSIDE THE US.

2017-09-06

D/A

$309,189.00

Yes

$0.00

A PORTION OF THE FEE WAS PAID IN CONNECTION WITH SALES MADE OUTSIDE THE US.

2017-09-01

D/A

$7,339,129.00

Yes

$0.00

THE STATED ESTIMATE INCLUDES BOTH PLACEMENT AGENT FEES AND TRAILER FEES AND INCLUDES FEES PROJECTED TO BE PAID IN THE NEXT 12 MONTHS.

2017-09-01

D/A

$854,500.00

Yes

$0.00

2017-09-01

D/A

$14,336,748.00

Yes

$0.00

2017-09-01

D/A

$1,342,701.00

Yes

$0.00

2017-09-01

D/A

$14,336,748.00

Yes

$0.00

2017-09-01

D/A

$4,063,259.00

Yes

$0.00

ESTIMATED FEES BEGINNING FROM THE ISSUER-S INCEPTION AND PROJECTED THROUGH THE NEXT 12 MONTHS.

2017-09-01

D/A

$0.00

THE INVESTMENT ADVISER WILL RECEIVE A MONTHLY MANAGEMENT FEE AT A PERCENTAGE RATE BASED ON THE ISSUER-S NET ASSETS.

2017-08-31

D/A

$123,200.00

Yes

$0.00

2017-08-31

D/A

$130,750.00

Yes

$0.00

2017-08-30

D/A

$1,362,764.00

$0.00

2017-08-25

D/A

$48,648.00

Yes

$0.00

2017-08-14

D/A

$162,500.00

$0.00

PIMCO INVESTMENTS LLC WILL NOT RECEIVE ANY SALES COMMISSIONS FOR ITS SERVICES.

2017-08-14

D/A

$10,000.00

$0.00

PIMCO INVESTMENTS LLC WILL NOT RECEIVE ANY SALES COMMISSIONS FOR ITS SERVICES.

2017-08-14

D/A

$981,000.00

$0.00

PIMCO INVESTMENTS LLC WILL NOT RECEIVE ANY SALES COMMISSIONS FOR ITS SERVICES.

2017-08-14

D/A

$3,500,000.00

Yes

$0.00

THE ESTIMATE INCLUDES AMOUNTS WHICH MAY BE PAYABLE IN THE NEXT 12 MONTHS.

2017-08-14

D/A

$0.00

2017-08-14

D/A

$0.00

2017-08-14

D/A

$0.00

2017-08-11

D/A

$11,275,211.00

Yes

$0.00

Yes

THIS AMOUNT INCLUDES FEES EXPECTED TO BE PAID WITH RESPECT TO THIS LIMITED PARTNERSHIP AND ITS RELATED LIMITED PARTNERSHIPS.

2017-08-11

D/A

$11,275,211.00

Yes

$0.00

Yes

THIS AMOUNT INCLUDES FEES EXPECTED TO BE PAID WITH RESPECT TO THIS LIMITED PARTNERSHIP AND ITS RELATED LIMITED PARTNERSHIPS.

2017-08-11

D/A

$11,275,211.00

Yes

$0.00

Yes

THIS AMOUNT INCLUDES FEES EXPECTED TO BE PAID WITH RESPECT TO THIS LIMITED PARTNERSHIP AND ITS RELATED LIMITED PARTNERSHIPS.

2017-08-11

D/A

$11,275,211.00

Yes

$0.00

Yes

THIS AMOUNT INCLUDES FEES EXPECTED TO BE PAID WITH RESPECT TO THIS LIMITED PARTNERSHIP AND ITS RELATED LIMITED PARTNERSHIPS.

2017-08-04

D/A

$123,200.00

Yes

$0.00

2017-08-04

D/A

$130,750.00

Yes

$0.00

2017-08-03

D/A

$1,072,051.00

Yes

$0.00

2017-08-03

D/A

$597,855.00

Yes

$0.00

2017-08-03

D/A

$900,884.00

Yes

$0.00

2017-08-03

D/A

$531,960.00

Yes

$0.00

2017-08-03

D/A

$213,863.00

Yes

$0.00

2017-08-03

D/A

$1,172,410.00

Yes

$0.00

2017-08-03

D/A

$9,250.00

Yes

$0.00

2017-08-03

D/A

$364,209.00

Yes

$0.00

2017-08-03

D/A

$362,944.00

Yes

$0.00

EACH INVESTOR PAYS UP TO 2% OF ITS AGGREGATE INVESTMENT TO AGENT UPFRONT, IN ADDITION TO ANY AMOUNTS INVESTED IN THE FUND. SPONSOR PAYS AGENT A PORTION OF THE FEES PAID TO IT BY THE FUND ON AN ONGOING BASIS.

2017-08-03

D/A

$1,774,360.00

Yes

$0.00

2017-08-03

D/A

$50,345.00

Yes

$0.00

2017-08-03

D/A

$0.00

Yes

$0.00

Yes

2017-08-03

D/A

$0.00

Yes

$0.00

Yes

2017-07-26

D/A

$0.00

2017-07-25

D/A

$89,398.00

$0.00

2017-07-21

D/A

$160,450.00

$0.00

2017-07-21

D/A

$683,415.00

$0.00

2017-07-21

D/A

$4,303,749.00

$0.00

2017-07-21

D/A

$56,525.00

$0.00

2017-07-21

D/A

$448,074.00

$0.00

2017-07-21

D/A

$64,525.00

$0.00

2017-07-17

D/A

$3,886,580.00

Yes

$0.00

FOR PERIOD THROUGH 7/1/17.

2017-07-14

D/A

$0.00

Yes

$0.00

Yes

THE RECIPIENT LISTED SECOND IN ITEM 12 IS PAID AN AMOUNT EQUAL TO A PERCENTAGE OF THE MANAGEMENT FEE PAID TO THE INVESTMENT MANAGER (OR ITS AFFILIATE) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGEMENT.

2017-07-14

D/A

$0.00

Yes

$0.00

Yes

THE ISSUER DOES NOT PAY ANY SALES COMMISSIONS OR FINDERS- FEES EXPENSES. THE GENERAL PARTNER OF THE ISSUER PAYS A PORTION OF THE MANAGEMENT FEES IT RECEIVES FROM THE ISSUER TO FRONTIER SOLUTIONS, LLC AND MORGAN STANLEY SMITH BARNEY LLC.

2017-07-14

D/A

$864,399.00

Yes

$1,372,355.00

Yes

2017-07-14

D/A

$1,144,628.00

Yes

$1,812,625.00

Yes

2017-07-14

D/A

$7,500.00

Yes

$0.00

2017-07-14

D/A

$283,000.00

Yes

$0.00

2017-07-14

D/A

$3,188,130.00

$0.00

2017-07-14

D/A

$810,125.00

Yes

$0.00

2017-07-13

D/A

$508,012.00

Yes

$0.00

THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.

2017-07-12

D/A

$125,165.00

Yes

$0.00

2017-07-11

D/A

$0.00

Yes

$0.00

Yes

THE RECIPIENT LISTED SECOND IN ITEM 12 IS PAID AN AMOUNT EQUAL TO A PERCENTAGE OF THE MANAGEMENT FEE PAID TO AN AFFILIATE OF THE ISSUER ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGEMENT.

2017-07-10

D/A

$1,565,000.00

Yes

$0.00

THE STATED ESTIMATE INCLUDES BOTH PLACEMENT AGENT FEES AND TRAILER FEES AND INCLUDES FEES PROJECTED TO BE PAID IN THE NEXT 12 MONTHS.

2017-07-06

D/A

$12,478.00

Yes

$0.00

2017-07-06

D/A

$1,419,851.00

Yes

$0.00

2017-07-06

D/A

$108,836.00

$0.00

2017-07-06

D/A

$40,385.00

$0.00

2017-07-06

D/A

$3,939.00

$0.00

2017-07-06

D/A

$316.00

$0.00

2017-06-30

D/A

$33,947,516.00

Yes

$0.00

2017-06-30

D/A

$384,308.00

Yes

$0.00

2017-06-27

$549,865.00

Yes

$0.00

2017-06-27

D/A

$6,772,990.00

Yes

$0.00

SALES COMMISSIONS REPORTED ARE THOSE PAID DURING THE TIME PERIOD OF JUNE 2016 THROUGH MAY, 2017.

2017-06-23

D/A

$7,500.00

Yes

$0.00

2017-06-23

D/A

$810,125.00

Yes

$0.00

2017-06-23

D/A

$283,000.00

Yes

$0.00

2017-06-22

D/A

$411,200.00

Yes

$0.00

Yes

2017-06-19

D/A

$882,801.00

$0.00

2017-06-19

D/A

$424,801.00

$0.00

2017-06-16

D/A

$2,650,426.00

Yes

$0.00

2017-06-16

D/A

$1,842,245.00

Yes

$0.00

2017-06-16

D/A

$441,950.00

Yes

$0.00

2017-06-16

D/A

$267,115.00

Yes

$0.00

EACH INVESTOR PAYS UP TO 2% OF ITS AGGREGATE INVESTMENT TO AGENT UPFRONT, IN ADDITION TO ANY AMOUNTS INVESTED IN THE FUND. GENERAL PARTNER PAYS AGENT A PORTION OF FEES PAID TO IT BY THE FUND ON AN ONGOING BASIS.

2017-06-16

D/A

$1,277,424.00

Yes

$0.00

2017-06-16

D/A

$658,753.00

Yes

$0.00

2017-06-16

D/A

$1,053,806.00

Yes

$0.00

2017-06-16

D/A

$516,477.00

Yes

$0.00

2017-06-16

D/A

$1,422,963.00

Yes

$0.00

2017-06-16

D/A

$397,800.00

Yes

$0.00

2017-06-16

D/A

$5,500,000.00

Yes

$0.00

2017-06-16

D/A

$0.00

2017-06-16

D/A

$0.00

2017-06-09

D/A

$2,641,816.00

Yes

$0.00

2017-06-09

D/A

$1,476,593.00

Yes

$0.00

2017-06-08

D/A

$4,621,440.00

Yes

$0.00

2017-06-08

D/A

$0.00

Yes

$0.00

Yes

2017-06-07

D/A

$0.00

Yes

$0.00

Yes

THE ISSUER DOES NOT PAY SALES COMMISSIONS OR FINDERS- FEES EXPENSES. THE INVESTMENT ADVISER OF THE ISSUER PAYS A PORTION OF THE MANAGEMENT FEES IT RECEIVES TO FRONTIER SOLUTIONS, LLC AND MORGAN STANLEY SMITH BARNEY, LLC.

2017-06-06

D/A

$0.00

$2,245.00

THE TOTAL DOLLAR AMOUNT OF FINDERS- FEES REFLECTS THE TOTAL AMOUNT PAID TO MSSB FROM INCEPTION TO DATE

2017-06-06

D/A

$0.00

Yes

$0.00

Yes

2017-06-02

$0.00

CERTAIN PLACEMENT CLIENTS OF MSSB ARE REQUIRED TO PAY (I) AN UPFRONT PLACEMENT FEE TO MSSB AND (II) AN ONGOING ANNUAL FEE TO THE ISSUER (WHICH IS THEN PAID TO MSSB).

2017-05-26

D/A

$312,375.00

$0.00

2017-05-26

D/A

$162,500.00

$0.00

PIMCO INVESTMENTS LLC WILL NOT RECEIVE ANY SALES COMMISSIONS FOR ITS SERVICES.

2017-05-26

D/A

$0.00

OFFERS AND SALES OF THE FUND WILL BE MADE BY AND THROUGH PIMCO INVESTMENTS LLC. HOWEVER, PIMCO INVESTMENTS LLC WILL NOT RECEIVE ANY SALES COMMISSIONS FOR ITS SERVICES.

2017-05-26

D/A

$525,000.00

$0.00

PIMCO INVESTMENTS LLC WILL NOT RECEIVE ANY SALES COMMISSIONS FOR ITS SERVICES.

2017-05-26

D/A

$2,472,313.00

$0.00

2017-05-26

D/A

$568,567.00

$0.00

2017-05-25

D/A

$0.00

Yes

$0.00

Yes

THE RECIPIENT LISTED SECOND IN ITEM 12 IS PAID AN AMOUNT EQUAL TO A PERCENTAGE OF THE MANAGEMENT FEE PAID TO AN AFFILIATE OF THE ISSUER ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGEMENT.

2017-05-25

D/A

$2,625,000.00

Yes

$0.00

2017-05-23

D/A

$28,851.00

$0.00

2017-05-22

D/A

$424,801.00

$0.00

2017-05-19

D/A

$1,847,655.00

Yes

$0.00

2017-05-19

D/A

$689,550.00

Yes

$0.00

2017-05-18

D/A

$87,932,350.00

Yes

$0.00

2017-05-16

$1,416,500.00

$0.00

2017-05-16

$319,500.00

$0.00

2017-05-12

D/A

$200,000.00

Yes

$0.00

2017-05-11

D/A

$1,096.00

$0.00

2017-05-10

D/A

$2,547,858.00

Yes

$0.00

GP NO LONGER COMPENSATES AMD OR UMB FOR SALES AFTER 3/1/11 BUT CONTINUES TO PAY A PORTION OF MGMT FEES + INCENTIVE ALLOCATION FOR PRIOR SALES-SEE ITEM 12. ITEM 15 REFLECTS INFO FROM 3/15/09.

2017-05-10

D/A

$2,655,717.00

Yes

$0.00

IM NO LONGER COMPENSATES AMD OR UMB FOR SALES AFTER 3/1/11 BUT CONTINUES TO PAY A PORTION OF MGMT FEES + INCENTIVE ALLOCATION FOR PRIOR SALES-SEE ITEM 12. ITEM 15 REFLECTS INFO FROM 3/15/09.

2017-05-10

D/A

$6,476,392.00

Yes

$0.00

SPONSOR NO LONGER COMPENSATES AMD OR UMB FOR SALES AFTER 3/1/11 BUT CONTINUES TO PAY A PORTION OF MGMT FEES + INCENTIVE ALLOCATION FOR PRIOR SALES-SEE ITEM 12. ITEM 15 REFLECTS INFO FROM 3/15/09.

2017-05-09

D/A

$4,598.00

$0.00

2017-05-05

D/A

$1,600,000.00

Yes

$0.00

Yes

PLACEMENT AGENT FEE

2017-05-05

D/A

$423,180.00

$0.00

2017-05-05

D/A

$0.00

Yes

$0.00

Yes

2017-05-05

D/A

$0.00

Yes

$0.00

Yes

2017-05-04

D/A

$423,180.00

$0.00

2017-05-03

D/A

$310,000.00

$0.00

2017-04-28

D/A

$815,756.00

Yes

$0.00

2017-04-27

D/A

$0.00

Yes

$0.00

Yes

2017-04-25

D/A

$331,699.00

Yes

$0.00

2017-04-25

D/A

$1,634,761.00

Yes

$0.00

2017-04-25

D/A

$947,395.00

Yes

$0.00

EACH INVESTOR PAYS UP TO 2% OF ITS AGGREGATE INVESTMENT TO AN AGENT UPFRONT, IN ADDITION TO ANY AMOUNTS INVESTED IN THE FUND. GENERAL PARTNER PAYS AGENT A PORTION OF THE FEES PAID TO IT BY THE FUND ON AN ONGOING BASIS.

2017-04-25

D/A

$1,168,481.00

Yes

$0.00

2017-04-25

D/A

$1,466,520.00

Yes

$0.00

2017-04-25

D/A

$218,791.00

Yes

$0.00

2017-04-25

D/A

$58,767.00

Yes

$0.00

2017-04-25

D/A

$796,123.00

Yes

$0.00

2017-04-25

D/A

$1,438,575.00

Yes

$0.00

2017-04-25

D/A

$579,350.00

Yes

$0.00

2017-04-25

D/A

$151,050.00

Yes

$0.00

2017-04-21

D/A

$821,037.00

Yes

$0.00

ESTIMATE INCLUDES FEES THAT MAY BE PAID OVER THE NEXT 12 MONTHS.

2017-04-21

D/A

$1,183,320.00

Yes

$0.00

SALES COMMISSIONS ARE PAID BY ENERGY INCOME PARTNERS, LLC, NOT THE ISSUER.

2017-04-20

D/A

$0.00

Yes

$0.00

Yes

2017-04-19

D/A

$113,200.00

Yes

$0.00

2017-04-19

D/A

$98,250.00

Yes

$0.00

2017-04-19

D/A

$0.00

Yes

$0.00

Yes

2017-04-19

D/A

$18,580.00

$0.00

2017-04-17

$0.00

2017-04-17

D/A

$2,501,966.00

$0.00

2017-04-14

D/A

$28,500,000.00

Yes

$0.00

THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.

2017-04-14

$0.00

2017-04-14

$0.00

2017-04-13

D/A

$0.00

Yes

$0.00

Yes

2017-04-13

D/A

$0.00

Yes

$0.00

Yes

2017-04-13

D/A

$0.00

Yes

$0.00

Yes

2017-04-11

D/A

$6,533,000.00

Yes

$0.00

THE FIGURE ABOVE REFLECTS AMOUNTS THAT HAVE BEEN PAID, AND ESTIMATED AMOUNTS EXPECTED TO BE PAID, TO PLACEMENT AGENTS IN RESPECT OF THE OFFERING OF INTERESTS OF THE ISSUER.

2017-04-07

D/A

$625,093.00

Yes

$0.00

2017-04-07

D/A

$83,500.00

Yes

$0.00

2017-04-07

D/A

$615,375.00

Yes

$0.00

2017-04-07

D/A

$225,500.00

Yes

$0.00

2017-04-07

D/A

$5,000.00

Yes

$0.00

2017-04-07

D/A

$109,790.00

$0.00

2017-04-04

D/A

$15,000,000.00

Yes

$0.00

2017-04-03

D/A

$3,821,754.00

$18,625,528.00

2017-03-31

D/A

$889,761.00

Yes

$0.00

2017-03-31

D/A

$889,761.00

Yes

$0.00

2017-03-30

$0.00

2017-03-30

$0.00

2017-03-28

D/A

$13,587,428.00

Yes

$0.00

2017-03-28

D/A

$1,002,613.00

$0.00

2017-03-28

D/A

$203,776.00

Yes

$0.00

2017-03-27

D/A

$184,500.00

$0.00

2017-03-27

D/A

$150,000.00

$0.00

PIMCO INVESTMENTS LLC WILL NOT RECEIVE ANY SALES COMMISSIONS FOR ITS SERVICES.

2017-03-27

D/A

$75,000.00

$0.00

PIMCO INVESTMENTS LLC WILL NOT RECEIVE ANY SALES COMMISSIONS FOR ITS SERVICES.

2017-03-27

D/A

$1,044,750.00

$0.00

2017-03-27

D/A

$302,625.00

$0.00

2017-03-24

D/A

$294,050.00

Yes

$0.00

2017-03-24

D/A

$10,000.00

$0.00

2017-03-24

D/A

$3,436,800.00

$20,392,585.00

2017-03-22

D/A

$11,364,446.00

Yes

$0.00

2017-03-21

D/A

$0.00

NO COMMISSION PAID BY ISSUER; HOWEVER, ITEM 12 ENTITIES ARE PAID BY GENERAL PARTNER (OR ITS AFFILIATE)COMMISSIONS OR SIMILAR SALES COMPENSATION EQUAL TO A PERCENTAGE OF FEES PAID BY ISSUER TO GENERAL PARTNER (OR ITS AFFILIATE) FROM ASSETS UNDER MANAGEMENT

2017-03-21

D/A

$0.00

NO COMMISSION PAID BY ISSUER; HOWEVER, ITEM 12 ENTITIES ARE PAID BY INVESTMENT MANAGER (OR ITS AFFILIATE)COMMISSIONS OR SIMILAR SALES COMPENSATION EQUAL TO A PERCENTAGE OF FEES PAID BY ISSUER TO INVESTMENT MANAGER (OR ITS AFFILIATE) FROM AUM

2017-03-21

D/A

$10,285,245.00

Yes

$0.00

2017-03-21

D/A

$667,691.00

$0.00

2017-03-21

D/A

$3,325,650.00

$0.00

2017-03-21

D/A

$692,759.00

$0.00

2017-03-20

D/A

$0.00

Yes

$0.00

THE PERSONS/FIRMS LISTED IN ITEM 12 RECEIVE A PERCENTAGE OF THE MANAGEMENT FEES AND/OR INCENTIVE ALLOCATIONS OF THE GENERAL PARTNERS.

2017-03-20

D/A

$0.00

Yes

$0.00

THE PERSONS/FIRMS LISTED IN ITEM 12 RECEIVE A PERCENTAGE OF THE MANAGEMENT FEES AND/OR INCENTIVE ALLOCATIONS OF THE INVESTMENT MANAGER OR ITS AFFILIATES.

2017-03-17

D/A

$0.00

Yes

$0.00

THE PERSONS/FIRMS LISTED IN ITEM 12 RECEIVE A PERCENTAGE OF THE MANAGEMENT FEES AND/OR INCENTIVE ALLOCATIONS OF THE GENERAL PARTNERS.

2017-03-17

D/A

$0.00

Yes

$0.00

THE PERSONS/FIRMS LISTED IN ITEM 12 RECEIVE A PERCENTAGE OF THE MANAGEMENT FEES AND/OR INCENTIVE ALLOCATIONS OF THE INVESTMENT MANAGER OR ITS AFFILIATES.

2017-03-16

D/A

$167,030.00

Yes

$0.00

2017-03-16

D/A

$27,737,380.00

Yes

$0.00

THE FIGURE DISCLOSED ABOVE REFLECTS ESTIMATED AMOUNTS EXPECTED TO BE PAID TO PLACEMENT AGENTS IN RESPECT OF U.S. AND NON-U.S. INVESTORS.

2017-03-15

D/A

$3,962,137.00

Yes

$0.00

2017-03-15

D/A

$3,446,638.00

Yes

$0.00

2017-03-15

D/A

$2,605,571.00

Yes

$0.00

2017-03-15

D/A

$4,289,671.00

Yes

$0.00

2017-03-15

D/A

$261,508.00

$0.00

NO PROCEEDS OF THE OFFERING HAVE BEEN USED TO PAY SALES COMMISSIONS OR FINDERS- FEES; SALES COMMISSIONS AMOUNT IS FOR 2016 CALENDAR YEAR.

2017-03-15

D/A

$314,294.00

$0.00

NO PROCEEDS OF THE OFFERING HAVE BEEN USED TO PAY SALES COMMISSIONS OR FINDERS- FEES; SALES COMMISSIONS AMOUNT IS FOR 2016 CALENDAR YEAR.

2017-03-14

D/A

$2,323,377.00

$0.00

2017-03-14

D/A

$4,281,113.00

$0.00

2017-03-14

D/A

$1,968,931.00

$0.00

2017-03-13

$500,000.00

Yes

$0.00

Yes

PLACEMENT AGENT FEE

2017-03-13

D/A

$41,000,000.00

Yes

$0.00

THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.

2017-03-13

D/A

$41,000,000.00

Yes

$0.00

THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.

2017-03-10

D/A

$0.00

ISSUER DOES NOT PAY UPFRONT SALES COMMISSIONS. BROKERAGE FEES ARE PAID TO THE SELLING AGENTS IN THE FORM OF AN ONGOING PLACEMENT FEE THAT IS PAID MONTHLY. CURRENT OFFERING BEGAN PRIOR TO 3/15/09; ITEM 15 REFLECTS THE REQUESTED INFORMATION FROM SUCH DATE.

2017-03-10

D/A

$22,300.00

Yes

$0.00

2017-03-10

D/A

$504,168.00

Yes

$0.00

2017-03-09

D/A

$113,200.00

Yes

$0.00

2017-03-09

D/A

$98,250.00

Yes

$0.00

2017-03-09

D/A

$2,371,792.00

Yes

$0.00

2017-03-08

$480,000.00

$0.00

2017-03-03

D/A

$0.00

SALES AGENT RECEIVES A PORTION OF THE MANAGEMENT FEE PAYABLE BY THE ISSUER TO THE INVESTMENT MANAGER.

2017-03-03

D/A

$0.00

SALES AGENT RECEIVES A PORTION OF THE MANAGEMENT FEE PAYABLE BY THE ISSUER TO THE INVESTMENT MANAGER.

2017-03-03

D/A

$0.00

SALES AGENT RECEIVES A PORTION OF THE MANAGEMENT FEE PAYABLE BY THE ISSUER TO THE INVESTMENT MANAGER.

2017-03-03

D/A

$0.00

SALES AGENT RECEIVES A PORTION OF THE MANAGEMENT FEE PAYABLE BY THE ISSUER TO THE INVESTMENT MANAGER.

2017-03-03

D/A

$2,970,000.00

Yes

$0.00

2017-02-27

D/A

$0.00

$4,214,676.00

Yes

2017-02-27

D/A

$0.00

2017-02-27

D/A

$0.00

2017-02-27

D/A

$0.00

2017-02-22

D/A

$9,363,343.00

$0.00

A PORTION OF THE FEE WAS PAID IN CONNECTION WITH SALES MADE OUTSIDE THE US.

2017-02-22

D/A

$309,189.00

Yes

$0.00

A PORTION OF THE FEE WAS PAID IN CONNECTION WITH SALES MADE OUTSIDE THE US.

2017-02-22

D/A

$1,680,625.00

Yes

$0.00

Yes

2017-02-22

D/A

$3,000,000.00

Yes

$0.00

Yes

ASSUMES BROKER-DEALER PLACES AN AGGREGATE OF $150M OF THE PROPOSED OFFERING

2017-02-22

D/A

$12,105,375.00

Yes

$0.00

Yes

2017-02-21

D/A

$7,145,149.00

Yes

$0.00

2017-02-21

D/A

$6,755,268.00

Yes

$0.00

2017-02-15

D/A

$0.00

Yes

$0.00

Yes

2017-02-15

D/A

$0.00

Yes

$0.00

Yes

PLACEMENT AGENTS MAY RECEIVE UP FRONT COMMISSIONS OF UP TO 3% OF AMOUNT INVESTED IN FUND BY THEIR CLIENTS. IN ADDITION, THE FUND-S INV. MGR. MAY PAY A PORTION OF ITS MGMT. FEES TO CERTAIN FINDERS.

2017-02-15

D/A

$0.00

Yes

$0.00

Yes

2017-02-15

D/A

$0.00

Yes

$0.00

Yes

2017-02-15

D/A

$0.00

Yes

$0.00

Yes

PLACEMENT AGENTS MAY RECEIVE UP FRONT COMMISSIONS OF UP TO 3% OF AMOUNT INVESTED IN FUND BY CERTAIN CLIENTS. IN ADDITION, THE FUND-S GP MAY PAY A PORTION OF ITS MGMT. FEES TO CERTAIN FINDERS.

2017-02-15

D/A

$0.00

Yes

$0.00

Yes

2017-02-15

D/A

$0.00

Yes

$0.00

Yes

2017-02-14

D/A

$0.00

NO PROCEEDS OF THE OFFERING HAVE BEEN USED TO PAY SALES COMMISSIONS OR FINDER-S FEES.

2017-02-13

D/A

$79,611.00

$0.00

2017-02-13

D/A

$2,101,236.00

Yes

$0.00

2017-02-10

$0.00

2017-02-10

$0.00

2017-02-10

D/A

$144,786.00

Yes

$0.00

2017-02-09

D/A

$366,534.00

Yes

$0.00

Yes

2017-02-06

D/A

$1,749,093.00

$0.00

2017-02-02

D/A

$60,490.00

$0.00

2017-02-02

D/A

$533,434.00

$0.00

2017-01-30

D/A

$8,335,245.00

Yes

$0.00

2017-01-24

D/A

$3,412,362.00

Yes

$0.00

FOR PERIOD THROUGH 1/1/17.

2017-01-23

D/A

$114,378.00

$0.00

2017-01-23

D/A

$1,466,344.00

$0.00

2017-01-20

D/A

$4,469,247.00

Yes

$0.00

2017-01-20

$404,250.00

Yes

$0.00

2017-01-19

D/A

$356,562.00

$0.00

2017-01-19

$332,812.00

$0.00

2017-01-17

D/A

$460,000.00

$0.00

2017-01-17

D/A

$1,387,500.00

$0.00

2017-01-17

$8,029,705.00

Yes

$0.00

REFLECTS FEES ON SALES TO DATE TO U.S. INVESTORS UNDER REG D. EXCLUDES FEES THAT MAY BECOME DUE ON SUCH SALES, WHICH CANNOT BE ACCURATELY ESTIMATED AT THIS TIME.

2017-01-17

D/A

$184,500.00

$0.00

2017-01-17

D/A

$150,000.00

$0.00

PIMCO INVESTMENTS LLC WILL NOT RECEIVE ANY SALES COMMISSIONS FOR ITS SERVICES.

2017-01-17

D/A

$75,000.00

$0.00

PIMCO INVESTMENTS LLC WILL NOT RECEIVE ANY SALES COMMISSIONS FOR ITS SERVICES.

2017-01-17

D/A

$1,044,750.00

$0.00

2017-01-17

D/A

$302,625.00

$0.00

2017-01-17

$0.00

THE ADVISER IS REQUIRED TO PAY A PLACEMENT FEE TRAIL BASED ON THE AGGREGATE CAPITAL COMMITMENTS.

2017-01-13

D/A

$0.00

$1,064.00

THE TOTAL DOLLAR AMOUNT OF FINDERS- FEES REFLECTS THE TOTAL AMOUNT PAID TO MSSB FROM INCEPTION TO DATE

2017-01-12

D/A

$0.00

2017-01-10

D/A

$8,763,394.00

Yes

$0.00

2017-01-10

D/A

$3,204,117.00

Yes

$0.00

EMPLOYEES OF AFFILIATE OF GP ("CARLYLE") INVOLVED IN THE PLACEMENT OF FUND INTERESTS ARE COMPENSATED IN PART DUE TO CAPITAL RAISED FOR FUND; SUCH COMPENSATION AS WELL AS OTHER FINDER-S FEES- IS BORNE BY CARLYLE AND NOT BY FUND-S INVESTORS.

2017-01-10

D/A

$53,711.00

$0.00

2017-01-10

D/A

$399,348.00

$0.00

2017-01-09

D/A

$573,375.00

$0.00

2017-01-06

D/A

$5,000,000.00

Yes

$0.00

2017-01-06

D/A

$28,344.00

$0.00

2016-12-27

D/A

$26,876,130.00

Yes

$0.00

THE FIGURE DISCLOSED ABOVE REFLECTS ESTIMATED AMOUNTS EXPECTED TO BE PAID TO PLACEMENT AGENTS IN RESPECT OF U.S. OFFERING.

2016-12-22

$50,000.00

Yes

$0.00

2016-12-22

$52,500.00

Yes

$0.00

2016-12-21

D/A

$1,918,955.00

$0.00

2016-12-19

D/A

$24,000,000.00

Yes

$0.00

THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS. CREDIT SUISSE SECURITIES (USA) LLC IS THE FORMER FIRM OF THE INDIVIDUALS LISTED IN ITEM 12.

2016-12-19

D/A

$5,800,000.00

Yes

$0.00

THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.

2016-12-19

D/A

$27,000,000.00

Yes

$0.00

THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.

2016-12-19

D/A

$4,300,000.00

Yes

$0.00

THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS. CREDIT SUISSE SECURITIES (USA) LLC IS THE FORMER FIRM OF THE INDIVIDUALS LISTED IN ITEM 12.

2016-12-19

D/A

$4,400,000.00

Yes

$0.00

THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS. CREDIT SUISSE SECURITIES (USA) LLC IS THE FORMER FIRM OF THE INDIVIDUALS LISTED IN ITEM 12.

2016-12-19

D/A

$4,000,000.00

$0.00

THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.

2016-12-19

D/A

$16,000,000.00

Yes

$0.00

THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS. CREDIT SUISSE SECURITIES (USA) LLC IS THE FORMER FIRM OF THE INDIVIDUALS LISTED IN ITEM 12.

2016-12-19

D/A

$2,200,000.00

Yes

$0.00

THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS. CREDIT SUISSE SECURITIES (USA) LLC IS THE FORMER FIRM OF THE INDIVIDUALS LISTED IN ITEM 12.

2016-12-19

D/A

$56,400,000.00

Yes

$0.00

THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS

2016-12-19

D/A

$45,000,000.00

Yes

$0.00

THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.

2016-12-19

D/A

$1,232,040.00

$0.00

2016-12-19

D/A

$9,158,343.00

$0.00

A PORTION OF THE FEE WAS PAID IN CONNECTION WITH SALES MADE OUTSIDE THE US.

2016-12-16

D/A

$0.00

$417.00

THE TOTAL DOLLAR AMOUNT OF FINDERS- FEES REFLECTS THE TOTAL AMOUNT PAID TO MSSB FROM INCEPTION TO DATE.

2016-12-16

D/A

$0.00

$2,044.00

THE TOTAL DOLLAR AMOUNT OF FINDERS- FEES REFLECTS THE TOTAL AMOUNT PAID TO MSSB FROM INCEPTION TO DATE.

2016-12-14

$60,326,369.00

$0.00

2016-12-07

D/A

$7,637.00

$0.00

2016-12-05

D/A

$11,364,446.00

Yes

$0.00

2016-12-01

$124,500.00

$0.00

2016-12-01

$75,000.00

$0.00

OFFERS AND SALES OF THE FUND WILL BE MADE BY AND THROUGH PIMCO INVESTMENTS LLC. HOWEVER, PIMCO INVESTMENTS LLC WILL NOT RECEIVE ANY SALES COMMISSIONS FOR ITS SERVICES.

2016-12-01

$674,250.00

$0.00

2016-12-01

$217,875.00

$0.00

2016-11-22

D/A

$50,000.00

$0.00

2016-11-15

D/A

$196,253.00

$0.00

2016-11-15

D/A

$196,253.00

Yes

$0.00

2016-11-14

D/A

$7,550,260.00

Yes

$0.00

A PORTION OF THE FEE WAS PAID IN CONNECTION WITH SALES MADE OUTSIDE THE US.

2016-11-08

D/A

$36,500.00

Yes

$0.00

2016-11-04

D/A

$15,000,000.00

Yes

$0.00

2016-10-31

D/A

$709,000.00

$0.00

2016-10-31

D/A

$333,050.00

$0.00

2016-10-27

D/A

$0.00

$12,845,257.00

THE TOTAL DOLLAR AMOUNT OF FINDERS- FEES REFLECTS THE TOTAL AMOUNT PAID TO UBS AND MSSB FROM INCEPTION TO DATE.

2016-10-27

D/A

$0.00

$5,831,533.00

THE TOTAL DOLLAR AMOUNT OF FINDERS- FEES REFLECTS THE TOTAL AMOUNT PAID TO UBS + MSSB FROM INCEPTION TO DATE

2016-10-24

D/A

$5,990,245.00

Yes

$0.00

2016-10-20

D/A

$0.00

2016-10-20

D/A

$0.00

2016-10-20

D/A

$0.00

2016-10-20

D/A

$0.00

2016-10-20

D/A

$0.00

2016-10-19

D/A

$4,231,663.00

Yes

$0.00

2016-10-18

D/A

$162,406.00

Yes

$0.00

2016-10-18

D/A

$1,474,160.00

$0.00

2016-10-17

$0.00

2016-10-14

$4,427,780.00

$0.00

2016-10-13

D/A

$1,101,609.00

$0.00

2016-10-07

D/A

$10,303,070.00

Yes

$0.00

2016-10-07

D/A

$4,792,637.00

Yes

$0.00

2016-09-30

D/A

$196,255.00

Yes

$0.00

2016-09-30

D/A

$1,451,709.00

Yes

$0.00

2016-09-29

D/A

$4,599,001.00

$0.00

2016-09-29

D/A

$2,863,625.00

$0.00

2016-09-29

D/A

$3,186,148.00

$0.00

2016-09-26

$34,917.00

$0.00

2016-09-22

D/A

$6,895,143.00

Yes

$0.00

A PORTION OF THE FEE WAS PAID IN CONNECTION WITH SALES MADE OUTSIDE THE US.

2016-09-22

D/A

$204,189.00

Yes

$0.00

A PORTION OF THE FEE WAS PAID IN CONNECTION WITH SALES MADE OUTSIDE THE US.

2016-09-12

D/A

$3,000.00

Yes

$0.00

2016-09-09

D/A

$1,347,333.00

$0.00

2016-09-09

D/A

$985,344.00

Yes

$0.00

THE COMMISSIONS REPORTED ARE THOSE PAID DURING THE TIME PERIOD OF JULY 1, 2015 THROUGH JUNE 30, 2016.

2016-09-07

D/A

$7,636,408.00

Yes

$0.00

THE STATED ESTIMATE INCLUDES BOTH PLACEMENT AGENT FEES AND TRAILER FEES, AND INCLUDES FEES PROJECTED TO BE PAID IN THE NEXT 12 MONTHS.

2016-09-07

D/A

$6,531,126.00

Yes

$0.00

THE STATED ESTIMATE INCLUDES BOTH PLACEMENT AGENT FEES AND TRAILER FEES AND INCLUDES FEES PROJECTED TO BE PAID IN THE NEXT 12 MONTHS.

2016-09-07

D/A

$5,529,268.00

Yes

$0.00

THE STATED ESTIMATE INCLUDES BOTH PLACEMENT AGENT FEES AND TRAILER FEES AND INCLUDES FEES PROJECTED TO BE PAID IN THE NEXT 12 MONTHS.

2016-09-02

D/A

$1,129,560.00

Yes

$0.00

2016-09-02

D/A

$1,342,701.00

Yes

$0.00

ESTIMATED FEES DO NOT INCLUDE TRAILER FEES PAID, WHICH ARE INSTEAD REFLECTED IN THE TOTAL FEES WITH RESPECT TO MORGAN STANLEY OPPORTUNISTIC FUND, BEGINNING FROM THE INCEPTION OF THE ISSUER AND PROJECTED THROUGH THE NEXT 12 MONTHS.

2016-09-02

D/A

$12,124,450.00

Yes

$0.00

ESTIMATE INCLUDES FEES FROM DIRECT INVESTMENT AND TRAILER FEES PAID WITH RESPECT TO MORGAN STANLEY OPPORTUNISTIC FUND SPC AND MORGAN STANLEY OPPORTUNISTIC FUND - RETIREMENT PLAN INVESTORS LP, FROM THE INCEPTION OF THE FUND AND PROJECTED THROUGH NEXT YEAR.

2016-09-02

D/A

$854,500.00

Yes

$0.00

2016-09-02

D/A

$3,382,180.00

Yes

$0.00

ESTIMATED FEES BEGINNING FROM THE ISSUER-S INCEPTION AND PROJECTED THROUGH THE NEXT 12 MONTHS.

2016-09-02

D/A

$0.00

THE INVESTMENT ADVISER WILL RECEIVE A MONTHLY MANAGEMENT FEE AT A PERCENTAGE RATE BASED ON THE ISSUER-S NET ASSETS.

2016-09-02

D/A

$309,071.00

$0.00

2016-09-02

D/A

$6,269,710.00

Yes

$0.00

2016-08-30

D/A

$4,798,237.00

Yes

$0.00

SALES COMMISSIONS REPRESENTS AN ESTIMATE OF THE TOTAL SALES COMMISSIONS TO BE PAID TO THE ENTITIES LISTED IN ITEM 12 ABOVE OVER TIME AS A RESULT OF THE ANTICIPATED SALES OF INTERESTS IN THE ISSUER AND/OR CERTAIN RELATED ENTITIES.

2016-08-30

D/A

$795,935.00

Yes

$0.00

SALES COMMISSIONS ARE PAID BY ENERGY INCOME PARTNERS, LLC, NOT THE ISSUER.

2016-08-26

D/A

$25,000,000.00

Yes

$0.00

SALES COMMISSIONS REPRESENT AN ESTIMATE OF THE TOTAL SALES COMMISSIONS TO BE PAID OVER TIME AS A RESULT OF THE ANTICIPATED SALES OF INTEREST IN THE ISSUER.

2016-08-26

D/A

$25,000,000.00

Yes

$0.00

SALES COMMISSIONS REPRESENT AN ESTIMATE OF THE TOTAL SALES COMMISSIONS TO BE PAID OVER TIME AS A RESULT OF THE ANTICIPATED SALES OF INTEREST IN THE ISSUER.

2016-08-22

D/A

$1,093,485.00

$0.00

2016-08-19

D/A

$2,610,075.00

$0.00

2016-08-19

D/A

$793,000.00

$0.00

2016-08-17

D/A

$0.00

2016-08-17

D/A

$0.00

2016-08-11

D/A

$5,000,000.00

Yes

$0.00

Yes

THIS AMOUNT INCLUDES FEES EXPECTED TO BE PAID WITH RESPECT TO THIS LIMITED PARTNERSHIP AND ITS RELATED LIMITED PARTNERSHIPS.

2016-08-11

D/A

$5,000,000.00

Yes

$0.00

Yes

THIS AMOUNT INCLUDES FEES EXPECTED TO BE PAID WITH RESPECT TO THIS LIMITED PARTNERSHIP AND ITS RELATED LIMITED PARTNERSHIPS.

2016-08-11

D/A

$5,000,000.00

Yes

$0.00

Yes

THIS AMOUNT INCLUDES FEES EXPECTED TO BE PAID WITH RESPECT TO THIS LIMITED PARTNERSHIP AND ITS RELATED LIMITED PARTNERSHIPS.

2016-08-11

D/A

$5,000,000.00

Yes

$0.00

Yes

THIS AMOUNT INCLUDES FEES EXPECTED TO BE PAID WITH RESPECT TO THIS LIMITED PARTNERSHIP AND ITS RELATED LIMITED PARTNERSHIPS.

2016-08-08

D/A

$4,768,237.00

Yes

$0.00

2016-08-05

D/A

$0.00

Yes

$0.00

Yes

2016-08-05

D/A

$0.00

Yes

$0.00

Yes

2016-08-03

D/A

$80,058.00

Yes

$0.00

2016-08-03

D/A

$23,850.00

Yes

$0.00

2016-08-03

D/A

$1,300,155.00

Yes

$0.00

2016-08-03

D/A

$565,514.00

Yes

$0.00

2016-08-03

D/A

$900,884.00

Yes

$0.00

2016-08-03

D/A

$1,024,233.00

Yes

$0.00

2016-08-03

D/A

$205,137.00

Yes

$0.00

2016-08-03

D/A

$1,065,617.00

Yes

$0.00

2016-08-03

D/A

$9,250.00

Yes

$0.00

2016-08-03

D/A

$361,558.00

Yes

$0.00

2016-08-03

D/A

$409,818.00

Yes

$0.00

2016-08-03

D/A

$1,133,100.00

Yes

$0.00

2016-08-03

D/A

$50,345.00

Yes

$0.00

2016-07-27

D/A

$53,711.00

$0.00

2016-07-25

D/A

$0.00

Yes

$0.00

Yes

THE FIRM(S) LISTED IN ITEM 12 ABOVE ARE PAID DIRECTLY OR INDIRECTLY COMMISSIONS OR SIMILAR SALES COMPENSATION EQUAL TO A PERCENTAGE OF THE FEE PAID TO THE GENERAL PARTNER FROM THE ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION.

2016-07-25

D/A

$25,000,000.00

Yes

$0.00

SALES COMMISSIONS REPRESENT AN ESTIMATE OF THE TOTAL SALES COMMISSIONS TO BE PAID OVER TIME AS A RESULT OF THE ANTICIPATED SALES OF INTEREST IN THE ISSUER.

2016-07-25

D/A

$25,000,000.00

Yes

$0.00

SALES COMMISSIONS REPRESENT AN ESTIMATE OF THE TOTAL SALES COMMISSIONS TO BE PAID OVER TIME AS A RESULT OF THE ANTICIPATED SALES OF INTEREST IN THE ISSUER.

2016-07-21

D/A

$1,955.00

$0.00

2016-07-15

D/A

$988,671.00

Yes

$1,372,355.00

Yes

2016-07-15

D/A

$1,206,798.00

Yes

$1,812,625.00

Yes

2016-07-15

D/A

$0.00

Yes

$0.00

Yes

2016-07-15

$14,543,000.00

$0.00

50% OF THE PLACEMENT AGENT FEES WERE PAYABLE BY THE ISSUER AND THE REMAINING 50% WERE PAYABLE BY THE PROMOTERS.

2016-07-14

D/A

$0.00

Yes

$0.00

Yes

2016-07-14

$0.00

Yes

$0.00

THE ADVISER IS REQUIRED TO PAY A PLACEMENT FEE TRAIL BASED ON THE AGGREGATE CAPITAL COMMITMENTS.

2016-07-14

D/A

$3,970,483.00

Yes

$0.00

A PORTION OF THE FEE WAS PAID IN CONNECTION WITH SALES MADE OUTSIDE THE US.

2016-07-14

D/A

$99,189.00

Yes

$0.00

A PORTION OF THE FEE WAS PAID IN CONNECTION WITH SALES MADE OUTSIDE THE US.

2016-07-14

D/A

$2,875,665.00

Yes

$0.00

FOR PERIOD THROUGH 7/1/16.

2016-07-14

D/A

$301.00

$0.00

2016-07-12

$0.00

2016-07-08

D/A

$1,140,000.00

Yes

$0.00

THE STATED ESTIMATE INCLUDES BOTH PLACEMENT AGENT FEES AND TRAILER FEES AND INCLUDES FEES PROJECTED TO BE PAID IN THE NEXT 12 MONTHS.

2016-07-06

D/A

$12,478.00

Yes

$0.00

2016-07-06

D/A

$1,395,026.00

Yes

$0.00

2016-07-01

D/A

$33,643,268.00

Yes

$0.00

2016-07-01

D/A

$367,533.00

Yes

$0.00

2016-06-30

D/A

$53,200,000.00

Yes

$0.00

THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS

2016-06-30

D/A

$22,000,000.00

Yes

$0.00

THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.

2016-06-30

D/A

$5,400,000.00

Yes

$0.00

THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.

2016-06-30

D/A

$2,000,000.00

Yes

$0.00

THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.

2016-06-30

D/A

$3,300,000.00

Yes

$0.00

THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.

2016-06-30

D/A

$3,900,000.00

Yes

$0.00

THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.

2016-06-30

D/A

$4,000,000.00

$0.00

THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.

2016-06-30

D/A

$14,500,000.00

Yes

$0.00

THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.

2016-06-30

D/A

$23,500,000.00

Yes

$0.00

THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.

2016-06-30

D/A

$35,000,000.00

Yes

$0.00

THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.

2016-06-30

D/A

$25,000,000.00

Yes

$0.00

Yes

THIS AMOUNT INCLUDES FEES EXPECTED TO BE PAID WITH RESPECT TO THIS LIMITED PARTNERSHIP AND ITS RELATED LIMITED PARTNERSHIPS.

2016-06-30

D/A

$25,000,000.00

Yes

$0.00

Yes

2016-06-30

D/A

$25,000,000.00

Yes

$0.00

Yes

2016-06-30

D/A

$25,000,000.00

Yes

$0.00

Yes

2016-06-30

D/A

$25,000,000.00

Yes

$0.00

Yes

2016-06-30

D/A

$25,000,000.00

Yes

$0.00

Yes

2016-06-30

D/A

$25,000,000.00

Yes

$0.00

Yes

2016-06-28

D/A

$266,087.00

Yes

$0.00

2016-06-27

D/A

$7,640,955.00

Yes

$0.00

THE ISSUER HAS NOT PAID ANY COMMISSIONS TO TRICOR FINANCIAL LLC SINCE JANUARY 13,2016. SALES COMMISSIONS REPORTED ARE THOSE PAID UP TO MAY 31, 2016

2016-06-23

D/A

$1,104,693.00

Yes

$0.00

2016-06-23

D/A

$5,662,848.00

Yes

$0.00

2016-06-17

D/A

$4,610,000.00

Yes

$0.00

2016-06-16

D/A

$2,578,547.00

Yes

$0.00

2016-06-16

D/A

$1,681,080.00

Yes

$0.00

2016-06-16

D/A

$414,650.00

Yes

$0.00

2016-06-16

D/A

$306,890.00

Yes

$0.00

2016-06-16

D/A

$4,164,315.00

Yes

$0.00

2016-06-16

D/A

$165,050.00

Yes

$0.00

2016-06-16

D/A

$965,944.00

Yes

$0.00

2016-06-16

D/A

$500,750.00

Yes

$0.00

2016-06-16

D/A

$982,480.00

Yes

$0.00

2016-06-16

D/A

$516,477.00

Yes

$0.00

2016-06-16

D/A

$1,562,041.00

Yes

$0.00

2016-06-16

D/A

$397,800.00

Yes

$0.00

2016-06-16

D/A

$80,630.00

Yes

$0.00

2016-06-16

D/A

$1,248,000.00

$0.00

2016-06-15

$1,750,000.00

Yes

$384,375.00

2016-06-10

D/A

$2,266,347.00

Yes

$0.00

2016-06-10

D/A

$1,222,066.00

Yes

$0.00

2016-06-08

D/A

$0.00

2016-06-08

D/A

$0.00

Yes

$0.00

Yes

2016-06-08

D/A

$0.00

Yes

$0.00

Yes

2016-06-06

D/A

$0.00

Yes

$0.00

Yes

2016-06-03

D/A

$410,793.00

$0.00

2016-06-01

D/A

$1,657,905.00

$0.00

2016-06-01

D/A

$1,844,235.00

$0.00

2016-06-01

D/A

$353,865.00

$0.00

2016-06-01

D/A

$5,571,653.00

$0.00

2016-06-01

D/A

$248,600.00

$0.00

2016-06-01

D/A

$957,508.00

$0.00

2016-05-31

D/A

$307,525.00

$0.00

2016-05-31

D/A

$1,593,125.00

$0.00

2016-05-31

D/A

$482,261.00

$0.00

2016-05-31

D/A

$1,340,293.00

$0.00

2016-05-31

D/A

$977,855.00

$0.00

2016-05-27

D/A

$0.00

Yes

$0.00

Yes

2016-05-27

D/A

$0.00

Yes

$0.00

Yes

2016-05-27

D/A

$10,860,032.00

Yes

$0.00

2016-05-24

D/A

$99,588.00

$0.00

2016-05-23

D/A

$11,653.00

$0.00

2016-05-20

D/A

$1,750,000.00

Yes

$0.00

2016-05-20

D/A

$625,000.00

Yes

$0.00

2016-05-19

D/A

$882,801.00

$0.00

2016-05-18

D/A

$74,164,588.00

Yes

$0.00

2016-05-17

D/A

$25,000,000.00

Yes

$0.00

SALES COMMISSIONS REPRESENT AN ESTIMATE OF THE TOTAL SALES COMMISSIONS TO BE PAID OVER TIME AS A RESULT OF THE ANTICIPATED SALES OF INTEREST IN THE ISSUER.

2016-05-17

D/A

$25,000,000.00

Yes

$0.00

SALES COMMISSIONS REPRESENT AN ESTIMATE OF THE TOTAL SALES COMMISSIONS TO BE PAID OVER TIME AS A RESULT OF THE ANTICIPATED SALES OF INTEREST IN THE ISSUER.

2016-05-13

D/A

$966,068.00

Yes

$0.00

2016-05-13

D/A

$5,010,973.00

Yes

$0.00

2016-05-13

$411,200.00

Yes

$0.00

Yes

2016-05-10

D/A

$36,962.00

$0.00

2016-05-05

D/A

$399,348.00

$0.00

2016-04-29

D/A

$548,480.00

Yes

$0.00

2016-04-28

D/A

$0.00

Yes

$0.00

Yes

2016-04-25

D/A

$327,331.00

Yes

$0.00

2016-04-25

D/A

$1,859,657.00

Yes

$0.00

2016-04-25

D/A

$800,775.00

Yes

$0.00

2016-04-25

D/A

$1,218,085.00

Yes

$0.00

2016-04-25

D/A

$1,433,919.00

Yes

$0.00

2016-04-25

D/A

$218,791.00

Yes

$0.00

2016-04-25

D/A

$77,553.00

Yes

$0.00

2016-04-25

D/A

$566,247.00

Yes

$0.00

2016-04-25

D/A

$1,463,075.00

Yes

$0.00

2016-04-25

D/A

$593,850.00

Yes

$0.00

2016-04-25

D/A

$67,750.00

Yes

$0.00

2016-04-25

D/A

$141,300.00

Yes

$0.00

2016-04-22

D/A

$152,978.00

Yes

$0.00

2016-04-22

D/A

$1,587,242.00

Yes

$0.00

ESTIMATE INCLUDES FEES THAT MAY BE PAID OVER THE NEXT 12 MONTHS.

2016-04-22

D/A

$0.00

Yes

$0.00

Yes

2016-04-22

D/A

$0.00

Yes

$0.00

Yes

2016-04-22

D/A

$686,513.00

Yes

$0.00

SALES COMMISSIONS ARE PAID BY ENERGY INCOME PARTNERS, LLC, NOT THE ISSUER.

2016-04-20

D/A

$27,000,000.00

Yes

$0.00

THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.

2016-04-15

D/A

$0.00

Yes

$0.00

Yes

2016-04-15

D/A

$0.00

Yes

$0.00

Yes

2016-04-15

D/A

$0.00

Yes

$0.00

Yes

2016-04-14

$1,812,340.00

Yes

$0.00

2016-04-13

D/A

$2,562,415.00

Yes

$0.00

FOR PERIOD THROUGH 4/1/16.

2016-04-07

D/A

$619,093.00

Yes

$0.00

2016-04-01

D/A

$4,299,825.00

Yes

$0.00

2016-03-31

D/A

$22,300.00

Yes

$0.00

2016-03-31

D/A

$1,514,431.00

Yes

$0.00

2016-03-31

D/A

$3,399,551.00

Yes

$0.00

2016-03-31

D/A

$4,826,528.00

Yes

$0.00

2016-03-31

D/A

$353,621.00

Yes

$0.00

2016-03-29

D/A

$16,256.00

$0.00

2016-03-28

D/A

$13,372,911.00

Yes

$0.00

2016-03-28

D/A

$294,050.00

Yes

$0.00

2016-03-28

D/A

$563,501.00

Yes

$0.00

2016-03-28

D/A

$1,805,625.00

Yes

$0.00

2016-03-28

D/A

$162,161.00

Yes

$0.00

2016-03-24

D/A

$400,000.00

Yes

$0.00

2016-03-23

D/A

$103,106.00

$0.00

2016-03-23

D/A

$1,172,464.00

$0.00

2016-03-23

D/A

$218,289.00

$0.00

2016-03-23

D/A

$1,086.00

$0.00

2016-03-23

D/A

$3,582.00

$0.00

2016-03-21

D/A

$0.00

Yes

$0.00

Yes

2016-03-18

D/A

$0.00

Yes

$0.00

THE PERSONS/FIRMS LISTED IN ITEM 12 RECEIVE A PERCENTAGE OF THE MANAGEMENT FEES AND/OR INCENTIVE ALLOCATIONS OF THE INVESTMENT MANAGER.

2016-03-18

D/A

$0.00

Yes

$0.00

THE PERSONS/FIRMS LISTED IN ITEM 12 RECEIVE A PERCENTAGE OF THE MANAGEMENT FEES AND/OR INCENTIVE ALLOCATIONS OF THE GENERAL PARTNERS.

2016-03-17

D/A

$0.00

Yes

$0.00

THE PERSONS/FIRMS LISTED IN ITEM 12 RECEIVE A PERCENTAGE OF THE MANAGEMENT FEES AND/OR INCENTIVE ALLOCATIONS OF THE INVESTMENT MANAGER.

2016-03-17

D/A

$0.00

Yes

$0.00

THE PERSONS/FIRMS LISTED IN ITEM 12 RECEIVE A PERCENTAGE OF THE MANAGEMENT FEES AND/OR INCENTIVE ALLOCATIONS OF THE GENERAL PARTNERS.

2016-03-16

D/A

$0.00

THE PLACEMENT AGENT WILL RECEIVE A MONTHLY FEE EQUAL TO 1/12TH OF 2.00% (A 2.00% ANNUAL RATE) OF THE NET ASSETS OF THE ISSUER AS OF THE BEGINNING OF EACH MONTH. THIS FEE IS REFERRED TO AS THE ONGOING PLACEMENT AGENT FEE.

2016-03-16

D/A

$134,765.00

Yes

$0.00

2016-03-15

D/A

$3,754,831.00

Yes

$0.00

2016-03-15

D/A

$3,213,711.00

Yes

$0.00

2016-03-15

D/A

$2,511,956.00

Yes

$0.00

2016-03-15

D/A

$4,086,447.00

Yes

$0.00

2016-03-15

D/A

$967,680.00

Yes

$0.00

2016-03-15

D/A

$398,498.00

Yes

$0.00

NO PROCEEDS OF THE OFFERING HAVE BEEN USED TO PAY SALES COMMISSIONS OR FINDERS- FEES.

2016-03-15

D/A

$266,242.00

Yes

$0.00

NO PROCEEDS OF THE OFFERING HAVE BEEN USED TO PAY SALES COMMISSIONS OR FINDERS- FEES.

2016-03-14

D/A

$167,030.00

Yes

$0.00

2016-03-14

D/A

$1,285,848.00

Yes

$0.00

2016-03-14

D/A

$1,285,848.00

Yes

$0.00

2016-03-14

D/A

$836,150.00

Yes

$0.00

2016-03-14

D/A

$836,150.00

Yes

$0.00

2016-03-11

D/A

$0.00

2016-03-11

D/A

$706,750.00

Yes

$0.00

2016-03-11

D/A

$4,382,125.00

Yes

$0.00

2016-03-10

D/A

$973,438.00

$0.00

2016-03-09

D/A

$0.00

Yes

$0.00

Yes

2016-03-08

D/A

$25,000,000.00

Yes

$0.00

2016-03-04

D/A

$0.00

SALES AGENT RECEIVES A PORTION OF THE MANAGEMENT FEE PAYABLE BY THE ISSUER TO THE INVESTMENT MANAGER.

2016-03-04

D/A

$0.00

SALES AGENT RECEIVES A PORTION OF THE MANAGEMENT FEE PAYABLE BY THE ISSUER TO THE INVESTMENT MANAGER.

2016-03-04

D/A

$0.00

SALES AGENT RECEIVES A PORTION OF THE MANAGEMENT FEE PAYABLE BY THE ISSUER TO THE INVESTMENT MANAGER.

2016-03-04

D/A

$0.00

SALES AGENT RECEIVES A PORTION OF THE MANAGEMENT FEE PAYABLE BY THE ISSUER TO THE INVESTMENT MANAGER.

2016-03-04

D/A

$1,760,163.00

Yes

$0.00

2016-03-03

D/A

$0.00

2016-03-03

D/A

$2,970,000.00

Yes

$0.00

2016-02-26

D/A

$0.00

2016-02-26

D/A

$0.00

2016-02-26

D/A

$0.00

2016-02-19

D/A

$6,368,762.00

Yes

$0.00

2016-02-19

D/A

$5,826,322.00

Yes

$0.00

2016-02-18

D/A

$31,700.00

$0.00

2016-02-18

D/A

$130,750.00

$0.00

2016-02-18

D/A

$4,103,159.00

$0.00

2016-02-18

D/A

$160,450.00

$0.00

2016-02-18

D/A

$679,915.00

$0.00

2016-02-18

D/A

$0.00

Yes

$0.00

Yes

PLACEMENT AGENTS MAY RECEIVE UP FRONT COMMISSIONS OF UP TO 3% OF AMOUNT INVESTED IN FUND BY THEIR CLIENTS. IN ADDITION, THE FUND-S INV. MGR. MAY PAY A PORTION OF ITS MGMT. FEES TO CERTAIN FINDERS.

2016-02-18

D/A

$0.00

Yes

$0.00

Yes

2016-02-18

D/A

$0.00

Yes

$0.00

Yes

2016-02-18

D/A

$0.00

Yes

$0.00

Yes

PLACEMENT AGENTS MAY RECEIVE UP FRONT COMMISSIONS OF UP TO 3% OF AMOUNT INVESTED IN FUND BY CERTAIN CLIENTS. IN ADDITION, THE FUND-S GP MAY PAY A PORTION OF ITS MGMT. FEES TO CERTAIN FINDERS.

2016-02-18

D/A

$0.00

Yes

$0.00

Yes

2016-02-18

D/A

$0.00

Yes

$0.00

Yes

2016-02-18

D/A

$0.00

Yes

$0.00

Yes

2016-02-17

D/A

$125,781.00

Yes

$0.00

2016-02-17

D/A

$125,781.00

Yes

$0.00

2016-02-17

D/A

$448,074.00

$0.00

2016-02-17

D/A

$64,525.00

$0.00

2016-02-17

D/A

$288,753.00

$0.00

2016-02-17

D/A

$162,325.00

$0.00

2016-02-17

D/A

$56,525.00

$0.00

2016-02-16

D/A

$366,534.00

Yes

$0.00

Yes

2016-02-12

D/A

$1,611,201.00

$0.00

2016-02-12

D/A

$94,333.00

Yes

$0.00

2016-02-12

D/A

$1,955,941.00

Yes

$0.00

2016-02-11

D/A

$0.00

NO PROCEEDS OF THE OFFERING HAVE BEEN USED TO PAY SALES COMMISSIONS OR FINDER-S FEES.

2016-01-27

D/A

$98,398.00

Yes

$0.00

2016-01-19

D/A

$0.00

THE ACTIVITIES OF CAIS CAPITAL LLC (SEE ITEM 12) IN CONNECTION WITH THE OFFERING ARE LIMITED TO USE BY THE ISSUER OF CAIS CAPITAL LLC-S PORTAL, WHICH BRINGS TOGETHER FUND MANAGERS AND INVESTMENT ADVISORS.

2016-01-15

$1,114,005.00

$0.00

2016-01-15

$1,279,000.00

$0.00

2016-01-14

D/A

$2,263,276.00

Yes

$0.00

FOR PERIOD THROUGH 1/1/16.

2016-01-13

D/A

$73,671.00

$0.00

2016-01-11

D/A

$103,211.00

$0.00

2016-01-08

D/A

$2,100,000.00

Yes

$0.00

2016-01-08

D/A

$26,522.00

$0.00

2016-01-08

D/A

$1,905,604.00

$0.00

2016-01-08

D/A

$1,450,196.00

$0.00

2016-01-07

D/A

$10,089,211.00

$0.00

2016-01-05

D/A

$3,565,136.00

Yes

$0.00

2015-12-31

$415,000.00

Yes

$0.00

2015-12-31

$3,385,000.00

Yes

$0.00

2015-12-18

D/A

$628,239.00

Yes

$0.00

2015-12-18

D/A

$25,000,000.00

Yes

$0.00

2015-12-16

D/A

$192,142.00

Yes

$0.00

2015-12-15

D/A

$478,980.00

$0.00

2015-12-11

D/A

$7,578.00

$0.00

2015-12-11

$19,229,555.00

$0.00

2015-11-19

D/A

$86,333.00

Yes

$0.00

2015-11-18

D/A

$3,143,588.00

Yes

$0.00

2015-11-17

D/A

$191,308.00

$0.00

2015-11-17

$4,148,042.00

$0.00

2015-11-12

D/A

$1,061,223.00

$0.00

2015-11-09

D/A

$317,421.00

Yes

$0.00

THE FUND PAYS A PORTION OF THE MONTHLY MANAGEMENT FEE TO SELLING AGENTS - SEE ITEM 12.

2015-11-09

D/A

$3,192,965.00

Yes

$0.00

THE FUND PAYS A PORTION OF THE MONTHLY MANAGEMENT FEE TO SELLING AGENTS - SEE ITEM 12.

2015-11-04

D/A

$15,000,000.00

Yes

$0.00

2015-10-30

D/A

$0.00

$3,182,001.00

THE TOTAL DOLLAR AMOUNT OF FINDERS- FEES REFLECTS THE TOTAL AMOUNT PAID TO UBS AND MSSB FROM INCEPTION TO DATE.

2015-10-30

D/A

$0.00

$1,594,634.00

THE TOTAL DOLLAR AMOUNT OF FINDERS- FEES REFLECTS THE TOTAL AMOUNT PAID TO UBS + MSSB FROM INCEPTION TO DATE

2015-10-29

$299,355.00

$0.00

2015-10-29

$682,000.00

$0.00

2015-10-23

D/A

$11,000,000.00

Yes

$0.00

2015-10-21

D/A

$3,817,012.00

Yes

$0.00

2015-10-20

D/A

$0.00

A MONTHLY FEE WILL BE PAID TO THE PLACEMENT AGENT EQUAL TO 1/12 OF 2.00% (A 2.00% ANNUAL RATE)OF THE NET ASSETS OF THE ISSUER AS OF THE BEGINNING OF EACH MONTH. THIS FEE IS REFERRED TO AS THE ONGOING PLACEMENT AGENT FEE.

2015-10-20

D/A

$0.00

2015-10-20

D/A

$0.00

2015-10-20

D/A

$0.00

2015-10-20

D/A

$0.00

THE PLACEMENT AGENT WILL RECEIVE A MONTHLY FEE OF 1/12TH OF 2.00% (A 2.00% ANNUAL RATE) OF THE NET ASSETS OF THE ISSUER AS OF THE BEGINNING OF EACH MONTH. THIS FEE IS REFERRED TO AS THE ONGOING PLACEMENT AGENT FEE.

2015-10-20

D/A

$0.00

2015-10-20

D/A

$0.00

2015-10-20

D/A

$0.00

2015-10-20

D/A

$0.00

2015-10-19

$0.00

2015-10-16

D/A

$614,240.00

$0.00

2015-10-16

D/A

$187,500.00

$0.00

2015-10-16

D/A

$1,950,222.00

$0.00

FOR PERIOD THROUGH 10/1/15.

2015-10-14

D/A

$1,112,390.00

$0.00

2015-10-09

D/A

$8,361,222.00

Yes

$0.00

2015-10-09

D/A

$4,131,969.00

Yes

$0.00

2015-10-07

D/A

$270,969.00

Yes

$0.00

Yes

2015-10-06

D/A

$36,500.00

Yes

$0.00

2015-10-02

D/A

$622,484.00

Yes

$0.00

2015-09-29

D/A

$4,599,001.00

$0.00

2015-09-29

D/A

$3,186,148.00

$0.00

2015-09-16

D/A

$160,883.00

$0.00

2015-09-10

D/A

$5,012,583.00

Yes

$0.00

THE STATED ESTIMATE INCLUDES BOTH PLACEMENT AGENT FEES AND TRAILER FEES, AND INCLUDES FEES PROJECTED TO BE PAID IN THE NEXT 12 MONTHS.

2015-09-10

D/A

$4,965,732.00

Yes

$0.00

THE STATED ESTIMATE INCLUDES BOTH PLACEMENT AGENT FEES AND TRAILER FEES AND INCLUDES FEES PROJECTED TO BE PAID IN THE NEXT 12 MONTHS.

2015-09-10

D/A

$3,771,224.00

Yes

$0.00

THE STATED ESTIMATE INCLUDES BOTH PLACEMENT AGENT FEES AND TRAILER FEES AND INCLUDES FEES PROJECTED TO BE PAID IN THE NEXT 12 MONTHS.

2015-09-04

D/A

$618,582.00

Yes

$0.00

2015-09-03

D/A

$1,333,248.00

$0.00

2015-09-03

D/A

$1,297,701.00

Yes

$0.00

2015-09-03

D/A

$9,984,709.00

Yes

$0.00

2015-09-03

D/A

$829,500.00

Yes

$0.00

2015-09-03

D/A

$2,688,840.00

Yes

$0.00

ESTIMATED FEES BEGINNING FROM THE ISSUER-S INCEPTION AND PROJECTED THROUGH THE NEXT 12 MONTHS.

2015-09-03

D/A

$0.00

THE INVESTMENT ADVISER WILL RECEIVE A MONTHLY MANAGEMENT FEE AT A PERCENTAGE RATE BASED ON THE ISSUER-S NET ASSETS.

2015-09-02

$1,575,000.00

Yes

$0.00

2015-09-01

D/A

$3,500,000.00

$0.00

THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.

2015-09-01

D/A

$3,400,000.00

Yes

$0.00

THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.

2015-09-01

D/A

$13,000,000.00

Yes

$0.00

THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.

2015-09-01

D/A

$1,800,000.00

Yes

$0.00

THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.

2015-09-01

D/A

$50,000,000.00

Yes

$0.00

THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS

2015-09-01

D/A

$20,000,000.00

Yes

$0.00

THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.

2015-09-01

D/A

$5,000,000.00

Yes

$0.00

THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.

2015-09-01

D/A

$20,000,000.00

Yes

$0.00

THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.

2015-09-01

D/A

$2,300,000.00

Yes

$0.00

THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.

2015-09-01

D/A

$25,000,000.00

Yes

$0.00

THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.

2015-08-28

D/A

$1,895,250.00

$0.00

2015-08-28

D/A

$5,160,823.00

Yes

$116,200.00

Yes

2015-08-28

D/A

$5,160,823.00

Yes

$116,200.00

Yes

2015-08-28

D/A

$5,160,823.00

Yes

$116,200.00

Yes

2015-08-26

D/A

$265,054.00

$0.00

2015-08-20

D/A

$1,011,588.00

$0.00

CORRECTION TO AMOUNT PREVIOUSLY REPORTED.

2015-08-17

D/A

$12,105,375.00

Yes

$0.00

2015-08-14

D/A

$569,286.00

Yes

$0.00

2015-08-12

D/A

$35,250.00

Yes

$0.00

2015-08-04

$2,789.00

$0.00

2015-08-04

$1,955.00

$0.00

2015-08-03

D/A

$77,058.00

Yes

$0.00

2015-08-03

D/A

$23,850.00

Yes

$0.00

2015-08-03

D/A

$1,289,655.00

Yes

$0.00

2015-08-03

D/A

$552,514.00

Yes

$0.00

2015-08-03

D/A

$900,884.00

Yes

$0.00

2015-08-03

D/A

$196,255.00

Yes

$0.00

2015-08-03

D/A

$1,021,733.00

Yes

$0.00

2015-08-03

D/A

$197,137.00

Yes

$0.00

2015-08-03

D/A

$65,950.00

Yes

$0.00

2015-08-03

D/A

$418,417.00

Yes

$0.00

2015-08-03

D/A

$324,722.00

Yes

$0.00

2015-08-03

D/A

$9,250.00

Yes

$0.00

2015-08-03

D/A

$359,558.00

Yes

$0.00

2015-08-03

D/A

$334,668.00

Yes

$0.00

2015-08-03

D/A

$751,320.00

Yes

$0.00

2015-08-03

D/A

$289,505.00

Yes

$0.00

2015-07-30

D/A

$270,969.00

Yes

$0.00

Yes

2015-07-29

$0.00

Yes

$0.00

2015-07-27

D/A

$1,649,878.00

Yes

$0.00

2015-07-27

D/A

$6,345,876.00

Yes

$0.00

2015-07-27

D/A

$35,727.00

$0.00

2015-07-22

D/A

$8,500,000.00

Yes

$0.00

2015-07-21

D/A

$3,150,000.00

$0.00

SUBJECT TO FUTURE CONTINGENCIES, AND NOT BORNE BY THE ISSUER.

2015-07-20

D/A

$0.00

Yes

$0.00

Yes

2015-07-17

D/A

$52,750.00

Yes

$0.00

2015-07-17

D/A

$785,250.00

Yes

$0.00

2015-07-17

D/A

$285,000.00

Yes

$0.00

2015-07-16

D/A

$0.00

Yes

$0.00

Yes

2015-07-15

D/A

$343,300.00

Yes

$1,372,355.00

Yes

2015-07-15

D/A

$396,754.00

Yes

$1,720,125.00

Yes

2015-07-15

D/A

$1,667,863.00

$0.00

FOR PERIOD THROUGH 7/1/15.

2015-07-10

D/A

$1,140,000.00

Yes

$0.00

THE STATED ESTIMATE INCLUDES BOTH PLACEMENT AGENT FEES AND TRAILER FEES AND INCLUDES FEES PROJECTED TO BE PAID IN THE NEXT 12 MONTHS.

2015-07-10

D/A

$11,701,502.00

Yes

$0.00

Yes

CERTAIN EMPLOYEES OF AFFILIATE OF GP ("CARLYLE") RECEIVE COMPENSATION IN PART BASED ON CAPITAL RAISED; SUCH COMPENSATION IS BORNE BY CARLYLE, NOT THE FUND-S INVESTORS. AMOUNT APPLIES TO ISSUER AND AFFILIATED FUNDS.

2015-07-08

D/A

$605,887.00

Yes

$0.00

2015-07-01

$150,000.00

$0.00

2015-06-30

D/A

$13,000,000.00

Yes

$0.00

Yes

2015-06-30

$13,000,000.00

Yes

$0.00

Yes

2015-06-30

D/A

$13,000,000.00

Yes

$0.00

Yes

2015-06-30

$13,000,000.00

Yes

$0.00

Yes

2015-06-30

D/A

$13,000,000.00

Yes

$0.00

Yes

2015-06-30

D/A

$13,000,000.00

Yes

$0.00

Yes

2015-06-30

D/A

$2,928,410.00

Yes

$0.00

THE INFORMATION DISCLOSED IN ITEM 12 AND THE AMOUNT DISCLOSED IN ITEM 15 REFLECTS SALES TO U.S. INVESTORS ONLY.

2015-06-26

D/A

$7,506,249.00

Yes

$0.00

SALES COMMISSIONS REPORTED ARE THOSE PAID FROM JUNE, 2014 THROUGH MAY, 2015

2015-06-17

D/A

$4,000,000.00

Yes

$0.00

2015-06-16

D/A

$2,283,547.00

Yes

$0.00

2015-06-16

D/A

$1,414,209.00

Yes

$0.00

2015-06-16

D/A

$1,483,455.00

Yes

$0.00

2015-06-16

D/A

$392,775.00

Yes

$0.00

2015-06-16

D/A

$257,275.00

Yes

$0.00

2015-06-16

D/A

$4,054,815.00

Yes

$0.00

2015-06-16

D/A

$305,168.00

Yes

$0.00

2015-06-16

D/A

$165,050.00

Yes

$0.00

2015-06-16

D/A

$915,644.00

Yes

$0.00

2015-06-16

D/A

$915,644.00

Yes

$0.00

2015-06-16

D/A

$145,175.00

Yes

$0.00

2015-06-16

D/A

$500,000.00

Yes

$0.00

2015-06-16

D/A

$0.00

Yes

$0.00

2015-06-16

D/A

$870,839.00

Yes

$0.00

2015-06-16

D/A

$870,839.00

Yes

$0.00

2015-06-16

D/A

$493,777.00

Yes

$0.00

2015-06-16

D/A

$585,581.00

Yes

$0.00

2015-06-16

D/A

$585,581.00

Yes

$0.00

2015-06-16

D/A

$7,000.00

Yes

$0.00

2015-06-16

D/A

$1,539,376.00

Yes

$0.00

2015-06-16

D/A

$384,300.00

Yes

$0.00

2015-06-16

D/A

$80,360.00

Yes

$0.00

2015-06-12

D/A

$1,403,309.00

Yes

$0.00

2015-06-12

D/A

$834,615.00

Yes

$0.00

2015-06-05

D/A

$57,500.00

Yes

$0.00

2015-06-05

D/A

$656,250.00

Yes

$0.00

2015-06-05

D/A

$144,500.00

Yes

$0.00

2015-05-21

D/A

$57,617,245.00

Yes

$0.00

2015-05-21

D/A

$0.00

2015-05-21

D/A

$91,210.00

$0.00

2015-05-15

D/A

$502,397.00

Yes

$0.00

2015-05-14

D/A

$505,565.00

$0.00

2015-05-13

D/A

$7,725,000.00

$0.00

THIS FEE INCLUDES SALES COMMISSION PAYABLE TO MORGAN STANLEY SMITH BARNEY LLC AND DEUTSCHE BANK SECURITIES, INC. AND THEIR AFFILIATES IN CONNECTION WITH THE INVESTMENTS BY VEHICLES SPONSORED BY SUCH COMPANIES AND OTHER INVESTORS.

2015-05-11

D/A

$10,447,435.00

Yes

$0.00

Yes

2015-05-04

D/A

$0.00

Yes

$0.00

Yes

THE ENTITIES LISTED IN ITEM 12 ARE PAID DIRECTLY OR INDIRECTLY COMMISSIONS OR SIMILAR SALES COMPENSATION EQUAL TO A PERCENTAGE OF THE FEE PAID TO THE GENERAL PARTNER, OR ITS AFFILIATE, FROM THE ASSETS UNDER MANAGEMENT.

2015-05-01

D/A

$469,783.00

Yes

$0.00

2015-04-30

D/A

$281,642.00

Yes

$0.00

2015-04-30

D/A

$42,807.00

Yes

$0.00

2015-04-24

D/A

$321,481.00

Yes

$0.00

2015-04-24

D/A

$1,812,907.00

Yes

$0.00

2015-04-24

D/A

$729,350.00

Yes

$0.00

2015-04-24

D/A

$1,212,085.00

Yes

$0.00

2015-04-24

D/A

$1,339,819.00

Yes

$0.00

2015-04-24

D/A

$186,231.00

Yes

$0.00

2015-04-24

D/A

$72,553.00

Yes

$0.00

2015-04-24

D/A

$553,872.00

Yes

$0.00

2015-04-24

D/A

$1,400,825.00

Yes

$0.00

2015-04-24

D/A

$468,550.00

Yes

$0.00

2015-04-24

D/A

$28,000.00

Yes

$0.00

2015-04-24

D/A

$77,000.00

Yes

$0.00

2015-04-23

D/A

$0.00

Yes

$0.00

Yes

2015-04-22

D/A

$1,016,804.00

Yes

$0.00

ESTIMATE INCLUDES FEES THAT MAY BE PAID OVER THE NEXT 12 MONTHS.

2015-04-15

D/A

$1,333,651.00

Yes

$0.00

FOR PERIOD THROUGH 4/1/15.

2015-04-15

D/A

$2,155,500.00

$0.00

THE SALES COMMISSIONS AMOUNT REPORTED ABOVE IS THE AMOUNT OWED AS OF THE DATE OF THIS FILING. ADDITIONAL SALES COMMISSIONS ARE EXPECTED TO BE PAID, BUT SUCH AMOUNTS ARE TOO SPECULATIVE TO BE ESTIMATED AT THIS TIME.

2015-04-14

D/A

$12,000,000.00

Yes

$0.00

THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.

2015-04-10

D/A

$398,923.00

Yes

$0.00

2015-04-07

D/A

$571,028.00

Yes

$0.00

2015-04-03

D/A

$11,680.00

$0.00

2015-04-03

D/A

$1,077.00

$0.00

2015-04-02

D/A

$940,000.00

Yes

$0.00

PLACEMENT AGENT MAY RECEIVE COMMISSIONS OF UP TO 1.25% OF AMOUNT INVESTED IN FUND BY ITS CLIENTS.

2015-03-31

D/A

$3,359,349.00

Yes

$0.00

2015-03-31

D/A

$841,489.00

Yes

$0.00

2015-03-30

D/A

$96,633.00

$0.00

2015-03-27

D/A

$12,772,482.00

Yes

$0.00

2015-03-27

D/A

$294,050.00

Yes

$0.00

2015-03-27

D/A

$392,500.00

Yes

$0.00

2015-03-27

D/A

$114,500.00

Yes

$0.00

2015-03-27

D/A

$1,783.00

$0.00

2015-03-26

D/A

$0.00

Yes

$0.00

Yes

THE ENTITIES LISTED IN ITEM 12 ABOVE ARE PAID DIRECTLY OR INDIRECTLY COMMISSIONS OR SIMILAR SALES COMPENSATION EQUAL TO A PERCENTAGE OF THE FEE PAID TO THE IM FROM THE ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION.

2015-03-23

D/A

$1,192,583.00

$0.00

2015-03-23

D/A

$183,482.00

$0.00

2015-03-18

D/A

$77,058.00

Yes

$0.00

2015-03-18

D/A

$304,481.00

Yes

$0.00

2015-03-18

D/A

$392,775.00

Yes

$0.00

2015-03-17

D/A

$3,359,349.00

Yes

$0.00

2015-03-17

D/A

$2,883,333.00

Yes

$0.00

2015-03-17

D/A

$2,361,639.00

Yes

$0.00

2015-03-17

D/A

$17,538,149.00

Yes

$0.00

2015-03-17

D/A

$3,631,461.00

Yes

$0.00

2015-03-17

D/A

$841,489.00

Yes

$0.00

2015-03-16

D/A

$0.00

2015-03-16

D/A

$0.00

2015-03-16

D/A

$944,564.00

$0.00

2015-03-16

D/A

$167,030.00

Yes

$0.00

2015-03-13

D/A

$0.00

2015-03-13

D/A

$1,436,211.00

Yes

$0.00

2015-03-13

D/A

$2,868,764.00

Yes

$0.00

2015-03-13

D/A

$4,717,002.00

Yes

$0.00

2015-03-13

D/A

$289,505.00

Yes

$0.00

2015-03-13

D/A

$323,773.00

Yes

$0.00

2015-03-13

$0.00

Yes

$0.00

Yes

2015-03-10

D/A

$889,867.00

$0.00

CORRECTION TO AMOUNT PREVIOUSLY REPORTED.

2015-03-06

D/A

$1,690,996.00

Yes

$0.00

2015-03-04

D/A

$0.00

SALES AGENT RECEIVES A PORTION OF THE MANAGEMENT FEE PAYABLE BY THE ISSUER TO THE INVESTMENT MANAGER.

2015-03-04

D/A

$0.00

SALES AGENT RECEIVES A PORTION OF THE MANAGEMENT FEE PAYABLE BY THE ISSUER TO THE INVESTMENT MANAGER.

2015-03-04

D/A

$0.00

SALES AGENT RECEIVES A PORTION OF THE MANAGEMENT FEE PAYABLE BY THE ISSUER TO THE INVESTMENT MANAGER.

2015-03-04

D/A

$0.00

SALES AGENT RECEIVES A PORTION OF THE MANAGEMENT FEE PAYABLE BY THE ISSUER TO THE INVESTMENT MANAGER.

2015-03-03

D/A

$0.00

2015-03-03

D/A

$2,970,000.00

Yes

$0.00

2015-03-02

D/A

$1,500,476.00

$0.00

2015-02-26

D/A

$0.00

MAN INVESTMENTS INC. IS AN AFFILIATE OF FRM INVST. MGMT. (USA) LLC. FUND DID NOT PAY SALES COMMISSIONS TO MII IN THIS OFFERING. MII COMPENSATES ITS REGISTERED REPS A SALARY AND DISCRETIONARY BONUS, DETERMINED BY MANY FACTORS INCL. ASSETS RAISED FOR ISSUER

2015-02-26

D/A

$0.00

2015-02-26

D/A

$0.00

2015-02-25

D/A

$4,599,001.00

$0.00

2015-02-25

D/A

$2,863,625.00

$0.00

2015-02-25

D/A

$3,186,148.00

$0.00

2015-02-20

D/A

$0.00

Yes

$0.00

Yes

PLACEMENT AGENTS MAY RECEIVE UP FRONT COMMISSIONS OF UP TO 3% OF AMOUNT INVESTED IN FUND BY CERTAIN CLIENTS. IN ADDITION, THE FUND-S GP MAY PAY A PORTION OF ITS MGMT. FEES TO CERTAIN FINDERS.

2015-02-20

D/A

$0.00

Yes

$0.00

Yes

2015-02-20

D/A

$0.00

Yes

$0.00

Yes

PLACEMENT AGENTS MAY RECEIVE UP FRONT COMMISSIONS OF UP TO 3% OF AMOUNT INVESTED IN FUND BY THEIR CLIENTS. IN ADDITION, THE FUND-S INV. MGR. MAY PAY A PORTION OF ITS MGMT. FEES TO CERTAIN FINDERS.

2015-02-19

D/A

$1,340,293.00

$0.00

2015-02-19

D/A

$1,469,385.00

$0.00

2015-02-19

D/A

$482,261.00

$0.00

2015-02-19

D/A

$1,488,155.00

$0.00

2015-02-19

D/A

$307,365.00

$0.00

2015-02-19

D/A

$1,593,125.00

$0.00

2015-02-19

D/A

$245,800.00

$0.00

2015-02-19

D/A

$137,650.00

$0.00

2015-02-19

D/A

$955,509.00

$0.00

2015-02-19

D/A

$5,543,103.00

$0.00

2015-02-18

D/A

$909,605.00

$0.00

2015-02-18

D/A

$0.00

2015-02-18

D/A

$0.00

Yes

$0.00

Yes

2015-02-18

D/A

$0.00

Yes

$0.00

Yes

2015-02-18

D/A

$0.00

Yes

$0.00

Yes

2015-02-18

D/A

$0.00

Yes

$0.00

Yes

2015-02-13

D/A

$31,700.00

$0.00

2015-02-13

D/A

$162,325.00

$0.00

2015-02-13

D/A

$47,525.00

$0.00

2015-02-13

D/A

$448,074.00

$0.00

2015-02-13

D/A

$78,750.00

$0.00

2015-02-13

D/A

$4,090,659.00

$0.00

2015-02-13

D/A

$509,040.00

$0.00

2015-02-13

D/A

$288,753.00

$0.00

2015-02-13

D/A

$144,700.00

$0.00

2015-02-13

D/A

$54,025.00

$0.00

2015-02-13

D/A

$163,988.00

Yes

$0.00

Yes

2015-02-12

D/A

$2,018,199.00

Yes

$0.00

2015-02-12

D/A

$67,915.00

Yes

$0.00

2015-02-03

D/A

$1,044,469.00

Yes

$0.00

2015-02-03

D/A

$145,175.00

Yes

$0.00

2015-02-03

D/A

$496,576.00

Yes

$0.00

2015-02-03

D/A

$583,581.00

Yes

$0.00

2015-01-23

D/A

$0.00

Yes

$0.00

Yes

2015-01-23

D/A

$7,456,570.00

Yes

$0.00

Yes

2015-01-22

D/A

$2,300,000.00

Yes

$0.00

THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.

2015-01-16

D/A

$0.00

2015-01-15

D/A

$1,049,212.00

Yes

$0.00

FOR PERIOD THROUGH 1/1/15.

2015-01-15

D/A

$159,232.00

Yes

$0.00

2015-01-14

D/A

$65,950.00

Yes

$0.00

2015-01-14

D/A

$418,417.00

Yes

$0.00

2015-01-14

D/A

$324,722.00

Yes

$0.00

2015-01-14

D/A

$435,950.00

Yes

$0.00

2015-01-12

D/A

$0.00

2015-01-12

D/A

$0.00

2015-01-12

D/A

$0.00

2015-01-08

D/A

$23,024.00

$0.00

2015-01-08

D/A

$1,892,015.00

$0.00

2015-01-08

D/A

$1,419,418.00

$0.00

2015-01-06

D/A

$7,725,000.00

Yes

$0.00

2015-01-06

D/A

$66,716.00

$0.00

2015-01-06

D/A

$94,241.00

$0.00

2014-12-31

D/A

$0.00

Yes

$0.00

Yes

2014-12-17

D/A

$13,619,048.00

$0.00

2014-12-16

D/A

$125,492.00

Yes

$0.00

Yes

2014-12-16

D/A

$186,834.00

Yes

$0.00

2014-12-10

D/A

$23,812,130.00

$0.00

2014-12-09

D/A

$1,234,815.00

Yes

$0.00

2014-12-09

D/A

$920,420.00

Yes

$0.00

2014-12-09

D/A

$492,277.00

$0.00

2014-12-03

D/A

$1,014,405.00

Yes

$0.00

2014-12-03

D/A

$386,741.00

$0.00

2014-12-01

D/A

$6,708.00

$0.00

2014-12-01

D/A

$6,708.00

$0.00

2014-11-21

D/A

$292,683.00

Yes

$0.00

2014-11-21

D/A

$1,372,719.00

Yes

$0.00

2014-11-21

D/A

$200,160.00

Yes

$0.00

2014-11-21

D/A

$194,711.00

Yes

$0.00

2014-11-21

D/A

$165,050.00

Yes

$0.00

2014-11-20

D/A

$193,580.00

Yes

$0.00

2014-11-20

D/A

$196,626.00

Yes

$0.00

2014-11-20

D/A

$659,220.00

Yes

$0.00

2014-11-19

D/A

$23,850.00

Yes

$0.00

2014-11-19

D/A

$898,884.00

Yes

$0.00

2014-11-19

D/A

$2,005,547.00

Yes

$0.00

2014-11-19

D/A

$3,735,500.00

Yes

$0.00

2014-11-18

D/A

$3,387,750.00

Yes

$116,200.00

Yes

2014-11-18

D/A

$3,387,750.00

Yes

$116,200.00

Yes

2014-11-18

D/A

$3,387,750.00

Yes

$116,200.00

Yes

2014-11-17

D/A

$8,250.00

Yes

$0.00

2014-11-17

D/A

$329,808.00

Yes

$0.00

2014-11-17

D/A

$0.00

Yes

$0.00

2014-11-17

D/A

$801,390.00

Yes

$0.00

2014-11-17

D/A

$185,967.00

$0.00

2014-11-14

D/A

$1,764,614.00

Yes

$0.00

2014-11-14

D/A

$587,626.00

Yes

$0.00

2014-11-10

D/A

$2,588,598.00

Yes

$0.00

THE FUND PAYS A PORTION OF THE MONTHLY MANAGEMENT FEE TO SELLING AGENTS - SEE ITEM 12.

2014-11-10

D/A

$977,363.00

Yes

$0.00

THE FUND PAYS A PORTION OF THE MONTHLY MANAGEMENT FEE TO SELLING AGENTS - SEE ITEM 12

2014-11-05

D/A

$15,000,000.00

Yes

$0.00

2014-10-30

D/A

$246,765.00

Yes

$0.00

2014-10-30

D/A

$38,267.00

Yes

$0.00

2014-10-30

D/A

$220,625.00

Yes

$0.00

2014-10-28

D/A

$3,868,304.00

$0.00

2014-10-24

D/A

$3,153,825.00

Yes

$0.00

2014-10-20

D/A

$0.00

THE PLACEMENT AGENT WILL RECEIVE A MONTHLY FEE OF UP TO 1/12 OF 3.0% (A 3.00% ANNUAL RATE) OF THE NET ASSETS OF THE PARTNERSHIP AS OF THE END OF EACH MONTH. THIS FEE IS REFERRED TO AS THE ONGOING PLACEMENT AGENT FEE.

2014-10-20

D/A

$0.00

A MONTHLY FEE WILL BE PAID TO THE PLACEMENT AGENT EQUAL TO 1/12 OF 3.375% (A 3.375% ANNUAL RATE)OF ISSUER-S NET ASSETS AS OF THE BEGINNING OF EACH MONTH. THIS FEE IS REFERRED TO AS THE ONGOING PLACEMENT AGENT FEE.

2014-10-20

D/A

$0.00

THE PLACEMENT AGENT WILL RECEIVE A MONTHLY FEE EQUAL TO 1/12TH OF 3.0% (A 3.00% ANNUAL RATE) OF THE NET ASSETS OF THE PARTNERSHIP AS OF THE BEGINNING OF EACH MONTH. THIS FEE IS REFERRED TO AS THE ONGOING PLACEMENT AGENT FEE.

2014-10-20

D/A

$0.00

THE PLACEMENT AGENT WILL RECEIVE A MONTHLY FEE OF UP TO 1/12TH OF 3.0% (A 3.0% ANNUAL RATE) OF THE NET ASSETS OF THE PARTNERSHIP. THIS FEE IS REFERRED TO AS THE ONGOING PLACEMENT AGENT FEE.

2014-10-20

D/A

$0.00

THE PLACEMENT AGENT WILL RECEIVE A MONTHLY FEE OF 1/12TH OF 3.0% (A 3.0% ANNUAL RATE) OF THE NET ASSETS OF THE PARTNERSHIP. THIS FEE IS REFERRED TO AS THE ONGOING PLACEMENT AGENT FEE.

2014-10-15

D/A

$822,740.00

Yes

$0.00

FOR PERIOD THROUGH 10/1/14.

2014-10-10

D/A

$1,000,191.00

$0.00

2014-10-09

D/A

$20,000,000.00

Yes

$0.00

THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.

2014-10-09

D/A

$5,000,000.00

Yes

$0.00

THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.

2014-10-09

D/A

$1,800,000.00

Yes

$0.00

THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.

2014-10-09

D/A

$2,100,000.00

Yes

$0.00

THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.

2014-10-09

D/A

$3,500,000.00

$0.00

THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.

2014-10-09

D/A

$3,400,000.00

Yes

$0.00

THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.

2014-10-09

D/A

$20,000,000.00

Yes

$0.00

THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.

2014-10-09

D/A

$13,000,000.00

Yes

$0.00

THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.

2014-10-09

D/A

$12,000,000.00

Yes

$0.00

THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.

2014-10-09

D/A

$60,000,000.00

Yes

$0.00

THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS

2014-10-09

D/A

$25,000,000.00

Yes

$0.00

THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.

2014-10-09

D/A

$6,052,824.00

Yes

$0.00

2014-10-09

D/A

$6,052,824.00

Yes

$0.00

2014-10-09

D/A

$3,360,650.00

Yes

$0.00

2014-10-09

$468,000.00

$0.00

2014-10-07

$50,000.00

$0.00

2014-10-07

D/A

$736,474.00

$0.00

2014-10-06

D/A

$32,500.00

Yes

$0.00

2014-09-22

D/A

$3,356,250.00

Yes

$116,200.00

Yes

2014-09-22

D/A

$3,356,250.00

Yes

$116,200.00

Yes

2014-09-22

D/A

$3,356,250.00

Yes

$116,200.00

Yes

2014-09-19

D/A

$1,448,205.00

Yes

$0.00

2014-09-16

D/A

$7,000.00

Yes

$0.00

2014-09-16

D/A

$1,536,176.00

Yes

$0.00

2014-09-15

D/A

$7,000,000.00

Yes

$0.00

2014-09-15

D/A

$159,232.00

$0.00

2014-09-12

D/A

$1,318,734.00

$0.00

2014-09-11

D/A

$2,106,131.00

Yes

$0.00

THE STATED ESTIMATE INCLUDES BOTH PLACEMENT AGENT FEES AND TRAILER FEES AND INCLUDES FEES PROJECTED TO BE PAID IN THE NEXT 12 MONTHS.

2014-09-09

D/A

$3,191,588.00

Yes

$0.00

THE STATED ESTIMATE INCLUDES BOTH PLACEMENT AGENT FEES AND TRAILER FEES, AND INCLUDES FEES PROJECTED TO BE PAID IN THE NEXT 12 MONTHS.

2014-09-09

D/A

$3,022,560.00

Yes

$0.00

THE STATED ESTIMATE INCLUDES BOTH PLACEMENT AGENT FEES AND TRAILER FEES AND INCLUDES FEES PROJECTED TO BE PAID IN THE NEXT 12 MONTHS.

2014-09-08

D/A

$221,630.00

$0.00

2014-09-04

D/A

$1,258,201.00

Yes

$0.00

2014-09-04

D/A

$7,588,755.00

Yes

$0.00

2014-09-04

D/A

$804,306.00

Yes

$0.00

2014-09-04

D/A

$1,919,878.00

Yes

$0.00

ESTIMATED FEES BEGINNING FROM THE ISSUER-S INCEPTION AND PROJECTED THROUGH THE NEXT 12 MONTHS.

2014-08-28

$138,000.00

$0.00

2014-08-28

$10,000.00

$0.00

2014-08-07

D/A

$0.00

Yes

$0.00

Yes

PLACEMENT AGENTS MAY RECEIVE UP FRONT COMMISSIONS OF UP TO 3% OF AMOUNT INVESTED IN FUND FROM THEIR CLIENTS. IN ADDITION, THE FUND-S INVESTMENT MANAGER MAY PAY A PORTION OF IT-S MANAGEMENT FEES TO CERTAIN FINDERS.

2014-08-07

D/A

$0.00

Yes

$0.00

Yes

PLACEMENT AGENTS MAY RECEIVE COMMISSIONS UP TO 3% BASED ON AMOUNT INVESTED IN FUND FROM THEIR CLIENTS. IN ADDITION, THE FUND-S GENERAL PARTNER MAY PAY A PORTION OF ITS MANAGEMENT FEES TO CERTAIN FINDERS.

2014-08-07

D/A

$0.00

Yes

$0.00

Yes

2014-08-04

D/A

$0.00

Yes

$0.00

Yes

SALES COMMISSIONS PAYABLE TO MORGAN STANLEY SMITH BARNEY LLC ARE BORNE BY HEALTHCARE ROYALTY MANAGEMENT, LLC, AND PAYMENT OF SUCH SALES COMMISSIONS WILL NOT REQUIRE ADDITIONAL EXPENDITURE BY THE ISSUER.

2014-08-04

D/A

$11,000,000.00

Yes

$0.00

2014-07-28

D/A

$0.00

2014-07-22

D/A

$0.00

ALLEN PARTNERS WILL SOLICIT ONLY IN AUSTRALIA AND NEW ZEALAND; IM TRUST INTERNATIONAL S.A. WILL SOLICIT ONLY IN PERU, COLUMBIA, AND CHILE

2014-07-22

D/A

$0.00

ALLEN PARTNERS WILL SOLICIT ONLY IN AUSTRALIA AND NEW ZEALAND; IM TRUST INTERNATIONAL S.A. WILL SOLICIT ONLY IN PERU, COLUMBIA, AND CHILE

2014-07-22

D/A

$0.00

ALLEN PARTNERS WILL SOLICIT ONLY IN AUSTRALIA AND NEW ZEALAND; IM TRUST INTERNATIONAL S.A. WILL SOLICIT ONLY IN PERU, COLUMBIA, AND CHILE

2014-07-16

D/A

$500,000.00

Yes

$0.00

Yes

2014-07-16

D/A

$900,000.00

Yes

$0.00

Yes

2014-07-16

D/A

$0.00

Yes

$0.00

Yes

2014-07-16

D/A

$607,765.00

Yes

$0.00

FOR PERIOD THROUGH 7/1/14.

2014-07-11

D/A

$452,764.00

Yes

$0.00

2014-07-11

D/A

$1,007,065.00

Yes

$0.00

2014-07-11

$1,140,000.00

Yes

$0.00

A SALES COMMISSION OF UP TO 3.0% WILL BE PAID DEPENDING ON THE AMOUNT OF THE INVESTMENT. THE ESTIMATE ASSUMES PAYMENT OF THE MAXIMUM COMMISSION. A .625% "TRAILER" FEE WILL ALSO BE PAID.

2014-07-10

D/A

$1,291,000.00

Yes

$116,200.00

Yes

2014-07-10

D/A

$1,291,000.00

Yes

$116,200.00

Yes

2014-07-10

D/A

$1,291,000.00

Yes

$116,200.00

Yes

2014-07-07

D/A

$7,000,000.00

Yes

$0.00

2014-07-07

$388,600.00

$0.00

2014-07-03

D/A

$7,500.00

$0.00

2014-07-03

D/A

$5,834,213.00

Yes

$0.00

Yes

2014-07-02

D/A

$0.00

Yes

$0.00

Yes

2014-07-01

D/A

$5,000.00

$0.00

2014-06-27

$1,783.00

$0.00

2014-06-26

D/A

$9,777,745.00

Yes

$0.00

SALES COMMISSIONS REPORTED ARE THOSE PAID FROM JANUARY THROUGH DECEMBER 2012

2014-06-23

D/A

$82,158.00

$0.00

2014-06-17

D/A

$4,000,000.00

Yes

$0.00

2014-06-16

D/A

$424,003.00

Yes

$0.00

FOR PERIOD THROUGH 6/1/14.

2014-06-13

$722,500.00

Yes

$0.00

Yes

THE ISSUER-S INVESTMENT MANAGER WILL ALSO PAY A TRAILING PLACEMENT FEE TO MORGAN STANLEY SMITH BARNEY LLC WITH RESPECT TO PURCHASES OF INTERESTS BY MORGAN STANLEY SMITH BARNEY LLC CLIENTS AT AN ANNUAL RATE EQUAL TO 0.60% OF THE PURCHASE PRICE.

2014-06-12

D/A

$4,500.00

Yes

$0.00

2014-06-12

D/A

$4,000.00

Yes

$0.00

2014-06-12

D/A

$165,250.00

Yes

$0.00

2014-06-12

D/A

$86,150.00

Yes

$0.00

2014-06-06

D/A

$1,720,559.00

Yes

$0.00

2014-06-06

D/A

$0.00

THE ENTITY LISTED IN ITEM 12 ABOVE IS PAID DIRECTLY OR INDIRECTLY COMMISSIONS OR SIMILAR SALES COMPENSATION EQUAL TO A PERCENTAGE OF THE FEE PAID TO THE IM FROM THE ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION.

2014-05-21

D/A

$179,875.00

$0.00

2014-05-20

D/A

$43,787,082.00

Yes

$0.00

2014-05-20

D/A

$921,000.00

Yes

$116,200.00

Yes

2014-05-20

D/A

$921,000.00

Yes

$116,200.00

Yes

2014-05-20

D/A

$921,000.00

Yes

$116,200.00

Yes

2014-05-12

D/A

$938,238.00

$0.00

2014-05-06

D/A

$30,745.00

$0.00

2014-05-05

D/A

$0.00

2014-05-05

D/A

$0.00

2014-05-05

D/A

$0.00

2014-04-30

D/A

$0.00

Yes

$0.00

Yes

2014-04-30

D/A

$0.00

Yes

$0.00

Yes

2014-04-30

D/A

$0.00

2014-04-28

D/A

$0.00

Yes

$0.00

Yes

2014-04-24

D/A

$740,997.00

Yes

$0.00

ESTIMATE INCLUDES FEES THAT MAY BE PAID OVER THE NEXT 12 MONTHS.

2014-04-17

$140,000.00

Yes

$0.00

THIS IS AN ANNUAL TRAILING COMMISSION

2014-04-16

D/A

$1,070.00

$0.00

2014-04-15

D/A

$85,527.00

$0.00

2014-04-15

D/A

$5,797.00

$0.00

2014-04-14

D/A

$410,926.00

Yes

$0.00

FOR PERIOD THROUGH 4/1/14.

2014-04-07

$46,500.00

Yes

$0.00

2014-04-03

D/A

$3,330,300.00

$0.00

2014-04-03

D/A

$560,100.00

$0.00

2014-04-03

$921,000.00

Yes

$0.00

2014-04-03

$921,000.00

Yes

$0.00

2014-04-03

$921,000.00

Yes

$0.00

2014-04-03

D/A

$940,000.00

Yes

$0.00

PLACEMENT AGENT MAY RECEIVE COMMISSIONS OF UP TO 1.25% OF AMOUNT INVESTED IN FUND BY ITS CLIENTS.

2014-03-28

D/A

$374,450.00

Yes

$0.00

2014-03-28

D/A

$4,569,000.00

$0.00

2014-03-28

D/A

$1,017,400.00

$0.00

2014-03-28

D/A

$307,875.00

$0.00

2014-03-27

D/A

$12,130,285.00

Yes

$0.00

2014-03-27

D/A

$118,550.00

Yes

$0.00

2014-03-27

D/A

$32,500.00

Yes

$0.00

2014-03-27

$4,502,167.00

Yes

$0.00

2014-03-27

$2,476,277.00

Yes

$0.00

2014-03-25

D/A

$934,565.00

$0.00

2014-03-21

D/A

$813,209.00

$0.00

2014-03-18

D/A

$120,483.00

Yes

$0.00

2014-03-18

D/A

$300,857.00

Yes

$0.00

2014-03-18

D/A

$9,500.00

Yes

$0.00

2014-03-17

D/A

$3,032,219.00

Yes

$0.00

2014-03-17

D/A

$2,422,654.00

Yes

$0.00

2014-03-17

D/A

$2,195,123.00

Yes

$0.00

2014-03-17

D/A

$14,392,788.00

Yes

$0.00

2014-03-17

D/A

$3,144,763.00

Yes

$0.00

2014-03-17

D/A

$745,064.00

Yes

$0.00

2014-03-14

D/A

$0.00

2014-03-14

D/A

$179,081.00

Yes

$0.00

NO PROCEEDS OF THE OFFERING HAVE BEEN USED TO PAY SALES COMMISSIONS OR FINDERS- FEES.

2014-03-14

D/A

$10,542.00

Yes

$0.00

NO PROCEEDS OF THE OFFERING HAVE BEEN USED TO PAY SALES COMMISSIONS OR FINDERS- FEES.

2014-03-14

D/A

$1,104,173.00

Yes

$0.00

2014-03-14

D/A

$131,000.00

Yes

$0.00

2014-03-12

D/A

$3,330,300.00

$0.00

2014-03-12

D/A

$507,600.00

$0.00

2014-03-11

$1,250,000.00

Yes

$0.00

THE ISSUER INTENDS TO PAY A FEE OF UP TO 1.25% TO MORGAN STANLEY BASED ON INVESTORS- COMMITMENTS. THE SALES COMMISSION PAID/PAYABLE WILL VARY BASED ON AMOUNTS ACTUALLY SOLD UNDER ITEM 13, BUT IS NOT EXPECTED TO EXCEED $1.25 MILLION.

2014-03-07

D/A

$61,632.00

Yes

$0.00

2014-03-04

D/A

$0.00

2014-03-04

D/A

$0.00

SALES AGENT RECEIVES A PORTION OF THE MANAGEMENT FEE PAYABLE BY THE ISSUER TO THE INVESTMENT MANAGER.

2014-03-04

D/A

$0.00

SALES AGENT RECEIVES A PORTION OF THE MANAGEMENT FEE PAYABLE BY THE ISSUER TO THE INVESTMENT MANAGER.

2014-03-04

D/A

$1,850,000.00

Yes

$0.00

2014-03-04

D/A

$0.00

SALES AGENT RECEIVES A PORTION OF THE MANAGEMENT FEE PAYABLE BY THE ISSUER TO THE INVESTMENT MANAGER.

2014-03-04

D/A

$0.00

SALES AGENT RECEIVES A PORTION OF THE MANAGEMENT FEE PAYABLE BY THE ISSUER TO THE INVESTMENT MANAGER.

2014-03-03

D/A

$780,000.00

$0.00

SUCH COMMISSION WILL BE PAID ENTIRELY TO PARK HILL. ISSUER WILL NOT PAY ANY COMMISSION OR FINDERS FEE TO MORGAN STANLEY. A QUARTERLY MANAGEMENT FEE WILL BE PAID TO MORGAN STANLEY BY ITS CLIENTS WHO PURCHASED INTERESTS IN ISSUER.

2014-02-25

D/A

$3,518,819.00

$0.00

2014-02-25

D/A

$1,873,667.00

$0.00

2014-02-25

D/A

$2,385,376.00

$0.00

2014-02-24

D/A

$1,415,020.00

$0.00

2014-02-24

D/A

$0.00

Yes

$0.00

Yes

2014-02-21

D/A

$0.00

Yes

$0.00

Yes

2014-02-21

D/A

$0.00

Yes

$0.00

Yes

2014-02-19

D/A

$405,000.00

Yes

$0.00

2014-02-18

D/A

$0.00

2014-02-18

D/A

$0.00

2014-02-18

D/A

$0.00

2014-02-14

D/A

$23,812,130.00

Yes

$0.00

2014-02-14

D/A

$1,850,787.00

Yes

$0.00

2014-02-14

D/A

$61,632.00

Yes

$0.00

2014-02-06

D/A

$1,337,293.00

$0.00

2014-02-06

D/A

$6,000.00

$0.00

2014-02-06

D/A

$3,250.00

$0.00

2014-02-06

D/A

$1,173,905.00

$0.00

2014-02-06

D/A

$5,543,103.00

$0.00

2014-02-06

D/A

$12,500.00

$0.00

2014-02-06

D/A

$1,203,242.00

$0.00

2014-02-06

D/A

$944,008.00

$0.00

2014-02-06

D/A

$1,750.00

$0.00

2014-02-05

D/A

$0.00

2014-02-03

D/A

$1,821,820.00

Yes

$0.00

2014-02-03

D/A

$300,800.00

Yes

$0.00

2014-02-03

D/A

$820,716.00

Yes

$0.00

2014-02-03

D/A

$567,531.00

Yes

$0.00

2014-01-31

D/A

$9,650.00

$0.00

2014-01-31

D/A

$205,775.00

$0.00

2014-01-31

D/A

$1,593,125.00

$0.00

2014-01-31

D/A

$470,501.00

$0.00

2014-01-30

D/A

$4,064,875.00

$0.00

2014-01-30

D/A

$825,150.00

$0.00

2014-01-30

D/A

$287,875.00

$0.00

2014-01-30

D/A

$2,927,160.00

$5,070,350.00

THE FEE WAS PAID IN CONNECTION WITH SALES MADE INSIDE/OUTSIDE THE US. ALSO, CERTAIN EMPLOYEES OF AN AFFILIATE OF THE GP ("CARLYLE") RECEIVE COMPENSATION IN PART BASED ON THE CAPITAL RAISED; SUCH COMPENSATION IS BORNE BY CARLYLE, NOT THE FUND-S INVESTORS.

2014-01-28

D/A

$4,090,659.00

$0.00

2014-01-28

D/A

$43,725.00

$0.00

2014-01-28

D/A

$162,325.00

$0.00

2014-01-28

D/A

$448,074.00

$0.00

2014-01-28

D/A

$131,700.00

$0.00

2014-01-28

D/A

$77,000.00

$0.00

2014-01-28

D/A

$509,040.00

$0.00

2014-01-28

D/A

$18,700.00

$0.00

2014-01-28

D/A

$123,650.00

$0.00

2014-01-27

D/A

$17,000.00

$0.00

2014-01-27

D/A

$296,025.00

$0.00

2014-01-27

D/A

$288,753.00

$0.00

2014-01-27

D/A

$53,525.00

$0.00

2014-01-27

D/A

$47,525.00

$0.00

2014-01-27

D/A

$943,939.00

$0.00

2014-01-23

D/A

$0.00

Yes

$0.00

Yes

2014-01-16

D/A

$0.00

2014-01-16

D/A

$3,447,400.00

Yes

$0.00

Yes

FOR THE FUND AND AFFILIATED FUNDS.

2014-01-16

D/A

$3,447,400.00

Yes

$0.00

Yes

FOR THE FUND AND AFFILIATED FUNDS.

2014-01-15

D/A

$123,049.00

Yes

$0.00

EACH INVESTOR PAYS UP TO 2% OF ITS AGGREGATE INVESTMENT TO THE SELLING AGENT UPFRONT, IN ADDITION TO ANY AMOUNTS INVESTED IN THE FUND. GENERAL PARTNER PAYS THE SELLING AGENT A PORTION OF THE FEES PAID TO IT BY THE FUND ON AN ONGOING BASIS.

2014-01-15

D/A

$65,950.00

Yes

$0.00

2014-01-15

D/A

$684,622.00

Yes

$0.00

2014-01-15

D/A

$324,722.00

Yes

$0.00

2014-01-15

$2,639,450.00

$0.00

2014-01-15

$365,250.00

$0.00

2014-01-15

D/A

$0.00

$119,500.00

Yes

2014-01-14

$34,000.00

Yes

$0.00

2014-01-14

D/A

$277,024.00

Yes

$0.00

FOR PERIOD THRU 1/1/14.

2014-01-13

D/A

$15,345,080.00

Yes

$0.00

2014-01-13

D/A

$1,878,770.00

$0.00

2014-01-13

D/A

$1,359,805.00

$0.00

2014-01-10

D/A

$19,421.00

$0.00

2014-01-10

D/A

$85,518.00

$0.00

2014-01-10

D/A

$59,270.00

$0.00

2014-01-09

D/A

$636,360.00

$0.00

2013-12-31

$6,689.00

$0.00

$0.00

$0.00

$0.00

D/A

$81,735.00

$0.00

2013-12-27

D/A

$941,474.00

$0.00

2013-12-27

D/A

$30,508.00

$0.00

2013-12-27

D/A

$85,518.00

$0.00

2013-12-27

D/A

$80,475.00

$0.00

2013-12-27

D/A

$59,270.00

$0.00

2013-12-27

D/A

$19,421.00

$0.00

2013-12-23

D/A

$3,636,750.00

$0.00

2013-12-23

D/A

$744,525.00

$0.00

2013-12-23

D/A

$272,125.00

$0.00

2013-12-23

D/A

$2,927,160.00

$5,070,350.00

2013-12-16

D/A

$54,385.00

Yes

$0.00

2013-12-16

D/A

$296,657.00

$0.00

2013-12-13

D/A

$176,702.00

Yes

$0.00

FOR PERIOD THRU 2013-12-01.

2013-12-11

$8,786,952.00

$0.00

2013-12-09

D/A

$724,273.00

$0.00

2013-12-09

D/A

$2,268,279.00

Yes

$0.00

2013-12-09

D/A

$1,278,715.00

Yes

$0.00

2013-12-09

$3,597,485.00

$0.00

2013-12-03

$503,810.00

Yes

$0.00

2013-11-26

D/A

$941,474.00

$0.00

2013-11-26

D/A

$1,878,770.00

$0.00

2013-11-21

D/A

$15,350.00

Yes

$0.00

2013-11-21

D/A

$61,350.00

Yes

$0.00

2013-11-21

D/A

$256,133.00

Yes

$0.00

2013-11-21

D/A

$1,285,245.00

Yes

$0.00

2013-11-20

D/A

$148,340.00

Yes

$0.00

2013-11-20

D/A

$200,039.00

Yes

$0.00

2013-11-20

D/A

$78,660.00

Yes

$0.00

2013-11-20

D/A

$167,361.00

Yes

$0.00

2013-11-20

D/A

$156,600.00

Yes

$0.00

2013-11-20

D/A

$585,770.00

Yes

$0.00

2013-11-19

D/A

$120,483.00

Yes

$0.00

2013-11-19

D/A

$1,974,547.00

Yes

$0.00

2013-11-19

D/A

$3,102,795.00

Yes

$0.00

2013-11-19

D/A

$883,634.00

Yes

$0.00

2013-11-15

D/A

$336,175.00

Yes

$0.00

EACH INVESTOR PAYS UP TO 2% OF ITS AGGREGATE INVESTMENT TO AGENT UPFRONT, IN ADDITION TO ANY AMOUNT INVESTED IN THE FUND. GENERAL PARTNER PAYS AGENT A PORTION OF THE FEES PAID TO IT BY THE FUND ON AN ONGOING BASIS.

2013-11-15

D/A

$8,250.00

Yes

$0.00

2013-11-15

D/A

$310,892.00

Yes

$0.00

2013-11-15

D/A

$0.00

Yes

$0.00

2013-11-15

D/A

$404,290.00

Yes

$0.00

2013-11-15

D/A

$126,687.00

$0.00

2013-11-15

D/A

$1,680,625.00

$0.00

2013-11-14

D/A

$1,645,265.00

Yes

$0.00

2013-11-14

D/A

$482,496.00

Yes

$0.00

2013-11-14

D/A

$482,496.00

Yes

$0.00

2013-11-14

$2,824,375.00

$0.00

2013-11-14

$535,900.00

$0.00

2013-11-14

$193,125.00

$0.00

2013-11-13

D/A

$4,297,400.00

$0.00

2013-11-08

D/A

$1,756,345.00

Yes

$0.00

THE FUND PAYS A PORTION OF THE MONTHLY MANAGEMENT FEE TO SELLING AGENTS - SEE ITEM 12.

2013-11-08

D/A

$663,667.00

Yes

$0.00

THE FUND PAYS A PORTION OF THE MONTHLY MANAGEMENT FEE TO SELLING AGENTS - SEE ITEM 12

2013-11-05

D/A

$15,000,000.00

Yes

$0.00

2013-10-31

$108,551.00

Yes

$0.00

2013-10-31

$27,267.00

Yes

$0.00

2013-10-31

$586,118.00

Yes

$0.00

2013-10-31

$12,900.00

Yes

$0.00

2013-10-31

$2,728,500.00

$0.00

2013-10-31

$440,000.00

$0.00

2013-10-23

D/A

$1,308,024.00

$0.00

2013-10-23

D/A

$730,750.00

$0.00

2013-10-23

D/A

$158,000.00

Yes

$0.00

2013-10-18

D/A

$0.00

2013-10-18

D/A

$0.00

2013-10-18

D/A

$0.00

2013-10-18

D/A

$0.00

2013-10-18

D/A

$0.00

THE PLACEMENT AGENT WILL RECEIVE A MONTHLY FEE OF UP TO 1/12TH OF 3.0% (A 3.0% ANNUAL RATE) OF THE NET ASSETS OF THE PARTNERSHIP. THIS FEE IS REFERRED TO AS THE ONGOING PLACEMENT AGENT FEE.

2013-10-18

D/A

$0.00

2013-10-18

D/A

$0.00

THE PLACEMENT AGENT WILL RECEIVE A MONTHLY FEE OF 1/12TH OF 3.0% (A 3.0% ANNUAL RATE) OF THE NET ASSETS OF THE PARTNERSHIP. THIS FEE IS REFERRED TO AS THE ONGOING PLACEMENT AGENT FEE.

2013-10-15

D/A

$167,128.00

Yes

$0.00

FOR PERIOD THRU 10/1/13.

2013-10-07

D/A

$1,900,000.00

Yes

$0.00

THE PLACEMENT AGENT MAY BE PAID FOR SOLICITING INVESTORS FOR THE ISSUER AND A FEEDER FUND.

2013-10-07

D/A

$1,900,000.00

Yes

$0.00

THE PLACEMENT AGENT MAY BE PAID FOR SOLICITING INVESTORS FOR THE ISSUER AND THE MASTER FUND.

2013-10-03

D/A

$1,200,000.00

Yes

$0.00

THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.

2013-10-03

D/A

$45,000,000.00

Yes

$0.00

THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS

2013-10-03

D/A

$0.00

Yes

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB AND CS, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2013-10-03

D/A

$2,500,000.00

Yes

$0.00

THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.

2013-10-03

D/A

$2,500,000.00

$0.00

THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.

2013-10-03

D/A

$14,000,000.00

Yes

$0.00

THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.

2013-10-03

D/A

$10,000,000.00

Yes

$0.00

THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.

2013-10-03

D/A

$8,000,000.00

Yes

$0.00

THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.

2013-10-03

D/A

$1,300,000.00

Yes

$0.00

THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.

2013-10-03

D/A

$500,000.00

$0.00

THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.

2013-10-03

D/A

$15,000,000.00

Yes

$0.00

THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.

2013-10-03

D/A

$2,750,000.00

Yes

$0.00

THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.

2013-10-03

D/A

$0.00

Yes

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB AND CS, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2013-09-23

D/A

$1,278,645.00

Yes

$0.00

ESTIMATED FEES BEGINNING FROM THE ISSUER-S INCEPTION AND PROJECTED THROUGH THE NEXT 12 MONTHS.

2013-09-23

D/A

$754,306.00

Yes

$0.00

2013-09-23

D/A

$5,741,072.00

Yes

$0.00

2013-09-23

D/A

$1,208,201.00

Yes

$0.00

2013-09-23

$220,587.00

$0.00

2013-09-19

$3,682,523.00

Yes

$0.00

2013-09-18

D/A

$50,000.00

Yes

$0.00

2013-09-16

$305.00

Yes

$0.00

2013-09-16

$1,455,178.00

Yes

$0.00

2013-09-11

D/A

$0.00

Yes

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2013-09-11

$1,185,075.00

Yes

$0.00

A SALES COMMISSION OF UP TO 3.0% WILL BE PAID DEPENDING ON THE AMOUNT OF THE INVESTMENT. THE ESTIMATE ASSUMES PAYMENT OF THE MAXIMUM COMMISSION. A .625% "TRAILER" FEE WILL ALSO BE PAID.

2013-09-11

$1,070.00

$0.00

2013-09-11

D/A

$500,000.00

Yes

$0.00

THE LLC ACTS AS PLACEMENT AGENT, BUT NEITHER IT NOR ITS REGISTERED REPS ARE RECEIVING ANY SALES COMMISSIONS, FINDERS- FEES, OR OTHER REMUNERATION FROM THE ISSUER FOR ACTING IN SUCH CAPACITY. SALES COMMISSION ESTIMATES MAY BE PAYABLE TO MSSB AND CS.

2013-09-10

D/A

$0.00

Yes

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2013-09-09

D/A

$0.00

Yes

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB AND CS, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2013-09-09

D/A

$0.00

Yes

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB AND CS, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2013-09-09

D/A

$0.00

Yes

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB AND CS, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2013-09-09

D/A

$0.00

Yes

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB AND CS, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2013-09-09

D/A

$0.00

Yes

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2013-09-09

$0.00

2013-09-09

D/A

$0.00

Yes

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2013-09-09

D/A

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2013-09-09

D/A

$0.00

Yes

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2013-09-09

D/A

$0.00

Yes

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB AND CS, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2013-09-09

D/A

$0.00

Yes

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB AND CS, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2013-09-03

D/A

$405,000.00

$0.00

2013-09-03

$363,375.00

$0.00

2013-08-30

D/A

$15,006,435.00

$0.00

THIS REPRESENTS AN AGGREGATE OF FEES PAYABLE IN RESPECT OF THE OFFERING OF PROVIDENCE EQUITY PARTNERS VII L.P. AND PROVIDENCE EQUITY PARTNERS VII-A L.P.

2013-08-30

D/A

$15,006,435.00

Yes

$0.00

Yes

THIS REPRESENTS AN AGGREGATE OF FEES PAYABLE IN RESPECT OF THE OFFERING OF PROVIDENCE EQUITY PARTNERS VII L.P. AND PROVIDENCE EQUITY PARTNERS VII-A L.P.

2013-08-28

D/A

$754,791.00

Yes

$0.00

A PLACEMENT AGENT WILL RECEIVE A FEE OF BETWEEN .075% AND 2.0% DEPENDING UPON THE AMOUNT OF THE INVESTMENT. A PLACEMENT AGENT WILL ALSO RECEIVE A .075% "TRAILER" FEE.

2013-08-28

D/A

$1,315,774.00

Yes

$0.00

A PLACEMENT AGENT WILL RECEIVE A FEE OF BETWEEN .075% AND 2.0% DEPENDING UPON THE AMOUNT OF THE INVESTMENT. A PLACEMENT AGENT WILL ALSO RECEIVE A .075% "TRAILER" FEE.

2013-08-28

D/A

$5,995,000.00

Yes

$0.00

2013-08-22

$116,324.00

$0.00

2013-08-14

D/A

$98,100.00

Yes

$0.00

FOR PERIOD THRU 8/1/13.

2013-08-14

D/A

$0.00

Yes

$0.00

Yes

2013-08-12

$1,078,575.00

Yes

$0.00

A SALES COMMISSION OF UP TO 3.0% WILL BE PAID DEPENDING ON THE AMOUNT OF THE INVESTMENT. THE ESTIMATE ASSUMES PAYMENT OF THE MAXIMUM COMMISSION. A .625% "TRAILER" FEE WILL ALSO BE PAID.

2013-08-06

D/A

$7,000,000.00

Yes

$0.00

2013-07-16

D/A

$0.00

Yes

$0.00

Yes

2013-07-15

D/A

$88,000.00

Yes

$0.00

FOR PERIOD THRU 7/1/13

2013-07-12

D/A

$369,364.00

Yes

$0.00

2013-07-12

D/A

$2,319,748.00

Yes

$0.00

2013-07-12

D/A

$1,651,694.00

Yes

$0.00

2013-07-12

D/A

$77,838.00

Yes

$0.00

2013-07-12

D/A

$133,830.00

Yes

$0.00

2013-07-12

D/A

$372,410.00

Yes

$0.00

2013-07-12

D/A

$125,050.00

Yes

$0.00

2013-07-12

D/A

$967,840.00

Yes

$0.00

2013-06-28

D/A

$2,090,516.00

$0.00

THE ISSUER PAID SALES COMP TO MARKS MCBROOM WALSTON SECURITIES, INC. (WHICH BECAME ALLIANCE WARBURG GLOBAL FINANCIAL SERVICES, INC.) FROM 09/09-02-10. THE ISSUER NO LONGER PAYS ANY SALES COMP TO THIS B/D. THIS B/D CEASED REG W/ FINRA EFFECTIVE 4/10.

2013-06-26

D/A

$11,760,602.00

Yes

$0.00

SALES COMMISSIONS REPORTED ARE THOSE PAID IN 2012.

2013-06-24

D/A

$9,500.00

$0.00

2013-06-24

D/A

$5,000.00

$0.00

2013-06-24

D/A

$3,950.00

$0.00

2013-06-24

D/A

$944,008.00

$0.00

2013-06-18

D/A

$31,525.00

$0.00

2013-06-18

D/A

$17,000.00

$0.00

2013-06-18

D/A

$7,500.00

$0.00

2013-06-18

D/A

$53,525.00

$0.00

2013-06-18

D/A

$68,000.00

$0.00

2013-06-18

D/A

$0.00

Yes

$0.00

Yes

2013-06-14

D/A

$0.00

2013-06-06

D/A

$607,717.00

Yes

$0.00

2013-05-28

D/A

$11,760,602.00

Yes

$0.00

SALES COMMISSIONS REPORTED ARE THOSE PAID IN 2012.

2013-05-22

D/A

$31,856,493.00

Yes

$0.00

2013-05-16

$50,000.00

Yes

$0.00

2013-05-08

D/A

$0.00

Yes

$0.00

Yes

2013-05-02

D/A

$0.00

Yes

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2013-05-02

D/A

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2013-05-02

D/A

$0.00

Yes

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB AND CS, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2013-05-02

D/A

$0.00

Yes

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB AND CS, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2013-05-02

D/A

$0.00

Yes

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2013-05-02

D/A

$0.00

Yes

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB AND CS, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2013-05-02

D/A

$0.00

Yes

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2013-05-02

D/A

$0.00

Yes

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB AND CS, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2013-05-02

D/A

$0.00

Yes

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2013-05-02

D/A

$0.00

Yes

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2013-05-02

D/A

$0.00

Yes

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2013-05-02

D/A

$0.00

Yes

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB AND CS, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2013-05-02

D/A

$0.00

Yes

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB AND CS, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2013-04-29

D/A

$0.00

Yes

$0.00

Yes

2013-04-26

D/A

$262,672.00

Yes

$0.00

ESTIMATE INCLUDES FEES THAT MAY BE PAID OVER THE NEXT 12 MONTHS.

2013-04-25

D/A

$0.00

Yes

$0.00

FEES MAY BE PAID IN THE FUTURE.

2013-04-23

$825,000.00

Yes

$0.00

2013-04-16

D/A

$83,970.00

Yes

$0.00

2013-04-16

D/A

$0.00

2013-04-16

D/A

$57,100.00

Yes

$0.00

FOR PERIOD THRU 4/1/13.

2013-04-11

D/A

$871,128.00

$0.00

2013-04-10

D/A

$0.00

Yes

$0.00

Yes

2013-03-28

D/A

$100,000.00

Yes

$0.00

2013-03-22

D/A

$0.00

2013-03-22

D/A

$0.00

2013-03-19

D/A

$472,858.00

$0.00

CORRECTION TO AMOUNT PREVIOUSLY REPORTED.

2013-03-19

D/A

$1,023,379.00

Yes

$0.00

2013-03-19

D/A

$274,000.00

$0.00

2013-03-18

D/A

$120,483.00

Yes

$0.00

2013-03-18

D/A

$295,056.00

Yes

$0.00

2013-03-18

D/A

$2,500.00

Yes

$0.00

2013-03-15

D/A

$1,761,213.00

Yes

$0.00

2013-03-15

D/A

$2,540,945.00

Yes

$0.00

2013-03-14

D/A

$97,000.00

Yes

$0.00

2013-03-08

D/A

$11,349,867.00

Yes

$0.00

2013-03-07

D/A

$0.00

Yes

$0.00

Yes

2013-03-07

D/A

$0.00

Yes

$0.00

Yes

2013-03-07

D/A

$0.00

Yes

$0.00

Yes

2013-03-05

D/A

$0.00

2013-03-05

D/A

$1,320,000.00

Yes

$0.00

2013-03-04

D/A

$0.00

SALES AGENT RECEIVES A PORTION OF THE MANAGEMENT FEE PAYABLE BY THE ISSUER TO THE INVESTMENT MANAGER.

2013-03-04

D/A

$0.00

SALES AGENT RECEIVES A PORTION OF THE MANAGEMENT FEE PAYABLE BY THE ISSUER TO THE INVESTMENT MANAGER.

2013-03-04

D/A

$0.00

2013-03-04

D/A

$1,236,829.00

$0.00

2013-02-25

D/A

$2,563,502.00

$0.00

2013-02-25

D/A

$1,322,263.00

$0.00

2013-02-25

D/A

$1,495,192.00

$0.00

2013-02-25

D/A

$0.00

Yes

$0.00

Yes

2013-02-15

D/A

$44,187.00

Yes

$0.00

2013-02-15

D/A

$1,698,425.00

Yes

$0.00

2013-02-14

D/A

$973,911.00

$0.00

2013-02-14

$19,379.00

$0.00

2013-02-13

D/A

$3,000,000.00

Yes

$0.00

Yes

ASSUMES BROKER-DEALER PLACES AN AGGREGATE OF $150M OF THE PROPOSED OFFERING

2013-02-13

D/A

$3,000,000.00

Yes

$0.00

Yes

ASSUMES BROKER-DEALER PLACES AN AGGREGATE OF $150M OF THE PROPOSED OFFERING

2013-02-13

D/A

$658,000.00

$0.00

Yes

SALES COMMISSIONS REPRESENTS THE AMOUNT PAID BASED ON THE $185,932,500 OFFERING SOLD TO DATE AND MY INCREASE ASSUMING THE ENTIRE $375,000,000 OFFERING IS SOLD

2013-02-11

D/A

$883,995.00

Yes

$0.00

2013-02-11

D/A

$314,021.00

Yes

$0.00

2013-02-06

D/A

$3,250.00

$0.00

2013-02-01

D/A

$883,995.00

Yes

$0.00

2013-02-01

D/A

$36,000.00

Yes

$0.00

2013-02-01

D/A

$314,021.00

Yes

$0.00

2013-02-01

D/A

$0.00

2013-02-01

D/A

$1,104,005.00

$0.00

2013-02-01

D/A

$42,500.00

$0.00

2013-02-01

D/A

$1,000.00

Yes

$0.00

Yes

2013-02-01

D/A

$18,700.00

$0.00

2013-02-01

D/A

$484,040.00

$0.00

2013-02-01

D/A

$227,620.00

Yes

$0.00

2013-02-01

D/A

$1,750.00

$0.00

2013-02-01

D/A

$0.00

2013-01-31

D/A

$53,475.00

Yes

$0.00

2013-01-31

D/A

$31,087.00

Yes

$0.00

2013-01-31

D/A

$410,111.00

Yes

$0.00

2013-01-31

D/A

$142,375.00

Yes

$0.00

2013-01-31

D/A

$76,750.00

Yes

$0.00

2013-01-31

D/A

$13,150.00

$0.00

2013-01-31

D/A

$701,540.00

$0.00

2013-01-31

D/A

$2,214,660.00

$0.00

2013-01-31

D/A

$4,090,659.00

$0.00

2013-01-31

D/A

$1,099,886.00

$0.00

2013-01-31

D/A

$648,830.00

$0.00

2013-01-31

D/A

$1,333,862.00

$0.00

2013-01-31

D/A

$5,560,653.00

$0.00

2013-01-31

D/A

$118,650.00

$0.00

2013-01-30

D/A

$1,033,828.00

$0.00

2013-01-30

D/A

$3,000.00

$0.00

2013-01-30

D/A

$4,500.00

$0.00

2013-01-30

D/A

$5,800.00

$0.00

2013-01-30

D/A

$1,609,325.00

$0.00

2013-01-30

D/A

$113,200.00

$0.00

2013-01-30

D/A

$42,225.00

$0.00

2013-01-30

D/A

$6,180,487.00

$0.00

2013-01-30

D/A

$22,950.00

$0.00

2013-01-30

D/A

$100,345.00

Yes

$0.00

2013-01-30

D/A

$56,125.00

$0.00

2013-01-30

D/A

$6,000.00

$0.00

2013-01-30

D/A

$264,617.00

$0.00

2013-01-29

D/A

$0.00

Yes

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB AND CS, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2013-01-29

D/A

$0.00

Yes

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2013-01-29

D/A

$0.00

Yes

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB AND CS, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2013-01-29

D/A

$447,074.00

$0.00

2013-01-29

D/A

$944.00

$0.00

2013-01-28

D/A

$1,095,252.00

$0.00

2013-01-24

D/A

$0.00

Yes

$0.00

Yes

2013-01-22

D/A

$31,525.00

$0.00

2013-01-22

D/A

$162,325.00

$0.00

2013-01-22

D/A

$1,203,242.00

$0.00

2013-01-22

D/A

$0.00

2013-01-22

D/A

$458,001.00

$0.00

2013-01-22

D/A

$1,593,125.00

$0.00

2013-01-22

D/A

$0.00

2013-01-22

D/A

$0.00

2013-01-22

D/A

$1,336,893.00

$0.00

2013-01-22

D/A

$277,753.00

$0.00

2013-01-22

D/A

$943,939.00

$0.00

2013-01-15

D/A

$38,269.00

Yes

$0.00

FOR PERIOD THRU 1/1/13.

2013-01-14

D/A

$0.00

Yes

$0.00

Yes

AMOUNT TO BE PAID BASED ON A PERCENTAGE OF CAPITAL RAISED.

2013-01-14

D/A

$0.00

Yes

$0.00

Yes

AMOUNT TO BE PAID BASED ON A PERCENTAGE OF CAPITAL RAISED.

2013-01-14

D/A

$0.00

Yes

$0.00

Yes

AMOUNT TO BE PAID DETERMINED BASED ON A PERCENTAGE OF CAPITAL RAISED.

2013-01-09

$3,000,000.00

Yes

$0.00

Yes

ASSUMES BROKER-DEALER PLACES AN AGGREGATE OF $150M OF THE PROPOSED OFFERING

2013-01-07

D/A

$195,775.00

$0.00

2012-12-31

$6,096,669.00

$0.00

2012-12-26

D/A

$295,025.00

$0.00

2012-12-17

D/A

$663,205.00

Yes

$0.00

2012-12-17

D/A

$1,158,929.00

Yes

$0.00

2012-12-14

D/A

$55,000.00

Yes

$0.00

APPROXIMATE AMOUNT PAID PER CALENDAR YEAR.

2012-12-07

$3,316,247.00

$0.00

2012-12-06

D/A

$0.00

Yes

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB AND CS, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2012-12-04

$1,125,000.00

$0.00

2012-11-28

D/A

$0.00

2012-11-28

D/A

$0.00

2012-11-27

D/A

$75,000.00

$0.00

2012-11-21

D/A

$3,750.00

Yes

$0.00

2012-11-21

D/A

$59,350.00

Yes

$0.00

2012-11-21

D/A

$84,723.00

Yes

$0.00

2012-11-21

D/A

$750,432.00

Yes

$0.00

2012-11-20

D/A

$49,750.00

Yes

$0.00

2012-11-20

D/A

$177,074.00

Yes

$0.00

2012-11-20

D/A

$20,500.00

Yes

$0.00

2012-11-20

D/A

$162,248.00

Yes

$0.00

2012-11-20

D/A

$166,050.00

Yes

$0.00

2012-11-20

D/A

$1,015,207.00

Yes

$0.00

2012-11-19

D/A

$43,850.00

Yes

$0.00

2012-11-19

D/A

$14,470.00

Yes

$0.00

2012-11-19

D/A

$1,825,975.00

Yes

$0.00

2012-11-19

D/A

$153,550.00

Yes

$0.00

2012-11-19

D/A

$1,700,607.00

Yes

$0.00

2012-11-19

D/A

$573,392.00

Yes

$0.00

2012-11-16

D/A

$150,370.00

Yes

$0.00

2012-11-16

D/A

$5,750.00

Yes

$0.00

2012-11-16

D/A

$194,385.00

Yes

$0.00

2012-11-16

D/A

$181,050.00

Yes

$0.00

2012-11-16

D/A

$34,000.00

Yes

$0.00

2012-11-15

D/A

$72,000.00

Yes

$0.00

APPROXIMATE AMOUNT PAID PER CALENDAR YEAR.

2012-11-06

D/A

$15,000,000.00

Yes

$0.00

2012-10-24

D/A

$1,284,318.00

$0.00

2012-10-24

D/A

$886,331.00

Yes

$0.00

THE FUND PAYS A PORTION OF THE MONTHLY MANAGEMENT FEE TO SELLING AGENTS - SEE ITEM 12.

2012-10-24

D/A

$390,987.00

Yes

$0.00

THE FUND PAYS A PORTION OF THE MONTHLY MANAGEMENT FEE TO SELLING AGENTS - SEE ITEM 12

2012-10-17

$79,000.00

Yes

$0.00

2012-10-17

$3,633,750.00

$0.00

2012-10-17

D/A

$79,000.00

Yes

$0.00

2012-10-16

D/A

$23,343.00

Yes

$0.00

FOR PERIOD THRU 10/1/12.

2012-10-15

D/A

$0.00

Yes

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2012-10-15

D/A

$0.00

Yes

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2012-10-15

D/A

$0.00

Yes

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB AND CS, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2012-10-15

D/A

$0.00

Yes

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2012-10-15

D/A

$0.00

Yes

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2012-10-05

D/A

$0.00

Yes

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB AND CS, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2012-10-05

D/A

$0.00

Yes

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2012-10-05

D/A

$0.00

Yes

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB AND CS, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2012-10-02

D/A

$0.00

Yes

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB AND CS, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2012-10-02

D/A

$0.00

Yes

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB AND CS, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2012-10-02

D/A

$0.00

Yes

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2012-10-02

D/A

$0.00

Yes

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2012-10-02

D/A

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2012-09-21

D/A

$1,825,975.00

Yes

$0.00

2012-09-21

D/A

$153,550.00

Yes

$0.00

2012-09-21

D/A

$1,638,932.00

Yes

$0.00

2012-09-21

D/A

$5,750.00

Yes

$0.00

2012-09-21

D/A

$262,767.00

Yes

$0.00

2012-09-21

D/A

$162,248.00

Yes

$0.00

2012-09-21

D/A

$166,050.00

Yes

$0.00

2012-09-21

D/A

$181,050.00

Yes

$0.00

2012-09-21

D/A

$1,015,207.00

Yes

$0.00

2012-09-21

D/A

$1,598,611.00

Yes

$0.00

ESTIMATED FEES BEGINNING FROM THE ISSUER-S INCEPTION AND PROJECTED THROUGH THE NEXT 12 MONTHS.

2012-09-21

D/A

$639,120.00

Yes

$0.00

2012-09-21

D/A

$4,864,384.00

Yes

$0.00

2012-09-21

D/A

$1,023,703.00

Yes

$0.00

2012-09-14

D/A

$14,000.00

$0.00

2012-09-14

D/A

$13,711.00

Yes

$0.00

FOR PERIOD THRU 9/1/12.

2012-09-07

D/A

$1,119,000.00

$0.00

2012-09-07

D/A

$292,500.00

$0.00

2012-08-31

D/A

$1,437,500.00

Yes

$0.00

$1,350,000 OF THE TOTAL COMMISSIONS WAS PAID IN CONNECTION WITH SALES MADE OUTSIDE OF THE U.S.

2012-08-03

D/A

$2,114,636.00

Yes

$0.00

A PLACEMENT AGENT WILL RECEIVE A FEE OF BETWEEN .075% AND 2.0% DEPENDING UPON THE AMOUNT OF THE INVESTMENT. A PLACEMENT AGENT WILL ALSO RECEIVE A .075% "TRAILER" FEE.

2012-08-02

D/A

$562,514.00

Yes

$0.00

A PLACEMENT AGENT WILL RECEIVE A FEE OF BETWEEN .075% AND 2.0% DEPENDING UPON THE AMOUNT OF THE INVESTMENT. A PLACEMENT AGENT WILL ALSO RECEIVE A .075% "TRAILER" FEE.

2012-07-26

D/A

$238,170.00

Yes

$0.00

2012-07-18

D/A

$0.00

Yes

$0.00

Yes

THE ISSUER DOES NOT PAY ANY SALES COMMISSIONS OR FINDERS- FEES EXPENSES. THE GENERAL PARTNER OF THE ISSUER PAYS A PORTION OF THE MANAGEMENT FEES IT RECEIVES FROM THE ISSUER TO CITIGROUP WORLD MARKETS INC. AND MORGAN STANLEY SMITH BARNEY LLC.

2012-07-11

D/A

$1,947,802.00

Yes

$0.00

2012-07-11

D/A

$1,766,821.00

Yes

$0.00

2012-07-11

D/A

$106,189.00

Yes

$0.00

2012-07-11

D/A

$510,396.00

Yes

$0.00

2012-07-10

D/A

$174,549.00

Yes

$0.00

2012-07-10

D/A

$573,783.00

Yes

$0.00

2012-07-10

D/A

$575,462.00

Yes

$0.00

2012-07-09

D/A

$43,850.00

Yes

$0.00

2012-07-09

D/A

$85,250.00

Yes

$0.00

2012-07-09

D/A

$177,074.00

Yes

$0.00

2012-07-09

D/A

$127,050.00

Yes

$0.00

2012-07-09

D/A

$573,392.00

Yes

$0.00

2012-07-09

D/A

$394,710.00

Yes

$0.00

2012-07-09

$510,396.00

Yes

$0.00

2012-07-03

D/A

$0.00

Yes

$0.00

Yes

THE ISSUER DOES NOT PAY SALES COMMISSIONS OR FINDERS- FEES EXPENSES. THE INVESTMENT ADVISER OF THE ISSUER PAYS A PORTION OF THE MANAGEMENT FEES IT RECEIVES TO CITIGROUP WORLD MARKETS INC., MORGAN STANLEY SMITH BARNEY, LLC AND BLUE TRADING LLC.

2012-06-28

D/A

$1,845,701.00

$0.00

2012-06-18

D/A

$0.00

Yes

$0.00

Yes

2012-06-15

D/A

$14,500.00

$0.00

2012-06-14

D/A

$7,075.00

$0.00

2012-06-14

D/A

$30,000.00

$0.00

2012-06-14

D/A

$27,875.00

$0.00

2012-06-14

D/A

$87,000.00

$0.00

2012-06-14

D/A

$3,500.00

$0.00

2012-06-13

$0.00

2012-05-14

D/A

$8,475.00

Yes

$0.00

FOR PERIOD THRU 5/1/12.

2012-04-27

$0.00

Yes

$0.00

FEES MAY BE PAID IN THE FUTURE.

2012-04-26

D/A

$0.00

Yes

$0.00

Yes

THE ISSUER DOES NOT PAY ANY SALES COMMISSIONS OR FINDERS- FEES EXPENSES. THE INVESTMENT ADVISER OF THE ISSUER PAYS A PORTION OF THE MANAGEMENT FEES IT RECEIVES FROM THE ISSUER TO THE FIRMS ABOVE.

2012-04-24

D/A

$919,942.00

Yes

$0.00

2012-04-18

$15,000.00

$0.00

2012-04-18

$120,000.00

$0.00

2012-04-17

D/A

$0.00

Yes

$0.00

Yes

2012-04-17

D/A

$0.00

Yes

$0.00

Yes

2012-04-16

$0.00

2012-04-16

D/A

$3,950.00

$0.00

2012-04-16

D/A

$7,482.00

Yes

$0.00

FOR PERIOD THRU 4/1/12.

2012-04-13

D/A

$17,875.00

$0.00

2012-04-13

D/A

$15,000.00

$0.00

2012-04-02

D/A

$1,044,556.00

$0.00

2012-04-02

D/A

$660,078.00

$0.00

2012-04-02

D/A

$1,568,270.00

$0.00

2012-04-02

D/A

$984,977.00

$0.00

2012-03-23

D/A

$1,321,186.00

Yes

$0.00

$0.00

$0.00

$0.00

D/A

$356,126.00

$0.00

2012-03-20

D/A

$714,379.00

$0.00

2012-03-20

D/A

$511,900.00

Yes

$0.00

2012-03-16

D/A

$8,623,352.00

Yes

$0.00

2012-03-16

D/A

$100,958.00

Yes

$0.00

2012-03-16

D/A

$236,756.00

Yes

$0.00

2012-03-16

D/A

$1,726,336.00

$0.00

2012-03-15

D/A

$1,833,110.00

Yes

$0.00

2012-03-15

D/A

$1,413,070.00

Yes

$0.00

2012-03-15

D/A

$3,160.00

Yes

$0.00

FOR PERIOD THRU 3/1/12.

2012-03-14

D/A

$5,500.00

$0.00

2012-03-14

D/A

$46,525.00

$0.00

2012-03-14

D/A

$16,000.00

$0.00

2012-03-14

D/A

$90,300.00

$0.00

2012-03-14

D/A

$1,413,070.00

Yes

$0.00

2012-03-14

$1,413,070.00

Yes

$0.00

2012-03-06

D/A

$0.00

2012-03-06

D/A

$370,000.00

Yes

$0.00

2012-03-02

D/A

$0.00

SALES AGENT RECEIVES A PORTION OF THE MANAGEMENT FEE PAYABLE BY THE ISSUER TO THE INVESTMENT MANAGER.

2012-02-29

D/A

$1,800.00

Yes

$0.00

2012-02-24

D/A

$13,000.00

$0.00

2012-02-24

D/A

$27,650.00

$0.00

2012-02-24

D/A

$12,800.00

$0.00

2012-02-24

D/A

$13,875.00

$0.00

2012-02-23

D/A

$5,000.00

$0.00

2012-02-21

D/A

$911,847.00

$0.00

2012-02-21

D/A

$0.00

Yes

$0.00

Yes

2012-02-17

D/A

$2,001.00

Yes

$0.00

FOR PERIOD THRU 1/1/12.

2012-02-16

D/A

$1,518,037.00

Yes

$0.00

2012-02-16

D/A

$1,800.00

Yes

$0.00

2012-01-31

D/A

$26,975.00

$0.00

EACH INVESTOR PAYS UP TO 2% OF ITS AGGREGATE INVESTMENT TO THE SELLING AGENT UPFRONT, IN ADDITION TO ANY AMOUNTS INVESTED IN THE FUND. SPONSOR PAYS THE SELLING AGENT A PORTION OF THE FEES PAID TO IT BY THE FUND ON AN ONGOING BASIS.

2012-01-31

D/A

$30,087.00

$0.00

2012-01-31

D/A

$335,320.00

$0.00

2012-01-31

D/A

$79,910.00

$0.00

2012-01-26

D/A

$1,000.00

$0.00

2012-01-26

D/A

$1,750.00

$0.00

2012-01-26

D/A

$2,950.00

$0.00

2012-01-24

D/A

$10,000.00

$0.00

2012-01-24

D/A

$14,250.00

$0.00

2012-01-24

D/A

$2,500.00

$0.00

2012-01-24

D/A

$0.00

Yes

$0.00

Yes

THE ISSUER DOES NOT PAY ANY SALES COMMISSIONS OR FINDERS- FEES EXPENSES. THE INVESTMENT ADVISER OF THE ISSUER PAYS A PORTION OF THE MANAGEMENT FEES IT RECEIVES FROM THE ISSUER TO THE FIRMS ABOVE.

2012-01-24

D/A

$66,300.00

$0.00

2012-01-06

D/A

$0.00

2011-12-27

D/A

$0.00

Yes

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2011-12-22

D/A

$0.00

Yes

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2011-12-22

D/A

$0.00

Yes

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2011-12-22

D/A

$0.00

Yes

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB AND CS, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2011-12-22

D/A

$0.00

Yes

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB AND CS, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2011-12-22

D/A

$0.00

Yes

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2011-12-22

D/A

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2011-12-22

D/A

$0.00

Yes

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB AND CS, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2011-12-21

D/A

$0.00

Yes

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2011-12-21

D/A

$0.00

Yes

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB AND CS, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2011-12-21

D/A

$0.00

Yes

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB AND CS, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2011-12-21

D/A

$0.00

Yes

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB AND CS, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2011-12-21

D/A

$0.00

Yes

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2011-12-21

D/A

$892,925.00

Yes

$0.00

2011-12-21

D/A

$98,050.00

Yes

$0.00

2011-12-15

D/A

$5,500.00

$0.00

2011-12-15

D/A

$71,750.00

$0.00

2011-12-15

$5,800.00

$0.00

2011-12-15

D/A

$56,125.00

$0.00

2011-12-15

$0.00

Yes

$0.00

Yes

2011-12-15

D/A

$15,450.00

$0.00

2011-12-15

D/A

$3,000.00

$0.00

2011-12-15

D/A

$4,500.00

$0.00

2011-12-15

D/A

$3,250.00

$0.00

2011-12-15

D/A

$10,800.00

$0.00

2011-12-15

D/A

$11,375.00

$0.00

2011-12-15

D/A

$41,775.00

$0.00

2011-12-15

D/A

$45,800.00

$0.00

2011-12-14

D/A

$0.00

Yes

$0.00

Yes

2011-12-07

D/A

$3,065,224.00

$0.00

2011-11-30

D/A

$0.00

2011-11-30

D/A

$0.00

2011-11-30

D/A

$0.00

2011-11-22

D/A

$24,200.00

$0.00

2011-11-22

D/A

$73,700.00

$0.00

EACH INVESETOR PAYS UP TO 2% OF ITS AGGREGATE INVESTMENT TO AGENT UPFRONT, IN ADDITION TO ANY AMOUNTS INVESTED IN THE FUND. GENERAL PARTNER PAYS AGENT A PORTION OF THE FEES PAID TO IT BY THE FUND ON AN ONGOING BASIS.

2011-11-22

D/A

$135,250.00

$0.00

2011-11-22

D/A

$722,151.00

$0.00

2011-11-17

$0.00

Yes

$0.00

Yes

2011-11-04

$1,000.00

$0.00

2011-11-02

D/A

$15,000,000.00

Yes

$0.00

2011-11-01

D/A

$2,410,844.00

$0.00

2011-11-01

D/A

$4,093,159.00

$0.00

2011-11-01

D/A

$648,830.00

$0.00

2011-11-01

D/A

$1,099,886.00

$0.00

2011-11-01

D/A

$479,540.00

$0.00

2011-11-01

D/A

$69,210.00

Yes

$0.00

2011-11-01

D/A

$943,939.00

$0.00

2011-11-01

D/A

$215,620.00

Yes

$0.00

2011-11-01

D/A

$285,571.00

$0.00

2011-11-01

D/A

$1,033,828.00

$0.00

2011-11-01

D/A

$99,345.00

Yes

$0.00

2011-11-01

D/A

$73,000.00

Yes

$0.00

2011-11-01

D/A

$1,607,326.00

$0.00

2011-11-01

D/A

$444,324.00

$0.00

2011-10-31

D/A

$295,025.00

$0.00

2011-10-31

D/A

$277,753.00

$0.00

2011-10-31

D/A

$162,325.00

$0.00

2011-10-28

D/A

$1,284,318.00

$0.00

2011-10-28

D/A

$35,125.00

$0.00

2011-10-28

D/A

$1,593,125.00

$0.00

2011-10-28

D/A

$934,059.00

$0.00

2011-10-28

D/A

$1,336,893.00

$0.00

2011-10-28

D/A

$195,775.00

$0.00

2011-10-28

D/A

$1,203,242.00

$0.00

2011-10-28

D/A

$701,540.00

$0.00

2011-10-28

D/A

$458,001.00

$0.00

2011-10-27

D/A

$2,111,310.00

$0.00

2011-10-27

D/A

$6,180,487.00

$0.00

2011-10-27

D/A

$1,333,862.00

$0.00

2011-10-27

D/A

$5,553,153.00

$0.00

2011-10-27

D/A

$22,950.00

$0.00

2011-10-27

D/A

$42,500.00

$0.00

2011-10-27

D/A

$1,074,855.00

$0.00

2011-10-27

D/A

$96,925.00

$0.00

2011-10-27

D/A

$276,867.00

$0.00

2011-10-20

D/A

$133,650.00

Yes

$0.00

THE FUND PAYS A PORTION OF THE MONTHLY MANAGEMENT FEE TO SELLING AGENTS - SEE ITEM 12

2011-10-20

D/A

$203,848.00

Yes

$0.00

THE FUND PAYS A PORTION OF THE MONTHLY MANAGEMENT FEE TO SELLING AGENTS - SEE ITEM 12.

2011-10-14

$35,750.00

$0.00

2011-10-14

$2,000.00

$0.00

2011-10-14

$0.00

2011-10-14

$1,500.00

$0.00

$0.00

$0.00

$0.00

$6,875.00

$0.00

2011-10-14

$0.00

2011-10-14

$25,875.00

$0.00

2011-10-14

$0.00

2011-10-14

$0.00

2011-10-14

$4,500.00

$0.00

2011-10-14

$0.00

2011-10-14

$2,000.00

$0.00

2011-10-14

$0.00

2011-10-14

$0.00

2011-10-14

$1,200.00

$0.00

2011-10-14

$2,000.00

$0.00

2011-10-14

$16,000.00

$0.00

2011-10-14

$0.00

2011-10-14

$0.00

2011-10-14

$12,000.00

$0.00

2011-10-14

$13,450.00

$0.00

2011-10-14

$0.00

2011-10-14

$23,275.00

$0.00

2011-10-14

$5,500.00

$0.00

2011-10-07

$5,102,281.00

$0.00

2011-10-06

D/A

$0.00

Yes

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2011-10-06

D/A

$0.00

Yes

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB AND CS, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2011-10-05

D/A

$0.00

Yes

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2011-10-05

D/A

$0.00

Yes

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB AND CS, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2011-10-05

D/A

$0.00

Yes

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB AND CS, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2011-10-05

D/A

$0.00

Yes

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2011-10-05

D/A

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2011-10-05

D/A

$0.00

Yes

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2011-10-05

D/A

$0.00

Yes

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2011-10-05

D/A

$0.00

Yes

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2011-10-05

D/A

$0.00

Yes

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB AND CS, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2011-10-05

D/A

$0.00

Yes

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB AND CS, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2011-10-05

D/A

$0.00

Yes

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2011-10-05

D/A

$0.00

Yes

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB AND CS, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2011-09-22

D/A

$260,227.00

Yes

$0.00

2011-09-22

$137,800.00

Yes

$0.00

2011-09-22

$1,572,432.00

Yes

$0.00

2011-09-22

$236,210.00

Yes

$0.00

2011-09-22

$165,280.00

Yes

$0.00

2011-09-22

$17,910.00

Yes

$0.00

2011-09-22

$31,000.00

Yes

$0.00

2011-09-22

$148,550.00

Yes

$0.00

2011-09-22

$203,028.00

Yes

$0.00

2011-09-21

D/A

$1,313,883.00

Yes

$0.00

ESTIMATED FEES BEGINNING FROM THE ISSUER-S INCEPTION AND PROJECTED THROUGH THE NEXT 12 MONTHS.

2011-09-21

D/A

$173,016.00

Yes

$0.00

2011-09-21

D/A

$7,707,894.00

Yes

$0.00

2011-09-21

D/A

$625,511.00

Yes

$0.00

2011-08-24

D/A

$958,000.00

$0.00

2011-08-24

D/A

$170,000.00

$0.00

2011-08-17

D/A

$0.00

SALES COMMISSIONS ARE EITHER NOT RECEIVED BY THE BROKERS OR DEALERS OF THE ISSUER OR ARE NOT AN EXPENSE OF THE ISSUER AND ARE THEREFORE NOT REFLECTED HEREIN.

2011-08-17

D/A

$0.00

SALES COMMISSIONS ARE EITHER NOT RECEIVED BY THE BROKERS OR DEALERS OF THE ISSUER OR ARE NOT AN EXPENSE OF THE ISSUER AND ARE THEREFORE NOT REFLECTED HEREIN.

2011-08-17

D/A

$3,001,413.00

Yes

$0.00

2011-08-17

D/A

$3,380,000.00

Yes

$0.00

2011-08-17

D/A

$440,250.00

Yes

$0.00

2011-08-02

$0.00

$1,500,000.00

Yes

PLACEMENT AGENT FEES

2011-07-25

D/A

$0.00

Yes

$0.00

Yes

2011-07-22

D/A

$100,000.00

Yes

$0.00

2011-07-20

$2,927.00

$0.00

A PLACEMENT AGENT WILL RECEIVE A FEE OF BETWEEN .075% AND 2.0% DEPENDING UPON THE AMOUNT OF THE INVESTMENT. A PLACEMENT AGENT WILL ALSO RECEIVE A .075% "TRAILER" FEE.

2011-07-19

$10,000.00

$0.00

A PLACEMENT AGENT WILL RECEIVE A FEE OF BETWEEN .075% AND 2.0% DEPENDING UPON THE AMOUNT OF THE INVESTMENT. A PLACEMENT AGENT WILL ALSO RECEIVE A .075% "TRAILER" FEE.

2011-07-14

D/A

$65,000.00

$0.00

2011-07-14

D/A

$65,000.00

$0.00

2011-07-05

D/A

$0.00

Yes

$0.00

Yes

THE ISSUER DOES NOT PAY ANY SALES COMMISSIONS OR FINDERS- FEES EXPENSES. THE INVESTMENT ADVISER OF THE ISSUER PAYS A PORTION OF THE MANAGEMENT FEES IT RECEIVES FROM THE ISSUER TO CITIGROUP WORLD MARKETS INC. AND MORGAN STANLEY SMITH BARNEY, LLC.

2011-07-01

$0.00

Yes

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2011-06-24

D/A

$0.00

Yes

$0.00

Yes

2011-06-23

D/A

$0.00

2011-06-23

D/A

$0.00

2011-06-13

$6,133,600.00

Yes

$0.00

THE SALES COMMISSION IS BEING PAID BY TIGER MANAGEMENT L.L.C. AND NOT BY THE ISSUER.

2011-06-13

$938,000.00

$0.00

2011-06-13

$514,400.00

Yes

$0.00

THE SALES COMMISSION IS BEING PAID BY TIGER MANAGEMENT L.L.C. AND NOT BY THE ISSUER.

2011-06-08

D/A

$0.00

Yes

$0.00

Yes

2011-06-08

D/A

$0.00

2011-05-10

D/A

$2,785,413.00

Yes

$0.00

2011-05-10

D/A

$3,276,500.00

Yes

$0.00

2011-05-10

D/A

$406,500.00

Yes

$0.00

2011-04-29

D/A

$14,613,167.00

Yes

$0.00

SELLING AGENTS RECEIVE A 2% UPFRONT COMMISSION ON SERIES A SUBSCRIPTIONS; + 2% OF AVG. MONTH-END NET ASSETS PER YR. FOR SERIES A (AFTER 13 MOS.)AND B AND .50% FOR SERIES W- ITEM 12. THE OFFERING BEGAN BEFORE 3/15/09; ITEM 15 REFLECTS INFO. FROM SUCH DATE

2011-04-26

D/A

$264,318.00

Yes

$0.00

ESTIMATE INCLUDES A PROJECTION OF FEES FOR THE NEXT TWELVE MONTHS.

2011-04-15

D/A

$0.00

Yes

$0.00

Yes

2011-04-14

D/A

$0.00

Yes

$0.00

Yes

2011-04-14

D/A

$0.00

Yes

$0.00

Yes

2011-04-05

D/A

$0.00

SALES COMMISSIONS ARE EITHER NOT RECEIVED BY THE BROKERS OR DEALERS OF THE ISSUER, OR SALES COMMISSIONS RECEIVED ARE NOT AN EXPENSE OF THE ISSUER AND ARE THEREFORE NOT REFLECTED HEREIN.

2011-04-05

D/A

$2,887,000.00

Yes

$0.00

2011-04-05

D/A

$345,000.00

Yes

$0.00

2011-04-05

D/A

$1,653,600.00

Yes

$0.00

2011-04-01

D/A

$503,096.00

$0.00

2011-03-21

D/A

$0.00

Yes

$0.00

Yes

THE ISSUER DOES NOT PAY ANY SALES COMMISSIONS OR FINDERS- FEES EXPENSES. THE INVESTMENT ADVISER OF THE ISSUER PAYS A PORTION OF THE MANAGEMENT FEES IT RECEIVES FROM THE ISSUER TO THE FIRMS ABOVE.

2011-03-21

D/A

$0.00

Yes

$0.00

Yes

THE ISSUER DOES NOT PAY ANY SALES COMMISSIONS OR FINDERS- FEES EXPENSES. THE INVESTMENT ADVISER OF THE ISSUER PAYS A PORTION OF THE MANAGEMENT FEES IT RECEIVES FROM THE ISSUER TO THE FIRMS ABOVE.

2011-03-16

D/A

$1,186,642.00

$0.00

2011-03-15

D/A

$19,900,000.00

Yes

$0.00

2011-03-14

D/A

$60,271.00

Yes

$0.00

2011-03-14

D/A

$45,669.00

Yes

$0.00

2011-03-14

D/A

$0.00

SALES AGENT RECEIVES A PORTION OF THE MANAGEMENT FEE PAYABLE BY THE ISSUER TO THE INVESTMENT MANAGER

2011-03-14

D/A

$153,030.00

$0.00

THE GENERAL PARTNER PAYS UP TO 80% OF ITS MANAGEMENT FEE TO THE SELLING AGENT - SEE ITEM 12. THE CURRENT OFFERING BEGAN PRIOR TO 3/15/09; ITEM 15 REFLECTS THE REQUESTED INFORMATION COMMENCING FROM SUCH DATE.

2011-03-08

D/A

$0.00

Yes

$0.00

Yes

2011-03-04

D/A

$0.00

Yes

$0.00

Yes

THE ENTITIES LISTED IN ITEM 12 ABOVE ARE, OR HAVE BEEN, PAID A PORTION OF THE FEES PAID TO THE INVESTMENT MANAGER (OR AN AFFILIATE THEREOF) WITH RESPECT TO CERTAIN SECURITIES OF THE ISSUER PURCHASED BY SUCH ENTITIES CLIENTS.

2011-03-04

D/A

$0.00

Yes

$0.00

Yes

THE ENTITIES LISTED IN ITEM 12 ABOVE ARE, OR HAVE BEEN, PAID A PORTION OF THE FEES PAID TO THE GENERAL PARTNER (OR AN AFFILIATE THEREOF) WITH RESPECT TO CERTAIN SECURITIES OF THE ISSUER PURCHASED BY SUCH ENTITIES- CLIENTS.

2011-02-25

D/A

$791,389.00

$0.00

2011-01-31

D/A

$1,526,707.00

$0.00

2011-01-31

D/A

$878,925.00

$0.00

2011-01-19

$95,000.00

Yes

$0.00

2011-01-19

$1,545,000.00

Yes

$0.00

2011-01-19

$148,250.00

Yes

$0.00

2011-01-18

D/A

$416,500.00

Yes

$0.00

Yes

2011-01-18

D/A

$2,696,500.00

Yes

$0.00

Yes

2011-01-18

D/A

$1,693,000.00

Yes

$0.00

Yes

2011-01-18

D/A

$1,626,500.00

Yes

$0.00

Yes

2010-12-22

D/A

$0.00

Yes

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB AND CS, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2010-12-21

D/A

$0.00

Yes

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2010-12-17

D/A

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2010-12-17

D/A

$0.00

Yes

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2010-12-17

D/A

$37,000.00

$0.00

THE GENERAL PARTNER PAYS 2% OF ITS MANAGEMENT FEE UPFRONT AND .75% OF SUCH FEE ONGOING TO AN ACCOUNT-S SELLING AGENT - SEE ITEM 12. THE CURRENT OFFERING COMMENCED PRIOR TO 3/15/2009; ITEM 15 REFLECTS THE REQUESTED INFORMATION COMMENCING FROM SUCH DATE.

2010-12-17

D/A

$30,000.00

$0.00

2010-12-17

D/A

$464,700.00

$0.00

2010-12-16

D/A

$0.00

Yes

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB AND CS, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2010-12-16

D/A

$0.00

Yes

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2010-12-16

D/A

$0.00

Yes

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2010-12-16

D/A

$0.00

Yes

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB AND CS, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2010-12-16

D/A

$0.00

Yes

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB AND CS, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2010-12-16

D/A

$0.00

Yes

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB AND CS, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2010-12-16

D/A

$0.00

Yes

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2010-12-16

D/A

$0.00

Yes

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2010-12-16

D/A

$0.00

Yes

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB AND CS, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2010-12-02

D/A

$0.00

2010-12-02

D/A

$0.00

2010-11-22

D/A

$833,986.00

$0.00

2010-11-16

$1,000.00

$0.00

2010-11-16

$9,000.00

$0.00

GP PAYS % OF MANAGEMENT FEE TO SELLING AGENTS W/O REIMBURSEMENT FROM ISSUER. 2% OF MANAGEMENT FEES PAID TO CUSTOMER-S SELLING AGENT AS UPFRONT PLACEMENT FEE; 0.75% PAID AS AN ONGOING TRAIL COMMISSION. COMPENSATION NOT PAID OUT OF OFFERING PROCEEDS.

2010-11-16

$1,500.00

$0.00

2010-11-09

$0.00

Yes

$0.00

THE SALES COMMISSIONS PAYABLE DEPEND ON CERTAIN FACTORS AND SUCH INFORMATION IS NOT AVAILABLE TO THE ISSUER AT THE PRESENT TIME.

2010-11-08

$0.00

2010-11-02

D/A

$0.00

INVESTORS MAY PAY A ONE-TIME UPFRONT FEE TO BROKERS OR DEALERS ("INTERMEDIARIES"), AND THE ISSUER-S MANAGER MAY PAY AN ANNUAL ONGOING FEE TO CERTAIN INTERMEDIARIES. THESE FEES ARE NOT EXPENSES OF THE ISSUER AND, THEREFORE, NOT REFLECTED HEREIN.

2010-11-01

D/A

$0.00

2010-11-01

D/A

$0.00

2010-11-01

D/A

$0.00

2010-10-29

D/A

$0.00

2010-10-29

D/A

$0.00

2010-10-29

D/A

$0.00

2010-10-29

D/A

$0.00

2010-10-14

$258,000.00

$0.00

2010-10-07

$0.00

2010-09-30

D/A

$1,284,318.00

$0.00

2010-09-30

$42,500.00

Yes

$0.00

2010-09-21

D/A

$406,575.00

Yes

$0.00

ESTIMATED FEES ARE PAID BY THE ISSUER, BEGINNING FROM THE ISSUER-S INCEPTION AND PROJECTED THROUGH NEXT YEAR.

2010-09-21

D/A

$173,016.00

Yes

$0.00

2010-09-21

D/A

$4,840,323.00

Yes

$0.00

2010-09-21

D/A

$615,511.00

Yes

$0.00

2010-08-31

$592,350.00

$0.00

2010-08-04

D/A

$0.00

2010-07-29

D/A

$91,108.00

Yes

$0.00

2010-07-29

D/A

$164,596.00

Yes

$0.00

2010-07-26

$61,500.00

Yes

$0.00

2010-07-23

$100,000.00

Yes

$0.00

2010-07-23

D/A

$1,297,330.00

$0.00

2010-07-23

D/A

$265,512.00

$0.00

2010-07-23

D/A

$352,850.00

$0.00

2010-07-23

D/A

$646,030.00

$0.00

2010-07-23

D/A

$1,309,487.00

$0.00

2010-07-23

D/A

$168,425.00

$0.00

2010-07-23

D/A

$1,543,576.00

$0.00

2010-07-23

D/A

$21,500.00

$0.00

2010-07-23

D/A

$11,000.00

$0.00

2010-07-23

$1,524,020.00

$0.00

2010-07-23

D/A

$670,165.00

$0.00

2010-07-23

D/A

$352,600.00

$0.00

2010-07-23

D/A

$326,145.00

$0.00

2010-07-23

D/A

$663,925.00

$0.00

2010-07-23

D/A

$923,429.00

$0.00

2010-07-23

D/A

$1,270,425.00

$0.00

2010-07-23

D/A

$2,410,844.00

$0.00

2010-07-23

D/A

$268,003.00

$0.00

2010-07-23

D/A

$1,023,203.00

$0.00

2010-07-23

$22,950.00

$0.00

2010-07-23

D/A

$6,106,214.00

$0.00

2010-07-23

D/A

$205,870.00

Yes

$0.00

2010-07-23

D/A

$96,925.00

$0.00

2010-07-23

D/A

$1,052,586.00

$0.00

2010-07-23

D/A

$158,915.00

$0.00

2010-07-23

D/A

$192,200.00

$0.00

2010-07-23

D/A

$99,345.00

Yes

$0.00

2010-07-23

D/A

$263,635.00

$0.00

2010-07-23

D/A

$839,071.00

$0.00

2010-07-23

D/A

$1,698,751.00

$0.00

2010-07-23

D/A

$4,090,659.00

$0.00

2010-07-23

$1,593,125.00

$0.00

2010-07-23

D/A

$280,071.00

$0.00

2010-07-23

D/A

$195,790.00

Yes

$0.00

2010-07-23

D/A

$96,925.00

$0.00

2010-07-23

D/A

$242,617.00

$0.00

2010-07-22

$0.00

2010-07-22

D/A

$91,050.00

$0.00

2010-07-22

D/A

$441,501.00

$0.00

2010-07-22

D/A

$1,175,942.00

$0.00

2010-07-08

D/A

$0.00

Yes

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB AND CS, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2010-07-08

D/A

$0.00

Yes

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2010-07-08

D/A

$0.00

Yes

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2010-07-08

D/A

$0.00

Yes

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB AND CS, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2010-07-08

D/A

$0.00

Yes

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB AND CS, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2010-07-08

D/A

$0.00

Yes

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB AND CS, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2010-07-08

D/A

$0.00

Yes

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB AND CS, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2010-07-08

D/A

$0.00

Yes

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2010-07-08

D/A

$0.00

Yes

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2010-07-08

D/A

$0.00

Yes

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2010-07-08

D/A

$0.00

Yes

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2010-07-08

D/A

$0.00

Yes

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2010-07-08

D/A

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2010-07-08

D/A

$0.00

Yes

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB AND CS, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2010-07-01

$0.00

2010-06-23

D/A

$0.00

Yes

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2010-06-23

D/A

$0.00

Yes

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2010-06-23

D/A

$0.00

Yes

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2010-06-23

D/A

$0.00

Yes

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2010-06-22

D/A

$0.00

Yes

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2010-06-22

D/A

$0.00

Yes

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB AND CS, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2010-06-22

D/A

$0.00

Yes

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB AND CS, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2010-06-21

D/A

$789,633.00

$0.00

2010-06-18

D/A

$0.00

Yes

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2010-06-18

D/A

$0.00

Yes

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB AND CS, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2010-06-18

D/A

$0.00

Yes

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2010-06-18

D/A

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2010-06-18

D/A

$0.00

Yes

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB AND CS, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2010-06-18

D/A

$0.00

Yes

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB AND CS, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2010-06-18

D/A

$0.00

Yes

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2010-06-18

D/A

$0.00

Yes

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB AND CS, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2010-06-18

D/A

$442,074.00

$0.00

2010-06-18

D/A

$64,710.00

Yes

$0.00

2010-06-18

$162,325.00

$0.00

2010-06-18

D/A

$231,685.00

$0.00

2010-06-18

D/A

$117,950.00

Yes

$0.00

2010-06-11

$22,500.00

$0.00

PLACEMENT FEES ARE PAID DIRECTLY BY THE INVESTORS TO THE PLACEMENT AGENTS AND DO NOT REDUCE THE AMOUNTS AVAILABLE FOR INVESTMENT BY THE ISSUER.

2010-06-11

$185,250.00

$0.00

PLACEMENT FEES ARE PAID DIRECTLY BY THE INVESTORS TO THE PLACEMENT AGENTS AND DO NOT REDUCE THE AMOUNTS AVAILABLE FOR INVESTMENT BY THE ISSUER.

2010-06-10

$78,725.00

Yes

$0.00

2010-06-10

$38,750.00

Yes

$0.00

2010-06-02

D/A

$0.00

Yes

$0.00

Yes

2010-05-28

D/A

$0.00

Yes

$0.00

Yes

2010-05-25

$9,000.00

Yes

$0.00

2010-05-19

$0.00

2010-05-13

D/A

$0.00

Yes

$0.00

Yes

2010-04-30

D/A

$7,854,575.00

Yes

$0.00

SELLING AGENTS RECEIVE APPROXIMATELY .50% OF AVERAGE MONTH-END NET ASSETS PER YEAR - SEE ITEM 12. THE CURRENT OFFERING COMMENCED PRIOR TO 3/15/2009; ITEM 15 REFLECTS THE REQUESTED INFORMATION COMMENCING FROM SUCH DATE.

2010-04-29

D/A

$1,000,000.00

Yes

$0.00

ESTIMATE REPRESENTS ONE PERCENT OF A POTENTIAL ONE BILLION IN FUND INTERESTS THAT COULD BE SOLD TO INVESTORS OVER THE COURSE OF THE NEXT TWELVE MONTHS.

2010-04-28

D/A

$0.00

2010-04-15

$39,300.00

Yes

$0.00

2010-04-15

$3,000.00

Yes

$0.00

2010-04-15

$61,700.00

Yes

$0.00

2010-03-29

D/A

$1,134,300.00

$0.00

PLACEMENT FEES ARE PAID DIRECTLY BY THE INVESTORS TO THE PLACEMENT AGENTS AND DO NOT REDUCE THE AMOUNTS AVAILABLE FOR INVESTMENT BY THE ISSUER.

2010-03-24

D/A

$0.00

Yes

$0.00

Yes

2010-03-24

D/A

$0.00

Yes

$0.00

Yes

2010-03-24

D/A

$0.00

Yes

$0.00

Yes

2010-03-24

D/A

$0.00

Yes

$0.00

Yes

2010-03-24

$0.00

Yes

$0.00

Yes

2010-03-24

$0.00

Yes

$0.00

Yes

2010-03-16

D/A

$544,521.00

$0.00

ISSUER PAYS SELLING AGENT 75 BASIS POINTS ON ANNUALIZED BASIS. CURRENT OFFERING COMMENCED PRIOR TO 3/15/09; ITEM 15 REFLECTS INFO FROM SUCH DATE PAID TO BOTH AGENTS -- BREAK DOWN: $518,130 TO WARBERG; $26,391 TO MSSB

2010-03-15

D/A

$366,167.00

$0.00

2010-03-12

D/A

$0.00

2010-03-12

D/A

$0.00

2010-03-12

D/A

$0.00

2010-03-12

D/A

$0.00

2010-03-12

D/A

$544,521.00

$0.00

2010-03-12

$39,300.00

$0.00

2010-03-12

$6,000.00

$0.00

2010-03-12

D/A

$0.00

AS OF 3/15/2010, AURORA LIMITED PARTNERSHIP II HAS YET TO DISBURSE ANY SALES COMMISSIONS.

2010-03-12

D/A

$0.00

AS OF 3/15/2010, AURORA OFFSHORE FUND LTD. II HAS YET TO DISBURSE ANY SALES COMMISSIONS.

2010-03-12

D/A

$3,287,852.00

$0.00

2010-03-11

D/A

$0.00

2010-03-11

D/A

$0.00

2010-03-08

D/A

$0.00

2010-03-08

D/A

$0.00

2010-03-08

D/A

$458,446.00

$0.00

2010-03-03

D/A

$0.00

$1,055,031.00

2010-03-01

D/A

$1,284,318.00

$0.00

2010-02-11

$48,750.00

Yes

$0.00

2010-02-03

$613,666.00

$0.00

2010-01-28

$1,102,871.00

$0.00

2010-01-15

$1,000,000.00

Yes

$0.00

ESTIMATE REPRESENTS ONE PERCENT OF A POTENTIAL ONE BILLION IN FUND INTERESTS THAT COULD BE SOLD TO INVESTORS OVER THE COURSE OF THE NEXT TWELVE MONTHS.

2009-12-30

$1,191,405.00

Yes

$0.00

Yes

2009-12-30

$1,649,465.00

Yes

$0.00

Yes

2009-12-30

$372,840.00

Yes

$0.00

Yes

2009-12-30

$5,392,901.00

Yes

$0.00

Yes

2009-12-18

$610,080.00

$0.00

2009-11-24

D/A

$199,500.00

Yes

$0.00

Yes

REFLECTS ACTUAL COMMISSIONS PAID PLUS A PROPORTIONAL INCREASE TO ESTIMATE FUTURE COMMISSIONS. IN ADDITION, THE FUND PAYS ADMINISTRATIVE, NON-PLACEMENT, FEES TO THE PLACEMENT AGENTS.

2009-11-24

D/A

$196,875.00

Yes

$0.00

Yes

REFLECTS ACTUAL COMMISSIONS PAID PLUS A PROPORTIONAL INCREASE TO ESTIMATE FUTURE COMMISSIONS. IN ADDITION, THE FUND PAYS ADMINISTRATIVE, NON-PLACEMENT, FEES TO THE PLACEMENT AGENTS.

2009-11-24

D/A

$157,500.00

Yes

$0.00

Yes

REFLECTS ACTUAL COMMISSIONS PAID PLUS A PROPORTIONAL INCREASE TO ESTIMATE FUTURE COMMISSIONS. IN ADDITION, THE FUND PAYS ADMINISTRATIVE, NON-PLACEMENT, FEES TO THE PLACEMENT AGENTS.

2009-11-24

D/A

$711,375.00

Yes

$0.00

Yes

REFLECTS ACTUAL COMMISSIONS PAID PLUS A PROPORTIONAL INCREASE TO ESTIMATE FUTURE COMMISSIONS. IN ADDITION, THE FUND PAYS ADMINISTRATIVE, NON-PLACEMENT, FEES TO THE PLACEMENT AGENTS.

2009-11-24

D/A

$840,000.00

Yes

$0.00

Yes

REFLECTS ACTUAL COMMISSIONS PAID PLUS A PROPORTIONAL INCREASE TO ESTIMATE FUTURE COMMISSIONS. IN ADDITION, THE FUND PAYS ADMINISTRATIVE, NON-PLACEMENT, FEES TO THE PLACEMENT AGENTS.

2009-11-24

D/A

$994,350.00

Yes

$0.00

Yes

REFLECTS ACTUAL COMMISSIONS PAID PLUS A PROPORTIONAL INCREASE TO ESTIMATE FUTURE COMMISSIONS. IN ADDITION, THE FUND PAYS ADMINISTRATIVE, NON-PLACEMENT, FEES TO THE PLACEMENT AGENTS.

2009-11-24

D/A

$1,952,979.00

Yes

$0.00

Yes

REFLECTS ACTUAL COMMISSIONS PAID PLUS A PROPORTIONAL INCREASE TO ESTIMATE FUTURE COMMISSIONS. IN ADDITION, THE FUND PAYS ADMINISTRATIVE, NON-PLACEMENT, FEES TO THE PLACEMENT AGENTS.

2009-11-17

$271,103.00

$0.00

2009-11-13

D/A

$194,096.00

$0.00

SELLING AGENT RECEIVES PLACEMENT FEE AND ALL OR A PORTION OF SERVICING FEE FROM THE ADMINISTRATIVE AGENT.

2009-11-12

$1,125,689.00

$0.00

SELLING AGENT RECEIVES PLACEMENT FEE AND ALL OR A PORTION OF SERVICING FEE FROM THE GENERAL PARTNER.

2009-11-12

$194,096.00

$0.00

SELLING AGENT RECEIVES PLACEMENT FEE AND ALL OR A PORTION OF SERVICING FEE FROM THE ADMINISTRATIVE AGENT.

2009-10-29

$0.00

Yes

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2009-10-21

$6,000.00

$0.00

2009-10-20

$1,000.00

$0.00

2009-10-20

$6,000.00

$0.00

2009-10-15

D/A

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2009-10-15

D/A

$0.00

Yes

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2009-10-15

D/A

$0.00

Yes

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB AND CS, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2009-10-14

D/A

$0.00

Yes

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2009-10-14

D/A

$0.00

Yes

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB AND CS, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2009-10-14

D/A

$0.00

Yes

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2009-10-14

D/A

$0.00

Yes

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB AND CS, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2009-10-14

D/A

$0.00

Yes

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB AND CS, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2009-10-14

D/A

$0.00

Yes

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB AND CS, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2009-10-14

D/A

$0.00

Yes

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2009-10-14

D/A

$0.00

Yes

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB AND CS, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2009-10-14

$10,500.00

$0.00

2009-10-01

D/A

$299,450.00

Yes

$0.00

BASED UPON AN AMOUNT UP TO .40% PER ANNUM OF THE NAV ATTRIBUTABLE TO EACH INVESTOR THAT HAS CONTRIBUTED TO THE ISSUER. COMMISSIONS ARE PAID BY THE GENERAL PARTNER OR ADVISER, BEGINNING FROM THE ISSUER-S INCEPTION AND ESTIMATED THROUGH NEXT YEAR.

2009-08-27

$1,284,318.00

$0.00

2009-08-21

$0.00

Yes

$0.00

Yes

2009-08-06

D/A

$1,250.00

$0.00

2009-08-06

$1,250.00

$0.00

2009-08-06

$25,595.00

$0.00

2009-07-28

D/A

$0.00

2009-07-28

D/A

$0.00

THE GENERAL PARTNER PAYS 2% OF IT-S MANAGEMENT FEE UPFRONT AND .75% OF SUCH FEE ONGOING TO AN ACCOUNT-S SELLING AGENT - SEE ITEM 12. THE CURRENT OFFERING COMMENCED PRIOR TO 3/15/2009; ITEM 15 REFLECTS THE REQUESTED INFORMATION COMMENCING FROM SUCH DATE.

2009-07-28

D/A

$0.00

2009-07-28

D/A

$11,000.00

Yes

$0.00

2009-07-27

$1,250.00

$0.00

2009-07-20

$0.00

PLACEMENT AGENT WILL RECEIVE FROM EACH PLACEMENT AGENT CLIENT A FEE OF UP TO 2.0% OF THE AMOUNT INVESTED AND WILL ALSO RECEIVE A FEE OF EITHER 75 OR 60 BASIS POINTS OF THE NET INVESTED CAPITAL BALANCES OF INVESTORS FROM THE INVESTMENT ADVISER.

2009-07-17

$0.00

2009-07-01

D/A

$0.00

Yes

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB AND CS, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2009-07-01

D/A

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2009-07-01

D/A

$0.00

Yes

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB AND CS, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2009-07-01

D/A

$0.00

Yes

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2009-07-01

D/A

$0.00

Yes

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB AND CS, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2009-07-01

D/A

$0.00

Yes

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2009-07-01

D/A

$0.00

Yes

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2009-07-01

D/A

$0.00

Yes

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2009-07-01

D/A

$0.00

Yes

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2009-07-01

D/A

$0.00

Yes

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB AND CS, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2009-07-01

D/A

$0.00

Yes

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB AND CS, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2009-07-01

D/A

$0.00

Yes

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

2009-07-01

D/A

$0.00

Yes

$0.00

CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB AND CS, WHO PROVIDE ONGOING SERVICES TO INVESTORS.

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