Ny Form Cm-3 - Supplemental Commodity Statement (Page 3 of 4) in pdf

1. the issuance, sale or offer for sale of

securities or commodities?............................. Yes [ ] No [ ]

2. rendering securities or commodities

advice or counsel?........................................ Yes [ ] No [ ]

3. handling or managing trading accounts?........... Yes [ ] No [ ]

4. continuing any practices in connection

with securities or commodities?...................... Yes [ ] No [ ]

D. Is any action or proceeding seeking the relief

enumerated in A - C presently pending?...................Yes [ ] No [ ]

E. been convicted of any crime?.......................... Yes [ ] No [ ]

F. used or been known by any other name?................. Yes [ ] No [ ]

G. been the subject of any professional

disciplinary proceeding?.............................. Yes [ ] No [ ]

H. been adjudged a bankrupt or made a general assignment

for benefit of creditors; been the subject of a

receivership or bankruptcy proceeding; been an officer,

director, principal, partner, manager, supervisor or any

10% or more equity holder of any entity which was

reorganized in bankruptcy, adjudged a bankrupt or made a

general assignment for benefit of creditors?............ Yes [ ] No [ ]

I. ever had a judgment entered against them or it which is

presently unsatisfied? (Not including judgments involving

domestic relations.)............................................ Yes [ ] No [ ]

J. been a party in any litigation or administrative proceeding

in which it is alleged that they or it committed fraud or

otherwise violated any provision of the Martin Act or any

other securities or commodities laws?.........................Yes [ ] No [ ]

K. if any answer to any of the above is "YES", attach statement

of full particulars.

A $10.00 fee must accompany this statement. Personal checks not accepted.

Attorney's check, bank check, certified check, money order only payable to

the N.Y.S. Office of the Attorney General. Attach additional sheets where space provided

is inadequate. You may submit a photocopy of this form. It will be returned

with your fee receipt for your records.

Send remittance to: Bureau of Investor Protection and Securities, 23rd Floor,

N.Y. Office of the Attorney General, 120 Broadway, New York, NY 10271.

DATED: _______________ Signature: ____________________________________________

STATE OF )

: S.:

COUNTY OF )

________________________________, being duly sworn, deposes and

says that I am the ___________________ (Title) of Registrant and I

signed the above form. I have read the questions and answers and

information supplied, and they are true, accurate and complete.

Ny Form Cm-3 - Supplemental Commodity Statement Page 3