Low Volume Market: Seller Registration Form

Name

First

Last

Holder Name

Existing Holder Name, or Proposed Holder Name

Investor Number

ABN or ACN

If known, Holder would be an entity or SMSF.

Email Address

Email

Confirm Email

Alternate Email Address

Address of Registered Holder(s)

Number, Street Name

State

Postcode

Postal Address

If different from physical address noted above.

Preferred Contact Number

Entire or Partial Holding

Please confirm whether you intend to sell your entire holding or whether you intend to sell part of your holding.

Sale Quantity

Whole numbers

Minimum Price to Sell

Please enter the minimum $ price you are willing to sell per Unit.

Appointment of Representative

I/we authorise the following Advisor to liase with the Responsible Entity and/or Buyer

Advisor/Representative Name

First

Last

Advisor/Representative Email Address

Advisor/Representative Contact Number

Why are you looking to Sell or Buy CD4 Units?

Registration Only

I/we acknowledge that the Registration to participate does not guarantee a transaction.

Market Limits

I/we acknowledge that The Responsible Entity (K2) may not permit the transaction of Units which exceeds either 100 individual transactions, or $1.5 million, in each 12-month period.

Accurate Information

I/we declare that all details and statements made by me/us are complete and accurate.

Constitution and PDS

I/We agree to be bound by all the terms of the constitution of the CD Private Equity Fund IV. I/We acknowledge the PDS dated 13 March 2018 and confirm that I/We have read this document and understand the risks.

Consent to Collect Information

I/We consent to K2 collecting my personal information to register my interest to buy or sell shares in CD Private Equity Fund IV. K2 may disclose my contact details to any potential sellers or buyers who express an interest. They may also disclose my information to regulators such as the Australian Securities and Investments Commission. If any part of my information is not provided, K2 may not be able to properly register and deal with my/our expression of interest.

Low Volume Market Acknowledgment

I/we understand that K2 Asset Management Ltd (K2), as Responsible Entity (RE) for CD Private Equity Fund IV (CD4, or Fund) does not hold a license to operate a financial market and is not subject to market obligations, in particular the obligation to ensure that the market is fair, transparent, and orderly. The market is covered by an exemption under section 791C of the Corporations Act. K2 does not provide a settlement service for trading in the market – it is the responsibility of the parties to a transaction to arrange payment between themselves.

Repayment of Capital

I/we acknowledge that neither the Responsible Entity does not provide tax advice and it is up to the individual investor to obtain their own advice on the tax impact associated with realising or making an investment in the Fund.