Application forms | Manning Private Debt Fund

Investor 1 *

Title Given name(s) Surname

Date of birth *

Address (Note: PO box is not acceptable) *

Street Address

Street Address Line 2

City State

Zip Code Country

Are you a tax resident of Australia: *

Yes No

If yes, please provide your TFN:

If no, please provide further information as required below for each country of tax residence:

Country (1)

Tax Identification Number (TIN) (1)

If no TIN, list reason (1)

Country (2)

Tax Identification Number (TIN) (2)

If no TIN, list reason (2)

Investor 2

Title Given name(s) Surname

Date of birth

Same address as investor 1

Yes No

Address (Note: PO Box is not acceptable)

Street Address

Street Address Line 2

City State / Province

Postal / Zip Code Country

Are you a tax resident of Australia:

Yes No

If yes, please provide your TFN:

If no, please provide further information as required below for each country of tax residence:

Country (1)

Tax Identification Number (TIN) (1)

If no TIN, list reason (1)

Country (2)

Tax Identification Number (TIN) (2)

If no TIN, list reason (2)

Please tick who should be the primary contact(s) to receive investor communications and correspondence relating to the account. Investor 1: {investor16} | Investor 2: {investor224} *

Investor 1 Investor 2

Phone Number *

Area Code Phone Number

Email address: *

example@example.com

Information Memorandum received *

I/we have received and read the Fund’s Information Memorandum

I/we acknowledge that one of the following circumstances applies to me/us (please indicate): *

(a) I am/we are applying for Units in the Fund at a price, or for the value of, at least $500,000 (b) I have/we have net assets of at least $2.5 million, and I am/we are applying for Units in the Fund for a purpose other than for use in a connection with a business (c) I have/we have a gross income for each of the last two financial years of at least $250,000 per year, and I am/we are applying for Units in the Fund for a purpose other than for use in connection with a business. (d) I am/we are a ‘professional investor’ as defined in the Corporations Act. (e) I am/we are a 'sophisticated investor' as defined in the Corporation Act.

If (b) or (c) applies, please provide an Accountant’s Certificate with your Application Form.

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If (d) or (e) applies, in addition to completing this Form, please contact the Fund Administrator on +61 2 8278 9520 or ManningAM@eticore.com.au to discuss the additional information we will require.

Total value of units applied for ($AUD) *

Direct Debit authorisation *

I/We request and authorise Manning Asset Management Pty Ltd (AFSL 509561) as Trustee of the Manning Private Debt Fund to arrange, through its own financial institution, to debit the below mentioned bank account for the amount specified in ‘Total value of units applied for (A$)’. This debit will be subject to the terms and conditions of the Direct Debit Request Service Agreement available at manningam.com.

The Direct Debit Request Agreement can be downloaded at:

https://manningam.com/how-to-invest/

Please note that the funds will be debited 4 Sydney business days before the last Sydney business day of the month. For security purposes, funds will be debited from your nominated account. We do not request for you to transfer funds.

Please note that the bank account details you provide will be held on record and maintained to pay any future withdrawal proceeds and/ or income distributions. Manning Asset Management will only make a payment to an Australian bank, credit union or building society account. This account must be in the name of the investors We will not pay to a third-party bank account.

Institution *

Branch *

BSB *

Account number: *

Account name *

If you wish to make any subsequent changes to these instructions, please contact the Fund’s Administrator at ManningAM@eticore.com.au

Income from the Units in the Manning Private Debt Fund will be automatically reinvested in additional Units in the Fund unless you indicate here (or by subsequent notice in writing to the Fund Administrator) that you wish your income to be paid to you (tick the applicable box)

Please reinvest my/our income in additional Units in the Fund Please pay income directly to my/our bank account.

I/We acknowledge that by signing and/or providing the Fund Administrator with a valid instruction in respect of my/our Direct Debit Request, I/we have understood and agreed to the terms and conditions governing the debit arrangement between me/us and Manning Asset Management Pty Ltd as set out in this request and in the Direct Debit Service Agreement.

Investor 1, {investor16} please sign below using your mouse or via touching your screen

Clear

Investor 1, {investor16} please type your name below *

Date: *

Date

Investor 2, {investor224} please sign below using your mouse or via touching your screen

Clear

Investor 2, {investor224} please type your name below

Date:

Date

If debiting from a joint bank account, both signature are required.

Do you wish to give your financial adviser access to your Manning Private Debt Fund account details? *

Yes No

If yes, complete this section with your financial adviser’s details.

Adviser name

First Name Last Name

Company name

ABN

Advisor Representative Number

Registered Company Address (Note: PO Box is not acceptable)

Street Address

Street Address Line 2

City State / Province

Postal / Zip Code Country

Business number

Area Code Phone Number

Mobile number

Area Code Phone Number

Email address:

example@example.com

Advice fee

Do you wish to pay your adviser an upfront or ongoing advice fee? *

Yes No

If yes, complete the section below.

One-off advice fee

OR

One-off advice fee

Applicant acknowledgement of adviser fee arrangements (must be signed by all applicants)

Investor 1, {investor16} please sign below using your mouse or via touching your screen

Clear

Investor 1, {investor16} please type your name below

Date:

Date

Investor 2, {investor224} please sign below using your mouse or via touching your screen

Clear

Investor 2, {investor224} please type your name below

Date:

Date

Is one or more of the Investors named in this Application Form, directly or indirectly, a U.S. person? *

Yes No

If yes, approximately what percentage (%) of the beneficial owner distribution is represented by the US Person/s?

For purposes of this Application Form, the term “U.S. person” means:

I. any natural person resident of or in the United States or any partnership, corporation or other entity organized or incorporated under the laws of the United States or which has its principal place of business in the United States;

II. any estate of which any executor or administrator is a U.S. person or the income of which is subject to U.S. income tax regardless of source;

III. any trust of which any trustee is a U.S. person or the income of which is subject to U.S. income tax regardless of source;

IV. any agency or branch of a foreign entity located in the United States or the income of which is subject to U.S. income tax regardless of source;

V. any non-discretionary account or similar account (other than an estate or trust) held by a dealer or other fiduciary for the benefit or account of a U.S. person;

VI. any discretionary account or similar account (other than an estate or trust) held by a dealer or other fiduciary organised, incorporated, or (if an individual) resident in the United States;

VII. any partnership or corporation if

a. organised or incorporated under the laws of any foreign jurisdiction and
b. formed by a U.S. person principally for the purpose of
- i. investing in Units of the Fund or
- ii. investing in securities not registered under the U.S. Securities Act of 1933, as amended (the “Securities Act”), unless it is organized or incorporated, and owned, by accredited investors (as defined in Rule 501(a) under the Securities Act) who are not natural persons, estates or trusts; and

VIII. any entity organised principally for passive investment such as a commodity pool, investment company or other similar entity (other than a pension plan for the employees, officers or principals of an entity organised and with its principal place of business outside the United States) in which U.S. persons who do not qualify as qualified eligible persons (as defined in Rule 4.7 under the U.S. Commodity Exchange Act) hold units of participation representing in the aggregate 10% or more of the beneficial interest in the entity or which has a principal purpose the facilitating of investment by a U.S. person in a commodity pool with respect to which the operator is exempt from certain requirements of Part 4 under the U.S. Commodity Exchange Act regulations by virtue of its participants being non-U.S. persons.

For purposes of the foregoing, the term “U.S.” means the United States of America, its territories and possessions, any state of the United States of America, and the District of Columbia.

Each individual investor identified in this Application Form must complete this section and provide certified copies of their identity documents.

Please complete either Option 1 or Option 2 and attach a certified copy of the applicable document(s).

Note that a document produced by you must not have expired (other than in the case of a passport issued by the Commonwealth that has expired within the preceding two years).

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Important note: all documents must be certified. You will also be required, post appplication, to send an original or a certified copy of all identification documents to our Fund Administrator (Eticore) at the following address:

Eticore SD Services Pty Ltd (Ref: Manning PD Fund)

Suite 5.01, Level 515 Castlereagh St

Sydney NSW 2000

You can learn more about certifying a document after this section.

Select one primary photographic identity documents

Australian State or Territory driver’s licence containing your photograph. If your residential address has changed, please also provide a certified copy of the back of the licence Australian passport containing your photograph and signature Foreign passport or other international travel document containing your photograph and signature Proof of age card issued by an Australian state or territory containing your photograph and signature National identity card issued by a foreign government that includes your photograph and signature AND foreign driver's licence that contains your photograph and date of birth

Please attach a certified copy of one primary photographic identity document.

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Please attach certified copies of at least one primary non-photographic document AND one secondary non-photographic document

Select one primary non-photographic identity document

Australian birth certificate or birth extract Australian citizenship certificate A Centrelink Pension card or a Centrelink Healthcare card

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Select one secondary non-photographic identity document

A financial benefit notice issued by the Commonwealth, State or Territory within the last 12 months that contains your name and address An income tax assessment notice issued within the last 12 months that contains your name and address A local government notice (e.g. council rates) or utilities notice (e.g. electricity, gas or phone bill) issued in the last 3months that contains your name and address

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Select one primary photographic identity documents

Australian State or Territory driver’s licence containing your photograph. If your residential address has changed, please also provide a certified copy of the back of the licence Australian passport containing your photograph and signature Foreign passport or other international travel document containing your photograph and signature Proof of age card issued by an Australian state or territory containing your photograph and signature National identity card issued by a foreign government that includes your photograph and signature AND foreign driver's licence that contains your photograph and date of birth

Please attach a certified copy of one primary photographic identity document.

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Please attach certified copies of at least one primary non-photographic document AND one secondary non-photographic document

Select one primary non-photographic identity document

Australian birth certificate or birth extract Australian citizenship certificate A Centrelink Pension card or a Centrelink Healthcare card

Browse Files

Select one secondary non-photographic identity document

A financial benefit notice issued by the Commonwealth, State or Territory within the last 12 months that contains your name and address An income tax assessment notice issued within the last 12 months that contains your name and address A local government notice (e.g. council rates) or utilities notice (e.g. electricity, gas or phone bill) issued in the last 3months that contains your name and address

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If you are completing and signing this application form under a power of attorney, please also provide a certified copy of the power of attorney.

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A certified copy is a copy of an original document, which has been certified and assigned by a person who is an authorised certifier, as being a true and correct copy of the original document.

To create a certified copy you will need to take your original document, and a clear and legible photocopy of both sides of the original document, to a person who is authorised to certify proof of identity documents.

The person authorised to sight and certify documents must:

Sight the original and the copy and make sure they are identical; and
Write or stamp ‘certified copy’ on all copied pages followed by their signature, printed name, qualification (e.g. Justice of the Peace), registration number (if applicable) and date.

The following people, so long as they are licensed or registered to practice their occupations in Australia, can certify documents (for a full list see the Statutory Declaration Regulations 2018):

Accountant who is a fellow of the National Tax Accountants’ Association or a member of any of the following: Chartered Accountants Australia and New Zealand, the Association of Taxation and Management Accountants, CPA Australia or the Institute of Public Accountants
Justice of the Peace
Police Officer
Teacher (employed on a full-time or part-time basis at a school or territory institution)
Chiropractor
Dentist
Optometrist
Pharmacist
Physiotherapist
Psychologist
Veterinary Surgeon
Marriage Celebrant
Bank Officer (with 5 or more years of continuous service)
Building Society Officer (with 5 or more years of continuous service)
Chief Executive of a Commonwealth Court
Commissioner for Affidavits or Declarations
Credit Union Officer (with 5 or more years of continuous service)
Engineer who is a member of Engineers Australia (other than at the grade of student), a Registered Professional Engineers of Professionals Australia, registered as an engineer under a law of the Commonwealth, a State or Territory, registered on the National Engineering Register by Engineers Australia.
Finance company officer (with 5 or more years of continuous service)
Judge
Magistrate Australian Consular Officer or Australian Diplomatic Officer
Member of the Australian Defence Force
Member of the Parliament of the Commonwealth, the Parliament of a State, a Territory Legislature or a local Government authority

The Applicants agree, acknowledge and declare that he/she/they:

a. have received, read and understood the Information Memorandum for the Fund to which this application form applies and agree to be bound by the terms of the Information Memorandum, and the Trust Deed of the Fund, as amended from time to time.

b. agree to the collection, use and disclosure of his/her/their personal information as set out in the Information Memorandum and the Trustee’s Privacy Policy. The Trustee and the Fund Administrator are required to obtain certain information to enable compliance with AML/CTF, FATCA and CRS requirements and the Applicants undertake to provide such additional information or documentation as requested from him/her/them from time to time to ensure the Trustee’s compliance with such requirements. The Trustee and the Fund Administrator may also be required to report this information to regulatory or law enforcement agencies, including AUSTRAC and the ATO.

c. understand that should he/she/they fail to provide any information or documentation requested by the Trustee, the application may be refused.

d. understand the risks associated with holding Units in the Fund including the risks as they are outlined in the Information Memorandum.

e. understand that the Trustee reserves the right to reject any application or scale back an application in its absolute discretion.

f. are not aware of any liquidation or bankruptcy proceedings that have commenced or are intended to be commenced by any person against him/her/them.

g. understand that none of the Trustee, Investment Manager or any of their related bodies corporate, principals, officers, employees or agents makes any recommendation as to the suitability of the Fund for him/her/them and the Information Memorandum does not contain personal investment or taxation advice. He/she/they have to the extent that he/she/they consider necessary sought his/her/their own financial, investment and taxation advice before deciding to invest in the Fund and making an application.

h. understand that applications and investments in the Fund are not deposits with or other liabilities of the Trustee, Investment Manager or any other person and are subject to investment risk, including possible loss of income and capital invested. None of the Trustee, Investment Manager or any other person guarantees any particular rate of return or the performance of the Fund, nor do they guarantee the repayment of capital from the Fund.

i. have provided information as part of this application that is true, correct and complete.

j. understand that where this Application Form is sent by email, he/she/they must also send the original signed Application Form, and certified copies of identity documents, to the address specified in the Application Form. None of the Trustee, Fund Administrator, Investment Manager or any of their duly appointed agents will be responsible to him/her/them for any loss resulting from the non-receipt or illegibility of any application sent by email or for any loss caused in respect of any action taken as a consequence of such an email believed in good faith to have originated from properly authorised persons.

k. confirm that the investment is for his/her/their own account (for individuals not acting as nominee)

l. If this application form is being signed under a power of attorney, have not received notice of revocation of that power.

Please sign the completed Application Form. By making the declarations outlined above and signing below this document is executed by you as a deed.

I/we certify that the information I/we have provided is true and correct. I/we also understand I/we must recertify if any of the information provided in this application form changes or becomes invalid.

Investor 1, {investor16} please sign below using your mouse or via touching your screen

Clear

Investor 1, {investor16} please type your name below *

Date: *

Date

Witnessed by:

Witness, please sign below using your mouse or via touching your screen

Clear

Witness, please type your name below *

Date: *

Date

Investor 2, {investor224} please sign below using your mouse or via touching your screen

Clear

Investor 2, {investor224} please type your name below

Date:

Date

Witnessed by:

Witness, please sign below using your mouse or via touching your screen

Clear

Witness, please type your name below

Date:

Date

Before submitting this form and certified identification documents, make sure you have (all three must be checked to submit form): *

Completed each section that applies to you, including indicating your investor communication preferences Signed and dated the form Provided all applicable certified investor identification documents (including those of any attorney signing under a power of attorney). Instructions as to how to certify your documents are provided after the "Investor Identification Documents" section. All foreign language documents must be accompanied by an English translation prepared by an accredited translator

Should you require any assistance completing this form please contact the Fund Administrator on:

+61 2 8278 9520

or

should you require any further information about the Fund please contact us:

+61(2) 8006 0604

info@manningam.com

manningam@eticore.com.au

Individuals (including joint investors)

Keeping you informed

Acknowledgment of Wholesale Investor Status

Investment Details and Direct Debit Request

Income Payment Instructions

Acknowledgment

Adviser Details

US Person Beneficial Ownership

Investor Identification Documents

Investor 1

Investor 1

AND

Investor 2

Investor 2

AND

Power of Attorney

Certification

Declarations

Signatures

Checklist

Trust Details

Is the trustee an individual(s) or company?

Individual

Company

Directors

Individual

Company