{"id":"court_sdny_654_5","court":"SDNY","case_no":"23-cr-00118","doc_number":654,"sub_number":5,"doc_type":"ORDER","filed_date":null,"title":"EXHIBIT E Subscription Document","summary_zh":"投资基金订阅协议（展示品） —— Hamilton Opportunity Fund SPC（开曼群岛隔离投资组合公司）Himalaya Digital Assets Fund SP 的 A 类股份认购协议。本文件为投资者提供订阅程序、身份认证 (KYC) 要求、汇款说明和投资条款，涉及 Hamilton Investment Management Ltd 作为投资经理、Ivy Capital Advisors Limited 作为投资顾问。","summary_en":"Subscription Document (Exhibit E) — Subscription agreement for Class A Shares in Himalaya Digital Assets Fund SP, a segregated portfolio of Hamilton Opportunity Fund SPC (a Cayman Islands Segregated Portfolio Company). Document outlines subscription procedures, Know-Your-Customer (KYC) compliance requirements, payment instructions, and terms for investors, with Hamilton Investment Management Ltd serving as investment manager and Ivy Capital Advisors Limited as investment adviser.","body_en":"# **EXHIBIT E**\n\n## **Subscription Document**\n\n**Class A Shares**\n\n## **Himalaya Digital Assets Fund SP**\n\n**a Segregated Portfolio of**\n\n#### **Hamilton Opportunity Fund SPC**\n\nA Segregated Portfolio of the Fund Hamilton Opportunity Fund SPC, A Cayman Islands Segregated Portfolio Company operating as a Fund under Section 4(3) of the Mutual Funds Law (Revised) of the Cayman Islands.\n\n**Investment Manager**\n\nHamilton Investment Management Ltd\n\n**Investment Adviser**\n\nIvy Capital Advisors Limited\n\n#### **INVESTMENT PROCEDURES**\n\n- 1. Please read the Offering Memorandum (the \"**Offering Memorandum**\") for Hamilton Opportunity Fund SPC (the \"**Fund**\") and this document in full, prior to subscribing for the Shares (as defined in the Offering Memorandum) of the Fund.\n- 2. Prospective investors are required to complete the two steps as listed below, in order for their subscriptions to be processed by the Fund Administrator:\n\t- o Complete, digitally sign and submit Know-Your-Customer (\"**KYC**\") application on the Fund's Dashboard, including uploading the required supplemental documentation. The completed \"KYC application\" will be appended to this Subscription Agreement as an Investor Supplement. The Investor Supplement will include information on the following: Investor profile, eligibility of the investor and an Anti-Money Laundering and Anti-Terrorism Compliance section.\n\t- o Complete, digitally sign and submit this Subscription Agreement.\n\t- o **The Fund Administrator being:**\n\nNAV Fund Administration Group, NAV Consulting | NAV Cayman | NAV Backoffice, 5th Floor Harbour Place, 103 South Church Street, George Town, Grand Cayman KY1-1202, CAYMAN ISLANDS, P: 1.630.954.1919, P: 1.345.946.5006, F: 1.630.596.8555 F: 1.345.946.5007 F: 1.630.954.2881, Transfer.agency@navconsulting.net\n\n- 3. By submitting this document via the Dashboard, you consent to the transmission of all the attached and appended information and documentation being sent to the Administrator.\n- 4. The Administrator accepts no responsibility for any risks associated with and/or incurred with the submission of information, form applications, Subscription Agreement(s) or any form of data uploaded or sent via the Fund's Dashboard, or by email, nor losses caused and/or incurred due to the non-receipt of any associated email(s) or PDF attachments.\n- 5. Payment for the Shares should be made by wire transfer using the payment instructions that will be sent via email after signing of this Subscription Document.\n- 6. The Fund has the right to accept or reject (in whole or part) any Subscription Agreement(s) and/or application(s) for the purchase of Shares.\n- 7. In the event that subscription monies are received in a currency other than Fund's base currency, conversion into the Fund's base currency will be arranged by the Investment Manager at your risk and expense. In addition, any bank charges or fees incurred in association and in connection with the wire transfers will be deducted from subscription and the net amount will be deemed as the amount invested in Shares.\n\t- o Fiat Subscription\n\nThe Subscriber undertakes to remit the subscription monies in full, net of bank charges, by electronic transfer so that cleared funds are received in the bank account of the Fund by no later than 5:00 pm on the last Business Day of the Initial Offer Period or 5:00 pm (London (United Kingdom) time) on the Business Day before the relevant Subscription Day, as applicable.\n\n- 8. The payment details will be sent to the potential investor after signing this agreement.\n- 9. If you have any queries on the procedure regarding the subscription process and payment, please contact the Fund or the Administrator.\n- 10. The Subscription Agreement, together with any supporting documents, must be received by no later than 5:00 pm (London (United Kingdom) time) on the Business Day which is three (3) Business Days before the last Business Day of the Initial Offer Period or 5:00 pm on the Business Day which is three (3) Business Days before the relevant Subscription Day, as applicable.\n\n#### **SUBSCRIPTION AGREEMENT**\n\nHamilton Opportunity Fund SPC\n\nMcGrath Tonner Corporate Services Limited, Genesis Building, 5th Floor, Genesis Close, PO Box 446 Grand Cayman KY1-1106, Cayman Islands\n\nRe: Application for Shares\n\nDear Sir:\n\nThe undersigned (the \"**Prospective Investor**\") hereby applies to become a shareholder (a \"**Shareholder**\") of Hamilton Opportunity Fund SPC, A Segregated Portfolio of the Fund Hamilton Opportunity Fund SPC, A Cayman Islands Segregated Portfolio Company operating as a Fund under Section 4(3) of the Mutual Funds Law (Revised) of the Cayman Islands. and to subscribe for Class A Shares or Participating Shares (\"Shares\") in the Fund upon the terms and conditions set out in this Subscription Document, in the Offering Memorandum, and in the Memorandum and Articles of Association of the Fund (the \"**Articles**\"), (collectively, the \"**Fund Documents**\") as each may be amended from time to time. Capitalised terms used herein but not defined herein shall have the meanings assigned to them in the Articles.\n\nAccordingly, the Prospective Investor agrees as follows:\n\n| Class of Shares :         | _____________________________                                              |\n|---------------------------|----------------------------------------------------------------------------|\n| Investor Type<br>:        | _____ Individual Ownership                                                 |\n|                           | _____ Trust                                                                |\n|                           | _____ Limited Partnership                                                  |\n|                           | _____ Limited Liability Company                                            |\n|                           | _____ Corporation                                                          |\n|                           | _____ Individual Retirement Account (IRA)                                  |\n|                           | _____ Joint (Tenants in Common)                                            |\n|                           | _____ Joint (with rights of survivorship)                                  |\n|                           | Other (Please specify) _________________                                   |\n| Full Name of<br>Investor: | ______________________________                                             |\n| Subscription<br>Amount:   | ______________________________                                             |\n| Wire<br>Instructions:     | Bank Name: The Reserve Trust Company                                       |\n|                           | Bank Address: 5600 S. Quebec St. Suite 205D Greenwood Village,<br>CO 80111 |\n\n#### **1. SUBSCRIPTION FOR SHARES**\n\n**Bank ABA/Routing:**\n\n**Recipient Name:** Medici Bank International\n\n**Recipient Address:** 1250 Ponce de Leon AVE. Suite 301 San Juan, PR 00907\n\n#### **Recipient Number:**\n\n#### **Reference/Memo (required):** FFC MBI Hamilton Opportunity Fund SPC\n\nHamilton\n\n**Further Credit Instructions:** Wiring Instructions of Record: Please note that redemption payments, in accordance with both the current Anti-Money Laundering regulatory environment and industry best practice, will be paid only to the bank account used for the subscription payment which should be noted below and certified as the bank account of record for the Investor. The titling of the bank account must match the titling of this subscription. If not, the Registrar and Transfer Agent and the Manager must be notified now regarding the discrepancy and its reason. The Registrar and Transfer Agent and/or the Manager may reject any subscription at any time where payment is sourced from a different bank account than the bank account of record or a bank account with different titling than the subscription, regardless of whether such payment was received in advance or accordance with the payment deadline requirements.\n\n- o The Prospective Investor agrees to become a Shareholder of the Fund on and subject to the terms and conditions of the Fund Documents and, in connection therewith, subscribes for and agrees to make the investment for the number of Shares (including fractional Shares) which can be acquired for the subscription amount set out below at the subscription price per Share set forth in the Offering Memorandum.\n- o Payment in cleared funds for Shares must be received prior to the closing date for subscriptions specified in the Offering Memorandum. Subject to any legal or regulatory restrictions, the Prospective Investor's payment (the \"**Payment**\") will be held by the Fund (or its delegate) in trust in a segregated non-interest bearing account.\n- o The minimum initial subscription is USD100,000.00, subject to the discretion of the Board of Directors of the Fund (the \"**Board**\") to accept a lower amount.\n- o The minimum subscription amount for additional shares is USD10,000.00.\n- o Investors may subscribe for additional Shares by completing the additional Subscription Form via the Dashboard or by completing a digital copy of the additional Subscription Form by hand and email the scanned copy to the Fund or to the Administrator.\n- o The Prospective Investor understands and agrees that the Fund reserves the right to reject this subscription for Shares for any reason or no reason, in whole or in part, and at any time prior to its acceptance. If the subscription is rejected in full, the Payment will be returned to the Prospective Investor and this Subscription Agreement shall have no force or effect. Acceptance of this subscription by the Fund shall take place by the entry of the Prospective\n\nInvestor's name on the Register of Members of the Fund, at which time the Prospective Investor shall become a Shareholder of the Fund and shall be subject to the terms and conditions of the Fund Documents.\n\n#### **2. Subscriber information:**\n\n| <b>Signature:</b>                                              | ________________________________________________<br>________________________________________________ |\n|----------------------------------------------------------------|------------------------------------------------------------------------------------------------------|\n| <b>Subscriber's Primary<br/>Physical (Street)<br/>Address:</b> | ________________________________________________<br>________________________________________________ |\n| <b>Email Address</b>                                           | ________________________________________________                                                     |\n| <b>Phone Number:</b>                                           | ________________________________________________                                                     |\n| <b>Date of Birth:</b>                                          | ________________________________________________                                                     |\n| <b>Country of Birth:</b>                                       | ________________________________________________                                                     |\n| <b>Country of<br/>Citizenship:</b>                             | ________________________________________________                                                     |\n| <b>Date of Formation:</b>                                      | ________________________________________________                                                     |\n| <b>Country of<br/>Formation:</b>                               | ________________________________________________                                                     |\n\n#### **3. REPRESENTATIONS AND COVENANTS OF THE PROSPECTIVE INVESTOR**\n\n- o The Prospective Investor represents and warrants that (i) it is a person who is able to acquire and hold the Shares without breaching the law or requirements of any country, regulatory body or government authority (an \"**Eligible Investor**\"); and (ii) it is not acting on behalf of, or for the benefit of, nor does it intend transferring any Shares which it may hold from time to time to, any person who is not an Eligible Investor. The Prospective Investor agrees that it will notify the Fund immediately if it becomes aware that it, or any person for whom it holds the Shares, has ceased to be an Eligible Investor.\n- o The Prospective Investor represents and warrants that it is not a U.S. Person for the purposes of the United States Securities Act, 1933 (as amended) and that all offers to acquire the Shares were made to or by the Prospective Investor while the Prospective Investor was outside the United States, and the Prospective Investor's request to acquire the Shares originated while the Prospective Investor was outside of the United States. The Prospective Investor agrees that it will notify the Fund immediately if it becomes a U.S. person or is no longer a Non-United States person or if it becomes aware that any person for whom it holds the Shares has become a U.S. person or is no longer a Non-United States person. The Prospective Investor (i) covenants that it will not resell, reoffer or transfer any Shares or any interest therein, except with the consent of the Fund, to a U.S. Person; (ii) acknowledges that reoffers, resales or any transfer of the Shares may be made only in compliance with applicable securities laws and only with the prior authorisation of the Fund, which may, in its discretion, decline to issue any Shares to, or register Shares\n\nin the name of, any person; and (iii) understands that a transfer of Shares may only be effected on the books of the Fund and acknowledges that the Shares shall be transferable only to investors who are Eligible Investors as described in the Offering Memorandum. The Prospective Investor understands that the Fund may compulsorily redeem or repurchase all or any portion of a Shareholder's Shares in accordance with the Fund Documents.\n\n- o The Prospective Investor has received, carefully read and understands the Fund Documents, including the sections of the Offering Memorandum outlining, among other things, the investment objectives and strategy of the Fund. The Prospective Investor acknowledges that it has made an independent decision to invest in the Fund and that, in making its decision to subscribe for Shares, the Prospective Investor has relied solely upon the Fund Documents and any independent investigations made by the Prospective Investor. The Prospective Investor is not relying on the Fund, the Fund's Board, the Administrator, or any other person or entity with respect to the legal, tax and other economic considerations involved in investment in the Fund other than the Prospective Investor's own advisers.\n- o The Prospective Investor confirms that it has not been invited as a member of the public in the Cayman Islands to subscribe for Shares.\n- o The Prospective Investor acknowledges that it is not subscribing for Shares as a result of, or pursuant to: (i) any advertisement, article, notice or other communications published in any newspaper, magazine or similar media (including any internet site whose information about the Fund is not password protected) or broadcast over television or radio; or (ii) any seminar or meeting whose attendees, including the Prospective Investor, had been invited as a result of, or pursuant to, any of the foregoing.\n- o The Prospective Investor acknowledges that it will receive or have access to confidential proprietary information concerning the Fund, including, without limitation, portfolio positions, valuations, information regarding potential investments, financial information, trade secrets and the like (collectively, \"Confidential Information\"), which is proprietary in nature and non-public. The Prospective Investor agrees that it shall not disclose or cause to be disclosed any Confidential Information to any person or use any Confidential Information for its own purposes or its own account, except in connection with its investment in the Fund and except as otherwise required by any regulatory authority, law or regulation, or by legal process. The Prospective Investor will notify the Fund of any such disclosure requirement as soon as reasonably practicable (including the basis upon which it believed the information was required to be disclosed) unless such notice is otherwise prohibited by applicable law or the relevant central bank or any governmental, regulatory or taxation authority. Furthermore, the Prospective Investor has not reproduced, duplicated or delivered the Fund Documents or this Subscription Agreement for or to any other person, except professional advisers to the Prospective Investor or as instructed or authorised by the Fund. Notwithstanding the foregoing, the Prospective Investor (and each employee, representative or other agent of the Prospective Investor) may disclose to any and all persons, without limitation of any kind, the tax treatment and tax structure of: (i) the Fund; and (ii) any of its transactions, and all materials of any kind (including opinions or other tax analyses) that are provided to the Prospective Investor relating to such tax treatment and tax structure.\n- o The Prospective Investor has consulted appropriate professional advisors to the extent it deems necessary concerning the propriety and appropriateness of making an investment in the Fund. The Prospective Investor is fully informed as to the legal, tax and regulatory requirements within the Prospective Investor's own country (or countries) and any other relevant country (or countries) regarding the investment in the Fund.\n- o The Prospective Investor is acquiring the Shares for its own account, for investment purposes only and not with a view toward distributing or reselling the Shares in whole or in part.\n- o The Prospective Investor understands that: (i) no governmental agency has passed upon the Shares or made any findings or determination as to the fairness of this investment; and (ii) the representations, warranties, agreements, undertakings and acknowledgments made by the Prospective Investor in this Subscription Agreement will be relied upon by the Fund, the Board, the Administrator and the Investment Manager, in determining the Prospective Investor's suitability as a subscriber for Shares and the Fund's compliance with various securities laws, and shall survive the Prospective Investor's becoming a Shareholder of the Fund.\n- o The Prospective Investor has all requisite power, authority and capacity to acquire and hold Shares and to execute, deliver and comply with the terms of each of the instruments required to be executed and delivered by the Prospective Investor in connection with the Prospective Investor's subscription for Shares, including this Subscription Agreement, and such execution, delivery and compliance does not conflict with, or constitute a default under, any instruments governing the Prospective Investor, any law, regulation or order, or any agreement to which the Prospective Investor is a party or by which the Prospective Investor may be bound. If the Prospective Investor is an entity, the person executing and delivering each of such instruments on behalf of the Prospective Investor has all requisite power, authority and capacity to execute and deliver such instruments, and, upon request by the Fund, the Administrator or the Investment Manager, will furnish to the Fund a true and correct copy of any instruments governing the Prospective Investor, including all amendments thereto.\n- o All information which the Prospective Investor has provided to the Fund, the Administrator or the Investment Manager concerning the Prospective Investor, the Prospective Investor's status, financial position and knowledge and experience of financial, tax and business matters, or, in the case of a Prospective Investor that is an entity, the knowledge and experience of financial, tax and business matters of the person making the investment decision on behalf of such entity, is correct and complete as of the date hereof.\n- o The Prospective Investor understands that the value of its Shares and redemptions thereof, and the performance of the Fund, may be based on unaudited and, in some cases, estimated valuations of the Fund's investments and that valuations provided in an Prospective Investor's account statement may be an unaudited, estimated value.\n- o The Prospective Investor understands and agrees that, although the Fund, the Investment Manager and the Administrator will use their reasonable efforts to keep the information provided in the answers to this Subscription Agreement strictly confidential, the Fund, the Investment Manager and the Administrator may present this Subscription Agreement and the information provided in\n\nanswers to it to such parties (e.g., affiliates, attorneys, auditors, administrators, brokers and regulators) as it deems necessary or advisable to facilitate the acceptance and management of the Prospective Investor's subscription for Shares including, but not limited to, in connection with anti-money laundering and similar laws, if called upon to establish the availability under any applicable law of an exemption from registration of the Shares, the compliance with applicable law and any relevant exemptions thereto by the Fund, the Investment Manager, the Administrator and/or any of their affiliates, or if the contents thereof are relevant to any issue in any action, suit, or proceeding to which the Fund, the Investment Manager, the Administrator and/or any of their affiliates are a party or by which they are or may be bound. The Fund may also release information about the Prospective Investor if directed to do so by the Prospective Investor, if compelled to do so by law, or in connection with any government or self-regulatory organization request or investigation. The Fund seeks to carefully safeguard investor's private information and to that end, the Fund restricts access to non public personal information to those employees and other persons who need to know to enable the Fund to provide services to its investors. The Fund maintains physical, electronic and procedural safeguards to protect investor's non-public information.\n\n- o The Prospective Investor understands and agrees that any redemption proceeds paid to it will be paid to the same account from which the subscription monies for the Prospective Investor's investment in the Fund were originally remitted, unless the Fund agrees otherwise.\n- o The Prospective Investor acknowledges and understands that after the relevant lock-up period (if any) its investment in the Fund cannot be withdrawn except by way of redemption of Shares in accordance with the terms of the Memorandum and the Articles and that with effect from the Redemption Day in respect of which a redemption request for any Shares is received, it shall (save as provided below) cease to be entitled to any rights in respect of such Shares and accordingly, its name will be removed from the Register of Members of the Fund with respect thereto. The Prospective Investor understands and agrees that notwithstanding that its name may remain on the Register of Members of the Fund pending determination of the Redemption Price and/or payment of the redemption proceeds, it will (in the event it requests the redemption of all or any part of its Shares on any particular Redemption Day), with effect from that Redemption Day (i) be treated as a creditor of the Fund (rather than as a Shareholder of the Fund) in respect of the Redemption Price and will rank accordingly in the event of a winding up of the Fund; and (ii) have no rights as a Shareholder of the Fund in respect of the Shares being redeemed, save for the right to receive the Redemption Price in accordance with the Articles of Association and the right to receive any dividend which has been declared in respect of such Shares prior to that Redemption Day and, in particular, will not have the right to convene, receive notice of, attend or vote at any meetings of the Fund.\n- o The Prospective Investor acknowledges and understands that in the event of a failure or delay by a Shareholder of the Fund seeking to redeem its Shares to produce any information required for verification purposes, payment of the redemption proceeds may be delayed and neither the Fund, the Administrator nor the Investment Manager (or any of their delegates or agents) will be liable\n\nto the Prospective Investor for any loss suffered as a result of the delay of payment of redemption proceeds.\n\no The Prospective Investor agrees and covenants that it shall not take any action to present a petition or commence any case, proceeding, proposal or other action under any existing or future law of any jurisdiction, domestic or foreign, relating to bankruptcy, insolvency, reorganization, arrangement in the nature of insolvency proceedings, adjustment, winding-up, liquidation, dissolution, composition or analogous relief with respect to the Fund or the debts of the Fund unless and until a debt is immediately due and payable by the Fund to the Investor.\n\n#### **4. ANTI-MONEY LAUNDERING**\n\n- o The Prospective Investor acknowledges that, in order to comply with measures aimed at the prevention of money laundering and terrorism, the Fund and/or any of its delegates or agents may require verification of the identity of the Prospective Investor and the source of the Prospective Investor's subscription monies before this application can be processed. The Prospective Investor undertakes to provide (i) such information and documentation as the Fund and/or any of its delegates or agents may request to verify its identity in compliance with applicable anti-money laundering laws and regulations; and (ii) any further information and documentation as the Fund and/or any of its delegates or agents may request from time to time to ensure ongoing compliance with applicable laws and regulations.\n- o The Prospective Investor acknowledges in the event of delay or failure by the Prospective Investor to produce any information required for verification purposes, this application may be refused or there may be a delay in processing this application. The Prospective Investor further acknowledges that neither the Fund nor any of its delegates or agents shall be liable for any loss arising as a result of a failure to process the Prospective Investor's application for Shares if such information and documentation as has been requested has not been provided by the Prospective Investor. The Prospective Investor agrees to indemnify and hold harmless the Fund and its delegates and agents against any loss incurred by them due to such information and documentation as has been requested not being provided by the Prospective Investor.\n- o The Prospective Investor represents and warrants that it is not, nor is any person or entity controlling, controlled by or under common control with the Prospective Investor, acting, directly or indirectly (i) in contravention of any applicable laws and regulations, including anti-money laundering regulations or conventions; (ii) on behalf of terrorist or terrorist organisations, including those persons or entities that are included on the List of Specially Designated Nationals and Blocked Persons maintained by the U.S. Treasury Department's Office of Foreign Assets Control (OFAC) or on any lists or resolutions issued by the United Nations (whether through the Security Council or otherwise) pursuant to which dealings with persons specified therein are prohibited, restricted or discouraged, as such lists may be amended from time to time; (iii) for a senior foreign political figure, any member of a senior foreign political figure's immediate family or any close associate of a senior foreign political figure unless the Directors, after being specifically notified by the Prospective Investor in writing that it is such a person, conducts further due diligence and determines that the Prospective Investor shall be permitted to invest in the\n\nFund; or (iv) as trustee, agent, representative or nominee for a foreign shell bank, (each such person in (i) to (iv), a \"**Prohibited Person**\").\n\n- o The Prospective Investor represents and warrants that to the extent the Prospective Investor has any beneficial owners it has carried out due diligence to establish the identities of such beneficial owners and, based on the evidence it holds of the identities of such beneficial owners, the Prospective Investor reasonably believes that no such beneficial owner is a Prohibited Person.\n- o The Prospective Investor agrees that to the extent the Prospective Investor has any beneficial owners (i) it will maintain evidence of the identities of such beneficial owners for at least five years from the date of the Prospective Investor's complete redemption from the Fund; and (ii) it will make available such evidence and any additional evidence that the Fund may require upon request in accordance with applicable regulations.\n- o The Prospective Investor acknowledges that if any of the representations, warranties or agreements in this clause cease to be true or if the Fund no longer reasonably believes that it has satisfactory evidence as to their truth, the Fund may be obligated to take certain actions relating to the Prospective Investor's holding of Shares. Such action may include disclosing the Prospective Investor's identity to OFAC or other authority. The Prospective Investor acknowledges and agrees that if the Fund is required to take any such action, it shall have no claim against the Fund for any form of damages as a result of any of such actions.\n- o The Prospective Investor acknowledges that pursuant to the Proceeds of Criminal Conduct Law of the Cayman Islands, if a person who is a resident in the Cayman Islands knows or suspects that a payment to the Fund (by way of subscription or otherwise) represents proceeds of criminal conduct, that person must report his knowledge or suspicion to the reporting authority. The Prospective Investor acknowledges that any such report shall not be treated as a breach of any restriction upon the disclosure of information imposed by law or otherwise.\n- o Where this application is made as trustee, custodian, nominee or otherwise on behalf of another person or persons (each such person an \"**underlying investor**\"), the Prospective Investor (i) represents and warrants that (a) it has carried out reasonable verification checks on, and obtained sufficient evidence as to the identity of, each underlying investor on whose behalf the Prospective Investor will be holding the Shares so as to satisfy itself of the identity of the underlying investor or the ultimate beneficial owners of the underlying investor, as applicable, and of the provenance and legitimacy of the source of funds used to subscribe for the Shares; and (b) it has otherwise complied with the laws and regulations relating to anti-money laundering procedures that are applicable in the jurisdiction where such Shares are offered or distributed and (ii) agrees to disclose to the Fund and/or any of its delegates or agents and/or any competent regulatory authority, all relevant documentation and information held by it in relation to the underlying investor and, if required, agrees to obtain the consent of the underlying investor to such disclosure.\n- o For Anti-Money Laundering purposes, please describe specifically:\n\n(Please fill out the section as applicable to the investor)\n\nThe source of the money/ wealth/ income used for this investment:\n\n\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\n\n\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\n\n\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\n\n\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\n\n\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\n\n\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\n\n\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\n\n\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\n\n\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\n\n\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\n\n\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\n\n\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\n\n**For Individual Investors:** The occupation of the Investor:\n\nPurpose of the Investment:\n\nExpected frequency of transactions:\n\nThe source of the money/ wealth/ income used for this investment:\n\n**For Entity Investors:**\n\nThe nature of the investor's business:\n\nPurpose of the Investment:\n\nExpected frequency of transactions:\n\n#### o **GENERAL**\n\n- The Prospective Investor hereby acknowledges that the Investment Manager, the Administrator, and each director and officer of the Fund are entitled to be indemnified (for all indemnities provided in this Subscription Agreement) out of the assets of the Fund as provided in the Fund Documents.\n- This Subscription Agreement (i) shall be binding upon the Prospective Investor and the heirs, legal representatives, successors, and permitted\n\nassigns of the Prospective Investor and shall inure to the benefit of the Fund and its successors and assigns, (ii) shall be governed, construed, and enforced in accordance with the laws of the Cayman Islands, (iii) shall survive the acceptance of the Prospective Investor as a Shareholder of the Fund, and (iv) shall, if the Prospective Investor consists of more than one person, be the joint and several obligation of each such person.\n\n- The Prospective Investor hereby irrevocably agrees that any suit, action or proceeding with respect to this Subscription Agreement or the Fund and any or all transactions relating hereto and thereto may be brought in the courts of the Cayman Islands. The Prospective Investor hereby irrevocably (i) submits to the jurisdiction of such courts with respect to any such suit, action or proceeding and agrees and consents that service of process as provided by Cayman Islands law may be made upon the Prospective Investor in any such suit, action or proceeding brought in any of said courts, and may not claim that any such suit, action or proceeding has been brought in an inconvenient forum and (ii) consents to the service of process out of any of the aforesaid courts, in any such suit, action or proceeding, by the mailing of copies thereof, by certified or registered mail, return receipt requested, addressed to the Prospective Investor at the address of the Prospective Investor then appearing on the records of the Fund. Nothing contained herein shall affect the right of the Fund to commence any action, suit or proceeding or otherwise to proceed against the Prospective Investor in any other jurisdiction or to serve process upon the Prospective Investor in any manner permitted by any applicable law in any relevant jurisdiction.\n- If any provision of this Subscription Agreement is invalid or unenforceable under any applicable law, then such provision shall be deemed inoperative to the extent that it may conflict therewith and shall be deemed modified to conform with such applicable law. Any provision hereof which may be held invalid or unenforceable under any applicable law shall not affect the validity or enforceability of any other provisions hereof, and to this extent the provisions hereof shall be severable.\n- If any answers provided or background documentation required under this Subscription Agreement is found to be false, forged or misleading, the Prospective Investor understands that the Fund may compulsorily redeem or repurchase the Shares held by such Prospective Investor in accordance with the Fund Documents.\n\n#### o **INFORMATION PROVIDED IN THIS SUBSCRIPTION AGREEMENT**\n\n- The Prospective Investor represents and warrants that the information given in this Agreement is true, accurate and complete in all respects and may be relied upon by the Fund and/or any of its delegates and agents.\n- The Prospective Investor agrees to notify the Fund promptly of any change with respect to any information given in this Agreement or if any of the warranties, representations or statements in this Agreement are no longer accurate and complete in all respects.\n- The Prospective Investor agrees that it will, if requested to do so, provide such certifications, documents or other evidence as the Fund and/or any of its delegates or agents may reasonably require in connection with the Prospective Investor's holding of Shares, including to substantiate the warranties, representations or statements contained in this Agreement.\n- The Prospective Investor agrees that if it provides information or documentation to the Fund that is in anyway misleading, or fails to provide the Fund, its delegates or agents with any requested information or documentation or otherwise takes any action which directly or indirectly causes the Fund to suffer any liability, cost, expense, tax, withholding or deduction, the Fund may hold back from any redemption proceeds or distributions and retain, an amount sufficient to discharge any such liability, cost, expense, tax, withholding or deduction.\n\n#### o **FATCA/CRS**\n\n For the purpose of this clause, \"**FATCA/CRS**\" means: (i) sections 1471 to 1474 of the United States Internal Revenue Code of 1986, the Standard for Automatic Exchange of Financial Account Information developed by the Organisation for Economic Co-operation and Development (each as amended from time to time), and any associated legislation, regulations or guidance, or similar legislation, regulations or guidance enacted in any jurisdiction which seeks to implement similar tax reporting and withholding tax regimes and common reporting standards; (ii) any intergovernmental agreement, common reporting standard, treaty, regulation, guidance or any other agreement between the Cayman Islands (or any Cayman Islands government body) and the United States or any other jurisdiction (including any government bodies in such jurisdiction), entered into in order to comply with, facilitate, supplement or implement the legislation, regulations or guidance described in paragraph (i) above (including without limitation (a) the Agreement between the Cayman Islands government and the government of the United States of America to improve tax compliance and to implement FATCA signed on 29 November 2013; and (b) the Multilateral Competent Authority Agreement on Automatic Exchange of Financial Account Information signed by the Cayman Islands government on 29 October 2014, each as amended from time to time); and (iii) any legislation, regulations or guidance in the Cayman Islands giving effect to the matters outlined in paragraphs (i) and (ii) above including without limitation the Tax Information Authority Law (2017 Revision) (as amended), the Tax Information Authority (International Tax Compliance) (United States of America) Regulations, 2014 (as amended), the Tax Information Authority (International Tax Compliance) (Common Reporting Standard) Regulations, 2015 (as amended), and the Guidance Notes on (i) the International Tax Compliance Requirements of the Intergovernmental Agreement between the Cayman Islands and the United States of America, or (ii) the Common Reporting Standard for Automatic Exchange of Financial Account Information in Tax Matters, or other guidance promulgated thereunder.\n\n- \"**FATCA/CRS Liabilities**\" means any withholding(s) (including without limitation U.S. withholding tax), costs, debts, expenses, penalties, obligations, losses or liabilities (including without limitation all costs, legal fees, professional fees and other costs) incurred by the Fund, the Investment Manager, the Administrator or any agent, delegate, employee, director, officer or affiliate of any of the foregoing persons for or arising out of or in connection with FATCA/CRS.\n- In order to comply with FATCA/CRS, the Fund, the Investment Manager, the Administrator or any agent, delegate, employee, director, officer or affiliate of any of the foregoing persons (each, a \"Relevant Person\") shall be entitled to release and to disclose to the Cayman Islands Government (and any department, ministry, agency and representative thereof, including without limitation the Cayman Islands Tax Information Authority) or any other state or governmental department or taxation or other authority (each, a \"Relevant Authority\") in relation to FATCA/CRS any information in its or its agents' or delegates' possession regarding a Prospective Investor (which for the purpose of this clause shall include a Shareholder and a person that has ceased to be a Shareholder) including without limitation financial information, information regarding the Prospective Investor's investment in the Fund and any information relating to any shareholders, principals, partners, beneficial owners (direct or indirect) or controlling persons (direct or indirect) of such Prospective Investor.\n- By becoming an Investor, the Prospective Investor acknowledges and agrees that:\n\t- any Relevant Person may disclose the identity of, and information relating to, the Prospective Investor (including without limitation any of the information specified in (b) above) to any Relevant Authority in order to comply with FATCA/CRS and or avoid any FATCA/CRS Liabilities;\n\t- the Prospective Investor shall take any action and provide any information and documentation that any Relevant Person requires for the Fund to (A) enter into, maintain or otherwise comply with FATCA/CRS or (B) comply with any due diligence, reporting, withholding, or other requirements under FATCA/CRS;\n\t- the Fund may exercise all available rights and remedies to ensure that all FATCA/CRS Liabilities are borne economically by the relevant Prospective Investor, the status, action or inaction of which results or may result in such withholding or noncompliance (in each case directly or indirectly, including by virtue of the status, action or inaction of any person related or connected to such Prospective Investor, including without limitation the Prospective Investor's direct or indirect shareholders, principals, partners, beneficial owners (direct or indirect) or controlling persons (direct or indirect); and\n\t- the Prospective Investor shall promptly notify the Fund if there is any change of circumstances that renders the information furnished under this Subscription Agreement or otherwise\n\nprovided to any Relevant Person in respect of FATCA/CRS incorrect.\n\n- The Prospective Investor acknowledges and agrees that if (i) it does not provide the requested information or documentation or has not itself complied with the applicable requirements of FATCA/CRS, whether or not that actually leads to compliance failures by the Fund, or (ii) the Board in its sole discretion determines that there is a risk of FATCA/CRS Liabilities, the Board reserves the right to take any action and pursue all remedies at its disposal (including without limitation the immediate compulsory redemption or withdrawal of the Prospective Investor from the Fund for an amount equal to the Net Asset Value of the Prospective Investor's Shares, the compulsory transfer, re-designation or conversion of the Prospective Investor's Shares, the allocation of the relevant FATCA/CRS Liabilities to the Prospective Investor and the deduction of such allocations from any account of, or distribution or other payment due to, the Prospective Investor).\n- The Prospective Investor shall indemnify each Relevant Person for any FATCA/CRS Liabilities arising out of any failure on the part of the Prospective Investor (directly or indirectly, including by virtue of the status, action or inaction of any person related or connected to such Prospective Investor, including without limitation direct or indirect shareholders, principals, partners, beneficial owners (direct or indirect) or controlling persons (direct or indirect) of such Prospective Investor) to comply in a timely manner with FATCA/CRS and its obligations under this clause, such indemnity to be the fullest extent permitted by applicable law. The indemnity obligation of the Prospective Investor will survive the closing date and shall continue (i) where the Prospective Investor is a Shareholder and where the Shareholder has redeemed but has not received the proceeds of redemption whether or not the date for Redemption Day has passed, and (ii) where the Prospective Investor has redeemed and received the proceeds of redemption.\n- For the purposes of FATCA/CRS, the Prospective Investor shall be required to self-certify and complete the necessary self-certification forms and or provide such other documents as may be required from time to time by any Relevant Person.\n- To the extent the Prospective Investor is affected by any action or remedy pursued by or on behalf of the Fund in order to comply with FATCA/CRS, it shall not have any claim against any Relevant Person or any other Prospective Investor or Shareholder or any agent, delegate, employee or director, officer or affiliate of any of the foregoing persons for any form of damages or liability as a result of such action or remedy and the Prospective Investor shall be deemed to have consented to the taking of such action or the exercise of such remedy and to have waived any and all rights or claims in respect thereof, to the fullest extent permitted by applicable law.\n- This clause shall survive termination of this Agreement and for the avoidance of doubt shall survive where the Prospective Investor has ceased to be a Shareholder of the Company.\n\n#### o **RIGHTS UNDER THE CONTRACTS (RIGHTS OF THIRD PARTIES) LAW, 2014**\n\n- In accordance with section 4 of The Contracts (Rights of Third Parties) Law 2014, the indemnified parties specified in clause 4(a) of this Subscription Agreement (save the Fund which is already a party to this Subscription Agreement) shall be entitled to enforce all of the rights and benefits under clauses 4(a) of this Subscription Agreement at all times as if they were a party to this Subscription Agreement.\n- The indemnified parties in clause 4(a) of this Subscription Agreement (save the Fund which is already a party to this Subscription Agreement) may not bring any action to enforce their rights under this Subscription Agreement without the prior written consent of the Fund, which may be withheld at the sole discretion of the Fund.\n- The consent of the indemnified parties specified in clause 4(a) of this Subscription Agreement (save the Fund which is already a party to this Subscription Agreement) is not required for any rescission or variation of this agreement agreed to by the Fund and the Prospective Investor, or any termination of this agreement by the Fund and the Prospective Investor.\n- The indemnified parties specified in clause 4(a) of this Subscription Agreement (save the Fund which is already a party to this Subscription Agreement) may not assign their rights, in whole or in part, under this Subscription Agreement without the prior written consent of the Fund.\n\n#### o **DATA PROTECTION**\n\n- The Prospective Investor acknowledges and agrees that information supplied on this Agreement and otherwise in connection with the Prospective Investor's application for Shares (collectively \"**Personal Information**\") may be held by the Fund and/or its delegates and agents and may be used for the purpose of:\n- processing the Prospective Investor's subscription for Shares and completion of information on the register of Shareholders;\n- carrying out the Prospective Investor's instructions or responding to any enquiry purporting to be given by the Prospective Investor or on behalf of the Prospective Investor;\n- dealing in any other matters relating to the Prospective Investor's holding of Shares (including the mailing of reports or notices); or\n- observing any legal, governmental or regulatory requirements of any relevant jurisdiction (including any disclosure or notification requirements to which any recipient of the data is subject).\n- The Prospective Investor acknowledges and agrees that, subject to the requirements of applicable law, the Fund and/or its delegates and agents may:\n- retain Personal Information after the Prospective Investor has redeemed or transferred all of its Shares and after the termination of the Fund;\n- maintain Personal Information on computer systems based or maintained in such places as the Fund and/or its delegate or agent determines, which may be in countries that have not enacted data protection legislation;\n- disclose and transfer Personal Information, by any method including electronically and/or by making available the original or a copy of this Agreement, to:\n\t- the Fund and/or any delegate or agent of the Fund and/or the professional advisers of any of them and/or any of their employees, officers, directors, agents and/or affiliates; or\n\t- any third party employed to provide administrative, computer or other services or facilities to any person to whom data is disclosed or transferred as aforesaid; or\n- disclose Personal Information where such disclosure is required by any law or order of any court or pursuant to any direction, request or requirement (whether or not having the force of law) of any central bank or governmental or other regulatory or taxation authority.\n\n#### o **POWER AND AUTHORITY**\n\n If the Prospective Investor is an entity: The person executing this Agreement for the Prospective Investor represents and warrants that he or she is duly authorised to do so and the Prospective Investor has the full power and authority under its governing instruments to acquire the Shares. The Prospective Investor represents and warrants that:\n\n- it is duly organised, validly existing and in good standing under the laws of its jurisdiction of organisation;\n- the execution and delivery of this Agreement and performance by it of its terms (i) are within its powers and have been duly authorised by all necessary actions on its behalf, (ii) require no action by or in respect of, or filing with, any governmental body, agency or official (except as disclosed in writing to the Fund), and (iii) do not contravene, or constitute a breach of or default under any provision of applicable law or governmental rule, regulation or policy statement or of its certificate of incorporation or other comparable organisational documents or any agreement, judgment, injunction, order, decree or other instrument binding upon it; and\n- this Agreement constitutes a valid and binding agreement of the Prospective Investor and is enforceable against the Prospective Investor in accordance with its terms.\n- If the Prospective Investor is acting as trustee, agent, representative or nominee for another person or entity (a Beneficial Owner): The Prospective Investor understands and acknowledges that the representations, warranties and agreements made in this Agreement are made by the Prospective Investor (a) with respect to the Prospective Investor, and (b) with respect to the Beneficial Owner. The Prospective Investor represents and warrants that it has all requisite power and authority from the Beneficial Owner to execute and perform the obligations under this Agreement.\n- If the Prospective Investor is an individual: The Prospective Investor represents and warrants that (a) this Agreement constitutes a valid and binding agreement of the Prospective Investor and is enforceable against the Prospective Investor in accordance with its\n\nterms, and (b) the Prospective Investor has legal competence and capacity to execute this Agreement.\n\n#### o **INDEMNITY**\n\nThe Prospective Investor agrees to indemnify and keep indemnified the Fund and its directors, officers and employees, from and against any and all costs, claims, demands, liabilities, expenses, damages or losses including, without limitation, consequential losses and loss of profit and all interest, penalties and legal and other professional costs and expenses due to, or arising out of, breach of any of the representations, warranties, acknowledgements, undertakings or agreements by the Prospective Investor contained in this Agreement.\n\n#### o **GOVERNING LAW AND JURISDICTION**\n\nThis Agreement shall be governed by, and shall be construed in accordance with, the laws of the Cayman Islands. Each party irrevocably agrees to submit to the non-exclusive jurisdiction of the courts of the Cayman Islands in respect of any claim or matter arising under or in connection with this Agreement.\n\n#### o **COUNTERPARTS**\n\nThis Subscription Agreement may be executed in any number of counterparts, each of which when so executed shall be deemed an original but all such counterparts shall constitute one and the same instrument. Delivery of a counterpart signature page by facsimile transmission or by email transmission of an Adobe Portable Document Format file (or similar electronic record) shall be effective as delivery of an executed counterpart signature page.\n\n### **5. Tax Fund Rules**\n\n#### **6. Cayman Funds Tax Form Rules**\n\n- 7. For CRS (Common Reporting Standard) in the Cayman Islands, all Investors need to provide a fully completed and signed Cayman Islands Self Certification Form.\n- **8. Non-US Funds ID Rules**\n- 9. **Individual Subscribers** are required to provide a photocopy of a valid passport along with one additional form of government-issued identification (usually driver's license). If language of document is not in English, please provide explanation of document and appropriate translation of fields and data appearing on the identification into English.\n- 10. **Entity (non-individual) Subscribers** are required to provide copies of their formative documents, a list of authorized signatories with specimen signatures and confirmation of the corporate authority of such signatories. If not in English, please provide explanation of document and appropriate translation of fields and data into English.\n- 11. **Entity (non-individual) Subscribers** are additionally required by the Anti-Money Laundering Regulations, 2017 of the Cayman Islands to provide their beneficial ownership detail and identification of controlling parties.\n- \"Beneficial owner\" means the natural person who ultimately owns or controls the subscriber or on whose behalf this subscription transaction is being conducted.\n- For any natural person with beneficial ownership interest in the Subscriber of more than 10%, please provide first and last name, source of wealth, citizenship, date of birth, and a copy of valid passport or other valid photo government identification.\n- For any entity or trust with beneficial ownership interest in the Subscriber of more than 10%, please detail list entity's owners and provide for each first and last name, source of wealth, citizenship, date and place of birth, and a copy of valid passport or other valid photo government identification.\n- Also for any entity, please provide name of at least one individual with significant responsibility for managing the entity (controlling party). This can include any executive officer or senior manager or any other individual who regularly performs similar functions such as Managing Member, Director, or General Partner. Please provide for such controlling parties their first and last name, citizenship, date and place of birth, and a copy of valid passport or other valid photo government identification.\n\n**Partnerships** are required to provide a copy of the government registration of the Partnership with along with a copy of the signed Partnership Agreement identifying the General Partner and/or the designate empowered to sign this document. Please see items 2-4 above for significant additional beneficial ownership requirements.\n\n**Corporations** are required to provide a copy of the government registration of the Corporation with along with a copy of its articles of incorporation with officer signatures. We additionally request a signed, certified corporate resolution identifying the corporate officer(s) empowered to sign the Subscription Document. Please see items 2-4 above for significant additional beneficial ownership requirements.\n\n**Trusts** are required to provide a full copy of the Trust Agreement. We can alternatively accept copies of pages from the Trust showing the following relevant sections: articles establishing Trust (showing name of the Trust) and naming Trustees, and articles/clauses showing Trustee signatures. A valid passport or other government-issued identification (with photo) will be requested for Trustees of the Trust. If the Subscriber is a trust, please provide for each settlor, grantor, donor, and trustee their first and last name, source of wealth, citizenship, and date and place of birth.\n\n#### *FOR INTERNAL USE ONLY*\n\n*To be completed by a Director on behalf of Hamilton Opportunity Fund SPC*\n\n*SUBSCRIPTION ACCEPTED*\n\n*By:*\n\n*Date:*\n\n#### **SIGNATURE PAGE**\n\nThe undersigned hereby represents that:\n\n- the undersigned has carefully read and is familiar with this Subscription Agreement and the Fund Documents;\n- the information contained herein is complete and accurate and may be relied upon; and\n- The undersigned agrees and consents to any proposed variation or abrogation of the special rights that are attached to the Class A Shares being purchased herein, such consent shall be deemed to have been consented to the proposed variation or abrogation if the undersigned does not affirmatively object in writing to such proposed variation or abrogation within twenty (20) days (or such shorter time as may be determined by the Fund's Board of Directors in its sole discretion) after such notice is received or deemed to have been received in accordance with the notice provisions of the Articles.\n\nThis agreement has been executed on the 27th of April 2021.","body_zh":"物证 E\n认购文件\n\nA类股份\nHimalaya Digital Assets Fund SP（喜马拉雅数字资产基金独立投资组合）\n\n系\nHamilton Opportunity Fund SPC（汉密尔顿机遇基金独立投资组合公司）之独立投资组合\n\n本基金 Hamilton Opportunity Fund SPC 之独立投资组合，系一家根据开曼群岛《共同基金法（修订版）》第 4(3) 条作为基金运营的开曼群岛独立投资组合公司。\n\n投资管理人\n\nHamilton Investment Management Ltd（汉密尔顿投资管理有限公司）\n\n投资顾问\n\nIvy Capital Advisors Limited（常春藤资本顾问有限公司）\n投资程序\n\n- 1. 在认购本基金的股份（定义见发售备忘录）之前，请完整阅读 Hamilton Opportunity Fund SPC（“本基金”）的发售备忘录（“《发售备忘录》”）以及本文件。\n- 2. 拟投资者须完成以下列出的两个步骤，以便基金行政管理人处理其认购：\n\t- o 在基金的仪表板上完成、进行数字签名并提交“了解您的客户”（“KYC”）申请，包括上传所需的补充文件。填妥的“KYC 申请”将作为投资者补充文件附于本认购协议之后。投资者补充文件将包含以下方面的信息：投资者资料、投资者资格以及反洗钱与反恐合规部分。\n\t- o 完成、进行数字签名并提交本认购协议。\n\t- o 基金行政管理人为：\n\nNAV Fund Administration Group, NAV Consulting | NAV Cayman | NAV Backoffice, 5th Floor Harbour Place, 103 South Church Street, George Town, Grand Cayman KY1-1202, CAYMAN ISLANDS, 电话：1.630.954.1919，电话：1.345.946.5006，传真：1.630.596.8555 传真：1.345.946.5007 传真：1.630.954.2881，Transfer.agency@navconsulting.net\n\n- 3. 通过仪表板提交本文件，即表示您同意将所有随附和追加的信息及文件传输发送给行政管理人。\n- 4. 对于因提交信息、表格申请、认购协议或通过基金仪表板或通过电子邮件上传或发送任何形式的数据而产生和/或招致的任何风险，以及由于未能收到任何相关电子邮件或 PDF 附件而导致和/或招致的损失，行政管理人概不承担任何责任。\n- 5. 股份的付款应按照签署本认购文件后通过电子邮件发送的付款指示以电汇方式进行。\n- 6. 本基金有权接受或拒绝（全部或部分）任何认购协议和/或购买股份的申请。\n- 7. 若收到的认购款项为基金基础货币以外的货币，投资管理人将安排兑换为基金基础货币，风险和费用由您自行承担。此外，因电汇而产生和与之相关的任何银行手续费或费用将从认购款中扣除，净额将被视为投资于股份的金额。\n\t- o 法定货币认购\n\n认购人承诺通过电子转账方式全额汇出扣除银行手续费后的认购款项，以确保在初始发售期的最后一个工作日下午 5:00 之前，或在相关认购日之前一个工作日的下午 5:00（英国伦敦时间）之前（视具体情况而定），本基金的银行账户收到已结算资金。\n\n- 8. 付款详情将在签署本协议后发送给潜在投资者。\n- 9. 如果您对认购流程和付款的相关程序有任何疑问，请联系本基金或行政管理人。\n- 10. 认购协议连同任何支持文件，必须在初始发售期最后一个工作日前三 (3) 个工作日的下午 5:00（英国伦敦时间）之前，或相关认购日前三 (3) 个工作日的下午 5:00 之前（视具体情况而定）送达。\n认购协议\n\nHamilton Opportunity Fund SPC\n\nMcGrath Tonner Corporate Services Limited, Genesis Building, 5th Floor, Genesis Close, PO Box 446 Grand Cayman KY1-1106, Cayman Islands\n\n事由：股份认购申请\n\n敬启者：\n\n下述签署人（“拟投资者”）特此申请成为 Hamilton Opportunity Fund SPC（本基金 Hamilton Opportunity Fund SPC 之独立投资组合，系一家根据开曼群岛《共同基金法（修订版）》第 4(3) 条作为基金运营的开曼群岛独立投资组合公司）的股东（“股东”），并根据本认购文件、《发售备忘录》以及本基金的组织章程大纲与章程细则（“《章程》”）（合称“基金文件”）（各文件均可能不时修订）中载明的条款和条件，认购本基金的 A 类股份或参与股份（“股份”）。本文件使用但未作定义的大写术语应具有《章程》中赋予它们的含义。\n\n据此，拟投资者同意如下：\n股份类别：_____________________________\n投资者类型：\n_____ 个人所有\n_____ 信托\n_____ 有限合伙\n_____ 有限责任公司\n_____ 公司\n_____ 个人退休账户（IRA）\n_____ 共同共有（按份共有）\n_____ 共同共有（享有联名共有人生存权）\n其他（请注明）_________________\n投资者全名：______________________________\n认购金额：______________________________\n电汇指示：银行名称：The Reserve Trust Company\n银行地址：5600 S. Quebec St. Suite 205D Greenwood Village, CO 80111\n1. 认购股份\n\n银行 ABA/路由代码：\n\n收款人名称：Medici Bank International\n\n收款人地址：1250 Ponce de Leon AVE. Suite 301 San Juan, PR 00907\n收款人账号：\n附言/备忘录（必填）：FFC MBI Hamilton Opportunity Fund SPC\n\nHamilton\n\n进一步入账指示：备案电汇指示：请注意，根据当前的反洗钱监管环境以及行业最佳实践，赎回款项将仅支付至用于支付认购款的银行账户，该账户应在下方注明并证明为投资者的备案银行账户。银行账户的户名必须与本次认购的抬头一致。若不一致，必须立即将差异及原因通知过户登记处及管理人。如果款项来自与备案银行账户不同的银行账户，或来自户名与认购抬头不符的银行账户，无论该款项是提前收到还是按照付款截止日期要求收到，过户登记处和/或管理人均可在任何时候拒绝任何认购。\n\n- o 拟投资者同意按照并受限于基金文件的条款和条件成为本基金的股东，并就此认购并同意按《发售备忘录》中载明的每股认购价格，以文末载明的认购金额进行投资以认购可获得的股份数量（包括零碎股份）。\n- o 认购股份的已结算资金付款必须在《发售备忘录》规定的认购截止日期之前收到。在受限于任何法律或监管限制的前提下，拟投资者的付款（“付款”）将由本基金（或其受托代表）以信托方式存放在独立的无息账户中。\n- o 最低首次认购额为 100,000.00 美元，但本基金董事会（“董事会”）有权自行决定接受较低金额。\n- o 追加股份的最低认购额为 10,000.00 美元。\n- o 投资者可以通过仪表板填写追加认购表格，或亲笔填写追加认购表格的数字打印件并将扫描件通过电子邮件发送给本基金或行政管理人，以认购追加股份。\n- o 拟投资者理解并同意，在接受本股份认购之前的任何时候，本基金保留因任何原因或无原因而拒绝（全部或部分）本股份认购的权利。如果认购被全部拒绝，付款将退还给拟投资者，且本认购协议不具有任何效力。本基金对本认购的接受，应以拟投资者的姓名/名称记入本基金的股东名册为准，届时拟投资者应成为本基金的股东，并应受基金文件的条款和条件的约束。\n\n2. 认购人信息：\n签名：________________________________________________\n认购人主要实际（街道）地址：________________________________________________\n电子邮件地址：________________________________________________\n电话号码：________________________________________________\n出生日期：________________________________________________\n出生国家：________________________________________________\n国籍国：________________________________________________\n设立日期：________________________________________________\n设立国家：________________________________________________\n3. 拟投资者的陈述与承诺\n\n- o 拟投资者陈述并保证：(i) 其系能够在不违反任何国家、监管机构或政府当局的法律或要求的情况下获得并持有股份的人士（“合格投资者”）；且 (ii) 其并非代表任何非合格投资者人士行事或为其利益行事，亦无意将其可能不时持有的任何股份转让给任何非合格投资者人士。拟投资者同意，若其获悉自身或其代为持有股份的任何人士不再是合格投资者，将立即通知本基金。\n- o 拟投资者陈述并保证，根据经修订的 1933 年《美国证券法》，其不属于美国人士（U.S. Person），且所有收购股份的要约均是在拟投资者身处美国境外时向其发出或由其发出的，且拟投资者收购股份的请求源于拟投资者身处美国境外之时。拟投资者同意，若其成为美国人士或不再是非美国人士，或者若其获悉其代为持有股份的任何人士已成为美国人士或不再是非美国人士，将立即通知本基金。拟投资者 (i) 承诺，未经本基金同意，其不会向美国人士转售、再次发售或转让任何股份或其中的任何权益；(ii) 承认，股份的再次发售、转售或任何转让仅可在遵守适用证券法的情况下进行，且仅可在事先获得本基金授权的情况下进行，本基金可自行决定拒绝向任何人士发行任何股份，或登记股份\n\n以任何人的名义持有；且 (iii) 了解股份转让只能在基金的账册上进行，并确认股份仅可转让给符合《发售备忘录》（Offering Memorandum）中所述合格投资者（Eligible Investors）条件的投资者。拟投资人了解，基金可根据《基金文件》（Fund Documents）强制赎回或回购股东的全部或任何部分股份。\n\n- o 拟投资人已收到、仔细阅读并理解《基金文件》，包括《发售备忘录》中概述基金投资目标和策略等内容的相关章节。拟投资人确认，其已就投资于基金作出独立决定，且在作出认购股份的决定时，拟投资人仅依赖《基金文件》及拟投资人进行的任何独立调查。在涉及投资于基金的法律、税务及其他经济考量方面，除拟投资人自身的顾问外，拟投资人并未依赖基金、基金董事会（Fund's Board）、行政管理人（Administrator）或任何其他个人或实体。\n\n- o 拟投资人确认，其并未作为开曼群岛（Cayman Islands）的公众成员受到认购股份的邀请。\n\n- o 拟投资人确认，其认购股份并非基于或依据以下各项：(i) 在任何报纸、杂志或类似媒体（包括其关于基金的信息未设密码保护的任何互联网站点）上刊登或通过电视或广播播放的任何广告、文章、通知或其他通讯；或 (ii) 其与会者（包括拟投资人）是由于或根据前述任何一项而受到邀请的任何研讨会或会议。\n\n- o 拟投资人确认，其将收到或有权访问有关基金的保密专有信息，包括但不限于投资组合仓位、估值、关于潜在投资的信息、财务信息、商业秘密等（统称“保密信息”），该等信息具有专有性质且非公开。拟投资人同意，其不得向任何人士披露或致使披露任何保密信息，亦不得将任何保密信息用于自身目的或自身账户，但与其对基金的投资有关的除外，以及任何监管机构、法律法规或法律程序另有要求的除外。拟投资人将在合理可行的情况下尽快向基金通知任何该等披露要求（包括其认为该等信息被要求予以披露的依据），除非适用法律或相关中央银行或任何政府、监管或税务机关另行禁止发出该等通知。此外，除向拟投资人的专业顾问或按照基金的指示或授权外，拟投资人未向任何其他人翻印、复制或交付《基金文件》或本《认购协议》（Subscription Agreement）。尽管有前述规定，拟投资人（以及拟投资人的每位雇员、代表或其他代理人）可向任何及所有人士无限制地披露以下事项的税务处理和税收结构：(i) 基金；及 (ii) 其任何交易，以及向拟投资人提供的与该等税务处理和税收结构有关的任何类型的所有材料（包括意见书或其他税务分析）。\n\n- o 拟投资人已在其认为必要的范围内，就向基金进行投资的妥当性与合规性咨询了适当的专业顾问。拟投资人已充分知悉拟投资人本国（或多国）以及关于向基金进行投资的任何其他相关国家（或多国）的法律、税务和监管要求。\n\n- o 拟投资人系为其自身账户、仅出于投资目的而获取股份，而非为了全部或部分分销或转售股份。\n\n- o 拟投资人了解：(i) 尚无任何政府机构对股份进行过审查，或对本次投资的公平性作出过任何调查裁定或判定；且 (ii) 拟投资人在本《认购协议》中作出的陈述、保证、协议、承诺和确认将被基金、董事会、行政管理人和投资经理（Investment Manager）用于确定拟投资人作为股份认购人的适格性以及基金对各项证券法的合规性，并且在拟投资人成为基金股东后继续有效。\n\n- o 拟投资人拥有获取和持有股份以及签署、交付并遵守拟投资人因认购股份而需要签署和交付的各项法律文书（包括本《认购协议》）条款的全部必要权力、权限和能力，且该等签署、交付和遵守不与管辖拟投资人的任何文书、任何法律、法规或命令、或拟投资人作为一方当事人或拟投资人可能受其约束的任何协议相抵触，亦不构成其项下的违约。若拟投资人系实体，则代表拟投资人签署并交付上述每份文书的人员拥有签署和交付该等文书的全部必要权力、权限和能力，并且在基金、行政管理人或投资经理提出要求时，将向基金提供管辖拟投资人的任何文书（包括对其的所有修订）的真实、正确的副本。\n\n- o 拟投资人向基金、行政管理人或投资经理提供的有关拟投资人、拟投资人身份、财务状况以及关于财务、税务和商业事务的知识与经验的所有信息，或在拟投资人系实体的情况下，代表该实体作出投资决定的人员关于财务、税务和商业事务的知识与经验的所有信息，截至本协议签署之日均是正确和完整的。\n\n- o 拟投资人了解，其股份价值及其赎回以及基金的表现可能基于未经审计且在某些情况下基于基金投资的估计估值，且拟投资人账户对账单中提供的估值可能是未经审计的估计价值。\n\n- o 拟投资人理解并同意，尽管基金、投资经理和行政管理人将尽合理努力对本《认购协议》问答中提供的信息严格保密，但基金、投资经理和行政管理人可在其认为必要或适宜时，将本《认购协议》及在问答中提供的信息提交给相关方（例如关联方、律师、审计师、行政管理人、经纪商和监管机构），以协助受理和管理拟投资人对股份的认购，包括但不限于与反洗钱及类似法律相关的情形；若被要求根据任何适用法律证明股份享有免于登记待遇；若被要求证明基金、投资经理、行政管理人和/或其任何关联方遵守适用法律及任何相关豁免；或者其内容与基金、投资经理、行政管理人和/或其任何关联方作为当事人或受其或可能受其约束的任何诉讼、起诉或法律程序中的任何争议点相关。如果拟投资人指示、法律强制要求、或涉及任何政府或自律组织的请求或调查，基金亦可披露有关拟投资人的信息。基金力求审慎保护投资者的隐私信息，为此，基金将非公开个人信息的访问权严格限制在为使基金能够向其投资者提供服务而需要知晓该等信息的雇员及其他人员范围内。基金维持物理、电子和程序方面的保障措施，以保护投资者的非公开信息。\n\n- o 拟投资人理解并同意，支付给拟投资人的任何赎回款项将支付至拟投资人最初汇出用于基金投资的认购款项的同一账户，除非基金另行同意。\n\n- o 拟投资人确认并了解，在相关锁定期（如有）过后，除根据《组织大纲》（Memorandum）和《组织章程》（Articles）的条款通过赎回股份的方式外，其在基金中的投资不得撤回，且自收到任何股份的赎回申请所对应的赎回日（Redemption Day）起，拟投资人应（除下文另有规定外）不再享有与该等股份相关的任何权利，并且因此，拟投资人的姓名/名称将从基金就此保留的成员名册（Register of Members）中除名。拟投资人理解并同意，尽管在确定赎回价格（Redemption Price）和/或支付赎回款项前，其姓名/名称可能仍保留在基金成员名册上，但（若其在任何特定赎回日请求赎回其全部或任何部分股份）自该赎回日起，拟投资人将：(i) 就赎回价格而言被视为基金的债权人（而非基金的股东），并在基金清算时享有相应的受偿顺位；且 (ii) 就正在被赎回的股份而言不再享有作为基金股东的权利，但根据《组织章程细则》（Articles of Association）收取赎回价格的权利以及收取在该赎回日之前就该等股份已宣布派发的任何股息的权利除外，特别是将无权召集、接收通知、出席基金的任何会议或在会上进行表决。\n\n- o 拟投资人确认并了解，如果寻求赎回其股份的基金股东未能或延迟提供出于核实目的所需的任何信息，赎回款项的支付可能会被延迟，且基金、行政管理人和投资经理（或其任何代表或代理人）均不对拟投资人因赎回款项延迟支付而遭受的任何损失承担责任。\n\no 拟投资人同意并立约承诺，除非且直到基金对该投资者负有已到期且应立即清偿的债务，否则其不得在任何国内或外国司法管辖区的任何现行或未来法律项下采取任何行动提交请愿书或启动任何案件、诉讼程序、提议或其他行动，以寻求与基金或基金债务有关的破产、无力偿债、重整、具有破产程序性质的和解安排、调整、清算、破产清算、解散、债权人和解或类似救济。\n\n4. 反洗钱\n\n- 拟投资者确认，为遵守旨在防止洗钱和恐怖主义的措施，本基金和/或其任何受托人或代理人在处理本申请之前，可能要求核实拟投资者的身份及拟投资者认购款项的来源。拟投资者承诺提供：(i) 本基金和/或其任何受托人或代理人根据适用的反洗钱法律法规为核实其身份而可能要求的此类信息和文件；以及 (ii) 本基金和/或其任何受托人或代理人不时要求的任何进一步信息和文件，以确保持续遵守适用的法律法规。\n\n- 拟投资者确认，如果拟投资者延迟或未能提供用于核实目的所需的任何信息，本申请可能会被拒绝，或者处理本申请可能会出现延迟。拟投资者进一步确认，如果拟投资者未提供所要求的此类信息和文件，本基金及其任何受托人或代理人均不对因未能处理拟投资者的股份申请而产生的任何损失承担责任。拟投资者同意赔偿本基金及其受托人和代理人因拟投资者未提供所要求的此类信息和文件而招致的任何损失，并使其免受损害。\n\n- 拟投资者陈述并保证，其自身以及控制拟投资者、受拟投资者控制或与拟投资者处于共同控制下的任何个人或实体，均未直接或间接地：(i) 违反任何适用的法律法规（包括反洗钱法规或公约）；(ii) 代表恐怖分子或恐怖组织行事，包括被列入美国财政部外国资产控制办公室（OFAC，Office of Foreign Assets Control）维护的特别指定国民和被封锁人员名单（List of Specially Designated Nationals and Blocked Persons），或被列入联合国（无论是通过安理会还是其他方式）发布的禁止、限制或不鼓励与其所指明的人员进行交易的任何名单或决议中的个人或实体（因为此类名单可能会不时修订）；(iii) 为外国高级政治人物、外国高级政治人物的任何直系亲属或外国高级政治人物的任何密切联系人行事，除非拟投资者书面特别通知董事会其属于此类人员后，董事会开展了进一步的尽职调查并确定应允许拟投资者投资于本基金；或 (iv) 作为外国空壳银行的受托人、代理人、代表或指定名义人（(i) 至 (iv) 中的每一类人员统称为“受禁止人员”）。\n\n- 拟投资者陈述并保证，在拟投资者拥有任何实益拥有人的范围内，其已开展尽职调查以确定该等实益拥有人的身份，并且根据其持有的关于该等实益拥有人身份的证据，拟投资者有合理理由相信该等实益拥有人均非受禁止人员。\n\n- 拟投资者同意，在拟投资者拥有任何实益拥有人的范围内：(i) 其将自拟投资者从本基金完全赎回之日起，将该等实益拥有人的身份证据保留至少五年；以及 (ii) 其将根据适用的法规，应要求提供该等证据以及本基金可能要求的任何补充证据。\n\n- 拟投资者确认，如果本条款中的任何陈述、保证或协议不再真实，或者如果本基金不再合理地认为其掌握有关其真实性的令人满意的证据，则本基金可能有义务就拟投资者持有的股份采取某些行动。此类行动可能包括向 OFAC 或其他主管机关披露拟投资者的身份。拟投资者确认并同意，如果本基金被要求采取任何此类行动，其不得因任何此类行动而向本基金就任何形式的损害赔偿提出任何主张。\n\n- 拟投资者确认，根据开曼群岛《犯罪行为收益法》（Proceeds of Criminal Conduct Law of the Cayman Islands），如果是开曼群岛居民的人员知晓或怀疑向本基金支付的款项（通过认购或其他方式）构成犯罪行为收益，则该人员必须向报告机关报告其所知晓或怀疑的情况。拟投资者确认，任何此类报告均不应被视为违反法律或其他方面对信息披露所施加的任何限制。\n\n- 凡本申请是作为受托人、托管人、指定名义人或以其他方式代表另一人或多人（每一此类人员称为“标的投资者”）提出的，拟投资者 (i) 陈述并保证 (a) 其已对拟投资者将代表其持有股份的每位标的投资者进行了合理的核实检查，并获得了关于其身份的充分证据，以使自身确信标的投资者的身份或标的投资者的最终实益拥有人的身份（视情况而定），以及用于认购股份的资金来源的出处和合法性；并且 (b) 其在其他方面已遵守在要约或分销该等股份的管辖区内适用的与反洗钱程序相关的法律法规；以及 (ii) 同意向本基金和/或其任何受托人或代理人和/或任何主管监管机构披露其持有的与标的投资者相关的所有相关文件和信息，并且在需要时，同意就此类披露获得标的投资者的同意。\n\n- 出于反洗钱目的，请具体说明：\n\n（请根据投资者的适用情况填写本部分）\n\n用于本次投资的资金/财富/收入来源：\n\n_____________________________________________\n\n_____________________________________________\n\n_____________________________________________\n\n_____________________________________________\n\n_____________________________________________\n\n_____________________________________________\n\n_____________________________________________\n\n_____________________________________________\n\n_____________________________________________\n\n_____________________________________________\n\n_____________________________________________\n\n_____________________________________________\n\n适用于个人投资者： 投资者的职业：\n\n投资目的：\n\n预期交易频率：\n\n用于本次投资的资金/财富/收入来源：\n\n适用于实体投资者：\n\n投资者业务性质：\n\n投资目的：\n\n预期交易频率：\n\n一般条款\n\n- 拟投资者特此确认，投资经理、行政管理人以及本基金的每位董事和高级管理人员，均有权按照基金文件中的规定，从本基金的资产中获得弥偿（就本认购协议中规定的所有弥偿保证而言）。\n\n- 本认购协议 (i) 应答拟投资者及其继承人、法定代表人、继受人和获准受让人具有约束力，并应符合本基金及其继受人和受让人的利益，(ii) 应受开曼群岛法律管辖、依其解释并据其执行，(iii) 在拟投资者被接纳为本基金股东后继续有效，并且 (iv) 如果拟投资者由一人以上组成，则应构成每个该等人员的连带责任。\n\n- 拟投资者特此不可撤销地同意，就本认购协议或本基金以及与此相关的任何或所有交易提起的任何诉讼、起诉或法律程序，均可在开曼群岛法院提起。拟投资者特此不可撤销地 (i) 就任何此类诉讼、起诉或法律程序服从该等法院的管辖权，并同意和认可在上述任何法院提起的任何此类诉讼、起诉或法律程序中，均可按照开曼群岛法律规定的送达方式向拟投资者送达诉讼文书，且不得声称任何此类诉讼、起诉或法律程序是在不便利法院提起的；以及 (ii) 同意上述任何法院在任何此类诉讼、起诉或法律程序中发出的诉讼文书，均可通过挂号信或特快专递邮寄副本（要求回执）送达给拟投资者，邮寄地址为当时显示在本基金记录中的拟投资者地址。本协议所含任何内容均不影响本基金在任何其他管辖区对拟投资者提起任何起诉、诉讼或法律程序，或以其他方式对拟投资者采取法律行动，或在任何相关管辖区以任何适用法律允许的任何方式向拟投资者送达诉讼文书的权利。\n\n- 如果本认购协议的任何条款根据任何适用法律被视为无效或不可执行，则该条款在其可能与该等法律相冲突的范围内应被视为无效，并应被视为已作修改以符合该适用法律。本协议中根据任何适用法律可能被裁定为无效或不可执行的任何条款，均不应影响本协议任何其他条款的有效性或可执行性，在此范围内，本协议的各项条款应具有可分性。\n\n- 如果发现根据本认购协议提供的任何答复或所需背景文件是虚假的、伪造的或具有误导性的，拟投资者理解本基金可根据基金文件强制赎回或回购该拟投资者持有的股份。\n\n本认购协议中提供的信息\n\n- 拟投资者陈述并保证，本协议中提供的信息在所有方面均真实、准确且完整，基金和/或其任何受托人及代理人可信赖该等信息。\n\n- 拟投资者同意，若就本协议中提供的任何信息发生任何变更，或本协议中的任何保证、陈述或声明在任何方面不再准确和完整，将及时通知基金。\n\n- 拟投资者同意，若被要求，将提供基金和/或其任何受托人或代理人就拟投资者持有股份所合理要求的证明、文件或其他证据，包括用于证实本协议中包含的保证、陈述或声明。\n\n- 拟投资者同意，若其向基金提供以任何方式具有误导性的信息或文件，或未能向基金、其受托人或代理人提供任何被要求的信息或文件，或以其他方式采取直接或间接导致基金遭受任何责任、成本、费用、税收、预扣或扣除的任何行动，基金可从任何赎回所得款项或分配款中截留并保留足以清偿任何该等责任、成本、费用、税收、预扣或扣除的金额。\n\no FATCA/CRS（外国账户税收合规法案/共同申报准则）\n\n 就本条款而言，“FATCA/CRS”是指：(i) 1986年《United States Internal Revenue Code（美国国内税收法典）》第1471条至第1474条、由Organisation for Economic Co-operation and Development（经济合作与发展组织，OECD）制定的《Standard for Automatic Exchange of Financial Account Information（金融账户涉税信息自动交换标准）》（各自经不时修订），以及任何相关的立法、法规或指引，或在任何司法管辖区颁布的旨在实施类似税务申报和预扣税制度以及共同申报标准的类似立法、法规或指引；(ii) Cayman Islands（开曼群岛）（或任何开曼群岛政府机构）与United States（美国）或任何其他司法管辖区（包括该等司法管辖区内的任何政府机构）之间为了遵守、促进、补充或实施上述第(i)段所述的立法、法规或指引而订立的任何政府间协定、共同申报标准、条约、法规、指引或任何其他协议（包括但不限于(a)开曼群岛政府与美利坚合众国政府于2013年11月29日签署的《旨在改善税收遵从和实施FATCA的协定》；以及(b)开曼群岛政府于2014年10月29日签署的《多边主管当局间关于金融账户涉税信息自动交换的协定》，各自经不时修订）；以及(iii)在开曼群岛使上述第(i)段和第(ii)段所述事项生效的任何立法、法规或指引，包括但不限于《Tax Information Authority Law (2017 Revision)（税收情报局法（2017年修订版））》（经修订）、《Tax Information Authority (International Tax Compliance) (United States of America) Regulations, 2014（税收情报局（国际税务合规）（美利坚合众国）规例，2014年）》（经修订）、《Tax Information Authority (International Tax Compliance) (Common Reporting Standard) Regulations, 2015（税收情报局（国际税务合规）（共同申报准则）规例，2015年）》（经修订），以及关于(i)开曼群岛与美利坚合众国政府间协定的国际税务合规要求，或(ii)税收事项中金融账户涉税信息自动交换的共同申报准则的指引说明，或根据其颁布的其他指引。\n\n- “FATCA/CRS Liabilities（FATCA/CRS责任）”是指基金、投资管理人、行政管理人或任何上述人员的任何代理人、受托人、雇员、董事、高级职员或关联方因FATCA/CRS、由FATCA/CRS引起或与FATCA/CRS相关的而产生的任何预扣（包括但不限于美国预扣税）、成本、债务、费用、罚款、义务、损失或责任（包括但不限于所有成本、律师费、专业费用及其他费用）。\n\n- 为了遵守FATCA/CRS，基金、投资管理人、行政管理人或任何上述人员的任何代理人、受托人、雇员、董事、高级职员或关联方（统称“相关人员”）应有权向开曼群岛政府（及其任何部门、部委、机构和代表，包括但不限于Cayman Islands Tax Information Authority（开曼群岛税收情报局））或就FATCA/CRS而言的任何其他国家或政府部门或税务或其他主管机关（统称“相关主管机关”）发布和披露其或其代理人或受托人所持有的关于拟投资者的任何信息（就本条款而言，包括股东以及已不再是股东的人员），包括但不限于财务信息、关于拟投资者在基金中投资的信息以及与该拟投资者的任何股东、负责人、合伙人、实质受益人（直接或间接）或控制人（直接或间接）相关的任何信息。\n\n- 拟投资者通过成为投资者，承认并同意：\n\t- 任何相关人员均可向任何相关主管机关披露拟投资者的身份及与之相关的信息（包括但不限于上述(b)中指定的任何信息），以遵守FATCA/CRS和/或避免任何FATCA/CRS责任；\n\t- 拟投资者应采取任何行动并提供任何信息和文件，凡任何相关人员为使基金实现以下目的而要求的：(A)订立、维持或以其他方式遵守FATCA/CRS，或(B)遵守FATCA/CRS项下的任何尽职调查、申报、预扣或其他要求；\n\t- 基金可行使所有可用的权利和补救措施，以确保所有FATCA/CRS责任在经济上由相关拟投资者承担，该拟投资者的身份地位、作为或不作为导致或可能导致该等预扣或不合规（在每种情况下均为直接或间接导致，包括凭借与该拟投资者相关或有关联的任何人的身份地位、作为或不作为，包括但不限于该拟投资者的直接或间接股东、负责人、合伙人、实质受益人（直接或间接）或控制人（直接或间接））；以及\n\t- 若发生任何导致根据本认购协议提供或以其他方式\n\n向任何相关人员就FATCA/CRS提供的信息不正确的情况变更，拟投资者应立即通知基金。\n\n- 拟投资者承认并同意，若(i)其未提供被要求的信息或文件，或其本身未遵守FATCA/CRS的适用要求，无论这是否实际导致基金合规失败，或(ii)董事会依其完全酌情决定认定存在FATCA/CRS责任的风险，董事会保留采取任何行动并寻求其可支配的所有补救措施的权利（包括但不限于按等于拟投资者股份净资产值的金额对拟投资者实施立即强制赎回或使其退出基金、对拟投资者的股份进行强制转让、重新指定或转换、将相关FATCA/CRS责任分摊给拟投资者，以及从拟投资者的任何账户、应付分配款或其他应付款项中扣除该等分摊额）。\n\n- 拟投资者应赔偿各相关人员因拟投资者未能及时遵守FATCA/CRS及其在本条款项下的义务（直接或间接导致，包括凭借与该拟投资者相关或有关联的任何人的身份地位、作为或不作为，包括但不限于该拟投资者的直接或间接股东、负责人、合伙人、实质受益人（直接或间接）或控制人（直接或间接））而产生的任何FATCA/CRS责任，该等赔偿应在适用法律允许的最大范围内作出。拟投资者的赔偿义务在交割日后继续有效，并应在以下情况下继续有效：(i)拟投资者为股东，且该股东已赎回但尚未收到赎回款项，无论赎回日是否已过；以及(ii)拟投资者已赎回且已收到赎回款项。\n\n- 为FATCA/CRS之目的，拟投资者应被要求进行自我证明并填写必要的自我证明表格，和/或提供任何相关人员可能不时要求的其他文件。\n\n- 在拟投资者受到由基金或代表基金为遵守FATCA/CRS而采取的任何行动或寻求的补救措施影响的范围内，拟投资者不得因该等行动或补救措施所导致的任何形式的损害或责任，向任何相关人员或任何其他拟投资者或股东，或任何上述人员的任何代理人、受托人、雇员或董事、高级职员或关联方提出任何索赔，且拟投资者应被视为已同意采取该等行动或行使该等补救措施，并在适用法律允许的最大范围内放弃就此享有的任何及所有权利或索赔。\n\n- 本条款在本协议终止后继续有效，且为免生疑问，在拟投资者不再是公司股东后继续有效。\n\no RIGHTS UNDER THE CONTRACTS (RIGHTS OF THIRD PARTIES) LAW, 2014（《2014年合同（第三方权利）法》项下的权利）\n\n- 根据《The Contracts (Rights of Third Parties) Law 2014（2014年合同（第三方权利）法）》第4条，本认购协议第4(a)条中指定的受偿方（已作为本认购协议一方的基金除外）应有权随时强制执行本认购协议第4(a)条项下的所有权利和利益，犹如其为本认购协议的一方。\n\n- 未经基金事先书面同意（基金可依其完全酌情决定予以拒绝），本认购协议第4(a)条中的受偿方（已作为本认购协议一方的基金除外）不得提起任何诉讼以强制执行其在本认购协议项下的权利。\n\n- 基金与拟投资者经商定对本协议进行的任何解除或变更，或基金与拟投资者对本协议的任何终止，均无需本认购协议第4(a)条中指定的受偿方（已作为本认购协议一方的基金除外）的同意。\n\n- 未经基金事先书面同意，本认购协议第4(a)条中指定的受偿方（已作为本认购协议一方的基金除外）不得转让其在本认购协议项下的全部或部分权利。\n\no DATA PROTECTION（数据保护）\n\n- 拟投资者承认并同意，在本协议中提供的以及其他与拟投资者认购股份申请相关的信息（统称“个人信息”），可由本基金和/或其代表及代理人持有，并可用于以下目的：\n- 处理拟投资者的股份认购并完善股东名册上的信息；\n- 执行拟投资者的指示，或对声称由拟投资者发出或代表拟投资者发出的任何查询作出回应；\n- 处理与拟投资者持有股份相关的任何其他事宜（包括邮寄报告或通知）；或\n- 遵守任何相关司法管辖区的任何法律、政府或监管要求（包括数据接收方须遵守的任何披露或通知要求）。\n- 拟投资者承认并同意，在遵守适用法律要求的前提下，本基金和/或其代表及代理人可以：\n- 在拟投资者赎回或转让其全部股份后以及本基金终止后，保留个人信息；\n- 将个人信息保存在位于本基金和/或其代表或代理人确定的地点的计算机系统上，这些地点可能位于尚未制定数据保护立法的国家；\n- 通过任何方式（包括以电子方式和/或通过提供本协议原件或副本）将个人信息披露和转移给：\n\t- 本基金和/或本基金的任何代表或代理人，和/或其中任何一方的专业顾问，和/或其任何雇员、管理人员、董事、代理人和/或关联方；或\n\t- 受雇向上述获披露或接收数据的任何人提供行政、计算机或其他服务或设施的任何第三方；或\n- 在任何法律或法院命令要求披露，或根据任何中央银行、政府或其他监管或税务机关的任何指示、要求或规定（无论是否具有法律效力）要求披露时，披露个人信息。\no 权力与授权\n\n如果拟投资者为实体：代表拟投资者签署本协议的人员声明并保证，其已获得正式授权签署本协议，且拟投资者根据其管治文件拥有认购股份的充分权力和授权。拟投资者声明并保证：\n\n- 其根据其成立地司法管辖区的法律正式组建、有效存续且信誉良好；\n- 其签署和交付本协议并履行本协议条款 (i) 属于其职权范围内，且已代表其通过所有必要行动获得正式授权，(ii) 无需任何政府机构、部门或官员采取任何行动、作出相关处理或向其备案（向本基金作出书面披露的除外），并且 (iii) 不违反或构成违反对其具有约束力的任何适用法律、政府规则、法规或政策声明，或其公司注册证书或其他同类组织文件，或任何协议、判决、禁令、裁定/命令、法令或其他文书的任何规定，亦不构成上述文件项下的违约；以及\n- 本协议构成对拟投资者有效且具有约束力的协议，并可根据其条款对拟投资者强制执行。\n- 如果拟投资者作为另一人或实体（受益所有人）的受托人、代理人、代表或指定人行事：拟投资者理解并承认，本协议中作出的陈述、保证和协议均由拟投资者 (a) 针对拟投资者自身作出，以及 (b) 针对受益所有人作出。拟投资者声明并保证，其已从受益所有人处获得签署和履行本协议项下义务的所有必要权力和授权。\n- 如果拟投资者为个人：拟投资者声明并保证 (a) 本协议构成拟投资者的有效且具有约束力的协议，并可根据其条款对拟投资者强制执行，以及 (b) 拟投资者具备签署本协议的完全法定行为能力。\no 赔偿\n\n拟投资者同意赔偿本基金及其董事、管理人员和雇员，并使其免受因拟投资者违反本协议所载的任何陈述、保证、承认、承诺或协议而导致的或由此产生的任何及所有费用、索赔、要求、责任、支出、损害或损失，包括但不限于间接损失、利润损失以及所有利息、罚款、法律及其他专业费用与支出。\no 管辖法律与司法管辖权\n\n本协议应受开曼群岛法律管辖，并依其解释。各方不可撤销地同意，就本协议引起的或与本协议相关的任何索赔或事宜，服从开曼群岛法院的非专属管辖。\no 副本\n\n本认购协议可签署任意数量的副本，每份一经签署均应被视为原件，但所有此类副本应构成同一份文书。通过传真传输或通过电子邮件传输 Adobe Portable Document Format 文件（或类似电子记录）交付副本签名页，应与交付已签署的副本签名页具有同等效力。\n5. 税务基金规则\n6. 开曼基金税务表格规则\n\n- 7. 就开曼群岛的 CRS（Common Reporting Standard，共同申报准则）而言，所有投资者均须提供一份完整填写并签署的开曼群岛自我证明表格。\n- 8. 非美国基金身份识别规则\n- 9. 个人认购人须提供一份有效护照的复印件，以及一份由政府签发的其他有效身份证件（通常为驾照）。如果文件语言非英文，请提供文件说明以及对身份证件上出现的字段和数据的相应英文翻译。\n- 10. 实体（非个人）认购人须提供其成立文件的副本、授权签字人名单及签字样本，以及对该等签字人的公司授权的确认文件。如果非英文，请提供文件说明以及字段和数据的相应英文翻译。\n- 11. 根据开曼群岛《Anti-Money Laundering Regulations, 2017》（2017年反洗钱法），实体（非个人）认购人还被要求提供其受益所有权详情及控制方身份证明。\n- “受益所有人”是指最终拥有或控制认购人、或以其名义进行本次认购交易的自然人。\n- 对于在认购人中拥有超过 10% 受益所有权权益的任何自然人，请提供名字和姓氏、财富来源、国籍、出生日期，以及有效护照或其他带照片的有效政府身份证件的复印件。\n- 对于在认购人中拥有超过 10% 受益所有权权益的任何实体或信托，请详细列出该实体的所有者，并为每一位提供名字和姓氏、财富来源、国籍、出生日期和地点，以及有效护照或其他带照片的有效政府身份证件的复印件。\n- 此外，对于任何实体，请提供至少一名对管理该实体负有重大责任的个人（控制方）的姓名。这可以包括任何执行管理人员或高级管理人员，或定期履行类似职能的任何其他个人，例如管理成员、董事或普通合伙人。对于此类控制方，请提供其名字和姓氏、国籍、出生日期和地点，以及有效护照或其他带照片的有效政府身份证件的复印件。\n\n合伙企业须提供合伙企业的政府登记注册证明副本，以及已签署的合伙协议副本，该协议须明确指定普通合伙人和/或被授权签署本文件的指定人。有关重要的额外受益所有权要求，请参阅上述第 2-4 项。\n\n公司须提供公司的政府登记注册证明副本，以及载有管理人员签名的公司章程副本。我们还要求提供一份已签署并经核证的公司决议，明确指定获授权签署本认购文件的公司管理人员。有关重要的额外受益所有权要求，请参阅上述第 2-4 项。\n\n信托须提供信托协议的完整副本。作为替代方案，我们也可以接受信托文件中显示以下相关部分的页面副本：设立信托（显示信托名称）并指定受托人的条款，以及显示受托人签名的条款/条文。信托的受托人须提供有效护照或其他带照片的政府签发身份证件。如果认购人为信托，请为每位委托人、授予人、捐赠人和受托人提供名字和姓氏、财富来源、国籍以及出生日期和地点。\n仅供内部使用\n\n由董事代表 Hamilton Opportunity Fund SPC（汉密尔顿机会基金独立投资组合公司）填写\n\n认购已被接受\n\n签署人：\n\n日期：\n签名页\n\n下述签字人特此声明：\n\n- 下述签字人已仔细阅读并熟悉本认购协议及基金文件；\n- 此处包含的信息完整且准确，可予信赖；以及\n- 下述签字人同意并赞成对本文所购 A 类股份所附带的特殊权利进行任何拟议的变更或废止；如果下述签字人在收到根据公司章程通知条款发出或被视为收到的此类通知后二十 (20) 天内（或由基金董事会自行全权决定的更短时间内），未就此类拟议的变更或废止以书面形式明确提出异议，则应视为已对拟议的变更或废止作出同意。\n\n本协议已于 2021年4月27日 签署。","key_entities":["Je","CIPA","Himalaya"],"ecf_references":[],"word_count":8517,"status":"published","published_at":null,"created_at":null,"updated_at":"2026-08-23 08:10:57"}