Trillium

Example 1

1. In connection with marketing or fundraising and investor or client reporting during the Examination Period, the most recent version(s) of the following:
   1. All written compliance and operational policies and procedures addressing marketing and advertising activities of the Registrant, which includes solicitation activities that are performed for cash and non-cash compensation;
   2. General Registrant/firm presentation;
   3. Product-specific presentation for each product-type and strategy within each product type;
   4. Client quarterly letter (or equivalent);
   5. Each RFP/DDQ response to prospective investor or to an existing investor for each existing and prospective private fund; and
   6. Annual meeting materials provided to investors (include for any meetings held during the Examination Period).

2. Documents sufficient to show all presentations Registrant provided to existing or prospective investors during the Examination Period. In lieu of producing the underlying documents, Registrant may provide a log of all presentations provided to existing or prospective investors during the Examination Period that contains the following data points:
   1. Title of presentation;
   2. Approximate date distributed;
   3. General description of the recipient or recipient group; and
   4. Whether the piece was presented in a one-on-one meeting.

3. A written description of the methodology used for calculating any net performance presented for extracted individual portfolio company/investment returns.

Example 2

For the six month period ending on [DATE], provide copies of all advertisements and marketing materials distributed, presented, or made available to more than one client/investor or prospective client/investor, that offer any type of advisory service or that are used to solicit clients/investors. This includes, but is not limited to, pitch books, one-on-one presentations, performance presentations (other than client specific performance presentations), pamphlets, brochures, websites, blogs and social media, voice or video broadcasts, and mass emails or form letters used to solicit clients/investors. For materials available on the internet, such as websites and blogs, make all versions available as either a PDF of a printout or an electronic archive.