Venture Lending & Leasing VI

[Enter Firm Name / Enter Fund Name]

NEPC, LLC – RFI

Date / [Enter Date]
Firm Member Who Completed Form / [Please enter name or names]

Please return this questionnaire in word format (i.e. not in pdf).

Please do not alter the format of this template.

Please do not change or modify text in BLUE or PURPLE shaded boxes. Please provide answers in the WHITE boxes provided.

Please try to be as concise as possible with answers.

Please provide any legal disclaimers as a separate attachment (i.e. do not include as part of this document).

General Firm and Fund Information
Firm Name / [Please enter]
Office Locations / City / State / Province / Country
Main Office / [Please enter] / [Please enter] / [Please enter]
Additional Office Locations / [Please enter] / [Please enter] / [Please enter]
[Please enter] / [Please enter] / [Please enter]
[Please enter] / [Please enter] / [Please enter]
[Please enter] / [Please enter] / [Please enter]
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Year Firm was Founded / [Please add]
Firm History / Description / [Please describe the firm’s origins, evolution and current structure. Please list any predecessor organizations or ownership or subsidiary relationships with other organizations]
Asset Under Management / [Please add the equity value of asset under management as of most recent quarter (indicate date)]
Cash Management / Short Duration Assets Under Management / [Please add the value of cash management and short duration assets under management as of most recent quarter (indicate date)]
Please describe the ownership of the firm / a) If an affiliate, designate percent of parent firm's total revenue generated by your organization. Elaborate on affiliations with any brokerages and/or broker-dealers
b)If the firm is a joint venture partner, identify the percentage of ownership and revenues recognized by each partner to the combined association
c) Pending organizational or ownership changes
Minority/Women Business Entity / [Please note if the firm or any of the fund vehicles are MWBE certified.]

255 State Street | Boston, MA 02109 | tel: 617.374.1300 |

[Enter Firm Name / Enter Fund Name]

NEPC, LLC – RFI

Litigation, Regulation and Compliance
Current Material Firm Litigation / [Please describe any current material litigation regarding the firm]
Past Material Firm Litigation / [Please describe any past material litigation regarding the firm]
Compliance / [Please describe the Firm’s compliance philosophy and staff allocated to this function, e.g. how many and which staff resources are assigned to this function, what are their roles and responsibilities? What are the key compliance procedures?]
SEC Registered Investment Advisor / Year Registered / [Please enter]
Entity Name / [Please enter]
SEC Oversight / [Please describe the Firm’s most recent examination by the SEC. When was the date of the most recent SEC examination? What were the key findings? Were there any deficiencies noted and what was done to remediate them?]
Investment Product Information
Investment Philosophy /

Please describe your firm’s overall investment philosophy.
Describe your investment process including, research, security selection, settlement, confirmation, controls, and information technology systems that would be used.
Describe your diversification criteria (e.g., average number of issues in a portfolio, average concentration in a single issue or industry). What is the longest maturity the portfolio would hold?
Describe your firm’s credit review process. What resources does your firm rely upon for credit analysis? What independent research and credit analysis does your firm perform? How often is this analysis updated? How does your firm monitor credit on an ongoing basis and what procedures are followed when an issuer is downgraded?

Trading /

Explain your firm's trading process including commission structure and transaction costs.
Does your firm maintain any soft dollar arrangements? If so please explain.

Reporting /

Describe standard reports available (including type of information and timeliness) and to what extent custom reporting is available. What is your firm’s experience in providing electronic links to client systems, remote access to real-time information via the internet, availability of information via access through your website or other proprietary systems?

Proposed Vehicle Type / [Please specify whether your firm is proposing a separate account or a pooled fund / mutual fund vehicle]
Minimum Account Size / [Please give the minimum account size and if the mandate size listed is below the vehicle minimum account size or minimum fee, please state if you are willing to waive the minimum for this mandate?]
Exit Fees / Account Restrictions /

Please provide any entry or exit fees for the proposed vehicle(s)?
Is there a minimum account size that needs to be maintained?

Assets / 2011 / [Please enter 12/31/11 asset value for the Cash Management]
2012 / [Please enter 12/31/12 asset value for the Cash Management]
2013 / [Please enter 12/31/13 asset value for the Cash Management]
2014 / [Please enter 12/31/14 asset value for the Cash Management]
2015 / [Please enter 12/31/15 asset value for the Cash Management]
References
Reference 1 / Name / [Please enter]
Relationship to Firm / [Please enter]
Firm / Title / [Please enter]
Business Address / [Please enter]
Business Telephone / [Please enter]
Business Email / [Please enter]
Reference 2 / Name / [Please enter]
Relationship to Firm / [Please enter]
Firm / Title / [Please enter]
Business Address / [Please enter]
Business Telephone / [Please enter]
Business Email / [Please enter]
Reference 3 / Name / [Please enter]
Relationship to Firm / [Please enter]
Firm / Title / [Please enter]
Business Address / [Please enter]
Business Telephone / [Please enter]
Business Email / [Please enter]
Attachments
Biographical Information / Provide no more than a one paragraph biographical summary on each of the key professionals in the proposed product
Additional Attachments / Please provide an electronic version of the following:

Performance Summary (provided excel chart)
Employee Diversity Chart (provided excel chart)
Example of Standard Report (monthly and quarterly)
Sample Investment Policy

255 State Street | Boston, MA 02109 | tel: 617.374.1300 |