ROC Partners US LLC

Item 5 – Fees and Compensation
A.       Fee Schedule

Advisory Services Fees
ROCUS is compensated directly by its client under an investment advisory services agreement.
ROCUS will receive fees from its client based on commercially agreed-upon terms and in
accordance with transfer pricing guidelines and other regulatory requirements. ROCUS’ fee
schedule varies based on the assets of management, complexity of the services rendered, and
other relevant factors that will be outlined in the applicable investment management agreement
(“IMA”).

For the avoidance of doubt, ROCUS will not receive any success fees or other related fees or
compensation, directly or indirectly from a client arising out of new capital commitments to a client
managed private fund.

B.      Payment of Fees
ROCUS and its client will have a written agreement outlining fees that will be paid to ROCUS based
on the terms and conditions of the IMA.

C.      Additional Fees
ROCUS does not charge fees directly to institutional investors. Investors may be subject to other
fees and costs inclusive of trading commissions, product level fees (e.g., 12b-1 distribution fees),
custodial fees, and other expenses associated with private fund offerings that are borne indirectly
by limited partners.

D.   Prepayment of Fees
ROCUS does not expect its clients to prepay fees.

E.      External Compensation for the Sale of Securities
ROCUS does not receive external compensation based on the sale of affiliated or non-affiliated
funds interests to investors. Nonetheless, ROCUS receives a higher dollar amount in advisory fees
resulting from the recommendation of private funds, which are securities, where an affiliated entity
is the primary investment manager to these offerings.

Item 7 – Types of Clients & Account Minimums

ROCUS will only provide investment advisory services to clients that are accredited investors,
qualified clients, and qualified purchasers that are also classified as institutional investors. ROCUS
will not be offering any advice, marketing or asset management services to clients that do not meet
the requirements for one or more of these categories of investors. Client relationships vary in scope
and length of service.

ROCUS will provide securities‐related investment management, advisory and other relevant
services to clients focusing on private equity and credit primary fund investments, co-investments
and secondary investments in North America.

From time to time, ROCUS may provide securities‐related investment management, advisory and
other relevant services to clients focusing on private equity and credit primary fund investments,
co-investments and secondary investments in the Asia Pacific region.

Separately Managed Accounts

Clients may from time to time engage ROCUS for certain investment mandate arrangements with
Australian institutional investors who want to access the United States private equity market.