MAILING ADDRESS

WIRE INSTRUCTIONS

Crescent Securities Group Inc

Red Oak Capital Fund VI, LLC

4975 Preston Park Blvd

ABA No: [TBP]

Suite 820

Acct No: [TBP]

Plano, TX 75093

Beneficiary: Red Oak Capital Fund VI, LLC

Address: 4975 Preston Park Blvd, Suite 820, Plano, TX 75093

Attention: Red Oak Capital Fund VI, LLC

US Bank Name: PNC

Phone: (972) 490-0150

Bank Address: 500 First Ave Pittsburgh, PA 15219

Make checks payable to: Red Oak Capital Fund VI, LLC

Bank Phone: (800) 762-9473

(Please include name, phone and email address in case of questions.)

Swift Code (International Only): PNCCUS33

·

·

·

·

·

☐

Initial Investment (minimum initial investment of $10,000 up to any multiple of $1,000)

☐

Additional Investment in this Offering (minimum of $1,000 up to any multiple of $1,000)

A Bonds Subscription Amount: $                             

CUSIP (if any): [TBP]

# of Bonds:                

Ra Bonds Subscription Amount: $                              

CUSIP (if any): [TBP]

# of Bonds:          

☐

By Mail — Checks should be made payable to “Red Oak Capital Fund VI, LLC;” or

☐

By Wire Transfer — Forward this Subscription Agreement to the address listed above. Wiring instructions are as set forth below:

Red Oak Capital Fund VI, LLC

ABA No: [TBP]

Acct No: [TBP]

Beneficiary Name: Red Oak Capital Fund VI, LLC

Bank Name: PNC

Bank Address: 500 First Avenue Pittsburgh, PA 15219

Bank Phone #: (800) 762-9473

Bank Swift Code (international only): PNCCUS33

☐

Custodial Accounts — Forward this Subscription Agreement directly to the custodian.

Non-Custodial Ownership

Custodial Ownership

☐

Individual – one signature required

☐

Traditional IRA – Owner and custodian signatures required.

☐

Joint Tenants with Rights of Survivorship – All parties must sign.

☐

Roth IRA – Owner and custodian signatures required.

☐

Community Property – All parties must sign.

☐

Simplified Employee Pension/ Trust (SEP) – Owner and custodian signatures required.

☐

Tenants in Common – All parties must sign.

☐

KEOGH – Owner and custodian signatures requires.

☐

Uniform Gift to Minors Act – State of __________ - Custodian signature required.

☐

Other - _________________________________ Owner and custodian signatures requires.

☐

Qualified Pension or Profit-Sharing Plan – Include plan documents

Custodian Information (To be completed by custodian)

Name of Custodian:

☐

Trust – Include title, signature and “Powers of the Trustees” pages

Mailing Address: ________________________________

   City: __________________ State: ________  Zip code: ______

☐

Corporation – Include corporate resolution, articles of incorporation and bylaws, Authorized signature required

Custodian Tax ID #:

☐

Partnership – Include partnership agreement. Authorize signature(s) required.

Custodian Account #:

☐

Other (Specify) - ________________________

Include title and signature pages.

Custodian Phone #:

First, Middle, Last Name:

Social Security #:

Street Address:

City, State, Zip Code:

Daytime Phone #:

Date of Birth:

Citizenship (If Not a US Citizen, Specify Country):

E-mail Address:

First, Middle, Last Name:

Social Security #:

Street Address:

City, State, Zip Code:

Daytime Phone #:

Date of Birth:

Citizenship (If Not a US Citizen, Specify Country):

E-mail Address:

Name of Trust:

Tax ID #:

Name(s) of Trustee(s)*:

Name(s) of Beneficial Owner(s)*:

Beneficial Owner(s) Street Address:

City, State, Zip Code:

Social Security #:

Date of Trust:

Daytime Phone #:

Date of Birth:

Occupation:

E-mail Address:

Name of Entity:

Tax ID #:

Date of Entity Formation:

Name(s) of Officer(s), General Partner or Authorized:

Additional Name of Authorized Person (if any):

Legal Street Address:

City, State, Zip Code:

Daytime Phone #:

E-mail Address:

I choose to have distributions mailed to me at the address listed in Section 4.

☐

I choose to have distributions mailed to me at the following address.                                                                                               

☐

I choose to have distributions deposited in a checking, savings or brokerage account.

I authorize the Company or its agent to deposit my distribution to the account indicated below. This authority will remain in force until I notify the Company to cancel it. In the event that the Company deposits funds erroneously into my account, the Company is authorized to debit my account for the amount of the erroneous deposit.

Name of Financial Institution:

Your Bank’s ABA Routing #:

Your Account #:

Name on Account:

Further Credit Account # (if any):

Further Credit Account Name (if any):

Brokerage Mailing Address:

City, State, Zip Code:

Account Type:     ☐ Checking     ☐ Savings     ☐ Brokerage

Signature of Individual/Trustee/Beneficial Owner

Date

Printed Name

Signature of Joint Owner/Co-trustee

Date

Printed Name

In lieu of receiving documents by mail, I authorize the company to make available on its website at www.redoakcapitalholdings.com its semi-annual reports, annual reports, or other reports required to be delivered to me, as well as any investment or marketing updates, and to notify me via e-mail when such reports or updates are available. Any investor who elects this option must provide an e-mail address below. Please carefully read the following representations before consenting to receive documents electronically. If you check this box, you represent the following:

(a)

I acknowledge that access to the internet, email and the World Wide Web is required in order to access documents electronically. I may receive by email notification the availability of a document in electronic format. The notification e-mail will contain a web address (or hyperlink) where the document can be found. By entering this address into my web browser, I can view, download and print the document from my computer. I acknowledge that there may be costs associated with the electronic access, such as usage charges from my internet provider and telephone provider, and that these costs are my responsibility.

(b)

I acknowledge that documents distributed electronically may be provided in Adobe’s Portable Document Format (PDF). The Adobe Reader software is required to view documents in PDF. The reader software is available free of charge from Adobe’s web site at www.adobe.com. The Adobe Reader software must be correctly installed on my system before I will be able to view documents in PDF. Electronic delivery also involves risks related to system or network outage that could impair my timely receipt of or access to stockholder communications.

(c)

I acknowledge that I may receive at no cost from the Company a paper copy of any documents delivered electronically by calling my financial advisor.

(d)

I understand that if the e-mail notification is returned to the Company as “undeliverable,” a letter will be mailed to me with instructions on how to update my e-mail address to begin receiving communications via electronic delivery. I further understand that if the Company is unable to obtain a valid e-mail address for me, the Company will resume sending a paper copy of its filings by U.S. mail to my address of record.

(e)

I understand that my consent may be updated or cancelled, including any updates in e-mail address to which documents are delivered, at any time by calling my financial advisor.

I am a natural person, and the aggregate purchase price for the Bonds I am purchasing in the offering does not exceed 10% of my net worth or annual income, whichever is greater.

☐

I am a non-natural person, and the aggregate purchase price for the Bonds I am purchasing in the offering does not exceed 10% of my revenues or net assets, whichever is greater, for my most recently completed fiscal year.

☐

I am an accredited investor.

Investor Acknowledgements and Representations

a.

I understand that the Company reserves the right to, in its sole discretion, accept or reject this subscription, in whole or in part, for any reason whatsoever, and to the extent not accepted, unused funds transmitted herewith shall be returned to the undersigned in full.

b.

I have received the Offering Circular.

c.

I am purchasing the Bonds for my own account.

d.

I agree that my rights and responsibilities relative to my ownership of the Bonds subscribed for in this offering shall be governed (i) by that certain Indenture by and between the Company and UMB Bank, N.A., as trustee, filed as an exhibit to the Offering Circular; and (ii) the Form of Bond filed as an exhibit to the Offering Circular.

e.

I hereby represent and warrant that I am not, and am not acting as an agent, representative, intermediary or nominee for any person identified on the list of blocked persons maintained by the Office of Foreign Assets Control, U.S. Department of Treasury. In addition, I have complied with all applicable U.S. laws, regulations, directives, and executive orders relating to anti-money laundering including but not limited to the following laws: (1) the Uniting and Strengthening America by Providing Appropriate Tools Required to Intercept and Obstruct Terrorism Act of 2001, Public Law 107-56; and (2) Executive Order 13224 (Blocking Property and Prohibiting Transactions with Persons Who Commit, Threaten to Commit, or Support Terrorism) of September 23, 2001.

Signature of Individual/Trustee/Beneficial Owner/Custodian

Date

Printed Name

Signature of Joint Owner/Co-trustee

Date

Printed Name

Signature – Firm Principal 

Date

Printed Name

Signature – Authorized Representative

Printed Name

Date

By:

Name:

Its:

Dated:

(a)

☐ I have an individual net worth, or joint net worth with my spouse (or spousal equivalent), of more than $1,000,000, excluding primary residence, see calculation below; or

(b)

☐ I have individual income in excess of $200,000 or joint income with my spouse (or spousal equivalent) in excess of $300,000, in each of the two most recent years and I have a reasonable expectation of reaching the same income level in the current year.

(c)

☐ I am an executive officer, director, advisory board member, trustee or general partner of the Company, or serve in a similar capacity, or I serve in a similar capacity of the general partner of the Company.

(d)

☐ I am a holder in good standing of certain professional certifications or designations, including the Financial Industry Regulatory Authority, Inc. Licensed General Securities Representative (Series 7), Licensed Investment Adviser Representative (Series 65), or Licensed Private Securities Offerings Representative (Series 82) certifications.

(a)

☐ an organization described in Section 501(c)(3) of the Internal Revenue Code, as amended, a corporation, Massachusetts or similar business trust, partnership, or organization described in Code Section 501(c)(3), not formed for the specific purpose of acquiring Bonds, with total assets over $5,000,000;

(b)

☐ an entity with investments (as defined in Section 2a51-1(b) of the Investment Company Act) exceeding $5,000,000, not formed for the specific purpose of acquiring Bonds;

(c)

☐ a trust, with total assets over $5,000,000, not formed for the specific purpose of acquiring Bonds and whose purchase is directed by a person who has such knowledge and experience in financial and business matters that he or she is capable of evaluating the merits and risks of an investment in the Bonds as described in Rule 506(b)(2)(ii) under the Securities Act of 1933 (the “Securities Act”);

(d)

☐ a broker-dealer registered under Section 15 of the Securities Exchange Act of 1934, as amended;

(e)

☐ an investment company registered under the Investment Company Act of 1940, as amended (the “Investment Company Act”) or a business development company (as defined in Section 2(a)(48) of the Investment Company Act);

(f)

☐ an investment adviser registered under the Investment Advisers Act of 1940 (the “Advisers Act”), or an exempt reporting adviser (as defined in Section 203(l) or Section 203(m) of the Advisers Act), or a state-registered investment adviser;

(g)

☐ a family client of family office, with total assets of at least $5,000,000, not formed for the specific purpose of acquiring Bonds and whose purchase is directed by a person who has such knowledge and experience in financial and business matters that the family office is capable of evaluating the merits and risks of an investment in Bonds as described in Section 202(a)(11)(G)-1(b) under the Advisers Act;

(h)

☐ a small business investment company licensed by the Small Business Administration under Section 301(c) or (d) or the Small Business Investment Act of 1958, as amended;

(I)

☐ a Rural business investment company (as defined in Section 384A of the Consolidated Farm and Rural Development Act);

(j)

☐ an employee benefit plan within the meaning of ERISA, if the investment decision is made by a plan fiduciary (as defined in Section 3(21) of ERISA), which is either a bank, savings and loan association, insurance company, or registered investment advisor, or if such employee benefit plan has total assets over $5,000,000 or, if a self-directed plan, with investment decisions made solely by persons who are accredited investors;

(k)

☐ a private business development company (as defined in Section 202(a)(22) of the Investment Advisers Act of 1940, as amended);

(l)

☐ a bank as defined in Section 3(a)(2) of the Securities Act, any savings and loan association or other institution as defined in Section 3(a)(5)(A) of the Securities Act whether acting in its individual or fiduciary capacity, or any insurance company as defined in Section 2(13) of the Securities Act;

(m)

☐ a plan established and maintained by a state, its political subdivisions, or any agency or instrumentality of a state or its political subdivisions, for the benefit of its employees, if such plan has total assets of more than $5,000,000; or

(n)

☐ an entity (including an Individual Retirement Account) in which all of the equity owners are accredited investors.