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Full title: Notice Regarding Further Modified Exhibits to Joint Motion for an Order (I) Approving the Plan Summary and Conditionally Approving Disclosure Statement; (II) Scheduling Combined Hearing on Approval of Disclosure Statement and Confirmation of Plan and Approving the Form and Manner of Service of the Combined Hearing Notice; (III) Establishing Non-Investor Bar Dates for Filing Proofs of Claim; (IV) Approving Form and Manner of Notice of Non-Investor Bar Dates; (V) Establishing Procedures for the Solicitation and Tabulation of Votes on Plan; and (VI) Approving Related Matters and Redlines of Same Filed by Debtor Professional Financial Investors, Inc. (Katz, Ori) (Entered: 04/16/2021)

Document posted on Apr 15, 2021 in the bankruptcy, 138 pages and 0 tables.

Bankrupt11 Summary (Automatically Generated)

Please Check the Applicable Debtor(s) and write in the Claim Amount (as of May 1, 2021) for each: □ Professional Financial Investors, Inc.; $______________ □ Professional Investors 30, LLC; $_______________□ Professional Investors Security Fund, Inc.; $__________ □ Professional Investors 31, LLC; $_______________□ Professional Investors Security Fund I; $_____________ □ Professional Investors 32, LLC; $_______________□ Professional Investors Security Fund IV; $____________ □ Professional Investors 33, LLC; $_______________□ Professional Investors Security Fund VII; $___________ □ Professional Investors 34, LLC; $_______________□ Professional Investors Security Fund IX; $____________ □ Professional Investors 35, LLC; $_______________□ Professional Investors Security Fund XII; $___________ □ Professional Investors 36, LLC; $_______________□ Professional Investors Security Fund XIII; $___________ □ Professional Investors 37, LLC; $_______________□ Professional Investors Security Fund XIV; $__________ □ Professional Investors 38, LLC; $_______________□ Professional Investors Security Fund XV; $___________ □ Professional Investors 39, LLC; $_______________□ Professional Investors Security Fund XVII; $__________ □ Professional Investors 40, LLC; $_______________□ Professional Investors Security Fund XVIII; $_________ □ Professional Investors 41, LLC; $_______________□ Professional Professional Financial Investors, Inc.; Professional Investors Security Fund, Inc.; Professional Investors Security Fund I; Professional Investors Security Fund IV; Professional Investors Security Fund VII; Professional Investors Security Fund IX; Professional Investors Security Fund XII; Professional Investors Security Fund XIII; Professional Investors Security Fund XIV; Professional Investors Security Fund XV; Professional Investors Security Fund XVII; Professional Investors Security Fund XVIII; Professional Investors 20, LLC; Professional Investors 21, LLC; Professional Investors 22, LLC; Professional Investors 23, LLC; Professional Investors 24, LLC; Professional Investors 25, LLC; Professional Investors 26, LLC; Professional Investors 27, LLC; Professional Investors 29, LLC; Professional Investors 30, LLC; Professional Investors 31, LLC; Professional Investors 32, LLC; Professional Investors 33, LLC; Professional Investors 34, LLC; Professional Investors 35, LLC; Professional Investors 36, LLC; Professional Investors 37, LLC; Professional Investors 38, LLC; Professional Investors 39, LLC; Professional Investors 40, LLC; Professional Investors 41, LLC; Professional Investors 42, LLC; Professional Investors 43, LLC; Professional Investors 44, LLC; Professional Investors 45, LLC; Professional Investors 46, LLC; Professional Investors 47, LLC; Professional Investors 48, LLC; Professional Investors 49, LLC Item 2.Please Check the Applicable Debtor(s) and write in the Claim Amount (as $__________of May 1, 2021) for each: Debtor(s): Professional Financial Investors, Inc.;

List of Tables

Document Contents

1 Ori Katz (CA Bar No. 209561) Debra I. Grassgreen (CA Bar No. 169978) J. Barrett Marum (CA Bar No. 228628) John D. Fiero (CA Bar No. 136557) 2 Matt Klinger (CA Bar No. 307362) Cia H. Mackle (admitted pro hac vice) SHEPPARD, MULLIN, RICHTER & HAMPTON PACHULSKI STANG ZIEHL & JONES LL3 LLP Four Embarcadero Center, 17th Floor 150 California Street, 15th Floor 4 San Francisco, CA 94111-4019 San Francisco, CA 94111 Telephone: (415) 434-9100 Telephone: (415) 263-7000 5 Facsimile: (415) 434-3947 Facsimile: (415) 263-7010 Email: okatz@sheppardmullin.com E-mail: dgrassgreen@pszjlaw.com 6 bmarum@sheppardmullin.com jfiero@pszjlaw.com mklinger@sheppardmullin.com cmackle@pszjlaw.com 7 Counsel to the Official Committee of Counsel to Debtors and Debtors in Possession Unsecured Creditors 8 9 UNITED STATES BANKRUPTCY COURT 10 NORTHERN DISTRICT OF CALIFORNIA 11 SAN FRANCISCO DIVISION 12 Chapter 11 In re: 13 Case No. 20-30604 PROFESSIONAL FINANCIAL INVESTORS, INC., et al., 14 (Jointly Administered) 15 NOTICE OF FURTHER MODIFIED EXHIBIT Debtors. TO JOINT MOTION FOR AN ORDER (I) 16 APPROVING THE PLAN SUMMARY AND CONDITIONALLY APPROVING DISCLOSU 17 STATEMENT; (II) SCHEDULING COMBINE HEARING ON APPROVAL OF DISCLOSURE 18 STATEMENT AND CONFIRMATION OF PL AND APPROVING THE FORM AND MANNE 19 OF SERVICE OF THE COMBINED HEARIN NOTICE; (III) ESTABLISHING NON- 20 INVESTOR BAR DATES FOR FILING PROO OF CLAIM; (IV) APPROVING FORM AND 21 MANNER OF NOTICE OF NON-INVESTOR BAR DATES; (V) ESTABLISHING 22 PROCEDURES FOR THE SOLICITATION A TABULATION OF VOTES ON PLAN; AND 23 (VI) APPROVING RELATED MATTERS AND REDLINES OF SAME 24 Hearing Date: 25 Date: April 15, 2021 Time: 11:00 a.m. (Pacific Time) 26 Place: 450 Golden Gate Avenue, 16th Floor San Francisco, CA 94102 27 Judge: Honorable Hannah Blumenstiel 28

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1 PLEASE TAKE NOTICE THAT attached hereto as Annex I and Annex II, respectivel2 are clean and redline copies of the following updated exhibits to the Motion for an Order (3 Approving the Plan Summary and Conditionally Approving Disclosure Statement; (II) Schedulin4 Combined Hearing on Approval of Disclosure Statement and Confirmation of Plan and Approvin5 the Form and Manner of Service of the Combined Hearing Notice; (III) Establishing Non-Investo6 Bar Dates for Filing Proofs of Claim; (IV) Approving Form and Manner of Notice of Non-Investo7 Bar Dates; (V) Establishing Procedures for the Solicitation and Tabulation of Votes on Plan; an8 (VI) Approving Related Matters (the “Motion”)1 [Docket No. 513]:
Table 1 on page 2. Back to List of Tables
Exhibit Description
Exhibit A Proposed Combined Hearing Notice
Exhibit B Proposed Non-Investor Bar Date Notice
Exhibit C Proposed Contents and Procedures for Serving Solicitation
Packages
Exhibit D D-1. Proposed Form of Ballot (Class 1)
D-2. Proposed Form of Ballot (Class 4)
D-3. Proposed Form of Ballot (Class 5)
D-4. Proposed Form of Ballot (Class 6)
D-5. Proposed Form of Ballot (Class 7)
Exhibit E Proposed Vote Tabulation Rules
Exhibit F Proposed Notice of Non-Voting Status
Exhibit G G-1. Investor Solicitation Cover Letter
G-2. Non-Investor Solicitation Cover Letter
Exhibit H Committee Plan Support Letters [No Changes]
Exhibit I Proposed Order
22 [Signatures on Next Page] 23 24 25 26 27 28 1 A capitalized term used but not defined herein shall have the meaning ascribed to it in the Motion.

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1 Dated: April 16, 2021 SHEPPARD, MULLIN, RICHTER & HAMPTON LLP 2 By: /s/ Ori Katz 3 Ori Katz J. Barrett Marum 4 Matt Klinger 5 Attorneys for the Debtors 6 Dated: April 16, 2021 PACHULSKI STANG ZIEHL & JONES LLP 7 8 By: /s/ Debra Grassgreen Debra Grassgreen 9 John D. Fiero Cia H. Mackle 10 Attorneys for the Official Committee of Unsecure 11 Creditors 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28

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1 ANNEX I 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28

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EXHIBIT A Proposed Combined Hearing Notice

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1 UNITED STATES BANKRUPTCY COURT 2 NORTHERN DISTRICT OF CALIFORNIA 3 SAN FRANCISCO DIVISION 4 Chapter 11 In re: 5 Case No. 20-30604 PROFESSIONAL FINANCIAL INVESTORS, INC., et al.,1 6 (Jointly Administered) 7 NOTICE OF (I) CONDITIONAL APPROVAL Debtors. DISCLOSURE STATEMENT; (II) HEARING 8 CONSIDER CONFIRMATION OF THE PLAN (III) DEADLINE FOR FILING OBJECTIONS 9 CONFIRMATION OF THE PLAN; AND (IV) DEADLINE FOR VOTING ON THE PLAN 10 PLEASE TAKE NOTICE OF THE FOLLOWING: 11 1. On March 21, 2021, Professional Financial Investors, Inc. (“PFI”) and its affiliate12 debtors and debtors in possession (collectively, with PFI, the “Debtors”) and the Official Committe13 of Unsecured Creditors (the “Committee” and together with the Debtors, the “Proponents”) filed (14 Joint Chapter 11 Plan of Professional Financial Investors, Inc. and its Affiliated Debtors Propose15 by the Debtors and Official Committee of Unsecured Creditors and Supported by the Ad Hoc LL16 Members Committee and the Ad Hoc DOT Noteholders Committee [Docket No. 489, as amended b17 Docket No. 554] (including all exhibits thereto and as amended, modified or supplemented fro18 time to time, the “Plan”); (b) a related executive summary of the Plan [Docket No. 488, as amende19 by Docket No. 553]; and (c) a related disclosure statement with respect to the Plan [Docket No. 4920 as amended by Docket No. [•]] (including all exhibits thereto and as amended, modified 21 supplemented from time to time, the “Disclosure Statement”) under section 1125 of the Bankruptc22 Code. 23 2. By an Order dated April [•], 2021 (the “Conditional Disclosure Statement Order”24 the Bankruptcy Court conditionally approved the Disclosure Statement as containing adequat25 information within the meaning of section 1125 of Bankruptcy Code. The Conditional Disclosur26 27 1 A complete list of the Debtors and their respective chapter 11 case numbers may be found 28 www.donlinrecano.com/pfi. The federal tax identification numbers of each of the Debtors is also available i

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1 Statement Order expressly reserves all parties’ rights to raise objections to the adequacy o2 information in the Disclosure Statement. 3 3. By the Conditional Disclosure Statement Order, the Bankruptcy Court establishe4 May 13, 2021 at 4:00 p.m. (Pacific Time) (the “Voting Deadline”) as the deadline by which ballot5 accepting or rejecting the Plan must be received. To be counted, your original ballot must actuall6 be received on or before the Voting Deadline by the Debtors’ balloting agent, Donlin Recano, eith7 electronically as specified on your ballot or to the following address: 8 Professional Financial Investors, Inc., et al. c/o Donlin, Recano & Co., Inc. 9 P.O. Box 199043 Blythebourne Station 10 Brooklyn, NY 11219 11 PLEASE DO NOT SEND YOUR BALLOT TO THE BANKRUPTCY COURT. 12 4. To be counted, your original ballot must actually be submitted electronically, or in 13 manner otherwise specified on the ballot, so that it is received on or before the Voting Deadline. 14 5. On May 27, 2021 at 10:00 a.m. (Pacific Time), or as soon thereafter as counsel ma15 be heard, a hearing will be held before the Honorable Hannah L. Blumenstiel, United State16 Bankruptcy Judge via video or teleconference to consider final approval of the Disclosure Stateme17 and confirmation of the Plan, as the same may be amended or modified (the “Combined Hearing”). 18 6. The Combined Hearing may be adjourned from time to time, without further notic19 The Plan may be modified in accordance with the Bankruptcy Code, the Federal Rules o20 Bankruptcy Procedure, the Plan and other applicable law, without further notice, prior to or as 21 result of the Combined Hearing. 22 7. Objections to final approval of the Disclosure Statement or confirmation of the Pla23 including any supporting memoranda, if any, must (a) be in writing; (b) state the name and addres24 of the objecting party and the nature of the claim or interest of such party; (c) state with particularit25 the basis and nature of any objection or proposed modification and provide the specific language 26 any proposed modification, where possible; and (d) be filed with the Bankruptcy Court and serve27 on the following parties so that all objections are received no later than 4:00 p.m., Pacific time o28

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1 May 13, 2021: (a) Counsel to the Debtors, Sheppard Mullin Richter & Hampton, LLP, Attn: O2 Katz, Four Embarcadero Center, 17th Floor, San Francisco, CA 94111; (b) Office of the Unite3 States Trustee, Northern District of California, 300 Booth Street, Room 3009, Reno, NV 89504 (Attn: Cameron Gulden); (c) Counsel to the Committee, Pachulski Stang Ziehl & Jones LLP, Att5 Debra Grassgreen, 150 California Street, 15th Floor, San Francisco, CA 94111; (d) Counsel to the A6 Hoc LLC Members Committee, Sklar Kirsh, LLP, Attn: Robbin L. Itkin, 1880 Century Park Eas7 Suite 300, Los Angeles, CA 90067; (e) Counsel to the Ad Hoc DOT Noteholders Committe8 BakerHostetler, Attn: Cecily A. Dumas, 600 Montgomery Street, Suite 3100, San Francisco, C9 94111; and (f) all other parties in interest that have filed requests for notice pursuant to Bankruptc10 Rule 2002 in the Debtors’ chapter 11 cases. 11 5. In accordance with Bankruptcy Rule 3017(a), requests for copies of the Disclosur12 Statement, the Plan, or the Motion by parties in interest may be made in writing to counsel for th13 Committee or via email at hphan@pszjlaw.com. Copies of the Disclosure Statement and the Pla14 (along with exhibits to each as they are filed with the Bankruptcy Court) and the Motion ar15 available for review, at no charge, at www.donlinrecano.com/PFI. 16 6. IF YOU HAVE ANY QUESTIONS REGARDING YOUR CLAIM OR TH 17 VOTING PROCEDURES, OR IF YOU NEED A BALLOT OR ADDITIONAL COPIES O18 THE DISCLOSURE STATEMENT OR OTHER ENCLOSED MATERIALS, PLEAS19 CONTACT THE VOTING AGENT, DONLIN RECANO AT 1-877-283-0316 OR BY EMAI20 AT pfiinfo@donlinrecano.com. 21 Dated: April [•], 2021 SHEPPARD, MULLIN, RICHTER & HAMPTON LLP 22 By: /s/ Ori Katz 23 Ori Katz J. Barrett Marum 24 Matt Klinger 25 Attorneys for the Debtors 26 Dated: April [•], 2021 PACHULSKI STANG ZIEHL & JONES LLP 27 28

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1 By: /s/ Debra Grassgreen Debra Grassgreen 2 John D. Fiero Cia H. Mackle 3 Attorneys for the Official Committee of Unsecure 4 Creditors 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28

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1 EXHIBIT B 2 3 4 5 Proposed Non-Investor Bar Date Notice 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28

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1 UNITED STATES BANKRUPTCY COURT NORTHERN DISTRICT OF CALIFORNIA 2 SAN FRANCISCO DIVISION 3 Chapter 11 In re: 4 Case No. 20-30604 PROFESSIONAL FINANCIAL INVESTORS, INC., et al.,1 5 (Jointly Administered) 6 NOTICE OF BAR DATES FOR FILING PROO Debtors. OF CLAIM FOR NON-INVESTORS AND 7 GOVERNMENTAL UNITS 8 IF YOU ARE A PFI INVESTOR WHO INVESTED IN THE PFI ENTERPRISE BY 9 PURCHASING AN INVESTMENT PRODUCT OR MADE AN INVESTMENT OFFERED BY ANY DEBTOR, WHETHER THROUGH STRAIGHT NOTES, DEEDS 10 OF TRUST ON PFI-OWNED PROPERTY, OR EQUITY INTERESTS IN PFI-MANAGED LLCS OR LPS (AN “INVESTOR”) THIS NOTICE, AND THE BAR DATE 11 LISTED HEREIN, DOES NOT APPLY TO YOU. THERE WILL BE A SEPARATE PROCESS FOR YOU ANNOUNCED AT A LATER TIME. 12 IF YOU HOLD A TENANT-IN-COMMON INTEREST IN A PROPERTY JOINTLY 13 OWNED WITH ONE OF THE DEBTORS AND YOU ARE NOT MAKING THE TIC INVESTOR TREATMENT ELECTION, YOU MUST FILE A CLAIM AT THIS TIME 14 IF YOU HAVE ONE. 15 TO: ALL NON-INVESTOR CREDITORS, GOVERNMENTAL UNITS, AND OTHER 16 PARTIES IN INTEREST WITH CLAIMS AGAINST THE ABOVE-CAPTIONED DEBTORS: 17 The United States Bankruptcy Court for the Northern District of California (the “Court”) entered a18 Order (the “Bar Date Order”) in above-captioned chapter 11 cases (the “Cases”) of the below-listedebtors and debtors in possession (the “Debtors”) in accordance with Bankruptcy Rule 3003(19 fixing the deadlines for filing proofs of claim (“Proofs of Claim”) in this Case as set forth below: 20 a. May 13, 2021 (the “Non-Investor General Bar Date”) as the last day for the filing Proofs of Claim in this Case for all non-Investor claims (except as set forth belo21 against the Debtors arising prior to the time the petition in the applicable case wafiled (the “Petition Date”), as set forth in the chart below;22 b. May 13, 2021 (the “PFI/PISF Governmental Claims Bar Date”) as the last day for a23 governmental units, as defined in section 101(27) of the Bankruptcy Code, to filProofs of Claim against Debtors Professional Financial Investors, Inc., an24 Professional Investors Security Fund, Inc. arising before the applicable Petition Datas set forth in the chart below; and 25 26 27 1 A complete list of the Debtors, their federal tax identification numbers, and their address is provided in thbody of this Notice. 28

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1 c. 180 days after the date of the entry of the Order for Relief (the “LLC/LGovernmental Claims Bar Dates”) as the last day for all governmental units, a2 defined in section 101(27) of the Bankruptcy Code, to file Proofs of Claim against aremaining Debtors arising before the applicable Petition Date, which the Debtor3 have calculated as follows: 4 1. June 9, 2021 as to claims against those certain LLC/LP Debtors for whicOrders for Relief were entered on December 11, 2020; 5 2. August 16, 2021 as to claims against those certain LLC/LP Debtors for whic6 Orders for Relief were entered on February 17, 2021; and 7 3. August 17, 2021 as the Governmental Claims Bar Date as to claims againthose certain LLC/LP Debtors for which Orders for Relief were entered o8 February 18, 2021. 9 A list of the Debtors, their bankruptcy case number, tax ID number, and applicable Petition Date entry of the Order for Relief is as follows. The address of each of the Debtors is: 350 Ignacio Blv10 Suite 300, Novato, CA, 94949-7202:
Table 1 on page 12. Back to List of Tables
Debtor Case No. Federal Tax
I.D. #
Professional Financial Investors, Inc. 20-30604 68-0233228
Professional Investors Security Fund, Inc. 20-30579 68-0040208
Professional Investors Security Fund I, A
California Limited Partnership
20-30908 68-0022483
Professional Investors Security Fund IV,
A California Limited Partnership
20-30909 68-0049491
Professional Investors Security Fund VII,
A California Limited Partnership
20-30911 68-0115840
Professional Investors Security Fund IX,
A California Limited Partnership
20-30910 68-0184540
Professional Investors Security Fund XII,
A California Limited Partnership
20-30912 68-0233359
Professional Investors Security Fund
XIII, A California Limited Partnership
20-30913 68-0264951
Professional Investors Security Fund
XIV, A California Limited Partnership
20-30914 68-0287489
Professional Investors Security Fund XV,
A California Limited Partnership
20-30915 68-0298084
Professional Investors Security Fund
XVII, A California Limited Partnership
20-30916 68-0322071
Professional Investors Security Fund
XVIII, A California Limited Partnership
20-30917 68-0340123
Professional Investors 20, LLC 20-30919 46-3353668
Professional Investors 21, LLC 20-30920 46-5084863
Professional Investors 22, LLC 20-30922 47-1285602
Professional Investors 23, LLC 20-30923 47-1699320
Professional Investors 24, LLC 20-30924 47-3144421
Professional Investors 25, LLC 20-30925 47-3879056
Professional Investors 26, LLC 20-30927 47-4335145
Professional Investors 27, LLC 20-30928 47-4930703
Professional Investors 29, LLC 20-30929 81-2625418
Professional Investors 30, LLC 20-30930 37-1827607
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Table 1 on page 13. Back to List of Tables
Professional Investors 31, LLC 21-30093 81-3273083
Professional Investors 32, LLC 20-30934 81-3281756
Professional Investors 33, LLC 20-30935 81-3302457
Professional Investors 34, LLC 20-30936 81-4307357
Professional Investors 35, LLC 20-30937 81-4323161
Professional Investors 36, LLC 20-30938 82-1387886
Professional Investors 37, LLC 20-30939 82-1409164
Professional Investors 38, LLC 21-30082 82-2734722
Professional Investors 39, LLC 21-30083 82-3661635
Professional Investors 40, LLC 20-30940 82-3823200
Professional Investors 41, LLC 20-30941 82-3839566
Professional Investors 42, LLC 21-30084 82-5497471
Professional Investors 43, LLC 21-30085 83-2208999
Professional Investors 44, LLC 21-30086 83-2294816
Professional Investors 45, LLC 21-30087 83-2315445
Professional Investors 46, LLC 20-30942 84-1743732
Professional Investors 47, LLC 21-30088 84-2157268
Professional Investors 48, LLC 21-30089 84-3537563
Professional Investors 49, LLC 21-30094 84-3792687
11 All claims, as defined in section 101(5) of title 11 of the United States Code (the “Bankruptc12 Code”), arising before the applicable Petition Date, except as otherwise provided for specifically excepted herein, shall be in writing, together with supporting documentatio13 substantially conforming with Official Bankruptcy Form 410, or as otherwise prescribed oauthorized under the Bankruptcy Rules, so they are actually received on or before the Non-Investo14 General Bar Date, the PFI/PISF Governmental Claims Bar Dates, or the LLC/LP GovernmentClaims Bar Date, as applicable, as follows: 15 Professional Financial Investors, Inc., et al. 16 c/o Donlin, Recano & Co., Inc. P.O. Box 199043 17 Blythebourne Station Brooklyn, NY 11219 18 Proofs of Claim that are emailed or sent by facsimile or telecopy, or sent to any other location wi19 not be accepted. 20 The following claims, administrative requests, and interests are excepted from the provisions of thBar Date Order (the “Excepted Claims/Interests”) and are not required to be filed on or before th21 Non-Investor General Bar Date, the PFI/PISF Governmental Claims Bar Date, or the LLC/LGovernmental Claims Bar Dates: (a) claims already received by the Bankruptcy Court or Claim22 Agent; (b) claims listed in the Debtor’s Schedules, if the claimant does not dispute the amount manner in which its claim is listed in the Schedules or the nature of the claim and if such claim is n23 designated therein as “contingent,” “unliquidated,” “disputed” or “unknown;” (c) claims arising oor after the Petition Date; (d) claims of professionals retained by the Debtors or any official or a24 hoc committee appointed in this Case pursuant to orders of this Court who assert administrativclaims for fees and expenses subject to the Court’s approval pursuant to sections 328, 330, and 3325 of the Bankruptcy Code; (e) claims by any person or entity whose claim has been paid by the Debtor has been otherwise satisfied; (f) any claim for fees relating to this Case under 28 U.S.C. § 19326 and (g) claims of Investors. Should the Court, in the future, fix a date by which the ExcepteClaims/Interest must be filed, you will be notified. 27 28

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1 Any creditor that fails to file a proof of claim against the applicable Debtor in accordance with thapplicable procedure set forth herein: (1) shall not, with respect to any such claim, be treated as 2 creditor of the applicable Debtor for the purposes of distribution under any plan; and (2) shall bforever barred from (a) filing a proof of claim with respect to such claim, (b) asserting such clai3 against the applicable Debtor and its respective estate or property, and (c) participating in andistribution in these cases on account of such claim. 4 The Debtors’ Schedules and/or the Bar Date Order may be (i) for a fee, on the Court’s websit5 www.canb.uscourts.gov (a PACER account is required); (ii) for free at the Claims Agent’dedicated PFI website at www.donlinrecano.com/pfi or (iii) by contacting counsel for th6 Committee as set forth below. 7 Any questions concerning this notice should be directed to counsel for the Committee, PachulsStang Ziehl & Jones LLP, Attn: Cia H. Mackle at cmackle@pszjlaw.com or (310) 772-2328 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28

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EXHIBIT C Proposed Contents and Procedures for Serving Solicitation Packages

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THE SOLICITATION PACKAGE AND GENERAL NOTICE PROCEDURES3 1. By not later than April 22, 2021, the Proponents will complete the mailing ofSolicitation Packages by first class U.S. mail solely to (a) holders of claims in the Classes entitled to vote on the Plan, (b) the United States Trustee, and (c) any other necessary or appropriate agencies and/or representatives of the United States federal government (the “Federal Government”) at the locations required by Bankruptcy Rule 2002(j). 2. The Solicitation Packages will contain hard copies of the following items: a. the Cover Letter describing the contents of the Solicitation Package andwhich will direct parties to the website at which they may view theDisclosure Statement and the exhibits thereto, including the Plan and theexhibits attached thereto; b. the Plan Summary; c. the Ad Hoc Committees’ Support Letters; d. a Ballot for holders of claims in Classes entitled to vote, includinginstructions set forth therein regarding how to complete the Ballot;e. a Ballot return envelope; and f. Non-Investor Bar Date Notice, together with the standard form Proof ofClaim, if and as applicable.4 3. Solicitation Packages will not be provided to the Non-Voting Classes except uponexpress request to do so. Holders of Claims or Interests in the Non-Voting Classes under the Plan will receive only the Confirmation Hearing Notice, the Notice of Non-Voting Status, and, if and as applicable, the Non-Investor Bar Date Notice (including the standard form Proof of Claim). 3 A capitalized term used but not defined herein shall have the meaning ascribed to it in the Motion. 4 The Non-Investor Bar Date Notice and standard Proof of Claim form may be sent under separate cover.

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4. The addresses to be used when mailing the Solicitation Packages will be asfollows: a. for persons or entities that have filed proofs of claim that are entitled to aBallot under the Tabulation Rules, at the address provided on the face ofthe filed proof of claim; b. for persons or entities that have not filed proofs of claim that are entitledto a Ballot under the Tabulation Rules, at the address on the Debtors’current service list or Schedules; c. at the address for a claim transferee set forth in a valid notice of transfer ofclaim; and d. for the United States Trustee and the Federal Government, the addressesused for notice filed in accordance with Bankruptcy Rule 2002. 5. If multiple Solicitations Packages would otherwise go to the same physicaladdress, the Proponents shall be entitled, but not required, to combine the Solicitation Packages into a single Solicitation Package with multiple ballots, even if the claimant names are not identical. 6. With respect to any Solicitation Packages and Confirmation Hearing Notices thatare returned by the United States Postal Service as undeliverable as a result of incomplete or inaccurate addresses, the Debtors may, in their discretion, but without any requirement, attempt to determine a correct address and resend the applicable materials. Any delay in such re-delivery, or the Debtors’ determination not to attempt any such redelivery, will not be deemed to be inadequate notice. 7. By not later than May 6, 2021, the Proponents shall file a proof of servicedemonstrating compliance with the service requirements hereof.

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EXHIBIT D-1 Proposed Form of Ballot (Class 1)

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UNITED STATES BANKRUPTCY COURT NORTHERN DISTRICT OF CALIFORNIA SAN FRANCISCO DIVISION Chapter 11 In re: Case No. 20-30604 PROFESSIONAL FINANCIAL INVESTORS, INC., et al., (Jointly Administered) Debtors. BALLOT FOR ACCEPTING OR REJECTING JOINT CHAPTER 11 PLAN OF PROFESSIONAL FINANCIAL INVESTORS, INC. AND ITS AFFILIATED DEBTORS PROPOSED BY THE DEBTORS AND OFFICIAL COMMITTEE OF UNSECURED CREDITORS CLASS 1 - NON-INVESTOR FIRST-PRIORITY LENDER CLAIMS THE VOTING DEADLINE TO ACCEPT OR REJECT THE PLAN IS MAY 13, 2021 AT 4:00 P.M. (PACIFIC TIME) This Ballot is submitted to you to solicit your vote to accept or reject the Amended Joint Chapter 11 Plan of Professional Financial Investors, Inc. and its Affiliated Debtors Proposed by the Debtors and Official Committee of Unsecured Creditors and Supported by the Ad Hoc LLC Members Committee and the Ad Hoc DOT Noteholders Committee, dated as of April 9, 2021 (as may be amended or modified, the “Plan”), which is being proposed by the above-captioned debtors and debtors-in-possession (the “Debtors”) and Official Committee of Unsecured Creditors (the “Committee” and, together with the Debtors, the “Proponents”) and which is described in the accompanying executive summary of the Plan (the “Plan Summary”) and the accompanying disclosure statement, dated April 16, 2021 (the “Disclosure Statement”). On April [•], 2021, the Bankruptcy Court entered an order approving certain procedures and materials for the solicitation of votes to accept or reject the Plan (the “Solicitation Procedures Order”). Capitalized terms used in this Ballot and the attached instructions that are not otherwise defined have the meanings given to them in the Plan. The Plan Summary and the Disclosure Statement provide information to assist you in deciding how to vote your Ballot. You should review the Plan Summary, the Disclosure Statement and the Plan before you vote. You may wish to seek legal advice concerning the Plan and your classification and treatment under the Plan. The Plan may be made binding on you whether or not you vote if the Plan (a) is accepted by the holders of at least two-thirds in amount and more than one-half in number of the claims in each impaired Class of claims who vote on the Plan; (b) otherwise satisfies the applicable requirements of section 1129(a) of the Bankruptcy Code; and (c) the Bankruptcy Court enters an order confirming the Plan. Even if the requisite acceptances are not obtained, however, the Bankruptcy Court may still confirm the Plan if the Bankruptcy Court finds that the Plan (a) provides fair and equitable treatment to, and does not unfairly discriminate against, the Class or Classes rejecting the Plan; and (b) otherwise satisfies the requirements of section 1129(b) of the

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Bankruptcy Code. This Ballot is solely for purposes of voting to accept or reject the Plan. This Ballot is not for the purpose of allowance or disallowance of, or distribution on account of, Non-Investor First Priority Claims in Class 1. There are two ways by which you may submit your Ballot: (i) you may submit your Ballot via the Voting Agent’s online e-balloting portal (the “E-Balloting Portal”) as directed below, or (ii) you may return your Ballot to the Voting Agent via mail, overnight courier, or hand deliveryby following the instructions set forth below. If you have any questions on how to properly complete this Ballot, please contact Donlin Recano at 1-877-283-0316 or email pfiinfo@donlinrecano.com. Please be advised that Donlin Recano cannot provide legal advice. For your vote to be counted, this Ballot must be properly completed, signed, and returned so that it is actually received by the Voting Agent by no later than the Voting Deadline of 4:00 p.m. (Pacific Time) on May 13, 2021. Please submit a Ballot with your vote by one of the following methods:
Table 1 on page 20. Back to List of Tables
If Submitting Your Vote Through the E-
Balloting Portal:
Donlin Recano will accept Ballots if
properly completed through the E-
Balloting Portal. To submit your Ballot
via the E-Balloting Portal, [insert]
Unique E-Ballot
ID#:_________________________
If by First Class Mail:
Professional Financial Investors, Inc., et al.,
c/o Donlin, Recano & Co., Inc.
P.O. Box 199043
Blythebourne Station, Brooklyn, NY 11219
A pre-addressed return envelope has been
enclosed for your convenience.
If by Overnight Courier or Hand Delivery:
Professional Financial Investors, Inc., et al.,
c/o Donlin, Recano & Co., Inc.
6201 15th Avenue
Brooklyn, NY 11219
DO NOT SUBMIT YOUR BALLOT TO
THE BANKRUPTCY COURT
Donlin Recano’s E-Balloting Portal is the sole manner in which Ballots will be accepted via electronic or online transmission. Ballots submitted by facsimile, email or other means of electronic transmission will not be counted. Each E-Ballot ID# is to be used solely for voting only those Claims described in your electronic Ballot. Please complete and submit an electronic Ballot for each E-Ballot ID# you receive, as applicable.

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Ballots received after 4:00 p.m. (Pacific Time) on May 13, 2021 will not be counted. Ballots submitted by e-mail or facsimile transmission will not be accepted. PLEASE COMPLETE THE FOLLOWING: Item 1. Amount of Class 1 Claim. For purposes of voting to accept or reject the Plan, the undersigned certifies that the undersigned holds a Non-Investor First Priority Lender Claim in Class 1 against the Debtors listed below in the amount set forth below. Please Check the Applicable Debtor(s) and write in the Claim Amount (as of May 1, 2021) for each: □ Professional Financial Investors, Inc.; $______________ □ Professional Investors 30, LLC; $_______________□ Professional Investors Security Fund, Inc.; $__________ □ Professional Investors 31, LLC; $_______________□ Professional Investors Security Fund I; $_____________ □ Professional Investors 32, LLC; $_______________□ Professional Investors Security Fund IV; $____________ □ Professional Investors 33, LLC; $_______________□ Professional Investors Security Fund VII; $___________ □ Professional Investors 34, LLC; $_______________□ Professional Investors Security Fund IX; $____________ □ Professional Investors 35, LLC; $_______________□ Professional Investors Security Fund XII; $___________ □ Professional Investors 36, LLC; $_______________□ Professional Investors Security Fund XIII; $___________ □ Professional Investors 37, LLC; $_______________□ Professional Investors Security Fund XIV; $__________ □ Professional Investors 38, LLC; $_______________□ Professional Investors Security Fund XV; $___________ □ Professional Investors 39, LLC; $_______________□ Professional Investors Security Fund XVII; $__________ □ Professional Investors 40, LLC; $_______________□ Professional Investors Security Fund XVIII; $_________ □ Professional Investors 41, LLC; $_______________□ Professional Investors 20, LLC; $_______________ □ Professional Investors 42, LLC; $_______________□ Professional Investors 21, LLC; $_______________ □ Professional Investors 43, LLC; $_______________□ Professional Investors 22, LLC; $_______________ □ Professional Investors 44, LLC; $_______________□ Professional Investors 23, LLC; $_______________ □ Professional Investors 45, LLC; $_______________□ Professional Investors 24, LLC; $_______________ □ Professional Investors 46, LLC; $_______________□ Professional Investors 25, LLC; $_______________ □ Professional Investors 47, LLC; $_______________□ Professional Investors 26, LLC; $_______________ □ Professional Investors 48, LLC; $_______________□ Professional Investors 27, LLC; $_______________ □ Professional Investors 49, LLC; $_______________□ Professional Investors 29, LLC; $_______________ If you wish to vote claims against different Debtors in a different manner, please submit one ballot for accepting votes, and a separate ballot for rejecting votes. Each Allowed Non-Investor First-Priority Lender Claim shall be deemed to be in its own subclass.

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Item 2. Vote on the Plan. The undersigned Holder of a Non-Investor First Priority Lender Claim in Class 1 in the amount set forth in Item 1 above hereby votes to: Check one box only: ☐ Accept (vote FOR) the Plan ☐ Reject (vote AGAINST) the Plan THE PROPONENTS RECOMMEND THAT YOU VOTE TO ACCEPT THE PLAN. Item 3. Acknowledgement. By signing this Ballot, the undersigned acknowledges receipt of the Disclosure Statement and the other applicable solicitation materials and certifies that the undersigned is the claimant or has the power and authority to vote to accept or reject the Plan on behalf of the claimant. The undersigned understands that, if this Ballot is otherwise validly executed but is not timely submitted, does not indicate either acceptance or rejection of the Plan or indicates both an acceptance and rejection of the Plan, this Ballot will not be counted as having been cast. YOUR RECEIPT OF THIS BALLOT DOES NOT SIGNIFY THAT YOUR CLAIM HAS BEEN OR WILL BE ALLOWED. Name of Holder: (Print or Type) Signature: Name of Signatory: Title of Signatory: Address: Email Address: Date Completed: If your address or contact information has changed, please note the new information here.

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EXHIBIT D-2 Proposed Form of Ballot (Class 4)

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UNITED STATES BANKRUPTCY COURT NORTHERN DISTRICT OF CALIFORNIA SAN FRANCISCO DIVISION Chapter 11 In re: Case No. 20-30604 PROFESSIONAL FINANCIAL INVESTORS, INC., et al., (Jointly Administered) Debtors. BALLOT FOR ACCEPTING OR REJECTING JOINT CHAPTER 11 PLAN OF PROFESSIONAL FINANCIAL INVESTORS, INC. AND ITS AFFILIATED DEBTORS PROPOSED BY THE DEBTORS AND OFFICIAL COMMITTEE OF UNSECURED CREDITORS CLASS 4 – DOT NOTEHOLDER CLAIMS THE VOTING DEADLINE TO ACCEPT OR REJECT THE PLAN IS MAY 13, 2021 AT 4:00 P.M. (PACIFIC TIME) Why You Are Receiving This Ballot You are being sent this Ballot because the Debtors’ records show that you are a current investor in the PFI enterprise as a result of holding notes secured by deeds of trust on PFI-owned or LP-owned property. The above-captioned Debtors and the Official Committee of Unsecured Creditors (the “Committee” and, together with the Debtors, the “Proponents”) have proposed a bankruptcy plan, entitled the Amended Joint Chapter 11 Plan of Professional Financial Investors, Inc. and its Affiliated Debtors Proposed by the Debtors and Official Committee of Unsecured Creditors and Supported by the Ad Hoc LLC Members Committee and the Ad Hoc DOT Noteholders Committee, dated as of April 9, 2021 (as may be amended or modified, the “Plan”). The Plan is also supported by both ad hoc committees, the Ad Hoc LLC Members Committee and the Ad Hoc DOT Noteholders Committee. On April [•], 2021, the Bankruptcy Court entered an order approving certain procedures and materials for the solicitation of votes to accept or reject the Plan (the “Solicitation Procedures Order”). Capitalized terms used in this Ballot and the attached instructions that are not otherwise defined have the meanings given to them in the Plan. This Ballot is submitted to you to solicit your vote to accept or reject the Plan. Information to Assist You In Voting The Plan Summary and the Disclosure Statement provide information to assist you in deciding how to vote your Ballot. You should review the Plan Summary, the Disclosure Statement and the Plan before you vote. You may wish to seek legal advice concerning the Plan and your classification and treatment under the Plan.

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How Your Vote Impacts Confirmation of the Plan The Plan may be made binding on you whether or not you vote if the Plan (a) is accepted by the holders of at least two-thirds in amount and more than one-half in number of the claims in each impaired Class of claims who vote on the Plan; (b) otherwise satisfies the applicable requirements of section 1129(a) of the Bankruptcy Code; and (c) the Bankruptcy Court enters an order confirming the Plan. Even if the requisite acceptances are not obtained, however, the Bankruptcy Court may still confirm the Plan if the Bankruptcy Court finds that the Plan (a) provides fair and equitable treatment to, and does not unfairly discriminate against, the Class or Classes rejecting the Plan; and (b) otherwise satisfies the requirements of section 1129(b) of the Bankruptcy Code. How to Vote There are two ways by which you may submit your Ballot: (i) you may submit your Ballot via the Voting Agent’s online e-balloting portal (the “E-Balloting Portal”) as directed below, or (ii) you may return your Ballot to the Voting Agent via mail, overnight courier, or hand deliveryby following the instructions set forth below. Please note that if you disagree with the amountlisted below on your Ballot for voting purposes only and you believe you are entitled to vote ahigher claim amount, and you modify such amount on the Ballot in accordance with theinstructions below, YOU MUST SUBMIT YOUR MODIFIED PHYSICAL BALLOT VIAMAIL, OVERNIGHT COURIER OR HAND DELIVERY – YOU CANNOT SUBMIT SUCHMODIFIED BALLOT VIA THE ONLINE E-BALLOTING PORTAL. If you have any questions on how to properly complete this Ballot, please contact Donlin Recano at 1-877-283-0316 or email pfiinfo@donlinrecano.com. Please be advised that Donlin Recano cannot provide legal advice. For your vote to be counted, this Ballot must be properly completed, signed, and returned so that it is actually received by the Voting Agent by no later than the Voting Deadline of 4:00 p.m. (Pacific Time) on May 13, 2021. Please submit a Ballot with your vote by one of the following methods:

25

If Submitting Your Vote Through the E- If by First Class Mail: Balloting Portal: Professional Financial Investors, Inc., et al., Donlin Recano will accept Ballots if c/o Donlin, Recano & Co., Inc. properly completed through the E- P.O. Box 199043 Balloting Portal. To submit your Ballot Blythebourne Station, Brooklyn, NY 11219 via the E-Balloting Portal, [insert] Unique E-Ballot A pre-addressed return envelope has been ID#:_________________________ enclosed for your convenience. If by Overnight Courier or Hand Delivery: Professional Financial Investors, Inc., et al., DO NOT SUBMIT YOUR BALLOT TO c/o Donlin, Recano & Co., Inc. THE BANKRUPTCY COURT 6201 15th Avenue Brooklyn, NY 11219 Donlin Recano’s E-Balloting Portal is the sole manner in which Ballots will be accepted via electronic or online transmission. Ballots submitted by facsimile, email or other means of electronic transmission will not be counted. Each E-Ballot ID# is to be used solely for voting only those Claims described in your electronic Ballot. Please complete and submit an electronic Ballot for each E-Ballot ID# you receive, as applicable. Ballots received after 4:00 p.m. (Pacific Time) on May 13, 2021 will not be counted. Ballots submitted by e-mail or facsimile transmission will not be accepted. Ballot for Voting Only, Not to Determine Claim Amount This Ballot is solely for purposes of voting to accept or reject the Plan. This Ballot is not for the purpose of allowance or disallowance of, or distribution on account of, DOT Noteholder Claims in Class 4.

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PLEASE COMPLETE THE FOLLOWING: Item 1. Amount of Class 4 Claim. For purposes of voting to accept or reject the Plan, the undersigned certifies that the undersigned holds a DOT Noteholder Claim in Class 4 against the Debtors listed below in the amount set forth below. Claim Amount: $ [to be pre-populated with amount and applicable Debtor/Investment] THE AMOUNTS LISTED HEREIN, WHETHER YOU MODIFY THEM OR NOT ARE FOR VOTING PURPOSES ONLY. THEY DO NOT GOVERN THE AMOUNT OF YOUR CLAIM FOR DISTRIBUTION PURPOSES. If you believe the amount listed above is incorrect and you believe you are entitled to vote a higher claim amount, please modify the amount, and check here. If you do not check this box, the amount of your claim for voting purposes will not be modified:  I declare under penalty of perjury that the Claim amount listed in the table above is INCORRECT,and that I am entitled to vote the amount hand-written above. The Debtors reserve the right to object to the amount you write in. Any such objection will be made by May 20, 2021. Item 2. Vote on the Plan. The undersigned Holder of a DOT Noteholder Claim in Class 4 in the amount set forth in Item 1 above hereby votes to: Check one box only: ☐ Accept (vote FOR) the Plan ☐ Reject (vote AGAINST) the Plan THE PROPONENTS RECOMMEND THAT YOU VOTE TO ACCEPT THE PLAN. Item 3. Release of Lien. Because this is a Ponzi scheme, and all Investors are victims, and in order to avoid the delay, risk, and expense of litigation, I agree that my Claim will be treated as an unsecured claim under the Plan, not a secured claim. I hereby release and reconvey any deed of trust in my name that has been recorded against any real property owned by one of the Debtors, and, as my agent, I hereby authorize the Debtors to take whatever actions they deem necessary and appropriate to effect the release of my lien(s). I agree that if the Debtors sell real property on which I hold a recorded lien before the Plan becomes effective, I hereby consent to the sale of any such real property free and clear of any lien on the real property in my name, and to the extent any lien attaches to the proceeds of the sale, I hereby release any such lien against the sale proceeds.

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 YES, I agree that my Claim will be treated as an unsecured Claim. I release any and all deeds of trust in my name recorded against the Debtors’ property or any liens on sale proceeds related thereto, and I hereby authorize the Debtors to take whatever actions they deem necessary and appropriate to effect the release of my lien(s). Item 4. Contribution of Contributed Claims. I elect to contribute to the PFI Trust all Contributed Claims (as defined in the Plan) in exchange for an increase to my Class 4 DOT Noteholder Claim by 5%.  YES, I elect to contribute my Contributed Claims to the PFI Trust. Item 5. Acknowledgement. By signing this Ballot, the undersigned acknowledges receipt of the Disclosure Statement and the other applicable solicitation materials and certifies that the undersigned is the claimant or has the power and authority to vote to accept or reject the Plan on behalf of the claimant. The undersigned understands that, if this Ballot is otherwise validly executed but is not timely submitted, does not indicate either acceptance or rejection of the Plan or indicates both an acceptance and rejection of the Plan, this Ballot will not be counted as having been cast. YOUR RECEIPT OF THIS BALLOT DOES NOT SIGNIFY THAT YOUR CLAIM HAS BEEN OR WILL BE ALLOWED. Name of Holder: [Prepopulate with address] Signature: Name of Signatory: Title of Signatory: Address (if different than above): Email Address: Date Completed: If your address or contact information has changed, please note the new information here.

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EXHIBIT D-3 Proposed Form of Ballot (Class 5)

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UNITED STATES BANKRUPTCY COURT NORTHERN DISTRICT OF CALIFORNIA SAN FRANCISCO DIVISION Chapter 11 In re: Case No. 20-30604 PROFESSIONAL FINANCIAL INVESTORS, INC., et al., (Jointly Administered) Debtors. BALLOT FOR ACCEPTING OR REJECTING JOINT CHAPTER 11 PLAN OF PROFESSIONAL FINANCIAL INVESTORS, INC. AND ITS AFFILIATED DEBTORS PROPOSED BY THE DEBTORS AND OFFICIAL COMMITTEE OF UNSECURED CREDITORS CLASS 5 – NON-DOT INVESTOR CLAIMS THE VOTING DEADLINE TO ACCEPT OR REJECT THE PLAN IS MAY 13, 2021 AT 4:00 P.M. (PACIFIC TIME) Why You Are Receiving This Ballot You are being sent this Ballot because the Debtors’ records show that you are a current investor in the PFI enterprise as a result of holding straight notes or equity interests in PFI-managed LLCs or LPs. The above-captioned Debtors and the Official Committee of Unsecured Creditors (the “Committee” and, together with the Debtors, the “Proponents”) have proposed a bankruptcy plan, entitled the Amended Joint Chapter 11 Plan of Professional Financial Investors, Inc. and its Affiliated Debtors Proposed by the Debtors and Official Committee of Unsecured Creditors and Supported by the Ad Hoc LLC Members Committee and the Ad Hoc DOT Noteholders Committee, dated as of April 9, 2021 (as may be amended or modified, the “Plan”). The Plan is also supported by both ad hoc committees, the Ad Hoc LLC Members Committee and the Ad Hoc DOT Noteholders Committee. On April [•], 2021, the Bankruptcy Court entered an order approving certain procedures and materials for the solicitation of votes to accept or reject the Plan (the “Solicitation Procedures Order”). Capitalized terms used in this Ballot and the attached instructions that are not otherwise defined have the meanings given to them in the Plan. This Ballot is submitted to you to solicit your vote to accept or reject the Plan. Information to Assist You In Voting The Plan Summary and the Disclosure Statement provide information to assist you in deciding how to vote your Ballot. You should review the Plan Summary, the Disclosure Statement and the Plan before you vote. You may wish to seek legal advice concerning the Plan and your classification and treatment under the Plan.

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How Your Vote Impacts Confirmation of the Plan The Plan may be made binding on you whether or not you vote if the Plan (a) is accepted by the holders of at least two-thirds in amount and more than one-half in number of the claims in each impaired Class of claims who vote on the Plan; (b) otherwise satisfies the applicable requirements of section 1129(a) of the Bankruptcy Code; and (c) the Bankruptcy Court enters an order confirming the Plan. Even if the requisite acceptances are not obtained, however, the Bankruptcy Court may still confirm the Plan if the Bankruptcy Court finds that the Plan (a) provides fair and equitable treatment to, and does not unfairly discriminate against, the Class or Classes rejecting the Plan; and (b) otherwise satisfies the requirements of section 1129(b) of the Bankruptcy Code. How to Vote There are two ways by which you may submit your Ballot: (i) you may submit your Ballot via the Voting Agent’s online e-balloting portal (the “E-Balloting Portal”) as directed below, or (ii) you may return your Ballot to the Voting Agent via mail, overnight courier, or hand deliveryby following the instructions set forth below. Please note that if you disagree with the amountlisted below on your Ballot for voting purposes only and you believe you are entitled to vote ahigher claim amount, and you modify such amount on the Ballot in accordance with theinstructions below, YOU MUST SUBMIT YOUR MODIFIED PHYSICAL BALLOT VIAMAIL, OVERNIGHT COURIER OR HAND DELIVERY – YOU CANNOT SUBMIT SUCHMODIFIED BALLOT VIA THE ONLINE E-BALLOTING PORTAL. If you have any questions on how to properly complete this Ballot, please contact Donlin Recano at 1-877-283-0316 or email pfiinfo@donlinrecano.com. Please be advised that Donlin Recano cannot provide legal advice. For your vote to be counted, this Ballot must be properly completed, signed, and returned so that it is actually received by the Voting Agent by no later than the Voting Deadline of 4:00 p.m. (Pacific Time) on May 13, 2021. Please submit a Ballot with your vote by one of the following methods:

31

If Submitting Your Vote Through the E- If by First Class Mail: Balloting Portal: Professional Financial Investors, Inc., et al., Donlin Recano will accept Ballots if c/o Donlin, Recano & Co., Inc. properly completed through the E- P.O. Box 199043 Balloting Portal. To submit your Ballot Blythebourne Station, Brooklyn, NY 11219 via the E-Balloting Portal, [insert] Unique E-Ballot A pre-addressed return envelope has been ID#:_________________________ enclosed for your convenience. If by Overnight Courier or Hand Delivery: Professional Financial Investors, Inc., et al., DO NOT SUBMIT YOUR BALLOT TO c/o Donlin, Recano & Co., Inc. THE BANKRUPTCY COURT 6201 15th Avenue Brooklyn, NY 11219 Donlin Recano’s E-Balloting Portal is the sole manner in which Ballots will be accepted via electronic or online transmission. Ballots submitted by facsimile, email or other means of electronic transmission will not be counted. Each E-Ballot ID# is to be used solely for voting only those Claims described in your electronic Ballot. Please complete and submit an electronic Ballot for each E-Ballot ID# you receive, as applicable. Ballots received after 4:00 p.m. (Pacific Time) on May 13, 2021 will not be counted. Ballots submitted by e-mail or facsimile transmission will not be accepted. Ballot for Voting Only, Not to Determine Claim Amount This Ballot is solely for purposes of voting to accept or reject the Plan. This Ballot is not for the purpose of allowance or disallowance of, or distribution on account of, Non-DOT Investor Claims in Class 5.

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PLEASE COMPLETE THE FOLLOWING: Item 1. Amount of Class 5 Claim. For purposes of voting to accept or reject the Plan, the undersigned certifies that the undersigned holds a Non-DOT Investor Claim in Class 5 against the Debtors listed below in the amount set forth below. Claim Amount: $ [to be pre-populated with amount and applicable Debtor/Investment] THE AMOUNTS LISTED HEREIN, WHETHER YOU MODIFY THEM OR NOT ARE FOR VOTING PURPOSES ONLY. THEY DO NOT GOVERN THE AMOUNT OF YOUR CLAIM FOR DISTRIBUTION PURPOSES. If you believe the amount listed above is incorrect and you believe you are entitled to vote a higher claim amount, please modify the amount, and check here. If you do not check this box, the amount of your claim for voting purposes will not be modified:  I declare under penalty of perjury that the Claim amount listed in the table above is INCORRECT,and that I am entitled to vote the amount hand-written above. The Debtors reserve the right to object to the amount you write in. Any such objection will be made by May 20, 2021. Item 2. Vote on the Plan. The undersigned Holder of a Non-DOT Investor Claim in Class 5 in the amount set forth in Item 1 above hereby votes to: Check one box only: ☐ Accept (vote FOR) the Plan ☐ Reject (vote AGAINST) the Plan THE PROPONENTS RECOMMEND THAT YOU VOTE TO ACCEPT THE PLAN. Item 3. Contribution of Contributed Claims. I elect to contribute to the PFI Trust all Contributed Claims (as defined in the Plan) in exchange for an increase to my Class 5 Non-DOT Investor Claim by 5%.  YES, I elect to contribute my Contributed Claims to the PFI Trust. Item 4. Acknowledgement. By signing this Ballot, the undersigned acknowledges receipt of the Disclosure Statement and the other applicable solicitation materials and certifies that the undersigned is the claimant or has the power and authority to vote to accept or reject the Plan on behalf of the claimant. The undersigned understands that, if this Ballot is otherwise validly executed but is not timely submitted, does not indicate either acceptance or rejection of the Plan or indicates both an acceptance and rejection of the Plan, this Ballot will not be counted as having been cast. YOUR RECEIPT OF THIS BALLOT DOES NOT SIGNIFY THAT YOUR CLAIM HAS BEEN OR WILL BE ALLOWED.

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Name of Holder: [Prepopulate with address] Signature: Name of Signatory: Title of Signatory: Address (if different than above): Email Address: Date Completed: If your address or contact information has changed, please note the new information here.

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EXHIBIT D-4 Proposed Form of Ballot (Class 6)

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UNITED STATES BANKRUPTCY COURT NORTHERN DISTRICT OF CALIFORNIA SAN FRANCISCO DIVISION Chapter 11 In re: Case No. 20-30604 PROFESSIONAL FINANCIAL INVESTORS, INC., et al., (Jointly Administered) Debtors. BALLOT FOR ACCEPTING OR REJECTING JOINT CHAPTER 11 PLAN OF PROFESSIONAL FINANCIAL INVESTORS, INC. AND ITS AFFILIATED DEBTORS PROPOSED BY THE DEBTORS AND OFFICIAL COMMITTEE OF UNSECURED CREDITORS CLASS 6 – TIC CLAIMS THE VOTING DEADLINE TO ACCEPT OR REJECT THE PLAN IS MAY 13, 2021 AT 4:00 P.M. (PACIFIC TIME) Why You Are Receiving This Ballot You are being sent this Ballot because the Debtors’ records show that you hold a tenant-in-common interest in Real Property co-owned with one of the Debtors. The above-captioned Debtors and the Official Committee of Unsecured Creditors (the “Committee” and, together with the Debtors, the “Proponents”) have proposed a bankruptcy plan, entitled the Amended Joint Chapter 11 Plan of Professional Financial Investors, Inc. and its Affiliated Debtors Proposed by the Debtors and Official Committee of Unsecured Creditors and Supported by the Ad Hoc LLC Members Committee and the Ad Hoc DOT Noteholders Committee, dated as of April 9, 2021 (as may be amended or modified, the “Plan”). The Plan is also supported by both ad hoc committees, the Ad Hoc LLC Members Committee and the Ad Hoc DOT Noteholders Committee. On April [•], 2021, the Bankruptcy Court entered an order approving certain procedures and materials for the solicitation of votes to accept or reject the Plan (the “Solicitation Procedures Order”). Capitalized terms used in this Ballot and the attached instructions that are not otherwise defined have the meanings given to them in the Plan. This Ballot is submitted to you to solicit your vote to accept or reject the Plan. Information to Assist You In Voting The Plan Summary and the Disclosure Statement provide information to assist you in deciding how to vote your Ballot. You should review the Plan Summary, the Disclosure Statement and the Plan before you vote. You may wish to seek legal advice concerning the Plan and your classification and treatment under the Plan.

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How Your Vote Impacts Confirmation of the Plan The Plan may be made binding on you whether or not you vote if the Plan (a) is accepted by the holders of at least two-thirds in amount and more than one-half in number of the claims in each impaired Class of claims who vote on the Plan; (b) otherwise satisfies the applicable requirements of section 1129(a) of the Bankruptcy Code; and (c) the Bankruptcy Court enters an order confirming the Plan. Even if the requisite acceptances are not obtained, however, the Bankruptcy Court may still confirm the Plan if the Bankruptcy Court finds that the Plan (a) provides fair and equitable treatment to, and does not unfairly discriminate against, the Class or Classes rejecting the Plan; and (b) otherwise satisfies the requirements of section 1129(b) of the Bankruptcy Code. The TIC Investor Treatment Election The Plan provides the option for Holders of TIC Interests to elect to be treated as Investors under the Plan. Pursuant to this election, which may be made on this Ballot or other written agreement with the Debtors or PFI Trustee, the Holder of a TIC Interest shall transfer his or her TIC Interest to the Debtors or PFI Trust. In exchange, the Holder of a TIC Interest shall receive an Investor Claim, subject to the same calculation, netting and aggregation principles applicable to Investor Claims. Such an election will not require the Holder of a TIC Interest to file a proof of claim by the General Claims Bar Date; rather, the to-be-determined bar date applicable to Investors will apply. If the Holder of a TIC Interest does not make the TIC Investor Treatment Election, the General Claims Bar Date will apply to any claims related to the TIC Interest. How to Vote There are two ways by which you may submit your Ballot: (i) you may submit your Ballot via the Voting Agent’s online e-balloting portal (the “E-Balloting Portal”) as directed below, or (ii) you may return your Ballot to the Voting Agent via mail, overnight courier, or hand deliveryby following the instructions set forth below. Please note that if you disagree with the amountlisted below on your Ballot for voting purposes only and you believe you are entitled to vote ahigher claim amount, and you modify such amount on the Ballot in accordance with theinstructions below, YOU MUST SUBMIT YOUR MODIFIED PHYSICAL BALLOT VIAMAIL, OVERNIGHT COURIER OR HAND DELIVERY – YOU CANNOT SUBMIT SUCHMODIFIED BALLOT VIA THE ONLINE E-BALLOTING PORTAL. If you have any questions on how to properly complete this Ballot, please contact Donlin Recano at 1-877-283-0316 or email pfiinfo@donlinrecano.com. Please be advised that Donlin Recano cannot provide legal advice. For your vote to be counted, this Ballot must be properly completed, signed, and returned so that it is actually received by the Voting Agent by no later than the Voting Deadline of 4:00 p.m. (Pacific Time) on May 13, 2021. Please submit a Ballot with your vote by one of the following methods:

37

If Submitting Your Vote Through the E- If by First Class Mail: Balloting Portal: Professional Financial Investors, Inc., et al., Donlin Recano will accept Ballots if c/o Donlin, Recano & Co., Inc. properly completed through the E- P.O. Box 199043 Balloting Portal. To submit your Ballot Blythebourne Station, Brooklyn, NY 11219 via the E-Balloting Portal, [insert] Unique E-Ballot A pre-addressed return envelope has been ID#:_________________________ enclosed for your convenience. If by Overnight Courier or Hand Delivery: Professional Financial Investors, Inc., et al., DO NOT SUBMIT YOUR BALLOT TO c/o Donlin, Recano & Co., Inc. THE BANKRUPTCY COURT 6201 15th Avenue Brooklyn, NY 11219 Donlin Recano’s E-Balloting Portal is the sole manner in which Ballots will be accepted via electronic or online transmission. Ballots submitted by facsimile, email or other means of electronic transmission will not be counted. Each E-Ballot ID# is to be used solely for voting only those Claims described in your electronic Ballot. Please complete and submit an electronic Ballot for each E-Ballot ID# you receive, as applicable. Ballots received after 4:00 p.m. (Pacific Time) on May 13, 2021 will not be counted. Ballots submitted by e-mail or facsimile transmission will not be accepted. Ballot for Voting Only, Not to Determine Claim Amount This Ballot is solely for purposes of voting to accept or reject the Plan. This Ballot is not for the purpose of allowance or disallowance of, or distribution on account of, TIC Claims in Class 6. PLEASE COMPLETE THE FOLLOWING: Item 1. TIC Investor Treatment Election. Because this is a Ponzi scheme, and all Investors are victims, and in order to avoid the delay, risk, and expense of litigation, I agree to transfer my TIC Interest(s) to the Debtors or PFI Trust and be treated as an Investor under the Plan, and understand that my TIC Claim shall be calculated in the manner applicable to all Investors. I agree to take whatever actions the Debtors of PFI Trustee deem necessary and appropriate to effect the transfer of my TIC Interests to the Debtors or PFI Trust.

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 YES, I agree to make the TIC Investor Treatment Election and be treated as an Investor. Item 2. Amount of Class 6 Claim. For purposes of voting to accept or reject the Plan, the undersigned certifies that the undersigned holds a TIC Claim in Class 6 against the Debtors listed below in the amount set forth below. Claim Amount: $___________________ If you are making the TIC Investor Treatment Election, the Claim Amount you are entitled to vote is your gross investment in the TIC Interest. If you are not making the TIC Investor Treatment Election, your Claim Amount should match the amount you claimed on your Proof of Claim Form. TIC Interests Held: ________________________________________________ Item 3. Vote on the Plan. The undersigned Holder of a TIC Claim in Class 6 in the amount set forth in Item 1 above hereby votes to: Check one box only: ☐ Accept (vote FOR) the Plan ☐ Reject (vote AGAINST) the Plan THE PROPONENTS RECOMMEND THAT YOU VOTE TO ACCEPT THE PLAN. Item 4. Contribution of Contributed Claims. Only for those Holders of TIC Claims who have made a TIC Investor Treatment Election. I elect to contribute to the PFI Trust all Contributed Claims (as defined in the Plan) in exchange for an increase to my Class 6 TIC Claim by 5%.  YES, I elect to contribute my Contributed Claims to the PFI Trust. ONLY CHECK THIS BOX IF YOU HAVE MADE THE TIC INVESTOR TREATMENT ELECTION. Otherwise, it will be null and void.

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Item 5. Acknowledgement. By signing this Ballot, the undersigned acknowledges receipt of the Disclosure Statement and the other applicable solicitation materials and certifies that the undersigned is the claimant or has the power and authority to vote to accept or reject the Plan on behalf of the claimant. The undersigned understands that, if this Ballot is otherwise validly executed but is not timely submitted, does not indicate either acceptance or rejection of the Plan or indicates both an acceptance and rejection of the Plan, this Ballot will not be counted as having been cast. YOUR RECEIPT OF THIS BALLOT DOES NOT SIGNIFY THAT YOUR CLAIM HAS BEEN OR WILL BE ALLOWED. Name of Holder: [Prepopulate with address] Signature: Name of Signatory: Title of Signatory: Address (if different than above): Email Address: Date Completed: If your address or contact information has changed, please note the new information here.

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EXHIBIT D-5 Proposed Form of Ballot (Class 7)

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UNITED STATES BANKRUPTCY COURT NORTHERN DISTRICT OF CALIFORNIA SAN FRANCISCO DIVISION Chapter 11 In re: Case No. 20-30604 PROFESSIONAL FINANCIAL INVESTORS, INC., et al., (Jointly Administered) Debtors. BALLOT FOR ACCEPTING OR REJECTING JOINT CHAPTER 11 PLAN OF PROFESSIONAL FINANCIAL INVESTORS, INC. AND ITS AFFILIATED DEBTORS PROPOSED BY THE DEBTORS AND OFFICIAL COMMITTEE OF UNSECURED CREDITORS CLASS 7 – OTHER UNSECURED CLAIMS THE VOTING DEADLINE TO ACCEPT OR REJECT THE PLAN IS MAY 13, 2021 AT 4:00 P.M. (PACIFIC TIME) This Ballot is submitted to you to solicit your vote to accept or reject the Amended Joint Chapter 11 Plan of Professional Financial Investors, Inc. and its Affiliated Debtors Proposed by the Debtors and Official Committee of Unsecured Creditors and Supported by the Ad Hoc LLC Members Committee and the Ad Hoc DOT Noteholders Committee, dated as of April 9, 2021 (as may be amended or modified, the “Plan”), which is being proposed by the above-captioned debtors and debtors-in-possession (the “Debtors”) and Official Committee of Unsecured Creditors (the “Committee” and, together with the Debtors, the “Proponents”) and which is described in the accompanying executive summary of the Plan (the “Plan Summary”) and the accompanying disclosure statement, dated April 16, 2021 (the “Disclosure Statement”). On April [•], 2021, the Bankruptcy Court entered an order approving certain procedures and materials for the solicitation of votes to accept or reject the Plan (the “Solicitation Procedures Order”). Capitalized terms used in this Ballot and the attached instructions that are not otherwise defined have the meanings given to them in the Plan. The Plan Summary and the Disclosure Statement provide information to assist you in deciding how to vote your Ballot. You should review the Plan Summary, the Disclosure Statement and the Plan before you vote. You may wish to seek legal advice concerning the Plan and your classification and treatment under the Plan. The Plan may be made binding on you whether or not you vote if the Plan (a) is accepted by the holders of at least two-thirds in amount and more than one-half in number of the claims in each impaired Class of claims who vote on the Plan; (b) otherwise satisfies the applicable requirements of section 1129(a) of the Bankruptcy Code; and (c) the Bankruptcy Court enters an order confirming the Plan. Even if the requisite acceptances are not obtained, however, the Bankruptcy Court may still confirm the Plan if the Bankruptcy Court finds that the Plan (a) provides fair and equitable treatment to, and does not unfairly discriminate against, the Class or Classes rejecting the Plan; and (b) otherwise satisfies the requirements of section 1129(b) of the

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Bankruptcy Code. This Ballot is solely for purposes of voting to accept or reject the Plan. This Ballot is not for the purpose of allowance or disallowance of, or distribution on account of, Other Unsecured Claims in Class 7. There are two ways by which you may submit your Ballot: (i) you may submit your Ballot via the Voting Agent’s online e-balloting portal (the “E-Balloting Portal”) as directed below, or (ii) you may return your Ballot to the Voting Agent via mail, overnight courier, or hand deliveryby following the instructions set forth below. If you have any questions on how to properly complete this Ballot, please contact Donlin Recano at 1-877-283-0316 or email pfiinfo@donlinrecano.com. Please be advised that Donlin Recano cannot provide legal advice. For your vote to be counted, this Ballot must be properly completed, signed, and returned so that it is actually received by the Voting Agent by no later than the Voting Deadline of 4:00 p.m. (Pacific Time) on May 13, 2021. Please submit a Ballot with your vote by one of the following methods:
Table 1 on page 43. Back to List of Tables
If Submitting Your Vote Through the E-
Balloting Portal:
Donlin Recano will accept Ballots if
properly completed through the E-
Balloting Portal. To submit your Ballot
via the E-Balloting Portal, [insert]
Unique E-Ballot
ID#:_________________________
If by First Class Mail:
Professional Financial Investors, Inc., et al.,
c/o Donlin, Recano & Co., Inc.
P.O. Box 199043
Blythebourne Station, Brooklyn, NY 11219
A pre-addressed return envelope has been
enclosed for your convenience.
If by Overnight Courier or Hand Delivery:
Professional Financial Investors, Inc., et al.,
c/o Donlin, Recano & Co., Inc.
6201 15th Avenue
Brooklyn, NY 11219
DO NOT SUBMIT YOUR BALLOT TO
THE BANKRUPTCY COURT
Donlin Recano’s E-Balloting Portal is the sole manner in which Ballots will be accepted via electronic or online transmission. Ballots submitted by facsimile, email or other means of electronic transmission will not be counted. Each E-Ballot ID# is to be used solely for voting only those Claims described in your electronic Ballot. Please complete and submit an electronic Ballot for each E-Ballot ID# you receive, as applicable.

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Ballots received after 4:00 p.m. (Pacific Time) on May 13, 2021 will not be counted. Ballots submitted by e-mail or facsimile transmission will not be accepted. PLEASE COMPLETE THE FOLLOWING: Item 1. Amount of Class 7 Claim. For purposes of voting to accept or reject the Plan, the undersigned certifies that the undersigned holds an Other Unsecured Claim in Class 7 against the Debtors listed below in the amount set forth below. Claim Amount: $__________ Debtor(s): Professional Financial Investors, Inc.; Professional Investors Security Fund, Inc.; Professional Investors Security Fund I; Professional Investors Security Fund IV; Professional Investors Security Fund VII; Professional Investors Security Fund IX; Professional Investors Security Fund XII; Professional Investors Security Fund XIII; Professional Investors Security Fund XIV; Professional Investors Security Fund XV; Professional Investors Security Fund XVII; Professional Investors Security Fund XVIII; Professional Investors 20, LLC; Professional Investors 21, LLC; Professional Investors 22, LLC; Professional Investors 23, LLC; Professional Investors 24, LLC; Professional Investors 25, LLC; Professional Investors 26, LLC; Professional Investors 27, LLC; Professional Investors 29, LLC; Professional Investors 30, LLC; Professional Investors 31, LLC; Professional Investors 32, LLC; Professional Investors 33, LLC; Professional Investors 34, LLC; Professional Investors 35, LLC; Professional Investors 36, LLC; Professional Investors 37, LLC; Professional Investors 38, LLC; Professional Investors 39, LLC; Professional Investors 40, LLC; Professional Investors 41, LLC; Professional Investors 42, LLC; Professional Investors 43, LLC; Professional Investors 44, LLC; Professional Investors 45, LLC; Professional Investors 46, LLC; Professional Investors 47, LLC; Professional Investors 48, LLC; Professional Investors 49, LLC Item 2. Vote on the Plan. The undersigned Holder of an Other Unsecured Claim in Class 6 in the amount set forth in Item 1 above hereby votes to: Check one box only: ☐ Accept (vote FOR) the Plan ☐ Reject (vote AGAINST) the Plan THE PROPONENTS RECOMMEND THAT YOU VOTE TO ACCEPT THE PLAN. Item 3. Acknowledgement. By signing this Ballot, the undersigned acknowledges receipt of the Disclosure Statement and the other applicable solicitation materials and certifies that the undersigned is the claimant or has the power and authority to vote to accept or reject the Plan on behalf of the claimant. The undersigned understands that, if this Ballot is otherwise validly executed but is not timely submitted, does not indicate either acceptance or rejection of the Plan or indicates both an acceptance and rejection of the Plan, this Ballot will not be counted as having been cast. YOUR RECEIPT OF THIS BALLOT DOES NOT SIGNIFY THAT YOUR CLAIM HAS BEEN OR WILL BE ALLOWED.

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Name of Holder: (Print or Type) Signature: Name of Signatory: Title of Signatory: Address: Email Address: Date Completed: If your address or contact information has changed, please note the new information here.

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EXHIBIT E Proposed Tabulation Rules

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VOTE TABULATION RULES Allowance and Disallowance of Claims for Voting Purposes a. Unless otherwise provided in the Tabulation Rules described below, Claims ofInvestors in the PFI enterprise who may have invested through straight notes,deeds of trust on PFI-owned property, or equity interests in PFI-managed LLCs orLPs (the “Investors”) will be deemed temporarily allowed for voting purposes inan amount equal to the full stated amount in the Debtors’ schedules, which wasbased on PFI’s records of the outstanding balance owed, regardless of whethersuch amount is designated as contingent, or, for LLC or LP Investors who are notscheduled as creditors, based on the amount listed in the most recent K-1 Form.5If any Investor seeks to challenge the amount of its Claim for voting purposes, theInvestor shall be allowed to write in a modified amount, signed under penalty ofperjury, and to return such modified Ballot to the Voting Agent by either mail,overnight courier or by personal delivery so as to be received by the Voting Agenton or before the Voting Deadline. Modified Ballots shall not be accepted viaelectronically. Any Ballot with a modified amount timely received shall bedeemed a motion pursuant to Bankruptcy Rule 3018(a) for an order temporarilyallowing such claim in a different amount for purposes of voting to accept orreject the Plan (an “Investor Rule 3018 Motion”). Objections to any InvestorRule 3018 Motion must be filed no later than May 20, 2021. If any objections arefiled to the Investor Rule 3018 Motion, the Investor Rule 3018 Motion will beheard at the Combined Hearing. b. Each Claim entitled to vote on the Plan not held by an Investor will be deemedtemporarily allowed for voting purposes in an amount equal to the full statedamount claimed by the holder of such Claim in any proof of Claim filed prior tothe Record Date, or as set forth in the Schedules if it is not contingent,unliquidated, or disputed, to the extent that the proof of Claim specifies a fixed orliquidated non-contingent amount. Any additional expressly contingent orunliquidated amount will be temporarily disallowed for voting purposes. c. Except with respect to Investor Proofs of Claim, if a Claim for which a proof ofClaim has been timely filed is (i) marked or identified as contingent orunliquidated on its face and/or (ii) does not otherwise specify a fixed or liquidatedamount, such contingent or unliquidated Claim will be temporarily allowed forvoting purposes in the amount of $1.00. d. If an objection to a Claim has been sustained by the Bankruptcy Court or a Claimhas been settled by the Debtors and the claimant, such Claim will be disallowedor allowed in the settled amount for voting purposes, as the case may be, as setforth in the relevant Bankruptcy Court order or settlement agreement. 5 For purposes of the Vote Tabulation Rules, claims of holders of TIC Interests who make a TIC Investor Treatment Election on their Ballot shall be considered Investor Claims, in that they will be deemed temporarily allowed for voting purposes in an amount equal to the TIC Investor’s TIC investment.

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e. If a non-Investor Claimant seeks to challenge the classification of a claim or theallowance of a claim for voting purposes, or an Investor seeks to challengeanything other than the allowed amount of a claim for voting purposes, suchclaimant is required to file a motion, pursuant to Bankruptcy Rule 3018(a), for anorder temporarily allowing such claim in a different amount (for non-Investorsonly) or classification (for all such claimants) for purposes of voting to accept orreject the Plan (an “Other Rule 3018 Motion”) and serve such motion on: (i) theOffice of the United States Trustee; (ii) counsel for the Debtors; (iii) counsel forthe Committee; (iv) counsel for the Ad Hoc Committees; and (v) any party thathas requested notice pursuant to Bankruptcy Rule 2002, so that it is received byApril 29, 2021 at 4:00 p.m. (Pacific Time). Any objection to an Other Rule 3018Motion must be filed by no later than May 13, 2021. Replies, if any, in support ofthe Other Rule 3018 Motion must be filed no later than May 20, 2021. Therequest for relief sought in such Other Rule 3018 Motion will be heard at theConfirmation Hearing, unless otherwise scheduled. f. In accordance with Bankruptcy Rule 3018, any Ballot submitted by a claimantthat files a Other Rule 3018 Motion will not be counted unless temporarilyallowed by the Bankruptcy Court for voting purposes after notice and a hearing,prior to the Combined Hearing. The Proponents may also seek an estimation of aClaim for voting purposes after notice and a hearing. g. The Proponents may enter into stipulations with holders of claims (includingInvestors, as well as Other Unsecured Claims) allowing such claims for votingpurposes. Such stipulations must be filed with the Bankruptcy Court on or beforeMay 13, 2021. h. If a Claim holder identifies a Claim amount on its Ballot that is less than theamount otherwise calculated in accordance with the Tabulation Rules, the Claimwill be temporarily allowed for voting purposes in the lesser amount. Rules for Counting Votes to Accept or Reject Plan In tabulating the Ballots, the following procedures will apply: 1. Any Ballot that is properly completed, executed, and timely returned to theBalloting Agent, but does not indicate the acceptance or rejection of the Plan, orindicates both, will not be counted. 2. If a creditor casts more than one Ballot voting the same claim before the VotingDeadline, the last properly executed Ballot received before the Voting Deadlinewill be deemed to reflect the voter’s intent and, thus, will supersede any priorBallots. 3. Investors will be required to vote all of their claims under the Plan either to acceptor reject the Plan and may not split their votes.

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4. Where any portion of a single claim has been transferred to a transferee, allholders of any portion of such single claim will be (i) treated as a single creditorfor purposes of the numerosity requirements in section 1126(c) of the BankruptcyCode (and for the other voting and solicitation procedures set forth herein) and(ii)required to vote every portion of such claim collectively either to accept orreject the Plan. 5. In the event that a Ballot or a group of Ballots within a Class received from asingle creditor partially rejects and partially accepts the Plan, such Ballots will notbe counted.

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EXHIBIT F Proposed Notice of Non-Voting Status

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1 UNITED STATES BANKRUPTCY COURT NORTHERN DISTRICT OF CALIFORNIA 2 SAN FRANCISCO DIVISION 3 In re: Chapter 11 4 PROFESSIONAL FINANCIAL Case No. 20-30604 5 INVESTORS, INC., et al.,1 (Jointly Administered) 6 Debtors. NOTICE OF NON-VOTING STATUS 7 8 PLEASE TAKE NOTICE THAT: 9 1. On March 21, 2021, Professional Financial Investors, Inc. and its affiliated debtor10 and debtors in possession (collectively, “PFI” or the “Debtors”) and the Official Committee 11 Unsecured Creditors (the “Committee” and together with the Debtor, the “Proponents”) filed (12 Joint Chapter 11 Plan of Professional Financial Investors, Inc. and its Affiliated Debtors Propose13 by the Debtors and Official Committee of Unsecured Creditors and Supported by the Ad Hoc LL14 Members Committee and the Ad Hoc DOT Noteholders Committee [Docket No. 489, as amended b15 Docket No. 554] (including all exhibits thereto and as amended, modified or supplemented fro16 time to time, the “Plan”); (b) a related executive summary of the Plan [Docket No. 488, as amende17 by Docket No. 553]; and (c) a related disclosure statement with respect to the Plan [Docket No. 4918 as amended by Docket No. [•]] (including all exhibits thereto and as amended, modified 19 supplemented from time to time, the “Disclosure Statement”) under section 1125 of the Bankruptc20 Code. 21 2. By an Order dated April [•], 2021 (the “Solicitation Procedures Order”), th22 Bankruptcy Court conditionally approved the Disclosure Statement as containing adequat23 information within the meaning of section 1125 of Bankruptcy Code and approved certai24 procedures (collectively, the “Solicitation Procedures”) for the solicitation and tabulation of votes t25 accept or reject the Plan, and scheduled hearings on confirmation of the Plan. 26 27 1 A complete list of the Debtors and their respective chapter 11 case numbers may be found 28 www.donlinrecano.com/pfi. The federal tax identification numbers of each of the Debtors is also available i

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1 3. Proponents (a) are required to mail voting materials to all creditors and equity intere2 holders entitled to vote on the Plan and (b) are not required to provide voting materials to suc3 holders that are conclusively presumed to either accept or reject the Plan (collectively, the “Non4 Voting Classes”). Accordingly, you are receiving this Notice of Non-Voting Status for the Pla5 instead of voting materials containing the Disclosure Statement and the Plan. 6 4. If you wish to challenge the classification of your claim or interest, you, pursuant t7 Bankruptcy Rule 3018(a), must file a motion (a “Rule 3018 Motion”) for an order temporaril8 allowing your claim in an amount for purposes of voting and serve such motion on the parties liste9 below so that it is received by April 29, 2021. The request for relief sought in such Rule 30110 Motion will be heard at the Combined Hearing (as defined below). Rule 3018 Motions that are n11 timely filed and served in the manner as set forth above will not be considered. 12 5. On May 27, 2021 at 10:00 a.m. (Pacific Time), or as soon thereafter as counsel ma13 be heard, a hearing will be held before the Honorable Hannah L. Blumenstiel, United State14 Bankruptcy Judge via video or teleconference to consider final approval of the Disclosure Stateme15 and confirmation of the Plan, as the same may be amended or modified (the “Combined Hearing”). 16 6. The Combined Hearing may be adjourned from time to time, without further notic17 The Plan may be modified in accordance with the Bankruptcy Code, the Federal Rules o18 Bankruptcy Procedure, the Plan and other applicable law, without further notice, prior to or as 19 result of the Combined Hearing. 20 7. Objections, if any, to the adequacy of the Disclosure Statement or confirmation of th21 Plan must (a) be in writing; (b) state the name and address of the objecting party and the nature 22 the claim or interest of such party; (c) state with particularity the basis and nature of any objectio23 and (d) be filed with the Bankruptcy Court at the address set forth below and served on the followin24 so that any such objections are received no later than May 13, 2021 at 4:00 p.m. (Pacific Time25 (a) counsel to the Debtors, Sheppard, Mullin, Richter & Hampton, LLP, Four Embarcadero Cente26 17th Floor, San Francisco, CA 94111 (Attn: Ori Katz); (b) Office of the United States Trustee, 3027 Booth Street, Room 3009, Reno, NV 89509 (Attn: Cameron Gulden); (c) counsel to the Offici28

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1 Committee of Unsecured Creditors, Pachulski Stang Ziehl & Jones LLP, 150 California Street, 15t2 Floor, San Francisco, CA 94111 (Attn: Debra Grassgreen); (d) Counsel to the Ad Hoc LL3 Members Committee, Sklar Kirsh, LLP, 1880 Century Park East, Suite 300, Los Angeles, CA 90064 (Attn: Robbin L. Itkin); (e) Counsel to the Ad Hoc DOT Noteholders Committee, BakerHostetle5 600 Montgomery Street, Suite 3100, San Francisco, CA 94111 (Attn: Cecily A. Dumas); and (f) a6 other parties in interest that have filed requests for notice pursuant to Bankruptcy Rule 2002 in th7 Debtors’ chapter 11 cases. 8 5. In accordance with Bankruptcy Rule 3017(a), requests for copies of the Disclosur9 Statement, the Plan, or the Motion by parties in interest may be made in writing to counsel for th10 Committee or via email at hphan@pszjlaw.com. Copies of the Disclosure Statement and the Pla11 (along with exhibits to each as they are filed with the Bankruptcy Court) and the Motion ar12 available for review, at no charge, at www.donlinrecano.com/PFI. 13 14 Dated: April [•], 2021 SHEPPARD, MULLIN, RICHTER & HAMPTON LLP 15 By: /s/ Ori Katz 16 Ori Katz J. Barrett Marum 17 Matt Klinger Attorneys for the Debtors 18 Dated: April [•], 2021 PACHULSKI STANG ZIEHL & JONES LLP 19 20 By: /s/ Debra Grassgreen 21 Debra Grassgreen John D. Fiero 22 Cia H. Mackle 23 Attorneys for the Official Committee of Unsecure Creditors 24 25 26 27 28

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EXHIBIT G-1 Investor Cover Letter

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IN RE PROFESSIONAL FINANCIAL INVESTOR, INC. AND AFFILIATES DATE: April [•], 2021 TO: Holders of DOT Noteholder Claims - Class 4 Holders of Non-DOT Investor Claims - Class 5 Holders of TIC Claims – Class 6 FROM: Professional Investors, Inc. and its affiliated debtors (the “Debtors”) and the Official Committee of Unsecured Creditors (the “UCC”) RE: SOLICITATION OF CHAPTER 11 PLAN AND DISCLOSURE STATEMENT The Debtors and UCC are pleased to propose the Amended Joint Chapter 11 Plan of Professional Financial Investors, Inc. and its Affiliated Debtors Proposed by the Debtors and Official Committee of Unsecured Creditors and Supported by the Ad Hoc LLC Members Committee and the Ad Hoc DOT Noteholders Committee (the “Plan”),7 for which your vote is being solicited. Why You Are Receiving This Solicitation Package. You are receiving this Memorandum and accompanying materials because, as of April 15, 2021 (the “Voting Record Date”), you are the Holder of a DOT Noteholder Claim, a Non-DOT Investor Claim, and/or a TIC Claim against the Debtors and are therefore entitled to vote on the Plan. What You Are Receiving. The materials enclosed (the “Solicitation Package”) with this Memorandum are being provided to enable you to vote on the Plan. YOU DO NOT NEED TO FILL OUT A CLAIM FORM AT THIS TIME unless you are a TIC Holder who is not making the TIC Investor Treatment Election. The Solicitation Package consists of: g. Plan Proponents’ Plan Summary; h. Support Letters from Ad Hoc Committees; i. Personalized Ballot(s) with instructions regarding how to complete theBallot; j. Pre-addressed, return envelope to return your Ballot; k. Tabulation Rules; and l. Notice of dates and deadlines. The following additional materials are available to view online at https://www.donlinrecano.com/Clients/pfi/PlanOfReorg: 7 All capitalized terms not defined herein shall have the meaning ascribed to such terms in the Plan.

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a. the Amended Disclosure Statement for the Amended Joint Chapter 11 Planof Professional Financial Investors, Inc. and its Affiliated DebtorsProposed by the Debtors and Official Committee of Unsecured Creditorsand Supported by the Ad Hoc LLC Members Committee and the Ad HocDOT Noteholders Committee (the “Disclosure Statement”) and theexhibits thereto; and b. the Plan (as an exhibit to the Disclosure Statement). If your Solicitation Package does not contain all of the above documents, or you would like paper copies of the Disclosure Statement and Plan, please contact the Voting Agent at: pfiinfo@donlinrecano.com or 1-877-283-0316. What Actions You Need To Take. 1. Locate and complete your Ballot(s) included within this Solicitation Package. NOTE: YOU MAY HAVE RECEIVED MORE THAN ONE BALLOT IN THIS SOLICITATION PACKAGE, OR MAY HAVE RECEIVED MORE THAN ONE SOLICITATION PACKAGE. PLEASE SUBMIT ALL OF THEM, WHETHER ELECTRONICALLY OR BY MAIL. 2. Please submit a Ballot with your vote by one of the following methods so that it isactually received by the Voting Agent by no later than the Voting Deadline of4:00 p.m. (Pacific Time) on May 13, 2021:
Table 1 on page 56. Back to List of Tables
If Submitting Your Vote Through the E-
Balloting Portal:
Donlin Recano will accept Ballots if
properly completed through the E-
Balloting Portal. To submit your Ballot
via the E-Balloting Portal, [insert]
Unique E-Ballot
ID#:_________________________
If by First Class Mail:
Professional Financial Investors, Inc., et al.,
c/o Donlin, Recano & Co., Inc.
P.O. Box 199043
Blythebourne Station, Brooklyn, NY 11219
A pre-addressed return envelope has been
enclosed for your convenience.
If by Overnight Courier or Hand Delivery:
Professional Financial Investors, Inc., et al.,
c/o Donlin, Recano & Co., Inc.
6201 15th Avenue
Brooklyn, NY 11219
DO NOT SUBMIT YOUR BALLOT TO
THE BANKRUPTCY COURT

56

What Actions You Need To Take. The Plan Summary and Disclosure Statement provide a comprehensive description of the classification and treatment of your claim(s) under the Plan. You should review these documents in their entirety before you vote. You may wish to seek legal advice concerning the terms and conditions of the Plan and the classification and treatment of your claim under the Plan. The Court has fixed the following deadlines relating to voting on the Plan: ►Deadline by which Ballots must be received by the Voting Agent: May 13, 2021 at 4:00 p.m. Pacific Time ►Objection Deadline for the Plan: May 13, 2021 at 4:00 p.m. Pacific Time►Confirmation Hearing: May 27, 2021 at [] Pacific Time Recommendation The Debtors and UCC who have proposed the Plan, and the Ad Hoc Committees who support the Plan, believe that the Plan offers you the best recovery on your Claim. Thus, these parties strongly recommend that you vote in favor of the Plan. More Information or Help Michael Goldberg, the Debtors’ independent director, and the attorneys for the UCC will participate in all-investor calls to discuss the contents of this Solicitation Package and logistics of voting on the Plan. If you have questions about the Plan or voting process, we encourage you to join these calls. If you have questions about submitting your ballot or obtaining forms, please contact the Voting Agent at: pfiinfo@donlinrecano.com or 1-877-283-0316. Any further questions should be directed to counsel for the Committee, Pachulski Stang Ziehl & Jones LLP, Attn: Cia H. Mackle at cmackle@pszjlaw.com or (310) 772-2328.

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EXHIBIT G-2 Non-Investor Cover Letter

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IN RE PROFESSIONAL FINANCIAL INVESTOR, INC. AND AFFILIATES DATE: April [•], 2021 TO: Holders of Non-Investor First-Priority Lender Claims - Class 1 Holders of Other Unsecured Claims - Class 7 FROM: Professional Investors, Inc. and its affiliated debtors (the “Debtors”) and the Official Committee of Unsecured Creditors (the “UCC”) RE: SOLICITATION OF CHAPTER 11 PLAN AND DISCLOSURE STATEMENT The Debtors and UCC are pleased to propose the Amended Joint Chapter 11 Plan of Professional Financial Investors, Inc. and its Affiliated Debtors Proposed by the Debtors and Official Committee of Unsecured Creditors and Supported by the Ad Hoc LLC Members Committee and the Ad Hoc DOT Noteholders Committee (the “Plan”),8 for which your vote is being solicited. What You Are Receiving. The materials enclosed (the “Solicitation Package”) with this Memorandum are being provided to enable you to vote on the Plan. The Solicitation Package consists of: a. Plan Proponents’ Plan Summary; b. Support Letters from Ad Hoc Committees; c. Ballot(s) with instructions regarding how to complete the Ballot;d. Pre-addressed, return envelope to return your Ballot; e. Tabulation Rules; and f. Notice of dates and deadlines. The following additional materials are available to view online at https://www.donlinrecano.com/Clients/pfi/PlanOfReorg: c. the Amended Disclosure Statement for the Amended Joint Chapter 11 Planof Professional Financial Investors, Inc. and its Affiliated DebtorsProposed by the Debtors and Official Committee of Unsecured Creditorsand Supported by the Ad Hoc LLC Members Committee and the Ad HocDOT Noteholders Committee (the “Disclosure Statement”) and theexhibits thereto; and d. the Plan (as an exhibit to the Disclosure Statement). 8 All capitalized terms not defined herein shall have the meaning ascribed to such terms in the Plan.

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If your Solicitation Package does not contain all of the above documents, or you would like paper copies of the Disclosure Statement and Plan, please contact the Voting Agent at: pfiinfo@donlinrecano.com or 1-877-283-0316. What Actions You Need To Take. 1. Locate and complete your Ballot(s) included within this Solicitation Package. 2. Please submit a Ballot with your vote by one of the following methods so that it isactually received by the Voting Agent by no later than the Voting Deadline of4:00 p.m. (Pacific Time) on May 13, 2021:
Table 1 on page 60. Back to List of Tables
If Submitting Your Vote Through the E-
Balloting Portal:
Donlin Recano will accept Ballots if
properly completed through the E-
Balloting Portal. To submit your Ballot
via the E-Balloting Portal, [insert]
Unique E-Ballot
ID#:_________________________
If by First Class Mail:
Professional Financial Investors, Inc., et al.,
c/o Donlin, Recano & Co., Inc.
P.O. Box 199043
Blythebourne Station, Brooklyn, NY 11219
A pre-addressed return envelope has been
enclosed for your convenience.
If by Overnight Courier or Hand Delivery:
Professional Financial Investors, Inc., et al.,
c/o Donlin, Recano & Co., Inc.
6201 15th Avenue
Brooklyn, NY 11219
DO NOT SUBMIT YOUR BALLOT TO
THE BANKRUPTCY COURT
What Actions You Need To Take. The Plan Summary and Disclosure Statement provide a comprehensive description of the classification and treatment of your claim(s) under the Plan. You should review these documents in their entirety before you vote. You may wish to seek legal advice concerning the terms and conditions of the Plan and the classification and treatment of your claim under the Plan. The Court has fixed the following deadlines relating to voting on the Plan: ►Deadline by which Ballots must be received by the Voting Agent: May 13, 2021 at 4:00 p.m. Pacific Time ►Objection Deadline for the Plan: May 13, 2021 at 4:00 p.m. Pacific Time

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►Confirmation Hearing: May 27, 2021 at [] Pacific Time Recommendation The Debtors and UCC who have proposed the Plan, and the Ad Hoc Committees who support the Plan, believe that the Plan offers you the best recovery on your Claim. Thus, these parties strongly recommend that you vote in favor of the Plan. More Information or Help If you have questions about submitting your ballot or obtaining forms, please contact the Voting Agent at: pfiinfo@donlinrecano.com or 1-877-283-0316. Any further questions should be directed to counsel for the Committee, Pachulski Stang Ziehl & Jones LLP, Attn: Cia H. Mackle at cmackle@pszjlaw.com or (310) 772-2328.

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EXHIBIT H Committee Plan Support Letters [No Changes]

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EXHIBIT I Proposed Order

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1 Ori Katz (CA Bar No. 209561) Debra I. Grassgreen (CA Bar No. 169978) J. Barrett Marum (CA Bar No. 228628) John D. Fiero (CA Bar No. 136557) 2 Matt Klinger (CA Bar No. 307362) Cia H. Mackle (admitted pro hac vice) SHEPPARD, MULLIN, RICHTER & HAMPTON PACHULSKI STANG ZIEHL & JONES LL3 LLP Four Embarcadero Center, 17th Floor 150 California Street, 15th Floor 4 San Francisco, CA 94111-4019 San Francisco, CA 94111 Telephone: (415) 434.9100 Telephone: (415) 263.7000 5 Facsimile: (415) 434.3947 Facsimile: (415) 263.7010 Email: okatz@sheppardmullin.com E-mail: dgrassgreen@pszjlaw.com 6 bmarum@sheppardmullin.com jfiero@pszjlaw.com mklinger@sheppardmullin.com cmackle@pszjlaw.com 7 Counsel to the Official Committee of Counsel to Debtors and Debtors in Possession Unsecured Creditors 8 9 UNITED STATES BANKRUPTCY COURT 10 NORTHERN DISTRICT OF CALIFORNIA 11 SAN FRANCISCO DIVISION 12 Chapter 11 In re: 13 Case No. 20-30604 PROFESSIONAL FINANCIAL INVESTORS, INC., et al.,1 14 (Jointly Administered) 15 ORDER (I) APPROVING THE PLAN Debtors. SUMMARY AND CONDITIONALLY 16 APPROVING DISCLOSURE STATEMENT; (I SCHEDULING COMBINED HEARING ON 17 APPROVAL OF DISCLOSURE STATEMENT AND CONFIRMATION OF PLAN AND 18 APPROVING THE FORM AND MANNER OF SERVICE OF THE COMBINED HEARING 19 NOTICE; (III) ESTABLISHING NON- INVESTOR BAR DATES FOR FILING PROO 20 OF CLAIM; (IV) APPROVING FORM AND MANNER OF NOTICE OF NON-INVESTOR 21 BAR DATES; (V) ESTABLISHING PROCEDURES FOR THE SOLICITATION A 22 TABULATION OF VOTES ON PLAN; AND (VI) APPROVING RELATED MATTERS 23 Hearing Date: 24 Date: April 15, 2021 Time: 11:00 a.m. (Pacific Time) 25 Place: 450 Golden Gate Avenue, 16th Floor San Francisco, CA 94102 26 Judge: Honorable Hannah Blumenstiel 27 1 A complete list of the Debtors and their respective chapter 11 case numbers may be found 28 www.donlinrecano.com/pfi. The federal tax identification numbers of each of the Debtors is also available i

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1 2 This matter coming before the Court on the Motion for an Order (I) Approving the Pla3 Summary and Conditionally Approving Disclosure Statement; (II) Scheduling Combined Hearing o4 Approval of Disclosure Statement and Confirmation of Plan and Approving the Form and Manner 5 Service of the Combined Hearing Notice; (III) Establishing Non-Investor Bar Dates for Filin6 Proofs of Claim; (IV) Approving Form and Manner of Notice of Non-Investor Bar Dates; (V7 Establishing Procedures for the Solicitation and Tabulation of Votes on Plan; and (VI) Approvin8 Related Matters (the “Motion”)2 [Docket No. 513], jointly filed by the above-captioned debtors an9 debtors-in-possession (the “Debtors”) and Official Committee of Unsecured Creditors (th10 “Committee”); the Court having reviewed the Motion, the timely-filed objections thereto (th11 “Objections”), and having heard the statements of counsel regarding the relief requested in th12 Motion at a hearing before the Court (the “Hearing”); and the Court having determined that the leg13 and factual bases set forth in the Motion and at the Hearing establish just cause for the relief grante14 herein; 15 IT IS HEREBY ORDERED THAT: 16 1. The Motion is GRANTED. 17 2. The Objections are overruled, without prejudice to renewal in connection with fin18 approval of the Disclosure Statement. 19 3. The Plan Summary, Cover Letter, AD Hoc LLC Members Committee Plan Suppo20 Letter, and Ad Hoc DOT Noteholders Committee Plan Support Letter, to the extent modified b21 Docket No. 560 (the “Modified Exhibit Notice”) and on the record, are approved as part of th22 Solicitation Package. 23 4. The Disclosure Statement is conditionally approved as containing adequat24 information within the meaning of section 1125 of the Bankruptcy Code. Any objections to th25 adequacy of the information contained in the Disclosure Statement are expressly reserved fo26 consideration at the Combined Hearing (defined below). 27 5. The following Non-Investor bar dates are set: 28

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1 a. May 13, 2021 (the “Non-Investor General Bar Date”) as the last day for thfiling of Proofs of Claim in this Case for all non-Investor claims (except as s2 forth below) against the Debtors arising prior to the time the petition in thapplicable case was filed (the “Petition Date”), as set forth in the chart below;3 b. May 13, 2021 (the “PFI/PISF Governmental Claims Bar Date”) as the las4 day for all governmental units, as defined in section 101(27) of thBankruptcy Code, to file Proofs of Claim against Debtors Profession5 Financial Investors, Inc., and Professional Investors Security Fund, Inarising before the applicable Petition Date, as set forth in the chart below; and6 c. 180 days after the date of the entry of the Order for Relief (the “LLC/L7 Governmental Claims Bar Dates”) as the last day for all governmental unitas defined in section 101(27) of the Bankruptcy Code, to file Proofs of Clai8 against all remaining Debtors arising before the applicable Petition Datwhich the Debtors have calculated as follows: 9 i. June 9, 2021 as to claims against those certain LLC/LP Debtors fo10 which Orders for Relief were entered on December 11, 2020;11 ii. August 16, 2021 as to claims against those certain LLC/LP Debtorfor which Orders for Relief were entered on February 17, 2021;12 iii. August 17, 2021 as the Governmental Claims Bar Date as to claim13 against those certain LLC/LP Debtors for which Orders for Reliwere entered on February 18, 2021. 14 6. The following persons and other entities whose claims otherwise would be subject t15 the Non-Investor Bar Dates are excepted from the provisions herein and are not required to fil16 proofs of claim against the Debtors on or before the Non-Investor Bar Dates: 17 18 a. Claims of Investors; 19 b. Claims of Holders of TIC Interests who make the TIC Investor TreatmeElection; 20 c. Claims already duly filed in these cases with the Clerk of this Court;21 d. Claims listed in the Debtor’s Schedules, if the claimant does not dispute th22 amount or manner in which its claim is listed in the Schedules or the nature the claim and if such claim is not designated therein as “contingent,23 “unliquidated,” “disputed” or “unknown;” 24 e. Claims arising on or after the Petition Date; 25 f. Claims of professionals retained by the Debtors or the Committees who asseadministrative claims for fees and expenses subject to the Court’s approv26 pursuant to sections 328, 330, and 331 of the Bankruptcy Code;27 g. Claims by any person or entity whose claim has been paid by the Debtor has been otherwise satisfied; 28

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1 h. Claims for cure payments if the Debtors assume a contract pursuant to 1U.S.C. section 365; and 2 i. Any claim for fees relating to this Case under 28 U.S.C. § 1930;3 7. Any proof of Claim required to be filed pursuant to the provisions of this Order an4 not filed on or before the applicable Non-Investor Bar Date shall be forever barred from assertio5 against the Debtors, the Debtors’ estates, and any successor to the foregoing under a confirmed pla6 of reorganization and/or liquidation or structured dismissal or otherwise (a “Confirmed Plan”), an7 the holder of such Claim shall be forever barred and prohibited from participating in any distributio8 in these cases including, but not limited to, any distribution under a Confirmed Plan and in 9 subsequent chapter 7 liquidation of the Debtors’ estates. 10 8. The Non-Investor Notice of Bar Date is approved in all respects. In accordance wit11 Bankruptcy Rule 2002, the Debtors are hereby authorized to cause the Non-Investor Notice of B12 Date to be given by first class mail, postage prepaid, on or before April 22, 2021, upon (i) all know13 creditors, including those entities set forth in the section D.b. of the Motion, except that with respe14 to parties to contracts other than known Investors, counterparties within four years prior to th15 Petition Date shall be served; (ii) all parties listed on the Debtors’ master mailing matrix; (iii) a16 entities having filed a notice of appearance and demand for papers; and (iv) the Office of the Unite17 States Trustee, except that the Non-Investor Notice of Bar Date shall be not be sent to know18 Investors. For any non-Investor claimants entitled to vote on the Plan, the Non-Investor Notice 19 Bar Date, together with the standard form Proof of Claim may (but are not required to) be sent in th20 Solicitation Package. 21 9. The Combined Hearing Notice and Notice of Non-Voting Status are approved in a22 respects. 23 10. The forms of Ballot are approved in all respects. 24 11. April 15, 2021 is established as the Voting Record Date for the purposes o25 determining the creditors and equity interest holders entitled to receive the Solicitation Package 26 the Notice of Non-Voting Status and to vote on the Plan. 27 12. The Solicitation Package and Non-Voting Notices shall be sent for distribution n28

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1 13. If multiple Solicitation Packages would otherwise go to the same physical addres2 the Proponents shall be entitled, but not required, to combine the Solicitation Packages into a singl3 Solicitation Package with multiple ballots, even if the claimant names are not identical. 4 14. By not later than May 6, 2021, the Proponents shall file a proofs of service of th5 Solicitation Package, Notice Non-Investor Notice of Bar Date, and Non-Voting Notice6 demonstrating compliance with the service requirements hereof. 7 15. Any Plan Supplement must be filed with this Court not later than May 6, 2021. 8 16. Ballots must be received on or before May 13, 2021 at 4:00 p.m. (Pacific Time9 (“Voting Deadline”) in accordance with the instructions on the applicable Ballot, unless extende10 by the Debtors in writing. 11 17. The Vote Tabulation Rules, attached as Exhibit E to the Motion, as amended by th12 Modified Exhibit Notice and on the record, are approved in all respects. Any Other Rule 30113 Motion (as defined therein) must be filed with the Court, together with proof of service thereof, an14 served upon: (i) the Office of the United States Trustee; (ii) counsel for the Debtors; (iii) counsel f15 the Committee; (iv) counsel for the Ad Hoc Committees; and (v) any party that has requested notic16 pursuant to Bankruptcy Rule 2002 by hand delivery or in a manner as will cause such objection to b17 received by all such parties on or before April 29, 2021 at 4:00 p.m. (Pacific Time). Any objection18 not filed and served as set forth above will not be considered by the Court. Any objection to an Oth19 Rule 3018 Motion must be filed by no later than May 13, 2021. Replies, if any, in support of th20 Other Rule 3018 Motion must be filed no later than May 20, 2021. 21 18. Any such Other Rule 3018 Motion may be resolved by agreement between th22 Proponents, in consultation with the Ad Hoc Committees, and the movant without the requireme23 for further order or approval of the Court. 24 19. As to any creditor filing an Other Rule 3018 Motion, such creditor’s Ballot shall n25 be counted unless temporarily allowed by the Court for voting purposes after notice and a hearin26 prior to the Combined Hearing. Should any Other Rule 3018 Motion be timely filed and should th27 Plan Proponents deem material for purposes of voting and tabulation, the Plan Proponents shall fil28 by no later than May 21, 2021 a notice and request for hearing on the Other Rule 2018 Motion.

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1 20. Any objection to an Investor Rule 3018 Motion must be filed by no later than Ma2 20, 2021, and shall be heard at the Combined Hearing. 3 21. Objections to the adequacy of the Disclosure Statement or confirmation of the Pla4 must be in writing, must conform to the Bankruptcy Rules, must set forth the name of the objecto5 the nature and amount of Claims or Interests held or asserted by the objector against the Debtors, th6 basis for the objection and the specific grounds of the objection, and must be filed with th7 Bankruptcy Court, together with proof of service thereof, and served upon: (i) the Office of th8 United States Trustee; (ii) counsel for the Debtors; (iii) counsel for the Committee; (iv) counsel f9 the Ad Hoc Committees; and (v) any party that has requested notice pursuant to Bankruptcy Rul10 2002 by hand delivery or in a manner as will cause such objection to be received by all such partie11 on or before May 13, 2021 at 4:00 p.m. (Pacific Time). Any objections not filed and served as s12 forth above will not be considered by the Court. 13 22. Any Plan Proponent or Ad Hoc Committee may file a reply to any objection t14 confirmation of the Plan or adequacy of the Disclosure Statement by May 20, 2021. 15 23. The Plan voting certification shall be filed by May 20, 2021. 16 24. A hearing shall be held before this Court on May 27, 2021 at 10:00 a.m. (Pacifi17 Time) or as soon thereafter as counsel can be heard, to consider confirmation of the Plan (th18 “Combined Hearing”) before the Honorable Hannah L. Blumenstiel, United States Bankruptc19 Judge via video or teleconference. 20 25. The Combined Hearing may be adjourned from time to time without further notice t21 creditors and other parties-in-interest by an announcement of the adjourned date at the Combine22 Hearing or any adjournment thereof or by an appropriate filing with the Court. 23 26. The relief granted herein shall apply to all Debtors. 24 27. The Debtors are authorized to take or refrain from taking any action necessary o25 appropriate to implement the terms of and the relief granted in this Order without seeking furth26 order of the Court. 27 28. The Debtors are authorized to make non-substantive changes to the Disclosur28 Statement, Plan, Ballots, Combined Hearing Notice, Notice of Non-Voting Status, Non-Investor Ba

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1 Date Notice, and related documents without further order of the Court, including, without limitatio2 changes to correct typographical and grammatical errors and to make conforming changes amon3 the aforementioned documents prior to their distribution. 4 29. This Court shall retain jurisdiction over all matters related to or arising from th5 Motion or the interpretation or implementation of this Order. 6 ***** END OF ORDER ***** 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28

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1 2 ANNEX II 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28

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EXHIBIT A Proposed Combined Hearing Notice

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UNITED STATES BANKRUPTCY COURT 2 NORTHERN DISTRICT OF CALIFORNIA 3 SAN FRANCISCO DIVISION 4 Chapter 11 In re: 5 Case No. 20-30604 PROFESSIONAL FINANCIAL 6 INVESTORS, INC., et al.,1 (Jointly Administered) 7 NOTICE OF (I) CONDITIONAL APPROVAL Debtors. OF 8 DISCLOSURE STATEMENT; (II) HEARING TO CONSIDER CONFIRMATION OF THE 9 PLAN; (III) DEADLINE FOR FILING OBJECTIONS TO CONFIRMATION OF THE 10 PLAN; AND (IV) DEADLINE FOR VOTING ON THE PLAN 11 PLEASE TAKE NOTICE OF THE FOLLOWING: 12 1. On March 21, 2021, Professional Financial Investors, Inc. (“PFI”) and its affiliate13 debtors and debtors in possession (collectively, with PFI, the “Debtors”) and the Official Committe14 of Unsecured Creditors (the “Committee” and together with the Debtors, the “Proponents”) filed (15 Joint Chapter 11 Plan of Professional Financial Investors, Inc. and its Affiliated Debtors Propose16 by the Debtors and Official Committee of Unsecured Creditors and Supported by the Ad Hoc LL17 Members Committee and the Ad Hoc DOT Noteholders Committee [Docket No. 489489, as amende18 by Docket No. 554] (including all exhibits thereto and as amended, modified or supplemented fro19 time to time, the “Plan”); (b) a related executive summary of the Plan [Docket No. 488488, a20 amended by Docket No. 553]; and (c) a related Disclosure Statement in Support of Joint Chapter 121 Plan of Professional Financial Investors, Inc. and its Affiliated Debtors Proposed by the Debtor22 and Official Committee of Unsecured Creditors and Supported by the Ad Hoc LLC Member23 Committee and the Ad Hoc DOT Noteholders Committee [Docket No. 490disclosure statement wit24 respect to the Plan [Docket No. 490, as amended by Docket No. [•]] (including all exhibits theret25 and as amended, modified or supplemented from time to time, the “Disclosure Statement”) und26 section 1125 of the Bankruptcy Code. 27 1 A complete list of the Debtors and their respective chapter 11 case numbers may be found at 28 www.donlinrecano.com/pfi. The federal tax identification numbers of each of the Debtors is also available

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2. By an Order dated April [•], 2021 (the“Conditional Disclosure Statement Order”), th 2 Bankruptcy Court conditionally approved the Disclosure Statement as containing adequat3 information within the meaning of section 1125 of Bankruptcy Code. The Conditional Disclosur 4 Statement Order expressly reserves all parties’ rights to raise objections to the adequacy 5 information in the Disclosure Statement. 6 3. By the Conditional Disclosure Statement Order, the Bankruptcy Court establishe 7 May 13, 2021 at 4:00 p.m. (Pacific Time) (the “Voting Deadline”) as the deadline by which ballot8 accepting or rejecting the Plan must be received. To be counted, your original ballot must actuall9 be received on or before the Voting Deadline by the Debtors’ balloting agent, Donlin Recano, eith10 electronically as specified on your ballot or to the following address: 11 Professional Financial Investors, Inc., et al. 12 c/o Donlin, Recano & Co., Inc. P.O. Box 199043 13 Blythebourne Station 14 Brooklyn, NY 11219 PLEASE DO NOT SEND YOUR BALLOT TO THE BANKRUPTCY COURT. 15 4. To be counted, your original ballot must actually be submitted electronically, or in 16 manner otherwise specified on the ballot, so that it is received on or before the Voting Deadline. 17 5. On May 27, 2021 at [•]10:00 a.m. (Pacific Time), or as soon thereafter as couns18 may be heard, a hearing will be held before the Honorable Hannah L. Blumenstiel, United State19 Bankruptcy Judge via video or teleconference to consider final approval of the Disclosure Stateme20 and confirmation of the Plan, as the same may be amended or modified (the “Combined Hearing”). 21 6. The Combined Hearing may be adjourned from time to time, without further notic22 The Plan may be modified in accordance with the Bankruptcy Code, the Federal Rules of Bankruptc23 Procedure, the Plan and other applicable law, without further notice, prior to or as a result of th24 Combined Hearing. 25 7. Objections to final approval of the Disclosure Statement or confirmation of the Pla26 including any supporting memoranda, if any, must (a) be in writing; (b) state the name and addres27 of the objecting party and the nature of the claim or interest of such party; (c) state with particularit28 the basis and nature of any objection or proposed modification and provide the specific language

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any proposed modification, where possible; and (d) be filed with the Bankruptcy Court and served o2 the following parties so that all objections are received no later than 4:00 p.m., Pacific time on Ma3 13, 2021: (a) Counsel to the Debtors, Sheppard Mullin Richter & Hampton, LLP, Attn: Ori Kat 4 Four Embarcadero Center, 17th Floor, San Francisco, CA 94111; (b) Office of the United State 5 Trustee, Northern District of California, 300 Booth Street, Room 3009, Reno, NV 89509 (Attn 6 Cameron Gulden); (c) Counsel to the Committee, Pachulski Stang Ziehl & Jones LLP, Attn: Debr 7 Grassgreen, 150 California Street, 15th Floor, San Francisco, CA 94111; (d) Counsel to the Ad Ho 8 LLC Members Committee, Sklar Kirsh, LLP, Attn: Robbin L. Itkin, 1880 Century Park East, Suit9 300, Los Angeles, CA 90067; (e) Counsel to the Ad Hoc DOT Noteholders Committe10 BakerHostetler, Attn: Cecily A. Dumas, 600 Montgomery Street, Suite 3100, San Francisco, C11 94111; and (f) all other parties in interest that have filed requests for notice pursuant to Bankruptc12 Rule 2002 in the Debtors’ chapter 11 cases. 13 5. In accordance with Bankruptcy Rule 3017(a), requests for copies of the Disclosur14 Statement, the Plan, or the Motion by parties in interest may be made in writing to counsel for th15 Committee or via email at hphan@pszjlaw.com. Copies of the Disclosure Statement and the Pla16 (along with exhibits to each as they are filed with the Bankruptcy Court) and the Motion ar17 available for review, at no charge, at www.donlinrecano.com/PFI. 18 6. IF YOU HAVE ANY QUESTIONS REGARDING YOUR CLAIM OR TH 19 VOTING PROCEDURES, OR IF YOU NEED A BALLOT OR ADDITIONAL COPIES O20 THE DISCLOSURE STATEMENT OR OTHER ENCLOSED MATERIALS, PLEAS21 CONTACT THE VOTING AGENT, DONLIN RECANO AT 1-877-283-0316 OR BY EMAI22 AT pfiinfo@donlinrecano.com. 23 Dated: March 30,April [•], 2021 SHEPPARD, MULLIN, RICHTER & HAMPTON LLP24 25 By: /s/ Ori Katz Ori Katz 26 J.Barrett Marum 27 Matt Klinger 28 Attorneys for the Debtors

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2 By: /s/ Debra Grassgreen Debra Grassgreen 3 John D. Fiero 4 Cia H. Mackle 5 Attorneys for the Official Committee of Unsecure Creditors 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28

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2 EXHIBIT B 3 4 5 Proposed Non-Investor Bar Date Notice 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28

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2 UNITED STATES BANKRUPTCY COURT NORTHERN DISTRICT OF CALIFORNIA 3 SAN FRANCISCO DIVISION 4 Chapter 11 In re: 5 Case No. 20-30604 PROFESSIONAL FINANCIAL 6 INVESTORS, INC., et al.,1 (Jointly Administered) 7 NOTICE OF BAR DATES FOR FILING Debtors. PROOFS OF CLAIM FOR NON-INVESTORS 8 AND GOVERNMENTAL UNITS 9 IF YOU ARE A PFI INVESTOR WHO INVESTED IN THE PFI ENTERPRISE BY10 PURCHASING AN INVESTMENT PRODUCT OR MADE AN INVESTMENT OFFERED BY ANY DEBTOR, WHETHER THROUGH STRAIGHT NOTES, DEEDS11 OF TRUST ON PFI-OWNED PROPERTY, OR EQUITY INTERESTS IN PFI-MANAGED LLCS OR LPS (AN “INVESTOR”) THIS NOTICE, AND THE BAR12 DATE LISTED HEREIN, DOES NOT APPLY TO YOU. THERE WILL BE A SEPARATE PROCESS FOR YOU ANNOUNCED AT A LATER TIME. 13 IF YOU HOLD A TENANT-IN-COMMON INTEREST IN A PROPERTY JOINTLY14 OWNED WITH ONE OF THE DEBTORS AND YOU ARE NOT MAKING THE TICINVESTOR TREATMENT ELECTION, YOU MUST FILE A CLAIM AT THIS TIME15 IF YOU HAVE ONE. 16 TO: ALL NON-INVESTOR CREDITORS, GOVERNMENTAL UNITS, AND OTHER17 PARTIES IN INTEREST WITH CLAIMS AGAINST THE ABOVE-CAPTIONED DEBTORS: 18 The United States Bankruptcy Court for the Northern District of California (the “Court”) entered a19 Order (the “Bar Date Order”) in above-captioned chapter 11 cases (the “Cases”) of the below-listedebtors and debtors in possession (the “Debtors”) in accordance with Bankruptcy Rule 3003(20 fixing the deadlines for filing proofs of claim (“Proofs of Claim”) in this Case as set forth below: 21 a. May 13, 2021 (the “Non-Investor General Bar Date”) as the last day for the filing Proofs of Claim in this Case for all non-Investor claims (except as set forth belo22 against the Debtors arising prior to the time the petition in the applicable case wafiled (the “Petition Date”), as set forth in the chart below;23 b. May 13, 2021 (the “PFI/PISF Governmental Claims Bar Date”) as the last day for a24 governmental units, as defined in section 101(27) of the Bankruptcy Code, to filProofs of Claim against Debtors Professional Financial Investors, Inc., an25 Professional Investors Security Fund, Inc. arising before the applicable Petition Datas set forth in the chart below; and 26 c. 180 days after the date of the entry of the Order for Relief (the “LLC/L27 Governmental Claims Bar Dates”) as the last day for all governmental units, a28 1 A complete list of the Debtors, their federal tax identification numbers, and their address is provided in the

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defined in section 101(27) of the Bankruptcy Code, to file Proofs of Claim against aremaining Debtors arising before the applicable Petition Date, which the Debtors hav2 calculated as follows: 3 1. June 9, 2021 as to claims against those certain LLC/LP Debtors for whicOrders for Relief were entered on December 11, 2020; 4 2. August 16, 2021 as to claims against those certain LLC/LP Debtors for whic 5 Orders for Relief were entered on February 17, 2021; and 6 3. August 17, 2021 as the Governmental Claims Bar Date as to claims againthose certain LLC/LP Debtors for which Orders for Relief were entered o 7 February 18, 2021. 8 A list of the Debtors, their bankruptcy case number, tax ID number, and applicable Petition Date entry of the Order for Relief is as follows. The address of each of the Debtors is: 350 Ignacio Blv 9 Suite 300, Novato, CA, 94949-7202: 10 Debtor Case No. Federal Tax Petition Date/Entry of Order for11 I.D. # Relief (if applicable) Professional Financial Investors, Inc. 20-30604 68-0233228 July 26, 2020Professional Investors Security Fund, Inc. 20-30579 68-0040208 July 16, 202012 Professional Investors Security Fund I, A 20-30908 68-0022483 November 20, 2020/ December 11, 20California Limited Partnership 13 Professional Investors Security Fund IV, 20-30909 68-0049491 November 20, 2020/ December 11, 20A California Limited Partnership 14 Professional Investors Security Fund VII, 20-30911 68-0115840 November 20, 2020/ December 11, 20A California Limited Partnership 15 Professional Investors Security Fund IX, 20-30910 68-0184540 November 20, 2020/ December 11, 20A California Limited Partnership 16 Professional Investors Security Fund XII, 20-30912 68-0233359 November 20, 2020/ December 11, 20A California Limited Partnership 17 Professional Investors Security Fund XIII, 20-30913 68-0264951 November 20, 2020/ December 11, 20A California Limited Partnership 18 Professional Investors Security Fund 20-30914 68-0287489 November 20, 2020/ December 11, 20XIV, A California Limited Partnership 19 Professional Investors Security Fund XV, 20-30915 68-0298084 November 20, 2020/ December 11, 20A California Limited Partnership 20 Professional Investors Security Fund 20-30916 68-0322071 November 20, 2020/ December 11, 20XVII, A California Limited Partnership 21 Professional Investors Security Fund 20-30917 68-0340123 November 20, 2020/ December 11, 20XVIII, A California Limited Partnership 22 Professional Investors 20, LLC 20-30919 46-3353668 November 20, 2020/ December 11, 20Professional Investors 21, LLC 20-30920 46-5084863 November 20, 2020/ December 11, 2023 Professional Investors 22, LLC 20-30922 47-1285602 November 20, 2020/ December 11, 20Professional Investors 23, LLC 20-30923 47-1699320 November 20, 2020/ December 11, 2024 Professional Investors 24, LLC 20-30924 47-3144421 November 20, 2020/ December 11, 20Professional Investors 25, LLC 20-30925 47-3879056 November 20, 2020/ December 11, 2025 Professional Investors 26, LLC 20-30927 47-4335145 November 20, 2020/ December 11, 20Professional Investors 27, LLC 20-30928 47-4930703 November 20, 2020/ December 11, 2026 Professional Investors 29, LLC 20-30929 81-2625418 November 20, 2020/ December 11, 20Professional Investors 30, LLC 20-30930 37-1827607 November 20, 2020/ December 11, 2027 Professional Investors 31, LLC 21-30093 81-3273083 February 4, 2021/ February 18, 2021Professional Investors 32, LLC 20-30934 81-3281756 November 20, 2020/ December 11, 2028 Professional Investors 33, LLC 20-30935 81-3302457 November 20, 2020/ December 11, 20

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Professional Investors 35, LLC 20-30937 81-4323161 November 20, 2020/ December 11, 20Professional Investors 36, LLC 20-30938 82-1387886 November 20, 2020/ December 11, 20 2 Professional Investors 37, LLC 20-30939 82-1409164 November 20, 2020/ December 11, 20Professional Investors 38, LLC 21-30082 82-2734722 February 3, 2021/February 17, 2021 3 Professional Investors 39, LLC 21-30083 82-3661635 February 3, 2021/February 17, 2021Professional Investors 40, LLC 20-30940 82-3823200 November 20, 2020/ December 11, 20 4 Professional Investors 41, LLC 20-30941 82-3839566 November 20, 2020/ December 11, 20Professional Investors 42, LLC 21-30084 82-5497471 February 3, 2021/February 17, 2021 5 Professional Investors 43, LLC 21-30085 83-2208999 February 3, 2021/February 17, 2021Professional Investors 44, LLC 21-30086 83-2294816 February 3, 2021/February 17, 2021 6 Professional Investors 45, LLC 21-30087 83-2315445 February 3, 2021/February 17, 2021Professional Investors 46, LLC 20-30942 84-1743732 November 20, 2020/ December 11, 20 7 Professional Investors 47, LLC 21-30088 84-2157268 February 3, 2021/February 17, 2021Professional Investors 48, LLC 21-30089 84-3537563 February 3, 2021/February 17, 2021 8 Professional Investors 49, LLC 21-30094 84-3792687 February 4, 2021/ February 18, 20219 10 All claims, as defined in section 101(5) of title 11 of the United States Code (the “BankruptcCode”), arising before the applicable Petition Date, except as otherwise provided for specifically excepted herein, shall be in writing, together with supporting documentatio11 substantially conforming with Official Bankruptcy Form 410, or as otherwise prescribed 12 authorized under the Bankruptcy Rules, so they are actually received on or before the Non-InvestGeneral Bar Date, the PFI/PISF Governmental Claims Bar Dates, or the LLC/LP GovernmentClaims Bar Date, as applicable, as follows: 13 14 [TBD] Professional Financial Investors, Inc., et al. 15 c/o Donlin, Recano & Co., Inc. P.O. Box 199043 16 Blythebourne Station Brooklyn, NY 11219 17 Proofs of Claim that are emailed or sent by facsimile or telecopy, or sent to any other location wi18 not be accepted. 19 The following claims, administrative requests, and interests are excepted from the provisions of thBar Date Order (the “Excepted Claims/Interests”) and are not required to be filed on or before th20 Non-Investor General Bar Date, the PFI/PISF Governmental Claims Bar Date, or the LLC/LGovernmental Claims Bar Dates: (a) claims already received by the Bankruptcy Court or Claim21 Agent; (b) claims listed in the Debtor’s Schedules, if the claimant does not dispute the amount manner in which its claim is listed in the Schedules or the nature of the claim and if such claim is n22 designated therein as “contingent,” “unliquidated,” “disputed” or “unknown;” (c) claims arising oor after the Petition Date; (d) claims of professionals retained by the Debtors or any official or ad ho23 committee appointed in this Case pursuant to orders of this Court who assert administrative claimfor fees and expenses subject to the Court’s approval pursuant to sections 328, 330, and 331 of th24 Bankruptcy Code; (e) claims by any person or entity whose claim has been paid by the Debtor or habeen otherwise satisfied; (f) any claim for fees relating to this Case under 28 U.S.C. § 1930; and (25 claims of Investors. Should the Court, in the future, fix a date by which the Excepted Claims/Interemust be filed, you will be notified. 26 Any Proof of Claim required to be filed pursuant to the provisions of the Bar Date Order and n27 filed on or before the Non-Investor General Bar Date, the PFI/PISF Governmental Claims Bar Dator the LLC/LP Governmental Claims Bar Dates, as applicable,creditor that fails to file a proof 28 claim against the applicable Debtor in accordance with the applicable procedure set forth herein: (

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distribution in these Casescreditor of the applicable Debtor for the purposes of distribution undany plan; and (2) shall be forever barred from (a) filing a proof of claim with respect to such clai2 (b) asserting such claim against the applicable Debtor and its respective estate or property, and (participating in any distribution in these cases on account of such claim. 3 The Debtors’ Schedules and/or the Bar Date Order may be (i) for a fee, on the Court’s websit4 www.canb.uscourts.gov (a PACER account is required); (ii) for free at the Claims Agent’dedicated PFI website at www.donlinrecano.com/pfi or (iii) by contacting counsel for th 5 Committee as set forth below. 6 Any questions concerning this notice should be directed to counsel for the Committee, PachulsStang Ziehl & Jones LLP, Attn: Cia H. Mackle at cmackle@pszjlaw.com or (310) 772-2328. 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28

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EXHIBIT C Proposed Contents and Procedures for Serving Solicitation Packages

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THE SOLICITATION PACKAGE AND GENERAL NOTICE PROCEDURES2 1. By not later than April 22, 2021, the Proponents will complete the mailing ofSolicitation Packages byregularfirst class U.S. mail solely to (a) holders of claims in the Classesentitled to vote on the Plan, (b) the United States Trustee, and (c) any other necessary orappropriate agencies and/or representatives of the United States federal government (the “FederalGovernment”) at the locations required by Bankruptcy Rule 2002(j). 2. The Solicitation Packages will contain hard copies of the following items: a. the Cover Letter describing the contents of the Solicitation Package andwhich will direct parties to the website at which they may view theDisclosure Statement and the exhibits thereto, including the Plan and theexhibits attached thereto; b. the Plan Summary; c. the Ad Hoc Committees’ Support Letters; d. a Ballot for holders of claims in Classes entitled to vote, includinginstructions set forth therein regarding how to complete the Ballot;e. a Ballot return envelope; and f. Non-Investor Bar Date Notice, together with the standard form Proof ofClaim, if and as applicable.3 3. Solicitation Packages will not be provided to the Non-Voting Classes except uponexpress request to do so. Holders of Claims or Interests in the Non-Voting Classes under thePlan will receive only the Confirmation Hearing Notice, the Notice of Non-Voting Status, and, ifand as applicable, the Non-Investor Bar Date Notice (including the standard form Proof ofClaim). 2 A capitalized term used but not defined herein shall have the meaning ascribed to it in the Motion. 3 The Non-Investor Bar Date Notice and standard Proof of Claim form may be sent under separate cover.

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4. The addresses to be used when mailing the Solicitation Packages will be asfollows: a. for persons or entities that have filed proofs of claim that are entitled to aBallot under the Tabulation Rules, at the address provided on the face ofthe filed proof of claim; b. for persons or entities that have not filed proofs of claim that are entitledto a Ballot under the Tabulation Rules, at the address on the Debtors’current service list or Schedules; c. at the address for a claim transferee set forth in a valid notice of transfer ofclaim; and d. for the United States Trustee and the Federal Government, the addressesused for notice filed in accordance with Bankruptcy Rule 2002. 5. If multiple Solicitations Packages would otherwise go to the same physicaladdress, the Proponents shall be entitled, but not required, to combine the Solicitation Packagesinto a single Solicitation Package with multiple ballots, even if the claimant names are notidentical. 6. With respect to any Solicitation Packages and Confirmation Hearing Notices thatare returned by the United States Postal Service as undeliverable as a result of incomplete orinaccurate addresses, the Debtors may, in their discretion, but without any requirement, attemptto determine a correct address and resend the applicable materials. Any delay in such re-delivery,or the Debtors’ determination not to attempt any such redelivery, will not be deemed to beinadequate notice. 7. By not later than May 6, 2021, the Proponents shall file a proof of servicedemonstrating compliance with the service requirements hereof.

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EXHIBIT D-1 Proposed Form of Ballot (Class 1)

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UNITED STATES BANKRUPTCY COURT NORTHERN DISTRICT OF CALIFORNIA SAN FRANCISCO DIVISION Chapter 11 In re: Case No. 20-30604 PROFESSIONAL FINANCIAL INVESTORS, INC., et al., (Jointly Administered) Debtors. BALLOT FOR ACCEPTING OR REJECTING JOINT CHAPTER 11 PLAN OF PROFESSIONALFINANCIAL INVESTORS, INC. AND ITS AFFILIATED DEBTORS PROPOSED BY THEDEBTORS AND OFFICIAL COMMITTEE OF UNSECURED CREDITORS CLASS 1 - NON-INVESTOR FIRST-PRIORITY LENDER CLAIMS THE VOTING DEADLINE TO ACCEPT OR REJECT THE PLAN IS MAY 13, 2021 AT 4:00 P.M. (PACIFIC TIME) This Ballot is submitted to you to solicit your vote to accept or reject the Amended Joint Chapter11 Plan of Professional Financial Investors, Inc. and its Affiliated Debtors Proposed by theDebtors and Official Committee of Unsecured Creditors and Supported by the Ad Hoc LLCMembers Committee and the Ad Hoc DOT Noteholders Committee, dated as of March 21,April9, 2021 (as may be amended or modified, the “Plan”), which is being proposed by theabove-captioned debtors and debtors-in-possession (the “Debtors”) and Official Committee ofUnsecured Creditors (the “Committee” and, together with the Debtors, the “Proponents”) andwhich is described in the accompanying executive summary of the Plan (the “Plan Summary”)and the accompanying disclosure statement, dated March 21,April 16, 2021 (the “DisclosureStatement”). On April [•], 2021, the Bankruptcy Court entered an order approving certainprocedures and materials for the solicitation of votes to accept or reject the Plan (the“SolicitationProcedures Order”). Capitalized terms used in this Ballot and the attached instructions that arenot otherwise defined have the meanings given to them in the Plan. The Plan Summary and the Disclosure Statement provide information to assist you in decidinghow to vote your Ballot. You should review the Plan Summary, the Disclosure Statement andthe Plan before you vote. You may wish to seek legal advice concerning the Plan and yourclassification and treatment under the Plan. The Plan may be made binding on you whether or not you vote if the Plan (a) is accepted by theholders of at least two-thirds in amount and more than one-half in number of the claims in eachimpaired Class of claims who vote on the Plan; (b) otherwise satisfies the applicablerequirements of section 1129(a) of the Bankruptcy Code; and (c) the Bankruptcy Court enters anorder confirming the Plan. Even if the requisite acceptances are not obtained, however, theBankruptcy Court may still confirm the Plan if the Bankruptcy Court finds that the Plan (a)provides fair and equitable treatment to, and does not unfairly discriminate against, the Class orClasses rejecting the Plan; and (b) otherwise satisfies the requirements of section 1129(b) of the

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Bankruptcy Code. This Ballot is solely for purposes of voting to accept or reject the Plan. This Ballot is not for thepurpose of allowance or disallowance of, or distribution on account of, Non-Investor FirstPriority Claims in Class 1. There are two ways by which you may submit your Ballot: (i) you may submit your Ballot via theVoting Agent’s online e-balloting portal (the “E-Balloting Portal”) as directed below, or (ii) youmay return your Ballot to the Voting Agent via mail, overnight courier, or hand delivery byfollowing the instructions set forth below. If you have any questions on how to properly complete this Ballot, please contact Donlin Recanoat 1-877-283-0316 or email pfiinfo@donlinrecano.com. Please be advised that Donlin Recanocannot provide legal advice. For your vote to be counted, this Ballot must be properly completed, signed, and returnedso that it is actually received by the Voting Agent by no later than the Voting Deadline of4:00 p.m. (Pacific Time) on May 13, 2021. Please submit a Ballot with your vote by one ofthe following methods: If Submitting Your Vote Through the If by First Class Mail: E-Balloting Portal: Professional Financial Investors, Inc., et al., Donlin Recano will accept Ballots if c/o Donlin, Recano & Co., Inc. properly completed through the P.O. Box 199043 E-Balloting Portal. To submit your Blythebourne Station, Brooklyn, NY 11219Ballot via the E-Balloting Portal, [insert] Unique E-Ballot A pre-addressed return envelope has been ID#:_________________________ enclosed for your convenience. If by Overnight Courier or Hand Delivery: Professional Financial Investors, Inc., et al., DO NOT SUBMIT YOUR BALLOT TO c/o Donlin, Recano & Co., Inc. THE BANKRUPTCY COURT 6201 15th Avenue Brooklyn, NY 11219 A pre-addressed return envelope has been enclosed for your convenience. Donlin Recano’s E-Balloting Portal is the sole manner in which Ballots will be accepted viaelectronic or online transmission. Ballots submitted by facsimile, email or other means ofelectronic transmission will not be counted. Each E-Ballot ID# is to be used solely for voting only those Claims described in your electronic

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Ballot. Please complete and submit an electronic Ballot for each E-Ballot ID# you receive, asapplicable. Ballots received after 4:00 p.m. (Pacific Time) on May 13, 2021 will not be counted. Ballotssubmitted by e-mail or facsimile transmission will not be accepted. PLEASE COMPLETE THE FOLLOWING: Item 1. Amount of Class 1 Claim. For purposes of voting to accept or reject the Plan,the undersigned certifies that the undersigned holds a Non-Investor First Priority Lender Claim inClass 1 against the Debtors listed below in the amount set forth below. Please Check the Applicable Debtor(s) and write in the Claim Amount (as $__________of May 1, 2021) for each: Debtor(s): Professional Financial Investors, Inc.; Professional Investors Security Fund, Inc.; ProfessionalInvestors Security Fund I; Professional Investors Security Fund IV; Professional Investors Security Fund VII; Professional Investors Security Fund IX; Professional Investors Security Fund XII; Professional Investors Security Fund XIII; Professional Investors Security Fund XIV; Professional Investors Security Fund XV; Professional Investors Security Fund XVII; Professional Investors Security Fund XVIII; Professional Investors 20, LLC; Professional Investors 21, LLC; Professional Investors 22, LLC; Professional Investors 23, LLC; Professional Investors 24, LLC; Professional Investors 25, LLC; Professional Investors 26, LLC; Professional Investors 27, LLC; Professional Investors 29, LLC; Professional Investors 30, LLC; Professional Investors 31, LLC; Professional Investors 32, LLC; Professional Investors 33, LLC; Professional Investors 34, LLC; Professional Investors 35, LLC; Professional Investors 36, LLC; Professional Investors 37, LLC; Professional Investors 38, LLC; Professional Investors 39, LLC; Professional Investors 40, LLC; Professional Investors 41, LLC; Professional Investors 42, LLC; Professional Investors 43, LLC; Professional Investors 44, LLC; Professional Investors 45, LLC; Professional Investors 46, LLC; Professional Investors 47, LLC; Professional Investors 48, LLC; Professional Investors 49, LLC □ Professional Financial Investors, Inc.; $______________ □ Professional Investors 30, LLC; $_______________□ □ Professional Investors Security Fund, Inc.; $__________ Professional Investors 31, LLC; $_______________□ □ Professional Investors Security Fund I; $_____________ Professional Investors 32, LLC; $_______________□ □ Professional Investors Security Fund IV; $____________ Professional Investors 33, LLC; $_______________□ □ Professional Investors Security Fund VII; $___________ Professional Investors 34, LLC; $_______________□ □ Professional Investors Security Fund IX; $____________ Professional Investors 35, LLC; $_______________□ □ Professional Investors Security Fund XII; $___________ Professional Investors 36, LLC; $_______________□ □ Professional Investors Security Fund XIII; $___________ Professional Investors 37, LLC; $_______________□ □ Professional Investors Security Fund XIV; $__________ Professional Investors 38, LLC; $_______________□ □ Professional Investors Security Fund XV; $___________ Professional Investors 39, LLC; $_______________□ □ Professional Investors Security Fund XVII; $__________ Professional Investors 40, LLC; $_______________□ □ Professional Investors Security Fund XVIII; $_________ Professional Investors 41, LLC; $_______________□ □ Professional Investors 20, LLC; $_______________ Professional Investors 42, LLC; $_______________□ □ Professional Investors 21, LLC; $_______________ Professional Investors 43, LLC; $_______________□ □ Professional Investors 22, LLC; $_______________ Professional Investors 44, LLC; $_______________□ □ Professional Investors 23, LLC; $_______________ Professional Investors 45, LLC; $_______________

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□ □ Professional Investors 24, LLC; $_______________ Professional Investors 46, LLC; $_______________□ □ Professional Investors 25, LLC; $_______________ Professional Investors 47, LLC; $_______________□ □ Professional Investors 26, LLC; $_______________ Professional Investors 48, LLC; $_______________□ □ Professional Investors 27, LLC; $_______________ Professional Investors 49, LLC; $_______________□ Professional Investors 29, LLC; $_______________ If you wish to vote claims against different Debtors in a different manner, please submit one ballot for accepting votes, and a separate ballot for rejecting votes. Each Allowed Non-Investor First-Priority Lender Claim shall be deemed to be in its own subclass. Item 2. Vote on the Plan. The undersigned Holder of a Non-Investor First PriorityLender Claim in Class 1 in the amount set forth in Item 1 above hereby votes to: Check one box only: ☐ Accept (vote FOR) the Plan ☐ Reject (vote AGAINST) the Plan THE PROPONENTS RECOMMEND THAT YOU VOTE TO ACCEPT THE PLAN. Item 3. Acknowledgement. By signing this Ballot, the undersigned acknowledgesreceipt of the Disclosure Statement and the other applicable solicitation materials and certifiesthat the undersigned is the claimant or has the power and authority to vote to accept or reject thePlan on behalf of the claimant. The undersigned understands that, if this Ballot is otherwisevalidly executed but is not timely submitted, does not indicate either acceptance or rejection ofthe Plan or indicates both an acceptance and rejection of the Plan, this Ballot will not be countedas having been cast. YOUR RECEIPT OF THIS BALLOT DOES NOT SIGNIFY THAT YOUR CLAIM HASBEEN OR WILL BE ALLOWED. Name of Holder: (Print or Type) Signature: Name of Signatory: Title of Signatory: Address: Email Address: Date Completed: If your address or contact information has changed, please note the new information here.

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EXHIBIT D-2 Proposed Form of Ballot (Class 4)

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UNITED STATES BANKRUPTCY COURT NORTHERN DISTRICT OF CALIFORNIA SAN FRANCISCO DIVISION Chapter 11 In re: Case No. 20-30604 PROFESSIONAL FINANCIAL INVESTORS, INC., et al., (Jointly Administered) Debtors. BALLOT FOR ACCEPTING OR REJECTING JOINT CHAPTER 11 PLAN OF PROFESSIONALFINANCIAL INVESTORS, INC. AND ITS AFFILIATED DEBTORS PROPOSED BY THEDEBTORS AND OFFICIAL COMMITTEE OF UNSECURED CREDITORS CLASS 4 – DOT NOTEHOLDER CLAIMS THE VOTING DEADLINE TO ACCEPT OR REJECT THE PLAN IS MAY 13, 2021 AT 4:00 P.M. (PACIFIC TIME) Why You Are Receiving This Ballot You are being sent this Ballot because the Debtors’ records show that you are a current investorin the PFI enterprise as a result of holding notes secured by deeds of trust on PFI-owned orLP-owned property. The above-captioned Debtors and the Official Committee of Unsecured Creditors (the“Committee” and, together with the Debtors, the “Proponents”) have proposed a bankruptcyplan, entitled the Amended Joint Chapter 11 Plan of Professional Financial Investors, Inc. andits Affiliated Debtors Proposed by the Debtors and Official Committee of Unsecured Creditorsand Supported by the Ad Hoc LLC Members Committee and the Ad Hoc DOT NoteholdersCommittee, dated as of March 21,April 9, 2021 (as may be amended or modified, the “Plan”). The Plan is also supported by both ad hoc committees, the Ad Hoc LLC Members Committeeand the Ad Hoc DOT Noteholders Committee. On April [•], 2021, the Bankruptcy Court entered an order approving certain procedures andmaterials for the solicitation of votes to accept or reject the Plan (the “Solicitation ProceduresOrder”). Capitalized terms used in this Ballot and the attached instructions that are not otherwisedefined have the meanings given to them in the Plan. This Ballot is submitted to you to solicit your vote to accept or reject the Plan. Information to Assist You In Voting The Plan Summary and the Disclosure Statement provide information to assist you in decidinghow to vote your Ballot. You should review the Plan Summary, the Disclosure Statement andthe Plan before you vote. You may wish to seek legal advice concerning the Plan and yourclassification and treatment under the Plan.

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How Your Vote Impacts Confirmation of the Plan The Plan may be made binding on you whether or not you vote if the Plan (a) is accepted by theholders of at least two-thirds in amount and more than one-half in number of the claims in eachimpaired Class of claims who vote on the Plan; (b) otherwise satisfies the applicablerequirements of section 1129(a) of the Bankruptcy Code; and (c) the Bankruptcy Court enters anorder confirming the Plan. Even if the requisite acceptances are not obtained, however, theBankruptcy Court may still confirm the Plan if the Bankruptcy Court finds that the Plan (a)provides fair and equitable treatment to, and does not unfairly discriminate against, the Class orClasses rejecting the Plan; and (b) otherwise satisfies the requirements of section 1129(b) of theBankruptcy Code. How to Vote There are two ways by which you may submit your Ballot: (i) you may submit your Ballot via theVoting Agent’s online e-balloting portal (the “E-Balloting Portal”) as directed below, or (ii) youmay return your Ballot to the Voting Agent via mail, overnight courier, or hand delivery byfollowing the instructions set forth below. Please note that if you disagree with the amountlisted below on your Ballot for voting purposes only and you believe you are entitled to vote ahigher claim amount, and you modify such amount on the Ballot in accordance with theinstructions below, YOU MUST SUBMIT YOUR MODIFIED PHYSICAL BALLOT VIAMAIL, OVERNIGHT COURIER OR HAND DELIVERY – YOU CANNOT SUBMIT SUCHMODIFIED BALLOT VIA THE ONLINE E-BALLOTING PORTAL. If you have any questions on how to properly complete this Ballot, please contact Donlin Recanoat 1-877-283-0316 or email pfiinfo@donlinrecano.com. Please be advised that Donlin Recanocannot provide legal advice. For your vote to be counted, this Ballot must be properly completed, signed, and returnedso that it is actually received by the Voting Agent by no later than the Voting Deadline of4:00 p.m. (Pacific Time) on May 13, 2021. Please submit a Ballot with your vote by one ofthe following methods:

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If Submitting Your Vote Through the If by First Class Mail: E-Balloting Portal: Professional Financial Investors, Inc., et al., Donlin Recano will accept Ballots if c/o Donlin, Recano & Co., Inc. properly completed through the P.O. Box 199043 E-Balloting Portal. To submit your Blythebourne Station, Brooklyn, NY 11219Ballot via the E-Balloting Portal, [insert] Unique E-Ballot A pre-addressed return envelope has been ID#:_________________________ enclosed for your convenience. If by Overnight Courier or Hand Delivery: Professional Financial Investors, Inc., et al., DO NOT SUBMIT YOUR BALLOT TO c/o Donlin, Recano & Co., Inc. THE BANKRUPTCY COURT 6201 15th Avenue Brooklyn, NY 11219 A pre-addressed return envelope has been enclosed for your convenience. Donlin Recano’s E-Balloting Portal is the sole manner in which Ballots will be accepted viaelectronic or online transmission. Ballots submitted by facsimile, email or other means ofelectronic transmission will not be counted. Each E-Ballot ID# is to be used solely for voting only those Claims described in your electronicBallot. Please complete and submit an electronic Ballot for each E-Ballot ID# you receive, asapplicable. Ballots received after 4:00 p.m. (Pacific Time) on May 13, 2021 will not be counted. Ballotssubmitted by e-mail or facsimile transmission will not be accepted. Ballot for Voting Only, Not to Determine Claim Amount This Ballot is solely for purposes of voting to accept or reject the Plan. This Ballot is not for thepurpose of allowance or disallowance of, or distribution on account of, DOT Noteholder Claimsin Class 4.

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PLEASE COMPLETE THE FOLLOWING: Item 1. Amount of Class 4 Claim. For purposes of voting to accept or reject the Plan,the undersigned certifies that the undersigned holds a DOT Noteholder Claim in Class 4 againstthe Debtors listed below in the amount set forth below. Claim Amount: $ [to be pre-populated with amount and applicable Debtor/Investment]THE AMOUNTS LISTED HEREIN, WHETHER YOU MODIFY THEM OR NOT ARE FORVOTING PURPOSES ONLY. THEY DO NOT GOVERN THE AMOUNT OF YOUR CLAIMFOR DISTRIBUTION PURPOSES. If you believe the amount listed above is incorrect and you believe you are entitled to vote ahigher claim amount, please modify the amount, and check here. If you do not check this box,the amount of your claim for voting purposes will not be modified:  I declare under penalty of perjury that the Claim amount listed in the table above is INCORRECT,and that I am entitled to vote the amount hand-written above. The Debtors reserve the right to object to the amount you write in. Any such objection will be made by May 20, 2021. Item 2. Vote on the Plan. The undersigned Holder of a DOT Noteholder Claim in Class4 in the amount set forth in Item 1 above hereby votes to: Check one box only: ☐ Accept (vote FOR) the Plan ☐ Reject (vote AGAINST) the Plan THE PROPONENTS RECOMMEND THAT YOU VOTE TO ACCEPT THE PLAN. Item 3. Release of Lien. Because this is a Ponzi scheme, and all Investors are victims,and in order to avoid the delay, risk, and expense of litigation, I agree that my Claim will betreated as an unsecured claim under the Plan, not a secured claim. I hereby release and reconveyany deed of trust in my name that has been recorded against any real property owned by one ofthe Debtors, and, as my agent, I hereby authorize the Debtors to take whatever actions they deemnecessary and appropriate to effect the release of my lien(s). I agree that if the Debtors sell realproperty on which I hold a recorded lien before the Plan becomes effective, I hereby consent tothe sale of any such real property free and clear of any lien on the real property in my name, andto the extent any lien attaches to the proceeds of the sale, I hereby release any such lien againstthe sale proceeds.  YES, I agree that my Claim will be treated as an unsecured Claim. I release any and all deeds of trust in my name recorded against the Debtors’ property or any liens on sale proceeds related thereto, and I hereby authorize the Debtors to take whatever actions they deem necessary and appropriate to

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effect the release of my lien(s). Item 4. Contribution of Contributed Claims. I elect to contribute to the PFI Trust allContributed Claims (as defined in the Plan) in exchange for an increase to my Class 4 DOTNoteholder Claim by 5%.  YES, I elect to contribute my Contributed Claims to the PFI Trust. Item 5. Acknowledgement. By signing this Ballot, the undersigned acknowledgesreceipt of the Disclosure Statement and the other applicable solicitation materials and certifiesthat the undersigned is the claimant or has the power and authority to vote to accept or reject thePlan on behalf of the claimant. The undersigned understands that, if this Ballot is otherwisevalidly executed but is not timely submitted, does not indicate either acceptance or rejection ofthe Plan or indicates both an acceptance and rejection of the Plan, this Ballot will not be countedas having been cast. YOUR RECEIPT OF THIS BALLOT DOES NOT SIGNIFY THAT YOUR CLAIM HASBEEN OR WILL BE ALLOWED. Name of Holder: [Prepopulate with address] Signature: Name of Signatory: Title of Signatory: Address (if different than above): Email Address: Date Completed: If your address or contact information has changed, please note the new information here.

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EXHIBIT D-3 Proposed Form of Ballot (Class 5)

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UNITED STATES BANKRUPTCY COURT NORTHERN DISTRICT OF CALIFORNIA SAN FRANCISCO DIVISION Chapter 11 In re: Case No. 20-30604 PROFESSIONAL FINANCIAL INVESTORS, INC., et al., (Jointly Administered) Debtors. BALLOT FOR ACCEPTING OR REJECTING JOINT CHAPTER 11 PLAN OF PROFESSIONALFINANCIAL INVESTORS, INC. AND ITS AFFILIATED DEBTORS PROPOSED BY THEDEBTORS AND OFFICIAL COMMITTEE OF UNSECURED CREDITORS CLASS 5 – NON-DOT INVESTOR CLAIMS THE VOTING DEADLINE TO ACCEPT OR REJECT THE PLAN IS MAY 13, 2021 AT 4:00 P.M. (PACIFIC TIME) Why You Are Receiving This Ballot You are being sent this Ballot because the Debtors’ records show that you are a current investorin the PFI enterprise as a result of holding straight notes or equity interests in PFI-managed LLCsor LPs. The above-captioned Debtors and the Official Committee of Unsecured Creditors (the“Committee” and, together with the Debtors, the “Proponents”) have proposed a bankruptcyplan, entitled the Amended Joint Chapter 11 Plan of Professional Financial Investors, Inc. andits Affiliated Debtors Proposed by the Debtors and Official Committee of Unsecured Creditorsand Supported by the Ad Hoc LLC Members Committee and the Ad Hoc DOT NoteholdersCommittee, dated as of March 21,April 9, 2021 (as may be amended or modified, the “Plan”). The Plan is also supported by both ad hoc committees, the Ad Hoc LLC Members Committeeand the Ad Hoc DOT Noteholders Committee. On April [•], 2021, the Bankruptcy Court entered an order approving certain procedures andmaterials for the solicitation of votes to accept or reject the Plan (the “Solicitation ProceduresOrder”). Capitalized terms used in this Ballot and the attached instructions that are not otherwisedefined have the meanings given to them in the Plan. This Ballot is submitted to you to solicit your vote to accept or reject the Plan. Information to Assist You In Voting The Plan Summary and the Disclosure Statement provide information to assist you in decidinghow to vote your Ballot. You should review the Plan Summary, the Disclosure Statement andthe Plan before you vote. You may wish to seek legal advice concerning the Plan and yourclassification and treatment under the Plan.

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How Your Vote Impacts Confirmation of the Plan The Plan may be made binding on you whether or not you vote if the Plan (a) is accepted by theholders of at least two-thirds in amount and more than one-half in number of the claims in eachimpaired Class of claims who vote on the Plan; (b) otherwise satisfies the applicablerequirements of section 1129(a) of the Bankruptcy Code; and (c) the Bankruptcy Court enters anorder confirming the Plan. Even if the requisite acceptances are not obtained, however, theBankruptcy Court may still confirm the Plan if the Bankruptcy Court finds that the Plan (a)provides fair and equitable treatment to, and does not unfairly discriminate against, the Class orClasses rejecting the Plan; and (b) otherwise satisfies the requirements of section 1129(b) of theBankruptcy Code. How to Vote There are two ways by which you may submit your Ballot: (i) you may submit your Ballot via theVoting Agent’s online e-balloting portal (the “E-Balloting Portal”) as directed below, or (ii) youmay return your Ballot to the Voting Agent via mail, overnight courier, or hand delivery byfollowing the instructions set forth below. Please note that if you disagree with the amountlisted below on your Ballot for voting purposes only and you believe you are entitled to vote ahigher claim amount, and you modify such amount on the Ballot in accordance with theinstructions below, YOU MUST SUBMIT YOUR MODIFIED PHYSICAL BALLOT VIAMAIL, OVERNIGHT COURIER OR HAND DELIVERY – YOU CANNOT SUBMIT SUCHMODIFIED BALLOT VIA THE ONLINE E-BALLOTING PORTAL. If you have any questions on how to properly complete this Ballot, please contact Donlin Recanoat 1-877-283-0316 or email pfiinfo@donlinrecano.com. Please be advised that Donlin Recanocannot provide legal advice. For your vote to be counted, this Ballot must be properly completed, signed, and returnedso that it is actually received by the Voting Agent by no later than the Voting Deadline of4:00 p.m. (Pacific Time) on May 13, 2021. Please submit a Ballot with your vote by one ofthe following methods:

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If Submitting Your Vote Through the If by First Class Mail: E-Balloting Portal: Professional Financial Investors, Inc., et al., Donlin Recano will accept Ballots if c/o Donlin, Recano & Co., Inc. properly completed through the P.O. Box 199043 E-Balloting Portal. To submit your Blythebourne Station, Brooklyn, NY 11219Ballot via the E-Balloting Portal, [insert] Unique E-Ballot A pre-addressed return envelope has been ID#:_________________________ enclosed for your convenience. If by Overnight Courier or Hand Delivery: Professional Financial Investors, Inc., et al., DO NOT SUBMIT YOUR BALLOT TO c/o Donlin, Recano & Co., Inc. THE BANKRUPTCY COURT 6201 15th Avenue Brooklyn, NY 11219 Donlin Recano’s E-Balloting Portal is the sole manner in which Ballots will be accepted viaelectronic or online transmission. Ballots submitted by facsimile, email or other means ofelectronic transmission will not be counted. Each E-Ballot ID# is to be used solely for voting only those Claims described in your electronicBallot. Please complete and submit an electronic Ballot for each E-Ballot ID# you receive, asapplicable. Ballots received after 4:00 p.m. (Pacific Time) on May 13, 2021 will not be counted. Ballotssubmitted by e-mail or facsimile transmission will not be accepted. Ballot for Voting Only, Not to Determine Claim Amount This Ballot is solely for purposes of voting to accept or reject the Plan. This Ballot is not for thepurpose of allowance or disallowance of, or distribution on account of, Non-DOT InvestorClaims in Class 5.

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PLEASE COMPLETE THE FOLLOWING: Item 1. Amount of Class 5 Claim. For purposes of voting to accept or reject the Plan,the undersigned certifies that the undersigned holds a Non-DOT Investor Claim in Class 5against the Debtors listed below in the amount set forth below. Claim Amount: $ [to be pre-populated with amount and applicable Debtor/Investment]THE AMOUNTS LISTED HEREIN, WHETHER YOU MODIFY THEM OR NOT ARE FORVOTING PURPOSES ONLY. THEY DO NOT GOVERN THE AMOUNT OF YOUR CLAIMFOR DISTRIBUTION PURPOSES. If you believe the amount listed above is incorrect and you believe you are entitled to vote ahigher claim amount, please modify the amount, and check here. If you do not check this box,the amount of your claim for voting purposes will not be modified:  I declare under penalty of perjury that the Claim amount listed in the table above is INCORRECT,and that I am entitled to vote the amount hand-written above. The Debtors reserve the right to object to the amount you write in. Any such objection will be made by May 20, 2021. Item 2. Vote on the Plan. The undersigned Holder of a Non-DOT Investor Claim inClass 5 in the amount set forth in Item 1 above hereby votes to: Check one box only: ☐ Accept (vote FOR) the Plan ☐ Reject (vote AGAINST) the Plan THE PROPONENTS RECOMMEND THAT YOU VOTE TO ACCEPT THE PLAN. Item 3. Contribution of Contributed Claims. I elect to contribute to the PFI Trust allContributed Claims (as defined in the Plan) in exchange for an increase to my Class 5 Non-DOTInvestor Claim by 5%.  YES, I elect to contribute my Contributed Claims to the PFI Trust. Item 4. Acknowledgement. By signing this Ballot, the undersigned acknowledgesreceipt of the Disclosure Statement and the other applicable solicitation materials and certifiesthat the undersigned is the claimant or has the power and authority to vote to accept or reject thePlan on behalf of the claimant. The undersigned understands that, if this Ballot is otherwisevalidly executed but is not timely submitted, does not indicate either acceptance or rejection ofthe Plan or indicates both an acceptance and rejection of the Plan, this Ballot will not be countedas having been cast. YOUR RECEIPT OF THIS BALLOT DOES NOT SIGNIFY THAT YOUR CLAIM HASBEEN OR WILL BE ALLOWED.

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Name of Holder: [Prepopulate with address] Signature: Name of Signatory: Title of Signatory: Address (if different than above): Email Address: Date Completed: If your address or contact information has changed, please note the new information here.

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EXHIBIT D-4 Proposed Form of Ballot (Class 6)

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UNITED STATES BANKRUPTCY COURT NORTHERN DISTRICT OF CALIFORNIA SAN FRANCISCO DIVISION Chapter 11 In re: Case No. 20-30604 PROFESSIONAL FINANCIAL INVESTORS, INC., et al., (Jointly Administered) Debtors. BALLOT FOR ACCEPTING OR REJECTING JOINT CHAPTER 11 PLAN OF PROFESSIONALFINANCIAL INVESTORS, INC. AND ITS AFFILIATED DEBTORS PROPOSED BY THEDEBTORS AND OFFICIAL COMMITTEE OF UNSECURED CREDITORS CLASS 6 – TIC CLAIMS THE VOTING DEADLINE TO ACCEPT OR REJECT THE PLAN IS MAY 13, 2021 AT 4:00 P.M. (PACIFIC TIME) Why You Are Receiving This Ballot You are being sent this Ballot because the Debtors’ records show that you hold atenant-in-common interest in Real Property co-owned with one of the Debtors. The above-captioned Debtors and the Official Committee of Unsecured Creditors (the“Committee” and, together with the Debtors, the “Proponents”) have proposed a bankruptcyplan, entitled the Amended Joint Chapter 11 Plan of Professional Financial Investors, Inc. andits Affiliated Debtors Proposed by the Debtors and Official Committee of Unsecured Creditorsand Supported by the Ad Hoc LLC Members Committee and the Ad Hoc DOT NoteholdersCommittee, dated as of March 21,April 9, 2021 (as may be amended or modified, the “Plan”). The Plan is also supported by both ad hoc committees, the Ad Hoc LLC Members Committeeand the Ad Hoc DOT Noteholders Committee. On April [•], 2021, the Bankruptcy Court entered an order approving certain procedures andmaterials for the solicitation of votes to accept or reject the Plan (the “Solicitation ProceduresOrder”). Capitalized terms used in this Ballot and the attached instructions that are not otherwisedefined have the meanings given to them in the Plan. This Ballot is submitted to you to solicit your vote to accept or reject the Plan. Information to Assist You In Voting The Plan Summary and the Disclosure Statement provide information to assist you in decidinghow to vote your Ballot. You should review the Plan Summary, the Disclosure Statement andthe Plan before you vote. You may wish to seek legal advice concerning the Plan and yourclassification and treatment under the Plan.

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How Your Vote Impacts Confirmation of the Plan The Plan may be made binding on you whether or not you vote if the Plan (a) is accepted by theholders of at least two-thirds in amount and more than one-half in number of the claims in eachimpaired Class of claims who vote on the Plan; (b) otherwise satisfies the applicablerequirements of section 1129(a) of the Bankruptcy Code; and (c) the Bankruptcy Court enters anorder confirming the Plan. Even if the requisite acceptances are not obtained, however, theBankruptcy Court may still confirm the Plan if the Bankruptcy Court finds that the Plan (a)provides fair and equitable treatment to, and does not unfairly discriminate against, the Class orClasses rejecting the Plan; and (b) otherwise satisfies the requirements of section 1129(b) of theBankruptcy Code. The TIC Investor Treatment Election The Plan provides the option for Holders of TIC Interests to elect to be treated as Investors underthe Plan. Pursuant to this election, which may be made on this Ballot or other written agreementwith the Debtors or PFI Trustee, the Holder of a TIC Interest shall transfer his or her TIC Interestto the Debtors or PFI Trust. In exchange, the Holder of a TIC Interest shall receive an InvestorClaim, subject to the same calculation, netting and aggregation principles applicable to InvestorClaims. Such an election will not require the Holder of a TIC Interest to file a proof of claim bythe General Claims Bar Date; rather, the to-be-determined bar date applicable to Investors willapply. If the Holder of a TIC Interest does not make the TIC Investor Treatment Election, theGeneral Claims Bar Date will apply to any claims related to the TIC Interest. How to Vote There are two ways by which you may submit your Ballot: (i) you may submit your Ballot via theVoting Agent’s online e-balloting portal (the “E-Balloting Portal”) as directed below, or (ii) youmay return your Ballot to the Voting Agent via mail, overnight courier, or hand delivery byfollowing the instructions set forth below. Please note that if you disagree with the amountlisted below on your Ballot for voting purposes only and you believe you are entitled to vote ahigher claim amount, and you modify such amount on the Ballot in accordance with theinstructions below, YOU MUST SUBMIT YOUR MODIFIED PHYSICAL BALLOT VIAMAIL, OVERNIGHT COURIER OR HAND DELIVERY – YOU CANNOT SUBMIT SUCHMODIFIED BALLOT VIA THE ONLINE E-BALLOTING PORTAL. If you have any questions on how to properly complete this Ballot, please contact Donlin Recanoat 1-877-283-0316 or email pfiinfo@donlinrecano.com. Please be advised that Donlin Recanocannot provide legal advice. For your vote to be counted, this Ballot must be properly completed, signed, and returnedso that it is actually received by the Voting Agent by no later than the Voting Deadline of4:00 p.m. (Pacific Time) on May 13, 2021. Please submit a Ballot with your vote by one ofthe following methods:

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If Submitting Your Vote Through the If by First Class Mail: E-Balloting Portal: Professional Financial Investors, Inc., et al., Donlin Recano will accept Ballots if c/o Donlin, Recano & Co., Inc. properly completed through the P.O. Box 199043 E-Balloting Portal. To submit your Blythebourne Station, Brooklyn, NY 11219Ballot via the E-Balloting Portal, [insert] Unique E-Ballot A pre-addressed return envelope has been ID#:_________________________ enclosed for your convenience. If by Overnight Courier or Hand Delivery: Professional Financial Investors, Inc., et al., DO NOT SUBMIT YOUR BALLOT TO c/o Donlin, Recano & Co., Inc. THE BANKRUPTCY COURT 6201 15th Avenue Brooklyn, NY 11219 Donlin Recano’s E-Balloting Portal is the sole manner in which Ballots will be accepted viaelectronic or online transmission. Ballots submitted by facsimile, email or other means ofelectronic transmission will not be counted. Each E-Ballot ID# is to be used solely for voting only those Claims described in your electronicBallot. Please complete and submit an electronic Ballot for each E-Ballot ID# you receive, asapplicable. Ballots received after 4:00 p.m. (Pacific Time) on May 13, 2021 will not be counted. Ballotssubmitted by e-mail or facsimile transmission will not be accepted. Ballot for Voting Only, Not to Determine Claim Amount This Ballot is solely for purposes of voting to accept or reject the Plan. This Ballot is not for thepurpose of allowance or disallowance of, or distribution on account of, TIC Claims in Class 6. PLEASE COMPLETE THE FOLLOWING: Item 1. TIC Investor Treatment Election. Because this is a Ponzi scheme, and allInvestors are victims, and in order to avoid the delay, risk, and expense of litigation, I agree totransfer my TIC Interest(s) to the Debtors or PFI Trust and be treated as an Investor under thePlan, and understand that my TIC Claim shall be calculated in the manner applicable to allInvestors. I agree to take whatever actions the Debtors of PFI Trustee deem necessary andappropriate to effect the transfer of my TIC Interests to the Debtors or PFI Trust.  YES, I agree to make the TIC Investor Treatment Election and be treated as an Investor.

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Item 2. Amount of Class 6 Claim. For purposes of voting to accept or reject the Plan,the undersigned certifies that the undersigned holds a TIC Claim in Class 6 against the Debtorslisted below in the amount set forth below. Claim Amount: $___________________ If you are making the TIC Investor Treatment Election, the Claim Amount you areentitled to vote is your gross investment in the TIC Interest. If you are not makingthe TIC Investor Treatment Election, your Claim Amount should match theamount you claimed on your Proof of Claim Form. TIC Interests Held: ________________________________________________Item 3. Vote on the Plan. The undersigned Holder of a TIC Claim in Class 6 in theamount set forth in Item 1 above hereby votes to: Check one box only: ☐ Accept (vote FOR) the Plan ☐ Reject (vote AGAINST) the Plan THE PROPONENTS RECOMMEND THAT YOU VOTE TO ACCEPT THE PLAN. Item 4. Contribution of Contributed Claims. Only for those Holders of TIC Claimswho have makemade a TIC Investor Treatment Election. I elect to contribute to the PFI Trust allContributed Claims (as defined in the Plan) in exchange for an increase to my Class 6 TIC Claimby 5%.  YES, I elect to contribute my Contributed Claims to the PFI Trust. ONLY CHECK THIS BOX IF YOU HAVE MADE THE TIC INVESTOR TREATMENT ELECTION. Otherwise, it will be null and void. Item 5. Acknowledgement. By signing this Ballot, the undersigned acknowledgesreceipt of the Disclosure Statement and the other applicable solicitation materials and certifiesthat the undersigned is the claimant or has the power and authority to vote to accept or reject thePlan on behalf of the claimant. The undersigned understands that, if this Ballot is otherwisevalidly executed but is not timely submitted, does not indicate either acceptance or rejection ofthe Plan or indicates both an acceptance and rejection of the Plan, this Ballot will not be countedas having been cast. YOUR RECEIPT OF THIS BALLOT DOES NOT SIGNIFY THAT YOUR CLAIM HASBEEN OR WILL BE ALLOWED.

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Name of Holder: [Prepopulate with address] Signature: Name of Signatory: Title of Signatory: Address (if different than above): Email Address: Date Completed: If your address or contact information has changed, please note the new information here.

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EXHIBIT D-5 Proposed Form of Ballot (Class 7)

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UNITED STATES BANKRUPTCY COURT NORTHERN DISTRICT OF CALIFORNIA SAN FRANCISCO DIVISION Chapter 11 In re: Case No. 20-30604 PROFESSIONAL FINANCIAL INVESTORS, INC., et al., (Jointly Administered) Debtors. BALLOT FOR ACCEPTING OR REJECTING JOINT CHAPTER 11 PLAN OF PROFESSIONALFINANCIAL INVESTORS, INC. AND ITS AFFILIATED DEBTORS PROPOSED BY THEDEBTORS AND OFFICIAL COMMITTEE OF UNSECURED CREDITORS CLASS 7 – OTHER UNSECURED CLAIMS THE VOTING DEADLINE TO ACCEPT OR REJECT THE PLAN IS MAY 13, 2021 AT 4:00 P.M. (PACIFIC TIME) This Ballot is submitted to you to solicit your vote to accept or reject the Amended Joint Chapter11 Plan of Professional Financial Investors, Inc. and its Affiliated Debtors Proposed by theDebtors and Official Committee of Unsecured Creditors and Supported by the Ad Hoc LLCMembers Committee and the Ad Hoc DOT Noteholders Committee, dated as of March 21,April9, 2021 (as may be amended or modified, the “Plan”), which is being proposed by theabove-captioned debtors and debtors-in-possession (the “Debtors”) and Official Committee ofUnsecured Creditors (the “Committee” and, together with the Debtors, the “Proponents”) andwhich is described in the accompanying executive summary of the Plan (the “Plan Summary”)and the accompanying disclosure statement, dated March 21,April 16, 2021 (the “DisclosureStatement”). On April [•], 2021, the Bankruptcy Court entered an order approving certainprocedures and materials for the solicitation of votes to accept or reject the Plan (the“SolicitationProcedures Order”). Capitalized terms used in this Ballot and the attached instructions that arenot otherwise defined have the meanings given to them in the Plan. The Plan Summary and the Disclosure Statement provide information to assist you in decidinghow to vote your Ballot. You should review the Plan Summary, the Disclosure Statement andthe Plan before you vote. You may wish to seek legal advice concerning the Plan and yourclassification and treatment under the Plan. The Plan may be made binding on you whether or not you vote if the Plan (a) is accepted by theholders of at least two-thirds in amount and more than one-half in number of the claims in eachimpaired Class of claims who vote on the Plan; (b) otherwise satisfies the applicablerequirements of section 1129(a) of the Bankruptcy Code; and (c) the Bankruptcy Court enters anorder confirming the Plan. Even if the requisite acceptances are not obtained, however, theBankruptcy Court may still confirm the Plan if the Bankruptcy Court finds that the Plan (a)provides fair and equitable treatment to, and does not unfairly discriminate against, the Class orClasses rejecting the Plan; and (b) otherwise satisfies the requirements of section 1129(b) of the

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Bankruptcy Code. This Ballot is solely for purposes of voting to accept or reject the Plan. This Ballot is not for thepurpose of allowance or disallowance of, or distribution on account of, Other Unsecured Claimsin Class 7. There are two ways by which you may submit your Ballot: (i) you may submit your Ballot via theVoting Agent’s online e-balloting portal (the “E-Balloting Portal”) as directed below, or (ii) youmay return your Ballot to the Voting Agent via mail, overnight courier, or hand delivery byfollowing the instructions set forth below. If you have any questions on how to properly complete this Ballot, please contact Donlin Recanoat 1-877-283-0316 or email pfiinfo@donlinrecano.com. Please be advised that Donlin Recanocannot provide legal advice. For your vote to be counted, this Ballot must be properly completed, signed, and returnedso that it is actually received by the Voting Agent by no later than the Voting Deadline of4:00 p.m. (Pacific Time) on May 13, 2021. Please submit a Ballot with your vote by one ofthe following methods: If Submitting Your Vote Through the If by First Class Mail: E-Balloting Portal: Professional Financial Investors, Inc., et al., Donlin Recano will accept Ballots if c/o Donlin, Recano & Co., Inc. properly completed through the P.O. Box 199043 E-Balloting Portal. To submit your Blythebourne Station, Brooklyn, NY 11219Ballot via the E-Balloting Portal, [insert] Unique E-Ballot A pre-addressed return envelope has been ID#:_________________________ enclosed for your convenience. If by Overnight Courier or Hand Delivery: Professional Financial Investors, Inc., et al., DO NOT SUBMIT YOUR BALLOT TO c/o Donlin, Recano & Co., Inc. THE BANKRUPTCY COURT 6201 15th Avenue Brooklyn, NY 11219 A pre-addressed return envelope has been enclosed for your convenience. Donlin Recano’s E-Balloting Portal is the sole manner in which Ballots will be accepted viaelectronic or online transmission. Ballots submitted by facsimile, email or other means ofelectronic transmission will not be counted. Each E-Ballot ID# is to be used solely for voting only those Claims described in your electronic

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Ballot. Please complete and submit an electronic Ballot for each E-Ballot ID# you receive, asapplicable. Ballots received after 4:00 p.m. (Pacific Time) on May 13, 2021 will not be counted. Ballotssubmitted by e-mail or facsimile transmission will not be accepted. PLEASE COMPLETE THE FOLLOWING: Item 1. Amount of Class 7 Claim. For purposes of voting to accept or reject the Plan,the undersigned certifies that the undersigned holds an Other Unsecured Claim in Class 7 againstthe Debtors listed below in the amount set forth below. Claim Amount: $__________ Debtor(s): Professional Financial Investors, Inc.; Professional Investors Security Fund, Inc.; ProfessionalInvestors Security Fund I; Professional Investors Security Fund IV; Professional InvestorsSecurity Fund VII; Professional Investors Security Fund IX; Professional Investors SecurityFund XII; Professional Investors Security Fund XIII; Professional Investors Security Fund XIV;Professional Investors Security Fund XV; Professional Investors Security Fund XVII;Professional Investors Security Fund XVIII; Professional Investors 20, LLC; ProfessionalInvestors 21, LLC; Professional Investors 22, LLC; Professional Investors 23, LLC;Professional Investors 24, LLC; Professional Investors 25, LLC; Professional Investors 26,LLC; Professional Investors 27, LLC; Professional Investors 29, LLC; Professional Investors30, LLC; Professional Investors 31, LLC; Professional Investors 32, LLC; ProfessionalInvestors 33, LLC; Professional Investors 34, LLC; Professional Investors 35, LLC;Professional Investors 36, LLC; Professional Investors 37, LLC; Professional Investors 38,LLC; Professional Investors 39, LLC; Professional Investors 40, LLC; Professional Investors41, LLC; Professional Investors 42, LLC; Professional Investors 43, LLC; ProfessionalInvestors 44, LLC; Professional Investors 45, LLC; Professional Investors 46, LLC;Professional Investors 47, LLC; Professional Investors 48, LLC; Professional Investors 49, LLC

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Item 2. Vote on the Plan. The undersigned Holder of an Other Unsecured Claim in Class6 in the amount set forth in Item 1 above hereby votes to: Check one box only: ☐ Accept (vote FOR) the Plan ☐ Reject (vote AGAINST) the Plan THE PROPONENTS RECOMMEND THAT YOU VOTE TO ACCEPT THE PLAN. Item 3. Acknowledgement. By signing this Ballot, the undersigned acknowledgesreceipt of the Disclosure Statement and the other applicable solicitation materials and certifiesthat the undersigned is the claimant or has the power and authority to vote to accept or reject thePlan on behalf of the claimant. The undersigned understands that, if this Ballot is otherwisevalidly executed but is not timely submitted, does not indicate either acceptance or rejection ofthe Plan or indicates both an acceptance and rejection of the Plan, this Ballot will not be countedas having been cast. YOUR RECEIPT OF THIS BALLOT DOES NOT SIGNIFY THAT YOUR CLAIM HASBEEN OR WILL BE ALLOWED. Name of Holder: (Print or Type) Signature: Name of Signatory: Title of Signatory: Address: Email Address: Date Completed: If your address or contact information has changed, please note the new information here.

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EXHIBIT E Proposed Tabulation Rules

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VOTE TABULATION RULES Allowance and Disallowance of Claims for Voting Purposes a. Unless otherwise provided in the Tabulation Rules described below, Claims ofInvestors in the PFI enterprise who may have invested through straight notes,deeds of trust on PFI-owned property, or equity interests in PFI-managed LLCs orLPs (the “Investors”) will be deemed temporarily allowed for voting purposes inan amount equal to the full stated amount in the Debtors’ schedules, which wasbased on PFI’s records of the outstanding balance owed, regardless of whethersuch amount is designated as contingent, or, for LLC or LP Investors who are notscheduled as creditors, based on the amount listed in the most recent K-1 Form.4If any Investor seeks to challenge the amount of its Claim for voting purposes, theInvestor shall be allowed to write in a modified amount, signed under penalty ofperjury, and to return such modified Ballot to the Voting Agent by either mail,overnight courier or by personal delivery so as to be received by the Voting Agenton or before the Voting Deadline. Modified Ballots shall not be accepted viaelectronically. Any Ballot with a modified amount timely received shall bedeemed a motion pursuant to Bankruptcy Rule 3018(a) for an order temporarilyallowing such claim in a different amount for purposes of voting to accept orreject the Plan (an “Investor Rule 3018 Motion”). Objections to any Investor Rule3018 Motion must be filed no later than May 20, 2021. If any objections are filedto the Investor Rule 3018 Motion, the Investor Rule 3018 Motion will be heard atthe Combined Hearing. b. Each Claim entitled to vote on the Plan not held by an Investor will be deemedtemporarily allowed for voting purposes in an amount equal to the full statedamount claimed by the holder of such Claim in any proof of Claim filed prior tothe Record Date, or as set forth in the Schedules if it is not contingent,unliquidated, or disputed, to the extent that the proof of Claim specifies a fixed orliquidated non-contingent amount. Any additional expressly contingent orunliquidated amount will be temporarily disallowed for voting purposes. c. Except with respect to Investor Proofs of Claim, if a Claim for which a proof ofClaim has been timely filed is (i) marked or identified as contingent orunliquidated on its face and/or (ii) does not otherwise specify a fixed or liquidatedamount, such contingent or unliquidated Claim will be temporarily allowed forvoting purposes in the amount of $1.00. d. If an objection to a Claim has been sustained by the Bankruptcy Court or a Claimhas been settled by the Debtors and the claimant, such Claim will be disallowed orallowed in the settled amount for voting purposes, as the case may be, as set forthin the relevant Bankruptcy Court order or settlement agreement. 4 For purposes of the Vote Tabulation Rules, claims of holders of TIC Interests who make a TIC Investor Treatment Election on their Ballot shall be considered Investor Claims, in that they will be deemed temporarily allowed for voting purposes in an amount equal to the TIC Investor’s TIC investment.

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e. If a non-Investor Claimant seeks to challenge the classification of a claim or theallowance of a claim for voting purposes, or an Investor seeks to challengeanything other than the allowed amount of a claim for voting purposes, suchclaimant is required to file a motion, pursuant to Bankruptcy Rule 3018(a), for anorder temporarily allowing such claim in a different amount (for non-Investorsonly) or classification (for all such claimants) for purposes of voting to accept orreject the Plan (an “Other Rule 3018 Motion”) and serve such motion on: (i) theOffice of the United States Trustee; (ii) counsel for the Debtors; (iii) counsel forthe Committee; (iv) counsel for the Ad Hoc Committees; and (v) any party thathas requested notice pursuant to Bankruptcy Rule 2002, so that it is received byMay 6,April 29, 2021 at 4:00 p.m. (Pacific Time). Any objection to an OtherRule 3018 Motion must be filed byno later than May 13, 2021. Replies, if any, insupport of the Other Rule 3018 Motion must be filed no later than May 20, 2021. The request for relief sought in such Other Rule 3018 Motion will be heard at theConfirmation Hearing, unless otherwise scheduled. Objections to any Other Rule3018 Motion must be filed no later than May 13, 2021. f. In accordance with Bankruptcy Rule 3018, any Ballot submitted by a claimant thatfiles a Other Rule 3018 Motion will not be counted unless temporarily allowed bythe Bankruptcy Court for voting purposes after notice and a hearing, prior to theCombined Hearing. The Proponents may also seek an estimation of a Claim forvoting purposes after notice and a hearing. g. The Proponents may enter into stipulations with holders of claims (includingInvestors, as well as Other Unsecured Claims) allowing such claims for votingpurposes. Such stipulations must be filed with the Bankruptcy Court on or beforeMay 13, 2021. h. If a Claim holder identifies a Claim amount on its Ballot that is less than theamount otherwise calculated in accordance with the Tabulation Rules, the Claimwill be temporarily allowed for voting purposes in the lesser amount. Rules for Counting Votes to Accept or Reject Plan In tabulating the Ballots, the following procedures will apply: 1. Any Ballot that is properly completed, executed, and timely returned to theBalloting Agent, but does not indicate the acceptance or rejection of the Plan, orindicates both, will not be counted. 2. If a creditor casts more than one Ballot voting the same claim before the VotingDeadline, the last properly executed Ballot received before the Voting Deadlinewill be deemed to reflect the voter’s intent and, thus, will supersede any priorBallots. 3. CreditorsInvestors will be required to vote all of their claims under the Plan eitherto accept or reject the Plan and may not split their votes.

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4. Where any portion of a single claim has been transferred to a transferee, allholders of any portion of such single claim will be (i) treated as a single creditorfor purposes of the numerosity requirements in section 1126(c) of the BankruptcyCode (and for the other voting and solicitation procedures set forth herein) and (ii)required to vote every portion of such claim collectively either to accept or rejectthe Plan. 5. In the event that a Ballot or a group of Ballots within a Class received from asingle creditor partially rejects and partially accepts the Plan, such Ballots will notbe counted.

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EXHIBIT F Proposed Notice of Non-Voting Status

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UNITED STATES BANKRUPTCY COURT 2 NORTHERN DISTRICT OF CALIFORNIA SAN FRANCISCO DIVISION 3 4 In re: Chapter 11 5 PROFESSIONAL FINANCIAL Case No. 20-30604 INVESTORS, INC., et al.,1 6 (Jointly Administered) Debtors. 7 NOTICE OF NON-VOTING STATUS 8 PLEASE TAKE NOTICE THAT: 9 1. On March 21, 2021, Professional Financial Investors, Inc. and its affiliated debtor10 and debtors in possession (collectively, “PFI” or the “Debtors”) and the Official Committee 11 Unsecured Creditors (the “Committee” and together with the Debtor, the “Proponents”) filed (12 Joint Chapter 11 Plan of Professional Financial Investors, Inc. and its Affiliated Debtors Propose13 by the Debtors and Official Committee of Unsecured Creditors and Supported by the Ad Hoc LL14 Members Committee and the Ad Hoc DOT Noteholders Committee [Docket No. 489489, as amende15 by Docket No. 554] (including all exhibits thereto and as amended, modified or supplemented fro16 time to time, the “Plan”); (b) a related executive summary of the Plan [Docket No. 488, as amende17 by Docket No. 553]; and (c) a related Disclosure Statement in Support of Joint Chapter 11 Plan 18 Professional Financial Investors, Inc. and its Affiliated Debtors Proposed by the Debtors an19 Official Committee of Unsecured Creditors and Supported by the Ad Hoc LLC Members Committe20 and the Ad Hoc DOT Noteholders Committee [Docket No. 490disclosure statement with respect t21 the Plan [Docket No. 490, as amended by Docket No. [•]] (including all exhibits thereto and a22 amended, modified or supplemented from time to time, the “Disclosure Statement”) under sectio23 1125 of the Bankruptcy Code. 24 2. By an Order dated April [•], 2021 (the “Solicitation Procedures Order”), th25 Bankruptcy Court conditionally approved the Disclosure Statement as containing adequat26 information within the meaning of section 1125 of Bankruptcy Code and approved certai27 1 A complete list of the Debtors and their respective chapter 11 case numbers may be found at 28 www.donlinrecano.com/pfi. The federal tax identification numbers of each of the Debtors is also availabl

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procedures (collectively, the “Solicitation Procedures”) for the solicitation and tabulation of votes t2 accept or reject the Plan, and scheduled hearings on confirmation of the Plan. 3 3. Proponents (a) are required to mail voting materials to all creditors and equity intere4 holders entitled to vote on the Plan and (b) are not required to provide voting materials to suc5 holders that are conclusively presumed to either accept or reject the Plan (collectively, th6 “Non-Voting Classes”). Accordingly, you are receiving this Notice of Non-Voting Status for th 7 Plan instead of voting materials containing the Disclosure Statement and the Plan. 8 4. If you wish to challenge the classification of your claim or interest, you, pursuant t 9 Bankruptcy Rule 3018(a), must file a motion (a “Rule 3018 Motion”) for an order temporaril10 allowing your claim in an amount for purposes of voting and serve such motion on the parties liste11 below so that it is received byMay 6,April 29, 2021. The request for relief sought in such Rule 30112 Motion will be heard at the Combined Hearing (as defined below). Rule 3018 Motions that are n13 timely filed and served in the manner as set forth above will not be considered. 14 5. On May 27, 2021 at ___10:00 a.m. (Pacific Time), or as soon thereafter as couns15 may be heard, a hearing will be held before the Honorable Hannah L. Blumenstiel, United State16 Bankruptcy Judge via video or teleconference to consider final approval of the Disclosure Stateme17 and confirmation of the Plan, as the same may be amended or modified (the “Combined Hearing”). 18 6. The Combined Hearing may be adjourned from time to time, without further notic19 The Plan may be modified in accordance with the Bankruptcy Code, the Federal Rules of Bankruptc20 Procedure, the Plan and other applicable law, without further notice, prior to or as a result of th21 Combined Hearing. 22 7. Objections, if any, to the adequacy of the Disclosure Statement or confirmation of th23 Plan must (a) be in writing; (b) state the name and address of the objecting party and the nature of th24 claim or interest of such party; (c) state with particularity the basis and nature of any objection; an25 (d) be filed with the Bankruptcy Court at the address set forth below and served on the following s26 that any such objections are received no later than May 13, 2021 at 4:00 p.m. (Pacific Time)27 (a) counsel to the Debtors, Sheppard, Mullin, Richter & Hampton, LLP, Four Embarcadero Cente28 17th Floor, San Francisco, CA 94111 (Attn: Ori Katz); (b) Office of the United States Trustee, 30

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Booth Street, Room 3009, Reno, NV 89509 (Attn: Cameron Gulden); (c) counsel to the Offici 2 Committee of Unsecured Creditors, Pachulski Stang Ziehl & Jones LLP, 150 California Street, 15t 3 Floor, San Francisco, CA 94111 (Attn: Debra Grassgreen); (d) Counsel to the Ad Hoc LL 4 Members Committee, Sklar Kirsh, LLP, 1880 Century Park East, Suite 300, Los Angeles, CA 90065 (Attn: Robbin L. Itkin); (e) Counsel to the Ad Hoc DOT Noteholders Committee, BakerHostetle6 600 Montgomery Street, Suite 3100, San Francisco, CA 94111 (Attn: Cecily A. Dumas); and (f) a7 other parties in interest that have filed requests for notice pursuant to Bankruptcy Rule 2002 in th 8 Debtors’ chapter 11 cases. 9 5. In accordance with Bankruptcy Rule 3017(a), requests for copies of the Disclosur10 Statement, the Plan, or the Motion by parties in interest may be made in writing to counsel for th11 Committee or via email at hphan@pszjlaw.com. Copies of the Disclosure Statement and the Pla12 (along with exhibits to each as they are filed with the Bankruptcy Court) and the Motion ar13 available for review, at no charge, at www.donlinrecano.com/PFI. 14 15 Dated: March 30,April [•], 2021 SHEPPARD, MULLIN, RICHTER & HAMPTON LLP16 17 By: /s/ Ori Katz Ori Katz 18 J.Barrett Marum 19 Matt Klinger Attorneys for the Debtors 20 Dated: March 30,April [•], 2021 PACHULSKI STANG ZIEHL 21 JONES LLP 22 23 By: /s/ Debra Grassgreen Debra Grassgreen 24 John D. Fiero Cia H. Mackle 25 26 Attorneys for the Official Committee of Unsecure Creditors 27 28

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EXHIBIT G-1 Investor Cover Letter

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IN RE PROFESSIONAL FINANCIAL INVESTOR, INC. AND AFFILIATES DATE: April [•], 2021 TO: Holders of DOT Noteholder Claims - Class 4 Holders of Non-DOT Investor Claims - Class 5 Holders of TIC Claims – Class 6 FROM: Professional Investors, Inc. and its affiliated debtors (the “Debtors”)and the Official Committee of Unsecured Creditors (the “UCC”)RE: SOLICITATION OF CHAPTER 11 PLAN AND DISCLOSURE STATEMENTThe Debtors and UCC are pleased to propose the Amended Joint Chapter 11 Plan ofProfessional Financial Investors, Inc. and its Affiliated Debtors Proposed by the Debtors andOfficial Committee of Unsecured Creditors and Supported by the Ad Hoc LLC MembersCommittee and the Ad Hoc DOT Noteholders Committee (the “Plan”),2 for which your vote isbeing solicited. Why You Are Receiving This Solicitation Package. You are receiving this Memorandum and accompanying materials because, as of April8,15, 2021 (the “Voting Record Date”), you are the Holder of a DOT Noteholder Claim, aNon-DOT Investor Claim, and/or a TIC Claim against the Debtors and are therefore entitled tovote on the Plan. What You Are Receiving. The materials enclosed (the “Solicitation Package”) with this Memorandum are beingprovided to enable you to vote on the Plan. YOU DO NOT NEED TO FILL OUT A CLAIMFORM AT THIS TIME unless you are a TIC Holder who is not making the TIC InvestorTreatment Election. The Solicitation Package consists of: g. Plan Proponents’ Plan Summary; h. Support Letters from Ad Hoc Committees; i. Personalized Ballot(s) with instructions regarding how to complete theBallot; j. Pre-addressed, return envelope to return your Claim and Ballot;k. Tabulation Rules; and l. Notice of dates and deadlines. The following additional materials are available to view online athttps://www.donlinrecano.com/Clients/pfi/PlanOfReorg: 2 All capitalized terms not defined herein shall have the meaning ascribed to such terms in the Plan.

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a. the Amended Disclosure Statement for theAmendedJoint Chapter 11 Planof Professional Financial Investors, Inc. and its Affiliated DebtorsProposed by the Debtors and Official Committee of Unsecured Creditorsand Supported by the Ad Hoc LLC Members Committee and the Ad HocDOT Noteholders Committee (the “Disclosure Statement”) and theexhibits thereto; and b. the Plan (as an exhibit to the Disclosure Statement). If your Solicitation Package does not contain all of the above documents, or you would like papercopies of the Disclosure Statement and Plan, please contact the Voting Agent at: pfiinfo@donlinrecano.com or 1-877-283-0316. What Actions You Need To Take. 1. Locate and complete your Ballot(s) included within this Solicitation Package. NOTE: YOU MAY HAVE RECEIVED MORE THAN ONE BALLOT IN THIS SOLICITATION PACKAGE, OR MAY HAVE RECEIVED MORE THAN ONE SOLICITATION PACKAGE. PLEASE SUBMIT ALL OF THEM, WHETHER ELECTRONICALLY OR BY MAIL. 2. Please submit a Ballot with your vote by one of the following methods so that itis actually received by the Voting Agent by no later than the Voting Deadline of4:00 p.m. (Pacific Time) on May 13, 2021: If Submitting Your Vote Through the If by First Class Mail: E-Balloting Portal: Professional Financial Investors, Inc., et al., Donlin Recano will accept Ballots if c/o Donlin, Recano & Co., Inc. properly completed through the P.O. Box 199043 E-Balloting Portal. To submit your Blythebourne Station, Brooklyn, NY 11219Ballot via the E-Balloting Portal, [insert] Unique E-Ballot A pre-addressed return envelope has been ID#:_________________________ enclosed for your convenience. If by Overnight Courier or Hand Delivery: Professional Financial Investors, Inc., et al., DO NOT SUBMIT YOUR BALLOT TO c/o Donlin, Recano & Co., Inc. THE BANKRUPTCY COURT 6201 15th Avenue Brooklyn, NY 11219 A pre-addressed return envelope has been enclosed for your convenience.

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What Actions You Need To Take. The Plan Summary and Disclosure Statement provide a comprehensive description of theclassification and treatment of your claim(s) under the Plan. You should review these documentsin their entirety before you vote. You may wish to seek legal advice concerning the terms and conditions of the Plan andthe classification and treatment of your claim under the Plan. The Court has fixed the following deadlines relating to voting on the Plan: ►Deadline by which Ballots must be received by the Voting Agent: May 13, 2021 at 4:00 p.m. Pacific Time ►Objection Deadline for the Plan: May 13, 2021 at 4:00 p.m. Pacific Time►Confirmation Hearing: May 27, 2021 at [] Pacific Time Recommendation The Debtors and UCC who have proposed the Plan, and the Ad Hoc Committees who supportthe Plan, believe that the Plan offers you the best recovery on your Claim. Thus, these partiesstrongly recommend that you vote in favor of the Plan. More Information or Help Michael Goldberg, the Debtors’ independent director, and the attorneys for the UCC willparticipate in all-investor calls to discuss the contents of this Solicitation Package and logistics ofvoting on the Plan. If you have questions about the Plan or voting process, we encourage you tojoin these calls. If you have questions about submitting your ballot or obtaining forms, please contact the VotingAgent at: pfiinfo@donlinrecano.com or 1-877-283-0316. Any further questions should bedirected to counsel for the Committee, Pachulski Stang Ziehl & Jones LLP, Attn: Cia H. Mackleat cmackle@pszjlaw.com or (310) 772-2328.

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EXHIBIT G-2 Non-Investor Cover Letter

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IN RE PROFESSIONAL FINANCIAL INVESTOR, INC. AND AFFILIATES DATE: April [•], 2021 TO: Holders of Non-Investor First-Priority Lender Claims - Class 1Holders of Other Unsecured Claims - Class 7 FROM: Professional Investors, Inc. and its affiliated debtors (the “Debtors”)and the Official Committee of Unsecured Creditors (the “UCC”)RE: SOLICITATION OF CHAPTER 11 PLAN AND DISCLOSURE STATEMENTThe Debtors and UCC are pleased to propose the AmendedJoint Chapter 11 Plan ofProfessional Financial Investors, Inc. and its Affiliated Debtors Proposed by the Debtors andOfficial Committee of Unsecured Creditors and Supported by the Ad Hoc LLC MembersCommittee and the Ad Hoc DOT Noteholders Committee (the “Plan”),3 for which your vote isbeing solicited. What You Are Receiving. The materials enclosed (the “Solicitation Package”) with this Memorandum are beingprovided to enable you to vote on the Plan. The Solicitation Package consists of: a. Plan Proponents’ Plan Summary; b. Support Letters from Ad Hoc Committees; c. Ballot(s) with instructions regarding how to complete the Ballot;d. Pre-addressed, return envelope to return your Claim and Ballot;e. Tabulation Rules; and f. Notice of dates and deadlines. The following additional materials are available to view online athttps://www.donlinrecano.com/Clients/pfi/PlanOfReorg: c. the Amended Disclosure Statement for theAmendedJoint Chapter 11 Planof Professional Financial Investors, Inc. and its Affiliated DebtorsProposed by the Debtors and Official Committee of Unsecured Creditorsand Supported by the Ad Hoc LLC Members Committee and the Ad HocDOT Noteholders Committee (the “Disclosure Statement”) and theexhibits thereto; and d. the Plan (as an exhibit to the Disclosure Statement). 3 All capitalized terms not defined herein shall have the meaning ascribed to such terms in the Plan.

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If your Solicitation Package does not contain all of the above documents, or you would like papercopies of the Disclosure Statement and Plan, please contact the Voting Agent at: pfiinfo@donlinrecano.com or 1-877-283-0316. What Actions You Need To Take. 1. Locate and complete your Ballot(s) included within this Solicitation Package. 2. Please submit a Ballot with your vote by one of the following methods so that itis actually received by the Voting Agent by no later than the Voting Deadline of4:00 p.m. (Pacific Time) on May 13, 2021: If Submitting Your Vote Through the If by First Class Mail: E-Balloting Portal: Professional Financial Investors, Inc., et al., Donlin Recano will accept Ballots if c/o Donlin, Recano & Co., Inc. properly completed through the P.O. Box 199043 E-Balloting Portal. To submit your Blythebourne Station, Brooklyn, NY 11219Ballot via the E-Balloting Portal, [insert] Unique E-Ballot A pre-addressed return envelope has been ID#:_________________________ enclosed for your convenience. If by Overnight Courier or Hand Delivery: Professional Financial Investors, Inc., et al., DO NOT SUBMIT YOUR BALLOT TO c/o Donlin, Recano & Co., Inc. THE BANKRUPTCY COURT 6201 15th Avenue Brooklyn, NY 11219 A pre-addressed return envelope has been enclosed for your convenience. What Actions You Need To Take. The Plan Summary and Disclosure Statement provide a comprehensive description of theclassification and treatment of your claim(s) under the Plan. You should review these documentsin their entirety before you vote. You may wish to seek legal advice concerning the terms and conditions of the Plan andthe classification and treatment of your claim under the Plan. The Court has fixed the following deadlines relating to voting on the Plan: ►Deadline by which Ballots must be received by the Voting Agent:

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May 13, 2021 at 4:00 p.m. Pacific Time ►Objection Deadline for the Plan: May 13, 2021 at 4:00 p.m. Pacific Time►Confirmation Hearing: May 27, 2021 at [] Pacific Time Recommendation The Debtors and UCC who have proposed the Plan, and the Ad Hoc Committees who supportthe Plan, believe that the Plan offers you the best recovery on your Claim. Thus, these partiesstrongly recommend that you vote in favor of the Plan. More Information or Help If you have questions about submitting your ballot or obtaining forms, please contact the VotingAgent at: pfiinfo@donlinrecano.com or 1-877-283-0316. Any further questions should bedirected to counsel for the Committee, Pachulski Stang Ziehl & Jones LLP, Attn: Cia H. Mackleat cmackle@pszjlaw.com or (310) 772-2328.

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EXHIBIT H Committee Plan Support Letters [No Changes]

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EXHIBIT I Proposed Order

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Ori Katz (CA Bar No. 209561) Debra I. Grassgreen (CA Bar No. 169978)J.Barrett Marum (CA Bar No. 228628) John D. Fiero (CA Bar No. 136557) 2 Matt Klinger (CA Bar No. 307362) Cia H. Mackle (admitted pro hac vice)SHEPPARD, MULLIN, RICHTER & HAMPTON PACHULSKI STANG ZIEHL & JONES LL 3 LLP Four Embarcadero Center, 17th Floor 150 California Street, 15th Floor 4 San Francisco, CA 94111-4019 San Francisco, CA 94111 Telephone: (415) 434.9100 Telephone: (415) 263.7000 5 Facsimile: (415) 434.3947 Facsimile: (415) 263.7010 Email: okatz@sheppardmullin.com E-mail: dgrassgreen@pszjlaw.com6 bmarum@sheppardmullin.com jfiero@pszjlaw.com mklinger@sheppardmullin.com cmackle@pszjlaw.com 7 Counsel to the Official Committee of Counsel to Debtors and Debtors in Possession Unsecured Creditors8 9 UNITED STATES BANKRUPTCY COURT 10 NORTHERN DISTRICT OF CALIFORNIA 11 SAN FRANCISCO DIVISION 12 Chapter 11 In re: 13 Case No. 20-30604 PROFESSIONAL FINANCIAL 14 INVESTORS, INC., et al.,1 (Jointly Administered) 15 ORDER (I) APPROVING THE PLAN SUMMARY Debtors. AND CONDITIONALLY APPROVING 16 DISCLOSURE STATEMENT; (II) SCHEDULING COMBINED HEARING ON APPROVAL OF 17 DISCLOSURE STATEMENT AND CONFIRMATION OF PLAN AND APPROVING 18 THE FORM AND MANNER OF SERVICE OF THE COMBINED HEARING NOTICE; (III) 19 ESTABLISHING NON-INVESTOR BAR DATES FOR FILING PROOFS OF CLAIM; (IV) 20 APPROVING FORM AND MANNER OF NOTICE OF NON-INVESTOR BAR DATES; (V) 21 ESTABLISHING PROCEDURES FOR THE SOLICITATION AND TABULATION OF VOTES 22 ON PLAN; AND (VI) APPROVING RELATED MATTERS 23 Hearing Date: 24 Date: April 15, 2021 Time: 11:00 a.m. (Pacific Time) 25 Place: 450 Golden Gate Avenue, 16th Floor San Francisco, CA 94102 26 Judge: Honorable Hannah Blumenstiel 27 1 A complete list of the Debtors and their respective chapter 11 case numbers may be found at 28 www.donlinrecano.com/pfi. The federal tax identification numbers of each of the Debtors is also available

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This matter coming before the Court on the Motion for an Order (I) Approving the Pla 2 Summary and Conditionally Approving Disclosure Statement; (II) Scheduling Combined Hearing o 3 Approval of Disclosure Statement and Confirmation of Plan and Approving the Form and Manner 4 Service of the Combined Hearing Notice; (III) Establishing Non-Investor Bar Dates for Filin 5 Proofs of Claim; (IV) Approving Form and Manner of Notice of Non-Investor Bar Dates; ( 6 Establishing Procedures for the Solicitation and Tabulation of Votes on Plan; and (VI) Approvin 7 Related Matters (the “Motion”)2 [Docket No. 513], jointly filed by the above-captioned debtors an8 debtors-in-possession (the “Debtors”) and Official Committee of Unsecured Creditors (th9 “Committee”); the Court having reviewed the Motion, the timely-filed objections thereto (th10 “Objections”), and having heard the statements of counsel regarding the relief requested in th11 Motion at a hearing before the Court (the “Hearing”); and the Court having determined that the leg12 and factual bases set forth in the Motion and at the Hearing establish just cause for the relief grante13 herein; 14 IT IS HEREBY ORDERED THAT: 15 1. The Motion is GRANTED. 16 2. The Objections are overruled, without prejudice to renewal in connection with fin17 approval of the Disclosure Statement. 18 3. 2. The Plan Summary, Cover Letter, AD Hoc LLC Members Committee Plan Suppo19 Letter, and Ad Hoc DOT Noteholders Committee Plan Support Letter, asto the extent modified b20 Docket No. 560 (the “Modified Exhibit Notice”) and on the record, are approved as part of th21 Solicitation Package. 22 4. 3. The Disclosure Statement is conditionally approved as containing adequat23 information within the meaning of section 1125 of the Bankruptcy Code. Any objections to th24 adequacy of the information contained in the Disclosure Statement are expressly reserved f25 consideration at the Combined Hearing (defined below). 26 5. 4. The following Non-Investor bar dates are set: 27 28 2

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a. May 13, 2021 (the “Non-Investor General Bar Date”) as the last day for thfiling of Proofs of Claim in this Case for all non-Investor claims (except as s2 forth below) against the Debtors arising prior to the time the petition in thapplicable case was filed (the “Petition Date”), as set forth in the chart below;3 4 b. May 13, 2021 (the “PFI/PISF Governmental Claims Bar Date”) as the la5 day for all governmental units, as defined in section 101(27) of thBankruptcy Code, to file Proofs of Claim against Debtors Profession 6 Financial Investors, Inc., and Professional Investors Security Fund, Inc. arisinbefore the applicable Petition Date, as set forth in the chart below; and7 8 c. 180 days after the date of the entry of the Order for Relief (the “LLC/LGovernmental Claims Bar Dates”) as the last day for all governmental unit9 as defined in section 101(27) of the Bankruptcy Code, to file Proofs of Claiagainst all remaining Debtors arising before the applicable Petition Dat10 which the Debtors have calculated as follows: 11 i. June 9, 2021 as to claims against those certain LLC/LP Debtors f12 which Orders for Relief were entered on December 11, 2020; 13 14 ii. August 16, 2021 as to claims against those certain LLC/LP Debtorfor which Orders for Relief were entered on February 17, 2021;15 16 iii. August 17, 2021 as the Governmental Claims Bar Date as to claimagainst those certain LLC/LP Debtors for which Orders for Relief wer17 entered on February 18, 2021. 18 6. 5. The following persons and other entities whose claims otherwise would be subje19 to the Non-Investor Bar Dates are excepted from the provisions herein and are not required to fil20 proofs of claim against the Debtors on or before the Non-Investor Bar Dates: 21 a. Claims of Investors; 22 b. Claims of Holders of TIC Interests who make the TIC Investor Treatme23 Election; 24 c. Claims already duly filed in these cases with the Clerk of this Court;25 d. Claims listed in the Debtor’s Schedules, if the claimant does not dispute thamount or manner in which its claim is listed in the Schedules or the nature o26 the claim and if such claim is not designated therein as “contingent,“unliquidated,”“disputed” or “unknown;” 27 e. Claims arising on or after the Petition Date; 28

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f. Claims of professionals retained by the Debtors or the Committees who asseadministrative claims for fees and expenses subject to the Court’s approv2 pursuant to sections 328, 330, and 331 of the Bankruptcy Code;3 g. Claims by any person or entity whose claim has been paid by the Debtor has been otherwise satisfied; 4 h. Claims for cure payments if the Debtors assume a contract pursuant to 1 5 U.S.C. section 365; and 6 i. Any claim for fees relating to this Case under 28 U.S.C. § 1930;7 7. 6. Any proof of Claim required to be filed pursuant to the provisions of this Order annot filed on or before the applicable Non-Investor Bar Date shall be forever barred from assertio8 against the Debtors, the Debtors’ estates, and any successor to the foregoing under a confirmed pla9 10 of reorganization and/or liquidation or structured dismissal or otherwise (a “Confirmed Plan”), anthe holder of such Claim shall be forever barred and prohibited from participating in any distributio11 in these cases including, but not limited to, any distribution under a Confirmed Plan and in 12 subsequent chapter 7 liquidation of the Debtors’ estates. 13 14 8. 7. The Non-Investor Notice of Bar Date is approved in all respects. In accordanc15 with Bankruptcy Rule 2002, the Debtors are hereby authorized to cause the Non-Investor Notice 16 __ Bar Date to be given by first class mail, postage prepaid, on or before April 1522, 2021, upon 17 all known creditors, including those entities set forth in the section D.b. of the Motion, except th18 with respect to parties to contracts other than known Investors, counterparties within four ye19 prior to the Petition Date shall be served; (ii) all parties listed on the Debtors’ master maili20 matrix; (iii) all entities having filed a notice of appearance and demand for papers; and (iv) t21 Office of the United States Trustee, except that the Non-Investor Notice of Bar Date shall 22 not be sent to known Investors. For any non-Investor claimants entitled to vote on the Plan, t23 Non-Investor Notice of Bar Date, together with the standard form Proof of Claim may (but are n24 required to) be sent in the Solicitation Package. 25 26 9. 8. The Combined Hearing Notice and Notice of Non-Voting Status are approved in arespects. 27 10. 9. The forms of Ballot are approved in all respects. 28

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11. 10. April 8,15, 2021 is established as the Voting Record Date for the purposes 2 determining the creditors and equity interest holders entitled to receive the Solicitation Package 3 the Notice of Non-Voting Status and to vote on the Plan. 4 12. 11. The Solicitation Package and Non-Voting Notices shall be sent for distributio5 not later than April 15,22, 2021. 6 13. 12. If multiple Solicitation Packages would otherwise go to the same physic7 address, the Proponents shall be entitled, but not required, to combine the Solicitation Packages int8 a single Solicitation Package with multiple ballots, even if the claimant names are not identical. 9 14. By not later than May 6, 2021, the Proponents shall file a proofs of service of th10 Solicitation Package, Notice Non-Investor Notice of Bar Date, and Non-Voting Notice11 demonstrating compliance with the service requirements hereof. 12 15. 13. Any Plan Supplement must be filed with this Court not later than May 6, 2021. 13 16. 14. Ballots must be received on or before May 13, 2021 at 4:00 p.m. (Pacific Tim14 (“Voting Deadline”) in accordance with the instructions on the applicable Ballot, unless extended b15 the Debtors in writing. 16 17. 15. The Vote Tabulation Rules, attached as Exhibit E to the Motion, as amended b17 the Modified Exhibit Notice and on the record, are approved in all respects. Any Other Rule 30118 Motion (as defined therein) must be filed with the Court, together with proof of service thereof, an19 served upon: (i) the Office of the United States Trustee; (ii) counsel for the Debtors; (iii) counsel f20 the Committee; (iv) counsel for the Ad Hoc Committees; and (v) any party that has requested notic21 pursuant to Bankruptcy Rule 2002 by hand delivery or in a manner as will cause such objection to b22 received by all such parties on or before April 29, 2021 at 4:00 p.m. (Pacific Time). Any objection23 not filed and served as set forth above will not be considered by the Court. Any objection to an Oth24 Rule 3018 Motion must be filed by no later than May 13, 2021. Replies, if any, in support of th25 Other Rule 3018 Motion must be filed no later than May 20, 2021. 26 18. 16. Any such Other Rule 3018 Motion may be resolved by agreement between th27 Proponents, in consultation with the Ad Hoc Committees, and the movant without the requireme28 for further order or approval of the Court.

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19. 17. As to any creditor filing an Other Rule 3018 Motion, such creditor’s Ballot sha2 not be counted unless temporarily allowed by the Court for voting purposes after notice and 3 hearing, prior to the Combined Hearing. Should any Other Rule 3018 Motion be timely filed an4 should the Plan Proponents deem material for purposes of voting and tabulation, the Plan Proponent5 shall file by no later than May 21, 2021 a notice and request for hearing on the Other Rule 201 6 Motion. 7 20. 18. Any objection to an Investor Rule 3018 Motion must be filed by no later than Ma8 20, 2021, and shall be heard at the Combined Hearing. 9 21. 19. Objections to the adequacy of the Disclosure Statement or confirmation of th10 Plan must be in writing, must conform to the Bankruptcy Rules, must set forth the name of th11 objector, the nature and amount of Claims or Interests held or asserted by the objector against th12 Debtors, the basis for the objection and the specific grounds of the objection, and must be filed wit13 the Bankruptcy Court, together with proof of service thereof, and served upon: (i) the Office of th14 United States Trustee; (ii) counsel for the Debtors; (iii) counsel for the Committee; (iv) counsel f15 the Ad Hoc Committees; and (v) any party that has requested notice pursuant to Bankruptcy Rul16 2002 by hand delivery or in a manner as will cause such objection to be received by all such partie17 on or before May 13, 2021 at 4:00 p.m. (Pacific Time). Any objections not filed and served as s18 forth above will not be considered by the Court. 19 22. 20. Any party supporting the Plan Proponent or Ad Hoc Committee may file a repl20 to any objection to confirmation of the Plan or adequacy of the Disclosure Statement by May 221 2021. 22 23. 21. The Plan voting certification shall be filed by May 20, 2021. 23 24. 22. A hearing shall be held before this Court on May 27, 2021 at ___10:00 a. 24 (Pacific Time) or as soon thereafter as counsel can be heard, to consider confirmation of the Pla25 (the “Combined Hearing”) before the Honorable Hannah L. Blumenstiel, United States Bankruptc26 Judge via video or teleconference. 27 28

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25. 23. The Combined Hearing may be adjourned from time to time without furth2 notice to creditors and other parties-in-interest by an announcement of the adjourned date at th 3 Combined Hearing or any adjournment thereof or by an appropriate filing with the Court. 4 26. 24. The relief granted herein shall apply to all Debtors. 5 27. 25. The Debtors are authorized to take or refrain from taking any action necessary 6 appropriate to implement the terms of and the relief granted in this Order without seeking furth7 order of the Court. 8 28. 26. The Debtors are authorized to make non-substantive changes to the Disclosur 9 Statement, Plan, Ballots, Combined Hearing Notice, Notice of Non-Voting Status, Non-Investor B10 Date Notice, and related documents without further order of the Court, including, without limitatio11 changes to correct typographical and grammatical errors and to make conforming changes among th12 aforementioned documents prior to their distribution. 13 29. 27. This Court shall retain jurisdiction over all matters related to or arising from th14 Motion or the interpretation or implementation of this Order. 15 ***** END OF ORDER ***** 16 17 18 19 20 21 22 23 24 25 26 27 28

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Document 1 ID PowerDocs://DOCS_LA/337306/1
Description DOCS_LA-#337306-v1-Modified_Soliciation_Procedures_
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Description DOCS_LA-#337306-v3-Modified_Soliciation_Procedures_
Exhibits
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