Case File
efta-01592156DOJ Data Set 10OtherEFTA01592156
Date
Unknown
Source
DOJ Data Set 10
Reference
efta-01592156
Pages
4
Persons
0
Integrity
Extracted Text (OCR)
Text extracted via OCR from the original document. May contain errors from the scanning process.
September 18, 2007
ha rm on le nimisom
Harmonic Fund Services
PO Box 94.0 GT
Grand Cayman
Cayman !Glands
British West Indies
F
Financial Trust Company, Inc.
Re: Investment in Highbridge Capital Corporation
Class A (Restricted) - 232.9855 Shares as of Jul-31-2007
Dear Investor,
You have previously provided us with information based upon which we
concluded that you should be treated
as a Restricted person who is ineligible under NASD Rule 2790 of the
Financial Industry Regulatory Authority
(formerly the NASD, Inc.) to share in profits and losses derived from
investments by the Fund in 'New Issue
Securities' (generally speaking initial public offerings of equity
securities).
Rule 2790 requires that we ask you annually whether there has been any
change in your status as a Restricted
or Non-Restricted person. Attached is a copy of our standard questionnaire
to assist in determining whether a
person should be deemed Restricted or Non-Restricted. If your status has
changed, please review the
questionnaire and send a completed copy to the Fund's administrator,
Harmonic Fund Services ("Harmonic").
If your status has not changed, please complete the confirmation below and
fax it to Harmonic.
Please fax your replies to
by no later than October 12,
2007,
This letter certifies that the above referenced investment has not changed
its status under Rule 2790.
EFTA01592156
1,<1 ke kv_s
Signature of Authorized Person Name Of Authorized Person (please print)
Please direct all questions or concerns in response to this letter to
Barbara Donohue or Leslie Shoemaker of
Highbridge Capital Management, LLC. Their contact information is: Barbara
Donohue
Thank you for your assistance with this matter.
Yours truly,
Highbridge Capital Corporation
September 18, 2007
) and Leslie Shoemaker
10/04/2007 11:27AM (GMT-05:00)
harmonic 'ormitaso
Harmonic Fund 5.0rViCOS
PD Box g40 GT
Grand Cayrrian
Cayman. i*ionds
British. west Indies
TF
The Haze Trust
EFTA01592157
Re: Investment in Highbridge Capital Corporation
Glass A (Non-Restricted) - 412.6948 Shares as of Jul-31-2007
Dear investor,
You have previously provided us with information based upon which we
concluded that you should be treated
as an Unrestricted person who is eligible under NASD Rule 2790 of the
Financial Industry Regulatory Authority
(formerly the NASD, Inc.) to share in profits and losses derived from
investments by the Fund in 'New Issue
Securities' (generally speaking initial public offerings of equity
securities).
Rule 2790 requires that we ask you annually whether there has been any
change in your status as a Restricted
or Non-Restricted person. Attached is a copy of our standard questionnaire
to assist in determining whether a
person should be deemed Restricted or Non-Restricted. If your status has
changed, please review the
questionnaire and send a completed copy to the Fund's administrator,
Harmonic Fund Services ("Harmonic").
If your status has not changed, please complete the confirmation below and
fax it to Harmonic.
Please fax your replies to
by no later than October 12,
2007.
This letter certifies that the above referenced investment has not changed
its status under Rule 2790.
1 T;1414 -<-
Signature of Au son
Name Of Atithorized Person (please print)
Please direct all questions or concerns in response to this letter to
Barbara Donohue or Leslie Shoemaker of
EFTA01592158
Highbridge Capital Management, LLC. Their contact information is: Barbara
Donohue
and Leslie Shoemaker
Thank you for your assistance with this matter.
Yours truly,
Highbridge Capital Corporation
10/04/2007 11:27AM (GMT-05:00)
EFTA01592159
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Phone
232.9855Phone
412.6948Wire Ref
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