EFTA01358785.pdf

(b) In the PR column, enter "PR" if the owner is a public reporting company under Sections 12 or 15(d) of the Exchange Act. (c) Complete each column. FULL LEGAL NAME (Individuals: Last DE/ FE/I Status Date Status Ownership Control PR CRD No. If None: S.S. No. and Date Name, First Name, Middle Name) !Acquired Code Person of Birth, IRS Tax No. or Employer ID Imm/yrty No. GOLDENTREE ASSET MANAGEMENT LLC DE GENERAL PARTNER 04/2000 NA N TANANBAUM, STEVEN, ANDREW I MANAGING PARTNER AND 04/2000 C CHIEF INVESTMENT OFFICER RITHOLZ, BARRY, IAN GENERAL COUNSEL 02/2003 NA TRAVERS, GEORGE, NMN II CHIEF COMPLIANCE . 06/2005 NA OFFICER CHRISTIAN, WILLIAM, DANIEL I CHIEF OPERATING OFFICER 09/2005 NA MATZA, ROBERT, NMN I PRESIDENT 01/2006 NA N NAGGAR, JOSEPH, AU I PORTFOLIO MANAGER 10/2007 A KRUTER, LEE, SPENCER I PORTFOLIO MANAGER 03/2007 A DE CHILLAZ, PIERRE, MARIE I PORTFOLIO MANAGER 01/2014 A SCANLON, NEIL, ANTHONY I CHIEF FINANCIAL OFFICER 01/2016 NA Schedule B Indirect Owners 1. Complete Schedule B only if you are submitting an initial application. Schedule B asks for information about your indirect owners; you must first complete Schedule A, which asks for information about your direct owners. Use Schedule C to amend this information. 2. Indirect Owners. With respect to each owner listed on Schedule A (except individual owners), list below: (a) in the case of an owner that is a corporation, each of its shareholders that beneficially owns, has the right to vote, or has the power to sell or direct the sale of, 25% or more of a class of a voting security of that corporation; For purposes of this Schedule, a person beneficially owns any securities: (i) owned by his/her child, stepchild, grandchild, parent, stepparent, grandparent, spouse, sibling, mother-in-law, father-in-law, son-in-law, daughter-in-law, brother-in-law, or sister-in-law, sharing the same residence; or (ii) that he/she has the right to acquire, within 60 days, through the exercise of any option, warrant, or right to purchase the security. (b) in the case of an owner that is a partnership, all general partners and those limited and special partners that have the right to receive upon dissolution, or have contributed, 25% or more of the partnership's capital; (c) in the case of an owner that is a trust, the trust and each trustee; and (d) in the case of an owner that is a limited liability company ("LLC"), (i) those members that have the right to receive upon dissolution, or have contributed, 25% or more of the LLC's capital, and (ii) if managed by elected managers, all elected managers. 3. Continue up the chain of ownership listing all 25% owners at each level. Once a public reporting company (a company subject to Sections 12 or 15(d) of the Exchange Act) is reached, no further ownership information need be given. 4. In the DE/FE/I column below, enter "DE" if the owner is a domestic entity, "FE" if the owner is an entity incorporated or domiciled in a foreign country, or "I" if the owner is an individual. 5. Complete the Status column by entering the owner's status as partner, trustee, elected manager, shareholder, or member; and for shareholders or members, the class of securities owned (if more than one is issued). 6. Ownership codes are: C - 25% but less than 50% E - 75% or more D - 50% but less than 75% F - Other (general partner, trustee, or elected manager) 7. (a) In the Control Person column, enter "Yes" if the person has control as defined in the Glossary of Terms to Form ADV, and enter "No" if the person does not have control. Note that under this definition, most executive officers and all 25% owners, general partners, elected managers, and trustees are control persons. (b) In the PR column, enter "PR" if the owner is a public reporting company under Sections 12 or 15(d) of the Exchange Act. (c) Complete each column. FULL LEGAL NAME (Individuals: Last DE/FE/IiEntity in Which Status Date Status Ownership Control PR CRD No. If None: S.S. No. and Name, First Name, Middle Name) Interest is Owned Acquired ode Person Date of Birth, IRS Tax No. or MM/YYYY Employer ID No. TANANBAUM, STEVEN, ANDREW GOLDENTREE SOLE 04/2000 E ASSET MANAGING MANAGEMENT LLC MEMBER Schedule D - Miscellaneous You may use the space below to explain a response to an Item or to provide any other information. WITH RESPECT TO THE REGISTRANTS AFFILIATED INVESTMENT ADVISERS LISTED IN SECTION 7.A. OF SCHEDULE D, THE REGISTRANT IS FILING THIS FORM ADV ON BEHALF OF ITSELF AND ITS UNREGISTERED INVESTMENT ADVISERS THAT ARE CONTROLLED BY OR UNDER COMMON CONTROL WITH REGISTRANT, EACH OF WHOM IS NOTED AS A RELYING ADVISER, AND COLLECTIVELY CONDUCT A SINGLE INVESTMENT ADVISORY BUSINESS. FROM TIME TO TIME THE REGISTRANT MAY DETERMINE IT APPROPRIATE TO HOLD CERTAIN ASSETS IN AN INTERMEDIATE OR FEEDER FUND RATHER THAN IN THE MASTER FUND. THEREFORE, THE REGISTRANT HAS LISTED THE APPLICABLE INTERMEDIATE FUNDS WITHIN THE FUNDS' SCHEDULES COMPLETED IN RESPONSE TO SECTION 7.B.(1). WITH REGARDS TO THE MINIMUM INVESTMENT COMMITMENT AMOUNT, PLEASE NOTE THAT THE REGISTRANT, IN ITS DISCRETION, WILL ACCEPT INVESTMENT AMOUNTS THAT ARE LESS THAN THE STATED MINIMUM, AS LEGALLY PERMITTED. CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0046727 CONFIDENTIAL SDNY_GM_00192911 EFTA01358785