EFTA01592156.pdf

DataSet-10 4 pages 552 words document
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ha rm on le nimisom Harmonic Fund Services September 18, 2007 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 ) and Leslie Shoemaker Thank you for your assistance with this matter. Yours truly, Highbridge Capital Corporation 10/04/2007 11:27AM (GMT-05:00) harmonic 'ormitaso Harmonic Fund 5.0rViCOS September 18, 2007 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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880c9c58a0e212c732e708fd7d78a1a0f5b0310d0e6218fecc526fc37d46d6e8
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EFTA01592156
Dataset
DataSet-10
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document
Pages
4

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