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📄 Extracted Text (552 words)
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
ℹ️ Document Details
SHA-256
880c9c58a0e212c732e708fd7d78a1a0f5b0310d0e6218fecc526fc37d46d6e8
Bates Number
EFTA01592156
Dataset
DataSet-10
Type
document
Pages
4
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