IAPD - Identifying Information Section
`
`Page 1 of 3
`
`UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION
`
`Primary Business Name: HAYMAN CAPITAL MANAGEMENT LP IARD/CRD Number: 146896
`
`Rev. 10/2012
`
`FORM ADV
`
`0MB: 3235-0049
`
`WARNING: Complete this form truthfully. False statements or omissions may result in denial of
`your application, revocation of your registration, or criminal prosecution. You must
`keep this form updated by filing periodic amendments. See Form ADV General
`Instruction 4.
`
`Item 1 Identifying Information
`
`Responses to this Item tell us who you are, where you are doing business, and how we can contact
`you.
`
`A. Your full legal name (if you are a sole proprietor, your last, first, and middle names):
`HAYMAN CAPITAL MANAGEMENT LP
`
`Name under which you primarily conduct your advisory business, if different from Item 1.A.:
`HAYMAN CAPITAL MANAGEMENT LP
`
`List on Section 1.8. of Schedule D any additional names under which you conduct your advisory
`business.
`
`If this filing is reporting a change in your legal name (Item 1.A.) or primary business name
`(Item 1.B.), enter the new name and specify whether the name change is of
`1‘3 your legal name or 1‘3 your primary business name:
`
`(1) If you are registered with the SEC as an investment adviser, your SEC file number: 801—
`69019
`
`(2) If you report to the SEC as an exempt reporting adviser, your SEC file number:
`
`If you have a number ("CRD Number") assigned by the FINRA's CRD system or by the IARD
`system, your CRD number: 146896
`
`If your firm does not have a CRD number, skip this Item 1.E. Do not provide the CRD number of
`one of your officers, employees, or affiliates.
`
`
`
`Principal Office and Place of Business
`
`(1)Address (do not use a P.O. Box):
`Number and Street 1:
`2101 CEDAR SPRINGS ROAD
`
`City:
`DALLAS
`
`State:
`
`Texas
`
`Number and Street 2:
`SUITE 1400
`
`Country:
`
`UNITED STATES
`
`ZIP+4/Posta| Code:
`75201
`
`If this address is a private residence, check this box: 1‘3
`
`List on Section 1.F. of Schedule D any office, other than your principal office and place of
`business, at which you conduct investment advisory business. If you are applying for
`registration, or are registered, with one or more state securities authorities, you must ”st 3"
`of your offices in the state or states to which you are applying for registration NPS EX- 2007
`CFAD V. NPS
`IPR2015-00990
`
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`Page 1
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`NPS EX. 2007
`CFAD v. NPS
`IPR2015-00990
`
`

`

`IAPD - Identifying Information Section
`
`Page 1 of 3
`
`UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION
`
`Primary Business Name: HAYMAN CAPITAL MANAGEMENT LP IARD/CRD Number: 146896
`
`Rev. 10/2012
`
`FORM ADV
`
`0MB: 3235-0049
`
`WARNING: Complete this form truthfully. False statements or omissions may result in denial of
`your application, revocation of your registration, or criminal prosecution. You must
`keep this form updated by filing periodic amendments. See Form ADV General
`Instruction 4.
`
`Item 1 Identifying Information
`
`Responses to this Item tell us who you are, where you are doing business, and how we can contact
`you.
`
`A. Your full legal name (if you are a sole proprietor, your last, first, and middle names):
`HAYMAN CAPITAL MANAGEMENT LP
`
`Name under which you primarily conduct your advisory business, if different from Item 1.A.:
`HAYMAN CAPITAL MANAGEMENT LP
`
`List on Section 1.8. of Schedule D any additional names under which you conduct your advisory
`business.
`
`
`
`If this filing is reporting a change in your legal name (Item 1.A.) or primary business name
`(Item 1.B.), enter the new name and specify whether the name change is of
`1‘3 your legal name or 1‘3 your primary business name:
`
`(1) If you are registered with the SEC as an investment adviser, your SEC file number: 801—
`69019
`
`(2) If you report to the SEC as an exempt reporting adviser, your SEC file number:
`
`If you have a number ("CRD Number") assigned by the FINRA's CRD system or by the IARD
`system, your CRD number: 146896
`
`If your firm does not have a CRD number, skip this Item 1.E. Do not provide the CRD number of
`one of your officers, employees, or affiliates.
`
`Principal Office and Place of Business
`
`(1)Address (do not use a P.O. Box):
`Number and Street 1:
`2101 CEDAR SPRINGS ROAD
`
`City:
`DALLAS
`
`State:
`
`Texas
`
`Number and Street 2:
`SUITE 1400
`
`Country:
`
`UNITED STATES
`
`ZIP+4/Posta| Code:
`75201
`
`If this address is a private residence, check this box: 1‘3
`
`List on Section 1.F. of Schedule D any office, other than your principal office and place of
`business, at which you conduct investment advisory business. If you are applying for
`registration, or are registered, with one or more state securities authorities, you must list all
`of your offices in the state or states to which you are applying for registration or with whom
`
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`

`

`IAPD - Identifying Information Section
`
`Page 2 of 3
`
`you are registered. If you are applying for SEC registration, if you are registered only with
`the SEC, or if you are reporting to the SEC as an exempt reporting adviser, list the largest
`five offices in terms of numbers of employees.
`
`(2)Days of week that you normally conduct business at your principal office and place of
`business:
`.Monday ~ Friday (7' Other:
`Normal business hours at this location:
`7:30 AM. — 5:00 PM.
`
`(3)Telephone number at this location:
`214—347—8050
`
`(4)Facsimile number at this location:
`214—347—8051
`
`G. Mailing address, if different from your principal office and place of business address:
`
`Number and Street 1:
`
`Number and Street 2:
`
`City:
`
`State:
`
`Country:
`
`ZIP+4/Postal Code:
`
`If this address is a private residence, check this box: 1:?
`
`H.
`
`If you are a sole proprietor, state your full residence address, if different from your principal
`office and place of business address in Item 1.F.:
`Number and Street 1:
`Number and Street 2:
`
`City:
`
`State:
`
`Country:
`
`ZIP+4/Postal Code:
`
`I.
`
`Do you have one or more websites?
`
`Yes No
`
`if} C
`
`If "yes," list all website addresses on Section 1.I. of Schedule D. If a website address serves as
`a portal through which to access other information you have published on the web, you may list
`the portal without listing addresses for all of the other information. Some advisers may need to
`list more than one portal address. Do not provide individual electronic mail (e-mail) addresses in
`response to this Item.
`
`J.
`
`Provide the name and contact information of your Chief Compliance Officer: If you are an
`exempt reporting adviser, you must provide the contact information for your Chief Compliance
`Officer, if you have one. If not, you must complete Item 1.K. below.
`
`Name:
`
`Telephone number:
`Number and Street 1:
`
`Other titles, if any:
`
`Facsimile number:
`Number and Street 2:
`
`City:
`
`State:
`
`Country:
`
`ZIP+4/Postal Code:
`
`Electronic mail (e—mail) address, if Chief Compliance Officer has one:
`
`K. Additional Regulatory Contact Person: If a person other than the Chief Compliance Officer is
`authorized to receive information and respond to questions about this Form ADV, you may
`provide that information here.
`
`Name:
`
`Titles:
`
`Telephone number:
`
`Facsimile number:
`
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`

`

`IAPD - Identifying Information Section
`
`Page 3 of 3
`
`Number and Street 1:
`
`Number and Street 2:
`
`City:
`
`State:
`
`Country:
`
`ZIP+4/ Postal Code:
`
`Electronic mail (e-mail) address, if contact person has one:
`
`L. Do you maintain some or all of the books and records you are required to keep under
`Section 204 of the Advisers Act, or similar state law, somewhere other than your
`principal office and place of business?
`
`Yes No
`
`"5
`
`(-7,
`'
`
`If "yes," complete Section 1.L. of Schedule D.
`
`Are you registered with a foreign financial regulatory authority?
`
`development. You may not have a legal entity identifier.
`
`Answer "no" if you are not registered with a foreign financial regulatory authority, even if you
`have an affiliate that is registered with a foreign financial regulatory authority. If "yes,"
`complete Section 1.M. of Schedule D.
`
`Are you a public reporting company under Sections 12 or 15(d) of the Securities
`Exchange Act of 1934?
`
`If "yes," provide your CIK number (Central Index Key number that the SEC assigns to each
`public reporting company):
`
`Did you have $1 billion or more in assets on the last day of your most recent fiscal
`year?
`
`Provide your Legal Entity Identifier if you have one:
`EHWNDIZGSWRMBO4JSL16
`
`A legal entity identifier is a unique number that companies use to identify each other in the
`financial marketplace. In the first half of 2011, the legal entity identifier standard was still in
`
`Next
`
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`

`

`IAPD - Item 2 SEC Registration/Reporting
`
`Page 1 of 3
`
`UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION
`
`FORM ADV
`
`0MB: 3235-0049
`
`Item 2 SEC Re- istration Re-ortin-
`
`Responses to this Item help us (and you) determine whether you are eligible to register with the
`SEC. Complete this Item 2.A. only if you are applying for SEC registration or submitting an annual
`updating amendment to your SEC registration.
`
`A. To register (or remain registered) with the SEC, you must check at least one of the Items 2.A.
`(1) through 2.A.(12), below. If you are submitting an annual updating amendment to your SEC
`registration and you are no longer eligible to register with the SEC, check Item 2.A.(13). Part 1A
`Instruction 2 provides information to help you determine whether you may affirmatively
`respond to each of these items.
`
`
`
`You (the adviser):
`
`are a large advisory firm that either:
`
`(a) has regulatory assets under management of $100 million (in U.S. dollars) or
`more, or
`
`(b) has regulatory assets under management of $90 million (in U.S. dollars) or
`more at the time of filing its most recent annual updating amendment and is
`registered with the SEC;
`
`are a mid-sized advisory firm that has regulatory assets under management of
`$25 million (in U.S. dollars) or more but less than $100 million (in U.S. dollars) and
`you are either:
`
`(a) not required to be registered as an adviser with the state securities authority
`of the state where you maintain your principal office and place of business, or
`
`(b) not subject to examination by the state securities authority of the state where
`you maintain your principal office and place of business;
`
`Click HERE for a list of states in which an investment adviser, if registered,
`would not be subject to examination by the state securities authority.
`
`have your principal office and place of business in Wyoming (which does not
`regulate advisers);
`
`have your principal office and place of business outside the United States;
`
`are an investment adviser (or sub-adviser) to an investment company
`registered under the Investment Company Act of 1940;
`
`are an investment adviser to a company which has elected to be a business
`development company pursuant to section 54 of the Investment Company Act of
`1940 and has not withdrawn the election, and you have at least $25 million of
`regulatory assets under management;
`
`are a pension consultant with respect to assets of plans having an aggregate
`value of at least $200,000,000 that qualifies for the exemption in rule 203A—2(a);
`
`are a related adviser under rule 203A—2(b) that controls, is controlled by, or is
`under common control with, an investment adviser that is registered with the SEC,
`and your principal office and place of business is the same as the registered
`
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`

`

`IAPD - Item 2 SEC Registration/Reporting
`
`Page 2 of 3
`
`adviser;
`
`If you check this box, complete Section 2.A.(8) of Schedule D.
`
`are a newly formed adviser relying on rule 203A—2(c) because you expect to be
`eligible for SEC registration within 120 days;
`
`If you check this box, complete Section 2.A.(9) of Schedule D.
`
`are a multi-state adviser that is required to register in 15 or more states and is
`relying on rule 203A-2(d);
`
`If you check this box, complete Section 2.A.(10) of Schedule D.
`
`are an Internet adviser relying on rule 203A—2(e);
`
`have received an SEC order exempting you from the prohibition against
`registration with the SEC;
`
`If you check this box, complete Section 2.A.(12) of Schedule D.
`
`(13) are no longer eligible to remain registered with the SEC.
`
`State Securities Authority Notice Filings and State Reporting by Exempt Reporting
`Advisers
`
`C. Under state laws, SEC-registered advisers may be required to provide to state securities
`authorities a copy of the Form ADV and any amendments they file with the SEC. These are
`called notice filings. In addition, exempt reporting advisers may be required to provide state
`securities authorities with a copy of reports and any amendments they file with the SEC. If this
`is an initial application or report, check the box(es) next to the state(s) that you would like to
`receive notice of this and all subsequent filings or reports you submit to the SEC. If this is an
`amendment to direct your notice filings or reports to additional state(s), check the box(es) next
`to the state(s) that you would like to receive notice of this and all subsequent filings or reports
`you submit to the SEC. If this is an amendment to your registration to stop your notice filings or
`reports from going to state(s) that currently receive them, uncheck the box(es) next to those
`state(s).
`
`V. M.
`
`.
`
`,__
`
`.
`
`_ .-,...___.__..__‘,_-_____.v._.w., ....--..__..
`
`
`
`,_C. -.
`Jurisdictions
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`ifT'AK
`:fiAz
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`”it? NV
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`”I‘ENJ
`.iijNM
`
`mNY
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`siffiNc
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`{SOH
`
`
`
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`
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`E'UOR
`
`Page 5
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`

`

`IAPD — Item 2 SEC Registration/Reporting
`
`Page 3 of 3
`
`If you are amending your registration to stop your notice filings or reports from going to a state
`that currently receives them and you do not want to pay that state's notice filing or report filing
`fee for the coming year, your amendment must be filed before the end of the year (December
`
`31).
`
`Next Previous
`
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`

`

`IAPD - Form of Organization Section
`
`Page 1 of 1
`
`UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION
`
`Primary Business Name: HAYMAN CAPITAL MANAGEMENT LP I ARD/CRD Number: 146896
`Rev. 10/2012
`
`FORM ADV
`
`OMB: 3235-0049
`
`Item 3 Form of Or-anization
`
`A. How are you organized?
`
`(g Corporation
`
`. Sole Proprietorship
`
`‘ Limited Liability Partnership (LLP)
`
`Partnership
`
`. Limited Liability Company (LLC)
`
`Limited Partnership (LP)
`
`(5 Other (specify):
`
`If you are changing your response to this Item, see Part 1A Instruction 4.
`
`If you are changing your response to this Item, see Part 1A Instruction 4.
`
`In what month does your fiscal year end each year?
`
`DECEMBER
`
`Under the laws of what state or country are you organized?
`
`State
`
`Country
`
`Delaware UNITED STATES
`
`If you are a partnership, provide the name of the state or country under whose laws your
`partnership was formed. If you are a sole proprietor, provide the name of the state or country
`where you reside.
`
`Next Previous
`
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`IAPD - Successions Section
`
`Page 1 of 1
`
`UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION
`
`Primary Business Name: HAYMAN CAPITAL MANAGEMENT LP IARD/CRD Number: 146896
`Rev. 10/2012
`
`FORM ADV
`
`0MB: 3235-0049
`
`Item 4 Successions
`
`Yes No
`
`Are you, at the time of this filing, succeeding to the business of a registered investment n E
`adviser?
`—
`
`succession again. Instead, check “No.” See Part 1A Instruction 4.
`
`If "yes", complete Item 4.B. and Section 4 of Scheduie D.
`
`Date of Succession: (MM/DD/YYYY)
`
`If you have already reported this succession on a previous Form ADV filing, do not report the
`
`Next Previous
`
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`IAPD - Information About Your Advisory Business Section
`
`Page 1 of 5
`
`UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION
`
`FORM ADV
`
`OMB: 3235-0049
`
`Item 5 Information About Your Advisor Business - Em -lo ees Clients and Com nensation
`
`Responses to this Item help us understand your business, assist us in preparing for on—site
`examinations, and provide us with data we use when making regulatory policy. Part 1A Instruction
`5.a. provides additional guidance to newly formed advisers for completing this Item 5.
`
`Employees
`
`If you are organized as a sole proprietorship, include yourself as an employee in your responses to
`Item 5.A. and Items 5.B.(1), (2), (3), (4), and (5). If an employee performs more than one
`function, you should count that employee in each of your responses to Items 5.B.(1), (2), (3), (4),
`and (5).
`
`A. Approximately how many employees do you have? Include full- and part-time employees but do
`not include any clerical workers.
`29
`
`(1) Approximately how many of the employees reported in 5.A. perform investment advisory
`functions (including research)?
`11
`
`(2) Approximately how many of the employees reported in 5.A. are registered representatives
`of a broker-dealer?
`
`0
`
`(3) Approximately how many of the employees reported in 5.A. are registered with one or
`more state securities authorities as investment adviser representatives?
`1
`
`(4) Approximately how many of the employees reported in 5.A. are registered with one or
`more state securities authorities as investment adviser representatives for an investment
`adviser other than you?
`0
`
`(5) Approximately how many of the employees reported in 5.A. are licensed agents of an
`insurance company or agency?
`0
`
`(6) Approximately how many firms or other persons solicit advisory clients on your behalf?
`0
`
`In your response to Item 5.B.(6), do not count any of your employees and count a firm only
`once — do not count each of the firm’s employees that solicit on your behalf.
`
`
`
`Clients
`
`In your responses to Items 5.C. and 5D. do not include as "clients" the investors in a private fund
`you advise, unless you have a separate advisory relationship with those investors.
`
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`IAPD - Information About Your Advisory Business Section
`
`Page 2 of 5
`
`C.
`
`(1) To approximately how many clients did you provide investment advisory services during
`your most recently completed fiscal year?
`
`C o
`
`f’ 26—100
`
`'5 1-10
`
`f“- 11-25
`
`(‘7 More than 100
`If more than 100, how many?
`
`(round to the nearest 100)
`
`(2) Approximately what percentage of your clients are non-United States persons?
`50%
`
`D. For purposes of this Item 5.D., the category "individuals" includes trusts, estates, and 401(k)
`plans and IRAs of individuals and their family members, but does not include businesses
`organized as sole proprietorships. The category "business development companies" consists of
`companies that have made an election pursuant to section 54 of the Investment Company Act
`of 1940. Unless you provide advisory services pursuant to an investment advisory contract to an
`investment company registered under the Investment Company Act of 1940, check "None" in
`response to Item 5.D.(1)(d) and do not check any of the boxes in response to Item 5.D.(2)(d).
`
`(1) What types of clients do you have? Indicate the approximate percentage that each type of
`client comprises of your total number of clients. If a client fits into more than one category,
`check all that apply.
`
`E9
`
`9% 100%
`
`5_1-.
`7 5 %
`
`2—6:
`5 O %
`
`2 o :5 ('D
`
`Up to
`
`0%
`
`11—
`25 %
`
`r
`
`(j.
`
`C
`
`C
`
`C'
`
`'5
`
`C
`
`f”
`
`t”
`
`f"
`
`f”
`
`(“E
`
`r
`
`c»
`
`C?
`
`C3
`
`("
`
`C")
`
`C.
`
`r
`
`f"
`
`f”
`
`C1
`
`C?
`
`(”T
`
`a
`
`T)T)
`
`x.l
`
`D 7
`
`)?)
`
`(‘7
`
`(’7
`
`(j
`
`(“i
`
`O 7
`
`')t":’37')
`
`1")
`
`.530
`
`1")
`
`C (
`
`'T
`
`C (
`
`"
`
`(a)
`
`Individuals (other than high net worth
`individuals)
`
`(b)
`
`High net worth individuals
`
`(C)
`
`Banking or thrift institutions
`
`(d)
`
`Investment companies
`
`(e)
`
`Business development companies
`
`(f)
`
`(g)
`
`Pooled investment vehicles (other
`than investment companies)
`
`Pension and profit sharing plans (but
`not the plan participants)
`
`(h)
`
`Charitable organizations
`
`(i)
`
`(j)
`
`(k)
`
`Corporations or other businesses not
`listed above
`
`State or municipal government
`entities
`
`Other investment advisers
`
`(I)
`
`Insurance companies
`
`(m) Other:
`
`masses
`
`"i
`
`fifififiae
`
`(2)
`
`Indicate the approximate amount of your regulatory assets under management (reported
`in Item 5.F. below) attributable to each of the following type of client. If a client fits into
`
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`IAPD - Information About Your Advisory Business Section
`
`Page 3 of 5
`
`more than one category, check all that apply.
`
`(a)
`
`Individuals (other than high net worth
`individuals)
`
`('7
`
`f,"
`
`C (
`
`“j
`
`r.
`
`(b) High net worth individuals
`
`Banking or thrift institutions
`
`Investment companies
`
`Business development companies
`
`Pooled investment vehicles (other than
`investment companies)
`
`Pension and profit sharing plans (but not the
`plan participants)
`
`Charitable organizations
`
`Corporations or other businesses not listed
`above
`
`7‘
`
`(j) State or municipal government entities
`
`(k) Other investment advisers
`
`(l) Insurance companies
`
`(m) Other:
`
`
`
`Compensation Arrangements
`
`E. You are compensated for your investment advisory services by (check all that apply):
`
`(1) A percentage of assets under your management
`(2) Hourly charges
`(3) Subscription fees (for a newsletter or periodical)
`(4)
`Fixed fees (other than subscription fees)
`(5) Commissions
`(6) Performance-based fees
`(7) Other (specify):
`
`-3
`‘
`
`.
`
`=
`
`Regulatory Assets Under Management
`
`F.
`
`(1) Do you provide continuous and regular supervisory or management services to
`securities portfolios?
`(2) If yes, what is the amount of your regulatory assets under management and total number of
`accounts?
`
`U.S. Dollar Amount
`
`Total Number of Accounts
`
`Discretionary:
`
`(a) $ 2,217,864,780
`
`Non-Discretionary:
`
`(b) $ 0
`
`(cl) 8
`
`(e) 0
`
`Total:
`
`(c) $ 2,217,864,780
`
`(f) 8
`
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`

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`3“:
`3‘?
`3‘?
`
`
`
`
`
`
`
`
`
`
`
`(4)
`
`(1) Financial planning services
`(2)
`Portfolio management for individuals and/or small businesses
`(3) Portfolio management for investment companies (as well as "business development
`companies" that have made an election pursuant to section 54 of the Investment
`Company Act of 1940)
`Portfolio management for pooled investment vehicles (other than investment
`companies)
`(5) Portfolio management for businesses (other than small businesses) or institutional
`clients (other than registered investment companies and other pooled investment
`vehicles)
`(6) Pension consulting services
`(7) Selection of other advisers (including private fund managers)
`(8) Publication of periodicals or newsletters
`(9) Security ratings or pricing services
`(10) Market timing services
`(11) Educational seminars/workshops
`(12) Other(specify):
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`IAPD — Information About Your Advisory Business Section
`
`Page 4 of 5
`
`Part 1A Instruction S.b. explains how to calculate your regulatory assets under
`
`Item 5 Information About Your Advisory Business - Advisory Activities
`
`Advisory Activities
`
`G. What type(s) of advisory services do you provide? Check all that apply.
`
`management. You must follow these instructions carefully when completing this Item.
`
`
`
`
`
`
`
`
`Do not check Item 5.G.(3) unless you provide advisory services pursuant to an investment
`advisory contract to an investment company registered under the Investment Company Act of
`
`
`1940, including as a subadviser. If you check Item 5.G.(3), report the 811 or 814 number of the
`investment company or investment companies to which you provide advice in Section 5.G.(3) of
`
`Schedule D.
`
`
`
`
`
`
`
`('3 1 - 10
`
`
`{‘- 11 — 25
`
`p 26 - 50
`
`
`p 51 — 100
`
`
`(~ 101 — 250
`(5 251 - 500
`
`If you provide financial planning services, to how many clients did you provide these services
`during your last fiscal year?
`
`p More than 500
`
`
`
`
`If more than 500, how many?
`(round to the nearest 500)
`
`
`
`
`In your responses to this Item 5.H., do not include as "clients” the investors in a private fund
`you advise, unless you have a separate advisory relationship with those investors.
`
`
`Page 12
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`IAPD - Information About Your Advisory Business Section
`
`Page 5 of 5
`
`I.
`
`If you participate in a wrap fee program, do you (check all that apply):
`
`1‘3 (1) sponsor the wrap fee program?
`if"! (2) act as a portfolio manager for the wrap fee program?
`
`If you are a portfolio manager for a wrap fee program, list the names of the programs and their
`sponsors in Section 5.I.(2) of Schedule D.
`
`If your involvement in a wrap fee program is limited to recommending wrap fee programs to
`your clients, or you advise a mutual fund that is offered through a wrap fee program, do not
`check either Item 5.I.(1) or 5.I.(2).
`
`investment advice only with respect to limited types of investments?
`
`In response to Item 4.B. of Part 2A of Form ADV, do you indicate that you provide
`
`Next Previous
`
`http://www.adviserinfo.sec.gov/iapd/content/Viewfoml/adv/Sections/iapd_AdvAdVisoryBus...
`
`Page 13
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`

`

`IAPD - Other Business Section
`
`Page 1 of 1
`
`UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION
`
`Primary Business Name: HAYMAN CAPITAL MANAGEMENT LP IARD/CRD Number: 146896
`Rev. 10/2012
`
`FORM ADV
`
`OMB: 3235-0049
`
`
`
`
`
`
`
`Item 6 Other Business Activities
`
`
`
`
`
`In this Item, we request information about your firm's other business activities.
`
`A. You are actively engaged in business as a (check all that apply):
`
`i“ (1)
`(2)
`(3)
`
`7313"}317‘337
`
`broker—dealer (registered or unregistered)
`registered representative of a broker—dealer
`commodity pool operator or commodity trading advisor (whether registered or exempt
`from registration)
`futures commission merchant
`(4)
`real estate broker, dealer, or agent
`(5)
`insurance broker or agent
`(6)
`(7) bank (including a separately identifiable department or division of a bank)
`(8)
`trust company
`(9)
`registered municipal advisor
`(10) registered security-based swap dealer
`(11) major security—based swap participant
`(12) accountant or accounting firm
`(13) lawyer or law firm
`(14) other financial product salesperson (specify):
`
`If you engage in other business using a name that is different from the names reported in Items
`1.A. or 1.8, complete Section 6.A. of Schedule D.
`
`B.
`
`(1) Are you actively engaged in any other business not listed in Item 6.A. (other than
`giving investment advice)?
`
`Yes No
`
`(‘7:
`’
`
`CC
`If yes, is this other business your primary business?
`(2)
`
`
`in this business under a different name, provide that name.
`
`
`
`
` If "yes,” describe this other business on Section 6.8.(2) of Schedule D, and if you engage
`
` Do you sell products or provide services other than investment advice to your
`
`
`
`advisory clients?
`
`If "yes," describe this other business on Section 6.3.(3) of Schedule D, and if you engage
`in this business under a different name, provide that name.
`
`
`
`Next Previous
`
`Page 14
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`

`

`IAPD - Financial Industry Affiliations and Private Fund Reporting
`
`Page 1 of 1
`
`UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION
`Prima Business Name: HAYMAN CAPITAL MANAGEMENT LP
`
`Rev. 10/2012
`
`FORM ADV
`
`OMB: 3235-0049
`
`Item 7 Financial Industry Affiliations
`
`
`
`
`
`
`
`
`
`
`
`
`In this Item, we request information about your financial industry affiliations and activities. This
`information identifies areas in which conflicts of interest may occur between you and your clients.
`
`
`A. This part of Item 7 requires you to provide information about you and your related persons,
`including foreign affiliates. Your related persons are all of your advisory affiliates and any person
`that is under common control with you.
`
`You have a related person that is a (check all that apply):
`
`"Vi"???7‘1
`“E"E'TTTW‘TT‘T
`
`(1)
`
`broker—dealer, municipal securities dealer, or government securities broker or dealer
`(registered or unregistered)
`(2) other investment adviser (including financial planners)
`(3)
`registered municipal advisor
`(4)
`registered security—based swap dealer
`(5) major security-based swap participant
`(6)
`commodity pool operator or commodity trading advisor (whether registered or exempt
`from registration)
`futures commission merchant
`(7)
`banking or thrift institution
`(8)
`trust company
`(9)
`(10) accountant or accounting firm
`(11) lawyer or law firm
`(12) insurance company or agency
`(13) pension consultant
`(14) real estate broker or dealer
`(15) sponsor or syndicator of limited partnerships (or equivalent), excluding pooled investment
`vehicles
`
`
`
`
`m
`
`
`
`(16) sponsor, general partner, managing member (or equivalent) of pooled investment
`vehicles
`
`
`
`
`For each related person, including foreign affiliates that may not be registered or required to be
`registered in the United States, complete Section 7.A. of Schedule D.
`
`
`
`
`
`
`You do not need to complete Section 7.A. of Schedule D for any related person if: (1) you have no
`business dealings with the related person in connection with advisory services you provide to your
`clients; (2) you do not conduct shared operations with the related person; (3) you do not refer
`clients or business to the related person, and the related person does not refer prospective clients
`or business to you; (4) you do not share supervised persons or premises with the related person;
`and (5) you have no reason to believe that your relationship with the related person otherwise
`creates a conflict of interest with your clients.
`
`
`
`
`
`
`
`
`You must complete Section 7.A. of Schedule D for each related person acting as qualified
`custodian in connection with advisory services you provide to your clients (other than any mutual
`
`
`fund transfer agent pursuant to rule 206(4)-2(b)(1)), regardless of whether you have determined
`
`
`the related person to be operationally independent under rule 206(4)-2 of the Advisers Act.
`
`Next Previous
`
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`IAPD - Item 7.B Private Fund Reporting
`
`Page 1 of 29
`
`UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION
`
`Primary Business Name: HAYMAN CAPITAL MANAGEMENT LP IARD/CRD Number: 146896
`Rev. 10/2012
`
`FORM ADV
`
`OMB: 3235-0049
`
`Item 7 Private Fund Re --ortin
`
`B. Are you an adviser to any private fund?
`
`If "yes," then for each private fund that you advise, you must complete a Section 7.B.(1) of
`Schedule D, except in certain circumstances described in the next sentence and in Instruction 6
`of the Instructions to Part 1A. If another adviser reports this information with respect to any
`such private fund in Section 7.B.(1) of Schedule D of its Form ADV (e.g., if you are a
`subadviser), do not complete Section 7.B.(1) of Schedule D with respect to that private fund.
`You must, instead, complete Section 7.B.(2) of Schedule D.
`
`In either case, if you seek to preserve the anonymity of a private fund client by maintaining its
`identity in your books and records in numerical or alphabetical code, or similar designation,
`pursuant to rule 204—2(d), you may identify the private fund in Section 7.B.(1) or 7.B.(2) of
`
`SECTION 7.B.(1) Private Fund Reporting
`
`Funds per Page: 100 V Total Funds: 3
`
`A. PRIVATE FUND
`
`Information About the Private Fund
`
`1.
`
`(a) Name of the private fund:
`
`HAYMAN CAPITAL MASTER FUND, L.P.
`
`(b) Private fund identification number:
`(include the "805—" prefix also)
`805-1786771358
`
`Schedule D using the same code or designation in place of the fund's name.
`CHRISTOPHER KIRKPATRICK
`
`2. Under the laws of what state or country is the private fund organized:
`
`State:
`
`Country:
`
`CAYMAN ISLANDS
`
`3. Name(s) of General Partner, Manager, Trustee, or Directors (or persons serving in a similar
`capacity):
`
`Name of General Partner, Manager, Trustee, or Director
`
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`

`IAPD - Item 7.B Private Fund Reporting
`
`Page 2 of 29
`
`
`DAVID SUNG
`
`
`
`HAYMAN CAPITAL MANAGEMENT, L.P.
`
`
`
`
`
`HAYMAN OFFSHORE