`UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION AND REPORT BY EXEMPT REPORTING ADVISERS
`
`Primary Business Name: HAYMAN CAPITAL MANAGEMENT LP
`Other-Than-Annual Amendment - All Sections
`6/1/2015 8:14:45 PM
`
`CRD Number: 146896
`Rev. 10/2012
`
`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
`
`B. Name under which you primarily conduct your advisory business, if different from Item 1.A.:
`HAYMAN CAPITAL MANAGEMENT LP
`
`List on Section 1.B. of Schedule D any additional names under which you conduct your advisory business.
`
`C.
`
`D.
`
`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
`your legal name or
`
`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:
`
`E.
`
`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.
`
`F.
`
`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
`
`If this address is a private residence, check this box:
`
`Number and Street 2:
`SUITE 1400
`Country:
`UNITED STATES
`
`ZIP+4/Postal Code:
`75201
`
`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 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 Other:
`
`Normal business hours at this location:
`7:30 A.M. - 5:00 P.M.
`(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:
`City:
`
`State:
`
`Number and Street 2:
`Country:
`
`ZIP+4/Postal Code:
`
`If this address is a private residence, check this box:
`
`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:
`City:
`
`State:
`
`Number and Street 2:
`Country:
`
`ZIP+4/Postal Code:
`
`Yes No
`
`I.
`
`Do you have one or more websites?
`
`Exhibit 2013 Page 001
`
`Pharmacyclics LLC - Ex. 2013
`Coalition for Affordable Drugs IV LLC v. Pharmacyclics LLC
`Case IPR2015-01076
`
`
`
`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:
`City:
`
`State:
`
`Other titles, if any:
`Facsimile number:
`Number and Street 2:
`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:
`Telephone number:
`Number and Street 1:
`City:
`
`State:
`
`Titles:
`Facsimile number:
`Number and Street 2:
`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?
`
`If "yes," complete Section 1.L. of Schedule D.
`
`M. Are you registered with a foreign financial regulatory authority?
`
`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.
`
`N. 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):
`
`O. Did you have $1 billion or more in assets on the last day of your most recent fiscal year?
`
`P.
`
`Provide your Legal Entity Identifier if you have one:
`EHWNDI2G5WRMB04JSL16
`
`Yes No
`
`Yes No
`
`Yes No
`
`Yes No
`
`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 development. You may not have a legal entity identifier.
`
`SECTION 1.B. Other Business Names
`
`SECTION 1.F. Other Offices
`
`SECTION 1.I. Website Addresses
`
`No Information Filed
`
`No Information Filed
`
`List your website addresses. You must complete a separate Schedule D Section 1.I. for each website address.
`
`Website Address: HTTP://WWW.HAYMANCAPITALMANAGEMENT.COM
`
`Exhibit 2013 Page 002
`
`
`
`SECTION 1.L. Location of Books and Records
`
`Complete the following information for each location at which you keep your books and records, other than your principal office and place of business. You
`must complete a separate Schedule D Section 1.L. for each location.
`
`Name of entity where books and records are kept:
`SEI INVESTMENTS GLOBAL FUND SERVICES
`
`Number and Street 1:
`1 FREEDOM VALLEY DRIVE
`City:
`OAKS
`
`Number and Street 2:
`
`State:
`Pennsylvania
`
`Country:
`UNITED STATES
`
`ZIP+4/Postal Code:
`19456
`
`If this address is a private residence, check this box:
`
`Telephone Number:
`610-676-1282
`
`Facsimile number:
`
`This is (check one):
`one of your branch offices or affiliates.
`
`a third-party unaffiliated recordkeeper.
`
`other.
`
`Briefly describe the books and records kept at this location:
`FUND FINANCIAL AND INVESTOR RECORDS
`
`Name of entity where books and records are kept:
`IRON MOUNTAIN RECORDS MANAGEMENT
`
`Number and Street 1:
`1235 N. UNION BOWER
`City:
`IRVING
`
`Number and Street 2:
`
`State:
`Texas
`
`Country:
`UNITED STATES
`
`ZIP+4/Postal Code:
`75061
`
`If this address is a private residence, check this box:
`
`Telephone Number:
`972 554 5200
`
`Facsimile number:
`
`This is (check one):
`one of your branch offices or affiliates.
`
`a third-party unaffiliated recordkeeper.
`
`other.
`
`Briefly describe the books and records kept at this location:
`HISTORICAL SUPPORT DOCUMENTATION
`
`SECTION 1.M. Registration with Foreign Financial Regulatory Authorities
`
`List the name and country, in English, of each foreign financial regulatory authority with which you are registered. You must complete a separate Schedule D
`Section 1.M. for each foreign financial regulatory authority with whom you are registered.
`
`Name of Country/Foreign Financial Regulatory Authority:
`Ireland - Central Bank of Ireland
`
`Other:
`
`Item 2 SEC Registration/Reporting
`
`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
`
`Exhibit 2013 Page 003
`
`
`
`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):
`
`(1) 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;
`
`(2) 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.
`
`(3) have your principal office and place of business in Wyoming (which does not regulate advisers);
`
`(4) have your principal office and place of business outside the United States;
`
`(5) are an investment adviser (or sub-adviser) to an investment company registered under the Investment Company Act of 1940;
`
`(6) 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;
`
`(7) 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);
`
`(8) 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 adviser;
`
`If you check this box, complete Section 2.A.(8) of Schedule D.
`
`(9) 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.
`
`(10) 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.
`
`(11) are an Internet adviser relying on rule 203A-2(e);
`
`(12) 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).
`
`Jurisdictions
`
`AL
`AK
`AZ
`AR
`CA
`CO
`CT
`DE
`DC
`FL
`GA
`
`ID
`IL
`IN
`IA
`KS
`KY
`LA
`ME
`MD
`MA
`MI
`
`MO
`MT
`NE
`NV
`NH
`NJ
`NM
`NY
`NC
`ND
`OH
`
`PA
`PR
`RI
`SC
`SD
`TN
`TX
`UT
`VT
`VI
`VA
`
`Exhibit 2013 Page 004
`
`
`
`GU
`HI
`
`MN
`MS
`
`OK
`OR
`
`WA
`WV
`WI
`
`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).
`
`SECTION 2.A.(8) Related Adviser
`If you are relying on the exemption in rule 203A-2(b) from the prohibition on registration because you control, are controlled by, or are 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 that of the registered adviser, provide
`the following information:
`
`Name of Registered Investment Adviser
`
`CRD Number of Registered Investment Adviser
`
`SEC Number of Registered Investment Adviser
`801 -
`
`SECTION 2.A.(9) Newly Formed Adviser
`If you are relying on rule 203A-2(c), the newly formed adviser exemption from the prohibition on registration, you are required to make certain
`representations about your eligibility for SEC registration. By checking the appropriate boxes, you will be deemed to have made the required
`representations. You must make both of these representations:
`I am not registered or required to be registered with the SEC or a state securities authority and I have a reasonable expectation that I will be eligible to
`register with the SEC within 120 days after the date my registration with the SEC becomes effective.
`I undertake to withdraw from SEC registration if, on the 120th day after my registration with the SEC becomes effective, I would be prohibited by Section
`203A(a) of the Advisers Act from registering with the SEC.
`
`SECTION 2.A.(10) Multi-State Adviser
`If you are relying on rule 203A-2(d), the multi-state adviser exemption from the prohibition on registration, you are required to make certain representations
`about your eligibility for SEC registration. By checking the appropriate boxes, you will be deemed to have made the required representations.
`
`If you are applying for registration as an investment adviser with the SEC, you must make both of these representations:
`I have reviewed the applicable state and federal laws and have concluded that I am required by the laws of 15 or more states to register as an
`investment adviser with the state securities authorities in those states.
`I undertake to withdraw from SEC registration if I file an amendment to this registration indicating that I would be required by the laws of fewer than 15
`states to register as an investment adviser with the state securities authorities of those states.
`
`If you are submitting your annual updating amendment, you must make this representation:
`Within 90 days prior to the date of filing this amendment, I have reviewed the applicable state and federal laws and have concluded that I am required
`by the laws of at least 15 states to register as an investment adviser with the state securities authorities in those states.
`
`SECTION 2.A.(12) SEC Exemptive Order
`If you are relying upon an SEC order exempting you from the prohibition on registration, provide the following information:
`
`Application Number:
`803-
`
`Date of order:
`
`Item 3 Form of Organization
`A. How are you organized?
`Corporation
`
`Sole Proprietorship
`
`Limited Liability Partnership (LLP)
`
`Partnership
`
`Limited Liability Company (LLC)
`
`Limited Partnership (LP)
`
`Exhibit 2013 Page 005
`
`
`
`p (
`
`)
`
`Other (specify):
`
`If you are changing your response to this Item, see Part 1A Instruction 4.
`
`B.
`
`In what month does your fiscal year end each year?
`DECEMBER
`
`C. 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.
`
`If you are changing your response to this Item, see Part 1A Instruction 4.
`
`Item 4 Successions
`
`A. Are you, at the time of this filing, succeeding to the business of a registered investment adviser?
`
`Yes No
`
`If "yes", complete Item 4.B. and Section 4 of Schedule D.
`
`B. Date of Succession: (MM/DD/YYYY)
`
`If you have already reported this succession on a previous Form ADV filing, do not report the succession again. ,QVWHDG FKHFN ³1R´ 6HH Part 1A Instruction 4.
`
`SECTION 4 Successions
`
`No Information Filed
`
`Item 5 Information About Your Advisory Business - Employees, Clients, and Compensation
`
`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.
`28
`
`B.
`
`(1) Approximately how many of the employees reported in 5.A. perform investment advisory functions (including research)?
`10
`(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 DQG FRXQW D ILUP RQO\ RQFH ± GR QRW FRXQW HDFK RI WKH ILUP¶V employees that solicit on
`your behalf.
`
`Exhibit 2013 Page 006
`
`
`
`Clients
`
`In your responses to Items 5.C. and 5.D. do not include as "clients" the investors in a private fund you advise, unless you have a separate advisory relationship
`with those investors.
`
`C.
`
`(1)
`
`To approximately how many clients did you provide investment advisory services during your most recently completed fiscal year?
`
`0
`
`1-10
`
`11-25
`
`26-100
`
`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?
`60%
`
`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.
`
`None Up to 10% 11-25% 26-50% 51-75% 76-99% 100%
`
`(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) Pooled investment vehicles (other than investment companies)
`
`(g) Pension and profit sharing plans (but not the plan participants)
`
`(h) Charitable organizations
`
`(i) Corporations or other businesses not listed above
`
`(j) State or municipal government entities
`
`(k) Other investment advisers
`
`(l)
`
`Insurance companies
`
`(m) Other:
`
`(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 more than one category, check all that apply.
`
`None
`
`Up to 25%
`
`Up to 50%
`
`Up to 75% >75%
`
`(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) Pooled investment vehicles (other than investment companies)
`
`(g) Pension and profit sharing plans (but not the plan participants)
`
`(h) Charitable organizations
`
`(i) Corporations or other businesses not listed above
`
`(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)
`
`Exhibit 2013 Page 007
`
`
`
`Fixed fees (other than subscription fees)
`(4)
`Commissions
`(5)
`Performance-based fees
`(6)
`(7) Other (specify):
`
`Item 5 Information About Your Advisory Business - Regulatory Assets Under Management
`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
`(a) $ 2,563,287,200
`(d) 12
`(b) $ 0
`(e) 0
`(c) $ 2,563,287,200
`(f) 12
`
`Discretionary:
`Non-Discretionary:
`Total:
`
`Yes No
`
`Part 1A Instruction 5.b. explains how to calculate your regulatory assets under management. You must follow these instructions carefully when
`completing this Item.
`
`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.
`(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)
`Portfolio management for businesses (other than small businesses) or institutional clients (other than registered investment companies and
`other pooled investment vehicles)
`Pension consulting services
`(6)
`Selection of other advisers (including private fund managers)
`(7)
`Publication of periodicals or newsletters
`(8)
`Security ratings or pricing services
`(9)
`(10) Market timing services
`(11) Educational seminars/workshops
`(12) Other(specify):
`
`(4)
`(5)
`
`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.
`
`H.
`
`If you provide financial planning services, to how many clients did you provide these services during your last fiscal year?
`
`0 1
`
` - 10
`11 - 25
`26 - 50
`51 - 100
`101 - 250
`251 - 500
`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.
`
`I.
`
`If you participate in a wrap fee program, do you (check all that apply):
`(1)
`sponsor the wrap fee program?
`(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).
`
`Yes No
`
`Exhibit 2013 Page 008
`
`
`
`J.
`
`In response to Item 4.B. of Part 2A of Form ADV, do you indicate that you provide investment advice only with respect to limited types of
`investments?
`
`SECTION 5.G.(3) Advisers to Registered Investment Companies and Business Development Companies
`
`SECTION 5.I.(2) Wrap Fee Programs
`
`No Information Filed
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`No Information Filed
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`Item 6 Other Business Activities
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`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):
`(1)
`broker-dealer (registered or unregistered)
`(2)
`registered representative of a broker-dealer
`(3)
`commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
`(4)
`futures commission merchant
`(5)
`real estate broker, dealer, or agent
`(6)
`insurance broker or agent
`(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.B, complete Section 6.A. of Schedule D.
`
`Yes No
`
`B.
`
`(1) Are you actively engaged in any other business not listed in Item 6.A. (other than giving investment advice)?
`
`(2)
`
`If yes, is this other business your primary business?
`
`If "yes," describe this other business on Section 6.B.(2) of Schedule D, and if you engage in this business under a different name, provide that name.
`Yes No
`
`(3) Do you sell products or provide services other than investment advice to your advisory clients?
`
`If "yes," describe this other business on Section 6.B.(3) of Schedule D, and if you engage in this business under a different name, provide that name.
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`SECTION 6.A. Names of Your Other Businesses
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`No Information Filed
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`SECTION 6.B.(2) Description of Primary Business
`Describe your primary business (not your investment advisory business):
`
`If you engage in that business under a different name, provide that name:
`
`SECTION 6.B.(3) Description of Other Products and Services
`Describe other products or services you sell to your client, You may omit products and services that you listed in Section 6.B.(2) above.
`
`If you engage in that business under a different name, provide that name.
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`Item 7 Financial Industry Affiliations
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`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.
`
`Exhibit 2013 Page 009
`
`
`
`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):
`(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)
`(7)
`futures commission merchant
`(8)
`banking or thrift institution
`(9)
`trust company
`(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
`(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.
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`SECTION 7.A. Financial Industry Affiliations
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`Item 7 Private Fund Reporting
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`B. Are you an adviser to any private fund?
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`No Information Filed
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`Yes No
`
`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 Schedule D using the same code or
`designation in place of the fund's name.
`
`SECTION 7.B.(1) Private Fund Reporting
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`A. PRIVATE FUND
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`Information About the Private Fund
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`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
`
`2. Under the laws of what state or country is the private fund organized:
`State:
`Country:
`
`Exhibit 2013 Page 010
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`
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`CAYMAN ISLANDS
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`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
`CHRISTOPHER KIRKPATRICK
`DAVID SUNG
`HAYMAN CAPITAL MANAGEMENT, L.P.
`HAYMAN OFFSHORE MANAGEMENT, INC.
`J KYLE BASS
`JAMES KEYES
`JONATHAN S. MORGAN
`
`4.
`
`5.
`
`The private fund (check all that apply; you must check at least one):
` (1) qualifies for the exclusion from the definition of investment company under section 3(c)(1) of the Investment Company Act of 1940
` (2) qualifies for the exclusion from the definition of investment company under section 3(c)(7) of the Investment Company Act of 1940
`
`List the name and country, in English, of each foreign financial regulatory authority with which the private fund is registered.
`Name of Country/English Name of Foreign Financial Regulatory Authority
`Other - CAYMAN ISLANDS MONETARY AUTHORITY
`
`6.
`
`(a) Is this a "master fund" in a master-feeder arrangement?
`
`(b) If yes, what is the name and private fund identification number (if any) of the