Anwar et al v. Fairfield Greenwich Limited et al
Filing
1043
NOTICE of Intent to Appear at Final Hearing. Document filed by Headway Investment Corp.. (Attachments: #1 Appendix Composite Appendix A)(Mestre, Jorge)
ComposÍte
Appendix A
i..,
_-$T
HEAD\TAY INVESTMFNT CORPORATION
2600 DOUGLÀS ROAD, SUITE 406
Conlr GÂBLES, FLoRIDÀ 33134
J"nuoy 9,2043
Mr. Raul Mas
.A:rrerican Exptess Bank Intetnational
1221 Bdckell Avenue; 8ù Floot
Miami Flotid¿ 33138
Refi
ÂËB-Geneva
ÄccountNo,23486
Deat Raul:
This wilt confuin ou¡ irut¡uctions to invest US$4,000,000 (Fo* Million US Dollats) in the
Fâirfield Senuy Ltd, Fund ('Sentry') effective Februar¡' 7,2003.Iikewise, please proceed to
liquidate o¡¡¡ þe[rri¡g of the Global Conservative Ma¡ket Neutral Fund as soón as possible,
timing this sale to genetate the funds required for the "Sentry''putchase.
Should you have aay questions, please call.
Cados E.
cc: Cados
HEADWAYOOOOOl2
(
Short Form Subscription Agreernent
For Existing Shareholders
CLASS B SHARES. ONLY
FAIRF'IELD SENTRY LIMITED
c/o Citoo Fund Sewices, (Europe) B-V
Telestono I - TelePort
Nariøwqg 1651043 Bttr/Amstcrdam
The Netherlands
Telephotre: (3 t ^Zq fl2"2100
Facsimile:
(3
l-20) 5il2-2610
9297t51.6
)3510't.2
I 2¡ 10y'0?
0J:!
h¡ì
IIEADWAYOOOOTTO
SHORT ITORM SUBSCRIP1-TON ÀGR EIIIVIENT
-
CLASS B STIARES - ONLY
THIS APPLICATION IS TO BE USED ONLY BY EXISTING REGISTERED STIAREHOLDERS
OF FAIRFIELD SENTRY LIMITED PURCHASING,ÀDÐITIONAL SHÀRES IN THE SAME
REGISTERED NAME. IT MÀY NOT BE USED BY NEW SUBSCRIBBRS'
T¡e undersignecl Subsc¡iber (l) ís an existing shareholder in Fairfield Sentry Limited ("Fund"), (2) has
previously delivered a frrlly executed Subscription Agreemcnl to the.Fund, and (3) dcsires to subscribe for
ädditional Class Bshares ("Shares") in tlre Fund. By executing in rhc space belo',v, the undersigned
shareholder hereby (1) reqxests that lhe Frrncl accept ttris short form subscription in .lieu of completing arr
cnLirely new Subscription Agreement for tlie additionaf Shares, (2) reaffirms each atrd cvery
represåntation and covenarrl made bj, the undersigned in the original Subscription Àgreemcnt as of the
daie he¡eof, subject only to the char':ged intbrmation sct forlh bçlow, aod (3) represents that if the
Subscriber is an entity, the person exeouting tlti$ Àgreemsnt has lhe full power and authoriry under lhe,
Subscriber.'i governing instrurhents and has been authorized tô do so and the Subsctiber has the full
power and authority under ib governing in,Stntmenfs to acquile Shares of the Fund.
ple¡se contact thc.A.drninistrator pr¡or to r'ending doc.umenls or lunds to ascertâln whether the Fund
cnpitol. New Subscription ln[ornration:
is
acceptlng additional
Subscriber:
Contributionf)ale:
Additional Contribution Amounu
Changes lo SubscriÞtion
- 200
#
U-S- S
Agreement: [
[
.J None
] Ycs, as followsr
IN \\ITNESS V/IIEREOF, the undersigned lras excculed this Subscription Agreement on this _-_ day of
', 200_
Corporate, PartnershiP, Tnrst or ,¿lccouni Subscribers
{
By:
f.s
7Signature
I rtl€
Telephone
Telephone:
l'ax
Fax:
200
SUB\SCRIPTION ACCEPTED AS OF
919115 1,6
,
RR-3
llSlcn
2
I
2/ I 0/02 03:
I
Ìpnr
HEADWAY000077l
F
A]RFIELD
S
ENTRY LIMITED
By:
Narrte
Title:
t29tJ5l
6
RR.4
ll5l04
?
I
¿/10,02
0l I lpi:
HEADU/AYOOOO772
303
Narne of Subscriber:
¡lçnt¡,rrRv
a
A¡nount of Subscription:
-_lñ
çp{
CrÐp
o
SUBSCRIPTION AGREEMENT
(TloN-uNrTED STATES OF ÄMÐRICA SUBSCRIBERS ONLY)
FÄIRFIELD .SENTRY LIMII'EI)
Fairfield Senty Limited
c/o Citco Fund Serr¡icos (Europe) B.V
Telestone
I
- Te.leport
Naritaweg 165
1043 BW Amsterdam
the Netherlands
Telephorre; (3 l-20) 572-2100
Facsimiìç: A 1 -20) 5'72-26L0
Dear Si¡s:
scriber') hercby subscrìbcr for voling, participating
..Funcl'),
.'Sbares') of Fairlìold Sentry Limited (the
("Rl¡I'). The Shares will
be offçred el the net asset
ofbusiness on the effective dzite ofpurchase.
re,çpects (incJutling the right to one vole per Sha
Agreement (lhe "Àgreement') tlrat are noÊ define
Confidential Private Placement Memorandum dated October I,2004 (as ame.nde.d from tirne to time, the
"MemoranCum")- Subscribsr subsc¡ibcs for that uumbel of' Sharcs that c¿n be purchaserJ for tìte
subscription amount abovo. Subscriber snbsc¡ibcs for the Shares ¡ursuaut to the te¡ms berejn, lhe
Memor¿ndurn, and the Fund's Memorandurn of Associatiort and Arlicles of Association (collectivoly, the
"Fund Þocuments"), A1l ¡cfc¡cnces hcrein to "dollars" or "$" aro to U.S. doliars,
2.
Acceplance or Rejection.
If
the Fuud aciepts this subscrþtion, Subscriber shall become
of the Frlnd and [¡e l¡ound by thc Fund ]Jocumenß. I'he minjmum lnitial subscription is
$l(J0,000- The Boald of Directors, ìn èoniultation with Fairfield Greenwich (Bemruda) fi.f çtf,"
"Irrvcstment Manager"), may reject a subscription Íor any reâson or Bo reason- Subscriptions shatl
bccomc irrevocable to the subsc¡ìber on the thircl to the lait business day of the nìonth irt rvhich such
subscrip(ion is received by the Fund. If rejectcd, ll¡e Ftnd shall promptly rehrrn the subscription funds,
a sha¡sholder
wilh any interest actually earnetJ thereon, and this Àgrccment shall be void.
?,
Paymeot of Subsc¡iptìon Funds- Subscription fr¡rds should be wjred lo the Fu.¡rd at the
folJo';ring accoullt, concrrrrently with the delivery of this Agreemen¿ to tbe -f-und. In orde¡ to compjy with
anti-money loundering regulatiors app.licablc to thc }und and Citco Fwrd Services (Europe) B.V (fhe
"Arlminístrator''), the sampJe bank letter attached herelo as Scherlulc A MUST be'"omplete<.1 by'flr"
hnancial institution which will be remítting the subscription moneys on bchalf of the subscril¡er,
I
IEADV\/AYOOOOTB5
.[nlemerlíriry, J]ank - Iie1d 56
HSBÇ.Ll¿r¡k, Now Yo¡k
3IC: MR.MDûS33
FeiJ'Wi¡s: ü2100i088
ÁclJottttt ,rilþ frtìiltur¡on - Fte*I 57
¿\ccort¡t Na¡ilr: Ci¡co Bank NedcrìanC,N.V. Dublln Bra¡rch
Aù-c01¡rit ì¡un¡b sr: 00030ti48i
BICi'CrrgrË?Ð
ReneJlclary Cuslons - ]r.ietd 59
Benofci¿ry
Ilr sckno.derlgos, o¡ if lhe Subscriþer j.-r act(ng as agunÇ
Ovrntx't)i. tltp ,SubgerjUcr. hs¡' arlvisçd .tûe
Bcnclcial Owncr tñãt (a) tho l¡rvestõfehÉ lrfana¡icr, trr trchaitìt¡f ihoFu¡d, d¡af Eqlef inio ngreenretrtt witlr
ptrceuent aÊcnts or othcr sa¡Es relar,itrnshþr to ,markct tl¡o Furrl pfovir|ing for.a p.uynrÉrrt froro the
ihves¡nent MBDager to tËu þar.ticular'p)ae 6mùrt agcnt dbr Ibo íntroductiotr, out úl llro ]!es the InvesÞa:u¡¡t
'
I\4irrugerrilceives li.om t¡e'Fbd. .
11,
lq)rescjlratíyq or ¡r(lmireo for 'n .rub¡otiber (r lEffêTirrÍ4|
. ' tZ.
opt
S.ubqc.ribsr is
irli.¡ À vlgw'
. ...
i¡.
uùa|l
Srr,bscriber
.
.: .;
.
. ¡..
i,
.
.:
ub'rc¡iÙsr iiihicrib.es For.adûifioo¡il"Str¡rr:s ai'a lrrter datq
thi,i Agreeme*t in $ùscribinþ for.tÀosc Si¡arcs.
id'
ts-i'¡ldfqg
tüe Sfrarei nolely.for Inl,estrneut pirrposer un{
'i
The Sbües issued tb.guhscEibqr
0Ðt rn)f ,nÞIniarri.' 'Sllt¡r¿S'ÍflJ.-,bc
6{
fhò..Ftr¡Íri't
book-entry fo¡rrr.
15.
bryítg
I{þ orreeell *ro Shu¡e.s.
wi¡lte
rrtgígiê¡Èd ou
iSSuç.¿
'n reg:stercd
N+ruø of ¿1¡rreeJFent, 'ftris.{gc¡,rgstrt shtü bc bJndiugupon rSubsqribcr o¡d its
6¡i8nn, an::ifl#
to
h)
cri
f Subsrribc¡ is aot sn inriivilftr¡rJ, fjro sizuntory
I rhc Àp¡ee¡ne¡rt r:onsùifuict a legrri. *ii¿ ..l'ìi,f
c
ir'ith iLs lcrurs_
tr.
with iqrpecC.tq
suh¡nits to ths
¡¿fficp
t
:(Ð)
oreudt/ pontrû¡Iin&, c
(¡i) to &s octcnt $ubácribe{ tn¡ *h}-bsúe[f,]¡! oÍ¡
with tftls. :lnve.rtrnent, (u) jt hts aàifød our'
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t
.
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ttr¿ Og^C li.*,i¡iÀi,b¡ ¡oix<¡rud ó¡i t[a'ì¡¡Þ url¡¡ip:i/¡çw*.;rnts,gory'ofsc
¿\
burFq¡loû
t+i
pr
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lo
of.eø,pantla-
fME¡J.
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oat
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bcncfîciul o)vÐers, (b) hlrccl on such rJus diligørcc, Subecrlbel reasourbþ hu'lievcs that ltr¡ stch be¡aficjttl
owDsrs are Prp.trilritcd Persons, (ci ¡t holds lhe o'¡idetrce of such idc¡tjtics atrd status ¿rrd tvjll ¡¡u¡iuùrin all
guch evirlqr¡ço f.or rl Jeast fi'ro yesrs Êom tl¡o datc of Subscriber's conrplete tcdemption &onr tlle Fux!
uul (d) it wil! m¡ke availoble suoh inlbrm¿ltion and any additiorurl infornudcn rcqucstcd by the Fu¡d ù¡at
js rcquired undcr rlpplit;:rbl c regïlâtion:i,
(C) If aoy of thcforagoing rÊpfDscóÈrrionn, wattnntìoior.covEïr¡nlg cgases to.be.trire
or if tlre llu¡d nr4nç¡
sf
rubscquêuity,
frlsisb ig.vrritlng
. 2't.
r¿pjper¡¡l¡rtñe,
rÊÞiìeeónt¿uions
If
$ulxci.iber ls subscribin¡¡
¡l thc
ab.cVä
tÞ a sf:Brch¡tlder)
a.5.
ttu$tËd, Ðgcn(,
ciål S¡ra¡el¡oltior'), Subsbrìiír -ÊrcÀ rh;; th;
tbid¿ by Subscribq ',vÍrb redþect ,to itsrÍf {nd iho Bèncllci.dl
.3h;¡rehiildcr. SuLxc.iibsr has a1l rcquinit: áuthoxily fnm the ße¡ref'ciul SJrarcholdor to øcccrrte ånd
perfrrrrn ltic ohll8aHo¡ts hereúnde¿ Suùsciiber atsó agreos to iodcmnlf tlre l'uñd. rjre f:¡vestme.nt
f porfbrm tbc obligatfous horcof,
If
jnto a swrpr sfn¡chlre,.f note or olhcr derívqtive ídsln)nrs.nl, the rch¡m r-rorn rvhi¡:b
ín.part on rl¡e ¡riu* oftfis l\¡nd
(rr "Tlir.d party,),. the
s a¡ld v/ara¡rh rhqt wifh .rçBFËc¿
Srvap; fn) t¡.i fb¡rl
unclei Íts corrr¡iirutiônnl docur
o,pciuÉo4 b1.-luwrr,
the Subscriber cntcrg
I
[18^.DW/{Y0004192
..
.,.1:::,t NaE æt:,#æWi
or rrus¿ sgrùcrnenÈ) and appllcablc law oo crtler info lhc Swr¡o rnd would aho bc su
auttrorized to inv+),rt directly,,inlo tho Fundi ft) lha lfhírdI¡art¡l bss t+csivèd'rûrd,tliewcd a copyof lftù
Menro¡andum ¿nrl îh¿ .A.greønenl; (c) thu Thild Farljr acknorvlcdg*:s tlrat the I'u¡¡d nnú its rú'ãliotes ûû ¡tol
responsihlo for tho logrrllty, suitåbiJity or.tnx cooseç¡c¡ccs of thç.$¡¡ap and tl:at ttie .Subscriber is nr¡t aa
ageni of ürc Fund; and (rl) thc Third }arly !s an "ellgíhie swrp parlÍiþa:tf' ¡¡6 a 'lqualíficd eligil¡¡e
pcrson' rndcr Co¡ru¡odity Futrxcs Tradiog Goguni¡sion ¡ries, qnd ari 'lscoreilikd investo¡'r ttndcr'
Act and a "qu4lìfied.purchaqern undor tbc lnvèstøent
It¿
to üxlcrirnif.l' ttie Fu¡d;'tlre,IËþt*é0, Mu.'"*rr oo,l lb*i.
Co
,pÈrtnc¡sh¡F agæemcr¡¡
res
ali costs¡
fccs.. ar-rd,cxpÉn6oi
(írrcluding bgal fcci and
dÍsbrnse¡¡enfs, fures, aad rû¡oonle paid in settlempnl) in oonnÉclitn rviUi apy døq,r.4ge5 ¡i.'s-uiliult.Èora the
Sr¡bscribers nli-srcpre^r*ntation or ¡ujsslatenrcnf coritsirtcd ùcreþr- Ñittldrig hereis cçngtitiles .a¡l
aBrc¿¡:reur or st¡tc¡ic¡rt by rhc !-unecrmring u shareholder of
'ùu Funtl.
informf¡tjon !;lúch t}ie Sùbecríbcr h*r provided. to ùc Iund or,the Aú¡rinislr¡rtor concemjng the
Sub¡ðriber" {hc Suhsixibc/¡'stafüs, {inaircial posltioil and lsrowledgc and exporience of finanoial, tor
and b',si¡esb ¡l¿furs, or. in fhq.cags gf a S\¡b€ciribér üat ls ân snÌ¡sy, the F,rcr"vlvdge and çx_usrir-'nË€
of fi¡arr,cial, tax and busilcgs n¡¡FcrÌ of ñe pcnion moJring thc- ¡nvestme&ù tìecision on bèhalf of such
entlty, is corrÞct Ând coraplete ils gfthS datc sçt lbr-tb hprsin.
,{ll
T¡e 5¡bscribe.r irrevocably au¡horiz,r:s the Fund audlor the Ad¡ninisl¡ator to disclose, ñt ùrJ rjrirc,.
a,ry irrforrnation hald by.ftre Furul or the Admûriitatbr iri rclatiõrr to tbu S¡rbspribe¡ or his.
ínvcgtment þ tho Frnd to ilre loveslúËnt Matugi:r,or ony àfn]iste of the ]¡rvestmÊat Mauagor or
lhe Adminisk¿tcir.
10. , 'Ea;ll#lg¡Èr $ubscpbe¡ r,qclcrslands tfrgt thavaluc.sf its Shares arr{'rcdçrn¡rtíg.n¡
in some cisbs, cstin-rntei!,
rbcrcof ¿id thJ;ffif,8Ëca'of,ths Frind, inay bc based on uuau,lílod
^d
'valuailårs'of thc. Fuí¿t'invocnfiffits and.t[aô.4uy v.aluaticrr.piovìäêit in SuÞsêribeds lrc4ou¡t
.st¿tsrEçnt
lI' ,
'reptesÊntativo
12.
¿¡rd not
'
mcy bÞ hS i¡üãudttF4 estfoådþd'vatug''
with
a
:'
,
1 ti
:. ,
çr
(r
,.IJtVÊAl#dJgtçnç.. Sri$scriber is buying rbe St¡arÉ4 Éololy for i¡vestrnenl þqrposes
v;cw toä¡stributc, s:rÈdivido or.re;scÛ tho Sbares. '.
13.
SubsequeDt Su.b$ao+:tio4$. Jf Subsor-il¡cr .çr¡bssrílrar foi tdtlitionol Sharcs at a latcr
dafe, Suhsc¡ibrr sirall :t¡ç d¿erned to lnv¿,rÊ-Ëxest¡ted this Agru'ement in uubscribing for thoso Sl¡arc(.
SSESr311qq Æ.-$!rye$ JÇe¡'iificales. l'hÞ Shartx issued to Subsc,rribe¡ wil! .bp
registcred on .ire Frrnd'c toôl'ä in dro ¡pme of Subscriber and.oot aoy nortiiuee. Sfutre cenificatcs
oot be issugd to Subsç'Ð'bet urúess ít ¡o requÈ'(ls in
14.
rvríting.
fhebe'pl
t {ild
*íl
15,
h
ccerlil fil thc
undcrlyiug
the þlemorar¡durn (the '?lerlgee')-
lhc rmdcrsigned furthe¡
:
âgrõùe tlìát fhe asscts
tu thc eulity a;t+ndíng
g acsouflt doscrjbed
i¡
agrecs tltat such Pledgec may takc a,ny
l
HEADV/AYOOOA777
, r
:-'11,i'1i:È
cvenß t}e Fund i'ails trr Pay''rmy t¡utgurts
on accoult of the Sharcs, witltout ,not!ce, inrlrr
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