Highbridge Capital Management, LLC

Business, clients and compensation, as filed

Advisory activities

portfolio management for pooled investment vehicles

Compensated by

a percentage of assets under management, fixed fees and performance-based fees

Client types

pooled investment vehicles (16)

Also engaged as

commodity pool operator or commodity trading advisor

Related persons include

a broker-dealer, another investment adviser, a security-based swap dealer, a commodity pool operator or commodity trading advisor, a futures commission merchant, a banking or thrift institution, a trust company, an insurance company or agency, a pension consultant, a real estate broker or dealer, a sponsor or syndicator of limited partnerships and a sponsor, general partner or managing member of pooled investment vehicles

Affiliates

2 broker-dealers, 7 investment advisers

Form ADV Item 11 disclosures

The firm answered yes to the following Item 11 questions. The answers cover the firm and its advisory affiliates; the Disclosure Reporting Pages on IAPD identify the subject and the outcome.

• felony conviction (firm or advisory affiliate) (Item 11A(1))
• felony charge pending (Item 11A(2))
• SEC or CFTC finding of a false statement or omission (Item 11C(1))
• SEC or CFTC finding of a violation of regulations or statutes (Item 11C(2))
• SEC or CFTC order against the firm or an affiliate (Item 11C(4), 2 reported)
• SEC or CFTC civil money penalty or cease-and-desist (Item 11C(5), 2 reported)
• other regulator finding of a violation (Item 11D(2), 2 reported)
• other regulator order, denial, suspension or revocation (Item 11D(4), 2 reported)