Unassociated Document

EX-99.(P) 12 ex25-p.htm Unassociated Document

[LOGO] HATTERAS

Wiring Instructions

Taxable Investors:

UMB Bank, N.A.

928 Grand Boulevard, Kansas City, MO 64106

ABA: 101000695

Account Number: 9871418332

Account Name: Hatteras Multi-Strategy Fund

FBO: (Insert Investor Name)

Tax Exempt/Deferred Investors:

UMB Bank, N.A.

928 Grand Boulevard, Kansas City, MO 64106

ABA: 101000695

Account Number: 9871418340

Account Name: Hatteras Multi-Strategy TEI Fund

FBO: (Insert Investor Name)

All Applications must be received by the Fund’s Transfer

Agent FIVE BUSINESS DAYS before the end of the

month for a subscription to be accepted.

All WIRED AMOUNTS must be received by the

Investment Manager THREE BUSINESS DAYS

before the end of the month for a subscription to

be accepted and effective as of the beginning of

the month immediately following such receipt.

HATTERAS MULTI-STRATEGY FUND I, L.P.

HATTERAS MULTI-STRATEGY TEI FUND, L.P.

Application

For more information,

please call us toll-free at:

888.363.2324.

Visit our website at:

www.hatterasfunds.com

Overnight address:

Hatteras Funds

Attn: UMB Fund Services, Inc.

803 W. Michigan St.

Milwaukee, WI 53233

US Mailing address:

Hatteras Funds

Attn: UMB Fund Services, Inc.

P.O. Box 1623

Milwaukee, WI 53201-1623

Fax Number:

816-860-3138

Acknowledgment

A	I certify that I have received and read the current Prospectus and Privacy Notice of the Fund in which I am investing and agree to be bound by its terms and conditions. I certify that I have the authority and legal capacity to make this purchase and that I am of legal age in my state of residence.

I authorize the Fund and its agents to act upon instructions (by phone, in writing or other means) believed to be genuine and in accordance with the procedures described in the Prospectus for this account. I agree that neither the Fund nor the transfer agent will be liable for any loss, cost or expense for acting on such instructions.

C	I certify that I am not a Foreign Financial Institution as defined in the U.S.A. Patriot Act.

(1)

I certify that if I am a fiduciary executing this investor certification on behalf of an employee benefit plan (a “Plan”), I represent and warrant that neither Hatteras Investment Partners, LLC (the “Advisor”) nor any of its affiliates has acted as a fiduciary under the Employee Retirement Income Security Act of 1974, as amended (“ERISA”) with respect to the purchase, holding or disposition of the interests in the Fund, and that no advice provided by the Advisor or any of its affiliates has formed a basis for any investment decision by the Plan or me in connection with such purchase, holding or disposition.

(2)

I further represent and warrant that the Plan’s purchase of the interests in the Fund does not, and will not (to the best of the Plan’s knowledge and assuming compliance by the Fund with its governing agreements), result in a non-exempt prohibited transaction under Section 406 of ERISA or Section 4975 of the Internal Revenue Code of 1986, as amended (or in the case of any governmental plan, any federal, state or local law that is substantially similar).

E	In connection with the Fund’s efforts to comply with applicable laws concerning money laundering and related activities, I represent, warrant and agree that to the best of my knowledge based upon reasonable diligence and investigation:

(1)

I am not (nor is any person or entity controlled by, controlling or under common control with me, or any of my beneficial owners) any of the following:

(a)

A person or entity listed in the Annex to Executive Order 13224 (2001) issued by the President of the United States, which is posted on the website of the U.S. Department of Treasury (http://www.treas.gov).

(b)

Named on the List of Specially Designated Nationals and Blocked Persons maintained by the U.S. Office of Foreign Assets Control (OFAC), which is posted on the website of the U.S. Department of Treasury (http://www.treas.gov) under “OFAC/SDN List.”

(c)

A person or entity resident in, or whose subscription funds are transferred from or through an account in, a foreign country or territory that has been designated as “Non-Cooperative Jurisdiction.” The current list of the Financial Action Task Force on Money Laundering’s (“FATF”) Non-Cooperative Jurisdictions is posted on the FATF website (http://www1.oecd.org/fatf).

(d)

A person or entity resident in, or in the case of an entity organized or chartered under the laws of, a jurisdiction that has been designated by the Secretary of the U.S. Treasury under Sections 311 or 312 of the U.S.A. Patriot Act, and the regulations promulgated thereunder as warranting special measures due to money laundering concerns. For updates, see the website of the U.S. Department of Treasury (http://www.treas.gov).

(e)

A foreign shell bank (See U.S.A. Patriot Act and related regulations for definition).

(f)

A senior foreign political figure. This restriction on senior foreign political figures also applies to any immediate family member of such figure or close associate of such figure (See U.S.A. Patriot Act and related regulations for definition).

(2)

No consideration that I have contributed or will contribute to the Fund:

(a)

Shall originate from, nor will they be routed through, a foreign shell bank or a bank organized or chartered under the laws of a Non-Cooperative Jurisdiction.

(b)

Has been or shall be derived from, or related to, any activity that is deemed criminal under U.S. law.

(c)

Shall cause the Fund or the Advisor to be in violation of the U.S. Bank Secrecy Act and all other federal anti-money laundering regulations.

(3)

I understand and agree that if at any time it is discovered that any of the representations in this Section 5 are incorrect, or if otherwise required by applicable law related to money laundering and similar activities, the Advisor may, in its sole discretion and notwithstanding anything to the contrary in the Fund’s Limited Partnership Agreement, as it may be amended or modified from time to time, undertake appropriate actions to ensure compliance with applicable law, including but not limited to freezing, segregating or redeeming my subscription in the Fund.

(4)

I further understand that the Fund or the Advisor may release confidential information about me and, if applicable, any underlying beneficial ownership, to proper authorities if the Advisor, in its sole discretion, determines that it is in the best interests of the Fund in light of applicable law concerning money laundering and similar activities.

(5)

I agree to provide to the Advisor any additional information that the Advisor deems necessary or appropriate to ensure compliance with all applicable laws concerning money laundering and similar activities. I shall promptly notify the Advisor if any of the representations in this Section 5 cease to be true and accurate. I agree to call the Advisor if I need more information about Section 5 or if I am unsure whether any of the categories apply to me.

I understand that the Fund and its affiliates are relying on the certification and agreements made herein in determining my qualification and suitability as an investor in the Fund. I understand that an investment in the Fund is not appropriate for, and may not be acquired by, any person who cannot make this certification, and, to the extent permitted by applicable law, agree to indemnify the Advisor and its affiliates, and their respective directors, trustees, managers, members, shareholders, partners, officers, and employees and hold each of them harmless from any liability that they may incur as a result of this certification being untrue in any respect.

[LOGO] HATTERAS

		HATTERAS MULTI-STRATEGY FUND I, L.P.
		࿠Taxable Investors ONLY
CHOOSE FUND
		HATTERAS MULTI-STRATEGY TEI FUND, L.P.
		࿠Tax-Exempt/Tax-Deferred

¨ Initial Investment (minimum amount $100,000)

¨ Addition to Existing Account (minimum amount $25,000)

1. Individual Account Information

Owner’s Social Security Number

Owner’s Name (first, middle, last)

Date of Birth

Joint Owner’s Social Security Number

Joint Owner’s Name (first, middle, last)

2. Non-Individual Account Information

Full Name of Entity

Social Security Number or Tax ID

Formation Date

Authorized Individual’s Name

Taxable Accounts

Select Entity Type ¨ Corporation ¨ Trust ¨ Partnership

¨ Other: __________________________________________________________

Tax-Exempt and Tax-Deferred Accounts

Select Entity Type ¨ 401(k) ¨ IRA ¨ Trust

¨ Other: __________________________________________________________

3. Mailing Address

(Applications will only be accepted if they contain a U.S. street address.)

Street Address

City State Zip

Daytime Telephone Evening Telephone

E-mail Address Fax Number

(see Electronic Communications Disclosure)

4. Interested Party Information

Send duplicate communication for this account to:

Name

Street Address

City State Zip

E-mail Address Fax Number

(see Electronic Communications Disclosure)

5. Qualified Client Status

I certify that I am a “qualified client” at the time of my investment in the Fund because I satisfy one or more of the categories of qualified client listed below.

The subscriber is: |____| (write corresponding letter in box provided)

A	a natural person who individually or together with a spouse has a “net worth” in excess of $1.5 million (the “Net Worth Requirement”);

B	a person who has at least $750,000 under the management of the Advisor or its affiliates;

an (i) irrevocable trust, (ii) Plan, or (iii) a corporation, partnership, limited liability company or other entity that is not (x) a registered investment company, (y) an entity which is excluded from the definition of investment company under Section 3(a) of the Investment Company Act of 1940 based on Section 3(c)(1), or (z) a business development company, in each case that meets the Net Worth Requirement;

D	a revocable trust and each grantor of the trust meets the Net Worth Requirement;

E	a participant-directed Plan and the person making the investment meets the Net Worth Requirement;

F	a corporation, partnership, limited liability company or

G	an entity referred to in clause C(i) , (ii) or (iii) above, not formed for the specific purpose of investing in the Fund and each equity owner meets the Net Worth Requirement.

As used herein, “net worth” means the excess of total assets at fair market value, including home, over total liabilities. For the purpose of determining “net worth,” the principal residence owned by an individual shall be valued at either (1) cost, including the cost of improvements, net of current encumbrances upon the property, or (2) the appraised value of the property as determined by an institutional lender, net of current encumbrances upon the property.

6. Fund Servicing Disclosure

The Advisor is an investment advisor registered under the Investment Advisers Act of 1940, as amended. The Advisor serves as investment advisor to each Fund and certain employees of the Advisor serve as the directors of the Funds. The Advisor has engaged the services of your Financial Advisor (the “Agent”) to solicit potential investors to acquire interests and/or to provide services to its clients that are investors in the Funds (an “Investment”) pursuant to a written agreement.

As compensation for services rendered by the Agent, the Advisor pays the Agent a fee of up to 0.75% per annum of the Funds’ assets attributable to Investments in the Funds solicited and/or serviced by the Agent for so long as the Advisor manages such assets. The compensation to the Agent does not in any way affect any management or performance fee or allocation that an Investor would be charged or allocated in the event that an Investor acquired the Investment without the involvement of the Agent.

7. Custodian Information (if applicable)

Custodian Name

Custodian Tax ID

Custodian Address

City State Zip

Phone Number

8. Registered Investment Advisor (RIA) or Broker Dealer (BD) Information

Firm Name Client Brokerage Account#

Firm Phone Number

Firm Address

City State Zip

Rep Name

Rep Phone Number Rep Number

Rep Address

City State Zip

Rep E-mail Address

(see Electronic Communications Disclosure)

Clearing Firm

9. Investment Instructions

Subscription Amount $_______________________________

• $100,000 minimum Initial Investment

• $25,000 minimum Additional Investment

Sale Charge ¨ YES ¨ NO

$_______________________________

The Investor acknowledges that a sales charge in the percentage of the tendered Subscription Amount specified above may be charged by the Sales Agent in connection with this investment and that only the net amount, after deduction of the sales charge, will be invested in the Fund.

Amount of Investment	Sales Charge
Up to $499,999	2.0%
$500,000 to $999,999	1.5%
$1,000,000 to $4,999,999	1.0%
$5,000,000 or more	0.0%

10. Electronic Communications Disclosure

Please note that by providing your e-mail address, you are consenting to electronic delivery of Fund documentation. Your selection applies to monthly statements and all other account-related documents that the Fund will send to you. Many of the documents will contain confidential information that is specific to your private financial matters. Regardless of the delivery method you select, the Fund will take reasonable precautions to ensure the integrity, confidentiality and security of the documents, but will not be liable for any interception.

If you select electronic delivery, the Fund will deliver a document to you by sending you an e-mail that contains a copy of the document. Electronic delivery is not currently available, but your selection will take effect as soon as it is available. Such selection will remain in effect as long as you maintain an investment with the Fund or until you notify the Fund of a change. You may change your delivery method at any time by sending an e-mail to subscriptions@hatterasfunds.com. Please allow 7 business days for your requested change to process.

The Fund does not impose any additional charge for electronic delivery, but you may incur changes from your Internet service provider and your telephone company or other Internet access provider. In addition, there are risks, such as systems outages, that are associated with electronic delivery.

11. Signature

By signing below, I hereby execute, as a limited partner, and agree to be bound by the terms of the Limited Partnership Agreement, including its power of attorney provisions. I have read the Limited Partnership Agreement and, to the extent I believe it necessary, have consulted with my tax and legal advisors and understand its terms.

Under penalty of perjury, I certify that:

1.	The Social Security Number or Taxpayer Identification Number shown on this application is correct.

I am not subject to backup withholding because: (a) I am exempt from backup withholding; or (b) I have not been notified by the Internal Revenue Service (IRS) that I am subject to backup withholding as a result of a failure to report all interest or dividends; or (c) the IRS has notified me that I am no longer subject to backup withholding.

3.	I am a U.S. person (including a U.S. resident alien).

The Internal Revenue Service does not require your consent to any provision of this document other than the certifications required to avoid backup withholding.

All owners/trustees must sign.

For UGMA/UTMAs, custodian should sign.

Signature of Owner, Trustee or Custodian Date

Signature of Joint Owner, Trustee or Custodian (if applicable) Date

Additional Owner’s Signature (if applicable) Date