UNITED STATES BANKRUPTCY COURT FOR THE NORTHERN DISTRICT OF 

TEXAS, DALLAS DIVISION 

In Re: Highland Capital Management, L.P. § Case No. 19-34054-SGJ-11 

The Charitable DAF Fund LP § 

 Appellant § 22-03052 

vs. § 

Highland Capital Management, L.P. § 

 Appellee § 3:22-CV-02280-S

[43] Order granting amended motion to dismiss adversary proceeding with prejudice (related 

document # 19) Entered on 9/30/2022 

APPELLANT RECORD 

VOLUME 12 

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(h) the rules of construction set forth in section 102 of the Bankruptcy Code shall apply; (i) any 

term used in capitalized form herein that is not otherwise defined but that is used in the 

Bankruptcy Code or the Bankruptcy Rules shall have the meaning assigned to that term in the 

Bankruptcy Code or the Bankruptcy Rules, as the case may be; and (j) “$” or “dollars” means 

Dollars in lawful currency of the United States of America. The provisions of Bankruptcy 

Rule 9006(a) shall apply in computing any period of time prescribed or allowed herein. 

B. Defined Terms

Unless the context otherwise requires, the following terms shall have the following 

meanings when used in capitalized form herein: 

1. “Acis” means collectively Acis Capital Management, L.P. and Acis Capital 

Management GP, LLP. 

2. “Administrative Expense Claim” means any Claim for costs and expenses of 

administration of the Chapter 11 Case that is Allowed pursuant to sections 503(b), 507(a)(2), 

507(b) or 1114(2) of the Bankruptcy Code, including, without limitation, (a) the actual and 

necessary costs and expenses incurred after the Petition Date and through the Effective Date of 

preserving the Estate and operating the business of the Debtor; and (b) all fees and charges 

assessed against the Estate pursuant to sections 1911 through 1930 of chapter 123 of title 28 of 

the United States Code, and that have not already been paid by the Debtor during the Chapter 11 

Case and a Professional Fee Claim. 

3. “Administrative Expense Claims Bar Date” means, with respect to any 

Administrative Expense Claim (other than a Professional Fee Claim) becoming due on or prior to 

the Effective Date, 5:00 p.m. (prevailing Central Time) on such date that is forty-five days after 

the Effective Date. 

4. “Administrative Expense Claims Objection Deadline” means, with respect to 

any Administrative Expense Claim, the later of (a) ninety (90) days after the Effective Date and 

(b) sixty (60) days after the timely Filing of the applicable request for payment of such 

Administrative Expense Claim; provided, however, that the Administrative Expense Claims 

Objection Deadline may be extended by the Bankruptcy Court upon a motion by the Claimant 

Trustee. 

5. “Affiliate” of any Person means any Entity that, with respect to such Person, 

either (i) is an “affiliate” as defined in section 101(2) of the Bankruptcy Code, or (ii) is an 

“affiliate” as defined in Rule 405 of the Securities Act of 1933, or (iii) directly or indirectly, 

through one or more intermediaries, controls, is controlled by, or is under common control with, 

such Person. For the purposes of this definition, the term “control” (including, without 

limitation, the terms “controlled by” and “under common control with”) means the possession, 

directly or indirectly, of the power to direct or cause the direction in any respect of the 

management or policies of a Person, whether through the ownership of voting securities, by 

contract, or otherwise. 

6. “Allowed” means, with respect to any Claim, except as otherwise provided in 

the Plan: (a) any Claim that is evidenced by a Proof of Claim that has been timely Filed by the 

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Bar Date, or that is not required to be evidenced by a Filed Proof of Claim under the Bankruptcy 

Code or a Final Order; (b) a Claim that is listed in the Schedules as not contingent, not 

unliquidated, and not disputed and for which no Proof of Claim has been timely filed; (c) a 

Claim Allowed pursuant to the Plan or an order of the Bankruptcy Court that is not stayed 

pending appeal; or (d) a Claim that is not Disputed (including for which a Proof of Claim has 

been timely filed in a liquidated and noncontingent amount that has not been objected to by the 

Claims Objection Deadline or as to which any such objection has been overruled by Final 

Order); provided, however, that with respect to a Claim described in clauses (a) and (b) above, 

such Claim shall be considered Allowed only if and to the extent that, with respect to such 

Claim, no objection to the allowance thereof has been interposed within the applicable period of 

time fixed by the Plan, the Bankruptcy Code, the Bankruptcy Rules, or the Bankruptcy Court, or 

such an objection is so interposed and the Claim shall have been Allowed as set forth above. 

7. “Allowed Claim or Equity Interest” means a Claim or an Equity Interest of the 

type that has been Allowed. 

8. “Assets” means all of the rights, titles, and interest of the Debtor, Reorganized 

Debtor, or Claimant Trust, in and to property of whatever type or nature, including, without 

limitation, real, personal, mixed, intellectual, tangible, and intangible property, the Debtor’s 

books and records, and the Causes of Action. 

9. “Available Cash” means any Cash in excess of the amount needed for the 

Claimant Trust and Reorganized Debtor to maintain business operations as determined in the 

sole discretion of the Claimant Trustee. 

10. “Avoidance Actions” means any and all avoidance, recovery, subordination or 

other actions or remedies that may be brought by and on behalf of the Debtor or its Estate under 

the Bankruptcy Code or applicable nonbankruptcy law, including, without limitation, actions or 

remedies arising under sections 502, 510, 544, 545, and 547-553 of the Bankruptcy Code or 

under similar state or federal statutes and common law, including fraudulent transfer laws 

11. “Ballot” means the form(s) distributed to holders of Impaired Claims or 

Equity Interests entitled to vote on the Plan on which to indicate their acceptance or rejection of 

the Plan. 

12. “Bankruptcy Code” means title 11 of the United States Code, 11 U.S.C. 

§§ 101-1532, as amended from time to time and as applicable to the Chapter 11 Case. 

13. “Bankruptcy Court” means the United States Bankruptcy Court for the 

Northern District of Texas, Dallas Division, or any other court having jurisdiction over the 

Chapter 11 Case. 

14. “Bankruptcy Rules” means the Federal Rules of Bankruptcy Procedure and the 

Local Rules of Bankruptcy Practice and Procedure of the United States Bankruptcy Court for the 

Northern District of Texas, Dallas Division, in each case as amended from time to time and as 

applicable to the Chapter 11 Case. 

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15. “Bar Date” means the applicable deadlines set by the Bankruptcy Court for 

the filing of Proofs of Claim against the Debtor as set forth in the Bar Date Order, which 

deadlines may be or have been extended for certain Claimants by order of the Bankruptcy Court. 

16. “Bar Date Order” means the Order (I) Establishing Bar Dates for Filing 

Proofs of Claim and (II) Approving the Form and Manner of Notice Thereof [D.I. 488]. 

17. “Business Day” means any day, other than a Saturday, Sunday or “legal 

holiday” (as defined in Bankruptcy Rule 9006(a)). 

18. “Cash” means the legal tender of the United States of America or the 

equivalent thereof. 

19. “Causes of Action” means any action, claim, cross-claim, third-party claim, 

cause of action, controversy, demand, right, Lien, indemnity, contribution, guaranty, suit, 

obligation, liability, debt, damage, judgment, account, defense, remedy, offset, power, privilege, 

license and franchise of any kind or character whatsoever, in each case whether known, 

unknown, contingent or non-contingent, matured or unmatured, suspected or unsuspected, 

liquidated or unliquidated, disputed or undisputed, foreseen or unforeseen, direct or indirect, 

choate or inchoate, secured or unsecured, assertable directly or derivatively (including, without 

limitation, under alter ego theories), whether arising before, on, or after the Petition Date, in 

contract or in tort, in law or in equity or pursuant to any other theory of law. For the avoidance 

of doubt, Cause of Action includes, without limitation,: (a) any right of setoff, counterclaim or 

recoupment and any claim for breach of contract or for breach of duties imposed by law or in 

equity; (b) the right to object to Claims or Equity Interests; (c) any claim pursuant to section 362 

or chapter 5 of the Bankruptcy Code; (d) any claim or defense including fraud, mistake, duress 

and usury, and any other defenses set forth in section 558 of the Bankruptcy Code; (e) any claims 

under any state or foreign law, including, without limitation, any fraudulent transfer or similar 

claims; (f) the Avoidance Actions, and (g) the Estate Claims. The Causes of Action include, 

without limitation, the Causes of Action belonging to the Debtor’s Estate listed on the schedule 

of Causes of Action to be filed with the Plan Supplement. 

20. “CEO/CRO” means James P. Seery, Jr., the Debtor’s chief executive officer 

and chief restructuring officer. 

21. “Chapter 11 Case” means the Debtor’s case under chapter 11 of the 

Bankruptcy Code commenced on the Petition Date in the Delaware Bankruptcy Court and 

transferred to the Bankruptcy Court on December 4, 2019, and styled In re Highland Capital 

Management, L.P., Case No. 19-34054-sgj-11. 

22. “Claim” means any “claim” against the Debtor as defined in section 101(5) of 

the Bankruptcy Code. 

23. “Claims Objection Deadline” means the date that is 180 days after the 

Confirmation Date; provided, however, the Claims Objection Deadline may be extended by the 

Bankruptcy Court upon a motion by the Claimant Trustee. 

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24. “Claimant Trust” means the trust established for the benefit of the Claimant 

Trust Beneficiaries on the Effective Date in accordance with the terms of this Plan and the 

Claimant Trust Agreement. 

25. “Claimant Trust Agreement” means the agreement Filed in the Plan 

Supplement establishing and delineating the terms and conditions of the Claimant Trust. 

26. “Claimant Trust Assets” means (i) other than the Reorganized Debtor Assets 

(which are expressly excluded from this definition), all other Assets of the Estate, including, but 

not limited to, all Causes of Action, Available Cash, any proceeds realized or received from such 

Assets, all rights of setoff, recoupment, and other defenses with respect, relating to, or arising 

from such Assets, (ii) any Assets transferred by the Reorganized Debtor to the Claimant Trust on 

or after the Effective Date, (iii) the limited partnership interests in the Reorganized Debtor, and 

(iv) the ownership interests in New GP LLC. For the avoidance of doubt, any Causes of Action 

that, for any reason, are not capable of being transferred to the Claimant Trust shall constitute 

Reorganized Debtor Assets. 

27. “Claimant Trust Beneficiaries” means the Holders of Allowed General 

Unsecured Claims, Holders of Allowed Subordinated Claims, including, upon Allowance, 

Disputed General Unsecured Claims and Disputed Subordinated Claims that become Allowed 

following the Effective Date, and, only upon certification by the Claimant Trustee that the 

Holders of such Claims have been paid indefeasibly in full plus, to the extent all Allowed 

unsecured Claims, excluding Subordinated Claims, have been paid in full, post-petition interest 

from the Petition Date at the Federal Judgment Rate in accordance with the terms and conditions 

set forth in the Claimant Trust Agreement and all Disputed Claims in Class 8 and Class 9 have 

been resolved, Holders of Allowed Class B/C Limited Partnership Interests, and Holders of 

Allowed Class A Limited Partnership Interests. 

28. “Claimant Trustee” means James P. Seery, Jr., the Debtor’s chief executive 

officer and chief restructuring officer, or such other Person identified in the Plan Supplement 

who will act as the trustee of the Claimant Trust in accordance with the Plan, the Confirmation 

Order, and Claimant Trust Agreement or any replacement trustee pursuant to (and in accordance 

with) the Claimant Trust Agreement. The Claimant Trustee shall be responsible for, among 

other things, monetizing the Estate’s investment assets, resolving Claims (other than those 

Claims assigned to the Litigation Sub-Trust for resolution), and, as the sole officer of New GP 

LLC, winding down the Reorganized Debtor’s business operations. 

29. “Claimant Trust Expenses” means all reasonable legal and other reasonable 

professional fees, costs, and expenses incurred by the Trustees on account of administration of 

the Claimant Trust, including any reasonable administrative fees and expenses, reasonable 

attorneys’ fees and expenses, reasonable insurance costs, taxes, reasonable escrow expenses, and 

other expenses. 

30. “Claimant Trust Interests” means the non-transferable interests in the 

Claimant Trust that are issued to the Claimant Trust Beneficiaries pursuant to this Plan; 

provided, however, Holders of Class A Limited Partnership Interests, Class B Limited 

Partnership Interests, and Class C Limited Partnership Interests will not be deemed to hold 

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Claimant Trust Interests unless and until the Contingent Claimant Trust Interests distributed to 

such Holders vest in accordance with the terms of this Plan and the Claimant Trust Agreement. 

31. “Claimant Trust Oversight Committee” means the committee of five Persons 

established pursuant to ARTICLE IV of this Plan to oversee the Claimant Trustee’s performance 

of its duties and otherwise serve the functions described in this Plan and the Claimant Trust 

Agreement. 

32. “Class” means a category of Holders of Claims or Equity Interests as set forth 

in ARTICLE III hereof pursuant to section 1122(a) of the Bankruptcy Code. 

33. “Class A Limited Partnership Interest” means the Class A Limited Partnership 

Interests as defined in the Limited Partnership Agreement held by The Dugaboy Investment 

Trust, Mark and Pamela Okada Family Trust – Exempt Trust 2, Mark and Pamela Okada – 

Exempt Descendants’ Trust, and Mark Kiyoshi Okada, and the General Partner Interest. 

34. “Class B Limited Partnership Interest” means the Class B Limited Partnership 

Interests as defined in the Limited Partnership Agreement held by Hunter Mountain Investment 

Trust. 

35. “Class B/C Limited Partnership Interests” means, collectively, the Class B 

Limited Partnership and Class C Limited Partnership Interests. 

36. “Class C Limited Partnership Interest” means the Class C Limited Partnership 

Interests as defined in the Limited Partnership Agreement held by Hunter Mountain Investment 

Trust. 

37. “Committee” means the Official Committee of Unsecured Creditors 

appointed by the U.S. Trustee pursuant to 11 U.S.C. § 1102(a)(1) on October 29, 2019 [D.I. 65], 

consisting of (i) the Redeemer Committee of Highland Crusader Fund, (ii) Meta-e Discovery, 

(iii) UBS, and (iv) Acis. 

38. “Confirmation Date” means the date on which the clerk of the Bankruptcy 

Court enters the Confirmation Order on the docket of the Bankruptcy Court. 

39. “Confirmation Hearing” means the hearing held by the Bankruptcy Court 

pursuant to section 1128 of the Bankruptcy Code to consider confirmation of this Plan, as such 

hearing may be adjourned or continued from time to time. 

40. “Confirmation Order” means the order of the Bankruptcy Court confirming 

this Plan pursuant to section 1129 of the Bankruptcy Code. 

41. “Convenience Claim” means any prepetition, liquidated, and unsecured 

Claim against the Debtor that as of the Confirmation Date is less than or equal to $1,000,000 or 

any General Unsecured Claim that makes the Convenience Class Election. For the avoidance of 

doubt, the Reduced Employee Claims will be Convenience Claims. 

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42. “Convenience Claim Pool” means the $13,150,000 in Cash that shall be 

available upon the Effective Date for distribution to Holders of Convenience Claims under the 

Plan as set forth herein. Any Cash remaining in the Convenience Claim Pool after all 

distributions on account of Convenience Claims have been made will be transferred to the 

Claimant Trust and administered as a Claimant Trust Asset. 

43. “Convenience Class Election” means the option provided to each Holder of a 

General Unsecured Claim that is a liquidated Claim as of the Confirmation Date on their Ballot 

to elect to reduce their claim to $1,000,000 and receive the treatment provided to Convenience 

Claims. 

44. “Contingent Claimant Trust Interests” means the contingent Claimant Trust 

Interests to be distributed to Holders of Class A Limited Partnership Interests, Holders of Class B 

Limited Partnership Interests, and Holders of Class C Limited Partnership Interests in 

accordance with this Plan, the rights of which shall not vest, and consequently convert to 

Claimant Trust Interests, unless and until the Claimant Trustee Files a certification that all 

holders of Allowed General Unsecured Claims have been paid indefeasibly in full, plus, to the 

extent all Allowed unsecured Claims, excluding Subordinated Claims, have been paid in full, all 

accrued and unpaid post-petition interest from the Petition Date at the Federal Judgment Rate 

and all Disputed Claims in Class 8 and Class 9 have been resolved. As set forth in the Claimant 

Trust Agreement, the Contingent Claimant Trust Interests distributed to the Holders of Class A 

Limited Partnership Interests will be subordinated to the Contingent Claimant Trust Interests 

distributed to the Holders of Class B/C Limited Partnership Interests. 

45. “Debtor” means Highland Capital Management, L.P. in its capacity as debtor 

and debtor in possession in the Chapter 11 Case. 

46. “Delaware Bankruptcy Court” means the United States Bankruptcy Court for 

the District of Delaware. 

47. “Disclosure Statement” means that certain Disclosure Statement for Debtor’s 

Fifth Amended Chapter 11 Plan of Reorganization, as amended, supplemented, or modified from 

time to time, which describes this Plan, including all exhibits and schedules thereto and 

references therein that relate to this Plan. 

48. “Disputed” means with respect to any Claim or Equity Interest, any Claim or 

Equity Interest that is not yet Allowed. 

49. “Disputed Claims Reserve” means the appropriate reserve(s) or account(s) to 

be established on the Initial Distribution Date and maintained by the Claimant Trustee for 

distributions on account of Disputed Claims that may subsequently become an Allowed Claim. 

50. “Disputed Claims Reserve Amount” means, for purposes of determining the 

Disputed Claims Reserve, the Cash that would have otherwise been distributed to a Holder of a 

Disputed Claim at the time any distributions of Cash are made to the Holders of Allowed Claims. 

The amount of the Disputed Claim upon which the Disputed Claims Reserve is calculated shall 

be: (a) the amount set forth on either the Schedules or the filed Proof of Claim, as applicable; (b) 

the amount agreed to by the Holder of the Disputed Claim and the Claimant Trustee or 

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Reorganized Debtor, as applicable; (c) the amount ordered by the Bankruptcy Court if it enters 

an order disallowing, in whole or in part, a Disputed Claim; or (d) as otherwise ordered by the 

Bankruptcy Court, including an order estimating the Disputed Claim. 

51. “Distribution Agent” means the Claimant Trustee, or any party designated by 

the Claimant Trustee to serve as distribution agent under this Plan. 

52. “Distribution Date” means the date or dates determined by the Reorganized 

Debtor or the Claimant Trustee, as applicable, on or after the Initial Distribution Date upon 

which the Distribution Agent shall make distributions to holders of Allowed Claims and Interests 

entitled to receive distributions under the Plan. 

53. “Distribution Record Date” means the date for determining which Holders of 

Claims and Equity Interests are eligible to receive distributions hereunder, which date shall be 

the Effective Date or such later date determined by the Bankruptcy Court. 

54. “Effective Date” means the Business Day that this Plan becomes effective as 

provided in ARTICLE VIII hereof. 

55. “Employees” means the employees of the Debtor set forth in the Plan 

Supplement. 

56. “Enjoined Parties” means (i) all Entities who have held, hold, or may hold 

Claims against or Equity Interests in the Debtor (whether or not proof of such Claims or Equity 

Interests has been filed and whether or not such Entities vote in favor of, against or abstain from 

voting on the Plan or are presumed to have accepted or deemed to have rejected the Plan), (ii) 

James Dondero (“Dondero”), (iii) any Entity that has appeared and/or filed any motion, 

objection, or other pleading in this Chapter 11 Case regardless of the capacity in which such 

Entity appeared and any other party in interest, (iv) any Related Entity, and (v) the Related 

Persons of each of the foregoing. 

57. “Entity” means any “entity” as defined in section 101(15) of the Bankruptcy 

Code and also includes any Person or any other entity. 

58. “Equity Interest” means any Equity Security in the Debtor, including, without 

limitation, all issued, unissued, authorized or outstanding partnership interests, shares, of stock or 

limited company interests, the Class A Limited Partnership Interests, the Class B Limited 

Partnership Interests, and the Class C Limited Partnership Interests. 

59. “Equity Security” means an “equity security” as defined in section 101(16) of 

the Bankruptcy Code. 

60. “Estate” means the bankruptcy estate of the Debtor created by virtue of 

section 541 of the Bankruptcy Code upon the commencement of the Chapter 11 Case. 

61. “Estate Claims” has the meaning given to it in Exhibit A to the Notice of 

Final Term Sheet [D.I. 354]. 

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62. “Exculpated Parties” means, collectively, (i) the Debtor and its successors and 

assigns, direct and indirect majority-owned subsidiaries, and the Managed Funds, (ii) the 

Employees, (iii) Strand, (iv) the Independent Directors, (v) the Committee, (vi) the members of 

the Committee (in their official capacities), (vii) the Professionals retained by the Debtor and the 

Committee in the Chapter 11 Case, (viii) the CEO/CRO; and (ix) the Related Persons of each of 

the parties listed in (iv) through (viii); provided, however, that, for the avoidance of doubt, none 

of James Dondero, Mark Okada, NexPoint Advisors, L.P. (and any of its subsidiaries and 

managed entities), the Charitable Donor Advised Fund, L.P. (and any of its subsidiaries, 

including CLO Holdco, Ltd., and managed entities), Highland CLO Funding, Ltd. (and any of its 

subsidiaries, members, and managed entities), Highland Capital Management Fund Advisors, 

L.P. (and any of its subsidiaries and managed entities), NexBank, SSB (and any of its 

subsidiaries), the Hunter Mountain Investment Trust (or any trustee acting for the trust), the 

Dugaboy Investment Trust (or any trustee acting for the trust), or Grant Scott is included in the 

term “Exculpated Party.” 

63. “Executory Contract” means a contract to which the Debtor is a party that is 

subject to assumption or rejection under sections 365 or 1123 of the Bankruptcy Code. 

64. “Exhibit” means an exhibit annexed hereto or to the Disclosure Statement (as 

such exhibits are amended, modified or otherwise supplemented from time to time), which are 

incorporated by reference herein. 

65. “Federal Judgment Rate” means the post-judgment interest rate set forth in 28 

U.S.C. § 1961 as of the Effective Date. 

66. “File” or “Filed” or “Filing” means file, filed or filing with the Bankruptcy 

Court or its authorized designee in the Chapter 11 Case. 

67. “Final Order” means an order or judgment of the Bankruptcy Court, which is 

in full force and effect, and as to which the time to appeal, petition for certiorari, or move for a 

new trial, reargument or rehearing has expired and as to which no appeal, petition for certiorari, 

or other proceedings for a new trial, reargument or rehearing shall then be pending or as to which 

any right to appeal, petition for certiorari, new trial, reargument, or rehearing shall have been 

waived in writing in form and substance satisfactory to the Debtor, the Reorganized Debtor, or 

the Claimant Trustee, as applicable, or, in the event that an appeal, writ of certiorari, new trial, 

reargument, or rehearing thereof has been sought, such order of the Bankruptcy Court shall have 

been determined by the highest court to which such order was appealed, or certiorari, new trial, 

reargument or rehearing shall have been denied and the time to take any further appeal, petition 

for certiorari, or move for a new trial, reargument or rehearing shall have expired; provided, 

however, that the possibility that a motion under Rule 60 of the Federal Rules of Civil Procedure, 

or any analogous rule under the Bankruptcy Rules, may be Filed with respect to such order shall 

not preclude such order from being a Final Order. 

68. “Frontier Secured Claim” means the loan from Frontier State Bank to the 

Debtor in the principal amount of $7,879,688.00 made pursuant to that certain First Amended 

and Restated Loan Agreement, dated March 29, 2018. 

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69. “General Partner Interest” means the Class A Limited Partnership Interest 

held by Strand, as the Debtor’s general partner. 

70. “General Unsecured Claim” means any prepetition Claim against the Debtor 

that is not Secured and is not a/an: (a) Administrative Expense Claim; (b) Professional Fee 

Claim; (c) Priority Tax Claim; (d) Priority Non-Tax Claim; or (e) Convenience Claim. 

71. “Governmental Unit” means a “governmental unit” as defined in 

section 101(27) of the Bankruptcy Code. 

72. “GUC Election” means the option provided to each Holder of a Convenience 

Claim on their Ballot to elect to receive the treatment provided to General Unsecured Claims. 

73. “Holder” means an Entity holding a Claim against, or Equity Interest in, the 

Debtor. 

74. “Impaired” means, when used in reference to a Claim or Equity Interest, a 

Claim or Equity Interest that is impaired within the meaning of section 1124 of the Bankruptcy 

Code. 

75. “Independent Directors” means John S. Dubel, James P. Seery, Jr., and 

Russell Nelms, the independent directors of Strand appointed on January 9, 2020, and any 

additional or replacement directors of Strand appointed after January 9, 2020, but prior to the 

Effective Date. 

76. “Initial Distribution Date” means, subject to the “Treatment” sections in 

ARTICLE III hereof, the date that is on or as soon as reasonably practicable after the Effective 

Date, when distributions under this Plan shall commence to Holders of Allowed Claims and 

Equity Interests. 

77. “Insurance Policies” means all insurance policies maintained by the Debtor as 

of the Petition Date. 

78. “Jefferies Secured Claim” means any Claim in favor of Jefferies, LLC, arising 

under that certain Prime Brokerage Customer Agreement, dated May 24, 2013, between the 

Debtor and Jefferies, LLC, that is secured by the assets, if any, maintained in the prime 

brokerage account created by such Prime Brokerage Customer Agreement. 

79. “Lien” means a “lien” as defined in section 101(37) of the Bankruptcy Code 

and, with respect to any asset, includes, without limitation, any mortgage, lien, pledge, charge, 

security interest or other encumbrance of any kind, or any other type of preferential arrangement 

that has the practical effect of creating a security interest, in respect of such asset. 

80. “Limited Partnership Agreement” means that certain Fourth Amended and 

Restated Agreement of Limited Partnership of Highland Capital Management, L.P., dated 

December 24, 2015, as amended. 

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81. “Litigation Sub-Trust” means the sub-trust established within the Claimant 

Trust or as a wholly –owned subsidiary of the Claimant Trust on the Effective Date in each case 

in accordance with the terms and conditions set forth in the Litigation Sub-Trust Agreement and 

Claimant Trust Agreement. As set forth in the Litigation Sub-Trust Agreement, the Litigation 

Sub-Trust shall hold the Claimant Trust Assets that are Estate Claims. 

82. “Litigation Sub-Trust Agreement” means the agreement filed in the Plan 

Supplement establishing and delineating the terms and conditions of the Litigation Sub-Trust. 

83. “Litigation Trustee” means the trustee appointed by the Committee and 

reasonably acceptable to the Debtor who shall be responsible for investigating, litigating, and 

settling the Estate Claims for the benefit of the Claimant Trust in accordance with the terms and 

conditions set forth in the Litigation Sub-Trust Agreement. 

84. “Managed Funds” means Highland Multi-Strategy Credit Fund, L.P., 

Highland Restoration Capital Partners, L.P., and any other investment vehicle managed by the 

Debtor pursuant to an Executory Contract assumed pursuant to this Plan. 

85. “New Frontier Note” means that promissory note to be provided to the 

Allowed Holders of Class 2 Claims under this Plan and any other documents or security 

agreements securing the obligations thereunder. 

86. “New GP LLC” means a limited liability company incorporated in the State of 

Delaware pursuant to the New GP LLC Documents to serve as the general partner of the 

Reorganized Debtor on the Effective Date. 

87. “New GP LLC Documents” means the charter, operating agreement, and other 

formational documents of New GP LLC. 

88. “Ordinary Course Professionals Order” means that certain Order Pursuant to 

Sections 105(a), 327, 328, and 330 of the Bankruptcy Code Authorizing the Debtor to Retain, 

Employ, and Compensate Certain Professionals Utilized by the Debtor in the Ordinary Course 

[D.I. 176]. 

89. “Other Unsecured Claim” means any Secured Claim other than the Jefferies 

Secured Claim and the Frontier Secured Claim. 

90. “Person” means a “person” as defined in section 101(41) of the Bankruptcy 

Code and also includes any natural person, individual, corporation, company, general or limited 

partnership, limited liability company, unincorporated organization firm, trust, estate, business 

trust, association, joint stock company, joint venture, government, governmental agency, 

Governmental Unit or any subdivision thereof, the United States Trustee, or any other entity, 

whether acting in an individual, fiduciary or other capacity. 

91. “Petition Date” means October 16, 2019. 

92. “Plan” means this Debtor’s Fifth Amended Chapter 11 Plan of 

Reorganization, including the Exhibits and the Plan Documents and all supplements, appendices, 

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and schedules thereto, either in its present form or as the same may be altered, amended, 

modified or otherwise supplemented from time to time. 

93. “Plan Distribution” means the payment or distribution of consideration to 

Holders of Allowed Claims and Allowed Equity Interests under this Plan. 

94. “Plan Documents” means any of the documents, other than this Plan, but 

including, without limitation, the documents to be filed with the Plan Supplement, to be 

executed, delivered, assumed, or performed in connection with the occurrence of the Effective 

Date, and as may be modified consistent with the terms hereof with the consent of the 

Committee. 

95. “Plan Supplement” means the ancillary documents necessary for the 

implementation and effectuation of the Plan, including, without limitation, (i) the form of 

Claimant Trust Agreement, (ii) the forms of New GP LLC Documents, (iii) the form of 

Reorganized Limited Partnership Agreement, (iv) the Sub-Servicer Agreement (if applicable), 

(v) the identity of the initial members of the Claimant Trust Oversight Committee, (vi) the form 

of Litigation Sub-Trust Agreement; (vii) the schedule of retained Causes of Action; (viii) the 

New Frontier Note, (ix) the schedule of Employees; (x) the form of Senior Employee 

Stipulation,; and (xi) the schedule of Executory Contracts and Unexpired Leases to be assumed 

pursuant to this Plan, which, in each case, will be in form and substance reasonably acceptable to 

the Debtor and the Committee. 

96. “Priority Non-Tax Claim” means a Claim entitled to priority pursuant to 

section 507(a) of the Bankruptcy Code, including any Claims for paid time-off entitled to 

priority under section 507(a)(4) of the Bankruptcy Code, other than a Priority Tax Claim or an 

Administrative Claim. 

97. “Pro Rata” means the proportion that (a) the Allowed amount of a Claim or 

Equity Interest in a particular Class bears to (b) the aggregate Allowed amount of all Claims or 

Equity Interests in such Class. 

98. “Professional” means (a) any Entity employed in the Chapter 11 Case 

pursuant to section 327, 328 363 or 1103 of the Bankruptcy Code or otherwise and (b) any Entity 

seeking compensation or reimbursement of expenses in connection with the Chapter 11 Case 

pursuant to sections 327, 328, 330, 331, 363, 503(b), 503(b)(4) and 1103 of the Bankruptcy 

Code. 

99. “Professional Fee Claim” means a Claim under sections 328, 330(a), 331, 

363, 503 or 1103 of the Bankruptcy Code, with respect to a particular Professional, for 

compensation for services rendered or reimbursement of costs, expenses or other charges 

incurred after the Petition Date and prior to and including the Effective Date. 

100. “Professional Fee Claims Bar Date” means with respect to Professional 

Fee Claims, the Business Day which is sixty (60) days after the Effective Date or such other date 

as approved by order of the Bankruptcy Court. 

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101. “Professional Fee Claims Objection Deadline” means, with respect to any 

Professional Fee Claim, thirty (30) days after the timely Filing of the applicable request for 

payment of such Professional Fee Claim. 

102. “Professional Fee Reserve” means the reserve established and funded by 

the Claimant Trustee pursuant this Plan to provide sufficient funds to satisfy in full unpaid 

Allowed Professional Fee Claims. 

103. “Proof of Claim” means a written proof of Claim or Equity Interest Filed 

against the Debtor in the Chapter 11 Case. 

104. “Priority Tax Claim” means any Claim of a Governmental Unit of the 

kind specified in section 507(a)(8) of the Bankruptcy Code. 

105. “Protected Parties” means, collectively, (i) the Debtor and its successors 

and assigns, direct and indirect majority-owned subsidiaries, and the Managed Funds, (ii) the 

Employees, (iii) Strand, (iv) the Reorganized Debtor, (v) the Independent Directors, (vi) the 

Committee, (vii) the members of the Committee (in their official capacities), (viii) the Claimant 

Trust, (ix) the Claimant Trustee, (x) the Litigation Sub-Trust, (xi) the Litigation Trustee, (xii) the 

members of the Claimant Trust Oversight Committee (in their official capacities), (xiii) New GP 

LLC, (xiv) the Professionals retained by the Debtor and the Committee in the Chapter 11 Case, 

(xv) the CEO/CRO; and (xvi) the Related Persons of each of the parties listed in (iv) through 

(xv); provided, however, that, for the avoidance of doubt, none of James Dondero, Mark Okada, 

NexPoint Advisors, L.P. (and any of its subsidiaries and managed entities), the Charitable Donor 

Advised Fund, L.P. (and any of its subsidiaries, including CLO Holdco, Ltd., and managed 

entities), Highland CLO Funding, Ltd. (and any of its subsidiaries, members, and managed 

entities), NexBank, SSB (and any of its subsidiaries), Highland Capital Management Fund 

Advisors, L.P. (and any of its subsidiaries and managed entities), the Hunter Mountain 

Investment Trust (or any trustee acting for the trust), the Dugaboy Investment Trust (or any 

trustee acting for the trust), or Grant Scott is included in the term “Protected Party.” 

106. “PTO Claims” means any Claim for paid time off in favor of any Debtor 

employee in excess of the amount that would qualify as a Priority Non-Tax Claim under section 

507(a)(4) of the Bankruptcy Code. 

107. “Reduced Employee Claims” has the meaning set forth in ARTICLE IX.D. 

108. “Reinstated” means, with respect to any Claim or Equity Interest, (a) 

leaving unaltered the legal, equitable, and contractual rights to which a Claim entitles the Holder 

of such Claim or Equity Interest in accordance with section 1124 of the Bankruptcy Code or (b) 

notwithstanding any contractual provision or applicable law that entitles the Holder of such 

Claim or Equity Interest to demand or receive accelerated payment of such Claim or Equity 

Interest after the occurrence of a default: (i) curing any such default that occurred before or after 

the Petition Date, other than a default of a kind specified in section 365(b)(2) of the Bankruptcy 

Code or of a kind that section 365(b)(2) of the Bankruptcy Code expressly does not require to be 

cured; (ii) reinstating the maturity of such Claim or Equity Interest as such maturity existed 

before such default; (iii) compensating the Holder of such Claim or Equity Interest for any 

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damages incurred as a result of any reasonable reliance by such Holder on such contractual 

provision or such applicable law; (iv) if such Claim or Equity Interest arises from any failure to 

perform a nonmonetary obligation, other than a default arising from failure to operate a nonresidential real property lease subject to section 365(b)(1)(A) of the Bankruptcy Code, 

compensating the Holder of such Claim or Equity Interest (other than any Debtor or an insider of 

any Debtor) for any actual pecuniary loss incurred by such Holder as a result of such failure; and 

(v) not otherwise altering the legal, equitable, or contractual rights to which such Claim entitles 

the Holder of such Claim. 

109. “Rejection Claim” means any Claim for monetary damages as a result of 

the rejection of an executory contract or unexpired lease pursuant to the Confirmation Order. 

110. “Related Entity” means, without duplication, (a) Dondero, (b) Mark Okada 

(“Okada”), (c) Grant Scott (“Scott”), (d) Hunter Covitz (“Covitz”), (e) any entity or person that 

was an insider of the Debtor on or before the Petition Date under Section 101(31) of the 

Bankruptcy Code, including, without limitation, any entity or person that was a non-statutory 

insider, (f) any entity that, after the Effective Date, is an insider or Affiliate of one or more of 

Dondero, Okada, Scott, Covitz, or any of their respective insiders or Affiliates, including, 

without limitation, The Dugaboy Investment Trust, (g) the Hunter Mountain Investment Trust 

and any of its direct or indirect parents, (h) the Charitable Donor Advised Fund, L.P., and any of 

its direct or indirect subsidiaries, and (i) Affiliates of the Debtor and any other Entities listed on 

the Related Entity List. 

111. “Related Entity List” means that list of Entities filed with the Plan 

Supplement. 

112. “Related Persons” means, with respect to any Person, such Person’s 

predecessors, successors, assigns (whether by operation of law or otherwise), and each of their 

respective present, future, or former officers, directors, employees, managers, managing 

members, members, financial advisors, attorneys, accountants, investment bankers, consultants, 

professionals, advisors, shareholders, principals, partners, subsidiaries, divisions, management 

companies, heirs, agents, and other representatives, in each case solely in their capacity as such. 

113. “Released Parties” means, collectively, (i) the Independent Directors; (ii) 

Strand (solely from the date of the appointment of the Independent Directors through the 

Effective Date); (iii) the CEO/CRO; (iv) the Committee; (v) the members of the Committee (in 

their official capacities), (vi) the Professionals retained by the Debtor and the Committee in the 

Chapter 11 Case; and (vii) the Employees. 

114. “Reorganized Debtor” means the Debtor, as reorganized pursuant to this 

Plan on and after the Effective Date. 

115. “Reorganized Debtor Assets” means any limited and general partnership 

interests held by the Debtor, the management of the Managed Funds and those Causes of Action 

(including, without limitation, claims for breach of fiduciary duty), that, for any reason, are not 

capable of being transferred to the Claimant Trust. For the avoidance of doubt, “Reorganized 

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Debtor Assets” includes any partnership interests or shares of Managed Funds held by the Debtor 

but does not include the underlying portfolio assets held by the Managed Funds. 

116. “Reorganized Limited Partnership Agreement” means that certain Fifth 

Amended and Restated Agreement of Limited Partnership of Highland Capital Management, 

L.P., by and among the Claimant Trust, as limited partner, and New GP LLC, as general partner, 

Filed with the Plan Supplement. 

117. “Restructuring” means the restructuring of the Debtor, the principal terms 

of which are set forth in this Plan and the Disclosure Statement. 

118. “Retained Employee Claim” means any Claim filed by a current employee 

of the Debtor who will be employed by the Reorganized Debtor upon the Effective Date. 

119. “Schedules” means the schedules of Assets and liabilities, statements of 

financial affairs, lists of Holders of Claims and Equity Interests and all amendments or 

supplements thereto Filed by the Debtor with the Bankruptcy Court [D.I. 247]. 

120. “Secured” means, when referring to a Claim: (a) secured by a Lien on 

property in which the Debtor’s Estate has an interest, which Lien is valid, perfected, and 

enforceable pursuant to applicable law or by reason of a Bankruptcy Court order, or that is 

subject to setoff pursuant to section 553 of the Bankruptcy Code, to the extent of the value of the 

creditor’s interest in the interest of the Debtor’s Estate in such property or to the extent of the 

amount subject to setoff, as applicable, as determined pursuant to section 506(a) of the 

Bankruptcy Code or (b) Allowed pursuant to the Plan as a Secured Claim. 

121. “Security” or “security” means any security as such term is defined in 

section 101(49) of the Bankruptcy Code. 

122. “Senior Employees” means the senior employees of the Debtor Filed in the 

Plan Supplement. 

123. “Senior Employee Stipulation” means the agreements filed in the Plan 

Supplement between each Senior Employee and the Debtor. 

124. “Stamp or Similar Tax” means any stamp tax, recording tax, personal 

property tax, conveyance fee, intangibles or similar tax, real estate transfer tax, sales tax, use tax, 

transaction privilege tax (including, without limitation, such taxes on prime contracting and 

owner-builder sales), privilege taxes (including, without limitation, privilege taxes on 

construction contracting with regard to speculative builders and owner builders), and other 

similar taxes imposed or assessed by any Governmental Unit. 

125. “Statutory Fees” means fees payable pursuant to 28 U.S.C. § 1930. 

126. “Strand” means Strand Advisors, Inc., the Debtor’s general partner. 

127. “Sub-Servicer” means a third-party selected by the Claimant Trustee to 

service or sub-service the Reorganized Debtor Assets. 

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128. “Sub-Servicer Agreement” means the agreement that may be entered into 

providing for the servicing of the Reorganized Debtor Assets by the Sub-Servicer. 

129. “Subordinated Claim” means any Claim that is subordinated to the 

Convenience Claims and General Unsecured Claims pursuant to 11 U.S.C. § 510 or order 

entered by the Bankruptcy Court. 

130. “Subordinated Claimant Trust Interests” means the Claimant Trust 

Interests to be distributed to Holders of Allowed Subordinated Claims under the Plan, which 

such interests shall be subordinated in right and priority to the Claimant Trust Interests 

distributed to Holders of Allowed General Unsecured Claims as provided in the Claimant Trust 

Agreement. 

131. “Trust Distribution” means the transfer of Cash or other property by the 

Claimant Trustee to the Claimant Trust Beneficiaries. 

132. “Trustees” means, collectively, the Claimant Trustee and Litigation 

Trustee. 

133. “UBS” means, collectively, UBS Securities LLC and UBS AG London 

Branch. 

134. “Unexpired Lease” means a lease to which the Debtor is a party that is 

subject to assumption or rejection under section 365 of the Bankruptcy Code. 

135. “Unimpaired” means, with respect to a Class of Claims or Equity Interests 

that is not impaired within the meaning of section 1124 of the Bankruptcy Code. 

136. “Voting Deadline” means the date and time by which all Ballots to accept 

or reject the Plan must be received in order to be counted under the under the Order of the 

Bankruptcy Court approving the Disclosure Statement as containing adequate information 

pursuant to section 1125(a) of the Bankruptcy Code and authorizing the Debtor to solicit 

acceptances of the Plan. 

137. “Voting Record Date” means November 23, 2020. 

ARTICLE II.

ADMINISTRATIVE EXPENSES AND PRIORITY TAX CLAIMS

A. Administrative Expense Claims

On the later of the Effective Date or the date on which an Administrative Expense Claim 

becomes an Allowed Administrative Expense Claim, or, in each such case, as soon as practicable 

thereafter, each Holder of an Allowed Administrative Expense Claim (other than Professional 

Fee Claims) will receive, in full satisfaction, settlement, discharge and release of, and in 

exchange for, such Allowed Administrative Expense Claim either (i) payment in full in 

Available Cash for the unpaid portion of such Allowed Administrative Expense Claim; or 

(ii) such other less favorable treatment as agreed to in writing by the Debtor or the Reorganized 

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Debtor, as applicable, and such Holder; provided, however, that Administrative Expense Claims 

incurred by the Debtor in the ordinary course of business may be paid in the ordinary course of 

business in the discretion of the Debtor in accordance with such applicable terms and conditions 

relating thereto without further notice to or order of the Bankruptcy Court. All statutory fees 

payable under 28 U.S.C. § 1930(a) shall be paid as such fees become due. 

If an Administrative Expense Claim (other than a Professional Fee Claim) is not paid by 

the Debtor in the ordinary course, the Holder of such Administrative Expense Claim must File, 

on or before the applicable Administrative Expense Claims Bar Date, and serve on the Debtor or 

Reorganized Debtor, as applicable, and such other Entities who are designated by the 

Bankruptcy Rules, the Confirmation Order or other order of the Bankruptcy Court, an 

application for allowance and payment of such Administrative Expense Claim. 

Objections to any Administrative Expense Claim (other than a Professional Fee Claim) 

must be Filed and served on the Debtor or the Reorganized Debtor, as applicable, and the party 

asserting such Administrative Expense Claim by the Administrative Expense Claims Objection 

Deadline. 

B. Professional Fee Claims

Professionals or other Entities asserting a Professional Fee Claim for services rendered 

through the Effective Date must submit fee applications under sections 327, 328, 329,330, 331, 

503(b) or 1103 of the Bankruptcy Code and, upon entry of an order of the Bankruptcy Court 

granting such fee applications, such Professional Fee Claim shall promptly be paid in Cash in 

full to the extent provided in such order. 

Professionals or other Entities asserting a Professional Fee Claim for services rendered on 

or prior to the Effective Date must File, on or before the Professional Fee Claims Bar Date, and 

serve on the Debtor or Reorganized Debtor, as applicable, and such other Entities who are 

designated as requiring such notice by the Bankruptcy Rules, the Confirmation Order or other 

order of the Bankruptcy Court, an application for final allowance of such Professional Fee 

Claim. 

Objections to any Professional Fee Claim must be Filed and served on the Debtor or 

Reorganized Debtor, as applicable, and the party asserting the Professional Fee Claim by the 

Professional Fee Claim Objection Deadline. Each Holder of an Allowed Professional Fee Claim 

will be paid by the Debtor or the Claimant Trust, as applicable, in Cash within ten (10) Business 

Days of entry of the order approving such Allowed Professional Fee Claim. 

On the Effective Date, the Claimant Trustee shall establish the Professional Fee Reserve. 

The Professional Fee Reserve shall vest in the Claimant Trust and shall be maintained by the 

Claimant Trustee in accordance with the Plan and Claimant Trust Agreement. The Claimant 

Trust shall fund the Professional Fee Reserve on the Effective Date in an estimated amount 

determined by the Debtor in good faith prior to the Confirmation Date and that approximates the 

total projected amount of unpaid Professional Fee Claims on the Effective Date. Following the 

payment of all Allowed Professional Fee Claims, any excess funds in the Professional Fee 

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Reserve shall be released to the Claimant Trust to be used for other purposes consistent with the 

Plan and the Claimant Trust Agreement. 

C. Priority Tax Claims 

On or as soon as reasonably practicable after the later of (i) the Initial Distribution Date if 

such Priority Tax Claim is an Allowed Priority Tax Claim as of the Effective Date or (ii) the date 

on which such Priority Tax Claim becomes an Allowed Priority Tax Claim, each Holder of an 

Allowed Priority Tax Claim will receive in full satisfaction, settlement, discharge and release of, 

and in exchange for, such Allowed Priority Tax Claim, at the election of the Debtor: (a) Cash in 

an amount equal to the amount of such Allowed Priority Tax Claim, (b) payment of such 

Allowed Priority Tax Claim in accordance with section 1129(a)(9)(C) of the Bankruptcy Code; 

or (c) such other less favorable treatment as agreed to in writing by the Debtor and such Holder. 

Payment of statutory fees due pursuant to 28 U.S.C. § 1930(a)(6) will be made at all appropriate 

times until the entry of a final decree; provided, however, that the Debtor may prepay any or all 

such Claims at any time, without premium or penalty. 

ARTICLE III.

CLASSIFICATION AND TREATMENT OF 

CLASSIFIED CLAIMS AND EQUITY INTERESTS

A. Summary

All Claims and Equity Interests, except Administrative Expense Claims and Priority Tax 

Claims, are classified in the Classes set forth below. In accordance with section 1123(a)(1) of 

the Bankruptcy Code, Administrative Expense Claims, and Priority Tax Claims have not been 

classified. 

The categories of Claims and Equity Interests listed below classify Claims and Equity 

Interests for all purposes including, without limitation, confirmation and distribution pursuant to 

the Plan and pursuant to sections 1122 and 1123(a)(1) of the Bankruptcy Code. The Plan deems 

a Claim or Equity Interest to be classified in a particular Class only to the extent that the Claim 

or Equity Interest qualifies within the description of that Class and will be deemed classified in a 

different Class to the extent that any remainder of such Claim or Equity Interest qualifies within 

the description of such different Class. A Claim or Equity Interest is in a particular Class only to 

the extent that any such Claim or Equity Interest is Allowed in that Class and has not been paid, 

released or otherwise settled (in each case, by the Debtor or any other Entity) prior to the 

Effective Date. 

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B. Summary of Classification and Treatment of Classified Claims and Equity Interests

Class Claim Status Voting Rights 

1 Jefferies Secured Claim Unimpaired Deemed to Accept 

2 Frontier Secured Claim Impaired Entitled to Vote 

3 Other Secured Claims Unimpaired Deemed to Accept 

4 Priority Non-Tax Claim Unimpaired Deemed to Accept 

5 Retained Employee Claim Unimpaired Deemed to Accept 

6 PTO Claims Unimpaired Deemed to Accept 

7 Convenience Claims Impaired Entitled to Vote 

8 General Unsecured Claims Impaired Entitled to Vote 

9 Subordinated Claims Impaired Entitled to Vote 

10 Class B/C Limited Partnership Interests Impaired Entitled to Vote 

11 Class A Limited Partnership Interests Impaired Entitled to Vote 

 

C. Elimination of Vacant Classes

Any Class that, as of the commencement of the Confirmation Hearing, does not have at 

least one Holder of a Claim or Equity Interest that is Allowed in an amount greater than zero for 

voting purposes shall be considered vacant, deemed eliminated from the Plan for purposes of 

voting to accept or reject the Plan, and disregarded for purposes of determining whether the Plan 

satisfies section 1129(a)(8) of the Bankruptcy Code with respect to such Class. 

D. Impaired/Voting Classes 

Claims and Equity Interests in Class 2 and Class 7 through Class 11 are Impaired by the 

Plan, and only the Holders of Claims or Equity Interests in those Classes are entitled to vote to 

accept or reject the Plan. 

E. Unimpaired/Non-Voting Classes 

Claims in Class 1 and Class 3 through Class 6 are Unimpaired by the Plan, and such 

Holders are deemed to have accepted the Plan and are therefore not entitled to vote on the Plan. 

F. Impaired/Non-Voting Classes

There are no Classes under the Plan that will not receive or retain any property and no 

Classes are deemed to reject the Plan. 

G. Cramdown

If any Class of Claims or Equity Interests is deemed to reject this Plan or does not vote to 

accept this Plan, the Debtor may (i) seek confirmation of this Plan under section 1129(b) of the 

Bankruptcy Code or (ii) amend or modify this Plan in accordance with the terms hereof and the 

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Bankruptcy Code. If a controversy arises as to whether any Claims or Equity Interests, or any 

class of Claims or Equity Interests, are Impaired, the Bankruptcy Court shall, after notice and a 

hearing, determine such controversy on or before the Confirmation Date. 

H. Classification and Treatment of Claims and Equity Interests

1. Class 1 – Jefferies Secured Claim

x Classification: Class 1 consists of the Jefferies Secured Claim. 

x Treatment: On or as soon as reasonably practicable after the Effective 

Date, each Holder of an Allowed Class 1 Claim will receive in full 

satisfaction, settlement, discharge and release of, and in exchange for, 

such Allowed Class 1 Claim, at the election of the Debtor: (A) Cash equal 

to the amount of such Allowed Class 1 Claim; (B) such other less 

favorable treatment as to which the Debtor and the Holder of such 

Allowed Class 1 Claim will have agreed upon in writing; or (C) such other 

treatment rendering such Claim Unimpaired. Each Holder of an Allowed 

Class 1 Claim will retain the Liens securing its Allowed Class 1 Claim as 

of the Effective Date until full and final payment of such Allowed Class 1 

Claim is made as provided herein. 

x Impairment and Voting: Class 1 is Unimpaired, and the Holders of 

Class 1 Claims are conclusively deemed to have accepted this Plan 

pursuant to section 1126(f) of the Bankruptcy Code. Therefore, the 

Holders of Class 1 Claims are not entitled to vote to accept or reject this 

Plan and will not be solicited. 

2. Class 2 – Frontier Secured Claim 

x Classification: Class 2 consists of the Frontier Secured Claim. 

x Treatment: On or as soon as reasonably practicable after the Effective 

Date, each Holder of an Allowed Class 2 Claim will receive in full 

satisfaction, settlement, discharge and release of, and in exchange for, 

such Allowed Class 2 Claim: (A) Cash in an amount equal to all accrued 

but unpaid interest on the Frontier Claim through and including the 

Effective Date and (B) the New Frontier Note. The Holder of an Allowed 

Class 2 Claim will retain the Liens securing its Allowed Class 2 Claim as 

of the Effective Date until full and final payment of such Allowed Class 2 

Claim is made as provided herein. 

x Impairment and Voting: Class 2 is Impaired, and the Holders of Class 2 

Claims are entitled to vote to accept or reject this Plan. 

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3. Class 3 – Other Secured Claims 

x Classification: Class 3 consists of the Other Secured Claims. 

x Allowance and Treatment: On or as soon as reasonably practicable after 

the later of (i) the Initial Distribution Date if such Class 3 Claim is 

Allowed on the Effective Date or (ii) the date on which such Class 3 

Claim becomes an Allowed Class 3 Claim, each Holder of an Allowed 

Class 3 Claim will receive in full satisfaction, settlement, discharge and 

release of, and in exchange for, its Allowed Claim 3 Claim, at the option 

of the Debtor, or following the Effective Date, the Reorganized Debtor or 

Claimant Trustee, as applicable, (i) Cash equal to such Allowed Other 

Secured Claim, (ii) the collateral securing its Allowed Other Secured 

Claim, plus postpetition interest to the extent required under Bankruptcy 

Code Section 506(b), or (iii) such other treatment rendering such Claim 

Unimpaired. 

x Impairment and Voting: Class 3 is Unimpaired, and the Holders of Class 

3 Claims are conclusively deemed to have accepted this Plan pursuant to 

section 1126(f) of the Bankruptcy Code. Therefore, the Holders of Class 3 

Claims are not entitled to vote to accept or reject this Plan and will not be 

solicited. 

4. Class 4 – Priority Non-Tax Claims 

x Classification: Class 4 consists of the Priority Non-Tax Claims. 

x Allowance and Treatment: On or as soon as reasonably practicable after 

the later of (i) the Initial Distribution Date if such Class 4 Claim is 

Allowed on the Effective Date or (ii) the date on which such Class 4 

Claim becomes an Allowed Class 4 Claim, each Holder of an Allowed 

Class 4 Claim will receive in full satisfaction, settlement, discharge and 

release of, and in exchange for, its Allowed Claim 4 Claim Cash equal to 

the amount of such Allowed Class 4 Claim. 

x Impairment and Voting: Class 4 is Unimpaired, and the Holders of Class 

4 Claims are conclusively deemed to have accepted this Plan pursuant to 

section 1126(f) of the Bankruptcy Code. Therefore, the Holders of Class 4 

Claims are not entitled to vote to accept or reject this Plan and will not be 

solicited. 

5. Class 5 – Retained Employee Claims 

x Classification: Class 5 consists of the Retained Employee Claims. 

x Allowance and Treatment: On or as soon as reasonably practicable after 

the Effective Date, each Allowed Class 5 Claim will be Reinstated. 

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x Impairment and Voting: Class 5 is Unimpaired, and the Holders of Class 

5 Claims are conclusively deemed to have accepted this Plan pursuant to 

section 1126(f) of the Bankruptcy Code. Therefore, the Holders of Class 5 

Claims are not entitled to vote to accept or reject this Plan and will not be 

solicited. 

6. Class 6 – PTO Claims

x Classification: Class 6 consists of the PTO Claims. 

x Allowance and Treatment: On or as soon as reasonably practicable after 

the later of (i) the Initial Distribution Date if such Class 6 Claim is 

Allowed on the Effective Date or (ii) the date on which such Class 6 

Claim becomes an Allowed Class 6 Claim, each Holder of an Allowed 

Class 6 Claim will receive in full satisfaction, settlement, discharge and 

release of, and in exchange for, its Allowed Claim 6 Claim Cash equal to 

the amount of such Allowed Class 6 Claim. 

x Impairment and Voting: Class 6 is Unimpaired, and the Holders of Class 

6 Claims are conclusively deemed to have accepted this Plan pursuant to 

section 1126(f) of the Bankruptcy Code. Therefore, the Holders of Class 6 

Claims are not entitled to vote to accept or reject this Plan and will not be 

solicited. 

7. Class 7 – Convenience Claims 

x Classification: Class 7 consists of the Convenience Claims. 

x Allowance and Treatment: On or as soon as reasonably practicable after 

the later of (i) the Initial Distribution Date if such Class 7 Claim is 

Allowed on the Effective Date or (ii) the date on which such Class 7 

Claim becomes an Allowed Class 7 Claim, each Holder of an Allowed 

Class 7 Claim will receive in full satisfaction, settlement, discharge and 

release of, and in exchange for, its Allowed Class 7 Claim (1) the 

treatment provided to Allowed Holders of Class 8 General Unsecured 

Claims if the Holder of such Class 7 Claim makes the GUC Election or (2) 

an amount in Cash equal to the lesser of (a) 85% of the Allowed amount 

of such Holder’s Class 7 Claim or (b) such Holder’s Pro Rata share of the 

Convenience Claims Cash Pool. 

x Impairment and Voting: Class 7 is Impaired, and the Holders of Class 7 

Claims are entitled to vote to accept or reject this Plan. 

8. Class 8 – General Unsecured Claims 

x Classification: Class 8 consists of the General Unsecured Claims. 

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x Treatment: On or as soon as reasonably practicable after the Effective 

Date, each Holder of an Allowed Class 8 Claim, in full satisfaction, 

settlement, discharge and release of, and in exchange for, such Claim shall 

receive (i) its Pro Rata share of the Claimant Trust Interests, (ii) such other 

less favorable treatment as to which such Holder and the Claimant Trustee 

shall have agreed upon in writing, or (iii) the treatment provided to 

Allowed Holders of Class 7 Convenience Claims if the Holder of such 

Class 8 General Unsecured Claim is eligible and makes a valid 

Convenience Class Election. 

Notwithstanding anything to the contrary herein, after the Effective Date 

and subject to the other provisions of this Plan, the Debtor, the 

Reorganized Debtor, and the Claimant Trust, as applicable, will have and 

will retain any and all rights and defenses under bankruptcy or 

nonbankruptcy law that the Debtor had with respect to any General 

Unsecured Claim, except with respect to any General Unsecured Claim 

Allowed by Final Order of the Bankruptcy Court. 

x Impairment and Voting: Class 8 is Impaired, and the Holders of Class 8 

Claims are entitled to vote to accept or reject this Plan. 

9. Class 9 – Subordinated Claims 

x Classification: Class 9 consists of the Subordinated Claims. 

Treatment: On the Effective Date, Holders of Subordinated Claims shall 

receive either (i) their Pro Rata share of the Subordinated Claimant Trust 

Interests or, (ii) such other less favorable treatment as to which such 

Holder and the Claimant Trustee may agree upon in writing. 

Notwithstanding anything to the contrary herein, after the Effective Date 

and subject to the other provisions of this Plan, the Debtor, the 

Reorganized Debtor, and the Claimant Trust, as applicable, will have and 

will retain any and all rights and defenses under bankruptcy or 

nonbankruptcy law that the Debtor had with respect to any Subordinated 

Claim, except with respect to any Subordinated Claim Allowed by Final 

Order of the Bankruptcy Court. 

x Impairment and Voting: Class 9 is Impaired, and the Holders of Class 9 

Claims are entitled to vote to accept or reject this Plan. 

10. Class 10 – Class B/C Limited Partnership Interests 

x Classification: Class 10 consists of the Class B/C Limited Partnership 

Interests. 

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x Treatment: On or as soon as reasonably practicable after the Effective 

Date, each Holder of an Allowed Class 10 Claim, in full satisfaction, 

settlement, discharge and release of, and in exchange for, such Claim shall 

receive (i) its Pro Rata share of the Contingent Claimant Trust Interests or 

(ii) such other less favorable treatment as to which such Holder and the 

Claimant Trustee shall have agreed upon in writing. 

Notwithstanding anything to the contrary herein, after the Effective Date 

and subject to the other provisions of this Plan, the Debtor, the 

Reorganized Debtor, and the Claimant Trust, as applicable, will have and 

will retain any and all rights and defenses under bankruptcy or 

nonbankruptcy law that the Debtor had with respect to any Class B/C 

Limited Partnership Interest Claim, except with respect to any Class B/C 

Limited Partnership Interest Claim Allowed by Final Order of the 

Bankruptcy Court. 

x Impairment and Voting: Class 10 is Impaired, and the Holders of Class 10 

Claims are entitled to vote to accept or reject this Plan. 

11. Class 11 – Class A Limited Partnership Interests 

x Classification: Class 11 consists of the Class A Limited Partnership 

Interests. 

x Treatment: On or as soon as reasonably practicable after the Effective 

Date, each Holder of an Allowed Class 11 Claim, in full satisfaction, 

settlement, discharge and release of, and in exchange for, such Claim shall 

receive (i) its Pro Rata share of the Contingent Claimant Trust Interests or 

(ii) such other less favorable treatment as to which such Holder and the 

Claimant Trustee shall have agreed upon in writing. 

Notwithstanding anything to the contrary herein, after the Effective Date 

and subject to the other provisions of this Plan, the Debtor, the 

Reorganized Debtor, and the Claimant Trust, as applicable, will have and 

will retain any and all rights and defenses under bankruptcy or 

nonbankruptcy law that the Debtor had with respect to any Class A 

Limited Partnership Interest, except with respect to any Class A Limited 

Partnership Interest Allowed by Final Order of the Bankruptcy Court. 

x Impairment and Voting: Class 11 is Impaired, and the Holders of Class 11 

Claims are entitled to vote to accept or reject this Plan. 

I. Special Provision Governing Unimpaired Claims 

Except as otherwise provided in the Plan, nothing under the Plan will affect the Debtor’s 

rights in respect of any Unimpaired Claims, including, without limitation, all rights in respect of 

legal and equitable defenses to or setoffs or recoupments against any such Unimpaired Claims. 

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J. Subordinated Claims

The allowance, classification, and treatment of all Claims under the Plan shall take into 

account and conform to the contractual, legal, and equitable subordination rights relating thereto, 

whether arising under general principles of equitable subordination, section 510(b) of the 

Bankruptcy Code, or otherwise. Under section 510 of the Bankruptcy Code, upon written notice 

and hearing, the Debtor the Reorganized Debtor, and the Claimant Trustee reserve the right to 

seek entry of an order by the Bankruptcy Court to re-classify or to subordinate any Claim in 

accordance with any contractual, legal, or equitable subordination relating thereto, and the 

treatment afforded any Claim under the Plan that becomes a subordinated Claim at any time shall 

be modified to reflect such subordination. 

ARTICLE IV.

MEANS FOR IMPLEMENTATION OF THIS PLAN

A. Summary

As discussed in the Disclosure Statement, the Plan will be implemented through (i) the 

Claimant Trust, (ii) the Litigation Sub-Trust, and (iii) the Reorganized Debtor. 

On the Effective Date, all Class A Limited Partnership Interests, including the Class A 

Limited Partnership Interests held by Strand, as general partner, and Class B/C Limited 

Partnerships in the Debtor will be cancelled, and new Class A Limited Partnership Interests in 

the Reorganized Debtor will be issued to the Claimant Trust and New GP LLC – a newlychartered limited liability company wholly-owned by the Claimant Trust. The Claimant Trust, 

as limited partner, will ratify New GP LLC’s appointment as general partner of the Reorganized 

Debtor, and on and following the Effective Date, the Claimant Trust will be the Reorganized 

Debtor’s limited partner and New GP LLC will be its general partner. The Claimant Trust, as 

limited partner, and New GP LLC, as general partner, will execute the Reorganized Limited 

Partnership Agreement, which will amend and restate, in all respects, the Debtor’s current 

Limited Partnership Agreement. Following the Effective Date, the Reorganized Debtor will be 

managed consistent with the terms of the Reorganized Limited Partnership Agreement by New 

GP LLC. The sole managing member of New GP LLC will be the Claimant Trust, and the 

Claimant Trustee will be the sole officer of New GP LLC on the Effective Date. 

Following the Effective Date, the Claimant Trust will administer the Claimant Trust 

Assets pursuant to this Plan and the Claimant Trust Agreement, and the Litigation Trustee will 

pursue, if applicable, the Estate Claims pursuant to the terms of the Litigation Sub-Trust 

Agreement and the Plan. The Reorganized Debtor will administer the Reorganized Debtor 

Assets and, if needed, with the utilization of a Sub-Servicer, which administration will include, 

among other things, managing the wind down of the Managed Funds. 

Although the Reorganized Debtor will manage the wind down of the Managed Funds, it 

is currently anticipated that neither the Reorganized Debtor nor the Claimant Trust will assume 

or assume and assign the contracts between the Debtor and certain Related Entities pursuant to 

which the Debtor provides shared services and sub-advisory services to those Related Entities. 

The Debtor believes that the continued provision of the services under such contracts will not be 

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cost effective. 

The Reorganized Debtor will distribute all proceeds from the wind down to the Claimant 

Trust, as its limited partner, and New GP LLC, as its general partner, in each case in accordance 

with the Reorganized Limited Partnership Agreement. Such proceeds, along with the proceeds 

of the Claimant Trust Assets, will ultimately be distributed to the Claimant Trust Beneficiaries as 

set forth in this Plan and the Claimant Trust Agreement. 

B. The Claimant Trust2

 

1. Creation and Governance of the Claimant Trust and Litigation Sub-Trust. 

On or prior to the Effective Date, the Debtor and the Claimant Trustee shall execute the 

Claimant Trust Agreement and shall take all steps necessary to establish the Claimant Trust and 

the Litigation Sub-Trust in accordance with the Plan in each case for the benefit of the Claimant 

Trust Beneficiaries. Additionally, on or prior to the Effective Date, the Debtor shall irrevocably 

transfer and shall be deemed to have irrevocably transferred to the Claimant Trust all of its 

rights, title, and interest in and to all of the Claimant Trust Assets, and in accordance with section 

1141 of the Bankruptcy Code, the Claimant Trust Assets shall automatically vest in the Claimant 

Trust free and clear of all Claims, Liens, encumbrances, or interests subject only to the Claimant 

Trust Interests and the Claimant Trust Expenses, as provided for in the Claimant Trust 

Agreement, and such transfer shall be exempt from any stamp, real estate transfer, mortgage 

from any stamp, transfer, reporting, sales, use, or other similar tax. 

The Claimant Trustee shall be the exclusive trustee of the Claimant Trust Assets, 

excluding the Estate Claims and the Litigation Trustee shall be the exclusive trustee with respect 

to the Estate Claims in each case for purposes of 31 U.S.C. § 3713(b) and 26 U.S.C. § 

6012(b)(3), as well as the representative of the Estate appointed pursuant to section 

1123(b)(3)(B) of the Bankruptcy Code with respect to the Claimant Trust Assets. The Claimant 

Trustee shall also be responsible for resolving all Claims and Equity Interests in Class 8 through 

Class 11, under the supervision of the Claimant Trust Oversight Committee. 

On the Effective Date, the Claimant Trustee and Litigation Trustee shall execute the 

Litigation Sub-Trust Agreement and shall take all steps necessary to establish the Litigation SubTrust. Upon the creation of the Litigation Sub-Trust, the Claimant Trust shall irrevocably 

transfer and assign to the Litigation Sub-Trust the Estate Claims. The Claimant Trust shall be 

governed by the Claimant Trust Agreement and administered by the Claimant Trustee. The 

powers, rights, and responsibilities of the Claimant Trustee shall be specified in the Claimant 

Trust Agreement and shall include the authority and responsibility to, among other things, take 

the actions set forth in this ARTICLE IV, subject to any required reporting to the Claimant Trust 

Oversight Committee as may be set forth in the Claimant Trust Agreement. The Claimant Trust 

shall hold and distribute the Claimant Trust Assets (including the proceeds from the Estate 

Claims, if any) in accordance with the provisions of the Plan and the Claimant Trust Agreement; 

provided that the Claimant Trust Oversight Committee may direct the Claimant Trust to reserve 

 

2

 In the event of a conflict between the terms of this summary and the terms of the Claimant Trust Agreement and 

the Litigation Sub-Trust Agreement, the terms of the Claimant Trust Agreement or the Litigation Sub-Trust 

Agreement, as applicable, shall control. 

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Cash from distributions as necessary to fund the Claimant Trust and Litigation Sub-Trust. Other 

rights and duties of the Claimant Trustee and the Claimant Trust Beneficiaries shall be as set 

forth in the Claimant Trust Agreement. After the Effective Date, neither the Debtor nor the 

Reorganized Debtor shall have any interest in the Claimant Trust Assets. 

The Litigation Sub-Trust shall be governed by the Litigation Sub-Trust Agreement and 

administered by the Litigation Trustee. The powers, rights, and responsibilities of the Litigation 

Trustee shall be specified in the Litigation Sub-Trust Agreement and shall include the authority 

and responsibility to, among other things, take the actions set forth in this ARTICLE IV, subject 

to any required reporting as may be set forth in the Litigation Sub-Trust Agreement. The 

Litigation Sub-Trust shall investigate, prosecute, settle, or otherwise resolve the Estate Claims in 

accordance with the provisions of the Plan and the Litigation Sub-Trust Agreement and shall 

distribute the proceeds therefrom to the Claimant Trust for distribution. Other rights and duties 

of the Litigation Trustee shall be as set forth in the Litigation Sub-Trust Agreement. 

2. Claimant Trust Oversight Committee

The Claimant Trust, the Claimant Trustee, the management and monetization of the 

Claimant Trust Assets, and the management of the Reorganized Debtor (through the Claimant 

Trust’s role as managing member of New GP LLC) and the Litigation Sub-Trust will be 

overseen by the Claimant Trust Oversight Committee, subject to the terms of the Claimant Trust 

Agreement and the Litigation Sub-Trust Agreement, as applicable. 

The Claimant Trust Oversight Committee will initially consist of five members. Four of 

the five members will be representatives of the members of the Committee: (i) the Redeemer 

Committee of Highland Crusader Fund, (ii) UBS, (iii) Acis, and (iv) Meta-e Discovery. The 

fifth member will be an independent, natural Person chosen by the Committee and reasonably 

acceptable to the Debtor. The members of the Claimant Trust Oversight Committee may be 

replaced as set forth in the Claimant Trust Agreement. The identity of the members of the 

Claimant Trust Oversight Committee will be disclosed in the Plan Supplement. 

As set forth in the Claimant Trust Agreement, in no event will any member of the 

Claimant Trust Oversight Committee with a Claim against the Estate be entitled to vote, opine, 

or otherwise be involved in any matters related to such member’s Claim. 

The independent member(s) of the Claimant Trust Oversight Committee may be entitled 

to compensation for their services as set forth in the Claimant Trust Agreement. Any member of 

the Claimant Trust Oversight Committee may be removed, and successor chosen, in the manner 

set forth in the Claimant Trust Agreement. 

3. Purpose of the Claimant Trust. 

The Claimant Trust shall be established for the purpose of (i) managing and monetizing 

the Claimant Trust Assets, subject to the terms of the Claimant Trust Agreement and the 

oversight of the Claimant Trust Oversight Committee, (ii) serving as the limited partner of, and 

holding the limited partnership interests in, the Reorganized Debtor, (iii) serving as the sole 

member and manager of New GP LLC, the Reorganized Debtor’s general partner, (iv) in its 

capacity as the sole member and manager of New GP LLC, overseeing the management and 

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monetization of the Reorganized Debtor Assets pursuant to the terms of the Reorganized Limited 

Partnership Agreement; and (v) administering the Disputed Claims Reserve and serving as 

Distribution Agent with respect to Disputed Claims in Class 7 or Class 8. 

In its management of the Claimant Trust Assets, the Claimant Trust will also reconcile 

and object to the General Unsecured Claims, Subordinated Claims, Class B/C Limited 

Partnership Interests, and Class A Limited Partnership Interests, as provided for in this Plan and 

the Claimant Trust Agreement, and make Trust Distributions to the Claimant Trust Beneficiaries 

in accordance with Treasury Regulation section 301.7701-4(d), with no objective to continue or 

engage in the conduct of a trade or business. 

The purpose of the Reorganized Debtor is discussed at greater length in ARTICLE IV.C. 

4. Purpose of the Litigation Sub-Trust. 

The Litigation Sub-Trust shall be established for the purpose of investigating, 

prosecuting, settling, or otherwise resolving the Estate Claims. Any proceeds therefrom shall be 

distributed by the Litigation Sub-Trust to the Claimant Trust for distribution to the Claimant 

Trust Beneficiaries pursuant to the terms of the Claimant Trust Agreement. 

5. Claimant Trust Agreement and Litigation Sub-Trust Agreement. 

The Claimant Trust Agreement generally will provide for, among other things: 

(i) the payment of the Claimant Trust Expenses; 

(ii) the payment of other reasonable expenses of the Claimant Trust; 

(iii) the retention of employees, counsel, accountants, financial advisors, or other 

professionals and the payment of their reasonable compensation; 

(iv) the investment of Cash by the Claimant Trustee within certain limitations, 

including those specified in the Plan; 

(v) the orderly monetization of the Claimant Trust Assets; 

(vi) litigation of any Causes of Action, which may include the prosecution, 

settlement, abandonment, or dismissal of any such Causes of Action, subject to reporting and 

oversight by the Claimant Trust Oversight Committee; 

(vii) the resolution of Claims and Equity Interests in Class 8 through Class 11, 

subject to reporting and oversight by the Claimant Trust Oversight Committee; 

(viii) the administration of the Disputed Claims Reserve and distributions to be 

made therefrom; and 

(ix) the management of the Reorganized Debtor, including the utilization of a SubServicer, with the Claimant Trust serving as the managing member of New GP LLC. 

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Except as otherwise ordered by the Bankruptcy Court, the Claimant Trust Expenses shall 

be paid from the Claimant Trust Assets in accordance with the Plan and Claimant Trust 

Agreement. The Claimant Trustee may establish a reserve for the payment of Claimant Trust 

Expense (including, without limitation, any reserve for potential indemnification claims as 

authorized and provided under the Claimant Trust Agreement), and shall periodically replenish 

such reserve, as necessary. 

In furtherance of, and consistent with the purpose of, the Claimant Trust and the Plan, the 

Trustees, for the benefit of the Claimant Trust, shall, subject to reporting and oversight by the 

Claimant Trust Oversight Committee as set forth in the Claimant Trust Agreement: (i) hold the 

Claimant Trust Assets for the benefit of the Claimant Trust Beneficiaries, (ii) make Distributions 

to the Claimant Trust Beneficiaries as provided herein and in the Claimant Trust Agreement, and 

(iii) have the sole power and authority to prosecute and resolve any Causes of Action and 

objections to Claims and Equity Interests (other than those assigned to the Litigation Sub-Trust), 

without approval of the Bankruptcy Court. Except as otherwise provided in the Claimant Trust 

Agreement, the Claimant Trustee shall be responsible for all decisions and duties with respect to 

the Claimant Trust and the Claimant Trust Assets; provided, however, that the prosecution and 

resolution of any Estate Claims included in the Claimant Trust Assets shall be the responsibility 

of the Litigation Trustee. The Litigation Sub-Trust Agreement generally will provide for, among 

other things: 

(i) the payment of other reasonable expenses of the Litigation Sub-Trust; 

(ii) the retention of employees, counsel, accountants, financial advisors, or other 

professionals and the payment of their reasonable compensation; and 

(iii) the investigation and prosecution of Estate Claims, which may include the 

prosecution, settlement, abandonment, or dismissal of any such Estate Claims, subject to 

reporting and oversight as set forth in the Litigation Sub-Trust Agreement. 

The Trustees, on behalf of the Claimant Trust and Litigation Sub-Trust, as applicable, 

may each employ, without further order of the Bankruptcy Court, employees and other 

professionals (including those previously retained by the Debtor and the Committee) to assist in 

carrying out the Trustees’ duties hereunder and may compensate and reimburse the reasonable 

expenses of these professionals without further Order of the Bankruptcy Court from the Claimant 

Trust Assets in accordance with the Plan and the Claimant Trust Agreement. 

The Claimant Trust Agreement and Litigation Sub-Trust Agreement may include 

reasonable and customary provisions that allow for indemnification by the Claimant Trust in 

favor of the Claimant Trustee, Litigation Trustee, and the Claimant Trust Oversight Committee. 

Any such indemnification shall be the sole responsibility of the Claimant Trust and payable 

solely from the Claimant Trust Assets. 

6. Compensation and Duties of Trustees. 

The salient terms of each Trustee’s employment, including such Trustee’s duties and 

compensation shall be set forth in the Claimant Trust Agreement and the Litigation Sub-Trust 

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Agreement, as appropriate. The Trustees shall each be entitled to reasonable compensation in an 

amount consistent with that of similar functionaries in similar types of bankruptcy cases. 

7. Cooperation of Debtor and Reorganized Debtor. 

To effectively investigate, prosecute, compromise and/or settle the Claims and/or Causes 

of Action that constitute Claimant Trust Assets (including Estate Claims), the Claimant Trustee, 

Litigation Trustee, and each of their professionals may require reasonable access to the Debtor’s 

and Reorganized Debtor’s documents, information, and work product relating to the Claimant 

Trust Assets. Accordingly, the Debtor and the Reorganized Debtor, as applicable, shall 

reasonably cooperate with the Claimant Trustee and Litigation Trustee, as applicable, in their 

prosecution of Causes of Action and in providing the Claimant Trustee and Litigation Trustee 

with copies of documents and information in the Debtor’s possession, custody, or control on the 

Effective Date that either Trustee indicates relates to the Estate Claims or other Causes of 

Action. 

The Debtor and Reorganized Debtor shall preserve all records, documents or work 

product (including all electronic records, documents, or work product) related to the Claims and 

Causes of Action, including Estate Claims, until the earlier of (a) the dissolution of the 

Reorganized Debtor or (b) termination of the Claimant Trust and Litigation Sub-Trust. 

8. United States Federal Income Tax Treatment of the Claimant Trust. 

Unless the IRS requires otherwise, for all United States federal income tax purposes, the 

parties shall treat the transfer of the Claimant Trust Assets to the Claimant Trust as: (a) a 

transfer of the Claimant Trust Assets (other than the amounts set aside in the Disputed Claims 

Reserve, if the Claimant Trustee makes the election described in Section 7 below) directly to the 

applicable Claimant Trust Beneficiaries followed by (b) the transfer by the such Claimant Trust 

Beneficiaries to the Claimant Trust of such Claimant Trust Assets in exchange for the Claimant 

Trust Interests. Accordingly, the applicable Claimant Trust Beneficiaries shall be treated for 

United States federal income tax purposes as the grantors and owners of their respective share of 

the Claimant Trust Assets. The foregoing treatment shall also apply, to the extent permitted by 

applicable law, for state and local income tax purposes. 

9. Tax Reporting. 

(a) The Claimant Trustee shall file tax returns for the Claimant Trust treating the 

Claimant Trust as a grantor trust pursuant to Treasury Regulation section 1.671-4(a). The 

Claimant Trustee may file an election pursuant to Treasury Regulation 1.468B-9(c) to treat the 

Disputed Claims Reserve as a disputed ownership fund, in which case the Claimant Trustee will 

file federal income tax returns and pay taxes for the Disputed Claims Reserve as a separate 

taxable entity. 

(b) The Claimant Trustee shall be responsible for payment, out of the Claimant Trust 

Assets, of any taxes imposed on the Claimant Trust or its assets. 

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(c) The Claimant Trustee shall determine the fair market value of the Claimant Trust 

Assets as of the Effective Date and notify the applicable Claimant Trust Beneficiaries of such 

valuation, and such valuation shall be used consistently for all federal income tax purposes. 

(d) The Claimant Trustee shall distribute such tax information to the applicable Claimant 

Trust Beneficiaries as the Claimant Trustee determines is required by applicable law. 

10. Claimant Trust Assets. 

The Claimant Trustee shall have the exclusive right, on behalf of the Claimant Trust, to 

institute, file, prosecute, enforce, abandon, settle, compromise, release, or withdraw any and all 

Causes of Action included in the Claimant Trust Assets (except for the Estate Claims) without 

any further order of the Bankruptcy Court, and the Claimant Trustee shall have the exclusive 

right, on behalf of the Claimant Trust, to sell, liquidate, or otherwise monetize all Claimant Trust 

Assets, except as otherwise provided in this Plan or in the Claimant Trust Agreement, without 

any further order of the Bankruptcy Court. Notwithstanding anything herein to the contrary, the 

Litigation Trustee shall have the exclusive right to institute, file, prosecute, enforce, abandon, 

settle, compromise, release, or withdraw any and all Estate Claims included in the Claimant 

Trust Assets without any further order of the Bankruptcy Court. 

From and after the Effective Date, the Trustees, in accordance with section 1123(b)(3) 

and (4) of the Bankruptcy Code, and on behalf of the Claimant Trust, shall each serve as a 

representative of the Estate with respect to any and all Claimant Trust Assets, including the 

Causes of Action and Estate Claims, as appropriate, and shall retain and possess the right to (a) 

commence, pursue, settle, compromise, or abandon, as appropriate, any and all Causes of Action 

in any court or other tribunal and (b) sell, liquidate, or otherwise monetize all Claimant Trust 

Assets. 

11. Claimant Trust Expenses. 

From and after the Effective Date, the Claimant Trust shall, in the ordinary course of 

business and without the necessity of any approval by the Bankruptcy Court, pay the reasonable 

professional fees and expenses incurred by the Claimant Trust, the Litigation Sub-Trust, and any 

professionals retained by such parties and entities from the Claimant Trust Assets, except as 

otherwise provided in the Claimant Trust Agreement. 

12. Trust Distributions to Claimant Trust Beneficiaries. 

The Claimant Trustee, in its discretion, may make Trust Distributions to the Claimant 

Trust Beneficiaries at any time and/or use the Claimant Trust Assets or proceeds thereof, 

provided that such Trust Distributions or use is otherwise permitted under the terms of the Plan, 

the Claimant Trust Agreement, and applicable law. 

13. Cash Investments. 

With the consent of the Claimant Trust Oversight Committee, the Claimant Trustee may 

invest Cash (including any earnings thereon or proceeds therefrom) in a manner consistent with 

the terms of the Claimant Trust Agreement; provided, however, that such investments are 

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investments permitted to be made by a “liquidating trust” within the meaning of Treasury 

Regulation section 301.7701-4(d), as reflected therein, or under applicable IRS guidelines, 

rulings or other controlling authorities. 

14. Dissolution of the Claimant Trust and Litigation Sub-Trust. 

The Trustees and the Claimant Trust and Litigation Sub-Trust shall be discharged or 

dissolved, as the case may be, at such time as: (a) the Litigation Trustee determines that the 

pursuit of Estate Claims is not likely to yield sufficient additional proceeds to justify further 

pursuit of such Estate Claims, (b) the Claimant Trustee determines that the pursuit of Causes of 

Action (other than Estate Claims) is not likely to yield sufficient additional proceeds to justify 

further pursuit of such Causes of Action, (c) the Clamant Trustee determines that the pursuit of 

sales of other Claimant Trust Assets is not likely to yield sufficient additional proceeds to justify 

further pursuit of such sales of Claimant Trust Assets, (d) all objections to Disputed Claims and 

Equity Interests are fully resolved, (e) the Reorganized Debtor is dissolved, and (f) all 

Distributions required to be made by the Claimant Trustee to the Claimant Trust Beneficiaries 

under the Plan have been made, but in no event shall the Claimant Trust be dissolved later than 

three years from the Effective Date unless the Bankruptcy Court, upon motion made within the 

six-month period before such third anniversary (and, in the event of further extension, by order 

of the Bankruptcy Court, upon motion made at least six months before the end of the preceding 

extension), determines that a fixed period extension (not to exceed two years, together with any 

prior extensions, without a favorable letter ruling from the Internal Revenue Service or an 

opinion of counsel that any further extension would not adversely affect the status of the 

Claimant Trust as a liquidating trust for federal income tax purposes) is necessary to facilitate or 

complete the recovery on, and liquidation of, the Claimant Trust Assets; provided, however, that 

each extension must be approved, upon a finding that the extension is necessary to facilitate or 

complete the recovery on, and liquidation of the Claimant Trust Assets, by the Bankruptcy Court 

within 6 months of the beginning of the extended term and no extension, together with any prior 

extensions, shall exceed three years without a favorable letter ruling from the Internal Revenue 

Service or an opinion of counsel that any further extension would not adversely affect the status 

of the Claimant Trust as a liquidating trust for federal income tax purposes. 

Upon dissolution of the Claimant Trust, and pursuant to the Claimant Trust Agreement, 

any remaining Claimant Trust Assets that exceed the amounts required to be paid under the Plan 

will be transferred (in the sole discretion of the Claimant Trustee) in Cash or in-kind to the 

Holders of the Claimant Trust Interests as provided in the Claimant Trust Agreement. 

C. The Reorganized Debtor

1. Corporate Existence 

The Debtor will continue to exist after the Effective Date, with all of the powers of 

partnerships pursuant to the law of the State of Delaware and as set forth in the Reorganized 

Limited Partnership Agreement. 

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2. Cancellation of Equity Interests and Release 

On the Effective Date, (i) all prepetition Equity Interests, including the Class A Limited 

Partnership Interests and the Class B/C Limited Partnership Interests, in the Debtor shall be 

canceled, and (ii) all obligations or debts owed by, or Claims against, the Debtor on account of, 

or based upon, the Interests shall be deemed as cancelled, released, and discharged, including all 

obligations or duties by the Debtor relating to the Equity Interests in any of the Debtor’s 

formation documents, including the Limited Partnership Agreement. 

3. Issuance of New Partnership Interests 

On the Effective Date, the Debtor or the Reorganized Debtor, as applicable, will issue 

new Class A Limited Partnership Interests to (i) the Claimant Trust, as limited partner, and (ii) 

New GP LLC, as general partner, and will admit (a) the Claimant Trust as the limited partner of 

the Reorganized Debtor, and (b) New GP LLC as the general partner of the Reorganized Debtor. 

The Claimant Trust, as limited partner, will ratify New GP LLC’s appointment as general partner 

of the Reorganized Debtor. Also, on the Effective Date, the Claimant Trust, as limited partner, 

and New GP LLC, as general partner, will execute the Reorganized Limited Partnership 

Agreement and receive partnership interests in the Reorganized Debtor consistent with the terms 

of the Reorganized Limited Partnership Agreement. 

The Reorganized Limited Partnership Agreement does not provide for, and specifically 

disclaims, the indemnification obligations under the Limited Partnership Agreement, including 

any such indemnification obligations that accrued or arose or could have been brought prior to 

the Effective Date. Any indemnification Claims under the Limited Partnership Agreement that 

accrued, arose, or could have been filed prior to the Effective Date will be resolved through the 

Claims resolution process provided that a Claim is properly filed in accordance with the 

Bankruptcy Code, the Plan, or the Bar Date Order. Each of the Debtor, the Reorganized Debtor, 

the Claimant Trust, and the Litigation Sub-Trust reserve all rights with respect to any such 

indemnification Claims. 

4. Management of the Reorganized Debtor 

Subject to and consistent with the terms of the Reorganized Limited Partnership 

Agreement, the Reorganized Debtor shall be managed by its general partner, New GP LLC. The 

initial officers and employees of the Reorganized Debtor shall be selected by the Claimant 

Trustee. The Reorganized Debtor may, in its discretion, also utilize a Sub-Servicer in addition to 

or in lieu of the retention of officers and employees. 

As set forth in the Reorganized Limited Partnership Agreement, New GP LLC will 

receive a fee for managing the Reorganized Debtor. Although New GP LLC will be a limited 

liability company, it will elect to be treated as a C-Corporation for tax purposes. Therefore, New 

GP LLC (and any taxable income attributable to it) will be subject to corporate income taxation 

on a standalone basis, which may reduce the return to Claimants. 

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5. Vesting of Assets in the Reorganized Debtor 

Except as otherwise provided in this Plan or the Confirmation Order, on or after the 

Effective Date, all Reorganized Debtor Assets will vest in the Reorganized Debtor, free and clear 

of all Liens, Claims, charges or other encumbrances pursuant to section 1141(c) of the 

Bankruptcy Code except with respect to such Liens, Claims, charges and other encumbrances 

that are specifically preserved under this Plan upon the Effective Date. 

The Reorganized Debtor shall be the exclusive trustee of the Reorganized Debtor Assets 

for purposes of 31 U.S.C. § 3713(b) and 26 U.S.C. § 6012(b)(3), as well as the representative of 

the Estate appointed pursuant to section 1123(b)(3)(B) of the Bankruptcy Code with respect to 

the Reorganized Debtor Assets. 

6. Purpose of the Reorganized Debtor 

Except as may be otherwise provided in this Plan or the Confirmation Order, the 

Reorganized Debtor will continue to manage the Reorganized Debtor Assets (which shall 

include, for the avoidance of doubt, serving as the investment manager of the Managed Funds) 

and may use, acquire or dispose of the Reorganized Debtor Assets and compromise or settle any 

Claims with respect to the Reorganized Debtor Assets without supervision or approval by the 

Bankruptcy Court and free of any restrictions of the Bankruptcy Code or Bankruptcy Rules. The 

Reorganized Debtor shall oversee the resolution of Claims in Class 1 through Class 7. 

Without limiting the foregoing, the Reorganized Debtor will pay the charges that it incurs 

after the Effective Date for Professionals’ fees, disbursements, expenses or related support 

services (including reasonable fees relating to the preparation of Professional fee applications) in 

the ordinary course of business and without application or notice to, or order of, the Bankruptcy 

Court. 

7. Distribution of Proceeds from the Reorganized Debtor Assets; Transfer of 

Reorganized Debtor Assets 

Any proceeds received by the Reorganized Debtor will be distributed to the Claimant 

Trust, as limited partner, and New GP LLC, as general partner, in the manner set forth in the 

Reorganized Limited Partnership Agreement. As set forth in the Reorganized Limited 

Partnership Agreement, the Reorganized Debtor may, from time to time distribute Reorganized 

Debtor Assets to the Claimant Trust either in Cash or in-kind, including to institute the winddown and dissolution of the Reorganized Debtor. Any assets distributed to the Claimant Trust 

will be (i) deemed transferred in all respects as forth in ARTICLE IV.B.1, (ii) deemed Claimant 

Trust Assets, and (iii) administered as Claimant Trust Assets. 

D. Company Action 

Each of the Debtor, the Reorganized Debtor, and the Trustees, as applicable, may take 

any and all actions to execute, deliver, File or record such contracts, instruments, releases and 

other agreements or documents and take such actions as may be necessary or appropriate to 

effectuate and implement the provisions of this Plan, the Claimant Trust Agreement, the 

Reorganized Limited Partnership Agreement, or the New GP LLC Documents, as applicable, in 

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the name of and on behalf of the Debtor, the Reorganized Debtor, or the Trustees, as applicable, 

and in each case without further notice to or order of the Bankruptcy Court, act or action under 

applicable law, regulation, order, or rule or any requirement of further action, vote or other 

approval or authorization by the security holders, officers, or directors of the Debtor or the 

Reorganized Debtor, as applicable, or by any other Person. 

Prior to, on or after the Effective Date (as appropriate), all matters provided for pursuant 

to this Plan that would otherwise require approval of the stockholders, partners, directors, 

managers, or members of the Debtor, any Related Entity, or any Affiliate thereof (as of prior to 

the Effective Date) will be deemed to have been so approved and will be in effect prior to, on or 

after the Effective Date (as appropriate) pursuant to applicable law and without any requirement 

of further action by the stockholders, partners, directors, managers or members of such Persons, 

or the need for any approvals, authorizations, actions or consents of any Person. 

All matters provided for in this Plan involving the legal or corporate structure of the 

Debtor, the Reorganized Debtor, or the Claimant Trust, as applicable, and any legal or corporate 

action required by the Debtor, the Reorganized Debtor, or the Claimant Trust, as applicable, in 

connection with this Plan, will be deemed to have occurred and will be in full force and effect in 

all respects, in each case without further notice to or order of the Bankruptcy Court, act or action 

under applicable law, regulation, order, or rule or any requirement of further action, vote or other 

approval or authorization by the security holders, partners, directors, managers, or members of 

the Debtor, the Reorganized Debtor, or the Claimant Trust, as applicable, or by any other Person. 

On the Effective Date, the appropriate officers of the Debtor and the Reorganized Debtor, as 

applicable, as well as the Trustees, are authorized to issue, execute, deliver, and consummate the 

transactions contemplated by, the contracts, agreements, documents, guarantees, pledges, 

consents, securities, certificates, resolutions and instruments contemplated by or described in this 

Plan in the name of and on behalf of the Debtor and the Reorganized Debtor, as well as the 

Trustees, in each case without further notice to or order of the Bankruptcy Court, act or action 

under applicable law, regulation, order, or rule or any requirement of further action, vote or other 

approval or authorization by any Person. The appropriate officer of the Debtor, the Reorganized 

Debtor, as well as the Trustees, will be authorized to certify or attest to any of the foregoing 

actions. 

E. Release of Liens, Claims and Equity Interests

Except as otherwise provided in the Plan or in any contract, instrument, release or other 

agreement or document entered into or delivered in connection with the Plan, from and after the 

Effective Date and concurrently with the applicable distributions made pursuant to the Plan, all 

Liens, Claims, Equity Interests, mortgages, deeds of trust, or other security interests against the 

property of the Estate will be fully released, terminated, extinguished and discharged, in each 

case without further notice to or order of the Bankruptcy Court, act or action under applicable 

law, regulation, order, or rule or the vote, consent, authorization or approval of any Entity. Any 

Entity holding such Liens or Equity Interests extinguished pursuant to the prior sentence will, 

pursuant to section 1142 of the Bankruptcy Code, promptly execute and deliver to the Debtor, 

the Reorganized Debtor, or the Claimant Trustee, as applicable, such instruments of termination, 

release, satisfaction and/or assignment (in recordable form) as may be reasonably requested by 

the Debtor, the Reorganized Debtor, or the Claimant Trustee, as applicable. For the avoidance of 

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doubt, this section is in addition to, and shall not be read to limit in any respects, ARTICLE 

IV.C.2. 

F. Cancellation of Notes, Certificates and Instruments

Except for the purpose of evidencing a right to a distribution under this Plan and except 

as otherwise set forth in this Plan, on the Effective Date, all agreements, instruments, Securities 

and other documents evidencing any prepetition Claim or Equity Interest and any rights of any 

Holder in respect thereof shall be deemed cancelled, discharged, and of no force or effect. The 

holders of or parties to such cancelled instruments, Securities, and other documentation will have 

no rights arising from or related to such instruments, Securities, or other documentation or the 

cancellation thereof, except the rights provided for pursuant to this Plan, and the obligations of 

the Debtor thereunder or in any way related thereto will be fully released, terminated, 

extinguished and discharged, in each case without further notice to or order of the Bankruptcy 

Court, act or action under applicable law, regulation, order, or rule or any requirement of further 

action, vote or other approval or authorization by any Person. For the avoidance of doubt, this 

section is in addition to, and shall not be read to limit in any respects, ARTICLE IV.C.2. 

G. Cancellation of Existing Instruments Governing Security Interests

Upon payment or other satisfaction of an Allowed Class 1 or Allowed Class 2 Claim, or 

promptly thereafter, the Holder of such Allowed Class 1 or Allowed Class 2 Claim shall deliver 

to the Debtor, the Reorganized Debtor, or the Claimant Trustee, as applicable, any collateral or 

other property of the Debtor held by such Holder, together with any termination statements, 

instruments of satisfaction, or releases of all security interests with respect to its Allowed Class 1 

or Allowed Class 2 Claim that may be reasonably required to terminate any related financing 

statements, mortgages, mechanics’ or other statutory Liens, or lis pendens, or similar interests or 

documents. 

H. Control Provisions 

To the extent that there is any inconsistency between this Plan as it relates to the 

Claimant Trust, the Claimant Trust Agreement, the Reorganized Debtor, or the Reorganized 

Limited Partnership Agreement, this Plan shall control. 

I. Treatment of Vacant Classes

Any Claim or Equity Interest in a Class considered vacant under ARTICLE III.C of this 

Plan shall receive no Plan Distributions. 

J. Plan Documents

The documents, if any, to be Filed as part of the Plan Documents, including any 

documents filed with the Plan Supplement, and any amendments, restatements, supplements, or 

other modifications to such documents, and any consents, waivers, or other deviations under or 

from any such documents, shall be incorporated herein by this reference (including to the 

applicable definitions in ARTICLE I hereof) and fully enforceable as if stated in full herein. 

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The Debtor and the Committee are currently working to finalize the forms of certain of 

the Plan Documents to be filed with the Plan Supplement. To the extent that the Debtor and the 

Committee cannot agree as to the form and content of such Plan Documents, they intend to 

submit the issue to non-binding mediation pursuant to the Order Directing Mediation entered on 

August 3, 2020 [D.I. 912]. 

K. Highland Capital Management, L.P. Retirement Plan and Trust

The Highland Capital Management, L.P. Retirement Plan And Trust (“Pension Plan”) is a 

single-employer defined benefit pension plan covered by Title IV of the Employee Retirement 

Income Security Act of 1974, as amended (“ERISA”). 29 U.S.C. §§ 1301-1461. The Debtor is 

the contributing sponsor and, as such, the PBGC asserts that the Debtor is liable along with any 

members of the contributing sponsor’s controlled-group within the meaning of 29 U.S.C. §§ 

1301(a)(13), (14) with respect to the Pension Plan. 

Upon the Effective Date, the Reorganized Debtor shall be deemed to have assumed the 

Pension Plan and shall comply with all applicable statutory provisions of ERISA and the Internal 

Revenue Code (the “IRC”), including, but not limited to, satisfying the minimum funding 

standards pursuant to 26 U.S.C. §§ 412, 430, and 29 U.S.C. §§ 1082, 1083; paying the PBGC 

premiums in accordance with 29 U.S.C. §§ 1306 and 1307; and administering the Pension Plan 

in accordance with its terms and the provisions of ERISA and the IRC. In the event that the 

Pension Plan terminates after the Plan of Reorganization Effective Date, the PBGC asserts that 

the Reorganized Debtor and each of its controlled group members will be responsible for the 

liabilities imposed by Title IV of ERISA. 

Notwithstanding any provision of the Plan, the Confirmation Order, or the Bankruptcy 

Code (including section 1141 thereof) to the contrary, neither the Plan, the Confirmation Order, 

or the Bankruptcy Code shall be construed as discharging, releasing, exculpating or relieving the 

Debtor, the Reorganized Debtor, or any person or entity in any capacity, from any liability or 

responsibility, if any, with respect to the Pension Plan under any law, governmental policy, or 

regulatory provision. PBGC and the Pension Plan shall not be enjoined or precluded from 

enforcing such liability or responsibility against any person or entity as a result of any of the 

provisions of the Plan, the Confirmation Order, or the Bankruptcy Code. The Debtor reserves 

the right to contest any such liability or responsibility. 

ARTICLE V.

TREATMENT OF EXECUTORY CONTRACTS AND UNEXPIRED LEASES

A. Assumption, Assignment, or Rejection of Executory Contracts and Unexpired 

Leases 

Unless an Executory Contract or Unexpired Lease: (i) was previously assumed or 

rejected by the Debtor pursuant to this Plan on or prior to the Confirmation Date; (ii) previously 

expired or terminated pursuant to its own terms or by agreement of the parties thereto; (iii) is the 

subject of a motion to assume filed by the Debtor on or before the Confirmation Date; (iv) 

contains a change of control or similar provision that would be triggered by the Chapter 11 Case 

(unless such provision has been irrevocably waived); or (v) is specifically designated as a 

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contract or lease to be assumed in the Plan or the Plan Supplement, on the Confirmation Date, 

each Executory Contract and Unexpired Lease shall be deemed rejected pursuant to section 365 

of the Bankruptcy Code, without the need for any further notice to or action, order, or approval 

of the Bankruptcy Court, unless such Executory Contract or Unexpired Lease is listed in the Plan 

Supplement. 

At any time on or prior to the Confirmation Date, the Debtor may (i) amend the Plan 

Supplement in order to add or remove a contract or lease from the list of contracts to be assumed 

or (ii) assign (subject to applicable law) any Executory Contract or Unexpired Lease, as 

determined by the Debtor in consultation with the Committee, or the Reorganized Debtor, as 

applicable. 

The Confirmation Order will constitute an order of the Bankruptcy Court approving the 

above-described assumptions, rejections, and assumptions and assignments. Except as otherwise 

provided herein or agreed to by the Debtor and the applicable counterparty, each assumed 

Executory Contract or Unexpired Lease shall include all modifications, amendments, 

supplements, restatements, or other agreements related thereto, and all rights related thereto. 

Modifications, amendments, supplements, and restatements to prepetition Executory Contracts 

and Unexpired Leases that have been executed by the Debtor during the Chapter 11 Case shall 

not be deemed to alter the prepetition nature of the Executory Contract or Unexpired Lease or the 

validity, priority, or amount of any Claims that may arise in connection therewith. To the extent 

applicable, no change of control (or similar provision) will be deemed to occur under any such 

Executory Contract or Unexpired Lease. 

If certain, but not all, of a contract counterparty’s Executory Contracts and/or Unexpired 

Leases are rejected pursuant to the Plan, the Confirmation Order shall be a determination that 

such counterparty’s Executory Contracts and/or Unexpired Leases that are being assumed 

pursuant to the Plan are severable agreements that are not integrated with those Executory 

Contracts and/or Unexpired Leases that are being rejected pursuant to the Plan. Parties seeking 

to contest this finding with respect to their Executory Contracts and/or Unexpired Leases must 

file a timely objection to the Plan on the grounds that their agreements are integrated and not 

severable, and any such dispute shall be resolved by the Bankruptcy Court at the Confirmation 

Hearing (to the extent not resolved by the parties prior to the Confirmation Hearing). 

Notwithstanding anything herein to the contrary, the Debtor shall assume or reject that 

certain real property lease with Crescent TC Investors L.P. (“Landlord”) for the Debtor’s 

headquarters located at 200/300 Crescent Ct., Suite #700, Dallas, Texas 75201 (the “Lease”) in 

accordance with the notice to Landlord, procedures and timing required by 11 U.S.C. §365(d)(4), 

as modified by that certain Agreed Order Granting Motion to Extend Time to Assume or Reject 

Unexpired Nonresidential Real Property Lease [Docket No. 1122]. 

B. Claims Based on Rejection of Executory Contracts or Unexpired Leases 

Any Executory Contract or Unexpired Lease not assumed or rejected on or before the 

Confirmation Date shall be deemed rejected, pursuant to the Confirmation Order. Any Person 

asserting a Rejection Claim shall File a proof of claim within thirty days of the Effective Date. 

Any Rejection Claims that are not timely Filed pursuant to this Plan shall be forever disallowed 

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and barred. If one or more Rejection Claims are timely Filed, the Claimant Trustee may File an 

objection to any Rejection Claim. 

Rejection Claims shall be classified as General Unsecured Claims and shall be treated in 

accordance with ARTICLE III of this Plan. 

C. Cure of Defaults for Assumed or Assigned Executory Contracts and Unexpired 

Leases 

Any monetary amounts by which any Executory Contract or Unexpired Lease to be 

assumed or assigned hereunder is in default shall be satisfied, under section 365(b)(1) of the 

Bankruptcy Code, by the Debtor upon assumption or assignment thereof, by payment of the 

default amount in Cash as and when due in the ordinary course or on such other terms as the 

parties to such Executory Contracts may otherwise agree. The Debtor may serve a notice on the 

Committee and parties to Executory Contracts or Unexpired Leases to be assumed or assigned 

reflecting the Debtor’s or Reorganized Debtor’s intention to assume or assign the Executory 

Contract or Unexpired Lease in connection with this Plan and setting forth the proposed cure 

amount (if any). 

If a dispute regarding (1) the amount of any payments to cure a default, (2) the ability of 

the Debtor, the Reorganized Debtor, or any assignee to provide “adequate assurance of future 

performance” (within the meaning of section 365 of the Bankruptcy Code) under the Executory 

Contract or Unexpired Lease to be assumed or assigned or (3) any other matter pertaining to 

assumption or assignment, the cure payments required by section 365(b)(1) of the Bankruptcy 

Code will be made following the entry of a Final Order or orders resolving the dispute and 

approving the assumption or assignment. 

Assumption or assignment of any Executory Contract or Unexpired Lease pursuant to the 

Plan or otherwise and full payment of any applicable cure amounts pursuant to this ARTICLE 

V.C shall result in the full release and satisfaction of any cure amounts, Claims, or defaults, 

whether monetary or nonmonetary, including defaults of provisions restricting the change in 

control or ownership interest composition or other bankruptcy-related defaults, arising under any 

assumed or assigned Executory Contract or Unexpired Lease at any time prior to the effective 

date of assumption or assignment. Any and all Proofs of Claim based upon Executory Contracts 

or Unexpired Leases that have been assumed or assigned in the Chapter 11 Case, including 

pursuant to the Confirmation Order, and for which any cure amounts have been fully paid 

pursuant to this ARTICLE V.C, shall be deemed disallowed and expunged as of the 

Confirmation Date without the need for any objection thereto or any further notice to or action, 

order, or approval of the Bankruptcy Court. 

ARTICLE VI.

PROVISIONS GOVERNING DISTRIBUTIONS

A. Dates of Distributions

Except as otherwise provided in this Plan, on the Effective Date or as soon as reasonably 

practicable thereafter (or if a Claim is not an Allowed Claim or Equity Interest on the Effective 

Date, on the date that such Claim or Equity Interest becomes an Allowed Claim or Equity 

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Interest, or as soon as reasonably practicable thereafter), each Holder of an Allowed Claim or 

Equity Interest against the Debtor shall receive the full amount of the distributions that this Plan 

provides for Allowed Claims or Allowed Equity Interests in the applicable Class and in the 

manner provided herein. If any payment or act under this Plan is required to be made or 

performed on a date that is not on a Business Day, then the making of such payment or the 

performance of such act may be completed on the next succeeding Business Day, but shall be 

deemed to have been completed as of the required date. If and to the extent there are Disputed 

Claims or Equity Interests, distributions on account of any such Disputed Claims or Equity 

Interests shall be made pursuant to the provisions provided in this Plan. Except as otherwise 

provided in this Plan, Holders of Claims and Equity Interests shall not be entitled to interest, 

dividends or accruals on the distributions provided for therein, regardless of whether 

distributions are delivered on or at any time after the Effective Date. 

Upon the Effective Date, all Claims and Equity Interests against the Debtor shall be 

deemed fixed and adjusted pursuant to this Plan and none of the Debtor, the Reorganized Debtor, 

or the Claimant Trust will have liability on account of any Claims or Equity Interests except as 

set forth in this Plan and in the Confirmation Order. All payments and all distributions made by 

the Distribution Agent under this Plan shall be in full and final satisfaction, settlement and 

release of all Claims and Equity Interests against the Debtor and the Reorganized Debtor. 

At the close of business on the Distribution Record Date, the transfer ledgers for the 

Claims against the Debtor and the Equity Interests in the Debtor shall be closed, and there shall 

be no further changes in the record holders of such Claims and Equity Interests. The Debtor, the 

Reorganized Debtor, the Trustees, and the Distribution Agent, and each of their respective 

agents, successors, and assigns shall have no obligation to recognize the transfer of any Claims 

against the Debtor or Equity Interests in the Debtor occurring after the Distribution Record Date 

and shall be entitled instead to recognize and deal for all purposes hereunder with only those 

record holders stated on the transfer ledgers as of the close of business on the Distribution 

Record Date irrespective of the number of distributions to be made under this Plan to such 

Persons or the date of such distributions. 

B. Distribution Agent

Except as provided herein, all distributions under this Plan shall be made by the Claimant 

Trustee, as Distribution Agent, or by such other Entity designated by the Claimant Trustee, as a 

Distribution Agent on the Effective Date or thereafter. The Reorganized Debtor will be the 

Distribution Agent with respect to Claims in Class 1 through Class 7. 

The Claimant Trustee, or such other Entity designated by the Claimant Trustee to be the 

Distribution Agent, shall not be required to give any bond or surety or other security for the 

performance of such Distribution Agent’s duties unless otherwise ordered by the Bankruptcy 

Court. 

The Distribution Agent shall be empowered to (a) effect all actions and execute all 

agreements, instruments, and other documents necessary to perform its duties under this Plan; 

(b) make all distributions contemplated hereby; (c) employ professionals to represent it with 

respect to its responsibilities; and (d) exercise such other powers as may be vested in the 

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Distribution Agent by order of the Bankruptcy Court, pursuant to this Plan, or as deemed by the 

Distribution Agent to be necessary and proper to implement the provisions hereof. 

The Distribution Agent shall not have any obligation to make a particular distribution to a 

specific Holder of an Allowed Claim if such Holder is also the Holder of a Disputed Claim. 

C. Cash Distributions

Distributions of Cash may be made by wire transfer from a domestic bank, except that 

Cash payments made to foreign creditors may be made in such funds and by such means as the 

Distribution Agent determines are necessary or customary in a particular foreign jurisdiction. 

D. Disputed Claims Reserve

On or prior to the Initial Distribution Date, the Claimant Trustee shall establish, fund and 

maintain the Disputed Claims Reserve(s) in the appropriate Disputed Claims Reserve Amounts 

on account of any Disputed Claims. 

E. Distributions from the Disputed Claims Reserve

The Disputed Claims Reserve shall at all times hold Cash in an amount no less than the 

Disputed Claims Reserve Amount. To the extent a Disputed Claim becomes an Allowed Claim 

pursuant to the terms of this Plan, within 30 days of the date on which such Disputed Claim 

becomes an Allowed Claim pursuant to the terms of this Plan, the Claimant Trustee shall 

distribute from the Disputed Claims Reserve to the Holder thereof any prior distributions, in 

Cash, that would have been made to such Allowed Claim if it had been Allowed as of the 

Effective Date. For the avoidance of doubt, each Holder of a Disputed Claim that subsequently 

becomes an Allowed Claim will also receive its Pro Rata share of the Claimant Trust Interests. 

If, upon the resolution of all Disputed Claims any Cash remains in the Disputed Claims Reserve, 

such Cash shall be transferred to the Claimant Trust and be deemed a Claimant Trust Asset. 

F. Rounding of Payments 

Whenever this Plan would otherwise call for, with respect to a particular Person, payment 

of a fraction of a dollar, the actual payment or distribution shall reflect a rounding of such 

fraction to the nearest whole dollar (up or down), with half dollars being rounded down. To the 

extent that Cash to be distributed under this Plan remains undistributed as a result of the 

aforementioned rounding, such Cash or stock shall be treated as “Unclaimed Property” under this 

Plan. 

G. De Minimis Distribution

Except as to any Allowed Claim that is Unimpaired under this Plan, none of the Debtor, 

the Reorganized Debtor, or the Distribution Agent shall have any obligation to make any Plan 

Distributions with a value of less than $100, unless a written request therefor is received by the 

Distribution Agent from the relevant recipient at the addresses set forth in ARTICLE VI.J hereof 

within 120 days after the later of the (i) Effective Date and (ii) the date such Claim becomes an 

Allowed Claim. De minimis distributions for which no such request is timely received shall 

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revert to the Claimant Trust. Upon such reversion, the relevant Allowed Claim (and any Claim 

on account of missed distributions) shall be automatically deemed satisfied, discharged and 

forever barred, notwithstanding any federal or state escheat laws to the contrary. 

H. Distributions on Account of Allowed Claims

Except as otherwise agreed by the Holder of a particular Claim or as provided in this 

Plan, all distributions shall be made pursuant to the terms of this Plan and the Confirmation 

Order. Except as otherwise provided in this Plan, distributions to any Holder of an Allowed 

Claim shall, to the extent applicable, be allocated first to the principal amount of any such 

Allowed Claim, as determined for U.S. federal income tax purposes and then, to the extent the 

consideration exceeds such amount, to the remainder of such Claim comprising accrued but 

unpaid interest, if any (but solely to the extent that interest is an allowable portion of such 

Allowed Claim). 

I. General Distribution Procedures

The Distribution Agent shall make all distributions of Cash or other property required 

under this Plan, unless this Plan specifically provides otherwise. All Cash and other property 

held by the Debtor, the Reorganized Debtor, or the Claimant Trust, as applicable, for ultimate 

distribution under this Plan shall not be subject to any claim by any Person. 

J. Address for Delivery of Distributions

Distributions to Holders of Allowed Claims, to the extent provided for under this Plan, 

shall be made (1) at the addresses set forth in any written notices of address change delivered to 

the Debtor and the Distribution Agent; (2) at the address set forth on any Proofs of Claim Filed 

by such Holders (to the extent such Proofs of Claim are Filed in the Chapter 11 Case), (2), or (3) 

at the addresses in the Debtor’s books and records. 

If there is any conflict or discrepancy between the addresses set forth in (1) through (3) in 

the foregoing sentence, then (i) the address in Section (2) shall control; (ii) if (2) does not apply, 

the address in (1) shall control, and (iii) if (1) does not apply, the address in (3) shall control. 

K. Undeliverable Distributions and Unclaimed Property

If the distribution to the Holder of any Allowed Claim is returned to the Reorganized 

Debtor or the Claimant Trust as undeliverable, no further distribution shall be made to such 

Holder, and Distribution Agent shall not have any obligation to make any further distribution to 

the Holder, unless and until the Distribution Agent is notified in writing of such Holder’s then 

current address. 

Any Entity that fails to claim any Cash within six months from the date upon which a 

distribution is first made to such Entity shall forfeit all rights to any distribution under this Plan 

and such Cash shall thereafter be deemed an Claimant Trust Asset in all respects and for all 

purposes. Entities that fail to claim Cash shall forfeit their rights thereto and shall have no claim 

whatsoever against the Debtor’s Estate, the Reorganized Debtor, the Claimant Trust, or against 

any Holder of an Allowed Claim to whom distributions are made by the Distribution Agent. 

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L. Withholding Taxes 

In connection with this Plan, to the extent applicable, the Distribution Agent shall comply 

with all tax withholding and reporting requirements imposed on them by any Governmental Unit, 

and all distributions made pursuant to this Plan shall be subject to such withholding and 

reporting requirements. The Distribution Agent shall be entitled to deduct any U.S. federal, state 

or local withholding taxes from any Cash payments made with respect to Allowed Claims, as 

appropriate. As a condition to receiving any distribution under this Plan, the Distribution Agent 

may require that the Holder of an Allowed Claim entitled to receive a distribution pursuant to 

this Plan provide such Holder’s taxpayer identification number and such other information and 

certification as may be deemed necessary for the Distribution Agent to comply with applicable 

tax reporting and withholding laws. If a Holder fails to comply with such a request within one 

year, such distribution shall be deemed an unclaimed distribution. Any amounts withheld 

pursuant hereto shall be deemed to have been distributed to and received by the applicable 

recipient for all purposes of this Plan. 

M. Setoffs

The Distribution Agent may, to the extent permitted under applicable law, set off against 

any Allowed Claim and any distributions to be made pursuant to this Plan on account of such 

Allowed Claim, the claims, rights and causes of action of any nature that the Debtor, the 

Reorganized Debtor, or the Distribution Agent may hold against the Holder of such Allowed 

Claim that are not otherwise waived, released or compromised in accordance with this Plan; 

provided, however, that neither such a setoff nor the allowance of any Claim hereunder shall 

constitute a waiver or release by the Debtor, the Reorganized Debtor, or the Claimant Trustee of 

any such claims, rights and causes of action that the Debtor, the Reorganized Debtor, or 

Claimant Trustee possesses against such Holder. Any Holder of an Allowed Claim subject to 

such setoff reserves the right to challenge any such setoff in the Bankruptcy Court or any other 

court with jurisdiction with respect to such challenge. 

N. Surrender of Cancelled Instruments or Securities

As a condition precedent to receiving any distribution pursuant to this Plan on account of 

an Allowed Claim evidenced by negotiable instruments, securities, or notes canceled pursuant to 

ARTICLE IV of this Plan, the Holder of such Claim will tender the applicable negotiable 

instruments, securities, or notes evidencing such Claim (or a sworn affidavit identifying the 

negotiable instruments, securities, or notes formerly held by such Holder and certifying that they 

have been lost), to the Distribution Agent unless waived in writing by the Distribution Agent. 

O. Lost, Stolen, Mutilated or Destroyed Securities

In addition to any requirements under any applicable agreement and applicable law, any 

Holder of a Claim or Equity Interest evidenced by a security or note that has been lost, stolen, 

mutilated, or destroyed will, in lieu of surrendering such security or note to the extent required 

by this Plan, deliver to the Distribution Agent: (i) evidence reasonably satisfactory to the 

Distribution Agent of such loss, theft, mutilation, or destruction; and (ii) such security or 

indemnity as may be required by the Distribution Agent to hold such party harmless from any 

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damages, liabilities, or costs incurred in treating such individual as a Holder of an Allowed 

Claim or Equity Interest. Upon compliance with ARTICLE VI.O of this Plan as determined by 

the Distribution Agent, by a Holder of a Claim evidenced by a security or note, such Holder will, 

for all purposes under this Plan, be deemed to have surrendered such security or note to the 

Distribution Agent. 

ARTICLE VII.

PROCEDURES FOR RESOLVING CONTINGENT, 

UNLIQUIDATED AND DISPUTED CLAIMS

A. Filing of Proofs of Claim 

Unless such Claim appeared in the Schedules and is not listed as disputed, contingent, or 

unliquidated, or such Claim has otherwise been Allowed or paid, each Holder of a Claim was 

required to file a Proof of Claim on or prior to the Bar Date. 

B. Disputed Claims

Following the Effective Date, each of the Reorganized Debtor or the Claimant Trustee, as 

applicable, may File with the Bankruptcy Court an objection to the allowance of any Disputed 

Claim or Disputed Equity Interest, request the Bankruptcy Court subordinate any Claims to 

Subordinated Claims, or any other appropriate motion or adversary proceeding with respect to 

the foregoing by the Claims Objection Deadline or, at the discretion of the Reorganized Debtor 

or Claimant Trustee, as applicable, compromised, settled, withdrew or resolved without further 

order of the Bankruptcy Court, and (ii) unless otherwise provided in the Confirmation Order, the 

Reorganized Debtor or the Claimant Trust, as applicable, are authorized to settle, or withdraw 

any objections to, any Disputed Claim or Disputed Equity Interests following the Effective Date 

without further notice to creditors (other than the Entity holding such Disputed Claim or 

Disputed Equity Interest) or authorization of the Bankruptcy Court, in which event such Claim or 

Equity Interest shall be deemed to be an Allowed Claim or Equity Interest in the amount 

compromised for purposes of this Plan. 

C. Procedures Regarding Disputed Claims or Disputed Equity Interests

No payment or other distribution or treatment shall be made on account of a Disputed 

Claim or Disputed Equity Interest unless and until such Disputed Claim or Disputed Equity 

Interest becomes an Allowed Claim or Equity Interests and the amount of such Allowed Claim 

or Equity Interest, as applicable, is determined by order of the Bankruptcy Court or by 

stipulation between the Reorganized Debtor or Claimant Trust, as applicable, and the Holder of 

the Claim or Equity Interest. 

D. Allowance of Claims and Equity Interests 

Following the date on which a Disputed Claim or Disputed Equity Interest becomes an 

Allowed Claim or Equity Interest after the Distribution Date, the Distribution Agent shall make a 

distribution to the Holder of such Allowed Claim or Equity Interest in accordance with the Plan. 

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1. Allowance of Claims 

After the Effective Date and subject to the other provisions of this Plan, the Reorganized 

Debtor or the Claimant Trust, as applicable, will have and will retain any and all rights and 

defenses under bankruptcy or nonbankruptcy law that the Debtor had with respect to any Claim. 

Except as expressly provided in this Plan or in any order entered in the Chapter 11 Case prior to 

the Effective Date (including, without limitation, the Confirmation Order), no Claim or Equity 

Interest will become an Allowed Claim or Equity Interest unless and until such Claim or Equity 

Interest is deemed Allowed under this Plan or the Bankruptcy Code or the Bankruptcy Court has 

entered an order, including, without limitation, the Confirmation Order, in the Chapter 11 Case 

allowing such Claim or Equity Interest. 

2. Estimation

Subject to the other provisions of this Plan, the Debtor, prior to the Effective Date, and 

the Reorganized Debtor or the Claimant Trustee, as applicable, after the Effective Date, may, at 

any time, request that the Bankruptcy Court estimate (a) any Disputed Claim or Disputed Equity 

Interest pursuant to applicable law and in accordance with this Plan and (b) any contingent or 

unliquidated Claim pursuant to applicable law, including, without limitation, section 502(c) of 

the Bankruptcy Code, and the Bankruptcy Court will retain jurisdiction under 28 U.S.C. §§ 157 

and 1334 to estimate any Disputed Claim or Disputed Equity Interest, contingent Claim or 

unliquidated Claim, including during the litigation concerning any objection to any Claim or 

Equity Interest or during the pendency of any appeal relating to any such objection. All of the 

aforementioned objection, estimation and resolution procedures are cumulative and not exclusive 

of one another. Claims or Equity Interests may be estimated and subsequently compromised, 

settled, withdrawn or resolved by any mechanism approved by the Bankruptcy Court. The rights 

and objections of all parties are reserved in connection with any such estimation proceeding. 

3. Disallowance of Claims

Any Claims or Equity Interests held by Entities from which property is recoverable under 

sections 542, 543, 550, or 553 of the Bankruptcy Code, or that are a transferee of a transfer 

avoidable under sections 522(f), 522(h), 544, 545, 547, 548, 549, or 724(a) of the Bankruptcy 

Code, shall be deemed disallowed pursuant to section 502(d) of the Bankruptcy Code, and 

holders of such Claims or Interests may not receive any distributions on account of such Claims 

or Interests until such time as such Causes of Action against that Entity have been settled or a 

Bankruptcy Court Order with respect thereto has been entered and all sums due, if any, to the 

Reorganized Debtor or the Claimant Trust, as applicable, by that Entity have been turned over or 

paid to the Reorganized Debtor or the Claimant Trust, as applicable. 

EXCEPT AS OTHERWISE PROVIDED HEREIN OR AS AGREED TO BY THE 

DEBTOR, REORGANIZED DEBTOR, OR CLAIMANT TRUSTEE, AS APPLICABLE, 

ANY AND ALL PROOFS OF CLAIM FILED AFTER THE BAR DATE SHALL BE 

DEEMED DISALLOWED AND EXPUNGED AS OF THE EFFECTIVE DATE 

WITHOUT ANY FURTHER NOTICE TO OR ACTION, ORDER, OR APPROVAL OF 

THE BANKRUPTCY COURT, AND HOLDERS OF SUCH CLAIMS MAY NOT 

RECEIVE ANY DISTRIBUTIONS ON ACCOUNT OF SUCH CLAIMS, UNLESS SUCH 

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LATE PROOF OF CLAIM HAS BEEN DEEMED TIMELY FILED BY A FINAL 

ORDER.

ARTICLE VIII.

EFFECTIVENESS OF THIS PLAN

A. Conditions Precedent to the Effective Date 

The Effective Date of this Plan will be conditioned upon the satisfaction or waiver by the 

Debtor (and, to the extent such condition requires the consent of the Committee, the consent of 

the Committee with such consent not to be unreasonably withheld), pursuant to the provisions of 

ARTICLE VIII.B of this Plan of the following: 

x This Plan and the Plan Documents, including the Claimant Trust Agreement and the 

Reorganized Limited Partnership Agreement, and all schedules, documents, 

supplements and exhibits to this Plan shall have been Filed in form and substance 

reasonably acceptable to the Debtor and the Committee. 

x The Confirmation Order shall have become a Final Order and shall be in form and 

substance reasonably acceptable to the Debtor and the Committee. The Confirmation 

Order shall provide that, among other things, (i) the Debtor, the Reorganized Debtor, 

the Claimant Trustee, or the Litigation Trustee are authorized to take all actions 

necessary or appropriate to effectuate and consummate this Plan, including, without 

limitation, (a) entering into, implementing, effectuating, and consummating the 

contracts, instruments, releases, and other agreements or documents created in 

connection with or described in this Plan, (b) assuming the Executory Contracts and 

Unexpired Leases set forth in the Plan Supplement, (c) making all distributions and 

issuances as required under this Plan; and (d) entering into any transactions as set 

forth in the Plan Documents; (ii) the provisions of the Confirmation Order and this 

Plan are nonseverable and mutually dependent; (iii) the implementation of this Plan in 

accordance with its terms is authorized; (iv) pursuant to section 1146 of the 

Bankruptcy Code, the delivery of any deed or other instrument or transfer order, in 

furtherance of, or in connection with this Plan, including any deeds, bills of sale, or 

assignments executed in connection with any disposition or transfer of Assets 

contemplated under this Plan, shall not be subject to any Stamp or Similar Tax; and 

(v) the vesting of the Claimant Trust Assets in the Claimant Trust and the 

Reorganized Debtor Assets in the Reorganized Debtor, in each case as of the 

Effective Date free and clear of liens and claims to the fullest extent permissible 

under applicable law pursuant to section 1141(c) of the Bankruptcy Code except with 

respect to such Liens, Claims, charges and other encumbrances that are specifically 

preserved under this Plan upon the Effective Date. 

x All documents and agreements necessary to implement this Plan, including without 

limitation, the Reorganized Limited Partnership Agreement, the Claimant Trust 

Agreement, and the New GP LLC Documents, in each case in form and substance 

reasonably acceptable to the Debtor and the Committee, shall have (a) been tendered 

for delivery, and (b) been effected by, executed by, or otherwise deemed binding 

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upon, all Entities party thereto and shall be in full force and effect. All conditions 

precedent to such documents and agreements shall have been satisfied or waived 

pursuant to the terms of such documents or agreements. 

x All authorizations, consents, actions, documents, approvals (including any 

governmental approvals), certificates and agreements necessary to implement this 

Plan, including, without limitation, the Reorganized Limited Partnership Agreement, 

the Claimant Trust Agreement, and the New GP LLC Documents, shall have been 

obtained, effected or executed and delivered to the required parties and, to the extent 

required, filed with the applicable governmental units in accordance with applicable 

laws and any applicable waiting periods shall have expired without any action being 

taken or threatened by any competent authority that would restrain or prevent 

effectiveness or consummation of the Restructuring. 

x The Debtor shall have obtained applicable directors’ and officers’ insurance coverage 

that is acceptable to each of the Debtor, the Committee, the Claimant Trust Oversight 

Committee, the Claimant Trustee and the Litigation Trustee. 

x The Professional Fee Reserve shall be funded pursuant to this Plan in an amount 

determined by the Debtor in good faith. 

B. Waiver of Conditions 

The conditions to effectiveness of this Plan set forth in this ARTICLE VIII (other than 

that the Confirmation Order shall have been entered) may be waived in whole or in part by the 

Debtor (and, to the extent such condition requires the consent of the Committee, the consent of 

the Committee) and any applicable parties in Section VII.A of this Plan, without notice, leave or 

order of the Bankruptcy Court or any formal action other than proceeding to confirm or 

effectuate this Plan. The failure to satisfy or waive a condition to the Effective Date may be 

asserted by the Debtor regardless of the circumstances giving rise to the failure of such condition 

to be satisfied. The failure of the Debtor to exercise any of the foregoing rights will not be 

deemed a waiver of any other rights, and each right will be deemed an ongoing right that may be 

asserted at any time by the Debtor, the Reorganized Debtor, or the Claimant Trust, as applicable. 

C. Dissolution of the Committee

On the Effective Date, the Committee will dissolve, and the members of the Committee 

and the Committee’s Professionals will cease to have any role arising from or relating to the 

Chapter 11 Case, except in connection with final fee applications of Professionals for services 

rendered prior to the Effective Date (including the right to object thereto). The Professionals 

retained by the Committee and the members thereof will not be entitled to assert any fee claims 

for any services rendered to the Committee or expenses incurred in the service of the Committee 

after the Effective Date, except for reasonable fees for services rendered, and actual and 

necessary costs incurred, in connection with any applications for allowance of Professional Fees 

pending on the Effective Date or filed and served after the Effective Date pursuant to the Plan. 

Nothing in the Plan shall prohibit or limit the ability of the Debtor’s or Committee’s 

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Professionals to represent either of the Trustees or to be compensated or reimbursed per the Plan 

and the Claimant Trust Agreement in connection with such representation. 

ARTICLE IX.

EXCULPATION, INJUNCTION AND RELATED PROVISIONS

A. General

Notwithstanding anything contained in the Plan to the contrary, the allowance, 

classification and treatment of all Allowed Claims and Equity Interests and their respective 

distributions and treatments under the Plan shall take into account the relative priority and rights 

of the Claims and the Equity Interests in each Class in connection with any contractual, legal and 

equitable subordination rights relating thereto whether arising under general principles of 

equitable subordination, section 510 of the Bankruptcy Code, or otherwise. 

B. Discharge of Claims 

To the fullest extent provided under section 1141(d)(1)(A) and other applicable 

provisions of the Bankruptcy Code, except as otherwise expressly provided by this Plan or the 

Confirmation Order, all consideration distributed under this Plan will be in exchange for, and in 

complete satisfaction, settlement, discharge, and release of, all Claims and Equity Interests of 

any kind or nature whatsoever against the Debtor or any of its Assets or properties, and 

regardless of whether any property will have been distributed or retained pursuant to this Plan on 

account of such Claims or Equity Interests. Except as otherwise expressly provided by this Plan 

or the Confirmation Order, upon the Effective Date, the Debtor and its Estate will be deemed 

discharged and released under and to the fullest extent provided under section 1141(d)(1)(A) and 

other applicable provisions of the Bankruptcy Code from any and all Claims and Equity Interests 

of any kind or nature whatsoever, including, but not limited to, demands and liabilities that arose 

before the Confirmation Date, and all debts of the kind specified in section 502(g), 502(h), or 

502(i) of the Bankruptcy Code. 

C. Exculpation 

Subject in all respects to ARTICLE XII.D of this Plan, to the maximum extent permitted 

by applicable law, no Exculpated Party will have or incur, and each Exculpated Party is hereby 

exculpated from, any claim, obligation, suit, judgment, damage, demand, debt, right, Cause of 

Action, remedy, loss, and liability for conduct occurring on or after the Petition Date in 

connection with or arising out of (i) the filing and administration of the Chapter 11 Case; (ii) the 

negotiation and pursuit of the Disclosure Statement, the Plan, or the solicitation of votes for, or 

confirmation of, the Plan; (iii) the funding or consummation of the Plan (including the Plan 

Supplement) or any related agreements, instruments, or other documents, the solicitation of votes 

on the Plan, the offer, issuance, and Plan Distribution of any securities issued or to be issued 

pursuant to the Plan, including the Claimant Trust Interests, whether or not such Plan 

Distributions occur following the Effective Date; (iv) the implementation of the Plan; and (v) any 

negotiations, transactions, and documentation in connection with the foregoing clauses (i)-(iv); 

provided, however, the foregoing will not apply to (a) any acts or omissions of an Exculpated 

Party arising out of or related to acts or omissions that constitute bad faith, fraud, gross 

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negligence, criminal misconduct, or willful misconduct or (b) Strand or any Employee other than 

with respect to actions taken by such Entities from the date of appointment of the Independent 

Directors through the Effective Date. This exculpation shall be in addition to, and not in 

limitation of, all other releases, indemnities, exculpations, any other applicable law or rules, or 

any other provisions of this Plan, including ARTICLE IV.C.2, protecting such Exculpated 

Parties from liability. 

D. Releases by the Debtor 

On and after the Effective Date, each Released Party is deemed to be, hereby 

conclusively, absolutely, unconditionally, irrevocably, and forever released and discharged by 

the Debtor and the Estate, in each case on behalf of themselves and their respective successors, 

assigns, and representatives, including, but not limited to, the Claimant Trust and the Litigation 

Sub-Trust from any and all Causes of Action, including any derivative claims, asserted on behalf 

of the Debtor, whether known or unknown, foreseen or unforeseen, matured or unmatured, 

existing or hereafter arising, in law, equity, contract, tort or otherwise, that the Debtor or the 

Estate would have been legally entitled to assert in their own right (whether individually or 

collectively) or on behalf of the holder of any Claim against, or Interest in, a Debtor or other 

Person. 

Notwithstanding anything contained herein to the contrary, the foregoing release does not 

release: (i) any obligations of any party under the Plan or any document, instrument, or 

agreement executed to implement the Plan, (ii) the rights or obligations of any current employee 

of the Debtor under any employment agreement or plan, (iii) the rights of the Debtor with respect 

to any confidentiality provisions or covenants restricting competition in favor of the Debtor 

under any employment agreement with a current or former employee of the Debtor, (iv) any 

Avoidance Actions, or (v) any Causes of Action arising from willful misconduct, criminal 

misconduct, actual fraud, or gross negligence of such applicable Released Party as determined by 

Final Order of the Bankruptcy Court or any other court of competent jurisdiction. 

Notwithstanding anything herein to the contrary, any release provided pursuant to this 

ARTICLE IX.D (i) with respect to a Senior Employee, is conditioned in all respects on (a) such 

Senior Employee executing a Senior Employee Stipulation on or prior to the Effective Date and 

(b) the reduction of such Senior Employee’s Allowed Claim as set forth in the Senior Employee 

Stipulation (such amount, the “Reduced Employee Claim”), and (ii) with respect to any 

Employee, including a Senior Employee, shall be deemed null and void and of no force and 

effect (1) if there is more than one member of the Claimant Trust Oversight Committee who does 

not represent entities holding a Disputed or Allowed Claim (the “Independent Members”), the 

Claimant Trustee and the Independent Members by majority vote determine or (2) if there is only 

one Independent Member, the Independent Member after discussion with the Claimant Trustee, 

determines (in each case after discussing with the full Claimant Trust Oversight Committee) that 

such Employee (regardless of whether the Employee is then currently employed by the Debtor, 

the Reorganized Debtor, or the Claimant Trustee): 

x sues, attempts to sue, or threatens or works with or assists any entity or person to sue, 

attempt to sue, or threaten the Reorganized Debtor, the Claimant Trust, the Litigation 

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Sub-Trust, or any of their respective employees or agents, or any Released Party on or 

in connection with any claim or cause of action arising prior to the Effective Date, 

x has taken any action that, impairs or harms the value of the Claimant Trust Assets or 

the Reorganized Debtor Assets, or 

x (x) upon the request of the Claimant Trustee, has failed to provide reasonable 

assistance in good faith to the Claimant Trustee or the Reorganized Debtor with 

respect to (1) the monetization of the Claimant Trust Assets or Reorganized Debtor 

Assets, as applicable, or (2) the resolution of Claims, or (y) has taken any action that 

impedes or frustrates the Claimant Trustee or the Reorganized Debtor with respect to 

any of the foregoing. 

Provided, however, that the release provided pursuant to this ARTICLE IX.D will vest and the 

Employee will be indefeasibly released pursuant to this ARTICLE IX.D if such Employee’s 

release has not been deemed null and void and of no force and effect on or prior to the date that 

is the date of dissolution of the Claimant Trust pursuant to the Claimant Trust Agreement. 

By executing the Senior Employee Stipulation embodying this release, each Senior 

Employee acknowledges and agrees, without limitation, to the terms of this release and the 

tolling agreement contained in the Senior Employee Stipulation. 

The provisions of this release and the execution of a Senior Employee Stipulation will not 

in any way prevent or limit any Employee from (i) prosecuting its Claims, if any, against the 

Debtor’s Estate, (ii) defending him or herself against any claims or causes of action brought 

against the Employee by a third party, or (iii) assisting other persons in defending themselves 

from any Estate Claims brought by the Litigation Trustee (but only with respect to Estate Claims 

brought by the Litigation Trustee and not collection or other actions brought by the Claimant 

Trustee). 

E. Preservation of Rights of Action 

1. Maintenance of Causes of Action 

Except as otherwise provided in this Plan, after the Effective Date, the Reorganized 

Debtor or the Claimant Trust will retain all rights to commence, pursue, litigate or settle, as 

appropriate, any and all Causes of Action included in the Reorganized Debtor Assets or Claimant 

Trust Assets, as applicable, whether existing as of the Petition Date or thereafter arising, in any 

court or other tribunal including, without limitation, in an adversary proceeding Filed in the 

Chapter 11 Case and, as the successors in interest to the Debtor and the Estate, may, and will 

have the exclusive right to, enforce, sue on, settle, compromise, transfer or assign (or decline to 

do any of the foregoing) any or all of the Causes of Action without notice to or approval from the 

Bankruptcy Court. 

2. Preservation of All Causes of Action Not Expressly Settled or Released 

Unless a Cause of Action against a Holder of a Claim or an Equity Interest or other Entity 

is expressly waived, relinquished, released, compromised or settled in this Plan or any Final 

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Order (including, without limitation, the Confirmation Order), such Cause of Action is expressly 

reserved for later adjudication by the Reorganized Debtor or Claimant Trust, as applicable 

(including, without limitation, Causes of Action not specifically identified or of which the 

Debtor may presently be unaware or that may arise or exist by reason of additional facts or 

circumstances unknown to the Debtor at this time or facts or circumstances that may change or 

be different from those the Debtor now believes to exist) and, therefore, no preclusion doctrine, 

including, without limitation, the doctrines of res judicata, collateral estoppel, issue preclusion, 

claim preclusion, waiver, estoppel (judicial, equitable or otherwise) or laches will apply to such 

Causes of Action as a consequence of the confirmation, effectiveness, or consummation of this 

Plan based on the Disclosure Statement, this Plan or the Confirmation Order, except where such 

Causes of Action have been expressly released in this Plan or any other Final Order (including, 

without limitation, the Confirmation Order). In addition, the right of the Reorganized Debtor or 

the Claimant Trust to pursue or adopt any claims alleged in any lawsuit in which the Debtor is a 

plaintiff, defendant or an interested party, against any Entity, including, without limitation, the 

plaintiffs or co-defendants in such lawsuits, is expressly reserved. 

F. Injunction

Upon entry of the Confirmation Order, all Enjoined Parties are and shall be 

permanently enjoined, on and after the Effective Date, from taking any actions to interfere 

with the implementation or consummation of the Plan. 

Except as expressly provided in the Plan, the Confirmation Order, or a separate 

order of the Bankruptcy Court, all Enjoined Parties are and shall be permanently 

enjoined, on and after the Effective Date, with respect to any Claims and Equity Interests, 

from directly or indirectly (i) commencing, conducting, or continuing in any manner any 

suit, action, or other proceeding of any kind (including any proceeding in a judicial, 

arbitral, administrative or other forum) against or affecting the Debtor or the property of 

the Debtor, (ii) enforcing, levying, attaching (including any prejudgment attachment), 

collecting, or otherwise recovering, enforcing, or attempting to recover or enforce, by any 

manner or means, any judgment, award, decree, or order against the Debtor or the 

property of the Debtor, (iii) creating, perfecting, or otherwise enforcing in any manner, any 

security interest, lien or encumbrance of any kind against the Debtor or the property of the 

Debtor, (iv) asserting any right of setoff, directly or indirectly, against any obligation due to

the Debtor or against property or interests in property of the Debtor, except to the limited 

extent permitted under Sections 553 and 1141 of the Bankruptcy Code, and (v) acting or 

proceeding in any manner, in any place whatsoever, that does not conform to or comply 

with the provisions of the Plan.

The injunctions set forth herein shall extend to, and apply to any act of the type set 

forth in any of clauses (i)-(v) of the immediately preceding paragraph against any 

successors of the Debtor, including, but not limited to, the Reorganized Debtor, the 

Litigation Sub-Trust, and the Claimant Trust and their respective property and interests in 

property.

Subject in all respects to ARTICLE XII.D, no Enjoined Party may commence or 

pursue a claim or cause of action of any kind against any Protected Party that arose or 

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arises from or is related to the Chapter 11 Case, the negotiation of the Plan, the 

administration of the Plan or property to be distributed under the Plan, the wind down of 

the business of the Debtor or Reorganized Debtor, the administration of the Claimant 

Trust or the Litigation Sub-Trust, or the transactions in furtherance of the foregoing 

without the Bankruptcy Court (i) first determining, after notice and a hearing, that such 

claim or cause of action represents a colorable claim of any kind, including, but not limited 

to, negligence, bad faith, criminal misconduct, willful misconduct, fraud, or gross 

negligence against a Protected Party and (ii) specifically authorizing such Enjoined Party

to bring such claim or cause of action against any such Protected Party; provided, however,

the foregoing will not apply to a claim or cause of action against Strand or against any 

Employee other than with respect to actions taken, respectively, by Strand or by such 

Employee from the date of appointment of the Independent Directors through the Effective 

Date. The Bankruptcy Court will have sole and exclusive jurisdiction to determine 

whether a claim or cause of action is colorable and, only to the extent legally permissible 

and as provided for in ARTICLE XI, shall have jurisdiction to adjudicate the underlying 

colorable claim or cause of action. 

G. Duration of Injunctions and Stays 

ARTICLE II. Unless otherwise provided in this Plan, in the Confirmation Order, or 

in a Final Order of the Bankruptcy Court, (i) all injunctions and stays entered during the 

Chapter 11 Case and in existence on the Confirmation Date shall remain in full force and 

effect in accordance with their terms; and (ii) the automatic stay arising under section 362 

of the Bankruptcy Code shall remain in full force and effect subject to Section 362(c) of the 

Bankruptcy Code, and to the extent necessary if the Debtor does not receive a discharge,

the Court will enter an equivalent order under Section 105.

H. Continuance of January 9 Order 

Unless otherwise provided in this Plan, in the Confirmation Order, or in a Final Order of 

the Bankruptcy Court, the restrictions set forth in paragraphs 9 and 10 of the Order Approving 

Settlement with Official Committee of Unsecured Creditors Regarding Governance of the Debtor 

and Procedures for Operations in the Ordinary Course, entered by the Bankruptcy Court on 

January 9, 2020 [D.I. 339] shall remain in full force and effect following the Effective Date. 

ARTICLE X.

BINDING NATURE OF PLAN

On the Effective Date, and effective as of the Effective Date, the Plan, including, without 

limitation, the provisions in ARTICLE IX, will bind, and will be deemed binding upon, all 

Holders of Claims against and Equity Interests in the Debtor and such Holder’s respective 

successors and assigns, to the maximum extent permitted by applicable law, notwithstanding 

whether or not such Holder will receive or retain any property or interest in property under the 

Plan. All Claims and Debts shall be fixed and adjusted pursuant to this Plan. The Plan shall also 

bind any taxing authority, recorder of deeds, or similar official for any county, state, 

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Governmental Unit or parish in which any instrument related to the Plan or related to any 

transaction contemplated thereby is to be recorded with respect to nay taxes of the kind specified 

in Bankruptcy Code section 1146(a). 

ARTICLE XI.

RETENTION OF JURISDICTION

Pursuant to sections 105 and 1142 of the Bankruptcy Code and notwithstanding the entry 

of the Confirmation Order and the occurrence of the Effective Date, the Bankruptcy Court shall, 

after the Effective Date, retain such jurisdiction over the Chapter 11 Case and all Entities with 

respect to all matters related to the Chapter 11 Case, the Reorganized Debtor, the Claimant Trust, 

and this Plan to the maximum extent legally permissible, including, without limitation, 

jurisdiction to: 

x allow, disallow, determine, liquidate, classify, estimate or establish the priority, 

secured, unsecured, or subordinated status of any Claim or Equity Interest, including, 

without limitation, the resolution of any request for payment of any Administrative 

Expense Claim and the resolution of any and all objections to the allowance or 

priority of any Claim or Equity Interest; 

x grant or deny any applications for allowance of compensation or reimbursement of 

expenses authorized pursuant to the Bankruptcy Code or this Plan, for periods ending 

on or before the Effective Date; provided, however, that, from and after the Effective 

Date, the Reorganized Debtor shall pay Professionals in the ordinary course of 

business for any work performed after the Effective Date subject to the terms of this 

Plan and the Confirmation Order, and such payment shall not be subject to the 

approval of the Bankruptcy Court; 

x resolve any matters related to the assumption, assignment or rejection of any 

Executory Contract or Unexpired Lease to which the Debtor is party or with respect 

to which the Debtor, Reorganized Debtor, or Claimant Trust may be liable and to 

adjudicate and, if necessary, liquidate, any Claims arising therefrom, including, 

without limitation, any dispute regarding whether a contract or lease is or was 

executory or expired; 

x make any determination with respect to a claim or cause of action against a Protected 

Party as set forth in ARTICLE IX; 

x resolve any claim or cause of action against an Exculpated Party or Protected Party 

arising from or related to the Chapter 11 Case, the negotiation of this Plan, the 

administration of the Plan or property to be distributed under the Plan, the wind down 

of the business of the Debtor or Reorganized Debtor, or the transactions in 

furtherance of the foregoing; 

x if requested by the Reorganized Debtor or the Claimant Trustee, authorize, approve, 

and allow any sale, disposition, assignment or other transfer of the Reorganized 

Debtor Assets or Claimant Trust Assets, including any break-up compensation or 

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expense reimbursement that may be requested by a purchaser thereof; provided, 

however, that neither the Reorganized Debtor nor the Claimant Trustee shall be 

required to seek such authority or approval from the Bankruptcy Court unless 

otherwise specifically required by this Plan or the Confirmation Order; 

x if requested by the Reorganized Debtor or the Claimant Trustee, authorize, approve, 

and allow any borrowing or the incurrence of indebtedness, whether secured or 

unsecured by the Reorganized Debtor or Claimant Trust; provided, however, that 

neither the Reorganized Debtor nor the Claimant Trustee shall be required to seek 

such authority or approval from the Bankruptcy Court unless otherwise specifically 

required by this Plan or the Confirmation Order; 

x resolve any issues related to any matters adjudicated in the Chapter 11 Case; 

x ensure that distributions to Holders of Allowed Claims and Allowed Equity Interests 

are accomplished pursuant to the provisions of this Plan; 

x decide or resolve any motions, adversary proceedings, contested or litigated matters 

and any other Causes of Action (including Estate Claims) that are pending as of the 

Effective Date or that may be commenced in the future, including approval of any 

settlements, compromises, or other resolutions as may be requested by the Debtor, the 

Reorganized Debtor, the Claimant Trustee, or the Litigation Trustee whether under 

Bankruptcy Rule 9019 or otherwise, and grant or deny any applications involving the 

Debtor that may be pending on the Effective Date or instituted by the Reorganized 

Debtor, the Claimant Trustee, or Litigation Trustee after the Effective Date, provided 

that the Reorganized Debtor, the Claimant Trustee, and the Litigation Trustee shall 

reserve the right to commence actions in all appropriate forums and jurisdictions; 

x enter such orders as may be necessary or appropriate to implement, effectuate, or 

consummate the provisions of this Plan, the Plan Documents, and all other contracts, 

instruments, releases, and other agreements or documents adopted in connection with 

this Plan, the Plan Documents, or the Disclosure Statement; 

x resolve any cases, controversies, suits or disputes that may arise in connection with 

the implementation, effectiveness, consummation, interpretation, or enforcement of 

this Plan or any Entity’s obligations incurred in connection with this Plan; 

x issue injunctions and enforce them, enter and implement other orders or take such 

other actions as may be necessary or appropriate to restrain interference by any Entity 

with implementation, effectiveness, consummation, or enforcement of this Plan, 

except as otherwise provided in this Plan; 

x enforce the terms and conditions of this Plan and the Confirmation Order; 

x resolve any cases, controversies, suits or disputes with respect to the release, 

exculpation, indemnification, and other provisions contained herein and enter such 

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orders or take such others actions as may be necessary or appropriate to implement or 

enforce all such releases, injunctions and other provisions; 

x enter and implement such orders or take such others actions as may be necessary or 

appropriate if the Confirmation Order is modified, stayed, reversed, revoked or 

vacated; 

x resolve any other matters that may arise in connection with or relate to this Plan, the 

Disclosure Statement, the Confirmation Order, the Plan Documents, or any contract, 

instrument, release, indenture or other agreement or document adopted in connection 

with this Plan or the Disclosure Statement; and 

x enter an order concluding or closing the Chapter 11 Case after the Effective Date. 

ARTICLE XII.

MISCELLANEOUS PROVISIONS

A. Payment of Statutory Fees and Filing of Reports 

All outstanding Statutory Fees shall be paid on the Effective Date. All such fees payable, 

and all such fees that become due and payable, after the Effective Date shall be paid by the 

Reorganized Debtor when due or as soon thereafter as practicable until the Chapter 11 Case is 

closed, converted, or dismissed. The Claimant Trustee shall File all quarterly reports due prior to 

the Effective Date when they become due, in a form reasonably acceptable to the U.S. Trustee. 

After the Effective Date, the Claimant Trustee shall File with the Bankruptcy Court quarterly 

reports when they become due, in a form reasonably acceptable to the U.S. Trustee. The 

Reorganized Debtor shall remain obligated to pay Statutory Fees to the Office of the U.S. 

Trustee until the earliest of the Debtor’s case being closed, dismissed, or converted to a case 

under chapter 7 of the Bankruptcy Code. 

B. Modification of Plan 

Effective as of the date hereof and subject to the limitations and rights contained in this 

Plan: (a) the Debtor reserves the right, in accordance with the Bankruptcy Code and the 

Bankruptcy Rules, to amend or modify this Plan prior to the entry of the Confirmation Order 

with the consent of the Committee, such consent not to be unreasonably withheld; and (b) after 

the entry of the Confirmation Order, the Debtor may, after notice and hearing and entry of an 

order of the Bankruptcy Court, amend or modify this Plan, in accordance with section 1127(b) of 

the Bankruptcy Code or remedy any defect or omission or reconcile any inconsistency in this 

Plan in such manner as may be necessary to carry out the purpose and intent of this Plan. 

C. Revocation of Plan 

The Debtor reserves the right to revoke or withdraw this Plan prior to the Confirmation 

Date and to File a subsequent chapter 11 plan with the consent of the Committee. If the Debtor 

revokes or withdraws this Plan prior to the Confirmation Date, then: (i) this Plan shall be null 

and void in all respects; (ii) any settlement or compromise embodied in this Plan, assumption of 

Executory Contracts or Unexpired Leases effected by this Plan and any document or agreement 

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executed pursuant hereto shall be deemed null and void except as may be set forth in a separate 

order entered by the Bankruptcy Court; and (iii) nothing contained in this Plan shall: 

(a) constitute a waiver or release of any Claims by or against, or any Equity Interests in, the 

Debtor or any other Entity; (b) prejudice in any manner the rights of the Debtor or any other 

Entity; or (c) constitute an admission, acknowledgement, offer or undertaking of any sort by the 

Debtor or any other Entity. 

D. Obligations Not Changed

Notwithstanding anything in this Plan to the contrary, nothing herein will affect or 

otherwise limit or release any non-Debtor Entity’s (including any Exculpated Party’s) duties or 

obligations, including any contractual and indemnification obligations, to the Debtor, the 

Reorganized Debtor, or any other Entity whether arising under contract, statute, or otherwise. 

E. Entire Agreement

Except as otherwise described herein, this Plan supersedes all previous and 

contemporaneous negotiations, promises, covenants, agreements, understandings, and 

representations on such subjects, all of which have become merged and integrated into this Plan. 

F. Closing of Chapter 11 Case

The Claimant Trustee shall, after the Effective Date and promptly after the full 

administration of the Chapter 11 Case, File with the Bankruptcy Court all documents required by 

Bankruptcy Rule 3022 and any applicable order of the Bankruptcy Court to close the Chapter 11 

Case. 

G. Successors and Assigns

This Plan shall be binding upon and inure to the benefit of the Debtor and its successors 

and assigns, including, without limitation, the Reorganized Debtor and the Claimant Trustee. 

The rights, benefits, and obligations of any Person or Entity named or referred to in this Plan 

shall be binding on, and shall inure to the benefit of, any heir, executor, administrator, successor, 

or assign of such Person or Entity. 

H. Reservation of Rights 

Except as expressly set forth herein, this Plan shall have no force or effect unless and 

until the Bankruptcy Court enters the Confirmation Order and the Effective Date occurs. Neither 

the filing of this Plan, any statement or provision contained herein, nor the taking of any action 

by the Debtor, the Reorganized Debtor, the Claimant Trustee, or any other Entity with respect to 

this Plan shall be or shall be deemed to be an admission or waiver of any rights of: (1) the 

Debtor, the Reorganized Debtor, or the Claimant Trustee with respect to the Holders of Claims 

or Equity Interests or other Entity; or (2) any Holder of a Claim or an Equity Interest or other 

Entity prior to the Effective Date. 

Neither the exclusion or inclusion by the Debtor of any contract or lease on any exhibit, 

schedule, or other annex to this Plan or in the Plan Documents, nor anything contained in this 

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Plan, will constitute an admission by the Debtor that any such contract or lease is or is not an 

executory contract or lease or that the Debtor, the Reorganized Debtor, the Claimant Trustee, or 

their respective Affiliates has any liability thereunder. 

Except as explicitly provided in this Plan, nothing herein shall waive, excuse, limit, 

diminish, or otherwise alter any of the defenses, claims, Causes of Action, or other rights of the 

Debtor, the Reorganized Debtor, or the Claimant Trustee under any executory or non-executory 

contract. 

Nothing in this Plan will increase, augment, or add to any of the duties, obligations, 

responsibilities, or liabilities of the Debtor, the Reorganized Debtor, or the Claimant Trustee, as 

applicable, under any executory or non-executory contract or lease. 

If there is a dispute regarding whether a contract or lease is or was executory at the time 

of its assumption under this Plan, the Debtor, the Reorganized Debtor, or the Claimant Trustee, 

as applicable, shall have thirty (30) days following entry of a Final Order resolving such dispute 

to alter their treatment of such contract. 

I. Further Assurances

The Debtor, the Reorganized Debtor, or the Claimant Trustee, as applicable, all Holders 

of Claims and Equity Interests receiving distributions hereunder, and all other Entities shall, 

from time to time, prepare, execute and deliver any agreements or documents and take any other 

actions as may be necessary or advisable to effectuate the provisions and intent of this Plan or 

the Confirmation Order. On or before the Effective Date, the Debtor shall File with the 

Bankruptcy Court all agreements and other documents that may be necessary or appropriate to 

effectuate and further evidence the terms and conditions hereof. 

J. Severability

If, prior to the Confirmation Date, any term or provision of this Plan is determined by the 

Bankruptcy Court to be invalid, void, or unenforceable, the Bankruptcy Court will have the 

power to alter and interpret such term or provision to make it valid or enforceable to the 

maximum extent practicable, consistent with the original purpose of the term or provision held to 

be invalid, void, or unenforceable, and such term or provision will then be applicable as altered 

or interpreted. Notwithstanding any such holding, alteration or interpretation, the remainder of 

the terms and provisions of this Plan will remain in full force and effect and will in no way be 

affected, impaired, or invalidated by such holding, alteration, or interpretation. The 

Confirmation Order will constitute a judicial determination and will provide that each term and 

provision of this Plan, as it may have been altered or interpreted in accordance with the 

foregoing, is valid and enforceable pursuant to its terms. 

K. Service of Documents

All notices, requests, and demands to or upon the Debtor, the Reorganized Debtor, or the 

Claimant Trustee to be effective shall be in writing and, unless otherwise expressly provided 

herein, shall be deemed to have been duly given or made when actually delivered addressed as 

follows: 

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If to the Claimant Trust:

Highland Claimant Trust 

c/o Highland Capital Management, L.P. 

300 Crescent Court, Suite 700 

Dallas, Texas 75201 

Attention: James P. Seery, Jr. 

If to the Debtor:

Highland Capital Management, L.P. 

300 Crescent Court, Suite 700 

Dallas, Texas 75201 

Attention: James P. Seery, Jr. 

with copies to:

Pachulski Stang Ziehl & Jones LLP 

10100 Santa Monica Blvd., 13th Floor 

Los Angeles, CA 90067 

Telephone: (310) 277-6910 

Facsimile: (310) 201-0760 

Attn: Jeffrey N. Pomerantz, Esq. 

 Ira D. Kharasch, Esq. 

 Gregory V. Demo, Esq. 

If to the Reorganized Debtor:

Highland Capital Management, L.P. 

300 Crescent Court, Suite 700 

Dallas, Texas 75201 

Attention: James P. Seery, Jr. 

with copies to:

Pachulski Stang Ziehl & Jones LLP 

10100 Santa Monica Blvd., 13th Floor 

Los Angeles, CA 90067 

Attn: Jeffrey N. Pomerantz, Esq. 

 Ira D. Kharasch, Esq. 

 Gregory V. Demo, Esq. 

L. Exemption from Certain Transfer Taxes Pursuant to Section 1146(a) of the 

Bankruptcy Code

To the extent permitted by applicable law, pursuant to section 1146(a) of the Bankruptcy 

Code, any transfers of property pursuant hereto shall not be subject to any Stamp or Similar Tax 

or governmental assessment in the United States, and the Confirmation Order shall direct the 

appropriate federal, state or local governmental officials or agents or taxing authority to forego 

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the collection of any such Stamp or Similar Tax or governmental assessment and to accept for 

filing and recordation instruments or other documents pursuant to such transfers of property 

without the payment of any such Stamp or Similar Tax or governmental assessment. Such 

exemption specifically applies, without limitation, to (i) all actions, agreements and documents 

necessary to evidence and implement the provisions of and the distributions to be made under 

this Plan; (ii) the maintenance or creation of security or any Lien as contemplated by this Plan; 

and (iii) assignments, sales, or transfers executed in connection with any transaction occurring 

under this Plan. 

M. Governing Law 

Except to the extent that the Bankruptcy Code, the Bankruptcy Rules or other federal 

law is applicable, or to the extent that an exhibit or schedule to this Plan provides otherwise, 

the rights and obligations arising under this Plan shall be governed by, and construed and 

enforced in accordance with, the laws of Texas, without giving effect to the principles of 

conflicts of law of such jurisdiction; provided, however, that corporate governance matters 

relating to the Debtor, the Reorganized Debtor, New GP LLC, or the Claimant Trust, as 

applicable, shall be governed by the laws of the state of organization of the Debtor, the 

Reorganized Debtor, New GP LLC, or the Claimant Trustee, as applicable. 

N. Tax Reporting and Compliance 

The Debtor is hereby authorized to request an expedited determination under 

section 505(b) of the Bankruptcy Code of the tax liability of the Debtor is for all taxable periods 

ending after the Petition Date through, and including, the Effective Date. 

O. Exhibits and Schedules

All exhibits and schedules to this Plan, if any, including the Exhibits and the Plan 

Documents, are incorporated and are a part of this Plan as if set forth in full herein. 

P. Controlling Document

In the event of an inconsistency between this Plan and any other instrument or document 

created or executed pursuant to this Plan, or between this Plan and the Disclosure Statement, this 

Plan shall control. The provisions of this Plan, the Disclosure Statement, and any Plan 

Document, on the one hand, and of the Confirmation Order, on the other hand, shall be construed 

in a manner consistent with each other so as to effectuate the purposes of each; provided, 

however, that if there is determined to be any inconsistency between any provision of this Plan, 

the Disclosure Statement, and any Plan Document, on the one hand, and any provision of the 

Confirmation Order, on the other hand, that cannot be so reconciled, then, solely to the extent of 

such inconsistency, the provisions of the Confirmation Order shall govern, and any such 

provisions of the Confirmation Order shall be deemed a modification of this Plan, the Disclosure 

Statement, and the Plan Documents, as applicable. 

[Remainder of Page Intentionally Blank]

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Dated: January 22, 2021

Respectfully submitted,

HIGHLAND CAPITAL MANAGEMENT, L.P. 

By:

James P. Seery, Jr.

Chief Executive Officer and Chief Restructuring

Officer

Prepared by: 

PACHULSKI STANG ZIEHL & JONES LLP

Jeffrey N. Pomerantz (CA Bar No.143717)

Ira D. Kharasch (CA Bar No. 109084)

Gregory V. Demo (NY Bar No. 5371992)

10100 Santa Monica Boulevard, 13th Floor

Los Angeles, CA 90067

Telephone: (310) 277-6910

Facsimile: (310) 201-0760

Email: jpomerantz@pszjlaw.com

ikharasch@pszjlaw.com

gdemo@pszjlaw.com

and 

HAYWARD & ASSOCIATES PLLC

Melissa S. Hayward (TX Bar No. 24044908)

Zachery Z. Annable (TX Bar No. 24053075)

10501 N. Central Expy, Ste. 106

Dallas, TX 75231

Telephone: (972) 755-7100

Facsimile: (972) 755-7110

Email: MHayward@HaywardFirm.com

ZAnnable@HaywardFirm.com

Counsel for the Debtor and Debtor-in-Possession

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IN THE UNITED STATES DISTRICT COURT

FOR THE NORTHERN DISTRICT OF TEXAS

DALLAS DIVISION

THE CHARITABLE DAF FUND, LP., §

§

Plaintiff, §

§

v. § Cause No. ________________________

§

HIGHLAND CAPITAL MANAGEMENT, 

L.P.,

§

§

§

Defendant. §

ORIGINAL COMPLAINT

This matter concerns self-dealing and seeks redress for violation of state and federal law,

including, but not limited to, violations of the Advisers Act of 1940, and other state causes of action.

I.

PARTIES 

1. Plaintiff The Charitable DAF Fund, L.P. (“Plaintiff” or “DAF”) is a limited 

partnership formed under the laws of the Cayman Islands.

2. Defendant Highland Capital Management L.P. (“Highland” or “HCMLP”) is a 

Delaware limited partnership, whose principal place of business is in Dallas, Texas, at 300 

Crescent Court, Suite 700, Dallas, Texas 75201.

II.

JURISDICTION AND VENUE

3. Subject matter jurisdiction is proper in this Court under 28 U.S.C. § 1331 and under 

28 U.S.C. § 1334 because the suit arises out of post-petition acts or omissions of the debtor and 

certain of its principals.

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4. This Court has personal jurisdiction over Defendant Highland Capital 

Management, L.P. because it has continuously done business in this state, and the causes of action 

arise from the acts or omissions committed in this state.

5. Venue is proper in this Court because a substantial number of the acts or omissions 

giving rise to this lawsuit and the causes of action asserted herein occurred in Dallas County.

III.

FACTUAL BACKGROUND

6. HCMLP is a registered investment advisor (“RIA”) subject to the regulations of the 

Securities Exchange Commission.

7. HCMLP is both the advisor of and investor in Highland Multi Strategy Credit Fund, 

L.P. (“Multistrat”), a Delaware limited partnership. Highland Multi Strategy Credit Fund GP, L.P., 

itself a Delaware limited partnership, is the general partner of Multistrat, and HCMLP is the sole 

member of the general partner of Highland Multi Strategy Credit Fund GP, L.P.

8. HCMLP’s advisory capacity is governed, or at all relevant times was governed, by 

the Third Amended and Restated Investment Management Agreement, effective November 1, 

2013 (the “IMA”).

9. The purpose of Multistrat as a vehicle was stated as such: “The Fund's investment 

objective is to seek attractive risk-adjusted returns, consistent with the preservation of capital and 

prudent investment management.”

10. The Confidential Private Placement Memorandum for Multistrat disclosed that

“[t]he Investment Manager is registered as an investment adviser with the Securities and Exchange 

Commission under the U.S. Investment Advisers Act of 1940, as amended (the ‘Advisers Act’). 

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Each prospective investor will be required to make a representation to indicate that it is a ‘qualified 

client’ as defined in the Advisers Act.”

11. Because of these agreements and roles as the General Partner and RIA, Highland 

owed contractual and fiduciary duties to Plaintiff as an investor in Multistrat.

12. James Seery, the principal, CEO, and CRO of HCMLP. in its capacity as a debtor, 

admitted under oath that HCMLP owes fiduciary duties to the investors of the funds HCMLP 

manages—which would include Multistrat—and therefore, has admitted under oath that HCMLP 

and its governed persons owe fiduciary duties to the investors in Multistrat, which include Plaintiff, 

The Charitable DAF Fund, and Highland Capital Management Services, Inc., among others.

13. As an investment vehicle advised at all times and controlled at all times by HCMLP, 

Multistrat purchased and owned a pool of viaticals—investments in life insurance policies keyed 

to the lives of other persons. When a person passes away, the life insurance money is paid to the 

owner of the policy—in this case, Multistrat.

14. The notional value of the viatical pool was approximately $145 million.

15. In or around August 2020, HCMLP sold the entire viatical pool for approximately

$35,000,000—less than one quarter of the insured value.

16. The policies insured people aged 90 on average, suggesting that the policies were 

highly likely to pay off in the ensuing few years given the age and life expectancies of the insureds,

as well as considering the actuarial impact of the COVID pandemic.

17. In the spring of 2020, Multistrat raised funds specifically for the purpose of paying 

the premiums on the viatical pool—amounts raised, borrowing availability, and liquid securities 

provided enough cash to pay the premiums. But HCMLP did not pursue this path as promised. 

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Instead, it sold the assets. To this day, it is unclear why the policies were sold, and why, just prior 

to a planned mediation.

18. Furthermore, the process of selling was severely flawed. For example, the health 

assessments used to determine the likelihood and timeline for the payout were two years old. 

HCMLP did not cause new, up-to-date health assessments to be performed, and instead was 

content to rely on stale information or worse, no information at all.

19. Furthermore, HCMLP made no effort to adjust the projected life expectancies due 

to the increasing age of the insureds during a process that stretched over seven months, nor for the 

potential impact of COVID on people over the age of 90, which would have impacted the price..

20. Equally troubling is that Multistrat obtained the funds to pay the premiums from 

another investor—yet, it apparently did not use the funds for that purpose.

21. HCMLP apparently used the proceeds of the sale to pay itself, notwithstanding the 

fact that there were redeemed interests waiting to be paid—interests to whom HCMLP also owed 

fiduciary duties.

22. In short, HCMLP caused Multistrat to sell the viatical pool at a substantially 

discounted amount to curry favor with the brokers and buyers in the marketplace for no apparent 

benefit to Multistrat’s investors or the debtor’s estate.

III.

CAUSES OF ACTION

First Cause of Action

Breach of the Advisers Act

23. Plaintiff incorporates the foregoing allegations as if fully set forth herein.

24. Highland’s actions violate the Advisers Act.

25. As an RIA, HCMLP is subject to the Investment Advisers Act of 1940. 

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26. The IMA imposes and incorporates the duties and obligations of the Investment 

Advisers Act of 1940.

27. Under this federal law, an investment adviser is a fiduciary.1 This includes a duty 

of care, a duty of loyalty, and a duty to refrain from engaging in transactions in which it is not a 

disinterested person.

28. The duty of loyalty imposed by the Advisers Act of 1940 is not specifically defined 

in the Advisers Act or in Commission rules but reflects a Congressional recognition “of the delicate 

fiduciary nature of an investment advisory relationship” as well as a Congressional intent to 

“eliminate, or at least to expose, all conflicts of interest which might incline an investment 

adviser—consciously or unconsciously—to render advice which was not disinterested.”

29. To meet its duty of loyalty, an adviser must make full and fair disclosure to its 

clients of all material facts relating to the advisory relationship, including disclosing transactions 

in which the advisor has an interest, and to disclose all pertinent facts of a transaction that could 

affect the client or the client’s interest.2 In order for disclosure to be full and fair, it should be 

sufficiently specific so that a client is able to understand the material fact or conflict of interest and 

make an informed decision whether to provide consent.

1 SEC v. Capital Gains Research Bureau, Inc., 375 U.S. 180, 194 (1963). Santa Fe Indus. v. Green, 430 

U.S. 462, 471, n.11 (1977) (in discussing SEC v. Capital Gains, stating that the Supreme Court’s “references

to fraud in the “equitable” sense of the term was “premised on its recognition that Congress intended the 

Investment Advisers Act to establish federal fiduciary standards for investment advisers”); Investment 

Advisers Act Release No. 3060 (July 28, 2010) (“Under the Advisers Act, an adviser is a fiduciary whose 

duty is to serve the best interests of its clients, which includes an obligation not to subrogate clients’ interests 

to its own,” citing Proxy Voting by Investment Advisers, Investment Advisers Act Release No. 2106 (Jan. 

31, 2003) (“Investment Advisers Act Release 2106”)).

2 SEC v. Capital Gains, supra, at 200 (“Failure to disclose material facts must be deemed fraud or deceit 

within its intended meaning.”). Investment Advisers Act Release 3060, supra, footnote 15 (“as a fiduciary, 

an adviser has an ongoing obligation to inform its clients of any material information that could affect the

advisory relationship”); see also General Instruction 3 to Part 2 of Form ADV (“Under federal and state 

law, you are a fiduciary and must make full disclosure to your clients of all material facts relating to the 

advisory relationship.”).

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30. This fiduciary duty also requires an adviser “to adopt the principal’s goals, 

objectives, or ends.” This means the adviser must, at all times, serve the best interest of its client 

and not subordinate its client’s interest to its own. In other words, the investment adviser cannot 

place its own interests ahead of the interests of its client and must at all times act for the interests 

of its investors.3

31. Here, the goals of Multistrat included “to seek attractive risk adjusted returns, 

consistent with the preservation of capital and prudent investment management.”

32. The duty of care includes, among other things: (i) the duty to provide advice that is 

in the best interest of the client, (ii) the duty to seek best execution of a client’s transactions where 

the adviser has the responsibility to select broker-dealers to execute client trades, and (iii) the duty 

to provide advice and monitoring over the course of the relationship.

33. These fiduciary duties are unwaivable, and any agreement made in derogation of 

the obligations under the Advisers Act is void.

34. Therefore, Plaintiff seeks to declare the sale of the viaticals void because they were 

accomplished in violation of the Advisers Act. 

35. Plaintiff further seeks to declare the agreement(s) between Highland and Multistrat 

void because they were continued in violation of the Advisers Act.

Second Cause of Action

Breach of Fiduciary Duty

36. Plaintiff incorporates the foregoing allegations as if fully set forth herein.

3 Investment Advisers Act Release 3060 (adopting amendments to Form ADV and stating that “[u]nder the 

Advisers Act, an adviser is a fiduciary whose duty is to serve the best interests of its clients, which includes 

an obligation not to subrogate clients’ interests to its own,” citing Investment Advisers Act Release 2106, 

supra footnote 15). SEC v. Tambone, 550 F.3d 106, 146 (1st Cir. 2008) (“Section 206 imposes a fiduciary 

duty on investment advisers to act at all times in the best interest of the fund...”); Sec. & Exch. Commission 

v. Moran, 944 F. Supp. 286, 297 (S.D.N.Y 1996) (“Investment advisers are entrusted with the responsibility 

and duty to act in the best interest of their clients.”).

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37. As an RIA, HCMLP is subject to the Investment Advisers Act of 1940. 

38. The IMA imposes and incorporates the duties and obligations of the Investment 

Advisers Act of 1940.

39. Under this federal law, an investment adviser is a fiduciary.4 This includes a duty 

of care, a duty of loyalty, and a duty to refrain from engaging in transactions in which it is not a 

disinterested person.

40. The duty of loyalty imposed by the Advisers Act of 1940 is not specifically defined 

in the Advisers Act or in Commission rules, but reflects a Congressional recognition “of the 

delicate fiduciary nature of an investment advisory relationship” as well as a Congressional intent 

to “eliminate, or at least to expose, all conflicts of interest which might incline an investment 

adviser—consciously or unconsciously—to render advice which was not disinterested.”

41. To meet its duty of loyalty, an adviser must make full and fair disclosure to its 

clients of all material facts relating to the advisory relationship, including disclosing transactions 

in which the advisor has an interest, and to disclose all pertinent facts of a transaction that could 

affect the client or the client’s interest.5 In order for disclosure to be full and fair, it should be 

4 SEC v. Capital Gains Research Bureau, Inc., 375 U.S. 180, 194 (1963). Santa Fe Indus. v. Green, 430 

U.S. 462, 471, n.11 (1977) (in discussing SEC v. Capital Gains, stating that the Supreme Court’s reference 

to fraud in the “equitable” sense of the term was “premised on its recognition that Congress intended the 

Investment Advisers Act to establish federal fiduciary standards for investment advisers”); Investment 

Advisers Act Release No. 3060 (July 28, 2010) (“Under the Advisers Act, an adviser is a fiduciary whose 

duty is to serve the best interests of its clients, which includes an obligation not to subrogate clients’ interests 

to its own,” citing Proxy Voting by Investment Advisers, Investment Advisers Act Release No. IA2106 (Jan. 

31, 2003) (“Investment Advisers Act Release 2106”)).

5 SEC v. Capital Gains, supra, at 200 (“Failure to disclose material facts must be deemed fraud or deceit 

within its intended meaning.”). Investment Advisers Act Release 3060, supra, footnote 15 (“as a fiduciary, 

an adviser has an ongoing obligation to inform its clients of any material information that could affect the 

advisory relationship”); see also General Instruction 3 to Part 2 of Form ADV (“Under federal and state 

law, you are a fiduciary and must make full disclosure to your clients of all material facts relating to the 

advisory relationship.”).

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sufficiently specific so that a client is able to understand the material fact or conflict of interest and 

make an informed decision whether to provide consent.

42. This fiduciary duty also requires an adviser “to adopt the principal’s goals, 

objectives, or ends.” This means the adviser must, at all times, serve the best interest of its client 

and not subordinate its client’s interest to its own. In other words, the investment adviser cannot 

place its own interests ahead of the interests of its client and must at all times act for the interests 

of its investors.6

43. Here, the goals of Multistrat included “to seek attractive risk adjusted returns, 

consistent with the preservation of capital and prudent investment management.”

44. The duty of care includes, among other things: (i) the duty to provide advice that is 

in the best interest of the client, (ii) the duty to seek best execution of a client’s transactions where 

the adviser has the responsibility to select broker-dealers to execute client trades, and (iii) the duty 

to provide advice and monitoring over the course of the relationship.

45. These fiduciary duties are unwaivable, and any agreement made in derogation of 

the obligations under the Advisers Act is void.

46. HCMLP’s CEO testified under oath that he and HCMLP were aware of these duties 

and had to comply with them.

47. Section 204 of the Advisers Act requires HCMLP to carry written policies and 

procedures that must be followed in order to adhere to its federal obligations.

6 Investment Advisers Act Release 3060 (adopting amendments to Form ADV and stating that “[u]nder the 

Advisers Act, an adviser is a fiduciary whose duty is to serve the best interests of its clients, which includes 

an obligation not to subrogate clients’ interests to its own,” citing Investment Advisers Act Release 2106, 

supra footnote 15). SEC v. Tambone, 550 F.3d 106, 146 (1st Cir. 2008) (“Section 206 imposes a fiduciary 

duty on investment advisers to act at all times in the best interest of the fund...”); SEC v. Moran, 944 F. 

Supp. 286, 297 (S.D.N.Y 1996) (“Investment advisers are entrusted with the responsibility and duty to act 

in the best interest of their clients.”).

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48. Section 206 of the Advisers Act prohibits transactions by an adviser that were 

accomplished via a “deceit” on a client or prospective client, e.g., by concealing the role and 

interest the adviser has in the transaction, or via engaging in a course of conduct that has a tendency 

to mislead a client or which is manipulative.

49. These breaches include, but are not limited to (1) selling the viatical pool at a 

distressed price when it was not in distress and there was no need for Multistrat to sell; (2) 

concealing the information about the transaction from the Plaintiff; (3) failing to advise the 

Plaintiff of the opportunity to purchase the viatical pool—especially when it knew the Plaintiff 

had an interest in the pool and had the means of purchasing it for more cash than $35 million; (4) 

concealing the purpose behind the sale of the viatical pool and the conflicts of interest that inhere 

in the transaction; (5) causing the viatical pool to be sold in a manner that violated the rights of 

the Plaintiff as an investor in Multistrat (e.g., by failing to conduct an auction, obtaining

competitive bids and taking the pool to market); and (6) utilizing the sale proceeds for its own 

ends—namely, to enrich itself.

50. The Advisers Act declares any contract that was made in violation of its provisions 

or regulations, or any contract that has been performed in violation of the Advisors Act, void.

51. The Advisers Act created a private right of action to void unlawful agreements and 

acts and to seek such equitable relief as accompanies such claims.

52. Texas law allows a fiduciary plaintiff to seek damages for breaches of fiduciary 

duty and to seek disgorgement of all ill-gotten gains obtained by a fiduciary.

53. Plaintiff has been damaged due to the breaches of fiduciary duty outlined herein, 

and it is entitled to recover damages, punitive damages, and attorneys’ fees.

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54. To the extent this claim must be brought as a derivative action, it is plain that the 

demand requirement under Delaware law could not be met because serving a demand on Highland

or to sue Highland would have been futile.

Third Cause of Action

Breach of Contract

55. Plaintiff incorporates the foregoing allegations as if fully set forth herein.

56. The IMA imposes a duty of prudent investment management for the benefit of the 

investors in Multistrat and incorporate the duties and obligations of the Investment Advisers Act 

of 1940.

57. The violations set forth above constitute a breach of each or both of these 

agreements.

58. These breaches include, but are not limited to (1) selling the viatical pool at a 

distressed price when it was not in distress and there was no need for Multistrat to sell; (2) 

concealing the information about the transaction from the Plaintiff; (3) failing to advise the 

Plaintiff of the opportunity to purchase the viatical pool—especially when it knew the Plaintiff 

had an interest in the pool and had the means of purchasing it for more cash than $35 million; (4) 

concealing the purpose behind the sale of the viatical pool and the conflicts of interest that inhere 

in the transaction; (5) causing the viatical pool to be sold in a manner that violated the rights of 

the Plaintiff as an investor in Multistrat (e.g., by failing to conduct an auction, obtaining

competitive bids, and taking the pool to market); and (6) utilizing the sale proceeds for its own 

ends—namely, to enrich itself.

59. Plaintiff has been damaged by the breaches of contract outlined herein.

60. Plaintiff is entitled to recover damages and attorneys’ fees.

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JURY DEMAND AND PRAYER

61. Plaintiff demands trial by jury.

62. Plaintiff respectfully requests judgment and an order:

x Disgorging all ill-gotten gains in an amount to be determined at trial;

x Voiding the sale and other relevant agreements herein with HCMLP pursuant to the 

Advisers Act;

x Awarding damages in an amount to be determined at trial;

x Awarding punitive damages in an amount to be determined at trial;

x Awarding attorneys’ fees and costs in an amount to be determined at trial;

x Awarding all interim and final relief to which Plaintiff is legally or equitably

entitled under the facts and circumstances raised herein.

Dated: July 22, 2021 Respectfully submitted,

SBAITI & COMPANY PLLC

/s/ Mazin A. Sbaiti

Mazin A. Sbaiti

Texas Bar No. 24058096

Jonathan Bridges

Texas Bar No. 24028835

JPMorgan Chase Tower

2200 Ross Avenue – Suite 4900W

Dallas, TX 75201

T: (214) 432-2899

F: (214) 853-4367

E: mas@sbaitilaw.com

jeb@sbaitilaw.com

Counsel for Plaintiff

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DOCS_NY:41790.1 36027/002 

DOCS_DE:232636.3 36027/002

Schedule of Contracts and Leases to Be Assumed

1. Advisory Services Agreement, dated November 21, 2011, effective June 20, 2011, by and 

between Carey International, Inc., and Highland Capital Management, L.P. 

2. Amended and Restated Advisory Services Agreement, dated March 4, 2013, by and 

between Trussway Holdings, Inc., and Highland Capital Management, L.P. 

3. Reference Portfolio Management Agreement, dated March 4, 2004, by and between 

Highland Capital Management, L.P., and Citibank N.A. 

4. Advisory Services Agreement, dated May 25, 2011, by and between CCS Medical, Inc., 

and Highland Capital Management, L.P. 

5. Amended and Restated Advisory Services Agreement, dated February 28, 2013, by and 

between Cornerstone Healthcare Group Holding, Inc., and Highland Capital 

Management, L.P. 

6. Prime Brokerage Agreement by and between Jefferies LLC and Highland Capital 

Management, L.P., dated May 24, 2013. 

7. Amended and Restated Shared Services Agreement, dated August 21, 2015, by and 

between Highland Capital Management, L.P., and Falcon E&P Opportunities GP, LLC. 

8. Amended and Restated Administrative Services Agreement, effective as of August 21, 

2015, by and between Highland Capital Management, L.P., and Petrocap Partners II GP, 

LLC. 

9. Office Lease, between Crescent Investors, L.P., and Highland Capital Management, L.P. 

10. Paylocity Corporation Services Agreement, between Highland Capital Management, 

L.P., and Paylocity Corporation, dated November 19, 2012. 

11. Electronic Trading Services Agreement, between SunTrust Robinson Humphrey Inc., and 

Highland Capital Management, L.P., dated February 6, 2019. 

12. Letter Agreement, between FTI Consulting, Inc., and Highland Capital Management, 

L.P., dated November 19, 2018. 

13. Administrative Services Agreement, dated January 1, 2018, between Highland Capital 

Management, L.P., and Liberty Life Assurance Company of Boston. 

14. Electronic Communications: Customer Authorization & Indemnification, between 

Highland Capital Management, L.P., and The Bank of New York Mellon Corporation, 

dated August 9, 2016. 

15. Letter Agreement, dated August 9, 2016, Electronic Access Terms and Conditions, by 

and between The Bank of New York Mellon Trust Company, N.A., and Highland Capital 

Management, L.P. 

16. Shared Services Agreement by and between Highland HCF Advisor, Ltd., and Highland 

Capital Management, L.P., dated effective October 27, 2017. 

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17. Sub-Advisory Agreement, by and between Highland HCF Advisors, Ltd., and Highland 

Capital Management, dated effective October 27, 2017. 

18. Collateral Management Agreement, dated November 2, 2006, by and between Highland 

Credit Opportunities CDO Ltd. and Highland Capital Management, L.P. 

19. Management Agreement, dated November 15, 2007, between Highland Restoration 

Capital Partners, L.P., Highland Restoration Capital Partners Offshore, L.P., Highland 

Restoration Capital Partners Master L.P., Highland Restoration Capital Partners GP, 

LLC, and Highland Capital Management, L.P. 

20. Investment Management Agreement, between Highland Capital Multi-Strategy Fund, 

L.P., and Highland Capital Management, L.P., dated July 31, 2006. 

21. Investment Management Agreement, between Highland Capital Multi-Strategy Master 

Fund, L.P., and Highland Capital Management, L.P., dated July 31, 2006. 

22. Management Agreement, dated August 22, 2007, between and among Highland Capital 

Management, L.P., and Walkers Fund Services Limited, as trustee of Highland Credit 

Opportunities Japanese Unit Trust. 

23. Third Amended and Restated Investment Management Agreement, by and among 

Highland Multi Strategy Credit Fund, Ltd., Highland Multi Strategy Credit Fund, L.P., 

and Highland Capital Management, L.P., dated November 1, 2013. 

24. Investment Management Agreement, dated March 31, 2015, by and among Highland 

Select Equity Master Fund, L.P., Highland Select Equity Fund GP, L.P., and Highland 

Capital Management, L.P. 

25. Amended and Restated Investment Management Agreement, dated February 27, 2017, by 

and among Highland Prometheus Master Fund L.P., Highland Prometheus Feeder Fund I, 

L.P., Highland Prometheus Feeder Fund II, L.P., Highland SunBridge GP, LLC, and 

Highland Capital Management, L.P. 

26. Servicing Agreement, dated December 20, 2007, by and among Greenbriar CLO, Ltd., 

and Highland Capital Management, L.P. 

27. Investment Management Agreement, dated November 1, 2007, by and between Longhorn 

Credit Funding, LLC, and Highland Capital Management, L.P. (as amended) 

28. Reference Portfolio Management Agreement, dated August 1, 2016, by and between 

Highland Capital Management, L.P., and Valhalla CLO, Ltd. 

29. Collateral Servicing Agreement, dated December 20, 2006, by and among Highland Park 

CDO I, Ltd., and Highland Capital Management, L.P. 

30. Portfolio Management Agreement, dated March 15, 2005, by and among Southfork CLO 

Ltd., and Highland Capital Management, L.P. 

31. Amended and Restated Portfolio Management Agreement, dated November 30, 2005, by 

and among Jaspar CLO Ltd., and Highland Capital Management, L.P. 

32. Servicing Agreement, dated May 31, 2007, by and among Westchester CLO, Ltd., and 

Highland Capital Management, L.P. 

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33. Servicing Agreement, dated May 10, 2006, by and among Rockwall CDO Ltd. and 

Highland Capital Management, L.P. (as amended) 

34. Portfolio Management Agreement, dated December 8, 2005, by and between Liberty 

CLO, Ltd., and Highland Capital Management, L.P. 

35. Servicing Agreement, dated March 27, 2008, by and among Aberdeen Loan Funding, 

Ltd., and Highland Capital Management, L.P. 

36. Servicing Agreement, dated May 9, 2007, by and among Rockwall CDO II Ltd. and 

Highland Capital Management, L.P. 

37. Collateral Management Agreement, by and between, Highland Loan Funding V Ltd. and 

Highland Capital Management, L.P., dated August 1, 2001. 

38. Collateral Management Agreement, dated August 18, 1999, by and between Highland 

Legacy Limited and Highland Capital Management, L.P. 

39. Servicing Agreement, dated November 30, 2006, by and among Grayson CLO Ltd., and 

Highland Capital Management, L.P. (as amended) 

40. Servicing Agreement, dated October 25, 2007, by and among Stratford CLO Ltd., and 

Highland Capital Management, L.P. 

41. Servicing Agreement, dated August 3, 2006, by and among Red River CLO Ltd., and 

Highland Capital Management, L.P. (as amended) 

42. Servicing Agreement, dated December 21, 2006, by and among Brentwood CLO, Ltd., 

and Highland Capital Management, L.P. 

43. Servicing Agreement, dated March 13, 2007, by and among Eastland CLO Ltd., and 

Highland Capital Management, L.P. 

44. Portfolio Management, Agreement, dated October 13, 2005, by and among Gleneagles 

CLO, Ltd., and Highland Capital Management, L.P. 

45. AT&T Managed Internet Service, between Highland Capital Management, L.P. and 

AT&T Corp., dated February 24, 2015. 

46. ViaWest, Master Service Agreement, dated October 3, 2011, between Highland Capital 

Management, L.P. and ViaWest 

47. Stockholders’ Agreement, dated April 15, 2005, by and between American Banknote 

Corporation and Highland Capital Management, L.P. 

48. Stockholders’ Agreement and Amendment No. 1, dated January 25, 2011, by and 

between Carey Holdings, Inc. and Highland Capital Management, L.P. 

49. Stockholders’ Agreement and Amendment, dated March 24, 2010, by and between 

Cornerstone Healthcare Group Holding, Inc. and Highland Capital Management, L.P. 

50. Members’ Agreement and Amendment, dated November 15, 2017, by and between 

Highland CLO Funding, Ltd. and Highland Capital Management, L.P. 

51. Stock Purchase and Sale Agreement and Amendment, dated January 16, 2013, by and 

between Progenics Pharmaceuticals, Inc. and Highland Capital Management, L.P. 

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52. Stockholders’ Agreement and Amendments, dated October 24, 2008, by and between 

JHT Holdings, Inc. and Highland Capital Management, L.P. 

53. Amended and Restated Limited Partnership Agreement of Highland Dynamic Income 

Fund, L.P., dated February 25, 2013, by and between Highland Dynamic Income Fund 

GP, LLC and Highland Capital Management, L.P. 

54. Highland Multi-Strategy Fund, L.P. Limited Partnership Agreement, dated July 6, 2006, 

by and between Highland Multi-Strategy Fund GP, L.P. and Highland Capital 

Management, L.P. 

55. Operating Agreement of HE Capital, LLC (as amended), dated September 27, 2007, by 

and between ENA Capital, LLC Ellman Management Group, Inc. and Highland Capital 

Management, L.P. 

56. Limited Liability Company Agreement of Highland Multi-Strategy Onshore Master 

SubFund II, LLC, dated February 27, 2007, by and between Highland Multi-Strategy 

Master Fund, L.P. and Highland Capital Management, L.P. 

57. Limited Liability Company Agreement of Highland Multi-Strategy Onshore Master 

SubFund, LLC, dated July 19, 2006, by and between Highland Multi-Strategy Master 

Fund, L.P. and Highland Capital Management, L.P. 

58. Highland Capital Management, L.P., Limited Liability Company Agreement of Highland 

Receivables Finance 1, LLC, by and between Highland Capital Management, L.P. and 

Highland Capital Management, L.P. 

59. Agreement of Limited Partnership of Highland Restoration Capital Partners, L.P. and 

Amendments, dated November 6, 2007, by and between Highland Restoration Capital 

Partners GP, LLC and Highland Capital Management, L.P. 

60. Agreement of Limited Partnership of Highland Select Equity Fund GP, L.P., dated 

October 2005, by and between Highland Select Equity Fund GP, LLC and Highland 

Capital Management, L.P. 

61. Agreement of Limited Partnership of Penant Management LP, dated December 12, 2012, 

by and between Penant Management GP, LLC and Highland Capital Management, L.P. 

62. Agreement of Limited Partnership of Petrocap Incentive Partners III, LP, dated April 12, 

2018, by and between Petrocap Incentive Partners III GP, LLC, Petrocap Incentive 

Holdings III, LP and Highland Capital Management, L.P. 

63. Amended and Restated Agreement of Limited Partnership of Petrocap Partners II, LP, 

dated October 30, 2014, by and between Petrocap Partners II GP, LLC, Petrocap 

Incentive Partners II, LP and Highland Capital Management, L.P. 

64. Agreement of Limited Partnership of Highland Credit Opportunities CDO GP, L.P., 

dated December 29, 2005, by and between Highland Credit Opportunities CDO GP, LLC 

and Highland Capital Management, L.P. 

65. Fourth Amended and Restated Limited Partnership Agreement of Highland Multi 

Strategy Credit Fund, L.P., dated November 1, 2014, by and between Highland Multi 

Strategy Credit Fund GP, L.P. and Highland Capital Management, L.P. 

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66. DUO Security, 2 factor authentication, by and between DUO Security and Highland 

Capital Management, L.P. 

67. GoDaddy Domain Registrations, by and between GoDaddy and Highland Capital 

Management, L.P. 

68. Highland Loan Fund, Ltd. et al, Investment Management Agreement, dated July 31, 

2001, by and between Highland Loan Fund, Ltd. et al and Highland Capital Management, 

L.P. 

69. E Mailflow Monitoring, by and between Mxtoolbox and Highland Capital Management, 

L.P. 

70. Cloud single sign on for HR related employee login, by and between Onelogin and 

Highland Capital Management, L.P. 

71. Collateral Management Agreement, dated May 19, 1998, by and between Pam Capital 

Funding LP, Ranger Asset Mgt LP and Highland Capital Management, L.P. 

72. Collateral Management Agreement, dated August 6, 1997, by and between Pamco 

Cayman Ltd., Ranger Asset Mgt LP and Highland Capital Management, L.P. 

73. Order Addenda, dated January 28, 2020, by and between CenturyLink Communications, 

LLC and Highland Capital Management, L.P. 

74. Service Agreement (as amended), dated April 1, 2005, by and between Intex Solutions, 

Inc. and Highland Capital Management, L.P. 

75. Amendment No. 1 to Servicing Agreement, October 2, 2007, between Highland Capital 

Management, L.P. and Red River CLO Ltd. et al 

76. Interim Collateral Management Agreement, June 15, 2005, between Highland Capital 

Management, L.P. and Rockwall CDO Ltd 

77. Amendment No. 1 to Servicing Agreement, October 2, 2007, between Highland Capital 

Management, L.P. and Rockwall CDO Ltd 

78. Collateral Servicing Agreement dated December 20, 2006, between Highland Capital 

Management, L.P. and Highland Park CDO I, Ltd.; The Bank of New York Trust 

Company, National Association 

79. Representations and Warranties Agreement, dated December 20, 2006, between Highland 

Capital Management, L.P. and Highland Park CDO I, Ltd. 

80. Collateral Administration Agreement, dated March 27, 2008, between Highland Capital 

Management, L.P. and Aberdeen Loan Funding, Ltd.; State Street Bank and Trust 

Company 

81. Collateral Administration Agreement, dated December 20, 2007, between Highland 

Capital Management, L.P. and Greenbriar CLO, Ltd.; State Street Bank and Trust 

Company 

82. Collateral Acquisition Agreement, dated March 13, 2007, between Highland Capital 

Management, L.P. and Eastland CLO, Ltd 

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83. Collateral Administration Agreement, dated March 13, 2007, between Highland Capital 

Management, L.P. and Eastland CLO, Ltd. and Investors Bank and Trust Company 

84. Collateral Administration Agreement, dated October 13, 2005, between Highland Capital 

Management, L.P. and Gleneagles CLO, Ltd.; JPMorgan Chase Bank, National 

Association 

85. Collateral Acquisition Agreement, dated November 30, 2006, between Highland Capital 

Management, L.P. and Grayson CLO, Ltd. 

86. Collateral Administration Agreement, dated November 30, 2006, between Highland 

Capital Management, L.P. and Grayson CLO, Ltd.; Investors Bank & Trust Company 

87. Collateral Acquisition Agreement, dated August 3, 2006, between Highland Capital 

Management, L.P. and Red River CLO, Ltd. 

88. Collateral Administration Agreement, dated August 3, 2006, between Highland Capital 

Management, L.P. and Red River CLO, Ltd.; U.S. Bank National Association 

89. Master Warehousing and Participation Agreement, dated April 19, 2006, between 

Highland Capital Management, L.P. and Red River CLO Ltd.; Highland Special 

Opportunities Holding Company 

90. Master Warehousing and Participation Agreement, dated February 2, 2006, between 

Highland Capital Management, L.P. and Red River CLO Ltd.; MMP-5 Funding, LLC; 

IXIS Financial Products Inc. 

91. Master Warehousing and Participation Agreement (Amendment No. 2), dated May 5, 

2006, between Highland Capital Management, L.P. and Red River CLO Ltd.; MMP-5 

Funding, LLC; IXIS Financial Products Inc. 

92. Master Warehousing and Participation Agreement (Amendment No. 1), dated April 12, 

2006, between Highland Capital Management, L.P. and Red River CLO Ltd.; MMP-5 

Funding, LLC; IXIS Financial Products Inc. 

93. Master Warehousing and Participation Agreement (Amendment No. 3), dated June 22, 

2006, between Highland Capital Management, L.P. and Red River CLO Ltd.; MMP-5 

Funding, LLC; IXIS Financial Products Inc. 

94. Master Warehousing and Participation Agreement (Amendment No. 4), dated July 17, 

2006, between Highland Capital Management, L.P. and Red River CLO Ltd.; MMP-5 

Funding, LLC; IXIS Financial Products Inc. 

95. Collateral Administration Agreement, dated February 2, 2006, between Highland Capital 

Management, L.P. and Red River CLO Ltd.; U.S. Bank National Association; IXIS 

Financial Products Inc. 

96. Collateral Administration Agreement, dated April 18, 2006, between Highland Capital 

Management, L.P. and Red River CLO Ltd.; Highland Special Opportunities Holding 

Company; U.S. Bank National Association 

97. Master Participation Agreement, dated June 5, 2006, between Highland Capital 

Management, L.P. and Red River CLO Ltd.; Grand Central Asset Trust 

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98. A&R Asset Acquisition Agreement, dated July 18, 2001, between Highland Capital 

Management, L.P. and Salomon Smith Barney Inc.; Highland Loan Funding V Ltd. 

99. A&R Master Participation Agreement, dated July 18, 2001, between Highland Capital 

Management, L.P. and Salomon Brothers Holding Company; Highland Loan Funding V 

Ltd. 

100. Collateral Acquisition Agreement, dated June 29, 2005, between Highland Capital 

Management, L.P. and Jasper CLO Ltd. 

101. Collateral Administration Agreement, dated June 29, 2005, between Highland Capital 

Management, L.P. and Jasper CLO Ltd.; JPMorgan Chase Bank, National Association 

102. Master Warehousing and Participation Agreement, dated March 24, 2005, between 

Highland Capital Management, L.P. and Jasper CLO Ltd; MMP-5 Funding, LLC; and 

IXIS Financial Products Inc. 

103. Master Warehousing and Participation Agreement (Amendment No. 1), dated May 16, 

2005, between Highland Capital Management, L.P. and Jasper CLO Ltd; MMP-5 

Funding, LLC; and IXIS Financial Products Inc. 

104. Securities Account Control Agreement, dated June 29, 2005, between Highland Capital 

Management, L.P. and Highland CDO Opportunity Fund, Ltd.; JPMorgan Chase Bank, 

National Association 

105. Collateral Administration Agreement, dated December 8, 2005, between Highland 

Capital Management, L.P. and Liberty CLO Ltd. 

106. Collateral Administration Agreement, dated May 10, 2006, between Highland Capital 

Management, L.P. and Rockwall CDO Ltd; JPMorgan Chase Bank, National Association 

107. Collateral Administration Agreement, dated May 9, 2007, between Highland Capital 

Management, L.P. and Rockwall CDO II, Ltd.; Investors Bank & Trust Company 

108. Collateral Administration Agreement, dated March 15, 2005, between Highland Capital 

Management, L.P. and Southfork CLO Ltd.; JPMorgan Chase Bank, National 

Association 

109. Collateral Administration Agreement, dated October 25, 2007, between Highland Capital 

Management, L.P. and Stratford CLO Ltd.; State Street 

110. Collateral Administration Agreement, dated August 18, 2004, between Highland Capital 

Management, L.P. and Valhalla CLO, Ltd.; JPMorgan Chase Bank 

111. Extension/Buy-Out Agreement, dated August 18, 2004, between Highland Capital 

Management, L.P. and Citigroup Financial Products Inc.; Citigroup Global Markets Inc. 

112. Collateral Acquisition Agreement, dated May 31, 2007, between Highland Capital 

Management, L.P. and Westchester CLO, Ltd. 

113. Collateral Administration Agreement, dated May 31, 2007, between Highland Capital 

Management, L.P. and Westchester CLO, Ltd.; Investors Bank & Trust Company 

114. Collateral Administration Agreement, dated December 21, 2006, between Highland 

Capital Management, L.P. and Brentwood CLO, Ltd.; Investors Bank & Trust Company 

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115. Indemnification and Guaranty Agreement between Highland Capital Management, 

Strand Advisors, Inc. and James Seery 

116. Indemnification and Guaranty Agreement between Highland Capital Management, 

Strand Advisors, Inc. and John Dubel 

117. Indemnification and Guaranty Agreement between Highland Capital Management, 

Strand Advisors, Inc. and Russell Nelms 

118. Colocation Service Order dated October 14, 2019 between Highland Capital 

Management and Dawn US Holdings, LLC d/b/a Evoque Date Center Solutions 

119. Tradesuite Web Module Services/Agreement between Highland Capital Management and 

DTCC ITP LLC 

120. Bloomberg (Terminal) Agreement No. 306371 between Highland Capital Management 

and Bloomberg Finance, L.P.1

121. Master Service Agreement between Highland Capital Management and Via West 

122. Amendment to Bloomberg Order Management System Addendum and Bloomberg Order 

Management System Schedule of Services Account No. 167969 between Highland 

Capital Management and Bloomberg Finance, L.P. 

123. Fourth Amendment to Software License and Services Agreement between Highland 

Capital Management and Markit WSO Corporation 

124. Master Services Agreement, First Amendment to Master Services Agreement, Second 

Amendment and Restatement of Master Services Agreement between Highland Capital 

Management and Siepe Services, LLC 

125. Internet Agreement Account No. 831-000-7888-651 between Highland Capital 

Management and AT&T 

126. Landline Fax Agreement Account No. 831-000-2532-176 between Highland Capital 

Management and AT&T 

127. Amazon Web Services Account No. 353534426569 between Highland Capital 

Management and Amazon Web Service, Inc. 

128. Website Hosting Agreement Account No. 325667 between Highland Capital 

Management and WP Engine 

 

1

 The Debtor is currently in discussions with Bloomberg regarding the assumption of this agreement. 

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PACHULSKI STANG ZIEHL & JONES LLP 

Jeffrey N. Pomerantz (CA Bar No.143717) (admitted pro hac vice) 

Ira D. Kharasch (CA Bar No. 109084) (admitted pro hac vice) 

Gregory V. Demo (NY Bar No. 5371992) (admitted pro hac vice) 

10100 Santa Monica Blvd., 13th Floor 

Los Angeles, CA 90067 

Telephone: (310) 277-6910 

Facsimile: (310) 201-0760 

HAYWARD PLLC 

Melissa S. Hayward 

Texas Bar No. 24044908 

MHayward@HaywardFirm.com 

Zachery Z. Annable 

Texas Bar No. 24053075 

ZAnnable@HaywardFirm.com 

10501 N. Central Expy, Ste. 106 

Dallas, Texas 75231 

Tel: (972) 755-7100 

Fax: (972) 755-7110 

Counsel for the Debtor

IN THE UNITED STATES BANKRUPTCY COURT 

FOR THE NORTHERN DISTRICT OF TEXAS 

DALLAS DIVISION 

In re: 

HIGHLAND CAPITAL MANAGEMENT, L.P.,1

Debtor. 

) 

) 

) 

) 

) 

) 

) 

Chapter 11 

Case No. 19-34054-sgj11 

NOTICE OF OCCURRENCE OF EFFECTIVE DATE OF 

CONFIRMED FIFTH AMENDED PLAN OF REORGANIZATION 

OF HIGHLAND CAPITAL MANAGEMENT, L.P. 

PLEASE TAKE NOTICE that on February 22, 2021, the United States 

Bankruptcy Court for the Northern District of Texas (the “Bankruptcy Court”) entered the Order 

Confirming the Fifth Amended Plan of Reorganization of Highland Capital Management, L.P. 

[Docket No. 1943] (the “Confirmation Order”) confirming the Fifth Amended Plan of 

Reorganization of Highland Capital Management, L.P. (as Modified) [Docket No. 1808] (as 

1

 The Debtor’s last four digits of its taxpayer identification number are (6725). The headquarters and service address 

for the above-captioned Debtor is 300 Crescent Court, Suite 700, Dallas, TX 75201.

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 ̈1¤}HV5(+ !k«

1934054210811000000000001

Docket #2700 Date Filed: 08/11/2021

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amended, supplemented, or modified, the “Plan”). Unless otherwise defined in this notice, 

capitalized terms used in this notice shall have the meanings ascribed to them in the Plan and the 

Confirmation Order, as applicable. 

PLEASE TAKE FURTHER NOTICE that the Effective Date of the Plan 

occurred on August 11, 2021. 

PLEASE TAKE FURTHER NOTICE that, except with respect to Administrative 

Expense Claims that are Professional Fee Claims or as otherwise set forth in the Plan, requests for 

payment of an Administrative Expense Claim must be Filed with the Bankruptcy Court no later 

than forty-five (45) days after the Effective Date (the “Administrative Expense Claims Bar 

Date”). HOLDERS OF ADMINISTRATIVE EXPENSE CLAIMS THAT ARE REQUIRED 

TO FILE AND SERVE A REQUEST FOR PAYMENT OF SUCH ADMINISTRATIVE 

EXPENSE CLAIMS BY THE ADMINISTRATIVE EXPENSE CLAIMS BAR DATE 

THAT DO NOT FILE AND SERVE SUCH A REQUEST BY THE ADMINISTRATIVE 

EXPENSE CLAIMS BAR DATE SHALL BE FOREVER BARRED, ESTOPPED, AND 

ENJOINED FROM ASSERTING SUCH ADMINISTRATIVE EXPENSE CLAIMS 

AGAINST THE DEBTOR OR THE REORGANIZED DEBTOR. 

PLEASE TAKE FURTHER NOTICE that, unless otherwise ordered by the 

Bankruptcy Court, all final requests for payment of Professional Fee Claims must be Filed no later 

than sixty (60) days after the Effective Date. 

PLEASE TAKE FURTHER NOTICE that the terms of the Plan shall be 

immediately effective and enforceable and deemed binding upon the Debtor or the Reorganized 

Debtor, as applicable, and any and all Holders of Claims or Interests (regardless of whether such 

Claims or Interests are deemed to have accepted or rejected the Plan), all Entities that are parties 

to or are subject to the settlements, compromises, releases, and injunctions described in the Plan 

and Confirmation Order, including, without limitation: the injunction with respect to the 

commencement of claims and causes of action against Protected Parties set forth in Section IX.F 

of the Plan and Sections AA and BB of the Confirmation Order, the duration of injunction and 

stays set forth in Section IX.G of the Plan and Section AA of the Confirmation Order, and the 

continuance of the January 9 Order and July 16 Order set forth in Section IX.H of the Plan and 

Section CC of the Confirmation Order. 

PLEASE TAKE FURTHER NOTICE that on the Effective Date, all Class A 

Limited Partnership Interests, including the Class A Limited Partnership Interests held by Strand, 

as general partner, and Class B/C Limited Partnerships in the Debtor will be deemed cancelled, 

and all obligations or debts owed by, or Claims against, the Debtor on account of, or based upon, 

such Class A Limited Partnership Interests and Class B/C Limited Partnership Interests shall be 

deemed as cancelled, released, and discharged, including all obligations or duties by the Debtor 

relating to the Equity Interests in any of the Debtor’s formation documents, including the Limited 

Partnership Agreement. 

PLEASE TAKE FURTHER NOTICE that the Confirmation Order and the Plan 

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are available for inspection. If you would like to obtain copies you may: (a) access the Debtor’s 

restructuring website at http://www.kccllc.net/hcmlp; (b) call toll free: (877) 573-3984 or 

international: (310) 751-1829; or (c) email HighlandInfo@kccllc.com and reference “Highland” 

in the subject line. You may also obtain copies of any pleadings filed in this case for a fee via 

PACER at: pacer.uscourts.gov. 

[REMAINDER OF PAGE INTENTIONALLY BLANK] 

 

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Dated: August 11, 2021. PACHULSKI STANG ZIEHL & JONES LLP 

Jeffrey N. Pomerantz (CA Bar No.143717) 

Ira D. Kharasch (CA Bar No. 109084) 

Gregory V. Demo (NY Bar No. 5371992) 

10100 Santa Monica Boulevard, 13th Floor 

Los Angeles, CA 90067 

Telephone: (310) 277-6910 

Facsimile: (310) 201-0760 

Email: jpomerantz@pszjlaw.com 

 ikharasch@pszjlaw.com 

 gdemo@pszjlaw.com 

 -and- 

 

HAYWARD PLLC 

/s/ Zachery Z. Annable 

Melissa S. Hayward 

Texas Bar No. 24044908 

MHayward@HaywardFirm.com 

Zachery Z. Annable 

Texas Bar No. 24053075 

ZAnnable@HaywardFirm.com 

10501 N. Central Expy, Ste. 106 

Dallas, Texas 75231 

Tel: (972) 755-7100 

Fax: (972) 755-7110 

Counsel for the Debtor 

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Case 19-34054-sgj11 Doc 2747 Filed 08/19/21 Entered 08/19/21 16:03:15 Page 139 of

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Case 22-03052-sgj Doc 32 Filed 07/26/22 Entered 07/26/22 14:17:26 Desc Main

Document Page 417 of 865

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Case 3:22-cv-02280-S Document 3-12 Filed 12/06/22 Page 233 of 233 PageID 2609