-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, Q7d+3eMOZap+iUf2B8P7Ixdb2O4wYjt0SferZV/Tm74sd4aGv6/ObjUx+E2lqxu+ DaK4ZYc/IqEZou1sKnu5vQ== 0001193125-10-007145.txt : 20100115 0001193125-10-007145.hdr.sgml : 20100115 20100115142703 ACCESSION NUMBER: 0001193125-10-007145 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20100115 DATE AS OF CHANGE: 20100115 GROUP MEMBERS: GMAM GROUP PENSION TRUST I GROUP MEMBERS: GMAM INVESTMENT FUNDS TRUST GROUP MEMBERS: PROMARK TRUST BANK, NATIONAL ASSOCIATION SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: HYPERION BROOKFIELD COLLATERALIZED SECURITIES FUND INC CENTRAL INDEX KEY: 0001269357 IRS NUMBER: 200362193 STATE OF INCORPORATION: MD FISCAL YEAR END: 0731 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-79426 FILM NUMBER: 10529904 BUSINESS ADDRESS: STREET 1: THREE WORLD FINANCIAL CENTER STREET 2: 200 VESEY STREET, 10TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10281-1010 BUSINESS PHONE: 212 549 8400 MAIL ADDRESS: STREET 1: THREE WORLD FINANCIAL CENTER STREET 2: 200 VESEY STREET, 10TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10281-1010 FORMER COMPANY: FORMER CONFORMED NAME: HYPERION COLLATERALIZED SECURITIES FUND INC DATE OF NAME CHANGE: 20031107 FORMER COMPANY: FORMER CONFORMED NAME: HYPERION COLLATERALIZED SECURITIES FLOATING RATE FUND INC DATE OF NAME CHANGE: 20031106 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: Promark Investment Advisors CENTRAL INDEX KEY: 0000883422 IRS NUMBER: 382903925 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: STATE STREET BANK STREET 2: 1 ENTERPRISE DRIVE CITY: QUINCY STATE: MA ZIP: 02171 BUSINESS PHONE: 617 786 3000 MAIL ADDRESS: STREET 1: STATE STREET BANK STREET 2: 1 ENTERPRISE DRIVE CITY: QUINCY STATE: MA ZIP: 02171 FORMER COMPANY: FORMER CONFORMED NAME: GENERAL MOTORS INVESTMENT MANAGEMENT CORP DATE OF NAME CHANGE: 19940318 SC 13D/A 1 dsc13da.htm AMENDMENT NO. 13 TO SCHEDULE 13D AMENDMENT NO. 13 TO SCHEDULE 13D

 

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UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

Schedule 13D

 

Under the Securities Exchange Act of 1934

(Amendment No. 13)*

 

 

 

Hyperion Brookfield Collateralized Securities Fund, Inc.

 

(Name of Issuer)

 

Common Stock, $0.01 par value

 

(Title of Class of Securities)

 

Not Applicable.

 

(CUSIP Number)

 

Ellen Oster, Esq., 767 Fifth Avenue, New York, New York 10153, (212) 418-6126

 

(Name, Address and Telephone Number of Person

Authorized to Receive Notices and Communications)

 

October 20, 2009

 

(Date of Event which Requires Filing of this Statement)

If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of §§240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box.

Note:  Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See §240.13d-7 for other parties to whom copies are to be sent.

The information required on the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).


  1  

NAME OF REPORTING PERSON

I.R.S. IDENTIFICATION NOS. OF ABOVE PERSON:

   
   

            GMAM Investment Funds Trust

            13-3160892

   
  2   CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)  
  (a)  ¨  
    (b)  ¨    
  3   SEC USE ONLY  
         
  4   SOURCE OF FUNDS (See Instructions)  
                00    
  5   CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(D) OR 2(E)   ¨
         
  6   CITIZENSHIP OR PLACE OF ORGANIZATION  
                 New York    

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

    7  SOLE VOTING POWER
 
                  0
    8  SHARED VOTING POWER
 
                  0 shares. (See Item 5 below)
    9  SOLE DISPOSITIVE POWER
 
                  0
  10  SHARED DISPOSITIVE POWER
 
                  0 shares. (See Item 5 below)
11   AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON    
                0 shares. (See Item 5 below)    
12   CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions)  
         
13   PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)  
                0%
14   TYPE OF REPORTING PERSON (See Instructions)  
                EP    

 

Page 2 of 17 Pages


  1  

NAME OF REPORTING PERSON

I.R.S. IDENTIFICATION NOS. OF ABOVE PERSON:

   
   

            GMAM Group Pension Trust I

            01-0719298

   
  2   CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)  
  (a)  ¨  
    (b)  ¨    
  3   SEC USE ONLY  
         
  4   SOURCE OF FUNDS (See Instructions)  
                00    
  5   CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(D) OR 2(E)   ¨
         
  6   CITIZENSHIP OR PLACE OF ORGANIZATION  
                 New York    

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

    7  SOLE VOTING POWER
 
                  0
    8  SHARED VOTING POWER
 
                  0 shares. (See Item 5 below)
    9  SOLE DISPOSITIVE POWER
 
                  0
  10  SHARED DISPOSITIVE POWER
 
                  0 shares. (See Item 5 below)
11   AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON    
                0 shares. (See Item 5 below)    
12   CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions)  
         
13   PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)  
                0%
14   TYPE OF REPORTING PERSON (See Instructions)  
                EP    

 

Page 3 of 17 Pages


  1  

NAME OF REPORTING PERSON

I.R.S. IDENTIFICATION NO. OF ABOVE PERSON:

   
   

            Promark Investment Advisors, Inc.

            382903925

   
  2   CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)  
  (a)  ¨  
    (b)  ¨    
  3   SEC USE ONLY  
         
  4   SOURCE OF FUNDS (See Instructions)  
                00    
  5   CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(D) OR 2(E)   ¨
         
  6   CITIZENSHIP OR PLACE OF ORGANIZATION  
                 Delaware    

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

    7  SOLE VOTING POWER
 
                  0
    8  SHARED VOTING POWER
 
                  0 shares. (See Item 5 below)
    9  SOLE DISPOSITIVE POWER
 
                  0
  10  SHARED DISPOSITIVE POWER
 
                  0 shares. (See Item 5 below)
11   AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON    
                0 shares. (See Item 5 below)    
12   CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions)   ¨
         
13   PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)  
                0%
14   TYPE OF REPORTING PERSON (See Instructions)  
                IA, CO    

 

Page 4 of 17 Pages


  1  

NAME OF REPORTING PERSON

I.R.S. IDENTIFICATION NO. OF ABOVE PERSON:

   
                Promark Trust Bank, National Association    
  2   CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)  
  (a)  ¨  
    (b)  ¨    
  3   SEC USE ONLY  
         
  4   SOURCE OF FUNDS (See Instructions)  
                00    
  5   CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(D) OR 2(E)   ¨
         
  6   CITIZENSHIP OR PLACE OF ORGANIZATION  
                 United States    

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

    7  SOLE VOTING POWER
 
                  0
    8  SHARED VOTING POWER
 
                  0 shares. (See Item 5 below)
    9  SOLE DISPOSITIVE POWER
 
                  0
  10  SHARED DISPOSITIVE POWER
 
                  0 shares. (See Item 5 below)
11   AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON    
                0 shares. (See Item 5 below)    
12   CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions)   ¨
         
13   PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)  
                0%
14   TYPE OF REPORTING PERSON (See Instructions)  
                BK    

 

Page 5 of 17 Pages


Explanatory Note

This Amendment Number 13 amends and supplements the Statement on Schedule 13D (the “Schedule 13D”), as amended by Amendment Number 1 thereto on January 12, 2004 (“Amendment No. 1”), as further amended by Amendment Number 2 thereto on February 4, 2004 (“Amendment No. 2”), as further amended by Amendment Number 3 thereto on April 5, 2004 (“Amendment No. 3”), as further amended by Amendment Number 4 thereto on May 12, 2004 (“Amendment No. 4”), as further amended by Amendment Number 5 thereto on June 3, 2004 (“Amendment No. 5”), as further amended by Amendment No. 6 thereto on June 23, 2004 (“Amendment No. 6”), as further amended by Amendment No. 7 thereto on May 11, 2005 (“Amendment No. 7”), as further amended by Amendment No. 8 thereto on September 21, 2005 (“Amendment No. 8”), as further amended by Amendment No. 9 thereto on October 31, 2005 (“Amendment No. 9”), as further amended by Amendment No. 10 thereto on October 16, 2006, as further amended by Amendment No. 11 thereto on November 28, 2007, and as further amended by Amendment No. 12 thereto on December 21, 2007, filed by GMAM Group Pension Trust I (the “GMAM I Trust”), a trust formed pursuant to the laws of the State of New York under and for the benefit of certain employee benefit plans of General Motors Company (successor to General Motors Corporation) (“GM”) (the “Plans”); Promark Investment Advisors, Inc. (f/k/a General Motors Investment Management Corporation), a Delaware corporation (“Promark”), a wholly-owned subsidiary of GM which is registered as an investment adviser under the Investment Advisers Act of 1940, as amended; GMAM Investment Funds Trust (the “GIFT Trust”), a trust formed pursuant to the laws of the State of New York under and for the benefit of certain Plans; and Promark Trust Bank, National Association (f/k/a General Motors Trust Bank, National Association), a national bank subject to regulation by the Office of the Comptroller of the Currency, as trustee of the GIFT Trust (“PTB”). The GMAM I Trust, the GIFT Trust, Promark and PTB are referred to herein as the “Reporting Persons.” Capitalized terms used and not defined in this Amendment have the meanings set forth in the Schedule 13D. Items 3, 4, 5 and 7 are hereby amended and supplemented as follows.

Item 3. Source and Amount of Funds or Other Consideration

The GMAM I Trust paid $100 million to the Fund on December 17, 2003 in exchange for 10,000,000 shares of common stock of the Fund (“Shares”). The GIFT Trust paid $50 million to the Fund on January 2, 2004 in exchange for 5,000,000 Shares. The GMAM I Trust paid $50 million to the Fund on February 2, 2004 in exchange for 4,963,698.49 Shares. The GIFT Trust paid $50 million to the Fund on April 1, 2004 in exchange for 4,906,771.34 Shares. The GIFT Trust paid $50 million to the Fund on May 10, 2004 in exchange for 4,926,108.37 Shares. The GMAM I Trust paid $60 million to the Fund on June 1, 2004 in exchange for 5,928,853.75 Shares. The GIFT Trust paid $50 million to the Fund on June 21, 2004 in exchange for 4,926,108.37 Shares. The GMAM I Trust paid $50 million to the Fund on May 2, 2005 in exchange for 4,752,851.71 Shares. The GIFT Trust paid $50 million to the Fund on September 1, 2005 in exchange for 4,897,159.647 Shares. The GMAM I Trust paid $27.5 million to the Fund on October 3, 2005 in exchange for 2,693,437.806 Shares. The GMAM I Trust paid $20 million to the Fund on September 1, 2006 in exchange for 1,937,984.50 Shares. The GMAM I Trust paid $50 million to the Fund on November 1, 2007 in exchange for 6,553,079.948 Shares. The source of the consideration for such acquisitions is the assets of certain of the Plans. On December 6, 2007, the GIFT Trust sold 14,164,305.95 shares to the Fund in the Fund’s tender offer in exchange for $100 million. Also, in December 2007, GMAM I Trust and GIFT Trust acquired an aggregate of approximately 27,041,788.93 Shares under the Fund’s dividend reinvestment plan. On November 4, 2009, GMAM I Trust and the GIFT Trust received final liquidation proceeds in connection with the Fund’s plan of liquidation and dissolution.

Item 4. Purpose of Transaction

The purpose of the acquisitions of Shares was to acquire an interest in the Fund, which is a non-diversified closed-end management investment company whose investment objective is to provide high total return by investing predominantly in asset-backed securities and mortgage-backed securities. The purpose of the disposition of Shares by the GIFT Trust in the Fund’s tender offer, which expired on December 6, 2007, was to liquidate a portion of its holdings in the Fund. On November 4, 2009, GMAM I Trust and the GIFT Trust received final liquidation proceeds in connection with the Fund’s plan of liquidation and dissolution.

 

Page 6 of 17 Pages


As of the date of this filing, the Fund has been liquidated and dissolved, therefore, none of the Reporting Persons, GM or, to the best knowledge of the Reporting Persons, any person identified on Appendix A has any plans or proposals that would result in or relate to any of the transactions described in paragraph (a) through (j) of Item 4 of Schedule 13D.

Item 5. Interest in Securities of the Issuer

(a)-(b) On November 4, 2009, GMAM I Trust and GIFT Trust received final liquidation proceeds in connection with the Fund’s plan of liquidation and dissolution (the “Fund Liquidation”). The Fund Liquidation was conducted in two parts on October 20, 2009 and October 30, 2009. In the first liquidation, the GMAM I Trust received proceeds of $83,652,027.59 for 44,377,733.47 Shares. In the second liquidation, the GMAM I Trust received proceeds of $38,681,668.71 for 21,091,422.41 Shares. In the first liquidation, the GIFT Trust received proceeds of $33,241,348.36 for 17,634,667.56 Shares. In second liquidation, the GIFT Trust received proceeds of $15,371,185.39 for 8,381,235.22 Shares. Pursuant to Rule 13d-4, the Reporting Persons expressly declare that the filing of this Amendment shall not be construed as an admission that any such Person is, for the purposes for §§13(d) or 13(g) of the Act, the beneficial owner of any securities covered by this Amendment.

Because the Fund has been liquidated and dissolved, neither GM nor, to the best knowledge of the Reporting Persons, any of the persons named in Appendix A own beneficially (as that term is defined in Rule 13d-3 under the Act) any Shares.

(c) The following transactions were effected since August 20, 2009:

 

Identity of Entity

 

Date of Transaction

 

Type of Security

 

Nature of Transaction

 

Number of Securities

 

Price per Share

GMAM I Trust   October 20, 2009   Common Stock   Liquidation proceeds   44,377,733.47   $1.89
GIFT Trust   October 20, 2009   Common Stock   Liquidation proceeds   17,634,667.56   $1.89
GMAM I Trust   October 30, 2009   Common Stock   Liquidation proceeds   21,091,422.41   $1.83
GIFT Trust   October 30, 2009   Common Stock   Liquidation proceeds   8,381,235.22   $1.83
         

(d) Promark as the named fiduciary of the Plans with respect to investments has the authority to direct GMTB to make payments from the GIFT Trust (which may include dividends from or proceeds from the sale of Shares held by the GIFT Trust) to other trusts under the Plans and to other persons.

(e) As of November 4, 2009, the Reporting Persons ceased to beneficially own any Shares of the Fund.

 

Page 7 of 17 Pages


Item 7. Material to be filed as Exhibits

EXHIBIT 1 - Joint Filing Agreement dated January 15, 2010, among the Reporting Persons pursuant to Rule 13d-1(k) under the Act

 

Page 8 of 17 Pages


Signature

After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.

 

GMAM INVESTMENT FUNDS TRUST
(by Promark Trust Bank, National Association)
By:  

/s/ Milla Krasnopolsky

Name:   Milla Krasnopolsky
Title:   Managing Director, Strategic Solutions &
High Quality Bonds

Date: January 15, 2010

 

Page 9 of 17 Pages


Signature

After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.

 

STATE STREET BANK AND TRUST COMPANY,
as trustee for GMAM GROUP PENSION TRUST I
(as directed by Promark Investment Advisors, Inc.)
By:  

/s/ Jason R. Butler

Name:   Jason R. Butler
Title:   Vice President

Date: January 15, 2010

 

Page 10 of 17 Pages


Signature

After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.

 

PROMARK INVESTMENT ADVISORS, INC.

By:  

/s/  Milla Krasnopolsky

Name:   Milla Krasnopolsky
Title:   Managing Director, Strategic Solutions & High Quality Bonds

Date: January 15, 2010

 

Page 11 of 17 Pages


Signature

After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.

 

PROMARK TRUST BANK, NATIONAL ASSOCIATION
By:  

/s/  Milla Krasnopolsky

Name:   Milla Krasnopolsky
Title:   Managing Director, Strategic Solutions & High Quality Bonds

Date: January 15, 2010

 

Page 12 of 17 Pages


APPENDIX A

DIRECTORS AND EXECUTIVE OFFICERS OF

GENERAL MOTORS COMPANY

The name, business address, present principal occupation or employment, and the name, principal business and address of any corporation or other organization in which such employment is conducted, of each of the directors and executive officers of General Motors Company is set forth below. Unless otherwise specified, the business address of each person listed below is 300 Renaissance Center, Detroit, Michigan 48265-3000.

 

NAME AND BUSINESS ADDRESS

  

POSITION WITH GM

  

PRINCIPAL OCCUPATION, IF

OTHER THAN AS EXECUTIVE

OFFICER OF GM

Daniel F. Akerson

   Director    Managing Director and Head of Global Buyout, The Carlyle Group

David Bonderman

   Director   

Co-Founding Partner, TPG

Erroll B. Davis, Jr.    Director    Chancellor, University System of Georgia

Stephen J. Girsky

   Director    President, S. J. Girsky & Company

E. Neville Isdell

   Director   

Robert D. Krebs

   Director   
Kent Kresa    Director   
Philip A. Laskawy    Director   
Timothy E. Lee    President, GM International Operations   
Christopher P. Liddell    Vice Chairman and Chief Financial Officer   
Robert A. Lutz    Vice Chairman   
Kathryn V. Marinello    Director    President and Chief Executive Officer, Ceridian Corporation

Michael P. Millikin

   Vice President and General Counsel   
David N. Reilly    President, GM Europe   

Mark Reuss

   President, GM North America   

Patricia F. Russo

   Director   

Carol M. Stephenson

  

Director

   Dean, Richard Ivey School of Business, The University of Western Ontario
Thomas G. Stephens    Vice Chairman, Global Product Operations   
Edward E. Whitacre, Jr.    Chairman of the Board of Directors and Chief Executive Officer   

 

Page 13 of 17 Pages


APPENDIX A

DIRECTORS AND EXECUTIVE OFFICERS OF

PROMARK INVESTMENT ADVISORS, INC.

The name, business address, present principal occupation or employment, and the name, principal business and address of any corporation or other organization in which such employment is conducted, of each of the directors and executive officers of Promark Investment Advisors, Inc. is set forth below. Unless otherwise specified, the business address of each person listed below is 767 Fifth Avenue, New York, New York 10153.

 

NAME AND BUSINESS ADDRESS

  

POSITION WITH PROMARK

  

PRINCIPAL OCCUPATION, IF

OTHER THAN AS EXECUTIVE

OFFICER OF PROMARK

Barbara A. Barrese    Secretary   
Z. Jamie Behar    Managing Director, Real Estate and Alternative Investments   
Michael P. Cloherty    Deputy Chief Operating Officer   
Michael J. Connors    Vice President, Investment Administration   
Nancy C. Everett    Chairperson of the Board of Directors and Chief Executive Officer   
Florence Fong-Lopez    Vice President, Credit Markets Group   
David E. Hartman    Vice President and General Counsel   
Elizabeth J. Kale    Director, Chief Client Officer   
Tony Duen-Li Kao   

Chief Investment Officer

  
Michael E. Klehm    Director, President, Chief Operating Officer, Chief Financial Officer and Treasurer   
Milla Krasnopolsky    Managing Director, Strategic Solutions and High Quality Fixed Income   
Mary A. Mullin    Chief Compliance Officer   
Robin H. Rocchi    Vice President, Investment Programs and Director, Global Equity   
Carlos Rosa    Vice President, Sales and Marketing   
James H. Scott    Managing Director, Equity and Trading   
John S. Stevens    Managing Director, Absolute Return Strategies and GTAA   
Edgar J. Sullivan    Managing Director, Investment Advisory   
Mark R. Szycher    Vice President, Enterprise Risk Management   

 

Page 14 of 17 Pages


APPENDIX A

DIRECTORS AND EXECUTIVE OFFICERS OF

PROMARK TRUST BANK, NATIONAL ASSOCIATION

The name, business address, present principal occupation or employment, and the name, principal business and address of any corporation or other organization in which such employment is conducted, of each of the directors and executive officers of Promark Trust Bank, National Association is set forth below. Unless otherwise specified, the business address of each person listed below is 767 Fifth Avenue, New York, New York 10153.

 

NAME AND BUSINESS ADDRESS

  

POSITION WITH PTB

  

PRINCIPAL OCCUPATION, IF

OTHER THAN AS EXECUTIVE

OFFICER OF PTB

Barbara A. Barrese    Secretary   
Z. Jamie Behar    Managing Director, Real Estate and Alternative Investments   
Michael P. Cloherty    Deputy Chief Operating Officer   
Michael J. Connors    Vice President, Investment Administration   
Nancy C. Everett    Chairperson of the Board of Directors and Chief Executive Officer   
Florence Fong-Lopez    Vice President, Credit Markets Group   
David E. Hartman    Vice President and General Counsel   
Elizabeth J. Kale    Director, Chief Client Officer   
Tony Duen-Li Kao   

Chief Investment Officer

  
Michael E. Klehm    Director, President, Chief Operating Officer, Trust Officer, Chief Financial Officer and Treasurer   

Scott G. Koeber

  

Director

   Chief Compliance Officer, Performance Equity Management, LLC
Milla Krasnopolsky    Managing Director, Strategic Solutions and High Quality Fixed Income   
Mary A. Mullin    Chief Compliance Officer   
Robin H. Rocchi    Vice President, Investment Programs and Director, Global Equity   
Carlos Rosa    Vice President, Sales and Marketing   
James H. Scott    Managing Director, Equity and Trading   
John S. Stevens    Managing Director, Absolute Return Strategies and GTAA   
Edgar J. Sullivan    Managing Director, Investment Advisory   

Mark R. Szycher

  

Vice President, Enterprise Risk Management

  
G. Michael Watry   

Director

  

 

Page 15 of 17 Pages


EXHIBIT INDEX

 

EXHIBIT 1   Joint Filing Agreement dated January 15, 2010 among the Reporting Persons pursuant to Rule 13d-1(k) under the Act

 

Page 16 of 17 Pages


Exhibit 1

JOINT FILING AGREEMENT

This will confirm the agreement by and among all the undersigned that Amendment No. 13 to the Schedule 13D filed on or about this date with respect to the beneficial ownership by the undersigned of shares of common stock, par value $.01 per share, of Hyperion Brookfield Collateralized Securities Fund, Inc. is being, and any and all amendments to such Schedule may be, filed on behalf of each of the undersigned. This Agreement may be executed in two or more counterparts, each of which will be deemed an original, but all of which together shall constitute one and the same instrument.

Dated: January 15, 2010

 

GMAM INVESTMENT FUNDS TRUST (by Promark Trust Bank, National Association)
By:  

/s/  Milla Krasnopolsky

Name:   Milla Krasnopolsky
Title:   Managing Director, Strategic Solutions &
High Quality Bonds
STATE STREET BANK AND TRUST COMPANY, as trustee for GMAM GROUP PENSION TRUST I
(as directed by Promark Investment Advisors, Inc.)
By:  

/s/  Jason R. Butler

Name:   Jason R. Butler
Title:   Vice President
PROMARK INVESTMENT ADVISORS, INC.
By:  

/s/  Milla Krasnopolsky

Name:   Milla Krasnopolsky
Title:   Managing Director, Strategic Solutions &
High Quality Bonds
PROMARK TRUST BANK, NATIONAL ASSOCIATION
By:  

/s/  Milla Krasnopolsky

Name:   Milla Krasnopolsky
Title:   Managing Director, Strategic Solutions &
High Quality Bonds

 

Page 17 of 17 Pages

-----END PRIVACY-ENHANCED MESSAGE-----