Combined 5534 Appex Vol Iii
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QUINN EMANUEL URQUHART OLIVER & HEDGES LLP 51 Madison Avenue, 22nd Floor New York, New York 10010 Susheel Kirpalani James C. Tecce Erica P. Taggart Special Counsel to the Official Committee of Unsecured Creditors of Lehman Brothers Holdings Inc., et al. UNITED STATES BANKRUPTCY COURT SOUTHERN DISTRICT OF NEW YORK ------------------------------------------------------------------------x In re: : Chapter 11 : Case No. 08-13555 (JMP) LEHMAN BROTHERS HOLDINGS INC., et al., : Jointly Administered : Debtors. : ------------------------------------------------------------------------x In re: : SIPA Proceeding : Case No. 08-01420 (JMP) LEHMAN BROTHERS INC., : : Debtor. : -----------------------------------------------------------------------x
APPENDIX VOLUME III TO MOTION OF OFFICIAL COMMITTEE OF UNSECURED CREDITORS OF LEHMAN BROTHERS HOLDINGS INC., ET AL., PURSUANT TO 11 U.S.C. § 105(a), FED. R. CIV. P. 60(b), AND FED. R. BANKR. P. 9024, FOR RELIEF FROM ORDER UNDER 11 U.S.C. §§ 105(a), 363, AND 365 AND FEDERAL RULES OF BANKRUPTCY PROCEDURE 2002, 6004 AND 6006 AUTHORIZING AND APPROVING (A) SALE OF PURCHASED ASSETS FREE AND CLEAR OF LIENS AND OTHER INTERESTS AND (B) ASSUMPTION AND ASSIGNMENT OF EXECUTORY CONTRACTS AND UNEXPIRED LEASES, DATED SEPTEMBER 20, 2008 (AND RELATED SIPA SALE ORDER) AND JOINDER IN DEBTORS' AND SIPA TRUSTEES MOTIONS FOR AN ORDER UNDER RULE 60(b) TO MODIFY SALE ORDER
03690.61377/3102555.1
EXHIBIT No. 45 46 47 48 49 50 51 52 53 54
DESCRIPTION 9/21/08 email from Forrest to Lowitt 9/19/08 email from Lowitt to McDade Valuation Spreadsheet 9/20/08 email sent at 11:13 p.m. 9/19/08 email from Trevelyan to Clackson July 16, 2009 Letter from Barclays counsel covering a spreadsheet of “aggregate cure payments” labeled BCI-EX00077272-286. 9/15/08 email from Aprigliano to Tonucci and Azeraz 9/19/08 Notice of Termination Barclays PLC Results Announcement Figures 2008 Spreadsheet of 2008 Bonuses
03690.61377/3102555.1
575 LEXINGTON AVENUE • 7TH FLOOR • NEW YORK, NY 10022 PH. 212.446.2300 • FAX 212.446.2350
July 16, 2009
BY EMAIL Robert W. Gaffey Jones Day 222 East 41st Street New York, NY 10017-6702
I'n re ^.ehman Brothers Haldin rnc. et al. Case No. 08-13555 JMP
Dear Bob: As part of Barclays' ongoing production of documents, enclosed are the documents we discussed concerning information showing aggregate bonus and severance compensation amounts for Transferred Employees and aggregate cure payzrzents . Please no#e that the cure payment information is current as of July 14, 2009, and that a number of cure cost objections remain outstanding . These documents, Bates numbered BCI-EX00077272 through BCI-EX-00077286 and BCI-EX-00077287, are designated as Highly Confidential under the July 14, 2009 Confidentiality Stipulation and Protective Order. Very truly yours,
Ja
G. Stern
JGS:ck cc:
James Tecce, Quinn Emanuel Counsel to the Creditors' Committee (By Email, with Enclosure} James B. Kobak, Jr., Hughes Hubbard & Reed Counsel to the LBI Trustee (By Email, with Enclosure) Robert L. Byman, Jenncr & Block Counsel to the Examiner (By Email, with Enclosure)
www,esF^.^P.con^
A t
Date Submitted for Pa men#
2 3 4 5 8 7 8 9
10 i9 12 13 14 15 16 17 18 19 2D 21 22 23 24 25 2ti
27 28 29 30 31 32 33 34 35
Highly Confidential
22-Sep 22-Sep 23-Sep 23-Se 23-Sep 23-Sep 23-Se 23-Se 25-Se 25-Sep 25-Se 27-Se 27-Sep 30-Se 30-yep 30-Sep 30-Se 2-Oct 3-Oct 3-Oct
B
C
Vendor Name
Actuat Amount of Pa meat
Rolfe & Nolan Pais stems Con Edison HESS Ca oration Environmental Contracting Corp. Rockefeller Center Mgmt Tishman 5 e er Deveto ment, LLC Tishman Speyer Deveto meat, LLC NYSE ARCA LLC BATS Tradin Tradin Screen Ridge Technaio ies Inc. Beeline.com Inc Roctcefel[er Center M mt Fox River Execution Technology LLC Direct edge Investment Technology Group Inc` Tzero Processi services Vigilant LLC Tibco Software Inc
3-Oct
Swa s Monitor
3-Oct 3-Oct 3-Oct 3-Oct 3-Oct 3-Oct 3-OcE 3-Ocf 4-C]ct 4-Oct 4-Oct 4-0ct 4Oc#
Nansco Inc M&M technologies Corp Key Systems eClerx services Amited Dell Marketing LP cortese consulting Advanced Innovative Marketing LLC Cushman & Wakefield Alternative Business Accomodaiions, Inc Altova ^ Decision Design Co t=xe Inc Headstrong Services, LLC
$524,009.73 $945,130.50 $329,005.71 $671,897.03 $393,000.00 $390,377.08 $3,458,645.00 $567,816.63 $3,845,213.91 $6,698,055.32 $531,940.00 $19,837.00 $8,235,918.75 $95,583.90 $308,719.72 $994,235.74 $1,139,838.15 $122,620.90 $40,000.00 $1,637,797.28 $84,992.09
$70,000.00 $707,590.00 $240,300.00 $561,340.33 $173,925.58 $126,000.00 $38,772.88 $2,081,170.92 $1,198,378.30 $111,942.50 $17,875.00 $214,943.82 $645,900A0
BCI-FJC 00477272
A 36
4-0ct
37 38 39 40 41 42 43 44 45 46 47 48 49 50 51 52 53 54 55 56 57 58 59 60 61 62
4-0d 4-Od 4-Oct
63
64 65 66 67 68 69 70 7i
Highly Confidentiai
4-Od
4-Oct 4-Od 7-Oct 9-Oct 9-Od 9-0ct 9-OcE 9-0d
9-0d 9-Oct 9-OcE 9-Od
9-Od 9-Oct 9-Oct 9-Oct 9-Od
9-Oct 9-Od 9-Od 70-^OcE i4-0cf 14-0ct 94Od 14-0ct 14-Od 95-Oct 15-Oct 95-Od 15-Oct 15-Od
i3 Joint Technology Development Corp.
Market Research.cam Profound Ramsey Quantitative Systems fnc Si era Systems Inc. TNT t?xpense Management LLC Trade Dafa""
Tishman Speyer Development, LLC Tradebot Systems inc. Chancellor Dau all Daktronics Restaurant Associates Mirror Imo a fnternet fnc. Michael Andrews Audio ^sua[ Services Inc Murex North America PTS Consuitin Jed ConsulEin
X heria LLc Rational Ente rises LLC /Rational Consultin UST Global Inc Eurest
Bloom Securities LLC Thomas Weisel Partners LLC order Execution Services LLC Inde endent Brokers LLC NY Giants WA LLC Thru Point Inc. Plus One FloEdin s, Inc. CMS Lo istics, LLC Executive Trans ortation Grou UTC Associates Vdeo Co ration ofAmerica Co orate Trans oration Grou Ltd CTG 1=airmont Hotel San Francisco Loews Miami Beacit Hote! Decision Economics Inc.
C $1,362,391.43
$287,326.55 $14,220.00 $^q^877,80 $739,118.77 $118,429.52 $351,236.24 $51,339.87 $20 016.78 $149,557.50 $293,118.00 $4,000.00 $304, 89 0.12 $130,487.96 $984,632.61 $60,000.00 $302,500.00 $59 000.00 $365,698.43 $91,195.61 $1,464.00 $134,130.30 $125,648.17 $118,279.50 $360,000A0 $18,466.95 $77,350.00 $104,749.14 $30,880.00 $763,961.00 $109,650.00 $284,232.50 $207,345A0 $10 000.00 $189,621.91 $23,077.00
BCI-EX-00077273
A 72
73 74 75 76 77 76 79 80 81 82 83 84 85 86
87 88 89 90 91
92 93 94 95
96 97 98 99 100 101 102 103 104 i05 106 i07
Highly Confidential
B
C
15-Oct 15-Oct
Fi a Time Worldwide Larsen & Taubra Infotech Limited
$11,451.05 $1,483 030.60
15-Oct 15-0d 15^Oct 15-Oct 15-Oct 15-Oct 15-0cf 15-Ocf i5-Oct i5-Oct 15-Oct 15-0ct 15-0d
Actuate Co Ente rise En ineerin Inc. Ali n Communications Infinite Com afar Solu#ions inc. TelecommunicationsS stems Inc. Forest Electric F_ssentiat Tradin S stems Co ore#ian tJMT Consultin Grou LLC Iris Software, Inc Broadrid a Securities Processin Solutions CLS Bank International eBX LLC / Alternative Tradin S ems
$468,000.00 $42,000.00 $793,330.00 $74,958.00 $111,003.75 $79,575.92 $78,452.18 $129,800.00 $418,787.75 $5,820,609.87 $344,998.57 $377,405.90
Access Data Cor . Polaris Software Lab
$153,850.00 $1,032,591.00
15-Oct
15-Oct 15-Oct 15-Oc# 15-Oct i 5-Oct 15-Oct
20-Oct 20-Oct 20-Qct 20-Oct 20-Oct
20-Oct 20-Oct 20-Oct 20-Oct 20-Oct 20-Oct 20-Oct 20-Oct
Reai Soft, inc. SecureWorks, inc. a.k.a LLiRHQ Tradin Technolo ies Intemalionaf, Enc. Tri le Poin# Tecltnofa ,Inc. Westwater Ca _ Verrazana Consultin Solutions LLC HiEton New Yar1c Restaurant Associates, one financial center, Boston
Ale h Cv nizant Technoto Solutions l.lS Cv orations Worid Careers Neiworlc ^edak Cvr Infusion i]ev Cv ration FM Brokers a LLC 20-Oct Jefferies F.^cecution Services LLC MEB O lions Inc Lakeshore Securities, LP Li aid Point LLC Entemational Securities Exchan a Keane Inc
$30,960.00 $24,242.32 $56,355.00 $555 581.47 $85,167.00 $111 650.00
$237,019.53 $4,631.09
$11,114.00 $241,292.00 $123,540.00 $98,000.00 $288,500A0 $69,524.80 $212.00 $338,803.92 $106,332.65 $726,540.77 $1,816,207.x9 $127,830.00
BCI-EX 00077274
A
B
C
908
20-Oct
(Tech US Enc
$19,900.00
909 710 111 112 113 114 115 116 117
20-Od 20-Od 20-Od 20-Od
Seled Minds Inc New Media Technol ies, Inc Gotham Technol Grou A i[s s NJ, ]nc ECAS ca Gre are Automation Produds Ente rise Solutions roviders Mastow Media Grou Pebble Beach com an
$68,250.00 $48,720.00 $526,511.08 $625,695.36 $453,838.34 $20,460.00 $144,000.00 $4,009.75 $5,000.00
118
119 120 121 122 123 124
20-0d
20-Oct 20-Oct 20-Od 20-Od 20-Od 20-Oct 29-Oct 21-Oct 21-Oct 21-Od
21-Oct
125
21-0d
126 127 128 129 930 131 132 133 134 135 136 137 738 '139 140 147 942
21-Oct 21-0d 29-Oct 21-Oct 21-Od 27-0d
Highly COn^d^ntial
29-0d 27-Od
27-Oct 22-Oct 22-0d 22-Oct 22-0d 22-Od 22-Oct 22-Oct 22-Od
T&M Protedion Resources
$1,228,969.93
Strudure Tone Gensler Archifedure, Design & Planning , P.G. / Gensler & Associates! M. ArlhurGenslerJr. & Associates, Inc. Secure Access Di ital S stems Pidelit Ca ital Markets Services Mar9cit Partners) LOANX Boston O Lions Excha a Grou , LLC BIDS Tradin L.P_ Pi cline Tradin Wizcom Ca oration VS Information S stems Inc. SGP Intemaflonaf Global Research Distribution Cha e & Ride Pa reel Crown Plaza New Meadowlands Stadium Com an AV Services An elPoints, ]nc. Wi ro Limited/ Wi ro Inc. SOS Securi into orated Collins Buildin Services C[une Construdion Com an Hanover Movin & Story a Restaurant Associates
$9,630,088.50 $222,534.40 $14,609.84 $70,750.53 $7,500.00 $178,584.45 $57,848.20
512,595.85 $190,750.00 $369,242.62 $127,440.00 $558,296.69 $41,233.26 $122,305.86 $88,958.75 $401,500.00 $328,665.08 $45,547A0 $2,352, 906.10 $436,295.39 $1,239,145.15 $247,784.00 $429,373.37 $5,766.02
BCI-E?C-0fl077275
A 143
22-Oct
144 145 i46 147 148 149 950 951 952 753 954 i55 156 157 158 159 160 161 162 163 164 165 166 167 168 169 170 17i 172 173 174 775 178 177 178
22-Oct 22-Oct 22-Oct 22-Oct 23-Oct
Highly Confidential
23-Oct
23-Oct 23-Oct 23-Oct 23-Oct 23-Oct 24-Oct 28-Oct 28-Oct 28-Oct 28-Oct 28-Oct 28-Oct 26-Oct 28-Oct 2&Oct 28-OCt
28-Oct 28-Oct 28-Oct 28-Oct 28-Oct 28-Oct 28-Oct 28-Oct 28-Oct 28-Oct 29-Oct 29-Oct 29-Oct
B AI ha Offce ProductsJSta les DiscaverRead
Advanced Technolo ies Su a[t Grou Inc. MBG f=x ense Mana ement LLC IM2 Consultin Xca erlndustries LLC Maze Com uter Communications Trade Settlement inc. [^orthru Grumman Information Technolo ,Inc. WCL Americas, inc and WCL Technolo ies, Ltd. Gartner !nc and Com uter Financial Consultants, Inc. Mi s IQ LLC AFD Contract Furniture Inc. AdiEi Technolo ies Private Lid. Assentis Tectmoio ies, Inc. Bearin Point, Inc. CRD Ca ital Financial Software S stems lnfomta Investment Solutions Q2 Strata ies Ritz Canton - Central Fark South Standard Re inter Strafe is 5 stems Solutions Summit S stems, Inc. The Strucfure Consultin Grou Williams Lea D&D Securities Tullet Libert Securities Total taow Collins Stewart Charles River Broken a Case Securities LinkBrokers Derivatives Co SunGard Securities Finance LLC E uinax Associated O tions , Inc. Eze Castle Transaction Services Whitaker Securities
C $753,573.67
$ 2,199,638.38 $3,000.00 $29,420.00 $165,000.00 $49,946.38 $19,037.50 $76,404.37 $115,796.71 $741,740.00 $956,070.00 $40'!,377.62 $240,427.27 $67,500.00 $93,336.33 $232,080.00 $88,500.00 $31,500.00 $341,750.00 $60,000.00 $7,145.65 $1 ,070 637.05 $65,022.00 $596,772.50 $194,947.40 $1 , 083,576.36 $132,424.85 $715,809.50 $i 04,222.73 $353,468.40 $400,521.00 $1,518,819.83 $354,853.00 $212,290.20 $317,447.78 $8,557.25
BCI-F.JC^-OD077276
179 180 181 182 183 184 185 186 187 188 189 190 191 192
A 29-0ct
8
C
31 -Oct 31 -0ct 31-Oct 3-Nov 3-Nov
NEOVEST Wolverine Execution Services, LLG Marie D. I'iichtel PFPC Trust Co .lams Baum & Bolles JBB Cli book AVI 1 SPL Sheraton New Yank Mote! & Towers Intercontinental Boston ante ron Donald B. Bialkie & Co *" Donald B. Blalkie & Co. Reliance Globalcom Services , Inc. IPi=S M&M Sentinel Glow Inn.
$13 ,701.54 $20,071.80 $120,750.00 $38,702.56 $134,320.30 $84,565.87 $54,520.27 $637 ,905.27 $133 ,704.24 $632,576.00 $1,140.00 $234.00 $193,289.71 $45,000.00
193 194
3-Nov 3-Nov
Sat am Cam uter Services Ltd. Transaction Network Services , fnc.
$389,823,00 $438 946.15
195 196 197
3-Nov 3-Nov 3-Nov
SAS institute, lnc. Success Factors EMC Co orationlBrrsiness Ed a Solutions
998
3-Nov
Sun Micros stems
199 200
3-Nov 3-Nov
201
3-Nov
202 203
3-Nov 3-Nov
CDW Direct LLC Care Intemationai IiTOG 2- Wa Radio Inc Restaurant Associate , Chica a Robert Detector Associates RDA
204
4-Nov
The Markets .Com
205 206 207 208 209 210 211 212 213 294
4-Nov 4-Nov 4-Nov 4-Nov 5-Nov 5-Nov 5-Nov 10-Nov 10-1Vov i0-Nov
Highly Confidential
29-Oct 30-0ct 30-Oct 30-OCt 30-Oct
31 -0ct 31-Oct 31 -OCt
Ca ital Movin & Stora a Rockefeller Genter M mt Co Rockefeller Center M mt Co Ca emini Financial Services LISA, Inc. Greenwich Associates Atlas Van Lines/Nelson westerbe Hene an Construction co„ Inc TRX Data Services Sawis Communications S iral Bindin Com an , fnc.
$327,712.86 $240 ,208.27 $1,053,047.77 $40,735.94
$3,539,968.18 $86,669.00 $64,665.84
$12,051.28 $313,976.19 $147,612.17
$36,144.59 $719,560.18 $2,420,220.34 $1,347,938.00 $795 040,00 $227,992.02 $3,281,172.49 $26,799.00 $364,383.73 $396 ,286.41
BGI-BX-00077277
A 215 216
10-Nov 10-Nov
217 218 219 220 227 222 223 224 225 226 227 228 229 230 231 232 233 234 235 236 237 238 239 240 249 242 243 244 245 248 247 248 249 250
10-Nov 12-Nov 12-Nav 92-Nov i2-Nov i2-Nov i2-Nov 12-Nov 12-Nov 14-Nav 14Nov 14Nov 94-Nov 14-Nav 94-Nov 94Nov 14Nov 14-Nov 14-Nov 17-Nvv 97-Nov 17-Nov 17-Nov i7-Nav 18-Nov 18-Nov 19-Nov 99-Nov 99-Nav 20-Nov 20-Nov 20-Nov 20-Nov 21-Nov
Highly Canfidentiaf
B Cla on Fixed Income Services , Inc. BGC Financia l Cushman & Wakefield of CA Lason Factset Research S stems iron Mountain Inca orated [rttralinks Inc. International Data Co Co rate Trans oration Grou CMS Innovative Consultants Creative Technole Intercall 5martsource/ Rent a PC Kenneth Heirtze Charles B. Strauss IBM Intechra LLC Informatics Co oration Essential Tradln S stems Co oration Quench of New.ferse Federal I?x Tess Deutsche Bank Securities inc. Huron Consulfin Grou Horan Investment Co .zi The Lirtdse Grou Pitrte Bowes
Institutionallnvestor Phoenix Partners NPD Irttelect Inc. NeW ,Inc Bri ht Horizons Children's Centers LLC .Ease h McMurra / Re Holds channel co Michael Sta leton Associates PEI S stems, Inc. StreetAccount Tradeweb homsan Finance
C $478,gp1,7g $5,074, 27 3.08
$24,976.59 $24,481.69 $7,139 ,827.97 $1,308,416.68 $77Q400.00 $531,455.82 $99,843.79 $178,700.66 $4,101.95 $123,199.12 $24,070.09 $48,000.00 $50,532.46 $9,037,072.59 $34,846.'13 $169,840.00 $3,D34.57 $5,274.02 $74,223.56 $804,268.OS $54,009.95 $8,773.40 $250 000.00 $359,526.08 $117,776.25 $402,027.50 $134,387.72 $300,377.64 $96,620.60 $15,498.00 $ 9 33,599.80 $706,9 04.88 $54,588.00 $84D,673.85
BCI-^X-0077278
251
A 21 -Nov
252 253 254 255 256 257 258 259 260 261 262 263 264 265 266 267 268 269 270 271
21 -Nov 23-Oct 23-Oct 24-Nov 24-Nov 24Nov 24-Nov 24Nov 24-Nov 24-Nov 24-Nov 26-Nov 26-Nov 26-Nov 26-Nov 26-Nov 26-Nov 1 -Dec 1-Oec 1-Dec
272
1 -Dec
273 274 275 276 277 278 279 280 281 282 283 284 265 288
9 -Dec 1-Dec 1-Dec 2-Dec 2-Dec 2-Dec 2-Dec 4-Dec 4-Dec 4-Dec 4Dec 4-Dec 4-Dec 4-Dec
Highly Confidential
B
CMA Quotevision Ted Moudfs Associates Swiss Pack SeamlessWeb SumTotal S stems IRC. Tata Americas International Co oration Cushman & Wakefeld T"^shman S e er FIX FLYER CBOE TJM Com fiance Data Center A.C. Nielsen Oun & Bradstreet
CHEEVERS 8^ CO INC ABS 13ROKEFZ,4GE S1=RVICES, LLC MCNAMARA TRADING COMPANY OROWST TRADING, LLC Man Securities Now MF GLOSAL SECURITIES, INC. American Stock Exchan e - Standarc! Billie CB Richard Ellis Dow Jones & Com an , Inc. Hamilton ICE MarketAxess Credit Tex Hi Kline Data NYFIX, Inc NYFIX Millennium O ions Price Re rtin Authori Gerson Lehman Grou Inc. James Mints Grow Abovenet Communicaitons Inc Chita o Mercantile Exchan a ACL Services Ltd. Relational Securit Co oration
C $143,684.69
$185,533.27 $155,976.25 $252,263.97 $351,563.45 $1,820,259.85 $266,856.09 $9,328.57 $3 700.DD $470,375,56 $3D,315.75
$73,935.15 $162 881.78 $171,556.95 $40,300.56 $122,240.62 $46,651.91 $578,824.37 $41 ,947.30 $544,916.06 $33,549.00 $11D,50D.00
$45,099.90 $24D,920.00 $554,979.60 $1,449,592.D0 $35,ODD.00 $449,442.97 $62, 184.40 $107,345.88 $255 000.00 $4,335.00 $59,920.00 $237,D64.98 $18,493.11 $27,440.00
BCI-EX-00077279
S
A
287 288 289 290 291 292 293 294 295 296 297 298 299 300 301
4-Dec 5-Dec 8-Dec 8-Dec 8-Dec 8-Dec 8-Dec 8-Dec 8-Dec 8-Dec 8-Dec 8-Dec 8-Dec 8-Dec 11-Dec
302
11-Dec
Ara on Constnrction ENLAGF INT S.A. DE C.V.
303 304 306 307 308
11 -Dec 71-Dec 77-Dec 11 -Dec 11-Dec 10-Dec
Enstinet Su uehanna VYAPAR CAPITAt_ MARICE7 PARTNERS 5#erlin Commerce lnc. AECSnft USA, ]nc . Intuit
305
GL Trade. Inc. Eastrich No. 167 Cc oration P is Solufions LLC Tan oe Inc. IVG Ene Ltd NYSE Transaction Inc. ICAP Charles River Develo ment Choice Natural Gas FX Alliance LLC Remate Electronico , s.a. de c.v Em ire Office Mi[rose consultants DPR Construction
309
12-Dec
NYSE Market Inc
310 311
12-Dec 12-Dec
Toronto 5taek Exchan a PTR inc. Total
312
15-Dec
United Parce[ Service
313 314 315 316 317 318 319 320 321 322
15-Dec ^ 5-Dec '! 5-Dec 16-Dec 16-Dec 7&Dec
ADP, inc 1301 Pro rties Owner LP Business Int ration Grou AVM/II! BAXTER FX CARL ICLIEM Cha Blaine Evolctian FLEXTRADE G.A. Davies & Co. #1& #2
Highly Confidential
i6-Dec
16-Dec 16-Dec 16-pec
C
$289 ,859.35 $2,445.29 $49,054.31 $97,500.00 $65,143.00 $84 509.89 $6,648,402.50 $76,034.84 $53,089.76 $318,216.30 $3,074.94 $91,397.19 $66 170.00 $27,466.00 $80,193.50 $180,011.13
$ 135,764.67 $1,800,418.28 $75,300.38 $70,027.23 $39,000.00 $30,000.00 $2,339, 176.15
$297,355.67 $35,303.00 $99,294.73
$7,009.82 $1,006,986.07 $59,464.70 $95,625.00 $104,935.40 $5,591.63
$17,566.00 $13,169.57 $211,2&0.06 $7,920.76
f3C!-EX 00fl7728fl
323
324 325 326 327 328 329 330 339 332 333 334 335 336 337 338 339 340 341 342 343 344 345 346 347 348 349 350 359 352 353 354 355 356 357 358
Highly ConfidelZtiai
A l8-Dec 16-Dec 18-Dec
16-Dec 16-Dec 16-Dec i6-Dee 16-Dec 16-Dec 16-Dec 16-Dec 16-Dec
16-Dec 16-Dec 16-Dec 22-Dec 22-Dec 22-Dec 22-Dec 22-Dec 22-Dec 22Dec 22-Dec 22-Dec 22-Dec 22-Dec 22-Dec 22-Dec 22-Dec 22-Dec 22-Dec 22-Dec 22-Dec 22-Dec 22-Dec 22-Dec
e GAO tionsl GA Global Mariceis
1LS BROKE=RS LTD. Landrtark LCMC Libucki Li uidi PaRners ME3S Ene Mu h & Durieu Nava Commodities NYMEX All COMEX & NYMEX Activit Powemext S of Fees Raftert Sunrise S ntex
E3ourse de Montreal Tradition Trio tuna - Credifs CME Washin ton 5 akers Bureau FTSE Global Caal Oceanus Parit Ene PMGf Power Merchant Grau PORTWARE LLC Tok a FORF^C & E.JEDA Harlow Ltd. Frictionless Commerce Intema tVelwork Service Co Forti Software Inc. IPC Inforrrtation S ems DataCert , lnc. Global Insi h# Ene Intell' ence rou Ciena Communications First Derivatives PLC AT&T
C $24,515.00
$48, 816.00 $15,'198.50 $35,670.00 $10,418.93 $2,100.00 $28,227.50 $74,141.25 $5,600.00 $1,527,695.48 $28,244.60 $70,987.38 $283,436.00 $3,675.DD $19,739.31 $5,580,368.98 $372,865.00 $156,994.26 $55,OpD.OD $74,800.00 $14,100.00 $9,055.D2 $700.00 $14,875.D0 $54,000.00 $319, 080.60 $48,788.75 $179,775.77 $202,932.08
$3,221,477.6p $33,p25.Op $54,782.31 $4,246.08 $436,703.40 $137,D00.00
$1 ,660,628.71
BCi-EX 00077289
A
B
359 360
22-Dec 22-Dec
4Connect[ons/ O timum Li ht Path CURRENEX
361 362 363 364 365 366 367 368 369 370 371 372 373 374 375 376 377
22-Dec 22-Dec 22-Dec 22-Dec 22-Dec 22- Dec 22-Dec 22-Dec 22-Dec 22-Dec 22-Dec 22-Dec 22-Dec 22-DBC 22-Dec 22-Dec 22-Dec
EXANE SA FX Connect [-Deal LLC LEK SECURITIES CORP VSNL ATA Communications 1 Fraser st ker law firm Micropesi n Services/ SS&C Technolo ies NJ Cin ular Wireless TalkPoint Ho[din s Res onsive Data Solutions FAX F^CPI2ESS TIME WARNER JABBER ING. ANIXTER INC. MERENER NICOLAS NASTEt TEGHNOLOGIES INC. NETSCOUT SYSTi=MS !NC BT[G
378
22-Dec
GF[
379 380 381 382 383 384 385 386 387 388 389 390 399 392 393 394
22-Dec 22-Dec 22-Dec 22-Dec 22-Dec 22-Dec 22-Dec 22-Dec 22-Dec 22-Dec 22-Dec 22-Dec 22-Dec 22-Dec 22-Dec 22-Dec
HiIE Farber OceanConnect Broker SSY WEST POINT DERIVATIVES LTD Clune Construction Com an Prenax, Inc. Gin a Sin Petroleum Link Crude NASDAQ STOCK MARKET PHOENIX Partners London PVM Oil S ctron Information Builders Inc ACRON[ S, ING STARCITE INC GREENL[NE FINANCIAL TECHNOLOGIES INC
Highly Confiden#ial
C $46 ,010.00 $257,513.00
$175,183.00 $97,927.00 $398,545.26 $20,434.40 $326,026.23 $23,582.80 $1 , 139,464.95 $70,225.00 $52,431.80 $1,022.53 $7,131.89 $33,719.57 $6,572.87 $10,4D0.00 $52,428.14 $23,419.82 $124,884.00 $3,509,688.41
$366 ,0?7.51 $5,050.00 $20,104.71 $84,951.00 $152,276.00 $222,556.39 $2,000.00 $5,090.00 $1,080,698.62 $14,810.65 $2,920.00 $177,018.00 $270,036.49
$i 25,357.00 $90,000.00 $65,000.00
BCi-EX 00077282
335
396 397 398 399 400 401 402 403 404 405
A 22-Dec
22-Dec 22-Dec 22-Dec 22-Dec 22-Dec 22-Dec 23-Dec 23-Dec
8 United States Gvlf AssoGation
C $57,500.00
23-Dec
POWERLYFIX, LLC tANCOPE INC SCHOLES ELECTRIC & COMMUNICATION EXCEL MEDIA SYSTEM INC CITY NETWORKS INC Edgar William O'Neil! Hewlett Packard Bell South AKF lrn ineers (SurtGard) Wall Street Conce is LLC SunGard Reference Data Solutions , fnc. (SunGard) Automated Securities Clearance LLC Prate ent
$498,359.20
409
23-Dec
(SunGard) Automated Securities Clearance LLC Brass
23-Dec 23-Dec 23-Dec 23-Dec 23-Dec
(SunGard) MicroHed a LLC Sun and Investment S stems LLG SunGard Institutional Brokers e , lnc 5unGard Availabilit Services LP SP 190 South LaSalle, L.P. Advanta a Human Resaurcin Advanta a Data
$35,908.63
410 411 412 413 414 415 416 417 418 419 420 421 422 423
30-Dec 30-Dec 30-Dec 30-Dec 30-Dec 30-Dec 30-Dec
406 407
408
Higftly Confidential
23-Dec
23-Dec 23-Dec
23-Dec
23-Dec
30-Dec
McCarty Associates {AKA Kissinger McCarty Assoaates) Stra#e is Insi ht MainstarSoftware ILOG Ava a Inc. Rockefeller Center M rM Ca Rockefeller Center M mt Co
$20,000,00 $6,091.53 $1,200.00 $515.00 $242.66 $6,000.00 $30 176.00 $1 ,234,148.68 $18 , 349.13 $63,733.67 $16,716.53 $68,684.47 $28,743.75
$ 97,466.89 $147 ,081.63 $112 695.00 $60,072.44 $377,418.42 $47,143,13 $45,652.17 $70,443.75 $21,000.00 $42,729.02 $759,781.65 $463,908.90 $1,048,166.62
BCI^EX 00077283
424
A 30-Qec
B Cushman $ Wakefield
425 426 427 428 429 430 431 432 433 434 435 436 437
30-Dec 31 -Dec 31 -Dec 31 -Dec 31 -Dec 31-Dec 31-Dec 31 -Dec 2-Jan 5-Jan 5-Jan fi^lan
Merrill Communications Thomson Reuters MCAFEE Inc Admii One A rture Technol ies fntex Solutions Premiere Global Service Total Fire Protection NYSE - Wombat Precision En ravin Com an Mood 's Fimat now Newed a Forest! Cam ass Grou
438
7-Jan
CGI North America
439 440
$-Jan 9-Jan 9-Jan 9^3an 12-Jan 12^1an 13-Jan 13-Jan 13-Jan 13-Jan 13-Jan 13-,]an 14-Jan 14-Jan
441
442 443 444 445 446 447 448 449 450 451 452 453 454 455 456 457 458 459
Highly Confidential
2ti3an
14Jan
i4-Jan 15-Jan 15-Jan 15-Jan 15tilan 15-Jan
CENTER FOR RESEARCH IN SECURITY PRICES t]resdner Kleinwort Services LLC PG
C $285,712.60
$74,692.24 $8,048,{305.21 $48,000.OD $15,620.00 $66, 243.70
$147,496.00 $1,665.28 $2,745.80 $154,900.00 $50, 028.62 $2,55D,000.Op $2,889,435.44 $18,578.56 $2fi6,558.80 $2,500.00
$35,821.24
IBM Co oration
$i 16 089.84
Qualit Technolo Services Lexis Nexis Canaccord Adams ei Fix Me ermarkei JEFFERIES & COMPANY, INC_ Chita o Sfock Exchan a Midwest Transaction Fees Reuters rokera a SCS Ene iMS Heaiih Jasna Pofana Riviera Courti Club Frank Russell Com an Factiva Private Raise! Dea[flow Media Inc . RCN New York Communications LLC RR Donnelle Arcot S ems
$19,505.8D $273,446.74 $25,D00A0 $286 875.pp $13,275.94 $61 ,609.00 $90,687.92 $435,351.46 $34,214.50 $22,250.OD $2,599.60 $10,090.38 $246,635.DD $211,D76.D0 $2p,ppp.Op $150 628.41 $150,OD0.00 $1 i8,0pp.Op
BCI-EX-D0077'284
A
460 461 462 463 464 465 466 467 468 469 470 471 472 473 474 475
27-Jan 27-Jan 27-Jan 27-Jan 27-Jan 27-Jan 27tilan 27tilan 27-Jan 3D-Jan 30-Jan 3-Feb _ 5-Feb 5-Feb
476
9-Feb
477 478
i6^lan i6^an
17-Feb
479
18-Feb 19-Feb
480 481 482 483 484 485 486 487 488 489 49D 491 492 493 434 495
2Q-Feb 19-Feb 19-Feb 3-Mar 3-Mar 3-Mar 3-Mar 3-Mar 3-Mar 3-Mar 3-Mar 3-Mar 3-Mar 4-Mar 25-Mar 25-Mar
Highly Confidential
B
Duetche Boarse FINRA-ACT Man Ca ital Scotts Flowers Price Waterhouse Cvc ers Blvambe C eillance Ramse Quantitative S stems , Inc. Lewtan Clearco Blaombe Translux Interactive Data Ca Dimension data WebE^x Wall Street on Demand InvestorToois Enc. OC Tanner Mark Mon [tor MSCI Barra
Ali n Communications MCI Verizon - Sonet Deale is WaA Sireef Source Hots of Bank of America Securities Totan Ca ita[ Whittaker & Gamier, Inc. dlb/a Pertrac FinanciaE Solu#ions IKON Financial Services M&M Technvlo 9es MuM Sentinel Gfow QTS verizon -wireless! Celiw Partnershi S rint TuElett Prebom
G
$188,829.19 $879,198.95 $132,002.38 $9 0,579.11 $75,DD0.DD $7fl4,770.52 $95,000.00 $85 292.50 $57,709.69 $10,113.00 $10 ,907,678.47 $3,398.79 $599,7fl0.95 $i 39,762.50 $78,575.00 $i 3D,OOD.00 $10,156.00
$118,196.65 $37,742.50 $267,537.64
$30,800.00 $1,524,819.70 $39 6,264.25 $274,733.84 $9,591.04 $87,753.17 $3,500.00 $350,078.89 $39,467.00 $246,918.52 $33,750.00 $11 ,000.00 $21,924.60 $475,39 4.95 $655,329.95 $4,013,074.03
BCI-EX-00077285
A
B
496
3D-Mar
Standard & Poar's
497 498 499 500 501 5D2 503 504 505 506 507
6-A r 10-Apr 13-A r 23 A r 29-A r i 1-Ma 12-May 20-Ma 29-Ma 29-May 30-May 1^lun 10^1un 7otaE
HWA 555 Owners LLCI Lehman Brother Inc. Level3 -ICG Interactive Data Co NYSE Blaombe Finance LP LAVA IBM Co oration Constellation Place, LLC BT Americas Radianz Credit Suisse Factiva Cisco
508
509 5i D
Highly Confidential
C $1,691 ,018,34 $1,200,000.00
^
$10,798.34 $21,457.30 $478,499.83 $16 835.97 $296,431.00 $124,568.23 $49,206.61 $1,020,131.78 $404,656.00 $7,045.44 $33,867.18 $14,855,575.00 $238 200 978.91
BCI-^X-0077286
APPENDIX VOLUME III TO MOTION OF OFFICIAL COMMITTEE OF UNSECURED CREDITORS OF LEHMAN BROTHERS HOLDINGS INC., ET AL., PURSUANT TO 11 U.S.C. § 105(a), FED. R. CIV. P. 60(b), AND FED. R. BANKR. P. 9024, FOR RELIEF FROM ORDER UNDER 11 U.S.C. §§ 105(a), 363, AND 365 AND FEDERAL RULES OF BANKRUPTCY PROCEDURE 2002, 6004 AND 6006 AUTHORIZING AND APPROVING (A) SALE OF PURCHASED ASSETS FREE AND CLEAR OF LIENS AND OTHER INTERESTS AND (B) ASSUMPTION AND ASSIGNMENT OF EXECUTORY CONTRACTS AND UNEXPIRED LEASES, DATED SEPTEMBER 20, 2008 (AND RELATED SIPA SALE ORDER) AND JOINDER IN DEBTORS' AND SIPA TRUSTEES MOTIONS FOR AN ORDER UNDER RULE 60(b) TO MODIFY SALE ORDER
03690.61377/3102555.1
EXHIBIT No. 45 46 47 48 49 50 51 52 53 54
DESCRIPTION 9/21/08 email from Forrest to Lowitt 9/19/08 email from Lowitt to McDade Valuation Spreadsheet 9/20/08 email sent at 11:13 p.m. 9/19/08 email from Trevelyan to Clackson July 16, 2009 Letter from Barclays counsel covering a spreadsheet of “aggregate cure payments” labeled BCI-EX00077272-286. 9/15/08 email from Aprigliano to Tonucci and Azeraz 9/19/08 Notice of Termination Barclays PLC Results Announcement Figures 2008 Spreadsheet of 2008 Bonuses
03690.61377/3102555.1
575 LEXINGTON AVENUE • 7TH FLOOR • NEW YORK, NY 10022 PH. 212.446.2300 • FAX 212.446.2350
July 16, 2009
BY EMAIL Robert W. Gaffey Jones Day 222 East 41st Street New York, NY 10017-6702
I'n re ^.ehman Brothers Haldin rnc. et al. Case No. 08-13555 JMP
Dear Bob: As part of Barclays' ongoing production of documents, enclosed are the documents we discussed concerning information showing aggregate bonus and severance compensation amounts for Transferred Employees and aggregate cure payzrzents . Please no#e that the cure payment information is current as of July 14, 2009, and that a number of cure cost objections remain outstanding . These documents, Bates numbered BCI-EX00077272 through BCI-EX-00077286 and BCI-EX-00077287, are designated as Highly Confidential under the July 14, 2009 Confidentiality Stipulation and Protective Order. Very truly yours,
Ja
G. Stern
JGS:ck cc:
James Tecce, Quinn Emanuel Counsel to the Creditors' Committee (By Email, with Enclosure} James B. Kobak, Jr., Hughes Hubbard & Reed Counsel to the LBI Trustee (By Email, with Enclosure) Robert L. Byman, Jenncr & Block Counsel to the Examiner (By Email, with Enclosure)
www,esF^.^P.con^
A t
Date Submitted for Pa men#
2 3 4 5 8 7 8 9
10 i9 12 13 14 15 16 17 18 19 2D 21 22 23 24 25 2ti
27 28 29 30 31 32 33 34 35
Highly Confidential
22-Sep 22-Sep 23-Sep 23-Se 23-Sep 23-Sep 23-Se 23-Se 25-Se 25-Sep 25-Se 27-Se 27-Sep 30-Se 30-yep 30-Sep 30-Se 2-Oct 3-Oct 3-Oct
B
C
Vendor Name
Actuat Amount of Pa meat
Rolfe & Nolan Pais stems Con Edison HESS Ca oration Environmental Contracting Corp. Rockefeller Center Mgmt Tishman 5 e er Deveto ment, LLC Tishman Speyer Deveto meat, LLC NYSE ARCA LLC BATS Tradin Tradin Screen Ridge Technaio ies Inc. Beeline.com Inc Roctcefel[er Center M mt Fox River Execution Technology LLC Direct edge Investment Technology Group Inc` Tzero Processi services Vigilant LLC Tibco Software Inc
3-Oct
Swa s Monitor
3-Oct 3-Oct 3-Oct 3-Oct 3-Oct 3-Oct 3-OcE 3-Ocf 4-C]ct 4-Oct 4-Oct 4-0ct 4Oc#
Nansco Inc M&M technologies Corp Key Systems eClerx services Amited Dell Marketing LP cortese consulting Advanced Innovative Marketing LLC Cushman & Wakefield Alternative Business Accomodaiions, Inc Altova ^ Decision Design Co t=xe Inc Headstrong Services, LLC
$524,009.73 $945,130.50 $329,005.71 $671,897.03 $393,000.00 $390,377.08 $3,458,645.00 $567,816.63 $3,845,213.91 $6,698,055.32 $531,940.00 $19,837.00 $8,235,918.75 $95,583.90 $308,719.72 $994,235.74 $1,139,838.15 $122,620.90 $40,000.00 $1,637,797.28 $84,992.09
$70,000.00 $707,590.00 $240,300.00 $561,340.33 $173,925.58 $126,000.00 $38,772.88 $2,081,170.92 $1,198,378.30 $111,942.50 $17,875.00 $214,943.82 $645,900A0
BCI-FJC 00477272
A 36
4-0ct
37 38 39 40 41 42 43 44 45 46 47 48 49 50 51 52 53 54 55 56 57 58 59 60 61 62
4-0d 4-Od 4-Oct
63
64 65 66 67 68 69 70 7i
Highly Confidentiai
4-Od
4-Oct 4-Od 7-Oct 9-Oct 9-Od 9-0ct 9-OcE 9-0d
9-0d 9-Oct 9-OcE 9-Od
9-Od 9-Oct 9-Oct 9-Oct 9-Od
9-Oct 9-Od 9-Od 70-^OcE i4-0cf 14-0ct 94Od 14-0ct 14-Od 95-Oct 15-Oct 95-Od 15-Oct 15-Od
i3 Joint Technology Development Corp.
Market Research.cam Profound Ramsey Quantitative Systems fnc Si era Systems Inc. TNT t?xpense Management LLC Trade Dafa""
Tishman Speyer Development, LLC Tradebot Systems inc. Chancellor Dau all Daktronics Restaurant Associates Mirror Imo a fnternet fnc. Michael Andrews Audio ^sua[ Services Inc Murex North America PTS Consuitin Jed ConsulEin
X heria LLc Rational Ente rises LLC /Rational Consultin UST Global Inc Eurest
Bloom Securities LLC Thomas Weisel Partners LLC order Execution Services LLC Inde endent Brokers LLC NY Giants WA LLC Thru Point Inc. Plus One FloEdin s, Inc. CMS Lo istics, LLC Executive Trans ortation Grou UTC Associates Vdeo Co ration ofAmerica Co orate Trans oration Grou Ltd CTG 1=airmont Hotel San Francisco Loews Miami Beacit Hote! Decision Economics Inc.
C $1,362,391.43
$287,326.55 $14,220.00 $^q^877,80 $739,118.77 $118,429.52 $351,236.24 $51,339.87 $20 016.78 $149,557.50 $293,118.00 $4,000.00 $304, 89 0.12 $130,487.96 $984,632.61 $60,000.00 $302,500.00 $59 000.00 $365,698.43 $91,195.61 $1,464.00 $134,130.30 $125,648.17 $118,279.50 $360,000A0 $18,466.95 $77,350.00 $104,749.14 $30,880.00 $763,961.00 $109,650.00 $284,232.50 $207,345A0 $10 000.00 $189,621.91 $23,077.00
BCI-EX-00077273
A 72
73 74 75 76 77 76 79 80 81 82 83 84 85 86
87 88 89 90 91
92 93 94 95
96 97 98 99 100 101 102 103 104 i05 106 i07
Highly Confidential
B
C
15-Oct 15-Oct
Fi a Time Worldwide Larsen & Taubra Infotech Limited
$11,451.05 $1,483 030.60
15-Oct 15-0d 15^Oct 15-Oct 15-Oct 15-Oct 15-0cf 15-Ocf i5-Oct i5-Oct 15-Oct 15-0ct 15-0d
Actuate Co Ente rise En ineerin Inc. Ali n Communications Infinite Com afar Solu#ions inc. TelecommunicationsS stems Inc. Forest Electric F_ssentiat Tradin S stems Co ore#ian tJMT Consultin Grou LLC Iris Software, Inc Broadrid a Securities Processin Solutions CLS Bank International eBX LLC / Alternative Tradin S ems
$468,000.00 $42,000.00 $793,330.00 $74,958.00 $111,003.75 $79,575.92 $78,452.18 $129,800.00 $418,787.75 $5,820,609.87 $344,998.57 $377,405.90
Access Data Cor . Polaris Software Lab
$153,850.00 $1,032,591.00
15-Oct
15-Oct 15-Oct 15-Oc# 15-Oct i 5-Oct 15-Oct
20-Oct 20-Oct 20-Qct 20-Oct 20-Oct
20-Oct 20-Oct 20-Oct 20-Oct 20-Oct 20-Oct 20-Oct 20-Oct
Reai Soft, inc. SecureWorks, inc. a.k.a LLiRHQ Tradin Technolo ies Intemalionaf, Enc. Tri le Poin# Tecltnofa ,Inc. Westwater Ca _ Verrazana Consultin Solutions LLC HiEton New Yar1c Restaurant Associates, one financial center, Boston
Ale h Cv nizant Technoto Solutions l.lS Cv orations Worid Careers Neiworlc ^edak Cvr Infusion i]ev Cv ration FM Brokers a LLC 20-Oct Jefferies F.^cecution Services LLC MEB O lions Inc Lakeshore Securities, LP Li aid Point LLC Entemational Securities Exchan a Keane Inc
$30,960.00 $24,242.32 $56,355.00 $555 581.47 $85,167.00 $111 650.00
$237,019.53 $4,631.09
$11,114.00 $241,292.00 $123,540.00 $98,000.00 $288,500A0 $69,524.80 $212.00 $338,803.92 $106,332.65 $726,540.77 $1,816,207.x9 $127,830.00
BCI-EX 00077274
A
B
C
908
20-Oct
(Tech US Enc
$19,900.00
909 710 111 112 113 114 115 116 117
20-Od 20-Od 20-Od 20-Od
Seled Minds Inc New Media Technol ies, Inc Gotham Technol Grou A i[s s NJ, ]nc ECAS ca Gre are Automation Produds Ente rise Solutions roviders Mastow Media Grou Pebble Beach com an
$68,250.00 $48,720.00 $526,511.08 $625,695.36 $453,838.34 $20,460.00 $144,000.00 $4,009.75 $5,000.00
118
119 120 121 122 123 124
20-0d
20-Oct 20-Oct 20-Od 20-Od 20-Od 20-Oct 29-Oct 21-Oct 21-Oct 21-Od
21-Oct
125
21-0d
126 127 128 129 930 131 132 133 134 135 136 137 738 '139 140 147 942
21-Oct 21-0d 29-Oct 21-Oct 21-Od 27-0d
Highly COn^d^ntial
29-0d 27-Od
27-Oct 22-Oct 22-0d 22-Oct 22-0d 22-Od 22-Oct 22-Oct 22-Od
T&M Protedion Resources
$1,228,969.93
Strudure Tone Gensler Archifedure, Design & Planning , P.G. / Gensler & Associates! M. ArlhurGenslerJr. & Associates, Inc. Secure Access Di ital S stems Pidelit Ca ital Markets Services Mar9cit Partners) LOANX Boston O Lions Excha a Grou , LLC BIDS Tradin L.P_ Pi cline Tradin Wizcom Ca oration VS Information S stems Inc. SGP Intemaflonaf Global Research Distribution Cha e & Ride Pa reel Crown Plaza New Meadowlands Stadium Com an AV Services An elPoints, ]nc. Wi ro Limited/ Wi ro Inc. SOS Securi into orated Collins Buildin Services C[une Construdion Com an Hanover Movin & Story a Restaurant Associates
$9,630,088.50 $222,534.40 $14,609.84 $70,750.53 $7,500.00 $178,584.45 $57,848.20
512,595.85 $190,750.00 $369,242.62 $127,440.00 $558,296.69 $41,233.26 $122,305.86 $88,958.75 $401,500.00 $328,665.08 $45,547A0 $2,352, 906.10 $436,295.39 $1,239,145.15 $247,784.00 $429,373.37 $5,766.02
BCI-E?C-0fl077275
A 143
22-Oct
144 145 i46 147 148 149 950 951 952 753 954 i55 156 157 158 159 160 161 162 163 164 165 166 167 168 169 170 17i 172 173 174 775 178 177 178
22-Oct 22-Oct 22-Oct 22-Oct 23-Oct
Highly Confidential
23-Oct
23-Oct 23-Oct 23-Oct 23-Oct 23-Oct 24-Oct 28-Oct 28-Oct 28-Oct 28-Oct 28-Oct 28-Oct 26-Oct 28-Oct 2&Oct 28-OCt
28-Oct 28-Oct 28-Oct 28-Oct 28-Oct 28-Oct 28-Oct 28-Oct 28-Oct 28-Oct 29-Oct 29-Oct 29-Oct
B AI ha Offce ProductsJSta les DiscaverRead
Advanced Technolo ies Su a[t Grou Inc. MBG f=x ense Mana ement LLC IM2 Consultin Xca erlndustries LLC Maze Com uter Communications Trade Settlement inc. [^orthru Grumman Information Technolo ,Inc. WCL Americas, inc and WCL Technolo ies, Ltd. Gartner !nc and Com uter Financial Consultants, Inc. Mi s IQ LLC AFD Contract Furniture Inc. AdiEi Technolo ies Private Lid. Assentis Tectmoio ies, Inc. Bearin Point, Inc. CRD Ca ital Financial Software S stems lnfomta Investment Solutions Q2 Strata ies Ritz Canton - Central Fark South Standard Re inter Strafe is 5 stems Solutions Summit S stems, Inc. The Strucfure Consultin Grou Williams Lea D&D Securities Tullet Libert Securities Total taow Collins Stewart Charles River Broken a Case Securities LinkBrokers Derivatives Co SunGard Securities Finance LLC E uinax Associated O tions , Inc. Eze Castle Transaction Services Whitaker Securities
C $753,573.67
$ 2,199,638.38 $3,000.00 $29,420.00 $165,000.00 $49,946.38 $19,037.50 $76,404.37 $115,796.71 $741,740.00 $956,070.00 $40'!,377.62 $240,427.27 $67,500.00 $93,336.33 $232,080.00 $88,500.00 $31,500.00 $341,750.00 $60,000.00 $7,145.65 $1 ,070 637.05 $65,022.00 $596,772.50 $194,947.40 $1 , 083,576.36 $132,424.85 $715,809.50 $i 04,222.73 $353,468.40 $400,521.00 $1,518,819.83 $354,853.00 $212,290.20 $317,447.78 $8,557.25
BCI-F.JC^-OD077276
179 180 181 182 183 184 185 186 187 188 189 190 191 192
A 29-0ct
8
C
31 -Oct 31 -0ct 31-Oct 3-Nov 3-Nov
NEOVEST Wolverine Execution Services, LLG Marie D. I'iichtel PFPC Trust Co .lams Baum & Bolles JBB Cli book AVI 1 SPL Sheraton New Yank Mote! & Towers Intercontinental Boston ante ron Donald B. Bialkie & Co *" Donald B. Blalkie & Co. Reliance Globalcom Services , Inc. IPi=S M&M Sentinel Glow Inn.
$13 ,701.54 $20,071.80 $120,750.00 $38,702.56 $134,320.30 $84,565.87 $54,520.27 $637 ,905.27 $133 ,704.24 $632,576.00 $1,140.00 $234.00 $193,289.71 $45,000.00
193 194
3-Nov 3-Nov
Sat am Cam uter Services Ltd. Transaction Network Services , fnc.
$389,823,00 $438 946.15
195 196 197
3-Nov 3-Nov 3-Nov
SAS institute, lnc. Success Factors EMC Co orationlBrrsiness Ed a Solutions
998
3-Nov
Sun Micros stems
199 200
3-Nov 3-Nov
201
3-Nov
202 203
3-Nov 3-Nov
CDW Direct LLC Care Intemationai IiTOG 2- Wa Radio Inc Restaurant Associate , Chica a Robert Detector Associates RDA
204
4-Nov
The Markets .Com
205 206 207 208 209 210 211 212 213 294
4-Nov 4-Nov 4-Nov 4-Nov 5-Nov 5-Nov 5-Nov 10-Nov 10-1Vov i0-Nov
Highly Confidential
29-Oct 30-0ct 30-Oct 30-OCt 30-Oct
31 -0ct 31-Oct 31 -OCt
Ca ital Movin & Stora a Rockefeller Genter M mt Co Rockefeller Center M mt Co Ca emini Financial Services LISA, Inc. Greenwich Associates Atlas Van Lines/Nelson westerbe Hene an Construction co„ Inc TRX Data Services Sawis Communications S iral Bindin Com an , fnc.
$327,712.86 $240 ,208.27 $1,053,047.77 $40,735.94
$3,539,968.18 $86,669.00 $64,665.84
$12,051.28 $313,976.19 $147,612.17
$36,144.59 $719,560.18 $2,420,220.34 $1,347,938.00 $795 040,00 $227,992.02 $3,281,172.49 $26,799.00 $364,383.73 $396 ,286.41
BGI-BX-00077277
A 215 216
10-Nov 10-Nov
217 218 219 220 227 222 223 224 225 226 227 228 229 230 231 232 233 234 235 236 237 238 239 240 249 242 243 244 245 248 247 248 249 250
10-Nov 12-Nov 12-Nav 92-Nov i2-Nov i2-Nov i2-Nov 12-Nov 12-Nov 14-Nav 14Nov 14Nov 94-Nov 14-Nav 94-Nov 94Nov 14Nov 14-Nov 14-Nov 17-Nvv 97-Nov 17-Nov 17-Nov i7-Nav 18-Nov 18-Nov 19-Nov 99-Nov 99-Nav 20-Nov 20-Nov 20-Nov 20-Nov 21-Nov
Highly Canfidentiaf
B Cla on Fixed Income Services , Inc. BGC Financia l Cushman & Wakefield of CA Lason Factset Research S stems iron Mountain Inca orated [rttralinks Inc. International Data Co Co rate Trans oration Grou CMS Innovative Consultants Creative Technole Intercall 5martsource/ Rent a PC Kenneth Heirtze Charles B. Strauss IBM Intechra LLC Informatics Co oration Essential Tradln S stems Co oration Quench of New.ferse Federal I?x Tess Deutsche Bank Securities inc. Huron Consulfin Grou Horan Investment Co .zi The Lirtdse Grou Pitrte Bowes
Institutionallnvestor Phoenix Partners NPD Irttelect Inc. NeW ,Inc Bri ht Horizons Children's Centers LLC .Ease h McMurra / Re Holds channel co Michael Sta leton Associates PEI S stems, Inc. StreetAccount Tradeweb homsan Finance
C $478,gp1,7g $5,074, 27 3.08
$24,976.59 $24,481.69 $7,139 ,827.97 $1,308,416.68 $77Q400.00 $531,455.82 $99,843.79 $178,700.66 $4,101.95 $123,199.12 $24,070.09 $48,000.00 $50,532.46 $9,037,072.59 $34,846.'13 $169,840.00 $3,D34.57 $5,274.02 $74,223.56 $804,268.OS $54,009.95 $8,773.40 $250 000.00 $359,526.08 $117,776.25 $402,027.50 $134,387.72 $300,377.64 $96,620.60 $15,498.00 $ 9 33,599.80 $706,9 04.88 $54,588.00 $84D,673.85
BCI-^X-0077278
251
A 21 -Nov
252 253 254 255 256 257 258 259 260 261 262 263 264 265 266 267 268 269 270 271
21 -Nov 23-Oct 23-Oct 24-Nov 24-Nov 24Nov 24-Nov 24Nov 24-Nov 24-Nov 24-Nov 26-Nov 26-Nov 26-Nov 26-Nov 26-Nov 26-Nov 1 -Dec 1-Oec 1-Dec
272
1 -Dec
273 274 275 276 277 278 279 280 281 282 283 284 265 288
9 -Dec 1-Dec 1-Dec 2-Dec 2-Dec 2-Dec 2-Dec 4-Dec 4-Dec 4-Dec 4Dec 4-Dec 4-Dec 4-Dec
Highly Confidential
B
CMA Quotevision Ted Moudfs Associates Swiss Pack SeamlessWeb SumTotal S stems IRC. Tata Americas International Co oration Cushman & Wakefeld T"^shman S e er FIX FLYER CBOE TJM Com fiance Data Center A.C. Nielsen Oun & Bradstreet
CHEEVERS 8^ CO INC ABS 13ROKEFZ,4GE S1=RVICES, LLC MCNAMARA TRADING COMPANY OROWST TRADING, LLC Man Securities Now MF GLOSAL SECURITIES, INC. American Stock Exchan e - Standarc! Billie CB Richard Ellis Dow Jones & Com an , Inc. Hamilton ICE MarketAxess Credit Tex Hi Kline Data NYFIX, Inc NYFIX Millennium O ions Price Re rtin Authori Gerson Lehman Grou Inc. James Mints Grow Abovenet Communicaitons Inc Chita o Mercantile Exchan a ACL Services Ltd. Relational Securit Co oration
C $143,684.69
$185,533.27 $155,976.25 $252,263.97 $351,563.45 $1,820,259.85 $266,856.09 $9,328.57 $3 700.DD $470,375,56 $3D,315.75
$73,935.15 $162 881.78 $171,556.95 $40,300.56 $122,240.62 $46,651.91 $578,824.37 $41 ,947.30 $544,916.06 $33,549.00 $11D,50D.00
$45,099.90 $24D,920.00 $554,979.60 $1,449,592.D0 $35,ODD.00 $449,442.97 $62, 184.40 $107,345.88 $255 000.00 $4,335.00 $59,920.00 $237,D64.98 $18,493.11 $27,440.00
BCI-EX-00077279
S
A
287 288 289 290 291 292 293 294 295 296 297 298 299 300 301
4-Dec 5-Dec 8-Dec 8-Dec 8-Dec 8-Dec 8-Dec 8-Dec 8-Dec 8-Dec 8-Dec 8-Dec 8-Dec 8-Dec 11-Dec
302
11-Dec
Ara on Constnrction ENLAGF INT S.A. DE C.V.
303 304 306 307 308
11 -Dec 71-Dec 77-Dec 11 -Dec 11-Dec 10-Dec
Enstinet Su uehanna VYAPAR CAPITAt_ MARICE7 PARTNERS 5#erlin Commerce lnc. AECSnft USA, ]nc . Intuit
305
GL Trade. Inc. Eastrich No. 167 Cc oration P is Solufions LLC Tan oe Inc. IVG Ene Ltd NYSE Transaction Inc. ICAP Charles River Develo ment Choice Natural Gas FX Alliance LLC Remate Electronico , s.a. de c.v Em ire Office Mi[rose consultants DPR Construction
309
12-Dec
NYSE Market Inc
310 311
12-Dec 12-Dec
Toronto 5taek Exchan a PTR inc. Total
312
15-Dec
United Parce[ Service
313 314 315 316 317 318 319 320 321 322
15-Dec ^ 5-Dec '! 5-Dec 16-Dec 16-Dec 7&Dec
ADP, inc 1301 Pro rties Owner LP Business Int ration Grou AVM/II! BAXTER FX CARL ICLIEM Cha Blaine Evolctian FLEXTRADE G.A. Davies & Co. #1& #2
Highly Confidential
i6-Dec
16-Dec 16-Dec 16-pec
C
$289 ,859.35 $2,445.29 $49,054.31 $97,500.00 $65,143.00 $84 509.89 $6,648,402.50 $76,034.84 $53,089.76 $318,216.30 $3,074.94 $91,397.19 $66 170.00 $27,466.00 $80,193.50 $180,011.13
$ 135,764.67 $1,800,418.28 $75,300.38 $70,027.23 $39,000.00 $30,000.00 $2,339, 176.15
$297,355.67 $35,303.00 $99,294.73
$7,009.82 $1,006,986.07 $59,464.70 $95,625.00 $104,935.40 $5,591.63
$17,566.00 $13,169.57 $211,2&0.06 $7,920.76
f3C!-EX 00fl7728fl
323
324 325 326 327 328 329 330 339 332 333 334 335 336 337 338 339 340 341 342 343 344 345 346 347 348 349 350 359 352 353 354 355 356 357 358
Highly ConfidelZtiai
A l8-Dec 16-Dec 18-Dec
16-Dec 16-Dec 16-Dec i6-Dee 16-Dec 16-Dec 16-Dec 16-Dec 16-Dec
16-Dec 16-Dec 16-Dec 22-Dec 22-Dec 22-Dec 22-Dec 22-Dec 22-Dec 22Dec 22-Dec 22-Dec 22-Dec 22-Dec 22-Dec 22-Dec 22-Dec 22-Dec 22-Dec 22-Dec 22-Dec 22-Dec 22-Dec 22-Dec
e GAO tionsl GA Global Mariceis
1LS BROKE=RS LTD. Landrtark LCMC Libucki Li uidi PaRners ME3S Ene Mu h & Durieu Nava Commodities NYMEX All COMEX & NYMEX Activit Powemext S of Fees Raftert Sunrise S ntex
E3ourse de Montreal Tradition Trio tuna - Credifs CME Washin ton 5 akers Bureau FTSE Global Caal Oceanus Parit Ene PMGf Power Merchant Grau PORTWARE LLC Tok a FORF^C & E.JEDA Harlow Ltd. Frictionless Commerce Intema tVelwork Service Co Forti Software Inc. IPC Inforrrtation S ems DataCert , lnc. Global Insi h# Ene Intell' ence rou Ciena Communications First Derivatives PLC AT&T
C $24,515.00
$48, 816.00 $15,'198.50 $35,670.00 $10,418.93 $2,100.00 $28,227.50 $74,141.25 $5,600.00 $1,527,695.48 $28,244.60 $70,987.38 $283,436.00 $3,675.DD $19,739.31 $5,580,368.98 $372,865.00 $156,994.26 $55,OpD.OD $74,800.00 $14,100.00 $9,055.D2 $700.00 $14,875.D0 $54,000.00 $319, 080.60 $48,788.75 $179,775.77 $202,932.08
$3,221,477.6p $33,p25.Op $54,782.31 $4,246.08 $436,703.40 $137,D00.00
$1 ,660,628.71
BCi-EX 00077289
A
B
359 360
22-Dec 22-Dec
4Connect[ons/ O timum Li ht Path CURRENEX
361 362 363 364 365 366 367 368 369 370 371 372 373 374 375 376 377
22-Dec 22-Dec 22-Dec 22-Dec 22-Dec 22- Dec 22-Dec 22-Dec 22-Dec 22-Dec 22-Dec 22-Dec 22-Dec 22-DBC 22-Dec 22-Dec 22-Dec
EXANE SA FX Connect [-Deal LLC LEK SECURITIES CORP VSNL ATA Communications 1 Fraser st ker law firm Micropesi n Services/ SS&C Technolo ies NJ Cin ular Wireless TalkPoint Ho[din s Res onsive Data Solutions FAX F^CPI2ESS TIME WARNER JABBER ING. ANIXTER INC. MERENER NICOLAS NASTEt TEGHNOLOGIES INC. NETSCOUT SYSTi=MS !NC BT[G
378
22-Dec
GF[
379 380 381 382 383 384 385 386 387 388 389 390 399 392 393 394
22-Dec 22-Dec 22-Dec 22-Dec 22-Dec 22-Dec 22-Dec 22-Dec 22-Dec 22-Dec 22-Dec 22-Dec 22-Dec 22-Dec 22-Dec 22-Dec
HiIE Farber OceanConnect Broker SSY WEST POINT DERIVATIVES LTD Clune Construction Com an Prenax, Inc. Gin a Sin Petroleum Link Crude NASDAQ STOCK MARKET PHOENIX Partners London PVM Oil S ctron Information Builders Inc ACRON[ S, ING STARCITE INC GREENL[NE FINANCIAL TECHNOLOGIES INC
Highly Confiden#ial
C $46 ,010.00 $257,513.00
$175,183.00 $97,927.00 $398,545.26 $20,434.40 $326,026.23 $23,582.80 $1 , 139,464.95 $70,225.00 $52,431.80 $1,022.53 $7,131.89 $33,719.57 $6,572.87 $10,4D0.00 $52,428.14 $23,419.82 $124,884.00 $3,509,688.41
$366 ,0?7.51 $5,050.00 $20,104.71 $84,951.00 $152,276.00 $222,556.39 $2,000.00 $5,090.00 $1,080,698.62 $14,810.65 $2,920.00 $177,018.00 $270,036.49
$i 25,357.00 $90,000.00 $65,000.00
BCi-EX 00077282
335
396 397 398 399 400 401 402 403 404 405
A 22-Dec
22-Dec 22-Dec 22-Dec 22-Dec 22-Dec 22-Dec 23-Dec 23-Dec
8 United States Gvlf AssoGation
C $57,500.00
23-Dec
POWERLYFIX, LLC tANCOPE INC SCHOLES ELECTRIC & COMMUNICATION EXCEL MEDIA SYSTEM INC CITY NETWORKS INC Edgar William O'Neil! Hewlett Packard Bell South AKF lrn ineers (SurtGard) Wall Street Conce is LLC SunGard Reference Data Solutions , fnc. (SunGard) Automated Securities Clearance LLC Prate ent
$498,359.20
409
23-Dec
(SunGard) Automated Securities Clearance LLC Brass
23-Dec 23-Dec 23-Dec 23-Dec 23-Dec
(SunGard) MicroHed a LLC Sun and Investment S stems LLG SunGard Institutional Brokers e , lnc 5unGard Availabilit Services LP SP 190 South LaSalle, L.P. Advanta a Human Resaurcin Advanta a Data
$35,908.63
410 411 412 413 414 415 416 417 418 419 420 421 422 423
30-Dec 30-Dec 30-Dec 30-Dec 30-Dec 30-Dec 30-Dec
406 407
408
Higftly Confidential
23-Dec
23-Dec 23-Dec
23-Dec
23-Dec
30-Dec
McCarty Associates {AKA Kissinger McCarty Assoaates) Stra#e is Insi ht MainstarSoftware ILOG Ava a Inc. Rockefeller Center M rM Ca Rockefeller Center M mt Co
$20,000,00 $6,091.53 $1,200.00 $515.00 $242.66 $6,000.00 $30 176.00 $1 ,234,148.68 $18 , 349.13 $63,733.67 $16,716.53 $68,684.47 $28,743.75
$ 97,466.89 $147 ,081.63 $112 695.00 $60,072.44 $377,418.42 $47,143,13 $45,652.17 $70,443.75 $21,000.00 $42,729.02 $759,781.65 $463,908.90 $1,048,166.62
BCI^EX 00077283
424
A 30-Qec
B Cushman $ Wakefield
425 426 427 428 429 430 431 432 433 434 435 436 437
30-Dec 31 -Dec 31 -Dec 31 -Dec 31 -Dec 31-Dec 31-Dec 31 -Dec 2-Jan 5-Jan 5-Jan fi^lan
Merrill Communications Thomson Reuters MCAFEE Inc Admii One A rture Technol ies fntex Solutions Premiere Global Service Total Fire Protection NYSE - Wombat Precision En ravin Com an Mood 's Fimat now Newed a Forest! Cam ass Grou
438
7-Jan
CGI North America
439 440
$-Jan 9-Jan 9-Jan 9^3an 12-Jan 12^1an 13-Jan 13-Jan 13-Jan 13-Jan 13-Jan 13-,]an 14-Jan 14-Jan
441
442 443 444 445 446 447 448 449 450 451 452 453 454 455 456 457 458 459
Highly Confidential
2ti3an
14Jan
i4-Jan 15-Jan 15-Jan 15-Jan 15tilan 15-Jan
CENTER FOR RESEARCH IN SECURITY PRICES t]resdner Kleinwort Services LLC PG
C $285,712.60
$74,692.24 $8,048,{305.21 $48,000.OD $15,620.00 $66, 243.70
$147,496.00 $1,665.28 $2,745.80 $154,900.00 $50, 028.62 $2,55D,000.Op $2,889,435.44 $18,578.56 $2fi6,558.80 $2,500.00
$35,821.24
IBM Co oration
$i 16 089.84
Qualit Technolo Services Lexis Nexis Canaccord Adams ei Fix Me ermarkei JEFFERIES & COMPANY, INC_ Chita o Sfock Exchan a Midwest Transaction Fees Reuters rokera a SCS Ene iMS Heaiih Jasna Pofana Riviera Courti Club Frank Russell Com an Factiva Private Raise! Dea[flow Media Inc . RCN New York Communications LLC RR Donnelle Arcot S ems
$19,505.8D $273,446.74 $25,D00A0 $286 875.pp $13,275.94 $61 ,609.00 $90,687.92 $435,351.46 $34,214.50 $22,250.OD $2,599.60 $10,090.38 $246,635.DD $211,D76.D0 $2p,ppp.Op $150 628.41 $150,OD0.00 $1 i8,0pp.Op
BCI-EX-D0077'284
A
460 461 462 463 464 465 466 467 468 469 470 471 472 473 474 475
27-Jan 27-Jan 27-Jan 27-Jan 27-Jan 27-Jan 27tilan 27tilan 27-Jan 3D-Jan 30-Jan 3-Feb _ 5-Feb 5-Feb
476
9-Feb
477 478
i6^lan i6^an
17-Feb
479
18-Feb 19-Feb
480 481 482 483 484 485 486 487 488 489 49D 491 492 493 434 495
2Q-Feb 19-Feb 19-Feb 3-Mar 3-Mar 3-Mar 3-Mar 3-Mar 3-Mar 3-Mar 3-Mar 3-Mar 3-Mar 4-Mar 25-Mar 25-Mar
Highly Confidential
B
Duetche Boarse FINRA-ACT Man Ca ital Scotts Flowers Price Waterhouse Cvc ers Blvambe C eillance Ramse Quantitative S stems , Inc. Lewtan Clearco Blaombe Translux Interactive Data Ca Dimension data WebE^x Wall Street on Demand InvestorToois Enc. OC Tanner Mark Mon [tor MSCI Barra
Ali n Communications MCI Verizon - Sonet Deale is WaA Sireef Source Hots of Bank of America Securities Totan Ca ita[ Whittaker & Gamier, Inc. dlb/a Pertrac FinanciaE Solu#ions IKON Financial Services M&M Technvlo 9es MuM Sentinel Gfow QTS verizon -wireless! Celiw Partnershi S rint TuElett Prebom
G
$188,829.19 $879,198.95 $132,002.38 $9 0,579.11 $75,DD0.DD $7fl4,770.52 $95,000.00 $85 292.50 $57,709.69 $10,113.00 $10 ,907,678.47 $3,398.79 $599,7fl0.95 $i 39,762.50 $78,575.00 $i 3D,OOD.00 $10,156.00
$118,196.65 $37,742.50 $267,537.64
$30,800.00 $1,524,819.70 $39 6,264.25 $274,733.84 $9,591.04 $87,753.17 $3,500.00 $350,078.89 $39,467.00 $246,918.52 $33,750.00 $11 ,000.00 $21,924.60 $475,39 4.95 $655,329.95 $4,013,074.03
BCI-EX-00077285
A
B
496
3D-Mar
Standard & Poar's
497 498 499 500 501 5D2 503 504 505 506 507
6-A r 10-Apr 13-A r 23 A r 29-A r i 1-Ma 12-May 20-Ma 29-Ma 29-May 30-May 1^lun 10^1un 7otaE
HWA 555 Owners LLCI Lehman Brother Inc. Level3 -ICG Interactive Data Co NYSE Blaombe Finance LP LAVA IBM Co oration Constellation Place, LLC BT Americas Radianz Credit Suisse Factiva Cisco
508
509 5i D
Highly Confidential
C $1,691 ,018,34 $1,200,000.00
^
$10,798.34 $21,457.30 $478,499.83 $16 835.97 $296,431.00 $124,568.23 $49,206.61 $1,020,131.78 $404,656.00 $7,045.44 $33,867.18 $14,855,575.00 $238 200 978.91
BCI-^X-0077286
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