Post on 21-Dec-2018
UNITED STATES BANKRUPTCY COURTSOUTHERN DISTRICT OF NEW YORK------------------------------------------------------------------x
:In re : Chapter 11
:MOTORS LIQUIDATION COMPANY, et al., : Case No. 09-50026 (MG)
f/k/a General Motors Corp., et al. ::
Debtors. : (Jointly Administered):
------------------------------------------------------------------x
AFFIDAVIT OF SERVICE
STATE OF NEW YORK )) ss
COUNTY OF NASSAU )
I, Kimberly Gargan being duly sworn, depose and state:
1. I am a Senior Project Manager with Garden City Group, LLC,1 the claims and noticing
agent for the debtors and debtors-in-possession (the “Debtors”) in the above-captioned
proceeding. Our business address is 1985 Marcus Avenue, Suite 200, Lake Success, New York
11042-1013.
2. On January 20, 2017, at the direction of Gibson Dunn & Crutcher LLP (“Gibson Dunn”),
attorneys for the Motors Liquidation Company GUC Trust, I caused a true and correct copy of
the following document to be served by e-mail on the parties identified on Exhibit A annexed
hereto (Master Service List and Notice of Appearance Parties with e-mail addresses), by first
class mail on the parties identified on Exhibit B annexed hereto (20 largest creditors of
Remediation and Liability Management Company, Inc., 20 largest creditors of Environmental
Corporate Remediation Company, Inc., and Notice of Appearance parties with failed e-mail
1 Please note that The Garden City Group, Inc. is now Garden City Group, LLC.
09-50026-mg Doc 13832 Filed 01/23/17 Entered 01/23/17 21:14:01 Main Document Pg 1 of 95
addresses), and by overnight delivery on the parties identified on Exhibit C annexed hereto
(Office of the United States Trustee and Chambers of the Honorable Martin Glenn):
Notice of Hearing and Motion of Wilmington Trust Company, as GUC TrustAdministrator, for an Order (A) Granting Authority to Reallocate and UseDistributable Cash for the Purposes of Funding Administrative and Reporting Fees,Costs and Expenses of the GUC Trust and (B) Extending the Duration of the GUCTrust (the “Notice of Hearing and Motion”) [Docket No. 13829].
3. On January 20, 2017, at the direction of Gibson Dunn, I caused a true and correct copy of
the Notice of Hearing and Motion to be served by e-mail on the parties identified on Exhibit D
annexed hereto (the Trust Monitor, all holders of Disputed General Unsecured Claims, and all
defendants to the Term Loan Avoidance Action with e-mail addresses), and by first class mail on
the parties identified on Exhibit E annexed hereto (the Trust Monitor, all holders of Disputed
General Unsecured Claims, and all defendants to the Term Loan Avoidance Action).
4. On January 20, 2017, at the direction of Gibson Dunn, I caused a true and correct copy of
the following document to be served by e-mail on DTC at lensnotices@dtcc.com:
Notice to Holders of Motors Liquidation Company GUC Trust Units (CUSIP No.62010U101) [Annexed hereto as Exhibit F].
/s/ Kimberly GarganKimberly Gargan
Sworn to before me this 23rd day ofJanuary, 2017
/s/ Kevin M. DoyleKevin M. DoyleNotary Public, State of New YorkNo. 02DO6173767Qualified in Suffolk CountyCommission Expires September 4, 2019
09-50026-mg Doc 13832 Filed 01/23/17 Entered 01/23/17 21:14:01 Main Document Pg 2 of 95
!"#$ %&&'$(() %&&'$((* %&&'$((+ %&&'$((, -./0 1/"/$ 2#".34.5
%67! 89:; 1<=%911 >%92= ? @2AB
AA;
%<<!C B%!72A >D 8EAB2! %<<F @E= 8=22! >9!< G2BA%62H
7!- <=91<22
E!2 I=F%!< ;%=6 !2G FE=6 !F )JJ+K &LM3&$NO"P.NLQ#5DRM#
%67! 89:; 1<=%911 >%92= ? @2AB
AA;
%<<!C ;>7A7; -D B9IA7! %<<F @E= 8=22! >9!< G2BA%62
7!-DH <=91<22
E!2 I=F%!< ;%=6 !2G FE=6 !F )JJ+K 5&QS3.NO"P.NLQ#5DRM#
%A7T ;%=<!2=1 AA; %<<!C -%==7%!!2 I%1A2= +JJ ! A%1%AA2 1<=22< ->7-%8E 7A KJKU, RS"(3$'O"3.V5"'/N$'(DRM#
%AA%=B ? @71>H ;D-D -E9!12A @E= 12W2=1<%A !E=<>
%:2=7-%H 7!-D
%<<C B2IE=%> AD @71>H 21XD *KJJ I9>A IAB8 U+U 8=71GEAB B2<=E7< :7 ,Y**K &Z.([O"33"'&Z.([5RDRM#
%A;7!2 2A2-<=E!7-1 E@ %:2=7-%H
7!-D
%<<C -F!<>7% GEEB=9@@\!22=H
21XD
)]),U 8=%:2=-F ;A%-2 <E==%!-2 -% ]JUJ)\))K* R^MM&'QZZ\N$$'O"35.N$\Q("DRM#
%=-%B71 9D1DH 7!-D %<<C A721A 1;%!8A2=H %11E-7%<2
-E9!12A
K+J ;A%4% B=7W2H 197<2 )JJ >78>A%!B1 =%!-> -E YJ)*] 23._"S$/[D15"NL3$'O"'R"&.(\Q(DRM#
%=2!< @ET AA; %<<F @E= <EFE<% IE1>E69
%:2=7-%H 7!-D
%<<C :%=F `E%!!2 BEGBH 21XD )JUJ -E!!2-<7-9< %W2!92H !G G%1>7!8<E! B- *JJ+K &M^&D#"'0O"'$N/ZMVDRM#
%=2!< @ET AA; %<<F @E= >%=:%! I2-62=
%9<E:E<7W2 1F1<2:1H 7!-D
%<<C `2@@=2F =E<>A2B2=H 21XD )JUJ -E!!2-<7-9< %W2!92H !G G%1>7!8<E! B- *JJ+K 'M/[3$&$'Da$ZZ'$0O"'$N/ZMVDRM#
%=:1<=E!8 <2%1B%A2H AA; %<<F @E= 1;%=<%! A78>< :2<%A
;=EB9-<1 -E:;%!F 7!-D
%<<C B%W7B AD 8E7!8H 21XD bbJJ @E=1F<> IAWB 1<2 )YJJ 1<D AE971 :E K+)JU\)Y,b &LM.NLO"'#(/'MNL/$"(&"3$DRM#
%=!%AA 8EAB2! 8=28E=F AA; %<<F @E= W2=74E!
-E::9!7-%<7E!1 7!-D
%<<C B%==FA 1D A%BB7! ? @=%!6 !D
G>7<2
)b) )b<> 1<=22<H !GH 197<2 *)JJ %<A%!<% 8% +J+K+\)J+) &"''03D3"&&.NO"LLDRM#c Z'"NPD^[./$O"LLDRM#
%<?< 12=W7-21 7!-D A%G 8=E9; -E9!12A %<<!C `%:21 GD 8=9B91 E!2 %<?< G%FH =EE: +%*)Y I2B:7!1<2= !` Jb]*) aLUbYKO"//DRM#
%<<E=!2F 82!2=%A E@ E>7E %<<C W7-<E=7% BD 8%==FH
%1171<%!< %<<E=!2F 82!2=%A
-EAA2-<7E!1 ? 2!@E=-2:2!< ,,) W7!2 1<=22< )KJJ -%=2G <EG2= -7!-7!!%<7 E> ,U*J* d.R/M'."DL"''0OM[.M"//M'N$0L$N$'"3DLMd
%<<E=!2F 82!2=%A E@ 1<%<2 E@
:7->78%!
%<<F @E= GE=62=1
-E:;2!1%<7E! %82!-F %!B
@9!B1 %B:7!71<=%<7E!
%<<!C :7->%2A %D -ET ? B2!!71
`D =%<2=7!6
A%IE= B7W717E! ;DED IET +Jb+K A%!17!8 :7 ,Y]J] '"/$'.NP&O#.R[.L"NDLMd
%<<E=!2F 82!2=%A E@ 1<%<2 E@
<2T%1
%<<C 67:I2=AF %D G%A1>H %11<D
%<<E=!2F 82!2=%A
I%!6=9;<-F ? -EAA2-<7E!1
B7W717E!
;DED IET )*U,Y %91<7! <T bYb))\*U,Y SP\P^"3([OM"LD(/"/$D/VDQ(
%<<E=!2F 82!2=%A E@ <>2 1<%<2
E@ :7->78%! \ A%IE= B7W717E!
%<<F @E= :7->78%! GE=62=1e
-E:;2!1%<7E! %82!-F
%<<C 191%! ;=426E;\1>%GH
%1171<%!< %<<E=!2F 82!2=%A
;DED IET +Jb+K A%!17!8 :7 ,Y]J] 5'_$PM5(["^(O#.R[.L"NDLMd
%<<E=!2F 82!2=%A E@ <>2 1<%<2
E@ !2G FE=6
%<<F @E= !2G FE=6 1<%<2
B2;%=<:2!< E@ <%T%<7E! %!B
@7!%!-2
%<<C !2%A 1D :%!!H %11<71<%!<
%<<E=!2F 82!2=%A
)*J I=E%BG%F \ *,<> @AEE= !2G FE=6 !F )J*b) N$"3D#"NNOM"LD(/"/$DN0DQ(
I%62= ? >E1<2<A2= AA; %<<F @E= I?> -=2B7<E=1 %<<C `E12;> @D >9<->7!1E!H `=DH
2=7- 8EEB:%!H G2!BF `D
87I1E!
+*JJ !%<7E!%A -7<F -2!<2= )]JJ 2D ]<> 1<=22< -A2W2A%!B E> ,,)), a[Q/R[.N(MNOS"P$'3"^DRM#c
$LMM&#"NOS"P$'3"^DRM#
I%62= ? >E1<2<A2=H AA; %<<! BE!%AB %D GE=6:%! %<<F @E= 7A-E 17<2 =2:2B7%<7E!
8=E9;
)JUJ -E!!2-<7-9< %W2!92H 197<2
))JJ
G%1>7!8<E! B- *JJ+K &^M'P#"NOS"P$'3"^DRM#
I%62= ? >E1<2<A2=H AA; %<<! ->=71<E;>2= `D 87%7:E %<<F @E= 7A-E 17<2 =2:2B7%<7E!
8=E9;
)JUJ -E!!2-<7-9< %W2!92H 197<2
))JJ
G%1>7!8<E! B- *JJ+K RL.".#MOS"P$'3"^DRM#
I%AA%=B 1;%>= %!B=2G1 ?
7!82=1EAAH AA;
%<<C :%<<>2G 8D 19::2=1H 21XD %<<F @E= @E9!<%7! A%621 7H ADAD-D +JJ 2%1< AE:I%=B 1<=22<H )Y<>
@AEE=
I%A<7:E=2 :B *)*J* (Q##$'(#OS"33"'&(5"['DRM#
I%=!21 ? <>E=!I9=8 AA; %<<F @E= >7=%<% -E=;E=%<7E!
E@ %:2=7-%
%<<!C :%=6 =D EG2!1H 21XD )) 1E9<> :2=7B7%! 1<=22< 7!B7%!%;EA71 7! ,K*J, #"'PDM^$N(OS/3"^DRM#
I%=<A2<< >%-62<< @27!I2=8 ;D-D %<<F @E= 7=E! :E9!<%7!
7!@E=:%<7E! :%!%82:2!<H
7!-D
%<<C @=%!6 @D :-87!!H 21XD )UU @2B2=%A 1<=22<H ]<> @AEE= IE1<E! :% J*))J ZZ#OSM(/MNSQ(.N$((3"^DRM#
I2-62=H 8AF!!H :2A%:2B ?
:9@@AF AA;
%<<F @E= @%-<E=F :E<E= ;%=<1
-E:;%!F
%<<C ->21<2= ID 1%AE:E!H 21XD *]] ;%=6 %W2!92H )K<> @AEE= !2G FE=6 !F )J)b) -1%AE:E!OI2-62=8AF!!D-E:
I7%A1E!H I2=82! ? 1->G%I %<<F @E= -71-E 1F1<2:1 -%;7<%A
-E=;E=%<7E!
%<<!C <>E:%1 :D 8%% *KJJ 2A -%:7!E =2%AH 197<2 +JJ ;%AE %A<E -% ],+JK /L""OSS(3"^DRM#
;"L$ ) MZ )b
09-50026-mg Doc 13832 Filed 01/23/17 Entered 01/23/17 21:14:01 Main Document Pg 4 of 95
!"#$ %&&'$(() %&&'$((* %&&'$((+ %&&'$((, -./0 1/"/$ 2#".34.5
I7!8>%: :--9<->2! AA; %<<F @E= B29<1->2 I%!6 %8 %<<! =EI2=< : BE:I=E@@ ?
`2@@=2F 1 1%I7! 21X
+]] ;%=6 %W2!92 !2G FE=6 !F )JJ**\,KY] 'MS$'/D&M#S'MZZOS.NL["#DRM#c
IA%!6 =E:2 AA; %<<F @E= -2AA-E ;%=<!2=1>7;
BfIf% W2=74E! G7=2A211
%<<C =287!% 1<%!8E 62AIE!H
21XD
E!2 AE8%! 1X9%=2 ;>7A%B2A;>7% ;% )])J+ 6$3SMNOS3"NP'M#$DRM#
IA92 -=E11 %!B IA92 1>72AB E@
:7->78%!
%<<C `2@@=2F =9:A2FH %1171<%!<
82!2=%A -E9!12A
KJJ A%@%F2<<2 2%1< g)]*U B2<=E7< :7 ,Y**K\*]]Y `=Q#3$0OSRS(#DRM#
IEB:%! AA; %<<F @E= A2%= -E=;E=%<7E!
%!B 7<1 19I17B7%=721 ? %@@7A7%<21
%<<!C :%=- :D I%61<H 21XD K<> @AEE= %< @E=B @72AB )]J) 1<D %!<E7!2 1<=22< B2<=E7< :7 ,Y**K #S"P(/OSM&#"N335DRM#
I=%BF - G7AA7%:1E! 8EB@=2F ? 6%>! 1- E!2 2%1< :%7! 1< 197<2 UJJ :%B71E! G7 U+bJ+ S^.33."#OLP3"^DRM#
I=%F<E! ;9=-2AA AA; %<<F @E= -2=<%7! %1I21<E1
-A%7:%!<1
%<<C %A%! =D I=%F<E!H ->=71<7!%
-D 169I7-H :%<<>2G ID A22H 21X1
*** =91> A%!B7!8 =E%B !EW%<E -% ],],U S"NP'Q5/R0D"(S5MD"(S&M#OS'"0/MN3"^DRM#
I=7881 %!B :E=8%! ;D%D %<<F @E= @%-<E=F :E<E= ;%=<1
-E:;%!F
%<<C `E>! =D :-BE!%ABH 21XD **JJ 7B1 -2!<2= YJ 1E9<> Y<> 1<=22< :7!!2%;EA71 :! UU,J* `:RBMN"3&OI'.LL(DRM#
I=EE61 G7A67!1 1>%=62F ?
<9=-EH ;AA-
%<<F @E= G%I%1> <2->!EAE8721H
7!-D
%<<!C ;%9A% %D >%AAH 21XD ,J) 1D EAB GEEBG%=B %W2!92H
197<2 ,KJ
I7=:7!8>%: :7 ,YJJ] ["33OS^(/\3"^DRM#
I=EE61 G7A67!1 1>%=62F ?
<9=-EH ;AA-
%<<C :%<<>2G 2D G7A67!1 %<<F @E=C >2!42 1<%:;7!8 -ED ?
>2!4 :%->7!2 -ED
,J) 1D EAB GEEBG%=B %W2!92H
197<2 ,KJ
I7=:7!8>%: :7 ,YJJ] ^.3P.N(OS^(/\3"^DRM#
I=EG! ? G>%A2!H ;D-D %<<C =EB!2F %D I=EG!H 21XD bJJ <>7=B %W2!92H *J<> @AEE= !2G FE=6 !F )JJ)b 'S'M^NOS'M^N^["3$NDRM#
I=EG! =9B!7-6 AA; %<<! 2BG%=B 1 G271@2A!2=H 21XD b <7:21 1X9%=2H ,b<> @A !2G FE=6 !F )JJ+K $^$.(Z$3N$'OS'M^N'Q&N.RPDRM#
I=EG! =9B!7-6 AA; %<<! B%W7B ` :EA<E!H 21XD b <7:21 1X9%=2H ,b<> @A !2G FE=6 !F )JJ+K &#M3/MNOS'M^N'Q&N.RPDRM#
I=EG! =9B!7-6 AA; %<<! >EG%=B 1D 1<22AH 21XD b <7:21 1X9%=2H ,b<> @A !2G FE=6 !F )JJ+K [(/$$3OS'M^N'Q&N.RPDRM#
I9->%A<2= !2:2=H ;- %<<F @E= E=%-A2 91%H 7!-Dc %!B
E=%-A2 -=2B7< -E=;E=%<7E!
%<<C 1>%G! :D ->=71<7%!1E!H
21XD
UU 12-E!B 1<H )b<> @A 1%! @=%!-71-E -% ],)JU\+,]+ (R['.(/."N(MNOSQR["3/$'DRM#
I9=62H G%==2!H :%-6%F ?
12==7<2AA%H ;D-D
%<<C 8D =7!8 %<<F @E= %<<F @E= !%;A2<E!
7!W21<:2!< ;%=<!2=1>7; A;
++J !D G%I91> %W2D **!B @AEE= ->7-%8E 7A KJK)) 8'.NLOIQ'P$3"^DRM#
I9== ? @E=:%! AA; %<<F @E= 821<%:; %A%I%:%H
AA-H 821<%:; :%1E!H AA-H
821<%:; :2T7-E
%<<C BD->=71<E;>2= -%=1E! ,*J !E=<> *J<> 1<=22<H 197<2 +,JJ I7=:7!8>%: %A +U*J+ RR"'(MNOSQ''DRM#
I9<42A AE!8H ;- %<<F @E= 7!<2W% ;=EB9-<1H AA- %<<!C =EI2=< 17BE=16F ? 2=7- ID
@71>2=
+YJ :%B71E! %W2!92 !2G FE=6 !F )JJ)b (.&M'(P0OSQ/_$3DRM#c
I9<42A AE!8H ;- %<<F @E= 7!<2W% ;=EB9-<1H AA- %<<!C <>E:%1 ID =%BE: ? :%T `D
!2G:%!
,)JJJ GEEBG%=B %W2!92 IAEE:@72AB >7AA1 :7 ,Y+J, '"&M#OSQ/_$3DRM#c N$^#"NOSQ/_$3DRM#
I9<42A AE!8H ;- %<<C =EI2=< 17BE=16F %<<F @E= <6 >EAB7!81H 7=W7!
%9<E:E<7W2 ;=EBDH <%6%<% ;2<=7
+YJ :%B71E! %W2!92 !2G FE=6 !F )JJ)b (.&M'(P0OSQ/_$3DRM#c
-DID IA%-6%=BH 777 -E=;E=%<2 -E9!12A %-T7E: -E=;E=%<7E! +J) 2%1< B%W2 G%=B B=7W2 ;DED IET *JJJ -E!G%F %= b*J++\*JJJ RSS3"RO"RV.M#DRM#
-%BG%A%B2=H G7-62=1>%: ?
<%@< AA;
%<<F @E= 9!7<2B 1<%<21 E@
%:2=7-%
%<<C `E>! `D =%;71%=B7H 21XD E!2 GE=AB @7!%!-7%A -2!<2= !2G FE=6 !F )J*Y) aM[ND'"5.("'&.OR^/DRM#
-%:;I2AA ? A2W7!2H AA- %<<! 6%<>A22! -%:;I2AA B%W71H
21XD
%<<F @E= :A- %1I21<E1 ;7 <=91< YJJ !D 67!8 1<H 1<2 +JJ G7A:7!8<E! B2 )]YJ) P&"d.(OR"#3$dDRM#
-%!E! 9D1D%H 7!-D %<<!C =9<> 2D G27!1<27! E!2 -%!E! ;A%4% A%62 19--211 !F ))J,* '^$.N(/$.NORQ("DR"NMNDRM#
-%;A7! ? B=F1B%A2H ->%=<2=2B %<<F @E= -EE!2F ? -E!G%F
%1I21<E1 ;2=1E!%A 7!`9=F <E=<
-A%7:%!<1c
:%=6 I9<<7<% %<<C 2A7>9 7!12AI9-> +bU ;%=6 %W2!92H +U<> @AEE= !2G FE=6 !F )J)U*\+UJJ $.OR"5&"3$DRM#
-%;A7! ? B=F1B%A2H ->%=<2=2B %<<F @E= -EE!2F ? -E!G%F
%1I21<E1 ;2=1E!%A 7!`9=F <E=<
-A%7:%!<1c
:%=6 I9<<7<% %<<C ;2<2= W%! AE-6GEEBH
=E!%AB =27!12A ? <=2WE= 1G2<<H
777H 21X1
) <>E:%1 -7=-A2 G%1>7!8<E! B- *JJJU 5dN3OR"5&"3$DRM#H '$'OR"5&"3$DRM#H
/^(OR"5&"3$DRM#
-%;A7! ? B=F1B%A2H ->%=<2=2B %<<F @E= <>2 %1I21<E1
-A%7:%!<1e -E::7<<22
%<<!C 62W7! -D :%-A%FH <=2WE=
GD 1G2<< 777
E!2 <>E:%1 -7=-A2H !GH 197<2
))JJ
G%1>7!8<E! B- *JJJU PR#OR"5&"3$DRM#c /^(OR"5&"3$DRM#
;"L$ * MZ )b
09-50026-mg Doc 13832 Filed 01/23/17 Entered 01/23/17 21:14:01 Main Document Pg 5 of 95
!"#$ %&&'$(() %&&'$((* %&&'$((+ %&&'$((, -./0 1/"/$ 2#".34.5
-%;A7! ? B=F1B%A2H ->%=<2=2B %<<! 2A7>9 7!12AI9->H 21XD KJJ A2T7!8<E! %W2H @A *) !2G FE=6 !F )JJ** $.N($3SQR[OR"5&"3$DRM#
-%;A7! ? B=F1B%A2H ->%=<2=2B %<<! ;2<2= W%! !D AE-6GEEBH
21XD
E!2 <>E:%1 -7=-A2H !GH 1<2
))JJ
G%1>7!8<E! B- *JJJU 53MRP^MM&OR"5&"3$DRM#
-%;A7! ? B=F1B%A2H ->%=<2=2B %<<! `2@@=2F %D A7212:2=H 21XD E!2 <>E:%1 -7=-A2H !GH 1<2
))JJ
G%1>7!8<E! B- *JJJU a3.$($#$'OR"5&"3$DRM#
-%;A7! ? B=F1B%A2H ->%=<2=2B %<<! %!B=2G `D 1%-62<<H 21XD E!2 <>E:%1 -7=-A2H !GH 1<2
))JJ
G%1>7!8<E! B- *JJJU "("RP$//OR"5&"3$DRM#
-%=1E! @71->2=H ;DAD-D %<<F @E= W7<2-H AA- %<<C `E12;> :D @71->2=H
A%G=2!-2 %D A7-><:%!H ;%<=7-6
`D 696A%
,))) %!BEW2= =E%BH G21<\*!B
@AEE=
IAEE:@72AB >7AA1 :7 ,Y+J* S'R0OR"'(MNZ.(R[$'DRM#
-%=1E! @71->2=H ;DAD-D %<<F @E= =7:% :%!9@%-<9=7!8
-E:;%!F
%<<!C ->=71<E;>2= %D 8=E1:%!
? ;%<=7-6 `D 696A%
,))) %!BEW2= =E%BH G21<\*!B
@AEE=
IAEE:@72AB >7AA1 :7 ,Y+J* S'R0OR"'(MNZ.(R[$'DRM#c S'R0OR"'(MNZ.(R[$'DRM#
-%112A1 I=E-6 %<<C ID A2E!%=Bc :D :2=-72= *)JJ 1-E<7% ;A%4% \ ,J 67!8
1<=22< G21<
<E=E!<EH E! :U> +-* -%!%B% ##$'R.$'OR"(($3(S'MRPDRM#
-2=<7A:%! I%A7! %BA2= ?
>F:%!H AA;
%<<! =7->%=B `D :--E=BH 21XD %<<F @E= 91%% ]J :2==7-6 %W2!92H ]<> @AEE= 2%1< :2%BEG !F ))UU, '#RRM'&OR$'/.3#"NS"3.NDRM#
-2=<7A:%! I%A7! %BA2= ?
>F:%!H AA;
%<<! -%=EA %D 8A7-6H 21XD %<<F @E= 91%% ]J :2==7-6 %W2!92H ]<> @AEE= 2%1< :2%BEG !F ))UU, RL3.RPOR$'/.3#"NS"3.NDRM#
->%;2AA ? %11E-7%<21 AA- %<<! %A%! ->%;2AA -7;; -E!19:2= ;=7W%-F
E:I9B1:%!
*]b B=7881 %W2!92 197<2 +% I=EE6AF! !F ))*** "3"NOR["5$33"((MR."/$(DRM#
-A%=6 >7AA ;A- %<<F @E= %<1 %9<E:%<7E!
<EEA7!8 1F1<2:1H 7!-D
%<<!C =EI2=< BD 8E=BE!H 21XD )U) 1E9<> EAB GEEBG%=B
%W2!92H 197<2 *JJ
I7=:7!8>%: :7 ,YJJ] 'LM'&MNOR3"'P[.33DRM#
-A2%=F 8E<<A72I 1<22! ?
>%:7A<E! AA;
%<<F @E= 9%G %<<C `%:21 AD I=E:A2FH 21XD E!2 A7I2=<F ;A%4% !2G FE=6 !F )JJJK aS'M#3$0ORL([DRM#
-A2%=F 8E<<A72I 1<22! ?
>%:7A<E! AA;
%<<F @E= <>2 7!<2=;9IA7- 8=E9;
E@ -E:;%!721H 7!-D
%<<C 12%! %D Ee!2%AH 21XD E!2 A7I2=<F ;A%4% !2G FE=6 !F )JJJK (MN$"3ORL([DRM#
-A2%=F 8E<<A72I 1<22! ?
>%:7A<E! AA;
% =7->%=B 1916EH 21X E!2 A7I2=<F ;A%4% !2G FE=6 !F )JJJK I1916EO-81>D-E:
-A2%=F 8E<<A72I 1<22! ?
>%:7A<E! AA;
=7->%=B 1 A7!-2=H 21XD E!2 A7I2=<F ;A%4% !2G FE=6 !F )JJJK =A7!-2=O-81>D-E:
-A2%=F 8E<<A72I 1<22! ?
>%:7A<E! AA;
B%W7B 7 8E<<A72IH 21XD E!2 A7I2=<F ;A%4% !2G FE=6 !F )JJJK B8E<<A72IO-81>D-E:
-E>2!H G2711 %!B 17:E! AA; %<<F @E= 7!<2=!%<7E!%A 9!7E!H
9%G
%<<C I%I2<<2 %D -2--E<<7H 21XD ++J G21< ,*!B 1<=22< !2G FE=6 !F )JJ+K SR$RRM//.OR^(N0DRM#
-EEA7B82 G%AA -EDH AD;D%D %<<F @E= >%=-E
:%!9@%-<9=7!8 8=E9; AA-
%<<C =E!%AB 1D ;=2<267!H 21XD ++ G21< @7=1< 1<=22<H 197<2 KJJ B%F<E! E> ,U,J* Z'.$(.NL$'ORMM33"^DRM#
-E9!<F %<<E=!2F %<<F @E= <>2 -E9!<F E@
AE9BE9!H W7=87!7%
%<<!C I2A6F1 21-EI%=H %1171<%!<
-E9!<F %<<E=!2F
E!2 >%==71E! 1<=22<H 1D2DH U<>
@AEE=
A221I9=8 W% *J)bU\+)J* S$3P0(D$(RMS"'O3MQ&MQNDLMd
-EW7!8<E! ? I9=A7!8 AA; %<<F @E= 9!7E! ;%-7@7-
=%7A=E%B -E:;%!F
%<<!C :7->%2A 1<D ;%<=7-6
I%T<2=H 21XD
)*J) ;2!!1FAW%!7% %W2!92 !G G%1>7!8<E! B- *JJJ,\*,J) #S"V/$'ORMdDRM#
-9::7!81 ? AE-6GEEB AA- %<<F @E= 2:78=%!< I917!211
-=2B7< -E=;
%<<C `E>! @D -%=I2==FH 21XD 17T A%!B:%=6 1X9%=2 1<%:@E=B -< JK]J) aR"'S$''0OR3\3"^DRM#
-9=<71H :%AA2<\;=2WE1<H -EA< ?
:E1A2 AA;
%<<! 1<2W2! `D =271:%!H 21XD )J) ;%=6 %W2 !2G FE=6 !F )J)bY\JJK) ('$.(#"NORQ'/.(DRM#
-9=<71H :%AA2<\;=2WE1<H -EA< ?
:E1A2 AA;
%<<! <>2=21% %D @E9BFH 21XD )J) ;%=6 %W2 !2G FE=6 !F )J)bY\JJK) /ZMQ&0ORQ'/.(DRM#
B%I!2FH ;AA- %<<! >D 1A%F<E! B%I!2FH `=DH
21XD
+J+ 8=%!B2 -E9=< =7->:E!B W% *+**] (&"SN$0O&"SN$0533RDRM#
B%!% >EAB7!8 -E:;%!F %<<C A71% G9=1<2= ;E IET )JJJ :%9:22 E> ,+U+b\bJJJ 3.("D^Q'(/$'O&"N"DRM#
;"L$ + MZ )b
09-50026-mg Doc 13832 Filed 01/23/17 Entered 01/23/17 21:14:01 Main Document Pg 6 of 95
!"#$ %&&'$(() %&&'$((* %&&'$((+ %&&'$((, -./0 1/"/$ 2#".34.5
B%W71 ;EA6 ? G%=BG2AA %<<F @E= @E=B :E<E= -E:;%!F %<<C BE!%AB 1D I2=!1<27! ?
:%=1>%AA 1D >92I!2=
,UJ A2T7!8<E! %W2!92 !2G FE=6 !F )JJ)b &MN"3&DS$'N(/$.NO&5^DRM#H
B%GB%H :%!!H :9A-%>F ?
1%BA2=H ;A-
%<<F @E= :%8!2<7 :%=2AA7 %!B
%9<E:E<7W2 A78><7!8
%<<C G7AA7%: =E17! ? 62!!2<>
@A%16%
+]U++ GEEBG%=B %W2!92H 197<2
*JJ
IAEE:@72AB >7AA1 :7 ,Y+J, L#O&##(DRM#
B2%A2= <7=2H AA- +b)) ->21<2= %W2!92 -A2W2A%!B E> ,,)), .NZMO&$"3$'/.'$DRM#
B2%! :D <=%@2A2< A28%A =2;=212!<%<7W2 %1I21<E1
;2=1E!%A 7!`9=F -A%7:%!<1
UJ G21< 1->7AA2= ->7-%8E 7A KJK)J &/'"Z$3$/O(SRL3MS"3DN$/
B2I2WE712 ? ;A7:;<E! AA; %<<F @E= <>2 >2=<4
-E=;E=%<7E!
%<<C =7->%=B @D >%>!H 21XD ])] <>7=B %W2!92 !2G FE=6 !F )JJ** 'Z["[NO&$S$dM.($DRM#
B2I2WE712 ? ;A7:;<E! AA; %<<C `%1:7!2 ;EG2=1H 21XD %<<F @E= :%8 7!B91<=7%A
%9<E:%<7E! 1F1<2:1H AA-
])] <>7=B %W2!92 !2G FE=6 !F )JJ** a5M^$'(O&$S$dM.($DRM#
B2->2=< AA; %<<F @E= 1>%!8>%7 %9<E:E<7W2
7!B91<=F -E=; h8=E9;i %!B
%@@7A7%<21
%<<!C 1>:92A W%112=H 21XD )J]U %W2!92 E@ <>2 %:2=7-%1 !2G FE=6 !F )JJ+K\Kb]b ([#Q$3Dd"(($'O&$R[$'/DRM#
B2;%=<:2!< E@ A%IE= %<<!C B2;9<F 1EA7-7<E= E@ A%IE= *JJ -E!1<7<9<7E! %W2!92H !G G%1>7!8<E! B- *J*J) -E!<%-<\E-@EOBEAD8EW
B7-67!1E! G=78>< ;AA- %<<F @E= `E>!1E! -E!<=EA1H
7!-D
%<<C `%:21 %D ;A2::E!1H 21XD UJJ GEEBG%=B %W2!92H 197<2
,JJJ
B2<=E7< :7 ,Y**K a53$##MN(*O&.RP.N(MN^'.L[/DRM#
B7-67!1E! G=78>< ;AA- %<<F @E= `E>!1E! -E!<=EA1H
7!-D
%<<C 62==F :%1<2=1 2G%ABH 21XD ,*, ->9=-> 1<=22<H 197<2 ),J) !%1>W7AA2 <! +b*)] P$^"3&O&.RP.N(MN^'.L[/DRM#
B7-67!1E! G=78>< ;AA- %<<F @E= `E>!1E! -E!<=EA1H
7!-D
%<<C BE=E! F7<4->%67H 21XD +J) 2D A7I2=<FH 197<2 UJJ %!! %=IE= :7 ,Y)J, &0./_R["P.O&.RP.N(MN^'.L[/DRM#
B7-61<27! 1>%;7=E AA; %<<! I%==F !D 127B2AH 21XD %<<F @E= :E<E=1 A7X97B%<7E!
-ED 89- <=91<
)K++ I=E%BG%F !2G FE=6 !F )JJ)] ($.&$3SO&.RP(/$.N(["5.'MDRM#
B7-E!4% A%G ;D-D %<<F @E= %=-%B71 9D1DH 7!-D %<<C 82=%=B B7-E!4%H 21XD K+J <>7=B %W2!92H b<> @AEE= !2G FE=6 !F )JJ)b L&.RMN_"O&3"^5RDRM#
B=7!62= I7BBA2 ? =2%<> AA; %<<F @E= :%!9@%-<9=2=1 %!B
<=%B2=1 <=91< -E:;%!F
%<<C 67=1<7! 6D 8E7!8 ))bb %W2!92 E@ <>2 %:2=7-%1 @A ,) !2G FE=6 !F )JJ+K\*b), 6'.(/.ND8M.NLO&S'DRM#H
B=7!62= I7BBA2 ? =2%<> AA; %<<F @E= :%!9@%-<9=2=1 %!B
<=%B2=1 <=91< -E:;%!F
%<<C 6=71<2! 6D 8E7!8H 21XD )UJJ 6 1<=22<H !DGD G%1>7!8<E! B- *JJJU P'.(/.NDLM.NLO&S'DRM#
2BG%=B1 %!82AA ;%A:2= ?
BEB82 AA;
%<<F @E= 91 I%!6 !%<eA %11E- ?
91 I%!6 <=91< !%<eA %11E-
%<<! ` G>7<AE-6 ))) >9!<7!8<E! %W2!92 IE1<E! :% J*)]]\bK)+ a^[./3MRPO$"5&3"^DRM#
2AA7E<< 8=22!A2%@ %<<C =D 4 \ %=%W2!% @E= + : ;9=7@7-%<7E! 7!- ))JU !E=<> :%=62< 1<2 )bJJ G7A:7!8<E! B2 )]YJ) 'V_"O$33.M//L'$$N3$"ZDRM#
2AA71 ? G7!<2=1 AA; %<<C 82E=82 @D 1%!B2=1E! 777 %<<F @E= -=F:21 A%!B@7AA ;=;
8=E9;
;DED IET ++UUJ =%A278> !- *bK+K L$M'L$D("N&$'(MNO$33.(^.N/$'(DRM#
2::2< :%=W7! ? :%=<7! AA; %<<! ;%9A < G27!1<27! 21X )*J I=E%BG%FH +*!B @AEE= !2G FE=6 !F )J*b) 5^$.N(/$.NO$##$/#"'d.NDRM#
2!<2=8F 12=W7-21H 7!- %<<C %A%! >D 6%<4H %1171<%!<
82!2=%A -E9!12A
K+] AEFEA% %W2!92H *K<> @AEE= !2G E=A2%!1 A% bJ))+ "P"/_O$N/$'L0DRM#
2=:%!H <27->2=H :7AA2=H 49-62=
? @=22B:%!H ;D-D
%<<C B7%!!2 1D =9>A%!B<H 21XD ?
2%=A2 7D 2=:%!
%<<F @E= 2<67! :%!%82:2!<
12=W7-21
,JJ 8%AA2=7% E@@7-2!<=2H 1<2D ,,, 1E9<>@72AB :7 ,YJ+, &'Q[3"N&/O$'#"N/$.R[$'DRM# c
$$'#"NO$'#"N/$.R[$'DRM#
2=:%!H <27->2=H :7AA2=H 49-62=
? @=22B:%!H ;D-D
%<<C B%W7B :D 2712!I2=8H 21XD %<<F @E= !7B2- :E<E=1 ?
%-<9%<E=1
,JJ 8%AA2=7% E@@7-2!<=2H 1<2D ,,, 1E9<>@72AB :7 ,YJ+, &$.($NS$'LO$'#"N/$.R[$'DRM#
2=W7! -E>2! ? `2119; AA; %<<F @E= 1%A%1 %9<E:E<7W2
8=E9;H 7!-D BI% ;EG%F
->2W=EA2<
%<<!C -%=AE1 1%A%4%= ],J) G7A1>7=2 IE9A2W%=B I2W2=AF >7AA1 -% ]J*)* R("3"_"'O$Ra3"^DRM#
@%=2AA% I=%9! ? :%=<2A AA; %<<F @E= 82!2=%A :E<E=1
=2<7=221 %11E-7%<7E!
%<<C !27A %D 8E<27!2=H 21XD *+U :E!<8E:2=F 1<=22<H )b<>
@AEE=
1%! @=%!-71-E -% ],)J, NLM/$.N$'OZS#DRM#
@7!62A1<27!H IA%!67!1>7;
@=27\;2%=1E! ? 8%=I2=H AA;
%<<! BD 8=28 IA%!67!1>7;H 21XD )+)) :%:%=E!2-6 %W2 G>7<2 ;A%7!1 !F )JKJU LS3"NP.N([.5OZSZL3"^DRM#
;"L$ , MZ )b
09-50026-mg Doc 13832 Filed 01/23/17 Entered 01/23/17 21:14:01 Main Document Pg 7 of 95
!"#$ %&&'$(() %&&'$((* %&&'$((+ %&&'$((, -./0 1/"/$ 2#".34.5
@7!62A1<27!H IA%!67!1>7;
@=27\;2%=1E! ? 8%=I2=H AA;
%<<! <EBB 8%=I2=H 21XD %<<F @E= A71% ;>%!92@H %B%:
1:7<>H 2< %AD
)+)) :%:%=E!2-6 %W2 G>7<2 ;A%7!1 !F )JKJU /L"'S$'OZSZL3"^DRM#
@EA2F ? A%=B!2= AA; %<<F @E= 7!2=8F %9<E:E<7W2
1F1<2:1 h91%iH AA-
%<<!C :%=6 %D %72AAE E!2 B2<=E7< -2!<2= UJJ GEEBG%=B %W2!92H 197<2
*bJJ
B2<=E7< :7 ,Y**K\+,Y] #".$33MOZM3$0DRM#
@EA2F ? A%=B!2= AA; %<<F @E= -9::7!1 7!-D %<<!C `7AA AD :9=-> ? `E%!!2 A22 +*) !E=<> -A%=6 1<=22<H 197<2
*YJJ
->7-%8E 7A KJKU,\U+)+ a#Q'R[OZM3$0DRM#c a3$$OZM3$0DRM#
@EA2F ? A%=B!2= AA; %<<F @E= ;2<2=1E! %:2=7-%!
-E=;E=%<7E!
%<<!C B%A`7< BEE8%A E!2 B2<=E7< -2!<2= UJJ GEEBG%=B %W2!92H 197<2
*bJJ
B2<=E7< :7 ,Y**K\+,Y] &&MML"3OZM3$0DRM#
@EA2F ? A%=B!2= AA; %<<F @E= 7!<=% -E=;E=%<7E! %<<!C `E>! %D 17:E!H 6%<>2=7!2
=D -%<%!212
UJJ GEEBG%=B %W2!92H 197<2
*bJJ
B2<=E7< :7 ,Y**K\+,Y] a(.#MNOZM3$0DRM#c PR"/"N$($OZM3$0DRM#
@EA2F ? A%=B!2= AA; %<<F @E= ;7=2AA7 <7=2H AA- %<<!C `E>! %D 17:E!H 6%<>2=7!2
=D -%<%!212
E!2 B2<=E7< -2!<2= UJJ GEEBG%=B %W2!92H 197<2
*bJJ
B2<=E7< :7 ,Y**K\+,Y] a(.#MNOZM3$0DRM#c PR"/"N$($OZM3$0DRM#
@EA2F ? A%=B!2= AA; %<<F @E= E:=E! %9<E:E<7W2
2A2-<=E!7-1c E:=E! B9%A<2-
%9<E:E<7W2 2A2-<=
%<<!C @=%!6 GD B7-%1<=7H `E>! %D
17:E!H BD BEE8%A
UJJ GEEBG%=B %W2!92H 197<2
*bJJ
B2<=E7< :7 ,Y**K\+,Y] a(.#MNOZM3$0DRM#c &&MML"3OZM3$0DRM#
@EA2F ? A%=B!2= AA; %<<F @E= <2T<=E! 7!-D %<<!C 1-E<< <D 12%IEA<H 21XD UJJ GEEBG%=B %W2!92H 197<2
*bJJ
B2<=E7< :7 ,Y**K (($"SM3/OZM3$0DRM#
@EA2F ? A%=B!2= AA; %<<F @E= <EFE<% :E<E=
-E=;E=%<7E!
%<<C =EI2=< >D >92FH 21XD G%1>7!8<E! >%=IE9= +JJJ 6 1<=22<H !DGDH 197<2 KJJ G%1>7!8<E! B- *JJJb\U)J] '[Q$0OZM3$0DRM#
@EA2F ? A%=B!2= AA; %<<F @E= <EFE<% :E<E=
-E=;E=%<7E!
%<<C W7-<E= %D W7A%;A%!% ?
:%<<>2G `D =7E;2AA2
+Ub] W%AA2F -2!<=2 B= 1<2 +JJ 1%! B728E -% ]*)+J\++)K d"d.3"53"N"OZM3$0DRM#
@EA2F ? A%=B!2= AA; %<<! `2@@=2F %D 1EIA2H 21XD %<<F @E= <EFE<% :E<E=
-E=;E=%<7E!
!E=<> -A%=6 1<=22<H 197<2 *YJJ ->7-%8E 7A KJKU, a(MS3$OZM3$0DRM#
@E=2:%! A%G ;AA- %<<F @E= :%=<7! ;E!-2 ? 67:7 AD
>9=1<
%<<! :7->%2A 2D @E=2:%!H 21XD )b,U I=E%BG%FH )b<> @A !2G FE=6 !F )JJ)] #.R["$3OZM'$#"N3"^533RDRM#
@E=:%! >EA< 2A7%B21 ? =%W7!H
AA-
%<<C 67: =D AF!->H 21XD %<<F @E= 172:2!1 I97AB7!8
<2->!EAE8721H 7!-D
YJ =E9<2 , 2%1<H 197<2 *]J ;%=%:91 !` JbKU* P30NR[OZM'#"N3"^DRM#
@ET =E<>1->7AB AA; %<<F @E= 1<%=1E9=-2
:%!%82:2!< 12=W7-21
%<<!C F%!! 82=E!H 21XD )JJ ;%=6 %W2!92H 197<2 )UJJ !2G FE=6 !F )JJ)b 0L$'MNOZMV'M/[(R[.3&DRM#
@=72BA%!B2= :71A2=H ;AA- %<<F @E= =2%A<F %11E-7%<21
7EG% -E=;E=%<7E!
%<<!C =EI2=< 2D 8=22!I2=8H 21XD ))J) 12W2!<22!<> 1<=22<H !DGDH
197<2 bJJ
G%1>7!8<E! B- *JJ+K\,bJ, 'L'$$NS$'LO&R3"^Z.'#DRM#
@<7 -E!19A<7!8 %<<! :7->%2A -E=B%1-E + <7:21 1X9%=2 !2G FE=6 !F )JJ+K :.R["$3D-M'&"(RMOZ/.RMN(Q3/.NLDRM#
@9AI=78>< ? `%GE=167 ADAD;D %<<F @E= %<?< -E=;D %<<!C B%W7B %D =E12!4G278 ?
`%-AF! AD =%I7!
KKK @7@<> %W2!92 !2G FE=6 !F )J)J+ &'M($N_^$.LOZQ3S'.L[/DRM#c
@9AI=78>< ? `%GE=167 ADAD;D %<<F @E= W2=74E! -%;7<%A
-E=;E=%<7E!
%<<C AE971 =D 1<=9I2-6 ? A74
IEFB1<E!H 21XD
**JJ =E11 %W2!92H 197<2 *YJJ B%AA%1 <T bU*J) 3(/'QS$RPOZQ3S'.L[/DRM#H 3SM0&(/MNOZQ3S'.L[/DRM#
@9AI=78>< ? `%GE=167 ADAD;D %<<F @E= 1E9<>G21< =212%=->
7!1<7<9<2
%<<C :7->%2A :D ;%=62=H 21XD +JJ -E!W2!< 1< 1<2 *)JJ 1%! %!<E!7E <T bY*JU\+b*J #5"'P$'OZQ3S'.L[/DRM#
@9AI=78>< ? `%GE=167 ADAD;D %<<F @E= 1E9<>G21< =212%=->
7!1<7<9<2
%<<C B%W7B %D =E12!4G278 ?
:%=6 -D >%9<
KKK @7@<> %W2!92 !2G FE=6 !F )J)J+\+)]Y &'M($N_^$.LOZQ3S'.L[/DRM#
@9AI=78>< ? `%GE=167 ADAD;D %<<C A74 IEFB1<E!H 21XD %<<F @E= I2AA %<A%!<7- <=7-E!
A2%17!8 -E=;D
**JJ =E11 %W2!92H 197<2 *YJJ B%AA%1 <T bU*J) 3SM0&(/MNOZQ3S'.L[/DRM#
8%A212 ? 7!8=%:H ;D-D %<<! `2@@=2F AD 7!8=%: %<<F @E= 12==% ->2W=EA2<H 7!-D
? 62F1<E! %9<E:E<7W2H 7!-D
YJJ 1>%B21 -=226 ;6GFH 197<2 +JJ I7=:7!8>%: %A +U*J] a$ZZOL"3$($\.NL'"#DRM#
87IIE!1 ;D-D %<<F @E= `DBD ;EG2= %!B
%11E-7%<21
%<<C B%W7B !D -=%;EH 21XD E!2 8%<2G%F -2!<2= !2G%=6 !` Jb)J*\U+)J &R'"5MOL.SSMN(3"^DRM#
87I1E! B9!! ? -=9<->2= AA; %<<! :7<->2AA % 6%=A%! 21X *JJ ;%=6 %W2!92 !2G FE=6 !F )J)KK\J)]+ :6"'3"NOL.S(MN&QNNDRM#
87I1E! B9!! ? -=9<->2= AA; %<<! 8%I=72A 6 87AA2<< 21X *JJ ;%=6 %W2!92 !2G FE=6 !F )J)KK\J)]+ 88.33$//OL.S(MN&QNNDRM#
;"L$ U MZ )b
09-50026-mg Doc 13832 Filed 01/23/17 Entered 01/23/17 21:14:01 Main Document Pg 8 of 95
!"#$ %&&'$(() %&&'$((* %&&'$((+ %&&'$((, -./0 1/"/$ 2#".34.5
87I1E!H B9!! ? -=9<->2= AA; %<<F @E= G7A:7!8<E! <=91<
-E:;%!F
%<<C B%W7B :D @2AB:%!H 21XD *JJ ;%=6 %W2!92 !2G FE=6 !F )J)KK\J)]+ &Z$3&#"NOL.S(MN&QNNDRM#
87I1E!H B9!! ? -=9<->2= AA; %<<F @E= G7A:7!8<E! <=91<
-E:;%!F
%<<C :%<<>2G `D G7AA7%:1H 21XD *JJ ;%=6 %W2!92 !2G FE=6 !F )J)KK\J)]+ #a^.33."#(OL.S(MN&QNNDRM#
87I1E!H B9!! ? -=9<->2= AA; %<<E=!2F1 @E= G7A:7!8<E!
<=91< -E:;%!F
%1 89- <=91< %B:7!71<=%<E= %<<!C :%<<>2G G7AA7%:1 %!B
627<> :%=<E=%!%
*JJ ;%=6 %W2!92 ,b<> @AD !2G FE=6 !F )J)KK\J)]+ #a^.33."#(OL.S(MN&QNNDRM#c
P#"'/M'"N"OL.S(MN&QNNDRM#
87I1E!H B9!! ? -=9<->2= AA; %<<F @E= G7A:7!8<E! <=91<
-E:;%!F
%<<! A71% >D =9I7!H 21XD *JJ ;%=6 %W2 !2G FE=6 !F )J)KK\J)]+ 3'QS.NOL.S(MN&QNNDRM#
87I1E!H B9!! ? -=9<->2= AA; %<<F @E= G7A:7!8<E! <=91<
-E:;%!F
%<<! 627<> :%=<E=%!%H 21XD *JJ ;%=6 %W2 !2G FE=6 !F )J)KK\J)]+ P#"'/M'"N"OL.S(MN&QNNDRM#
87I1E!H B9!! ? -=9<->2= AA; %<<! %B%: >D E@@2!>%=<4H 21XD %<<F @E= G7A:7!8<E! <=91<
-E:;%!F
*JJ ;%=6 %W2 !2G FE=6 !F )J)KK\J)]+ "MZZ$N["'/_OL.S(MN&QNNDRM#
87I1E!H B9!! ? -=9<->2= AA; %<<! %=7- G9H 21XD %<<F @E= G7A:7!8<E! <=91<
-E:;%!F
*JJ ;%=6 %W2 !2G FE=6 !F )J)KK\J)]+ "^QOL.S(MN&QNNDRM#
87I1E!H B9!! ? -=9<->2= AA; %<< 8%I=72A 6 87AA2<<H 21X *JJ ;%=6 %W2 !2G FE=6 !F )J)KK\J)]+ LL.33$//OL.S(MN&QNNDRM#
87E=B%!E >%AA2=%! ? -721A%
;-
%<<! BE!%AB @ -%:;I2AA 21X )*U >%A@ :7A2 =E%B 197<2 +JJ =2B I%!6 !` JbbJ) &R"#5S$33OL[R3"^DRM#
87==%=B 87II1 AA; %<<C BD 87=%=B ? %D`D B2
I%=<EAE:2E
%<<F @E= -E9=< %;;E7!<2B
-A%11
KJ) -%A7@E=!7% 1<=22<H 197<2 ),JJ 1%! @=%!-71-E -% ],)JY &RLOL.'"'&L.SS(DRM# c "a&OL.'"'&L.SS(DRM#
8A2!! :D =271:%!H 21XD %<<F @E= 82 2!2=8FH 82 :E<E=1
%!B 82 G%<2=
<GE -E=;E=%<2 B=7W2H 197<2 *+, 1>2A<E! -< JK,Y, 83$NND=$.(#"NOL$DRM#
8EB@=2F ? 6%>!H 1D-D %<<!C <7:E<>F @D !7TE!H 21X %<<F @E= <>2 @22 2T%:7!2= bYJ !E=<> G%<2= 1<=22< :7AG%9622 G7 U+*J* /N.VMNOLP3"^DRM#H R"N&'$(OLP3"^DRM#H
P(/"&3$'OLP3"^DRM#
8E>!H >%!62F ? 1<7->2AH AA; %<<C `%! 7D I2=A%82 %<<F @E= >%=EAB :%=<7! *J) !D ->%=A21 1<=22< \ 197<2 *)J) I%A<7:E=2 :B *)*J) `I$'3"L$OL[(335DRM#
8EABI2=8 128%AA% AA; %<<C ID >EEW2= ? -D I2A<2=H 21XD %<<F @E= <>2 X9%62= E%<1
-E:;%!F
KKU :%7! 1<=22<H 197<2 ,JJ I9@@%AE !F ),*J+ S[MMd$'OLM3&S$'L($L"33"DRM# c
RS$3/$'OLM3&S$'L($L"33"DRM#
8EA2!IE-6 2712:%! %11E= I2AA
? ;216E2 AA;
%<<F @E= ;%!%1E!7- %9<E 1F1
-E E@ %:2=7-%H B7W E@
;%!%1E!7-
-E=; E@ !D%DH @E=:2=AF 6!EG!
%1 :%<191>7<% 2A2- -E=; 7@
%:2=7-%
%<<C `E!%<>%! AD @A%T2=H
%!<>E!F :D W%11%AAE
,+b :%B71E! %W2!92 !2G FE=6 !F )JJ**\b+J* aZ3"V$'OLM3$NSMRPDRM#c
8EA2!IE-6 2712:%! %11E= I2AA
? ;216E2 AA;
%<<! `E!%<>%! AD @A%T2=H 21XD ,+b :%B71E! %W2 !2G FE=6 !F )JJ** aZ3"V$'OLM3$NSMRPDRM#
8EA2!IE-6 2712:%! %11E= I2AA
? ;216E2 AA;
%<<! 1D ;=21<E! =7-%=BEH 21XD ,+b :%B71E! %W2 !2G FE=6 !F )JJ** 5'.R"'&MOLM3$NSMRPDRM#
8EEBG7! ;=E-<2= AA; %<<! G7AA7%: ;D G27!<=%9IH 21XD <>2 !2G FE=6 <7:21 IAB8 K*J 278><> %W2 !2G FE=6 !F )JJ)Y ^^$.N/'"QSOLMM&^.N5'MR/$'DRM#
8EEBG7! ;=E-<2= AA; %<<! 8=28E=F GD @ET <>2 !2G FE=6 <7:21 I97AB7!8 K*J 278><> %W2!92 !2G FE=6 !F )JJ)Y LZMVOLMM&^.N5'MR/$'DRM#
8E=A7-6H 6=%W7<4 ? A71<>%91H ;D-D %<<F @E= 79E2H AE-%A1 79E2 )J)H
79E2 )Y1 ? 79E2 Y+*1
%<<C I%=I%=% 1D :2>A1%-6H 21XD )b 1<%<2 1<=22<H ,<> @AEE= !2G FE=6 !F )JJJ, S#$[3("RPOLP33"^DRM#
8E9A1<E! ? 1<E==1H ;D-D %<<F @E= bKb @7@<> ;%=<!2=1 AA-
%!B I;f-8-2!<2= 7 AA-
%<<C BE98A%1 ID =E1!2=H 21XD ,JJ %<A%!<7- %W2!92 IE1<E! :% J*))J\++++ &'M(N$'OLMQ3(/MN(/M''(DRM#
8E9A1<E! ? 1<E==1H ;D-D %<<F @E= bKb @7@<> ;%=<!2=1 %!B
I;f-8-2!<2= 7 AA-
%<<C 8=28E=F ED 6%B2!H 21XD ,JJ %<A%!<7- %W2!92 IE1<E! :% J*))J\++++ LP"&$NOLMQ3(/MN(/M''(DRM#
8=%!< ? 2712!>E@2= ;D%D %<<! `91<7! I=EE61H 21XD )*+ `91<71E! 1< G7A:7!8<E! B2 )]YJ) a/"NL'$NOL$3"^DRM#c /S.SS0OL$3"^DRM#
8=22!I2=8 <=%9=78H AA; %<<C ID 47=7!16FH !D :7<->2AA ? %D
6%B71>
%<<F @E= ;2==F ;%=<!2=1
7!<2=!%<7E!%AH 7!-D
*JJ ;%=6 %W2!92 !2G FE=6 !F )J)KK :./R[$33NOL/3"^DRM#
>%>! ? >2112! AA; %<<C `D B7W%-6 21XD %<<F @E= ID=2F!EAB1 ? 8
=2F!EAB1H `=D
,YY :%B71E! %W2!92H )U<>
@AEE=
!2G FE=6 !F )JJ** a&.d"RPO["[N[$(($NDRM#c
>%>! AE212= ? ;%=61 AA; %<<C A22 BD ;EG%= ? B%!72A %D
B2:%=-E ? =E--E 7D B2I7<2<<E
*JJ ;9IA7- 1X9%=2H 197<2 *YJJ -A2W2A%!B E> ,,)), 3&5M^"'O["[N3"^DRM#H
&"&$#"'RMO["[N3"^DRM#
;"L$ K MZ )b
09-50026-mg Doc 13832 Filed 01/23/17 Entered 01/23/17 21:14:01 Main Document Pg 9 of 95
!"#$ %&&'$(() %&&'$((* %&&'$((+ %&&'$((, -./0 1/"/$ 2#".34.5
>%A;2=7! I%<<%8A7% =%7-><H AA; %<<F @E= :%-X9%=72 2X97;:2!<
@7!%!-2H AA-D
%<<C ->=71<E;>2= `D I%<<%8A7% ?
`9A72 BD B%F%1H 21XD
UUU :%B71E! %W2!92H ]<> @AEE= !2G FE=6 !F )JJ** RS"//"L3."O["35$'.N3"^DN$/c a&0"(O["35$'.N3"^DN$/
>%=:%! I2-62= %9<E:E<7W2
1F1<2:1H 7!-D
+]JJ) G21< )* :7A2 =E%B @%=:7!8<E! >7AA1 :7 ,Y++) .NZMO["'#"NS$RP$'D&$
>%F!21 %!B IEE!2 AA; %<<F @E= 2TTE! :EI7A
-E=;E=%<7E!
%<<!C ->%=A21 %D I2-6:%! ?
I=EE61 >%:7A<E!
)**) :-67!!2FH 197<2 *)JJ >E91<E! <T bbJ)J R["'3$(DS$RP["#O["0N$(SMMN$DRM#
>2==7-6H @27!1<27! AA; %<<F @E= I=7B821<E!2 %:2=7-%1
<7=2 E;2=%<7E!1H AA-
%<<C 1<2;>2! ID 12AI1< ? ;%9A
=9I7!
* ;%=6 %W2!92 !2G FE=6 !F )JJ)K (($3S(/O[$''.RPDRM#c
>211 -E=;E=%<7E! %<<C 2A74%I2<> %!!2 -%=7!7
-9==2!<7H 21XD
) >211 ;A%4% GEEBI=7B82 !` JbJ]U $RQ''$N/.O[$((DRM#
>71-E-6 ? I%=-A%F AA; %<<F @E= <>2 1->%2@2= 8=E9;
7!-
%<<! 191%! = 6%<4E@@ 21X E!2 ;%=6 ;A%-2 +JJ 1E9<> 1<%<2 1<=22< 1F=%-912 !F )+*J* (P"/_MZZO[S3"^DRM#
>71-E-6 ? I%=-A%FH AA; %<<C 191%! =D 6%<4E@@H 21XD E!2 ;%=6 ;A%-2 +JJ 1E9<> 1<%<2 1<=22< 1F=%-912 !F )+*J* (P"/_MZZO[S3"^DRM#
>E8%! ? >%=<1E! AA; %<<C 1-E<< %D 8EAB2! ? I=7%! `
8=72-EH 21XD
%<<F @E= !2G1 %:2=7-%
7!-E=;E=%<2B
YbU <>7=B %W2!92 !2G FE=6 !F )JJ** ("LM3&$NO[[3"^DRM# c SaL'.$RMO[[3"^DRM#
>E!78:%! :7AA2= 1->G%=<4
%!B -E>! AA;
%<<F @E= 82!2=%A :E<E=1
-E=;E=%<7E!
%<<! <=7-7% 1>2=7-6 **]J @7=1< !%<7E!%A I97AB7!8 KKJ GEEBG%=B %W2!92 B2<=E7< :7 ,Y**K /([$'.RPO[MN.L#"NDRM#
>E!78:%! :7AA2= 1->G%=<4
%!B -E>! AA;
%<<F @E= 82!2=%A :E<E=1
-E=;E=%<7E!
%<<C <=7-7% %D 1>2=7-6H 21XD **]J @7=1< !%<7E!%A I97AB7!8 KKJ GEEBG%=B %W2!92 B2<=E7< :7 ,Y**K /([$'.RPO[MN.L#"NDRM#
>E!78:%! :7AA2= 1->G%=<4
%!B -E>! AA;
%<<F @E= 82!2=%A :E<E=1
-E=;E=%<7E!
%<<! `E12;> = 18=E7 21X **]J @7=1< !%<7E!%A I97AB7!8 KKJ GEEBG%=B %W2!92 B2<=E7< :7 ,Y**K a(L'M.O[MN.L#"NDRM#
7-2 :7AA2= AA; %<<! >2!=F 2D 2@=EF:1E! %<<F @E= >E98><E!
7!<2=!%<7E!%AH 7!-DH
EG2!1\7AA7!E71H 7!-D
%!B >E!2FG2AA 7!<2=!%<7E!%AH
7!-D
E!2 %:2=7-%! 1X9%=2H 197<2
*]JJ
7!B7%!%;EA71 7! ,K*Y* >$N'0D$Z'M0#(MNO.R$#.33$'DRM#
7!B91<=F -%!%B%H A28%A
12=W7-21
%<<C %!!2 IE9B=2%9 *+U X922! 1<=22< E<<%G%H E! 6)% E>U -%!%B% "NN$DSMQ&'$"QO.RDLRDR"
7!<2=!%<7E!%A 9!7E!H 9%G %<<F @E= 7!<2=!%<7E!%A 9!7E!H
9%G
%<<C B%!72A 1>2==7-6 ? !7=%`
8%!%<=%H A28%A B2;<D
YJJJ 2%1< `2@@2=1E! %W2!92 B2<=E7< :7 ,Y*), #$#S$'($'d.R$(O.Q"^ZRQDRM#H NL"N"/'"OQ"^DN$/
7W2FH I%=!9: %!B Ee:%=%H AA- %<<F @E= 1E!7- %9<E:E<7W2H
7!-D
%<<!C :2A711% 42A2! !272=H 21XD )bJ :%1E! 1<=22< 8=22!G7-> -< JKY+J #N$.$'O.SM3"^DRM#
`DAD 1%@@2=H ;D-D %<<F @E= <:7 -91<E: %7=
1F1<2:1H 7!-D
%<<!C `2!!7@2= AD 1%@@2=H 21XD ,UJ @%1>7E! %W2 1<2 ),JJ !2G FE=6 !F )J)*+\),JJ a3("ZZ$'Oa3("ZZ$'DRM#
`%-61E! G%A62= ADAD;D %<<! `2@@=2F 8D >%:7A<E!H 21XD %<<F @E= @AEG12=W2
-E=;E=%<7E! @f6f% <>2
B9=7=E! -E:;%!F
]J) :%7! 1<=22<H 197<2 KJJJ B%AA%1 <T bU*J* a["#.3/MNOa^DRM#
`%@@2H =%7<<H >292=H ? G2711H ;D-D %<<C =7->%=B 2D 6=982= %<<F @E= <>2 I:G 8=E9; *bbbb @=%!6A7! =BD 197<2 *UJJ 1E9<>@72AB :7 ,YJ+, 'P'QL$'Oa"ZZ$3"^DRM#
`2!!2= ? IAE-6 AA; 1;2-7%A -E9!12A @E= B2I<E=1 %<<!C ;%<=7-6 `D <=E1<A2 ?
>2%<>2= BD :-%=!
])] <>7=B %W2!92H +b<> @AEE= !2G FE=6 !F )JJ**\+]JY 5/'M(/3$Oa$NN$'DRM#
`2!!2= ? IAE-6 AA; 1;2-7%A -E9!12A @E= B2I<E=1 %<<!C B%!72A =D :9==%F ? `E12;>
;D 8=E:%-67
+U+ !D -A%=6 1<D ->7-%8E 7A KJKU,\+,UK &#Q''"0Oa$NN$'DRM#
`E>!1E!H >2%=!H W7!28%=H 822
? 8A%11H ;AA-
%<<F @E= B ? ` %9<E:E<7W2H AA- %<<C `2%! G7!IE=!2 IEFA21H 21XD ;DED IET )bbK =%A278> !- *bKJ* aSM03$(Oa[dLL3"^DRM#
6%;A%! @ET ? 67A1>27:2= AA; %<<F @E= :%=<7! ;E!-2 ? 67:7 AD
>9=1<
%<<! =EI2=< !D 6%;A%!H 21XD YUJ <>7=B %W2H ),<> @A !2G FE=6 !F )JJ** 'P"53"NOP"53"NZMVDRM#
6%;A%! @ET ? 67A1>27:2= AA; %<<F @E= :%=<7! ;E!-2 ? 67:7 AD
>9=1<
%<<! 8=28E=F 6D %=2!1E!H 21XD YUJ <>7=B %W2H ),<> @A !2G FE=6 !F )JJ** L"'$N(MNOP"53"NZMVDRM#
6%;A%! @ET ? 67A1>27:2= AA; %<<F @E= :%=<7! ;E!-2 ? 67:7 AD
>9=1<
%<<! 82E=82 >=7<4H 21XD YUJ <>7=B %W2H ),<> @A !2G FE=6 !F )JJ** L['./_OP"53"NZMVDRM#
;"L$ b MZ )b
09-50026-mg Doc 13832 Filed 01/23/17 Entered 01/23/17 21:14:01 Main Document Pg 10 of 95
!"#$ %&&'$(() %&&'$((* %&&'$((+ %&&'$((, -./0 1/"/$ 2#".34.5
6%;A%! @ET ? 67A1>27:2= AA; %<<F @E= :%=<7! ;E!-2 ? 67:7 AD
>9=1<
%<<! A%9=2!-2 BD 67!8H 21XD +UJ 1%!1E:2 1<H 1<2 ,JJ 1%! @=%!-71-E -% ],)J, 3P.NLOP"53"NZMVDRM#
62%<7!8 :92<>7!8 ? 6A26%:;
;AA
%<<F @E= -7!<%1 -E=;E=%<7E! %<<!C `%1E! WD 1<7<<H 21XD E!2 2%1< @E9=<> 1<=22<H 197<2
),JJ
-7!-7!!%<7 E> ,U*J* a(/.//OP#P3"^DRM#
62AA2F ? @2==%=EH ADAD;D %<<F @E= %1I21<E1 <E=<
-A%7:%!<1
%<<C <>E:%1 :D G7A1E!H 21XD **JJ 62F <EG2= )*b ;9IA7- 1X9%=2 -A2W2A%!B E> ,,)), /^.3(MNOP$33$0\Z$''"'MDRM#
62AA2F B=F2 ? G%==2! AA; %<<F @E= A%G B2I2!<9=2 <=91<
-E:;%!F E@ !2G FE=6
%<<!C B%W7B =2<<2=H ;%:2A%
I=944212\14-4872AH `2!!7@2=
->=71<7%!H 21X1
)J) ;%=6 %W2!92 !2G FE=6 !F )J)bY 6BGI"NP'Q5/R0B$5"'/#$N/OP$33$0&'0$DRM#
62AA2F B=F2 ? G%==2!H AA; %<<F @E= I; -%!%B% 2!2=8F
:%=62<7!8 -E=;D %!B I;
2!2=8F -ED
%<<C `%:21 1D -%== ? `E=B%! %D
I2=8:%!H 21X1
)J) ;%=6 %W2!92 !2G FE=6 !F )J)bY 6BGI"NP'Q5/R0B$5"'/#$N/OP$33$0&'0$DRM#
62!!2BFH `2!!76 ? :9==%F ;D-D %<<!C <>E:%1 : 62!!2BFH 21XD ))+ 9!7W2=17<F ;A%-2 b<> @A !2G FE=6 !F )JJJ+ /#Q''"0OPa#3"SM'DRM#
62!!2BFH `2!!76 ? :9==%F ;D-D %<<!C 191%! `2!!76H 21XD ))+ 9!7W2=17<F ;A%-2 b<> @A !2G FE=6 !F )JJJ+ (a$NN.POPa#3"SM'DRM#
62==H =9112AA %!B G2I2=H ;A- %<<F @E= G7!B1E= :EAB 7!-D %<<!C `%:21 2D B2A7!2H 21XD UJJ GEEBG%=B %W2!92H 197<2
*UJJ
B2<=E7< :7 ,Y**K\+,JK a$&OP'^3"^DRM#
6211A2= <E;%4 :2A<42= ? ->2-6H
AA;
%<<! `E12;> >D :2A<42=H 21XD *YJ 67!8 E@ ;=9117% =B =%B!E= ;% )]JYb a#$3/_$'OP/#RDRM#
6211A2= <E;%4 :2A<42= ? ->2-6H
AA;
%<<! 2BG%=B GD -7EA6EH 21XD *YJ 67!8 E@ ;=9117% =B =%B!E= ;% )]JYb $R.M3PMOP/#RDRM#
6211A2= <E;%4 :2A<42= ? ->2-6H
AA;
%<<! ;2<2= :9>7-H 21XD *YJ 67!8 E@ ;=9117% =B =%B!E= ;% )]JYb 5#Q[.ROP/#RDRM#
67A;%<=7-6 ? %11E-7%<21H ;D-D %<<F @E= E%6A%!B -E9!<F
<=2%19=2=
%<<C =7->%=BE 7D 67A;%<=7-6 ?
A2E!E=% 6D I%98>:%!
]J+ !D E;BF62 =E%BH 197<2 - %9I9=! >7AA1 :7 ,Y+*K $RZOP""3"^DRM#
67=6 ;D G%<1E!H 21X %1I21<E1 <=91< %B:7!71<=%<E= *+J) GEEBA%G! IE9A2W%=B %91<7! <T bYbJ+ P.'P5^"/(MNOL#".3DRM#
6A2>= >%==71E! >%=W2F
I=%!4I9=8 ? 2AA2=1 AA;
%<<F @E= :%!9@%-<9=2=1 ?
<=%B2=1 <=91< -E:;%!F
%<<! :E=<E! = I=%!4I9=8 *KJ 1 I=E%B 1<=22< ;>7A%B2A;>7% ;% )])J* :I'"N_SQ'LOP3$['DRM#
6A21<%B< G7!<2=1 `9=2AA2=
1E9<>%=B ? 1<2W2!1 AA;
%<<! 12%! - 1E9<>%=B 21X *JJ G21< ,)1< 1<=22< )b<> @AEE= !2G FE=6 !F )JJ+K ((MQ/["'&OP3$(/"&/DRM#
6A21<%B< G7!<2=1 `9=2AA2=
1E9<>%=B ? 1<2W2!1 AA;
%<<! I=2!B%! : 1-E<< *JJ G21< ,)1< 1<=22< )b<> @AEE= !2G FE=6 !F )JJ+K S(RM//OP3$(/"&/DRM#
6E>=:%! `%-61E! ? 6=%!<4H
;AA
%<<F @E= 19!!F17B2 %9<E:E<7W2
W7H AA-
%<<C `%:21 GD 2>=:%!H 21XD E!2 -A2W2A%!B -2!<2=H *J<>
@AEE=
)+bU 2%1< !7!<> 1<=22< -A2W2A%!B E> ,,)),\)b]+ a^$OPaPDRM#
6E<4H 1%!81<2=H GF1E-67 %!B
I2=8H ;D-D
%<<F @E= %;;A72B
:%!9@%-<9=7!8 <2->!EAE8721
%<<!C @=2B2=7-6 %D I2=8 H 21X1 ,JJ =2!%711%!-2 -2!<2=H 197<2
+,JJ
B2<=E7< :7 ,Y*,+ ZS$'LOPM/_("NL(/$'DRM#c
6=%:2= A2W7! !%@<%A71 ?
@=%!62A AA;
%<<F @E= <>2 E@@7-7%A
9!12-9=2B -=2B7<E=1
-E::7<<22
%<<!C <>E:%1 :E2=1 :%F2=H =
1->:7B<H `2! 1>%==2<H
))bb %W2!92 E@ <>2 %:2=7-%1 !2G FE=6 !F )JJ+K "R"/MNOP'"#$'3$d.NDRM#H
/#"0$'OP'"#$'3$d.NDRM#H
'(R[#.&/OP'"#$'3$d.NDRM#H
a(["''$/OP'"#$'3$d.NDRM#
A%:I2=<H A212=H 71%-61E!H -EE6
? 879!<%H ;D-D
%<<F @E= A7!%:%= -E=; ?
:%>%= <EEA 19;;AF -ED
%<<!C 191%! :D -EE6H 21XD ])K G%1>7!8<E! %W2!92H 197<2
+J]
I%F -7<F :7 ,YbJY (RMMPO3"#S$'/3$($'DRM#
A%:I2=<H A212=H 71%-61E!H -EE6
? 879!<%H ;D-D
%<<F @E= A7!%:%= -E=; ?
:%>%= <EEA 19;;AF -ED
%<<!C %B%: BD I=9167H 21XD ])K G%1>7!8<E! %W2!92H 197<2
+J]
I%F -7<F :7 ,YbJY "S'Q(P.O3"#S$'/3$($'DRM#
A%<>%: ? G%<67!1 AA; %<<F @E= %AA71E! <=%!1:7117E!H
7!-DH @6% -A9<-> E;2=%<7!8
-EDH 7!-D
%<<!C %B%: `D 8EABI2=8 YYU <>7=B %W2!92H 197<2 )JJJ !2G FE=6 !F )JJ**\,JKY %&"#D8M3&S$'LO3^DRM#
A%G E@@7-2 E@ 2<>%! 8%!- %<<! 2<>%! BD 8%!-H 21XD %<<F @E= G7AA7%: I=%B@E=B
`E!21
)J] GD *K<> 1<=22<H 197<2 ,% !2G FE=6 !F )JJJ) $/["NO$/["NL"NR3$L"3DRM#
;"L$ Y MZ )b
09-50026-mg Doc 13832 Filed 01/23/17 Entered 01/23/17 21:14:01 Main Document Pg 11 of 95
!"#$ %&&'$(() %&&'$((* %&&'$((+ %&&'$((, -./0 1/"/$ 2#".34.5
A%G E@@7-21 E@ 8%I=72A B2A
W7=87!7%
%<<F @E= >211 -E=;E=%<7E! %<<C 8%I=72A B2A W7=87!7%H 21XD ,YY :%B71E! %W2 !2G FE=6 !F )JJ** L"S'.$3D&$3d.'L.N."Od$'._MNDN$/
A%G=2!-2 `%F 6=%7!21H 21XD ),*+U B7-62!1 1<=22<H 197<2 , 1>2=:%! E%61 -% ]),*+\UY,K 3"''0P'".N$(OL#".3DRM#
A2-A%7==F%! ;D- %<<F E@ >E!2FG2AA
7!<2=!%<7E!%A 7!-D
%<<C :7->%2A 2D >%1<7!81 ?
:7->%2A <D -E!G%FH 21X1
Y+J <>7=B %W2!92H U<> @AEE= !2G FE=6 !F )JJ** #.R["$3DRMN^"0O3$R3".''0"NDRM#
A2WF =%<!2= ;D-D %<<F @E= 9!7<2B 1<22AGE=62=1 %<<C 194%!!2 >2;!2=H =F%! `D
I%=I9= ? =EI2=< >D 1<=E9;
YJ 278><> %W2!92H Y<> @AEE= !2G FE=6 !F )JJ)) 'S"'SQ'O3$d0'"/N$'DRM#c '(/'MQ5O3$d0'"/N$'DRM#
A2G71 A%G ;AA- %<<C 62!!2<> :D A2G71 %<<F @E= `E>%!! >%F 8:I> ?
-ED 68
)*J IAEE:7!8B%A2 =BDH 197<2 )JJ G>7<2 ;A%7!1 !F )JKJU P3$^.(O3$^.(533RDRM#
A7!2I%=82= 8E88%! IA%7= ?
1%:;1E! AA;
%<<F @E= <%==%!< -E9!<F ?
B%AA%1 -E9!<F
%<<C 2A74%I2<> G2AA2=H 21XD *+*+ I=F%! 1<=22<H 197<2 )KJJ B%AA%1 <T bU*J) &"33"(DS"NP'Q5/R0O5QS3.R"N(DRM#
A7!2I%=82= 8E88%! IA%7= ?
1%:;1E!H AA;
%<<F @E= -%:2=E! -E9!<FH
>%=A7!82!H >%=A7!82! 71BH
!92-21 -E9!<FH 1%!
%<<!C B7%!2 GD 1%!B2=1H 21XD *bJJ W7% @E=<9!% B=7W2H 197<2 ,JJ ;DED IET )b,*Y %91<7! <T bYbKJ "Q(/.NDS"NP'Q5/R0O5QS3.R"N(DRM#
A7!2I%=82= 8E88%! IA%7= ?
1%:;1E!H AA;
1<%<2 E@ <2T%1 <%T7!8
%9<>E=7<721
%<<C `E>! ;D B7AA:%!H 21XD ;E1< E@@7-2 IET +JK, >E91<E! <T bb*U+ [MQ(/MNjS"NP'Q5/R0O5QS3.R"N(DRM#
AEG2!1<27! 1%!BA2= AA; %<<! :7->%2A 1D 2<67!H 21XD KU A7W7!81<E! %W2 =E12A%!B !` JbJKY #$/P.NO3M^$N(/$.NDRM#
AEG2!1<27! 1%!BA2= AA; %<<F @E= A%==F B%=IF ? <>2
-A%11
%<<! :7->%2A 1D 2<67!H 21XD KU A7W7!81<E! %W2 =E12A%!B !` JbJKY #$/P.NO3M^$N(/$.NDRM#
AEG2!1<27! 1%!BA2= ;- %<<! :7->%2A 1D 2<67!H 21XD %<<F @E= @AEG12=W2
-E=;E=%<7E! @f6f% <>2
B9=7=E! -E:;%!F
)*U) %W2!92 E@ <>2 %:2=7-%1H
)Y<> @AEE=
!2G FE=6 !F )JJ** #$/P.NO3M^$N(/$.NDRM#
AEG2!1<27! 1%!BA2= ;- %<<! :7->%2A 1D 2<67!H 21XD %<<F @E= @AEG12=W2
-E=;E=%<7E! @f6f% <>2
B9=7=E! -E:;%!F
KU A7W7!81<E! %W2!92 =E12A%!B !` JbJKY #$/P.NO3M^$N(/$.NDRM#
:%BB7!H >%912=H G%=<2AAH =E<>
? >2AA2=H ;D-D
%<<F @E= :\<2-> %11E-7%<21 %<<!C 6%<>A22! >D 6A%91H 21XD *Y,JJ !E=<>G21<2=! >GFDH +=B
@AEE=
1E9<>@72AB :7 ,YJ+, P[PO#"&&.N["Q($'DRM#
:%<<% IA%7=H ;A- %<<F @E= ->%=<2= <EG!1>7; E@
F;17A%!<7H :7->78%!
%<<C 1<2W2! %D :%<<%H 21XD ,),U B9IA7! B=7W2H 197<2 )JJ IAEE:@72AB >7AA1 :7 ,Y+J* (#"//"O#"//"S3".'DRM#
:--%=<2= ? 2!8A71>H AA; %<<C ->%=A21 %D 1<%!47%A2H `=D !2G `2=12F 12A@ 7!19=2=1
89%=%!<F %11E-
@E9= 8%<2G%F -2!<2= )JJ :9AI2==F 1<=22< !2G%=6 !` Jb)J* R(/"N_."3$O#RR"'/$'DRM#
:--%=<2= ? 2!8A71>H AA; %<<C `2@@=2F <D<21<%H 21XD @E9= 8%<2G%F -2!<2= )JJ :9AI2==F 1<=22< !2G%=6 !` Jb)J* a/$(/"O#RR"'/$'DRM#
:--%=<>FH A2I7<H -=F1<%A ?
A7@@:%! -EDH AD;D%D
%<<F @E= B2%A2= <7=2H AA- %<<!C =EI2=< =D 6=%-><H 21XD )J) G21< ;=E1;2-< %W2!92H 197<2
)YJJ
-A2W2A%!B E> ,,))U ''PO#RR"'/[03$S./DRM#
:--=2%=F W212A6% I=%88 ?
%AA2! ;-
%<<F @E= AE-%A <2T%1 <%T7!8
%9<>E=7<721
%<<! A22 8E=BE! 21X ;E IET )*K] =E9!B =E-6 <T bYKYJ M/[$'RMQ'/(O#dS"3"^DRM#
:-62!!% AE!8 ? %AB=7B82 AA; %<<C ->%=A21 2D BE=62F 777 %<<F @E= 2W82!F %D @=72B:%! *+J ;%=6 %W2!92H 197<2 )bJJ !2G FE=6 !F )J)K] R&M'P$0O#RP$NN"3MNLDRM#
:-!%:22H AE->!2=H <7<91 ?
G7AA7%:1H ;D-D
%<<C `%-EI @D A%::2H 21XD %<<F @E= 1<D =2871 :E>%G6 <=7I2 Kbb I=E%BG%F %AI%!F !F )**Jb 3"##$O#3/^DRM#
:-!%:22H AE->!2=H <7<91 ?
G7AA7%:1H ;D-D
%<<C `E>! `D ;=7W7<2=%H 21XD %<<F @E= 1<D =2871 :E>%G6 <=7I2 Kbb I=E%BG%F %AI%!F !F )**Jb 5'.d./$'"O#3/^DRM#
:2F2=H 19E447H 2!8A71> ? 6A27!H
;D-D
%<<F @E= 7!<eA 9!7E! 9%G %!B
9%G 2< %A
%<<C >%!%! ID 6EA6EH 21XD )+UJ I=E%BG%FH 197<2 UJ) ;DED IET Y** !2G FE=6 !F )JJ)Y [PM3PMO#($PDRM#
:2F2=H 19E447H 2!8A71> ? 6A27!H
;D-D
%<<F @E= 7!<eA 9!7E! 9%G %!B
9%G 2< %A
%<<C 2BG%=B AEI2AAEH %A%!
:%=B2=D `7A :%42=\:%=7!EH `D
=%!BE -=71<7%!E
]]J 1<2G%=< %W2!92H 197<2 +JJ 8%=B2! -7<F !F ))U+J $3MS$33MO#($PDRM#
:2F2=H 19E447H 2!8A71> ? 6A27!H
;D-D
%<<F @E= ;7<!2F IEG21H 7!-H
;7<!2F IEG21 :8< 1W1H 7!-H
;7<!2F IEG21 1E
%<<C 2BG%=B `D AEI2AAEH 21XD )+UJ I=E%BG%FH 197<2 UJ) ;DED IET Y** !2G FE=6 !F )JJ)Y\JY** $3MS$33MO#($PDRM#
;"L$ ] MZ )b
09-50026-mg Doc 13832 Filed 01/23/17 Entered 01/23/17 21:14:01 Main Document Pg 12 of 95
!"#$ %&&'$(() %&&'$((* %&&'$((+ %&&'$((, -./0 1/"/$ 2#".34.5
:7->%2A 1D >EA:21H ;D-D %<<F @E= E%61 A\:H 7!-D BI%
G21<;E7!<
%<<C :7->%2A 1D >EA:21H 21XD ]bJY >7AA-=E@< 1< >E91<E! <T bbJ]K\+YJY #([5R3"^OL#".3DRM#
:7->%2A1 A%G 8=E9; %<<F @E= :%=<7! ;E!-2 ? 67: AD
>9=1<
%<<! `E!%<>%! %D :7->%2A1H
21XD
*YJ) G -E%1< >78>G%FH 1<2 +bJ !2G;E=< I2%-> -% ]*KK+ a#.R["$3(O#.R["$3(3"^L'MQ5DRM#
:7->78%! 2!W7=E!:2!<H
!%<9=%A =21E9=-21 %!B
%8=7-9A<9=2 B7W717E!
%<<F @E= :7->78%! B2;%=<:2!<
E@ 2!W7=E!:2!<%A X9%A7<F
%<<!C -2A21<2 =D 87AAH %1171<%!<
%<<E=!2F 82!2=%A
U*U GD E<<%G%H K<> @AEE=H 8D
:2!!2 G7AA7%:1 I97AB7!8
;DED IET +JbUU A%!17!8 :7 ,Y]J] ^.3RMVP+O#.R[.L"NDLMd
:7->78%! @9!B1
%B:7!71<=%<7E!
b*J) GD 1%87!%G >GFH 1<2 ))J A%!17!8 :7 ,Y])b ZQN&(O#.R[.L"NDLMd
:7->78%! GE=62=1e
-E:;2!1%<7E! %82!-F
b)UJ >%==71 B=7W2 ;E IET +JJ)K A%!17!8 :7 ,Y]J] ^R"R.NZMO#.R[.L"NDLMd
:7AI%!6H <G22BH >%BA2F ?
:--AEF AA;
%<<C <F1E! :D AE:%4EG ?
1%:92A %D 6>%A7AH 21XD
%<<F @E=C :%!9@%-<9=2=1 %!B
<=%B2=1 <=91< -E:;%!F
) ->%12 :%!>%<<%! ;A%4% !2G FE=6 !F )JJJU /3M#"_M^O#.3S"NPDRM# c (P["3.3O#.3S"NPDRM#
:7AA2= `E>!1E! %<<F @E= :7-E 7!B91<=721H 7!-D %<<!C =EI2=< BD GEA@E=BH 21XD *UJ :E!=E2 %W2!92H !DGDH 197<2
YJJ
;DED IET +JK 8=%!B =%;7B1 :7 ,]UJ)\J+JK $RZ^M3ZM'&'O#.33$'aM[N(MNDRM#
:7AA2=H -%!@72ABH ;%BBE-6 %!B
1<E!2H ;DAD-D
%<<F @E= 6E!81I2=8
%9<E:E<7W2H 7!-DH 6E!81I2=8
B=7W2A7!2 1F1<2:1 7H
6E!81I2=8 7!<2=7E= 1F1H
6E!81I2=8 ;EG2= ;=EB9-<
1F1H 6E!81I2=8 >EAB7!8
%<<!C :%=- !D 1G%!1E!H 21XD )UJ G21< `2@@2=1E! %W2!92H
197<2 *UJJ
B2<=E7< :7 ,Y**K (^"N(MN#O#.33$'R"NZ.$3&DRM#
:7AA2=H -%!@72ABH ;%BBE-6 %!B
1<E!2H ;DAD-D
%<<F @E= -E9!<F E@ G%F!2H
:7->78%!
%<<C <7:E<>F %D @91-EH 21XD )UJ G21< `2@@2=1E! %W2!92H
197<2 *UJJ
B2<=E7< :7 ,Y**K ZQ(RMO#.33$'R"NZ.$3&DRM#
:7!<4H A2W7!H -E>!H @2==71H
8AEW16F ? ;E;2EH ;D-D
%<<F @E= >7<%->7H A<BDH >7<%->7
%9<E:E<7W2 ;=EB9-<1 h91%iH
7!-DH
<E67-E h91%iH 7!-D %!B >7<%->7
-%IA2 7!B7%!%H 7!-D
%<<C ;%9A `D =7-E<<%H 21XD E!2 @7!%!-7%A -2!<2= IE1<E! :% J*))) 5'.RM//"O#.N/_DRM#
:711E9=7 B2;%=<:2!< E@
=2W2!92
I%!6=9;<-F 9!7< %<<C 1<2W2! %D 87!<>2=H 21XD ;DED IET ,bU `2@@2=1E! -7<F :E KU)JU\J,bU (&N0$RZO&M'D#MDLMd
:E!<8E:2=FH :--=%-62!H
G%A62= ? =>E%B1H AA;
%<<F @E= 1<2W2! 6%4%!H 21XD %<<!C !%<%A72 =%:12F ? `E12;>
Ee!27AH `=D
)*+ 1E9<> I=E%B 1<=22< ;>7A%B2A;>7% ;% )])J]\)J]] N'"#($0O##^'DRM#c aMN$.3O##^'DRM#
:E=8%!H A2G71 ? IE-6791 AA; %<<F @E= %=%:%=6 >EAB7!81
-E=;E=%<7E!
%<<!C :7->%2A %D IAEE: ?
=%->2A `%@@2 :%9-2=7H 21X1
)bJ) :%=62< 1<=22< ;>7A%B2A;>7% ;% )])J+\*]*) '#"QR$'.O#M'L"N3$^.(DRM#
:E<A2F =7-2 AA- %<<F @E= %1I21<E1 <E=<
-A%7:%!<1
%<<C `2%!2<<2 :D 87AI2=<H `E12;>
@D =7-2H `E>! %D I%B2! 7WH 21X1
*Y I=7B8217B2 IAWBD :<D ;A2%1%!< 1- *],K, aL.3S$'/O#M/3$0'.R$DRM#c a'.R$O#M/3$0'.R$DRM#c
aS"&$NO#M/3$0'.R$DRM#
:E<E=1 A7X97B%<7E! -E:;%!F @6% 82!2=%A :E<E=1 -E=; %<<!C <>E:%1 :E==EG ,J) 1E9<> EAB GEEBG%=B
%W2!92
197<2 +bJ I7=:7!8>%: :7 ,YJJ] /#M''M^O"3.V5"'/N$'(DRM#
:E<E=1 A7X97B%<7E! -E:;%!F %<<!C <>E:%1 :E==EG ,J) 1E9<> EAB GEEBG%=B
%W2!92H 1<2 +bJ
I7=:7!8>%: :7 ,Y*KU /#M''M^O"3.V5"'/N$'(DRM#
:9!1-> >%=B< 6E;@ ? >%==H
;D-D
%<<C :%=F GD 6E61 %<<F @E= `71 ;2=@E=:7!8 ;%=<F
8=E9;
bJJ AE9717%!%H 197<2 ,KJJ >E91<E! <T bbJJ* #PMP(O#QN(R[DRM#
:F2=1 ? @9AA2=H ;D%D %<<F @E= 8=2%<2= !2G FE=6
%9<E:EI7A2 B2%A2=1
%11E-7%<7E!
%<<C =7->%=B 1ETH 21XD *Y** =2:7!8<E! 8=22! -7=-A2 <%AA%>%1122 @A +*+JY '(MVO&$"3$'3"^0$'DRM#
!DGD I2=!1<27! ? %11E-7%<21H AA- %<<F @E= 2!W7=E!:2!<%A
-E!12=W%<7E! %!B ->2:7-%A
-E=; 17<2 <=91< @9!B
%<<C !E=:%! GD I2=!1<27!H 21XD YJJ G21<->21<2= %W2!92H 197<2
+)] !E=<>
=F2 I=EE6 !F )JUb+ N^S$'N(/$.NON^S33RDRM#
!%82A =7-2H AA; %<<!C B7%!2 2D 1%::E!1 ? `%F `D
=7-2H 21XD
%<<F @E= !<12I24% )J+ 2712!>EG2= ;%=6G%F =E12A%!B !` JbJKY &("##MN(ON"L$3'.R$DRM#c a'.R$ON"L$3'.R$DRM#
!%>7!1 ? 8E7B2AH ;D-D %<<C IE=%> 8EAB1<27!
%A<1->9A2= ? `2@@=2F ->%!-%1
+bb I=E%BG%F !2G FE=6 !F )JJ)+ &S'M&0OSM'"[LM3&(/$.NDRM#
!%=:-E 8=E9; %<<!C 8%=F 62AAF *UbU %7=;E=< =E%B G7!B1E=H E!<%=7E !YG )4, 8P$330ON"'#RMDRM#
!2A1E! :9AA7!1 =7A2F ?
1-%=IE=E98> AA;
%<<F @E= :7->2A7! <7=2 -E=;D %<<C 82E=82 -%9<>2!H 21X1 )+*J :%7! 1<=22<H )b<> @AEE= ;E1< E@@7-2 IET ))JbJ -EA9:I7% 1- *]*J) L$M'L$DR"Q/[$NON$3(MN#Q33.N(DRM#c
;"L$ )J MZ )b
09-50026-mg Doc 13832 Filed 01/23/17 Entered 01/23/17 21:14:01 Main Document Pg 13 of 95
!"#$ %&&'$(() %&&'$((* %&&'$((+ %&&'$((, -./0 1/"/$ 2#".34.5
!2A1E! :9AA7!1 =7A2F ?
1-%=IE=E98> AA;
%<<F @E= :7->2A7! <7=2 -E=;D %<<C ;2<2= `D >%A2FH 21XD *JJ -A%=2!BE! 1< @A +U IE1<E! :% J*))K\UJ,J 5$/$'D["3$0ON$3(MN#Q33.N(DRM#
!2G FE=6 1<%<2 B2;%=<:2!< E@
A%G
2!W7=E!:2!<%A ;=E<2-<7E!
I9=2%9
%<<C :%9=22! @D A2%=FH %1171<%!<
%<<E=!2F 82!2=%A
<>2 -%;7<EA %AI%!F !F )***, :"Q'$$NDA$"'0OM"LD(/"/$DN0DQ(
!2G FE=6 1<%<2 B2;%=<:2!< E@
A%G
2!W7=E!:2!<%A ;=E<2-<7E!
I9=2%9
%<<C 191%! AD <%FAE=H %1171<%!<
%<<E=!2F 82!2=%A
<>2 -%;7<EA %AI%!F !F )***, 1Q("ND<"03M'OM"LD(/"/$DN0DQ(
!2G FE=6 1<%<2H B2;<D E@ A%IE= -fE %!B=2G -9E:EH %<<F
82!2=%A E@ <>2 1<%<2 E@ !F
%<<!C 1<2W2! 6E<E!H %1171<%!<
%<<F 82!2=%A
)*J I=E%BG%FH *K<> @AEE= !2G FE=6 !F )J*b) (/$d$NDPM/MNO"LDN0DLMd
E@@7-2 E@ %<<E=!2F 82!2=%A
@E= ;2!!1FAW%!7%
%<<F @E= -E::E!G2%A<> E@
;%DH B2;< E@ =2W2!92H I9=2%9 E@
%--<1 12<<A2:
%<<C -%=EA 2D :E:`7%!H 12!7E=
B2;9<F %<<F 82!2=%A
*) 1D )*<> 1<=22<H +=B @AEE= ;>7A%B2A;>7% ;% )])Jb\+KJ+ R#M#a."NO"//M'N$0L$N$'"3DLMd
E@@7-2 E@ <>2 E>7E %<<E=!2F
82!2=%A
%<<F @E= 1<%<2 E@ E>7E %<<C A9-%1 G%=BH 21XD )UJ 2%1< 8%F 1<=22<H *)1< @AEE= -EA9:I91 E> ,+*)U 3QR"(D^"'&OM[.M"//M'N$0L$N$'"3DLMd
E@@7-2 E@ G21<->21<2= -E9!<F
%<<F
%<<C :2A711%\`2%! =E<7!7H 21XD ),Y :%=<7!2 %W2!92H K<> @AEE= G>7<2 ;A%7!1 !F )JKJ) :`=)O^$(/R[$(/$'LMdDRM#
E==7-6H >2==7!8<E! ? 19<-A7@@2
AA;
%<<F @E= >2AA% 68%% >92-6c
>2AA% -E=;E=%<2 -2!<2= 91%c
I2>=\>2AA%
%<<!C `E>! %!1I=E KKK @7@<> %W2!92 !2G FE=6 !F )J)J+ a"N(S'MOM''.RPDRM#
E=9: ? =E<>H AA- %<<F @E= !7-E= 8%1 %<<!C :%=6 BD =E<>H 21XD U+ G21< `%-61E! IE9A2W%=B ->7-%8E 7A KJKJ, #"'P&'M/[OL#".3DRM#
E<<2=IE9=8 1<27!BA2= >E91<E!
? =E12! ;-
%<<!C `E!%<>%! !D >2A@%<H 21XDH
1<2W2! 1EAAH 21XD
*+J ;%=6 %W2!92 !2G FE=6 !F )J)K]\JJbU `>2A@%<OE1>=D-E:H 11EAAOE1>=D-E:
E<<2=IE9=8H 1<27!BA2=H
>E91<E! ? =E12!H ;D-D
%<<F @E= 8:%- AA- %!B 7<1
%@@7A7%<21
%<<C B%!72A G%AA2!H :2A%!72 AD
-F8%!EG167H `E!%<>%! !D
>2A@%< ?
1<2W2! ID 1EAAH 21X1D *+J ;%=6 %W2!92 !2G FE=6 !F )J)K] E1>=\8:\SPOM(['DRM#
;%->9A167 1<%!8 472>A ? `E!21
AA;
%<<! B2%! %D 472>AH 21XD bYJ <>7=B %W2H @A +K !2G FE=6 !F )JJ)b\*J*, &_.$[3O5(_a3"^DRM#
;%->9A167 1<%!8 472>A ? `E!21
AA;
%<<! B2I=% 7D 8=%118=22!H 21XD bYJ <>7=B %W2H @A +K !2G FE=6 !F )JJ)b\*J*, &L'"((L'$$NO5(_a3"^DRM#
;%->9A167 1<%!8 472>A ? `E!21
AA;
%<<! >%==F >D >E->:%!H 21XD bYJ <>7=B %W2H @A +K !2G FE=6 !F )JJ)b\*J*, [[MR[#"NO5(_a3"^DRM#
;%->9A167 1<%!8 472>A ? `E!21
AA;
%<<! :%=7% %D IEW2H 21XD bYJ <>7=B %W2H @A +K !2G FE=6 !F )JJ)b\*J*, #SMd$O5(_a3"^DRM#
;%=62= ;E2 %B%:1 ? I2=!1<27!
AA;
%<<F @E= 1E!7- %9<E:E<7W2H
7!-D
%<<!C 67%> <D @E=B 7WH 21XD <>=22 G%->EW7% -2!<2= ,J) 1D <=FE! 1<=22<H 197<2 +JJJ ->%=AE<<2 !- *Y*J* R[.5ZM'&O5"'P$'5M$DRM#
;%9A G2711 =7@67!B G>%=<E! ?
8%==71E! AA;
%!B=2G !D =E12!I2=8H 21XD )*YU %W2!92 E@ <>2 %:2=7-%1 !2G FE=6 !F )JJ)] %=E12!I2=8O;%9AG2711D-E:
;%9AH >%1<7!81H `%!E@16F ?
G%A62= AA;
%<<F @E= =EAA1\=EF-2 %<<C >%=W2F %D 1<=7-6E!H 21XD bU 2%1< UU<> 1<=22< !2G FE=6 !F )JJ**\+*JU ["'d$0(/'.RPMNO5"Q3["(/.NL(DRM#
;%9AH G2711H =7@67!BH G>%=<E! ?
8%==71E! AA;
%<<F @E= B%!% >EAB7!8
-E=;E=%<7E!
%<<C %A%! GD 6E=!I2=8H
=2I2--% 49I%<F 21X1D
)*YU %W2!92 E@ <>2 %:2=7-%1 !2G FE=6 !F )JJ)]\KJK, "PM'NS$'LO5"Q3^$.((DRM#c
;%9AH G2711H =7@67!BH G>%=<E! ?
8%==71E! AA;
%<<F @E= 2!<2=;=712 =2!<\%\-%=
-E:;%!F
%<<C %A%! GD 6E=!I2=8 21XD )*YU %W2!92 E@ <>2 %:2=7-%1 !2G FE=6 !F )JJ)]\KJK, "PM'NS$'LO5"Q3^$.((DRM#c
;%9AH G2711H =7@67!BH G>%=<E! ?
8%==71E! AA;
%<<F @E= 7!@E=:%A 8=E9; E@
>EAB2=1 E@ 8: 9!12-9=2B
!E<21
%<<C %!B=2G =E12!I2=8H I=7%!
>2=:%!!H :%=8%=2< ;>7AA7;1
)*YU %W2!92 E@ <>2 %:2=7-%1 !2G FE=6 !F )JJ)]\KJK, "'M($NS$'LO5"Q3^$.((DRM#c
S[$'#"NNO5"Q3^$.((DRM#
;%9AH G2711H =7@67!BH G>%=<E! ?
8%==71E! AA;
%<<F @E= =FB2= 7!<28=%<2B
AE871<7-1H 7!-D
%<<!C 1<2;>2! `D 1>7:1>%6 )*YU %W2!92 E@ <>2 %:2=7-%1 !2G FE=6 !F )JJ)]\KJK, (([.#(["PO5"Q3^$.((DRM#c
;2!17E! I2!2@7< 89%=%!<F
-E=;E=%<7E!
E@@7-2 E@ <>2 82!2=%A -E9!12A %<<!C 71=%2A 8EABEG7<4H 6%=2!
:E==71H `E>! :2!62H
=%A;> A A%!BFH :%=- ;@29@@2= H
21X1D
)*JJ 6 1<=22< !G G%1>7!8<E! B- *JJJU\,J*K ;Z$QZZ$'D#"'RO5SLRDLMd
;"L$ )) MZ )b
09-50026-mg Doc 13832 Filed 01/23/17 Entered 01/23/17 21:14:01 Main Document Pg 14 of 95
!"#$ %&&'$(() %&&'$((* %&&'$((+ %&&'$((, -./0 1/"/$ 2#".34.5
;2;;2= >%:7A<E! AA; %<<F @E= 16@ 91% 7!-D %<<C >2!=F `D `%@@2 ? `%:21 -D
-%=78!%!
>2=-9A21 ;A%4%H 197<2 U)JJ )+)+ :%=62< 1<=22<H ;DED IET
)bJ]
G7A:7!8<E! B2 )]Y]]\)bJ] a"ZZ$[O5$55$'3"^DRM#
;2;;2= >%:7A<E! AA; %<<F @E= I9=A7!8<E! !E=<>2=!
1%!<2 @2 =%7AG%F -E:;%!F
%<<C 2BG%=B -D <EEA2 ? A7!B% `D
-%12F
+JJJ <GE AE8%! 1X9%=2 278><22!<> %!B %=-> 1<=22<1 ;>7A%B2A;>7% ;% )])J+\*b]] /MM3$$O5$55$'3"^DRM#c
;2;;2= >%:7A<E! AA; %<<! 6%F 1<%!B=7B82 6=211H 21XD %<<F @E= 1%<<2=A22H =E12 %!B
1;=7!8@72AB <EG!1>7; 8=E9;1
)JJ =2!%711%!-2 -2!<2=H 1<2D
+KJJ
B2<=E7< :7 ,Y*,+ P'$((PO5$55$'3"^DRM#
;2=B92H I=%!BE!H @72AB2=H
-EAA7!1 ? :E<<H ADAD;D
%<<F @E= %=A7!8<E! 71B %<<C 2A74%I2<> I%!B% -%AWE ;DED IET )+,+J %=A7!8<E! <T bKJ],\J,+J $SR"3dMO5SZR#DRM#
;2<2= :D >EI%7-% AA- %<<! ;2<2= :D >EI%7-% %<<F @E= =EI2=< !D -9==7 *J,U 82!2122 1<=22< 9<7-% !F )+UJ) 5#[33RO[MS".R"3"^DRM#
;A%<42=H 1G2=8EABH 6%=A7!H
A2W7!2H 8EABI2=8 ? `%1AEGH AA;
%<<F @E= -%!E! @7!%!-7%A
12=W7-21H 7!-D
%<<C <2=21% 1%B9<<E\-%=A2FH 21XD ,bU ;%=6 %W2 1 @A )Y !2G FE=6 !F )JJ)K\K]J) /("&Q//MO53"/_$'3"^DRM#
;A9!62<< -EE!2F %<<F @E= 8\<2-> ;=E@2117E!%A
1<%@@7!8H 7!-D
%<<C B%W7B %D A2=!2=H 21XD +YUJU GEEBG%=B %W2!92H 197<2
*JJJ
IAEE:@72AB >7AA1 :7 ,Y+J, &3$'N$'O53QNP$//RMMN$0DRM#
;A9!62<< -EE!2F %<<F @E= B2!1E 7!<2=!%<7E!%A
%:2=7-% ? B2!1E 1%A21
-%A7@E=!7%
%<<!C BE98A%1 -D I2=!1<27! ?
:7->%2A %D @A2:7!8
+YUJU GEEBG%=B %W2!92H 197<2
*JJJ
IAEE:@72AB >7AA1 :7 ,Y+J, &S$'N(/$.NO53QNP$//RMMN$0DRM#H
#Z3$#.NLO53QNP$//RMMN$0DRM#
;E=47E I=E:I2=8 ? !2G:%!
;D-D
%<<F @E= =%9@E11 %9<E:E<7W2
-E:;E!2!<1 -%!%B%
%<<C `E>! :%7=E ? =EI2=<
1->2-><2=
)JJ 1E9<>8%<2 ;%=6G%F :E==71<EG! !` Jb]K* a(#".'MO5SN3"^DRM#c '#(R[$R[/$'O5SN3"^DRM#
;E<<2= %!B2=1E! ? -E==EE!
AA;
%<<F @E= !E=@EA6 1E9<>2=!
-E=;E=%<7E! ? !E=@EA6
1E9<>2=! =%7AG%F
%<<C B%W7B I%ABG7!H <>2=21%
I=EG!\2BG%=B1H =D 1<2;>2!
:-!27AAH 21X1D
>2=-9A21 ;A%4%H K<> @AEE= )+)+ !E=<> :%=62< 1<=22< ;DED
IET ]U)
G7A:7!8<E! B2 )]YJ) &S"3&^.NO5M//$'"N&$'(MNDRM#c
'#RN$.33O5M//$'"N&$'(MNDRM#
;=2W7%!<H 8EABI2=8H 92A:2!H
8=%<4H :7AA2= ? I=92882:%!H
1D-D
%<<C 1%=% `D 822!2!H 21XD )UUU !D =7W2=-2!<2= B=7W2H 197<2
*J*
;DED IET )*]]+ :7AG%9622 G7 U+*)* (aLO5'$d."N/DRM#
;=2W7%!<H 8EABI2=8H 92A:2!H
8=%<4H :7AA2= ? I=92882:%!H
1D-D
%<<!C @=2B2=7-6 ;2=7AAE )UUU !D =7W2=-2!<2= B=7W2H 197<2
*J*
;DED IET )*]]+ :7AG%9622 G7 U+*)* Z5O5'$d."N/DRM#
;=E16%92= =E12 AA; %<<F @E= 1<%<2 1<=22< I%!6 %!B
<=91< -E
%<<C 1-E<< 6D =9<16F )) <7:21 1X !2G FE=6 !F )JJ+K\KUY) ('Q/(P0O5'M(P"Q$'DRM#
;=FE= -%1>:%! AA; %<<! ;%<=7-6 17IA2F %<<F @E= 1;-; 8=E9;H ADAD-D b <7:21 1X9%=2 !2G FE=6 !F )JJ+K\KUK] 5(.S3$0O5'0M'R"([#"NDRM#
;=FE= -%1>:%! AA; %<<! =E!%AB 1D I2%->2= %<<F @E= I%!6 E@ W%AA2<<% ;DAD-D b <7:21 1X9%=2 !2G FE=6 !F )JJ+K\KUK] 'S$"R[$'O5'0M'R"([#"NDRM#
;=FE= -%1>:%! AA; %<<! -E!=%B 6D ->79H 21XD %<<F @E= I%!6 E@ W%AA2<<% ;A- b <7:21 1X9%=2 !2G FE=6 !F )JJ+K RR[.QO5'0M'R"([#"NDRM#
X9%=A21 ? I=%BF AA; %<<C @%F2 @27!1<27! ?
->=71<E;>2= -E:I21<
%<<F @E= 9!7<2B ;%=-2A 12=W7-2H
7!-Dc 9;1 -%;7<%A -E=;D
+JJ !E=<> A%1%AA2 1<=22<H 197<2
,JJJ
->7-%8E 7A KJKU, @"0$D@$.N(/$.NOkQ"'3$(DRM#c
-['.(/M5[$'D-M#S$(/OkQ"'3$(DRM#
=%I7!EG7<4H A9I2<67! ? <9AAFH
ADAD-D
%<<F @E= <>2 =%I7!EG7<4 @%:7AFH
AA-
%<<!C `E!%<>%! 7D =%I7!EG7<4H
21XD
*]+ 2712!>EG2= ;%=6G%FH 197<2
)JJ
A7W7!81<E! !` JbJ+] a'"S.NM^./_O'3/3"^Z.'#DRM#
=%B>% =D : !%=9:%!->7 KUb :7BBA2<E! %W2!92 !2G >%W2! -< JKU)+ ''#jN"'Q#"NR[.O[M/#".3DRM#
=%F X97!!2F ? !2I262= ;D-D %<<C 1<2;>2! -D <7!82F +K 1E9<> 1<%<2 1<=22<H 197<2 ),JJ ;DED IET ,U+YU 1%A< A%62 -7<F 9< Y,),U (/.NL$0O'kNDRM#
=22B 1:7<> AA; %<<F @E= 9!7<2B 1<%<21 1<22A
-E=;E=%<7E!
%<<C 69=< @D 8GF!!2H 21XD )*J) :%=62< 1<=22<H 197<2 )UJJ G7A:7!8<E! B2 )]YJ) PL^0NN$O'$$&(#./[DRM#
=22B 1:7<> AA; %<<F @E= 9!7<2B 1<%<21 1<22A
-E=;E=%<7E!
%<< 2=7- %D 1->%@@2=H 21XD **U U<> %W2 1<2 )*JJ ;7<<1I9=8> ;% )U***\*b)K $(R["ZZ$'O'$$&(#./[DRM#
=>E%B21 :-622 %<<F @E= I%F AE871<7-1H 7!-D %<<!C <2==F AD 4%I2AH 21XD )K) E<<%G% %W2!92H !GH 197<2
KJJ
8=%!B =%;7B1 :7 ,]UJ+ /3_"S$3O'[M"&$(#RP$$DRM#
=7BB2AA G7AA7%:1 ;D1D %<<F @E= :7-=E1E@< -E=; %!B
:7-=E1E@< A7-2!17!8 8D;D
%<<C `E12;> 2D 1>7-67->H 21XD )JJ) \ ,<> %W2!92H 197<2 ,UJJ 12%<<A2 G% ]Y)U, a([.RP.R[O'.&&$33^.33."#(DRM#
=EII7!1 82AA2= =9B:%! ?
BEGB AA;
%<<F @E= A%==F B%=IF ? <>2
-A%11
%<<! ;%<=7-6 `D -E98>A7!H 21XD KUU G21< I=E%BG%FH 1<2 )]JJ 1%! B728E -% ]*)J) 5"/RO'L'&3"^DRM#
;"L$ )* MZ )b
09-50026-mg Doc 13832 Filed 01/23/17 Entered 01/23/17 21:14:01 Main Document Pg 15 of 95
!"#$ %&&'$(() %&&'$((* %&&'$((+ %&&'$((, -./0 1/"/$ 2#".34.5
=EII7!1 82AA2= =9B:%! ?
BEGB AA;
%<<F @E= A%==F B%=IF ? <>2
-A%11
%<<! B%W7B GD :7<->2AAH 21XD KUU G21< I=E%BG%FH 1<2 )]JJ 1%! B728E -% ]*)J) &"d.&#O'L'&3"^DRM#
=EII7!1 82AA2= =9B:%! ?
BEGB AA;
%<<F @E= A%==F B%=IF ? <>2
-A%11
%<<! I=7%! Ee:%=%H 21XD KUU G21< I=E%BG%FH 1<2 )]JJ 1%! B728E -% ]*)J) SM#"'"O'L'&3"^DRM#
=EII7!1 82AA2= =9B:%! ?
BEGB AA;
%<<F @E= A%==F B%=IF ? <>2
-A%11
%<<! `%-6 =2712H 21XD )*J 2%1< ;%A:2<<E ;%=6 =BH 1<2
UJJ
IE-% =%<E! @A ++,+* a'$.($O'L'&3"^DRM#
=EII7!1 82AA2= =9B:%! ?
BEGB AA;
%<<F @E= A%==F B%=IF ? <>2
-A%11
%<<! 1<9%=< %D B%W7B1E!H 21XD )*J 2%1< ;%A:2<<E ;%=6 =BH 1<2
UJJ
IE-% =%<E! @A ++,+* (&"d.&(MNO'L'&3"^DRM#
=EII7!1 82AA2= =9B:%! ?
BEGB AA;
%<<F @E= A%==F B%=IF ? <>2
-A%11
%<<! :%=6 B2%=:%!H 21XD )*J 2%1< ;%A:2<<E ;%=6 =BH 1<2
UJJ
IE-% =%<E! @A ++,+* #&$"'#"NO'L'&3"^DRM#
=EI2=< <D 1:7<>H 21XD %<<F @E= -!7 2!<2=;=7121H 7!- ),U) 2%1< A7!-EA! %W2!92 :%B71E! >278><1 :7 ,YJb) '(#./[ORN..NRDRR
=EI7!1E! G%<2=1 ? EeBE=717EH
;D-D
%<<F @E= 2!W7=E!:2!<%A
<21<7!8 -E=;E=%<7E!
%<<C %!<>E!F AD A2@@2=<H 21XD )J]] )Y<> 1<=22<H 197<2 *KJJ B2!W2= -E YJ*J* "3$ZZ$'/O'^M3"^DRM#
1%<<2=A22 1<2;>2!1 I9=62 ?
I9=62 AA;
%<<F @E= :EEBFe1 7!W21<E=1
12=W7-2
%<<C ->=71<E;>2= I2A:E!<2 ?
;%:2A% IE11G7-6H 21X1
*+J ;%=6 %W2!92 !2G FE=6 !F )J)K] RS$3#MN/$O((SSDRM#c 5SM((^.RPO((SSDRM#
1%9A 2G7!8 AA; %<<F @E= `%- ;=EB9-<1H 7!-D %<<C `2@@=2F -D >%:;<E!H 21XD -2!<=2 1X9%=2 G21< )UJJ :%=62< 1<=22<H +Y<> @AEE= ;>7A%B2A;>7% ;% )])J* a["#5/MNO("Q3DRM#
1%9A 2G7!8 AA; %<<F @E= `%- ;=EB9-<1H 7!-D %<<C %B%: >D 712!I2=8H 21XD -2!<=2 1X9%=2 G21< )UJJ :%=62< 1<=22<H +Y<> @AEE= ;>7A%B2A;>7% ;% )])J* ".($NS$'LO("Q3DRM#
1%9A 2G7!8 AA; %<<F @E= `E>!1E! :%<<>2F
<21<7!8 ? B2Wc `E>!1E!
:%<<>2F 7!-
%<<!C <2=21% 6DBD -9==72=H 21XD *** B2A%G%=2 %W2!92H 197<2 )*JJ ;DED IET )*KK G7A:7!8<E! B2 )]Y]] /RQ''.$'O("Q3DRM#
1->%@2= %!B G27!2=H ;AA- %<<F @E= >7=E<2- %:2=7-% %<<C =F%! BD >27A:%!H 21XD ,J]UJ GEEBG%=B %W2!92H 197<2
)JJ
IAEE:@72AB >7AA1 :7 ,Y+J, '[$.3#"NO(R["Z$'"N&^$.N$'DRM#c
L3$$O(R["Z$'"N&^$.N$'DRM#
1->!%B2= >%==71E! 128%A ?
A2G71 AA;
%<<F @E= %B >E- -E::7<<22 E@
-E!19:2= W7-<7:1 E@ 8:
%<<! I%==F 2 I=211A2= 21X )KJJ :%=62< 1<=22< 197<2 +KJJ ;>7A%B2A;>7% ;% )])J+\b*YK SS'$((3$'O(R[N"&$'DRM#
1->9A<2 =E<> ? 4%I2A AA; %<<F @E= ;%=!%1191 >EAB7!81 77H
AA-c ;A%<7!9: 2X97<F -%;7<%A
;%=<!2=1 77H A; %<<!C B%W7B `D 6%=; %!B %B%:
>%==71H 21X1D
])] <>7=B %W2!92 !2G FE=6 !F )JJ** &"d.&DP"'5O('_DRM#H "&"#D["''.(O('_DRM#
12-9=7<721 %!B 2T->%!82
-E::7117E!
%<<!C :%=6 1->E!@2ABH
=287E!%A B7=2-<E=
+ GE=AB @7!%!-7%A -2!<2= 197<2 ,JJ !2G FE=6 !F )J*Y) #(R[MNZ$3&OL.S(MN&QNNDRM#
12FI9=!H 6%>!H 87!!H I211 ?
12=A7! ;D-D
%<<F @E= 19;2=7E= %-X9717<7E!H
7!-D BfIf% 19;2=7E= 2A2-<=7-
8=2%< A%621 -E:;%!F %<<C B%W7B <D A7!H 21XD *JJJ <EG! -2!<2=H 197<2 )UJJ 1E9<>@72AB :7 ,YJbU\))]U &3.NO($0SQ'NDRM#
12FI9=!H 6%>!H 87!!H I211 ?
12=A7!H ;D-D
%<<F @E= 19;2=7E= %-X9717<7E!H
7!-D BfIf% 19;2=7E= 2A2-<=7-
8=2%< A%621 -E:;%!F %<<C B%W7B A7! *JJJ <EG! -2!<2=H 197<2 )UJJ 1E9<>@72AB :7 ,YJbU\))]U &3.NO($0SQ'NDRM#
1@1 A%G 8=E9; %<<! B2!!71 EeB2% %<<F @E= BG%F!2 :%F<E! ]]+J :E!=E2 =E%BH 197<2 )J+ :%<<>2G1 !- *Y)JU &$NN.(DM&$"O(Z(3"^L'MQ5DRM#
1>%G 891171 @71>:%! 8A%!<4
GEA@1E! ? <EGI7! AA-
%<<F @E= %<- AE871<7-1 ?
2A2-<=E!7-1H 7!-D
%<<C I=7%! AD 1>%GH 21XD +*) !D -A%=6 1<=22<H 197<2 YJJ ->7-%8E 7A KJKU, S(["^)JJO(["^LQ((.(DRM#
1>2%=:%! ? 1<2=A7!8 AA; %<<F @E= %:2=7-%! %TA2
:%!9@%-<9=7!8 >EAB7!81H 7!-D
%!B 7<1 %@@7A7%<21
%<<!C @=2B=7- 1E1!7-6 ? `7AA
@=744A2FH 21X1
U]] A2T7!8<E! %W2!92 !2G FE=6 !F )JJ** Z(M(N.RPO([$"'#"NDRM#
1>2;;%=B :9AA7! =7-><2= ?
>%:;<E! AA;
%<<F @E= 1F!E;1F1H 7!-D %<<C 2BG%=B <7AA7!8>%1<H :%A%!7
-%B2:%=<E=7H IA%!6% GEA@2
+J =E-@2@2AA2= ;A%4%H *,<>
@AEE=
!2G FE=6 !F )J))* $/.33.NL["(/O([$55"'&#Q33.NDRM#c
#R"&$#"'/M'.O([$55"'&#Q33.NDRM#c
S^M3Z$O([$55"'&#Q33.NDRM#
17BA2F %91<7! %<<! 1<2W2! : I72=:%! %<<F @E= G2AA1 @%=8E I%!6
!E=<>G21<H !D%D %1 %82!< <E <>2
<;- A2!B2=1
bYb 12W2!<> %W2!92 !2G FE=6 !F )JJ)] (S.$'#"NO(.&3$0DRM#
17BA2F %91<7! AA; %<<F @E= <>2 A2!B2= 8=E9; %<<!C 62!!2<> ;D 6%!1%H 21XD E!2 1E9<> B2%=IE=! ->7-%8E 7A KJKJ+ PP"N("O(.&3$0DRM#
17BA2F %91<7! AA; %<<! !7->EA%1 6D A%82:%!! %<<F @E= G2AA1 @%=8E I%!6
!E=<>G21<H !D%D %1 %82!< <E <>2
<;- A2!B2=1
bYb 12W2!<> %W2!92 !2G FE=6 !F )JJ)] N3"L$#"NNO(.&3$0DRM#
;"L$ )+ MZ )b
09-50026-mg Doc 13832 Filed 01/23/17 Entered 01/23/17 21:14:01 Main Document Pg 16 of 95
!"#$ %&&'$(() %&&'$((* %&&'$((+ %&&'$((, -./0 1/"/$ 2#".34.5
17BA2F %91<7! AA; %<<! 62!!2<> ;D 6%!1% %<<F @E= G2AA1 @%=8E I%!6
!E=<>G21<H !D%DH %1 %82!< <E
<>2 <;- A2!B2=1
E!2 1E9<> B2%=IE=! ->7-%8E 7A KJKJ+ PP"N("O(.&3$0DRM#
17:;1E! <>%->2= ? I%=<A2<< AA; %<<!C ;2<2= WD ;%!<%A2EH 21XD ,*U A2T7!8<E! %W2!92 !2G FE=6 !F )JJ)b ;;%!<%A2EO1<IA%GD-E:
17!82= ? A2W7-6 ;D-D %<<F @E= %@@7A7%<2B -E:;9<2=
12=W7-21H 7!-D
%<<C A%==F %D A2W7-6H 21XDc
:7->2AA2 2D 1>7==E
)K*JJ %BB71E! =E%BH 197<2 ),J %BB71E! <T bUJJ) 3$d.RPO(.NL$'3$d.RPDRM#H #(['.'MO(.NL$'3$d.RPDRM#
16%BB2!H %=;1H 1A%<2H :2%8>2=
? @AE: AA;
%<<F @E= B2A;>7 -E=;E=%<7E! %<<!C `E>! G:D I9<A2=H `=DH 21XD %<<!C =E! G :271A2=H 21XD )UU !D G%-62= B=7W2H 197<2 *bJJ ->7-%8E 7A KJKJK\)b*J a"RPDSQ/3$'O(P"&&$NDRM#
1:7<> ? ;%=<!2=1 %<<C !7-EA2 ID IE2>A2= %<<F @E= `E>%!! >%F 8:I> ?
-ED 68
>2==2!I2=82= 1<=%112 )* b)J+* IE2IA7!82! NSM$[3$'ORS#3"^DRM#
1:7<> ? ;%=<!2=1 %<<C !7-EA2 ID IE2>A2= >2==2!I2=82= 1<=%112 )* IE2IA7!82! b)J+* NSM$[3$'ORS#3"^DRM#
1X97=2H 1%!B2=1 ? B2:;12FH
ADAD;D
%<<F @E= <=G %9<E:E<7W2 9D1D
AA- c <=G 7!<28=%<2B ->%1171
1F1<2:1 AA-
%<<!C 8D ->=71<E;>2= :2F2=H
21XD
,]JJ 62F <EG2= )*b ;9IA7- 1X9%=2 -A2W2A%!B E> ,,)),\)+J, R#$0$'O((&DRM#
1<%>A -EG2! -=EGA2F %BB71
AA-
%<<F @E= 8: !%<eA =2<7=22 %11DH
EW2= <>2 >7AA -%= ;2E;A2H AA-
%<<C <=2!< ;D -E=!2AAH 21XD UU G21< :E!=E2 1<=22<H 197<2
)*JJ
->7-%8E 7A KJKJ+ /RM'N$33O(/"[3RM^$NDRM#
1<%=6 =2%8%! %<<F @E= 1%<<2=A9!B 19;;AF
-E:;%!F
%<<!C `D ->=71<E;>2= -%ABG2AAH
21XD
)))) GD AE!8 A%62 =E%BH 197<2
*J*
<=EF :7 ,YJ]Y RR"3&^$33O(/"'P'$"L"NDRM#
1<2:I2= @27!1<27! BEFA2 ?
;%F!2H AA-
%<<F @E= 7!<eA 9!7E! 9%G %!B
9%G 2< %A
%<<C G7AA7%: ;%F!2H `D 1<2:I2=H 2D
BEFA2H 1D ;7!-91H ;D 2G7!8H `D
>9=<
,*] @E=I21 %W2!92 %AA28>2!F I97AB7!8 1<2 )bJU ;7<<1I9=8> ;% )U*)] ^5"0N$O(/$#S$'Z$.N(/$.NDRM#
1<2:I2= @27!1<27! BEFA2 %!B
;%F!2 AA-
1<2;>2! :D ;7!-91H 21XD ,*] @E=I21 %W2!92 %AA28>2!F I97AB7!8 1<2 )bJU ;7<<1I9=8> ;% )U*)] 2@27!1<27!O1<2:I2=@27!1<27!D-E:
1<2:I2= @27!1<27! BEFA2 %!B
;%F!2 AA-
2AA2! : BEFA2H 21XD ? `E2A >9=<H
21XD ? ;%:7!% 2G7!8H 21XD
,*] @E=I21 %W2!92 %AA28>2!F I97AB7!8 1<2 )bJU ;7<<1I9=8> ;% )U*)] 2BEFA2O1<2:I2=@27!1<27!D-E:
1<2;>2! >D 8=E11H 21XD %<<F @E= B2AA :%=62<7!8 A; %!B
B2AA @7!%!-7%A 12=W7-21 AA-
+U EAB 1;E=< >7AA =E%B 2%1<E! -< JKK)* ([L'M((UO0"[MMDRM#
1<2W2!1E! ? I9AAE-6 ;A- %<<F @E= @%<% %9<E:%<7E!H 7!-D %<<!C 1E!F% !D 8EAAH 21XD *K)JJ %:2=7-%! B= 1<2 UJJ 1E9<>@72AB :7 ,YJ+,\K)Y, (LM33O(S53R3"^DRM#
1<2W2!1E! ? I9AAE-6 ;A- %<<F @E= @%<% %9<E:%<7E!H 7!-D %<<!C ->%=A21 BD I9AAE-6H 21XD *K)JJ %:2=7-%! B= 1<2 UJJ 1E9<>@72AB :7 ,YJ+,\K)Y, RSQ33MRPO(S53R3"^DRM#
1<7<21 ? >%=I71E! ;AA- %<<F @E= I=7B821<E!2 %:2=7-%1
<7=2 E;2=%<7E!1H AA-
%<<C =EI2=< -D 8EEB=7-> `= ?
:%B71E! AD :%=<7!
,J) ->9=-> 1<=22<H 197<2 YJJ !%1>W7AA2 <! +b*)] N"([d.33$S"NP'Q5/R0Z.3.NL(O(/./$(DRM#
1<7<21 ? >%=I71E!H ;AA- %<<F @E= %62IE!E -E=;D %<<C I=7%! >D :2AB=9:H 21XD ,JJ GD :%=62< 1<=22<H 197<2 )KJJ AE971W7AA2 6F ,J*J* S#$3&'Q#O(/./$(DRM#
1<=291%!B ? A%!BE!H AA; %<<F @E= B2AA :%=62<7!8H AD;D
%!B B2AA @7!%!-7%A 12=W7-21 AA-
%<<!C 1%I=7!% AD 1<=291%!BH 21XD Y)) I%=<E! 1;=7!81 =B 1<2 Y)) %91<7! <T bYbJ,\))KK (/'$Q("N&O(/'$Q("N&3"N&MNDRM#
1<=EE-6 ? 1<=EE-6 ? A%W%!
AA;
%<<! 6=71<E;>2= : >%!12! 21X )YJ :%7B2! A%!2 !2G FE=6 !F )JJ+Y\,]Y* P["N($NO(/'MMRPDRM#
1<=EE-6 ? 1<=EE-6 ? A%W%!
AA;
%<<! B%!72A % =E11 21X )YJ :%7B2! A%!2 !2G FE=6 !F )JJ+Y &'M((O(/'MMRPDRM#
1<=EE-6 ? 1<=EE-6 ? A%W%!
AA;
%<<! ->=71<E;>2= : 89>7! 21X )YJ :%7B2! A%!2 !2G FE=6 !F )JJ+Y RLQ[.NO(/'MMRPDRM#
1<9<4:%! I=E:I2=8 2112=:%!
? ;A7@6% ;-
%<<F @E= %B >E- -E::7<<22 E@
%1I21<E1 ;2=1E!%A 7!`9=F
-A%7:%!<1
%<<! 1%!B2= 2112=:%! ;2<2=
Be%;7-2 `E >%=<G7-6
*+*+ I=F%! 1<=22< 197<2 **JJ B%AA%1 <T bU*J) S'MQ(($"QO(S$5\3"^DRM#H
$(($'#"NO(S$5\3"^DRM#c ["'/^.RPO(S$5\3"^DRM#c
&e"5.R$O(S$5\3"^DRM#
1<9<4:%! I=E:I2=8 2112=:%!
? ;A7@6% ;-
-E9!12A @E= B2%! :D <=%@2A2<
7! >71 -%;%-7<F %1
A28%A =2;=212!<%<7W2 @E= @9<9=2
%1I21<E1 ;2=1E!%A 7!`9=F
-A%7:%!<1
%<<!C 1%!B2= 2112=:%!H =EI2=<
I=E9112%9H ;2<2= Bl%;7-2H `E
>%=<G7-6
*+*+ I=F%! 1<=22<H 197<2 **JJ B%AA%1 <T bU*J) S'MQ(($"QO(S$5\3"^DRM#H
$(($'#"NO(S$5\3"^DRM#H ["'/^.RPO(S$5\3"^DRM#H
&e"5.R$O(S$5\3"^DRM#
1<9<4:%!H I=E:I2=8H 2112=:%!
? ;A7@6%
%<<! 1%!B2= AD 2112=:%!H 21XD *+*+ I=F%! 1<H 1<2 **JJ B%AA%1 <T bU*J) $(($'#"NO(S$5\3"^DRM#
;"L$ ), MZ )b
09-50026-mg Doc 13832 Filed 01/23/17 Entered 01/23/17 21:14:01 Main Document Pg 17 of 95
!"#$ %&&'$(() %&&'$((* %&&'$((+ %&&'$((, -./0 1/"/$ 2#".34.5
1<9<4:%!H I=E:I2=8H 2112=:%!
? ;A7@6%
%<<! ;2<2= -D Be%;7-2H 21XD *+*+ I=F%! 1<H 1<2 **JJ B%AA%1 <T bU*J) &e"5.R$O(S$5\3"^DRM#
1<9<4:%!H I=E:I2=8H 2112=:%!
? ;A7@6%
%<<! B%W7B `D ;%=1E!1H 21XD *+*+ I=F%! 1<H 1<2 **JJ B%AA%1 <T bU*J) 5"'(MN(O(S$5\3"^DRM#
1<9<4:%!H I=E:I2=8H 2112=:%!
? ;A7@6%
%<<! I=7%!% AD -7E!7H 21XD *+*+ I=F%! 1<H 1<2 **JJ B%AA%1 <T bU*J) R.MN.O(S$5\3"^DRM#
19AA7W%! ? GE=-21<2= AA; %<<C >72=1<27!2=H B%=-2FH
49--%=2AAEH 8=EW21 ? IEB2AA
%<<F @E= 91 I%!6 !%<7E!%A
%11E-7%<7E!
E!2 ;E1< E@@7-2 1X9%=2 IE1<E! :% J*)J] '[.$'(/$.N$'O("N&^DRM#c a&"'R$0O("N&^DRM# c
"_QRR"'$33MO("N&^DRM#c
191:%! 8EB@=2F AA; %<<! :%=- :D 12A<42=H 21XD )]J) %W2!92 E@ <>2 1<%=1H 1<2 ]UJ AE1 %!82A21 -% ]JJKb\KJ*] #($3/_$'O(Q(#"NLM&Z'$0DRM#
191:%! 8EB@=2F AA; %<<! 1<2W2! 8D 16A%W2=H 21XD )]J) %W2!92 E@ <>2 1<%=1H 1<2 ]UJ AE1 %!82A21 -% ]JJKb\KJ*] ((P3"d$'O(Q(#"NLM&Z'$0DRM#
191:%! 8EB@=2F AA; %<<! 6%A;%!% 1=7!7W%1%!H 21XD )]J) %W2!92 E@ <>2 1<%=1H 1<2 ]UJ AE1 %!82A21 -% ]JJKb\KJ*] P('.N.d"("NO(Q(#"NLM&Z'$0DRM#
<27<2AI%9: ? I%167!H AA; %<<C `%F <27<2AI%9: %<<F @E= `E>%!! >%F 8:I> ?
-ED 68
+ I%=62= %W2!92H <>7=B @AEE= G>7<2 ;A%7!1 !F )JKJ) a/$./$3S"Q#O/S3"^335DRM#
<>2 8%=B2! -7<F 8=E9; 7!- %<<!C 67:I2=AF 8%=8%! )]YU :%=-91 %W2!92 A%62 19--211 !F ))J,*\)J)+ P.#S$'30DL"'L"NOL"'&$NR./0L'MQ5DRM#
<>2 <2T%1 %<<E=!2F 82!2=%Ae1
E@@7-2
%<<F @E= <2T%1 B2;< E@
<=%!1;E=<%<7E!H :E<E=
W2>7-A2 B7WD
%<<!C `D -%12F =EFH %11<D
%<<E=!2F 82!2=%A
I%!6=9;<-F ? -EAA2-<7E!1
B7W717E!
;DED IET )*U,YH :-\JJY %91<7! <T bYb))\*U,Y R"($0D'M0OM"LD(/"/$D/VDQ(
<>2 9!7W2=17<F E@ :7->78%!
E@@7-2 E@ <>2 W ; %!B 82!2=%A
-E9!12A
%<<F @E= <>2 IE%=B E@ =282!<1
E@ <>2 9!7W2=17<F E@ :7->78%!
%<<C B2I=% %D 6EG7->H 21XD UJ+ <>E:;1E! 1<=22<H =EE:
UJ,Y
%!! %=IE= :7 ,Y)J]\)+,J &PM^.R[OQ#.R[D$&Q
<7;E<2T ->2W=EA2<H 7!-D )KJJ !D 2T;=211G%F bbfY+ I=EG!1W7AA2 <T bYU*) a$(($O/.5M/$VR[$d'M3$/DRM#
<E==2H A2!<4H 8%:2AAH 8%=F ?
=7<<:%1<2=H AA;
%<<C :%=6 1D 8%:2AAH 21XD %<<F @E= 1%@2-E 7!19=%!-2
-E:;%!F E@ %:2=7-% ? A7I2=<F
:9<9%A -E:;%!F
)JJ `2=7->E X9%B=%!8A2H 197<2
+J]
`2=7->E !F ))bU+ #L"#$33O/3LL'DRM#c
<E=F1 AA; %<<F @E= >FB=E82!7-1
-E=;E=%<7E!c %!B `E12;>
-%=8!2AA7
%<<C %A71E! BD I%92= 21X ))), %W2!92 E@ <>2 %:2=7-%1 @A
*+
!2G FE=6 !F )JJ+K\bbJ+ "S"Q$'O/M'0(DRM#c
<=2!6 B7;%1X9%A2 G2I1<2= B2AA%
@2=% ? 1EBE!%H ;D-D
%<<F @E= 176% -E=;E=%<7E! %<<C 1%: B2AA% @2=%H `=DH 21XD +,b :<D ;A2%1%!< %W2!92H 197<2
+JJ
G21< E=%!82 !` JbJU* (&$33"Z$'"O/'$NP3"^Z.'#DRM#
<=E9<:%! 1%!B2=1 AA; %<<F @E= %AA72B %9<E:E<7W2
8=E9;H 7!-H %AA72B 1F1<2:1H A<B
hAD;Di
%!B <=%!1;E=< 19;;E=< AA- %<<C I=2<< BD 8EEB:%!H 21XDH
<>2 ->=F1A2= I97AB7!8
,JU A2T7!8<E! %W2!92 !2G FE=6 !F )J)b, I=2<<D8EEB:%!O<=E9<:%!1%!B2=1D-E:
<=E9<:%! 1%!B2=1 AA; %<<F @E= %AA72B %9<E:E<7W2
8=E9;H 7!-H %AA72B 1F1<2:1H A<B
hAD;Di
%!B <=%!1;E=< 19;;E=< AA- %<<C `2@@=2F GD 62AA2FH 21XD KJJ ;2%-><=22 1<=22<H !2 197<2
U*JJ
%<A%!<% 8% +J+JY a$ZZ'$0DP$33$0O/'MQ/#"N("N&$'(DRM#
9!7E! ;%-7@7- =%7A=E%B
-E:;%!F
%<<!C :%=F %!! 67A8E=2H 21XD ),JJ BE98A%1 1<=22<H 1<E; )UYJ E:%>% !2 KY)b] #P.3LM'$OQ5DRM#
9!7<2B 1<%<21 %<<E=!2F @E= <>2 1E9<>2=! B71<=7-< E@
!2G FE=6
%<<!C !%<%A72 692>A2=H 21XDH %!B
B%W7B 1D `E!21H 21X1D
YK ->%:I2=1 1<=22<H +=B @AEE= !2G FE=6 !F )JJJb &"d.&DaMN$(KOQ(&MaDLMdc
a$ZZ'$0DM$(/$'.R[$'OQ(&MaDLMdc
aM($5[DRM'&"'MOQ(&MaDLMd
9!7<2B 1<%<21 B2;%=<:2!< E@ <>2
<=2%19=F
)UJJ ;2!!1FAW%!7% %W2!92 !G %<<!C ->72@ -E9!12AH E@@7-2 E@
@7!%!-7%A 1<%I7A7<F
G%1>7!8<E! B- *J**J E@1-[.$Z-MQN($3!M/.R$(O&MD/'$"(DLMd
9!7<2B 1<%<21 B2;<D E@ `91<7-2 %<<!C 2=7- >D >EAB2=H `=DH
%<<E=!2F 82!2=%A
]UJ ;2!!1FAW%!7% %W2!92H !G G%1>7!8<E! B- *JU+J "(PBE`OQ(&MaDLMd
9!7<2B 1<%<21 B2;<D E@ `91<7-2 %<<!C %!<7\<=91< B7W717E! ]UJ ;2!!1FAW%!7% %W2!92H !G G%1>7!8<E! B- *JU+J "N/./'Q(/D"/'OQ(&MaDLMd
9!7<2B 1<22AGE=62=1 %<<C B%W7B =D `9=FH 21XD @7W2 8%<2G%F -2!<2=H 197<2 YJb ;7<<1I9=8> ;% )U*** &aQ'0OQ(^DM'L
W2BB2= ;=7-2 :7->%2A 2B2A:%!H 21XD )K++ I=E%BG%F ,b<> @AEE= !2G FE=6 !F )JJ)] :`2B2A:%!OW2BB2=;=7-2D-E:
;"L$ )U MZ )b
09-50026-mg Doc 13832 Filed 01/23/17 Entered 01/23/17 21:14:01 Main Document Pg 18 of 95
!"#$ %&&'$(() %&&'$((* %&&'$((+ %&&'$((, -./0 1/"/$ 2#".34.5
W2BB2= ;=7-2 ;D-D %<<F @E= 2T;E=< B2W2AE;:2!<
-%!%B%
%<<C :7->%2A 2B2A:%!H :7->%2A
1->27!
)K++ I=E%BG%FH ,b<> @AEE= !2G FE=6 !F )JJ)] :`2&$3#"NOd$&&$'5'.R$DRM#c
:1R[$.NOd$&&$'5'.R$DRM#
WE=F1H 1%<2=H 12F:E9= %!B
;2%12 AA;
%<<F @E= <9=!2= I=E%B-%1<7!8
1F1<2:H 7!-D
%<<!C <7@@%!F 1<=2AEG -EIIH
21XD
U* 2%1< 8%F 1<=22< -EA9:I91 E> ,+*)U /(RMSSOdM'0(DRM#
G%=!2= !E=-=E11 ? `9BB AA; %<<F @E= =EI2=< IE1-> 8:I> %<<C 8E=BE! `D <E2=7!8H 21XD ]JJ @7@<> <>7=B -2!<2= ))) AFE! 1<=22<H !G 8=%!B =%;7B1 :7 ,]UJ+ L/M$'.NLO^NaDRM#
G%=!2= !E=-=E11 ? `9BB AA; %<<F @E= 8>1;H 7!-D %<<!C 1<2;>2! ID 8=EGH 21XD ]JJ @7@<> <>7=B -2!<2= ))) AFE! 1<=22<H !G 8=%!B =%;7B1 :7 ,]UJ+ (L'M^O^NaDRM#
G%=!2= !E=-=E11 ? `9BB AA; %<<! 69=< :D I=%92=H 21XD %<<F @E= <>2 -7<F E@ I%F -7<F *JJJ <EG! -2!<2=H 197<2 *bJJ 1E9<>@72AB :7 ,YJbU\)+)Y PS'"Q$'O^NaDRM#
G%==2!H B=98%! ? I%==EG1H
;D-D
%<<F @E= ->%=A21 -A%=6 ->2WFH
<7;E<2T ->2WFH 6!%;; ->2WF
%<<C =EI2=< AD I%==EGH 21XD YJJ I=E%BG%F 1%! %!<E!7E <T bY*)U 'S"''M^(O^&S3"^DRM#c 'S"''M^(YJJOL#".3DRM#
G2I1<2= 14%!F7 AA; %<<! !2A1E! ;2=2A %<<F @E= >2%A<>!EG !2G FE=6
7!-D
),JJ A7I2=<F I97AB7!8 I9@@%AE !F ),*J* N5$'$3O^$S(/$'(_"N0.DRM#
G2I1<2= 14F%!F7 AA; %<<! 62W7! <D EeI=72!B %<<F @E= :2:I2=1 E@ <>2
@=E!<72= ->2:7-%A 17<2 ;=;
8=E9;
),JJ A7I2=<F I97AB7!8 I9@@%AE !F ),*J* PMeS'.$NO^$S(/$'(_"N0.DRM#
G27AH 8E<1>%A ? :%!821 AA; %<<!C 1<2;>2! 6%=E<67!H 21XD bKb @7@<> %W2 !2G FE=6 !F )J)U+ 1<2;>2!D6%=E<67!OG27AD-E:
G27AH 8E<1>%A ? :%!821 AA; %<<!C `E12;> >D 1:EA7!16FH 21XD bKb @7@<> %W2 !2G FE=6 !F )J)U+ `E12;>D1:EA7!16FOG27AD-E:
G7AB:%!H >%==EABH %AA2! ?
B7TE!
%<<F @E= A2E I9=!2<< B2<=E7<H
7!-H 1<%=-E: :2B7%W21<
8=E9;H 7!-DH
B787<%1H 7!-DH ;9IA7-71 8=E9;2
E;2=%<7!8 B7WH AA-H 2< %A
%<<C :7->%2A BE-6<2=:%!H
`E!%<>%! FE9!8H =2!2
@=72B:%!
**U G21< G%-62= B=7W2H 197<2
+JJJ
->7-%8E 7A KJKJK\)**] 0MQNLO^.3&#"NDRM#
G7A2!<4H 8EAB:%! ? 1;7<42=H ;D%D %<<C B27=B=2 GE9A@2 ;%->2-EH
21XD
%<<F @E=C IEI :%897=2
->2W=EA2<H7!-D
]J GEEBI=7B82 -2!<2= B=7W2 197<2 ]JJH IET )J GEEBI=7B82 !` JbJ]U &5"R[$RMO^.3$N/_DRM#
G7AA7%: 1->92<<2H %<<F 82!2=%A 6%<>AA2! %D 8%=B7!2=H %11<D %<<F
82!2=%A
-%B7AA%- ;A%-2 +J+J G21< 8=%!B IAWBD B2<=E7< :7 ,Y*J* #."LO#.R[.L"NDLMd
G7AA7%: <D 8=22!H 777H ;D-D %<<F @E= A%G=2!-2 :%=1>%AA
->2W=EA2< 77H AA-
%<<C G7AA7%: <D 8=22! 777H 21XD )) 8=22!G%F ;A%4%H 197<2 *Y*J >E91<E! <T bbJ,K QNRS.33O#(NDRM#
G7A:2= -9<A2= ;7-62=7!8 >%A2
%!B BE== AA;
%<<F @E= ;2!17E! I2!2@7<
89%=%!<F -E=;E=%<7E!
%<<C ;>7A7; BD %!62= 21X1 +]] ;%=6 %W2!92 !2G FE=6 !F )JJ** 5[.3.5D"NP$'O^.3#$'["3$DRM#c
G7A:7!8<E! <=91< -E:;%!F 89- <=91< %B:7!71<=%<E= %<<!C -E=;E=%<2 <=91< %-<7E! =EB!2F 1X9%=2 !E=<> ))JJ !E=<> :%=62< 1< G7A:7!8<E! B2 )]Y]J\)K)U LQR/'Q(/"&#.N.(/'"/M'O^.3#.NL/MN/'Q(/DRM#
G7!B2A1H :%=TH A%!2 ?
:7<<2!BE=@H AA;
%<<! 1<2@%!E WD -%AE82=EH 21XD %<<F @E= %AA1<%<2 7!19=%!-2
-E:;%!F
E!2 87=%AB% @%=:1 \ 197<2 +YJ :%B71E! !` Jb],J (R"3ML$'MO^.N&$3(#"'VDRM#
G7!1<E! ? 1<=%G! AA; %<<F @E= %1;2! :%=62<7!8
12=W7-21H 7!-D
%<<!C :%<<>2G `D IE<7-% ?
-%=2F BD 1->=27I2=
+U G21< G%-62= B=7W2 ->7-%8E 7A KJKJ) #SM/.R"O^.N(/MNDRM#c
G7!1<E! ? 1<=%G! AA; %<<F @E= 7!<2=!%<7E!%A
%9<E:E<7W2 -E:;E!2!<
8=E9; !E=<> %:2=7-% 7!-
%<<!C -%=2F BD 1->=27I2=H 21XD *JJ ;%=6 %W2!92 !2G FE=6 !F )J)KK\,)]+ R(R['$.S$'O^.N(/MNDRM#
G:D B%W7B -E@@2F ? %11E-7%<21 %<<C G:D B%W7B -E@@2FH 777 ?
:%=<7! %A%!74
%<<F @E=C -%=B2!%1 %9<E;A2TH
7!-D
)+Y)J @: )Y*K %91<7! <T bYb+b ^&RMZZ$03"^O0"[MMDRM#
GEA@ >%AB2!1<27! %BA2=
@=22:%! ? >2=4 AA;
%<<! %A2T%!B2= >D 1->:7B<H 21XD *bJ :%B71E! %W2 !2G FE=6 !F )JJ)K (R[#.&/O^["Z[DRM#
GEA@ >%AB2!1<27! %BA2=
@=22:%! ? >2=4 AA;
%<<! :%A-EA: <D I=EG!H 21XD *bJ :%B71E! %W2 !2G FE=6 !F )JJ)K S'M^NO^["Z[DRM#
GEA@ ;E;;2= AA; %<<! A21<2= AD A2WFH 21XD Y,U <>7=B %W2 !2G FE=6 !F )JJ** 33$d0O^M3Z5M55$'DRM#
GEA@ ;E;;2= AA; %<<! :7->2A2 @D =%;>%2AH 21XD Y,U <>7=B %W2 !2G FE=6 !F )JJ** #'"5["$3O^M3Z5M55$'DRM#
GEA@ ;E;;2= AA; %<<! =EI2=< 1D ;AE16FH 21XD Y,U <>7=B %W2!92 !2G FE=6 !F )JJ** '53M(P0O^M3Z5M55$'DRM#
GEA@1E! IEA<E! ;AA- %<<F @E= 89%=B7%! %9<E:E<7W2
;=EB9-<1H 7!-D
%<<C 1-E<< %D GEA@1E!H 21XD +)UJ A7W2=!E71 =BDH 197<2 *bU <=EF :7 ,YJY+ (^M3Z(MNO^M3Z(MNSM3/MNDRM#
GFAF\=E::2AH ;AA- %<<C `%:21 GFAF ? 12%! =E::2A %<<F @E= IEFB I=F%!< *+)) :EE=21 A%!2 <2T%=6%!% <T bUUJ+ a^030O^030'M##$3DRM#
;"L$ )K MZ )b
09-50026-mg Doc 13832 Filed 01/23/17 Entered 01/23/17 21:14:01 Main Document Pg 19 of 95
!"#$ %&&'$(() %&&'$((* %&&'$((+ %&&'$((, -./0 1/"/$ 2#".34.5
427->!2= 2AA:%! ? 6=%912 AA; %<<F @E= <EFE<% <191>E
-%!%B% 7!- ? <EFE<% <191>E
%:2=7-%H 7!-
%<<C 1<9%=< %D 6=%912 ? I=F%! BD
A27!I%->H 21X1
UbU A2T7!8<E! %W2!92 !2G FE=6 !F )JJ** (P'"Q($O_$P3"^DRM#c S3$.NS"R[O_$P3"^DRM#
;"L$ )b MZ )b
09-50026-mg Doc 13832 Filed 01/23/17 Entered 01/23/17 21:14:01 Main Document Pg 20 of 95
!"#$ %&&'$(() %&&'$((* %&&'$((+ %&&'$((, -./0 1/"/$ 2.3
%456%! 7!8659!:7!;%<
:%!%=7:7!;> 6!-?
-@9 A7!!7;B 56-B%541 CD++ E6<<9E -577A 45687 -%!;9! :6 ,F)FC
%6:1@4GA7:% =9117;; H<<- )I 19J;B E%-A75 45687 -B6-%=9 6< KIKIK
%6:1@1;7HB7!1 L 1;7HB7!1 *,MD :%6! 1; 1;7 ,,* NJOO%<9 !G ),*),
%5-%461 NN< *FDDI -%N9; 45 1;7 DII !986 :6 ,F+CCP*MMI
%5-%461 NN< %;;!Q -B561 H7;751 *FDDI -%N9; 45 1;7 DII !986 :6 ,F+CCP*MMI
%5-%461 =75%=B;G L :6<<75>
6!-?
%;;!Q -B561 H7;751 *FDDI -%N9; 45 1;7 DII !986 :6 ,F+CCP*MMI
N;*> 6!-? %;;!Q :%5A BJN75 *F+I 4%65G 45687 :%4619! E6 D+C)FPKCD)
-B%5;75 ;9E!1B6H 9O O<6!; %;;!Q 1%!45% 1 E56=B; ),MI 1? 4G7 59%4 O<6!; :6 ,FD+*
-B%5;75 ;9E!1B6H 9O GH16<%!;6 <%55G R? 497> ;57%1J575 C*II 1? BJ59! 56875 45? GH16<%!;6 :6 ,F)MC
-B%5;75 ;EH? 9O =7!7177 %;;!Q ;9: :%!!95> ;57%1J575 C*,, !? =7!7117 59%4 H?9? N9S *)D =7!7177 :6 ,F,+C
-6;G 9O 1%=6!%E> ;57%1J575 )+)D 1? E%1B6!=;9! %87? 1%=6!%E :6 ,FKI)
-6;G 9O 169JS -6;G -6;G ;57%1J575 H?9? N9S ,,C 169JS -6;G 6% D))I*
-<7%! B%5N951 7!8659!:7!;%<
17586-71
H?9? N9S +,,* N91;9! :% I**,)P+,,*
-9!71;9=%P598751 L %119-? %;;!Q N7;B <%!4%<7 *IDD !6%=%5% O%<<1 N<84? 1J6;7 T+ !6%=%5% O%<<1 !G ),+I,
-9!71;9=%P598751 L
%119-6%;71
*IDD !6%=%5% O%<<1 N<84 1J;67 T+ !6%=%5% O%<<1 !G ),+I,
741> %! BH -9:H%!G %;;Q %G%<% B%117<< N%!A5JH;-G L 6!19<87!-G>
17!695 %;;95!7G
B+P+%PID D,II <7=%-G 45687 H<%!9 ;S CDI*,
7!-957 7!8659!:7!;%<
-9!195;6J:
%;;!Q :%5A UJ6<;75 H?9? N9S KK KC*+ ;9EH%;B 59%4 1G5%-J17 !G )+*),PIIKK
7!8659! 6!;75!%;69!%<
-95H95%;69!
)I) -%5!7=67 -;5 1;7 *II H56!-7;9! !R IFD,IPK*+)
O%8759 =791-67!-71 %;;!Q 4%87 O%8759 ),)K 1 H%5A %87 1H56!=O67<4 6< K*CI,P+,K,
=7!75%< 96< -9:H%!G> 6!-? KK+ <G-%1;7 1; 47;596; :6 ,F*),P+,C,
=<9N%< 7!8659!:7!;%<
7!=6!7756!= 6!-?
)I+)* ! B9<<G 54 B9<<G :6 ,F,,*PM+I*
=<9N%< 7!8659!:7!;%<
7!=6!7756!=> 6!-?
)I+)* ! B9<<G 54 B9<<G :6 ,F,,*PM+I*
=59J!4E%;75 L
7!8659!:7!;%< 17586-71> 6!-
,,I -57%:75G E%G 1J6;7 DII 7S;9! H% )M+,)P*DCC
B%<7G L %<456-B 4716=! %!4
-9!;5J-;69!
,KD :74O954 1; 1;7 **II -B%5<71;9E! :% I*)*MP),D,
B%<7G L %<456-B 9O !7E G95A *II ;9E! -7!;57 45687> 1;7 * 59-B71;75 !G ),K*+P,*K,
B%G!71 %!4 N99!7 <<H %;;G O95 %65=%1> 6!-? %;;Q R9!%;B%! B99A> 71U? )**) %87!J7 9O ;B7 %:756-%1
*K;B O<
!7E G95A !G )II*IP)IIC
B45 7!=6!7756!= %;;!Q 46-A N7<< F,I, 6!46%! B6<<1 45687 9:%B% !7 KF)),
69E% 47H; 9O !%;69!%<
5719J5-71
B%2%549J1 E%1;7 57:746%<
OJ!4
DI* 7? M;B 1;577; 471 :96!71 6% DI+)MPII+,
R?%? <9:N%549 L %119-6%;71 %;;!Q R917HB %? <9:N%549 ,,D 1? <6875!961 P 1J6;7 *I* 59-B71;75 :6 ,F+IC
<9E7!1;76! 1%!4<75 <<H %;;! -%11%!45% H95;75> 71U? KD <686!=1;9! %87 5917<%!4 !R ICIKF
H"V$ ) WX *
09-50026-mg Doc 13832 Filed 01/23/17 Entered 01/23/17 21:14:01 Main Document Pg 22 of 95
!"#$ %&&'$(() %&&'$((* %&&'$((+ %&&'$((, -./0 1/"/$ 2.3
<9E7!1;76! 1%!4<75 <<H %;;G O95 <%55G 4%5NG L ;B7
-<%11
%;;! -%11%!45% H95;75> 71U? KD <686!=1;9! %87 5917<%!4 !R ICIKF
<9E7!1;76! 1%!4<75 H- %;;G O95 =59JH ) %J;9:9;687>
6!-? %!4 6;1 47%<751B6H1
%;;Q :6-B%7< 1? 7;A6!> 1? R%19!
;77<7> 65% :? <7877
)*D) %87!J7 9O ;B7 %:756-%1 !7E G95A !G )II**
<9E7!1;76! 1%!4<75 H- -@9 <9E7!1;76! 1%!4<75 H- KD <686!=1;9! %87!J7 5917<%!4 !R ICIKF
<9E7!1;76! 1%!4<75 H- %;;G O95 =59JH ) %J;9:9;687>
6!-? %!4 6;1 47%<751B6H1
%;;Q :6-B%7< 1? 7;A6!> 1? R%19!
;77<7> 65% :? <7877
KD <686!=1;9! %87!J7 5917<%!4 !R ICIKF
<9E7!1;76! 1%!4<75 H- %;;! 1? R%19! ;77<7> 71U? %;;G O95 O<9E17587
-95H95%;69! O@A@% ;B7
4J5659! -9:H%!G
)*D) %87!J7 9O ;B7 %:756-%1>
)F;B O<995
!7E G95A !G )II**
<9E7!1;76! 1%!4<75 H- %;;! 1? R%19! ;77<7> 71U? %;;G O95 O<9E17587
-95H95%;69! O@A@% ;B7
4J5659! -9:H%!G
KD <686!=1;9! %87!J7 5917<%!4 !R ICIKF
:95=%!> <7E61 L N9-A6J1 <<H %;;G O95 O:5 -95H? %;;!Q 7::7<6!7 1? <6J> 71U1 )I) H%5A %87!J7 !7E G95A !G )I)CF
:9171 L 16!=75 <<H %;;! R%:71 :? 1J<<68%!> 71U? %;;G O95 ;B7 ;6:A7! -9:H%!G L
;B7 ;6:A7! -95H95%;69!
;B7 -B5G1<75 NJ6<46!= ,ID <7S6!=;9! %87!J7 !7E G95A !G )I)C,
!98% -9!1J<;%!;1> 6!- *)DFI !986 59%4 T+II !986 :6 ,F+CD
9YN567! L =757 7!=6!7751> 6!-? %;;!Q ;755G <? N59E! H9 N9S ,FC+ 1G5%-J17 !G )+**)P,FC+
59G%< 7!8659!:7!;%<> 6!-? H?9? N9S ))DKD 1G5%-J17 !G )+*)FP)DKD
1787!19! 7!8659!:7!;%<
17586-71> 6!-?
*C,M <9-AH95; 59%4 !6%=%5% O%<<1 !G ),+I*
;B7 N%!A 9O !7E G95A O6!%!-6%< -9!;59< N6<<6!=
47H%5;:7!;
H?9? N9S )M,,D !7E%5A !R IC)MDPI,,D
;B7 N%5;7-B =59JH *CCCC O5%!A<6! 54 1;7 KII 19J;BO67<4 :6 ,FI+,PF*F*
;9E! 9O O5%:6!=B%: ;%S -9<<7-;95Y1 9OO6-7 )DI -9!-954 1; O5%:6!=B%: :% I)CI*
E%1B;7!%E -9J!;G ;57%1J575 H?9? N9S FK,D *II !? :%6! 1; 1;7 *II %!! %5N95 :6 ,F)ICPFK,D
E%1;7 :%!%=7:7!; H?9? N9S MII)ID, <9J6186<<7 AG ,I*MIP)ID,
E4- 7SH<95%;69! L E7<<1 CKDI 1 :--<6!;9-A 45 1;7 )I+ ;7:H7 %2 FD*F,P)KC+
E6<:75 -J;<75 H6-A756!= B%<7
%!4 4955 <<H
%;;G O95 H7!169! N7!7O6;
=J%5%!;G -95H95%;69!
%;;Q 47!!61 <? R7!A6!1> 71U? KI 1;%;7 1;577; N91;9! :% I*)IM
G9J!=Y1 7!8659!:7!;%<
-<7%!JH> 6!-
=PD+ID !95;B 495; B6=BE%G O<6!; :6 ,FDID
H"V$ * WX *
09-50026-mg Doc 13832 Filed 01/23/17 Entered 01/23/17 21:14:01 Main Document Pg 23 of 95
!"#$ %&&'$(() %&&'$((* %&&'$((+ %&&'$((, -./0 1/"/$ 2.3
4556-7 45 897 :!687; 18%871
8<:1877
8<%-= 94>7 ;%?61 :@1@ 57; 4556-7 AB;C *D) ?%<6-E 18F <G )DDH !7I =4<E != )DD),
:!687; 18%871 A%!E<:>8-= -4:<8 14:897<! ;618<6-8 45 !7I =4<E 897 94!4<%AB7 G%<86! CB7!! 4!7 A4IB6!C C<77! !7I =4<E != )DDD,J),DK
>"L$ ) MN )
09-50026-mg Doc 13832 Filed 01/23/17 Entered 01/23/17 21:14:01 Main Document Pg 25 of 95
!"#$ %&&'$(() %&&'$((* %&&'$((+ %&&'$((, -./0 1/"/$ 2.3
%456!7 89:;%9 :<<:=7>!?7@
A%176= B>!4
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
DE A%=@ 17 86:=86 7:F!C -%@A%! ?19%!41
%68:!G7=%!1%A6=?-% 16=?61
7=>17 AB1 H?8H@?694
%77! 7H:A%1 %!7H:!@ 1F%!I -H?6B 6J6->7?56 :BB?-6= 7=%!1%A6=?-% 16=?61 7=>17 KEL -%=?99:! <%=IF%@ 17M <676=1;>=8 B9 ++E)N
%68:!G7=%!1%A6=?-% 16=?61
7=>17 AB1 H?8H@?694
-G: 7=%!1%A6=?-% 16=?61 7=>17 7H6 -:=<:=%7?:! 7=>17
-:A<%!@
-:=<:=%7?:! 7=>17 -6!76= F?9A?!87:! 46 )ODL)
%68:!G7=%!1%A6=?-% 16=?61
7=>17 AB1 H?8H@?694
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
KLL ;:@917:! 17=667 *+=4 B9::= ;:17:! A% L*))N
%97?-:= ?!-M 7H6 -:=<:=%7?:! -:A<%!@ +LNLL 7698=%<H =:%4C 176 *+,K ;??!8H%A B%=A1 A? ,DL*KPKE*L
%97?-:= ?!-M %77! 4:>8 9M 465:1C -H?6B 6J6->7?56 :BB?-6=C
<=61?46!7 %!4 4?=6-7:=
EKEK B>97:! 17=667 6%17 A%< %4% A? ,O+KKPLLL)
%A6=?-%! ?!7=!79 8=:><C ?!-M >!?764 17%761 -:=<:=%7?:!
-:A<%!@
*E)) -6!76=5?996 =:%4 1>?76 ,LL F?9A?!87:! 46 )ODLD
%A6=?-%! ?!7=!79 8=:><C ?!-M %77! <676= 4M H%!-:-I -H?6B 6J6->7?56 :BB?-6= EL <?!6 17 !6F @:=I !@ )L*ELPLLL)
%A6=?-%! ?!7=!79 8=:><C ?!-M %77! A?-H%69 F 96%H@ DL <?!6 17 )+7H B9 !6F @:=I !@ )LLLK
%<8 B?J64 ?!-:A6 -=64?71 <::9 %77! <%>9 1<?QI6=1C -H?6B
6J6->7?56 :BB?-6=
%<8 %1167 A%!%86A6!7 >1 ?!-M NNN 7H?=4 %56 *!4 B9= !6F @:=I !@ )LL)E
%<8 B?J64 ?!-:A6 -=64?71 <::9 %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
:>46 9?!4617=%%7 EL N,)) 6Q H66=96!C !67H6=9%!41
%<8 ?!5617A6!71 >1 ?!-M %G- 17?-H7?!8 <6!1?:!B:!41
%;<
%77! <%>9 1<?QI6=1C -H?6B
6J6->7?56 :BB?-6=
%<8 %1167 A%!%86A6!7 >1 ?!-M NNN 7H?=4 %56 *!4 B9= !6F @:=I !@ )LL)E
%<8 ?!5617A6!71 >1 ?!-M %G- 17?-H7?!8 <6!1?:!B:!41
%;<
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
:>46 9?!4617=%%7 EL N,)) 6Q H66=96!C !67H6=9%!41
%= A:>!7%?! =%!86 99- 469%F%=6 -:=<:=%76 16=5?-61
?!-M
OL) ! A%=I67 17 176 ELK F?9A?!87:! 46 )ODL)
%=-H =6?!1>=%!-6 974M -G: %=-H ?!1>=%!-6 8=:><
?!-M
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
:!6 9?;6=7@ <9%2%C K+=4 B9::= !6F @:=I !@ )LLLN
%=-H =6?!1>=%!-6 974M %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
%=-H =6?!1>=%!-6 974M R %=-H
-%<?7%9 8=:>< 974
F%76=9:: H:>16C )17 B9 )LL <?771
;%@ =4
<6A;=:I6 HA LDC ;6=A>4%
%=-H =6?!1>=%!-6 974M %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
F6116J H:>16C +=4 B9::= ,K =6?4 17=667 HA )* H%A?97:! HA )* ;6=A>4%
%=61 6!H%!-64 -= :<< B4 974M %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
%=61 -%<?7%9 -:=< *,K <%=I %56 ,,7H B9::= !6F @:=I !@ )L)NE
%=61 6!H%!-64 -= :<< B4 974M %77! %!7:!@ <M=61196=C -H?6B
6J6->7?56 :BB?-6=
*LLL %56!>6 :B 7H6 17%=1 )*7H B9::= 9:1 %!86961 -% OLLNE
%=61 6!H%!-64 9! ?!5 ??? 974M %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
)OOO %56!>6 :B 7H6 17%=1 S)OLL 9:1 %!86961 -% OLLNE
%=61 6!H%!-64 9! ?!5 ??? 974M %77! %!7:!@ <M=61196=C -H?6B
6J6->7?56 :BB?-6=
*LLL %56!>6 :B 7H6 17%=1 )*7H B9::= 9:1 %!86961 -% OLLNE
%=61 6!H%!-64 9! ?!5 ?= %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
%=61 -%<?7%9 -:=< *,K <%=I %56 ,,7H B9::= !6F @:=I !@ )L)NE
%=61 6!H%!-64 9! ?!5 ?= %77! %!7:!@ <M=61196=C -H?6B
6J6->7?56 :BB?-6=
*LLL %56!>6 :B 7H6 17%=1 )*7H B9::= 9:1 %!86961 -% OLLNE
%=61 6!H%!-64 9:%!
?!5617A6!7 17=%768@ ???C 974M
A%<961B1 9?A?764 <M:M ;:J )LO+C T>66!18%76
H:>16C ))+ 1:>7H -H>=-H 17
8=%!4 -%@A%! I@)P))L*
-%@A%! ?19%!41
%=61 ???= ?5= -9: 974M %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
)OOO %56!>6 :B 7H6 17%=1 S)OLL 9:1 %!86961 -% OLLNE
%=61 ???= ?5= -9: 974M %77! %!7:!@ <M=61196=C -H?6B
6J6->7?56 :BB?-6=
*LLL %56!>6 :B 7H6 17%=1 )*7H B9::= 9:1 %!86961 -% OLLNE
<"U$ ) VW N*
09-50026-mg Doc 13832 Filed 01/23/17 Entered 01/23/17 21:14:01 Main Document Pg 27 of 95
!"#$ %&&'$(() %&&'$((* %&&'$((+ %&&'$((, -./0 1/"/$ 2.3
%=61 ?J -9: 974M %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
)OOO %56!>6 :B 7H6 17%=1 S)OLL 9:1 %!86961 -% OLLNE
%=61 ?J -9: 974M %77! %!7:!@ <M=61196=C -H?6B
6J6->7?56 :BB?-6=
*LLL %56!>6 :B 7H6 17%=1 )*7H B9::= 9:1 %!86961 -% OLLNE
%=61 5??? -9: 974M %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
)OOO %56!>6 :B 7H6 17%=1 S)OLL 9:1 %!86961 -% OLLNE
%=61 5??? -9: 974M %77! %!7:!@ <M=61196=C -H?6B
6J6->7?56 :BB?-6=
*LLL %56!>6 :B 7H6 17%=1 )*7H B9::= 9:1 %!86961 -% OLLNE
%=61 5?= -9: 974M %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
)OOO %56!>6 :B 7H6 17%=1 S)OLL 9:1 %!86961 -% OLLNE
%=61 5?= -9: 974M %77! %!7:!@ <M=61196=C -H?6B
6J6->7?56 :BB?-6=
*LLL %56!>6 :B 7H6 17%=1 )*7H B9::= 9:1 %!86961 -% OLLNE
%=61 5= -9: 974M %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
)OOO %56!>6 :B 7H6 17%=1 S)OLL 9:1 %!86961 -% OLLNE
%=61 5= -9: 974M %77! %!7:!@ <M=61196=C -H?6B
6J6->7?56 :BB?-6=
*LLL %56!>6 :B 7H6 17%=1 )*7H B9::= 9:1 %!86961 -% OLLNE
%=61 J? -9: 974M %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
)OOO %56!>6 :B 7H6 17%=1 S)OLL 9:1 %!86961 -% OLLNE
%=61 J? -9: 974M %77! %!7:!@ <M=61196=C -H?6B
6J6->7?56 :BB?-6=
*LLL %56!>6 :B 7H6 17%=1 )*7H B9::= 9:1 %!86961 -% OLLNE
%=!H:94PH:>17:! <:9?-6
:BB?-6=1X <6!1?:! 1@176A
%77! Q:H! 6M 9%F1:! 6J6->7?56 4?=6-7:= H:>17:! <:9?-6 :BB?-6=1X
<6!1?:! 1@176A
NL* 1%F@6=C 176 +LL H:>17:! 7J EELLE
%=!H:94PH:>17:! <:9?-6
:BB?-6=1X <6!1?:! 1@176A
-G: 16-=67%=@ :B 17%76 <M:M ;:J )*LEO %>17?! 7J EDE))P*LEO
%==:F8=%11 A%176= B>!4 974M -G: %==:F8=%11 -%<?7%9
<%=7!6=1 99<
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
96569 +,C 7:F6= ,*C *K :94
;=:%4 17=667
9:!4:! 6%17 1>116J 6-*!)HTC
>!?764 I?!84:A
%==:F8=%11 A%176= B>!4 974M %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
%==:F8=%11 A%176= B>!4 974M <: ;:J *,*C 8%=46!?% -7 ,K
A%=I67 17=667C
-%A%!% ;%@ I@)P))L,C -%@A%!
?19%!41
%==:F8=%11 A%176= B>!4 974M %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
%==:F8=%11 -%<?7%9 <%=7!6=1
Y>1Z 9<
)++L %56!>6 :B 7H6 %A6=?-%1C
+*!4 B9::=
!6F @:=I !@ )LL)O
%=7H>= Q 8:!2%962 ,L F%1H?!87:! 1TMC 1:>7HC =A
+),%
!6F @:=I !@ )LL)*
%1=1 ?!5617A6!7 17%BB
Y?!5617A6!7 %!%9@17Z
%=?2:!% 17%76 =67?=6A6!7 1@176A %77![ A?-H6%9 -:<69%!4 ++LL !:=7H -6!7=%9 %56!>6 <H:6!?J %2 DKL)*
%1=1 ?!5617A6!7 17%BB
Y<:=7B:9?: %!%9@17Z
%=?2:!% 17%76 =67?=6A6!7 1@176A %77![ 9><?7% ;=69%!4 ++LL !:=7H -6!7=%9 %56!>6 <H:6!?J %2 DKL)*
%11?17%!7 %77:=!6@ 86!6=%9 %=?2:!% 17%76 =67?=6A6!7 1@176A %77![ Q:7H? ;69Q%! ++LL !:=7H -6!7=%9 %56!>6 <H:6!?J %2 DKL)*
%7=?>A ?5 69?%! B?4>-?%=@ 16=5?-61
Y-%@A%!Z 9?A?764
DO !6J>1 F%@C -%A%!% ;%@ 8=%!4 -%@A%! I@9POLLE
%7=?>A ?5 %77! 4:!%94 QM <>89?1? <>89?1? R %11:-?%761 DKL 9?;=%=@ %56C 1>?76 *L, !6F%=I 46 )OE))
%7=?>A ?5 %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
)+,KK !:69 =:%4 1>?76 ))KL 4%99%1 7J EK*,L
%7=?>A ?5 -G: -=64?7 1>?116 Y%1167
A%!%86A6!7Z 9?A?764
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
)) A%4?1:! %56!>6 !6F @:=I !@ )LL)L
%7=?>A ?5 %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
<: ;:J )*+, T>66!18%76 H:>16C 1:>7H
-H=>-H 17=667
86:=86 7:F!C I@)P))LDC
-%@A%! ?19%!41
%7=?>A 5 %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
<M:M ;:J )*+,87 T>66!18%76 H:>16C 1:>7H
-H>=-H 17=667
86:=86 7:F! 8=%!4 -%@A%!C
;=?7?1H F617 ?!4?61
<"U$ * VW N*
09-50026-mg Doc 13832 Filed 01/23/17 Entered 01/23/17 21:14:01 Main Document Pg 28 of 95
!"#$ %&&'$(() %&&'$((* %&&'$((+ %&&'$((, -./0 1/"/$ 2.3
%7=?>A 5 %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
)+,KK !:69 =:%4 1>?76 ))KL 4%99%1 7J EK*,L
%7=?>A 5 -G: -=64?7 1>?116 Y%1167
A%!%86A6!7Z 9?A?764
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
)) A%4?1:! %56!>6 !6F @:=I !@ )LL)L
%77:=!6@ 86!6=%9 :B 7H6 17%76
:B ?!4?%!%
17%76 :B ?!4?%!% A%Q:= A:561 %77![ 8=68:=@ 2:6996= +L* FM F%1H?!87:! 17=667 ?M8M-M1M P B?B7H B9::= ?!4?%!%<:9?1 ?! ,N*L,
%56!>6 -9: 5C 974M -G: ?!8 %976=!%7?56 %1167
A%!%86A6!7 99-
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
*+L <%=I %56!>6 )+7H B9::= !6F @:=I !@ )L)NOPLLLK
%56!>6 -9: 5C 974M %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
K+K A%4?1:! %56M )K7H B9::= !6F @:=I !@ )LL**
%56=@ <:?!7 -9: 974M -G: 1%!I%7@ %45?1:=1 99- %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
*LL -9%=6!4:! 17=667 ;:17:! A% L*))NPKL*)
%56=@ <:?!7 -9: 974M %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
%56=@ <:?!7 -9:C 9?A?764 <: ;:J )LO+ 87 T>66!18%76
H:>16 1 -H>=-H 17
86:=86 7:F!C 8=%!4 -%@A%!C
-%@A%! ?19%!41
%56=@ <:?!7 -9: 974M -G: 1%!I%7@ %45?1:=1C 99- %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
))) H>!7?!87:! %56!>6 ;:17:! A% L*)OOPEN)K
%56=@ <:?!7 -9: 974M %56=@ <:?!7 -9:C -:=<M DKL 9?;=%=@ %56!>6 1>?76 *L, !6F%=I 46 )OE))
;%99@=:-I -9: *LLNP) 974M %77! 7H:A%1 -M H6!16 4?=6-7:= %!4 <=61?46!7 -G: ;%99@=:-I ?!5617A6!7
%45?1:=1 99-
D* 465:!1H?=6 17=667 P 6+)- ;:17:! A% L*)LO
;%99@=:-I -9: *LLNP) 974M %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
<M:M ;:J )LO+ 87 T>66!18%76 H:>16 1 -H>=-H 17 86:=86 7:F!C 8=%!4 -%@A%!C
-%@A%! ?19%!41
;%99@=:-I -9: *LLNP* 974M %77! 7H:A%1 -M H6!16 4?=6-7:= %!4 <=61?46!7 -G: ;%99@=:-I ?!5617A6!7
%45?1:=1 99-
D* 465:!1H?=6 17=667 P 6+)- ;:17:! A% L*)LO
;%99@=:-I -9: *LLNP* 974M %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
<M:M ;:J )LO+ 87 T>66!18%76 H:>16 1 -H>=-H 17 86:=86 7:F!C 8=%!4 -%@A%!C
-%@A%! ?19%!41
;%99@=:-I -9: ?? 974M %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
<M:M ;:J )LO+ 87 T>66!18%76 H:>16C 1:>7H
-H>=-H 17=667
86:=86 7:F!C 8=%!4 -%@A%!C
-%@A%! ?19%!41
;%99@=:-I -9: ?? 974M -G: ;%99@=:-I ?!5617A6!7
%45?1:=1 99-
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
D* 465:!1H?=6 17=667 P 6+)- ;:17:! A% L*)LO
;%99@=:-I -9: ??? 974M %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
<M:M ;:J )LO+ 87 T>66!18%76 H:>16C 1:>7H
-H>=-H 17=667
86:=86 7:F!C 8=%!4 -%@A%!C
-%@A%! ?19%!41
;%99@=:-I -9: ??? 974M -G: ;%99@=:-I ?!5617A6!7
%45?1:=1 99-
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
D* 465:!1H?=6 17=667 P 6+)- ;:17:! A% L*)LO
;%97?- B>!4?!8 99- 7H6 -:=<:=%7?:! 7=>17
-:A<%!@
7H6 -:=<:=%7?:! 7=>17 -6!76= )*LO :=%!86 17=667 F?9A?!87:! 46 )ODL)
;%97?- B>!4?!8 99- %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
*), !:=7H 7=@:! 17=667 -H%=9:776 !- *D*KK
;%!I :B %A6=?-% %77![ Q%1:! 17:!6 KL =:-I6B6996= <9%2% E7H B9::= !6F @:=I !@ )LL*LP)NLK
;%!I :B %A6=?-%C !M%M %77! ;=?%! A:@!?H%! -H?6B 6J6->7?56 :BB?-6= )LL !:=7H 7=@:! 17=667 1>?76 )EL -H%=9:776 !- *D*KK
;%!I :B %A6=?-%C !M%M %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
,L) !:=7H 7=@:! 17=667 -H%=9:776 !- *D*KK
;%=-9%@1 %77![ 5?:9677% F%71:! E,K E7H %56!>6 !6F @:=I !@ )LL)O
;%=-9%@1 ;%!I <9- 7H6 -:=<:=%7?:! 7=>17
-:A<%!@
-:=<:=%7?:! 7=>17 -6!76= )*LO :=%!86 17 F?9A?!87:! 46 )ODL)
;%=-9%@1 ;%!I <9- %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
) -H>=-H?99 <9%-6 9:!4:!C 6), KH< >!?764
I?!84:A
;;7 B>!4 9< %77! F?99?%A :M =6?A%!! 5?-6 <=61?46!7 -G: -H=?17?!6 A-I?;;?! *L) A%?! 17MC 1>?76 ++LL B:=7 F:=7H 7J EN)L*
<"U$ + VW N*
09-50026-mg Doc 13832 Filed 01/23/17 Entered 01/23/17 21:14:01 Main Document Pg 29 of 95
!"#$ %&&'$(() %&&'$((* %&&'$((+ %&&'$((, -./0 1/"/$ 2.3
;;7 B>!4 9< %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
*L) A%?! 17MC 1>?76 *ELL B:=7 F:=7H 7J EN)L*
;;7 B>!4 9< %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
DO !6J>1 F%@C -%A%!% ;%@ <: ;:J +))LN 8=%!4 -%@A%!C 6O I@)P)*LK
-%@A%! ?19%!41
;6-H769 7= R 7H=?B7 <9%! ;6-:!
7= R 7H=?B7 <9%!
%77! F?99?%A 4>496@C <=61?46!7 KL ;6%96 17=667 1%! B=%!-?1-: -% O,)LK
;6-H769 7= R 7H=?B7 <9%! ;6-:!
7= R 7H=?B7 <9%!
- 7 -:=<:=%7?:! 1@176A D)D F E7H 17 B9 *!4 9:1 %!86961 -% OLL)EP+,LE
;?8 1I@ ??? 16!?:= 9:%! 7=>17 %77! 7H:A%1 6M B%>17C Q= -H?6B 6J6->7?56 :BB?-6= 6%7:! 5%!-6 A%!%86A6!7 7F: ?!7=!79 <9%-6 A%< ;:17:! A% L*))L
;?8 1I@ ??? 16!?:= 9:%! 7=>17 %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
6%7:! 5%!-6 A%!%86A6!7 *KK 17%76 17=667 N7H B9::= ;:17:! A% L*)LO
;?99 R A69?!4% 8%761
B:>!4%7?:! 7= ?!5617 :BB?-6
;?99 R A69?!4% 8%761
B:>!4%7?:! 7=>17
%77![ -:!!?6 -:99?!81F:=7H *+NK -%=?99:! <:?!7 I?=I9%!4 F% ODL++
;?99 R A69?!4% 8%761
B:>!4%7?:! 7= ?!5617 :BB?-6
;?99 R A69?!4% 8%761
B:>!4%7?:! 7=>17
%77![ 7%A%=% 4=?1-:99 *+NK -%=?99:! <:?!7 I?=I9%!4 F% ODL++
;?99RA69?!4% 8%761
B:>!4%7?:! 7=>17 ?!5617 :BB?-6
;?99 R A69?!4% 8%761
B:>!4%7?:! 7=>17
%77![ =:;?! :=F?96= *+NK -%=?99:! <:?!7 I?=I9%!4 F% ODL++
;?99RA69?!4% 8%761
B:>!4%7?:! 7=>17 ?!5617 :BB?-6
;?99 R A69?!4% 8%761
B:>!4%7?:! 7=>17
%77![ 1H6=@9 1@A:!41 *+NK -%=?99:! <:?!7 I?=I9%!4 F% ODL++
;?1A%=-I -;!% 9:%! B>!4?!8
99-
-:=<:=%7?:! 16=5?-6
-:A<%!@
*E)) -6!76=5?996 =4 1>?76 ,LL F?9A?!87:! 46 )ODLD
;?1A%=-I -;!% 9:%! B>!4?!8
99-
-G: -?7?;%!IC !%7?:!%9
%11:-?%7?:!
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
EL) 6 NL7H 17 ! 1?:>J B%991 14 KE)L,PL,O+
;?1A%=-I -;!% 9:%! B>!4?!8
99-
%77! 76==@ -:!!6=P8=%H%A )D) F617 A%4?1:! 17C 1>?76 +*LL -H?-%8: ?9 NLNL*
;9%-I 4?%A:!4 -9: *LLKP) 974M %77! 176<H6! HM 46-I:BB -:PB:>!46= %!4 A%!%8?!8
<=?!-?<%9
;9%-I 4?%A:!4 -%<?7%9
A%!%86A6!7C 9M9M-
:!6 1:>!4 1H:=6 4=?56 1>?76
*LL
8=66!F?-H -7 LND+L
;9%-I 4?%A:!4 -9: *LLKP) 974M %77! 4:!%94 QM <>89?1? <>89?1? R %11:-?%761 DKL 9?;=%=@ %56 176 *L, !6F%=I 46 )OE))
;9%-I 4?%A:!4 -9: *LLKP) 974M %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
<M:M ;:J )LO+87C T>66!18%76
H:>16
1:>7H -H>=-H 17=667 86:=86 7:F!C 8=%!4 -%@A%!
)LO+87C -%@A%! ?19%!4
;9%-I 4?%A:!4 -9: *LLKP* 974M %77! 176<H6! HM 46-I:BB -:PB:>!46= %!4 A%!%8?!8
<=?!-?<%9
;9%-I 4?%A:!4 -%<?7%9
A%!%86A6!7C 9M9M-
:!6 1:>!4 1H:=6 4=?56 1>?76
*LL
8=66!F?-H -7 LND+L
;9%-I 4?%A:!4 -9: *LLKP* 974M %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
<M:M ;:J )LO+87C T>66!18%76
H:>16
1:>7H -H>=-H 17=667 86:=86 7:F!C 8=%!4 -%@A%!
)LO+87C -%@A%! ?19%!4
;9%-I 4?%A:!4 -9: *LLNP)
-%@A%! 974M
%77! 176<H6! HM 46-I:BB -:PB:>!46= %!4 A%!%8?!8
<=?!-?<%9
;9%-I 4?%A:!4 -%<?7%9
A%!%86A6!7C 9M9M-
:!6 1:>!4 1H:=6 4=?56 1>?76
*LL
8=66!F?-H -7 LND+L
;9%-I 4?%A:!4 -9: *LLNP)
-%@A%! 974M
-7 -:=<:=%7?:! 1@176A =68?176=64 %86!7 ))) D7H %56 !6F @:=I !@ )LL))PK*L)
;9%-I 4?%A:!4 -9: *LLNP)
-%@A%! 974M
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
<M:M ;:J )LO+87C T>66!18%76
H:>16
1:>7H -H>=-H 17=667 86:=86 7:F!C 8=%!4 -%@A%!
)LO+87C -%@A%! ?19%!4
;9%-I 4?%A:!4 ?!7=!79
B>!4?!8 974M
%77! 176<H6! HM 46-I:BB -:PB:>!46= %!4 A%!%8?!8
<=?!-?<%9
;9%-I 4?%A:!4 -%<?7%9
A%!%86A6!7C 9M9M-
:!6 1:>!4 1H:=6 4=?56 1>?76
*LL
8=66!F?-H -7 LND+L
;9%-I 4?%A:!4 ?!7=!79
B>!4?!8 974M
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
<M:M ;:J )LO+87C T>66!18%76
H:>16
1:>7H -H>=-H 17=667 86:=86 7:F!C 8=%!4 -%@A%!
)LO+87C -%@A%! ?19%!4
;9%-I 4?%A:!4 :BB1H:=6 974M %77! 176<H6! HM 46-I:BB -:PB:>!46= %!4 A%!%8?!8
<=?!-?<%9
;9%-I 4?%A:!4 -%<?7%9
A%!%86A6!7C 9M9M-
:!6 1:>!4 1H:=6 4=?56 1>?76
*LL
8=66!F?-H -7 LND+L
;9%-I 4?%A:!4 :BB1H:=6 974M -G: -?7-: B>!4 16=5?-61
Y-%@A%! ?19%!41Z 9?A?764
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
<M:M ;:J +))LNC DO !6J>1 F%@ -%A%!% ;%@C I@)P)*LKC -%@A%!
?19%!41
<"U$ , VW N*
09-50026-mg Doc 13832 Filed 01/23/17 Entered 01/23/17 21:14:01 Main Document Pg 30 of 95
!"#$ %&&'$(() %&&'$((* %&&'$((+ %&&'$((, -./0 1/"/$ 2.3
;9%-I=:-I -% 17%76 76%-H6=1
=67?=6A6!7 1@176A
%77! Q%-I 6H!61 -H?6B 6J6->7?56 :BB?-6= )LL F%76=B=:!7 <9%-6 F617 1%-=%A6!7: -% OKNLK
;9%-I=:-I -% 17%76 76%-H6=1
=67?=6A6!7 1@176A
%77! ;=?%! ;%=7:F 86!6=%9 -:>!169 )LL F%76=B=:!7 <9%-6 F617 1%-=%A6!7: -% OKNLK
;9%-I=:-I -% 17%76 76%-H6=1
=67?=6A6!7 1@176A
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
ENNE B:91:A ;954 1%-=%A6!7: -% OKD*N
;9%-I=:-I -% 17%76 76%-H6=1
=67?=6A6!7 1@176A
%77! Q%-I 6H!61 -H?6B 6J6->7?56 :BB?-6= -%917=1 <M:M ;:J )K*EK 1%-=%A6!7: -% OKDK)PL*EK
;9%-I=:-I -% 17%76 76%-H6=1
=67?=6A6!7 1@176A
-G: ;9%-I=:-I %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
DLL 1->446=1 A?99 =:%4 <9%?!1;:=: !Q LDK+N
;9%-I=:-I -%9?B:=!?% 17%76 76%-H6=1 =67?=6A6!7 1@176A %77![ 9%>=6!-6 4M B?!IC
-H%?=A%! R -6:
KK 6%17 K*!4 17=667 !6F @:=I !@ )LLKK
;9%-I=:-I -%9?B:=!?% 17%76 76%-H6=1 =67?=6A6!7 1@176A -G: ;9%-I=:-I %45?1:=1C 99- %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
)LL ;69965>6 <%=IF%@ F?9A?!87:! 46 )ODLO
;9%-I=:-I -:=<:=%76 H?8H
@?694 B>!4 ??? ?!-M
%77! Q:H! AM <6=9:F1I? <=61?46!7 R -H?6B 6J6->7?56
:BB?-6=
-G: ;9%-I=:-I H?8H @?694
B>!4
DLL 1->446=1 A?99 =:%4 <9%?!1;:=: !Q LDK+N
;9%-I=:-I -:=<:=%76 H?8H
@?694 B>!4 ??? ?!-M
%77! Q:H! AM <6=9:F1I?C -H?6B
6J6->7?56 :BB?-6=
KK 6%17 K*!4 17=667 !6F @:=I !@ )LLKK
;9%-I=:-I -:=<:=%76 H?8H
@?694 B>!4 ??? ?!-M
-G: ;9%-I=:-I %45?1:=1C 99- %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
)LL ;69965>6 <%=IF%@ F?9A?!87:! 46 )ODLO
;9%-I=:-I -:=<:=%76 H?8H
@?694 B>!4 ???C ?!-M
%77! 9%>=6!-6 4M B?!IC -6: KK 6%17 K*!4 17=667 !6F @:=I !@ )LLKK
;9%-I=:-I -:=<:=%76 H?8H
@?694 B>!4 5 ?!-M
%77! Q:H! AM <6=9:F1I?C -H?6B
6J6->7?56 :BB?-6=
KK 6%17 K*!4 17=667 !6F @:=I !@ )LLKK
;9%-I=:-I -:=<:=%76 H?8H
@?694 B>!4 5 ?!-M
-G: ;9%-I=:-I %45?1:=1C 99- %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
)LL ;69965>6 <%=IF%@ F?9A?!87:! 46 )ODLO
;9%-I=:-I -:=<:=%76 H?8H
@?694 B>!4 5C ?!-M
%77! Q:H! AM <6=9:F1I? <=61?46!7 R -H?6B 6J6->7?56
:BB?-6=
-G: ;9%-I=:-I H?8H @?694
B>!4
DLL 1->446=1 A?99 =:%4 <9%?!1;:=: !Q LDK+N
;9%-I=:-I -:=<:=%76 H?8H
@?694 B>!4 5C ?!-M
%77! 9%>=6!-6 4M B?!IC -6: KK 6%17 K*!4 17=667 !6F @:=I !@ )LLKK
;9%-I=:-I -:=<:=%76 H?8H
@?694 B>!4 5? ?!-M
%77! Q:H! AM <6=9:F1I?C -H?6B
6J6->7?56 :BB?-6=
KK 6%17 K*!4 17=667 !6F @:=I !@ )LLKK
;9%-I=:-I -:=<:=%76 H?8H
@?694 B>!4 5? ?!-M
-G: ;9%-I=:-I %45?1:=1C 99- %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
)LL ;69965>6 <%=IF%@ F?9A?!87:! 46 )ODLO
;9%-I=:-I -:=<:=%76 H?8H
@?694 B>!4 5?C ?!-M
%77! Q:H! AM <6=9:F1I? <=61?46!7 R -H?6B 6J6->7?56
:BB?-6=
-G: ;9%-I=:-I H?8H @?694
B>!4
DLL 1->446=1 A?99 =:%4 <9%?!1;:=: !Q LDK+N
;9%-I=:-I -:=<:=%76 H?8H
@?694 B>!4 5?C ?!-M
%77! 9%>=6!-6 4M B?!IC -6: KK 6%17 K*!4 17=667 !6F @:=I !@ )LLKK
;9%-I=:-I -:=<:=%76 H?8H
@?694 B>!4C ?!-M
%77! Q:H! AM <6=9:F1I? <=61?46!7 R -H?6B 6J6->7?56
:BB?-6=
DLL 1->446=1 A?99 =:%4 <9%?!1;:=: !Q LDK+N
;9%-I=:-I -:=<:=%76 H?8H
@?694 B>!4C ?!-M
-7 -:=<:=%7?:! 1@176A ))) 6?8H7H %56!>6 !6F @:=I !@ )LL))
;9%-I=:-I -:=<:=%76 H?8H
@?694 B>!4C ?!-M
%77! Q:H! AM <6=9:F1I?C -H?6B
6J6->7?56 :BB?-6=
KK 6%17 K*!4 17=667 !6F @:=I !@ )LLKK
;9%-I=:-I -:=<:=%76 H?8H
@?694 B>!4C ?!-M
-G: ;9%-I=:-I %45?1:=1C 99- %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
)LL ;69965>6 <%=IF%@ F?9A?!87:! 46 )ODLO
;9%-I=:-I -:=<:=%76 H?8H
@?694 B>!4C ?!-M
%77! 9%>=6!-6 4M B?!IC -6: KK 6%17 K*!4 17=667 !6F @:=I !@ )LLKK
;9%-I=:-I 46;7 17=%768?61
B>!4C ?!-M
7H6 -:=<:=%7?:! 7=>17
?!-:=<:=%764
+LL 6 9:A;%=4 17 ;%97?A:=6 A4 *)*L*P+*)O
<"U$ K VW N*
09-50026-mg Doc 13832 Filed 01/23/17 Entered 01/23/17 21:14:01 Main Document Pg 31 of 95
!"#$ %&&'$(() %&&'$((* %&&'$((+ %&&'$((, -./0 1/"/$ 2.3
;9%-I=:-I 46;7 17=%768?61
B>!4C ?!-M
%77! Q:H! AM <6=9:F1I? -6: %!4 <=61?46!7 KK 6%17 K*!4 17=667 !6F @:=I !@ )LLKK
;9%-I=:-I 46;7 17=%768?61
B>!4C ?!-M
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
+LL 6 9:A;%=4 17 ;%97?A:=6 A4 *)*L*P+*)O
;9%-I=:-I 46;7 17=%768?61
B>!4C ?!-M
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
DLL 1->446=1 A?99 =:%4 <9%?!1;:=: !Q LDK+N
;9%-I=:-I 46;7 17=%768?61
B>!4C ?!-M
%77! Q:H! AM <6=9:F1I?C -H?6B
6J6->7?56 :BB?-6=
KK 6%17 K*!4 17=667 !6F @:=I !@ )LLKK
;9%-I=:-I 46;7 17=%768?61
B>!4C ?!-M
-G: ;9%-I=:-I %45?1:=1C 99- %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
)LL ;69965>6 <%=IF%@ F?9A?!87:! 46 )ODLO
;9%-I=:-I 46;7 17=%768?61
B>!4C ?!-M
%77! 9%>=6!-6 4M B?!IC -6: KK 6%17 K*!4 17=667 !6F @:=I !@ )LLKK
;9%-I=:-I 4?56=1?B?64 ?!-:A6 17=%768?61 B>!4C ?!-M %77![ Q:H! AM <6=9:F1I?C -H?6B
6J6->7?56 :BB?-6=
KK 6%17 K*!4 17=667 !6F @:=I !@ )LLKK
;9%-I=:-I 4?56=1?B?64 ?!-:A6 17=%768?61 B>!4C ?!-M -G: ;9%-I=:-I %45?1:=1C 99- %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
)LL ;69965>6 <%=IF%@ F?9A?!87:! 46 )ODLO
;9%-I=:-I 4?56=1?B?64 ?!-:A6
17=%768?61 B>!4C ?!-M
7H6 -:=<:=%7?:! 7=>17
?!-:=<:=%764
+LL 6 9:A;%=4 17 ;%97?A:=6 A4 *)*L*P+*)O
;9%-I=:-I 4?56=1?B?64 ?!-:A6
17=%768?61 B>!4C ?!-M
%77! Q:H! AM <6=9:F1I? -6: %!4 <=61?46!7 KK 6%17 K*!4 17=667 !6F @:=I !@ )LLKK
;9%-I=:-I 4?56=1?B?64 ?!-:A6
17=%768?61 B>!4C ?!-M
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
+LL 6 9:A;%=4 17 ;%97?A:=6 A4 *)*L*P+*)O
;9%-I=:-I 4?56=1?B?64 ?!-:A6
17=%768?61 B>!4C ?!-M
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
DLL 1->446=1 A?99 =:%4 <9%?!1;:=: !Q LDK+N
;9%-I=:-I 4?56=1?B?64 ?!-:A6
17=%768?61 B>!4C ?!-M
%77! 9%>=6!-6 4M B?!IC -6: KK 6%17 K*!4 17=667 !6F @:=I !@ )LLKK
;9%-I=:-I 6A<9:@661X
=67?=6A6!7 B>!4
:B 7H6 -?7@ :B 4%99%1 %77! -H6=@9 %917:!C 6J6->7?56
4?=6-7:=
6A<9:@661X =67?=6A6!7 B>!4 :B
4%99%1
NLL !M <6%=9 17MC 1>?76 *,KL 4%99%1 7J EK*L)
;9%-I=:-I 6A<9:@661X
=67?=6A6!7 B>!4
:B 7H6 -?7@ :B 4%99%1 -%=9% 4M ;=6F6=C -H%?=A%! :B
;:%=4 :B 7=>17661
6A<9:@661X =67?=6A6!7 B>!4 :B
4%99%1
NLL !:=7H <6%=9 17=667C 1>?76
*,KLC 1:>7H 7:F6=
4%99%1 7J EK*L)PE,)K
;9%-I=:-I 6A<9:@661X
=67?=6A6!7 B>!4
:B 7H6 -?7@ :B 4%99%1 %77! A?I6 =%F9?!81C A%@:= -?7@ :B 4%99%1 )KLL A%=?99% 17=667 4%99%1 7J EK*L)PN+OL
;9%-I=:-I 6A<9:@661X
=67?=6A6!7 B>!4
:B 7H6 -?7@ :B 4%99%1 -G: ;9%-I=:-I %77![ <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
DLL 1->446=1 A?99 =:%4 <9%?!1;:=: !Q LDK+N
;9%-I=:-I 6A<9:@661X
=67?=6A6!7 B>!4
:B 7H6 -?7@ :B 4%99%1 %77![ Q:H! AM <6=9:F1I?C -H?6B
6J6->7?56 :BB?-6=
KK 6%17 K*!4 17=667 !6F @:=I !@ )LLKK
;9%-I=:-I 6A<9:@661X
=67?=6A6!7 B>!4
:B 7H6 -?7@ :B 4%99%1 -G: ;9%-I=:-I %45?1:=1C 99- %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
)LL ;69965>6 <%=IF%@ F?9A?!87:! 46 )ODLO
;9%-I=:-I 6A<9:@661X
=67?=6A6!7 B>!4
:B 7H6 -?7@ :B 4%99%1 %77![ 9%>=6!-6 4M B?!IC
-H%?=A%! R -6:
KK 6%17 K*!4 17=667 !6F @:=I !@ )LLKK
;9%-I=:-I B9:%7?!8 =%76 ?!-:A6 17=%768?61 B>!4 ?!-M %77![ Q:H! AM <6=9:F1I?C -H?6B
6J6->7?56 :BB?-6=
KK 6%17 K*!4 17=667 !6F @:=I !@ )LLKK
;9%-I=:-I B9:%7?!8 =%76 ?!-:A6 17=%768?61 B>!4 ?!-M -G: ;9%-I=:-I %45?1:=1C 99- %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
)LL ;69965>6 <%=IF%@ F?9A?!87:! 46 )ODLO
;9%-I=:-I B9:%7?!8 =%76 ?!-:A6 17=%768?61 B>!4 ?!-M %77![ 9%>=6!-6 4M B?!IC
-H%?=A%! R -6:
KK 6%17 K*!4 17=667 !6F @:=I !@ )LLKK
;9%-I=:-I B9:%7?!8 =%76
?!-:A6 17=%768?61 B>!4 ?!-
%77! Q:H! AM <6=9:F1I? -H?6B 6J6->7?56 :BB?-6= ;9%-I=:-I B9:%7?!8 =%76 ?!-A
17=%768?61 B!4C ?!-M
KK 6%17 K*!4 17=667 !6F @:=I !@ )LLKK
;9%-I=:-I B9:%7?!8 =%76
?!-:A6 17=%768?61 B>!4 ?!-
-7 -:=<:=%7?:! 1@176A ))) 6?8H7H %56 !6F @:=I !@ )LL))
<"U$ N VW N*
09-50026-mg Doc 13832 Filed 01/23/17 Entered 01/23/17 21:14:01 Main Document Pg 32 of 95
!"#$ %&&'$(() %&&'$((* %&&'$((+ %&&'$((, -./0 1/"/$ 2.3
;9%-I=:-I B9:%7?!8 =%76
?!-:A6 17=%768?61 B>!4 ?!-
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
)LL 569965>6 <%=IF%@ F?9A?!87:! 46 )ODLO
;9%-I=:-I B9:%7?!8 =%76
?!-:A6 17=%768?61 B>!4 ?!-
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
DLL 1->446=1 A?99 =:%4 <9%?!1;:=: !Q LDK+N
;9%-I=:-I B9:%7?!8 =%76
?!-:A6 17=%768?61 B>!4 ?!-
7H6 -:=<:=%7?:! 7=>17
-:A<%!@
-:=<:=%7?:! 7=>17 -6!76= )*LO :=%!86 17 F?9A?!87:! 46 )ODL)
;9%-I=:-I B>!41 H?8H @?694
;:!4 <:=7B:9?:
%77! Q:H! AM <6=9:F1I? -6: %!4 <=61?46!7 KK 6%17 K*!4 17=667 !6F @:=I !@ )LLKK
;9%-I=:-I B>!41 H?8H @?694
;:!4 <:=7B:9?:
-G: ;9%-I=:-I B>!41 ?? 7H6 -:=<:=%7?:! 7=>17
-:A<%!@
-:=<:=%7?:! 7=>17 -6!76= F?9A?!87:! 46 )ODL)
;9%-I=:-I B>!41 H?8H @?694
;:!4 <:=7B:9?:
-G: ;9%-I=:-I B>!41 ?? %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
)LL ;69965>6 <%=IF%@ F?9A?!87:! 46 )ODLO
;9%-I=:-I B>!41 H?8H @?694
;:!4 <:=7B:9?:
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
DLL 1->446=1 A?99 =:%4 <9%?!1;:=: !Q LDK+N
;9%-I=:-I B>!41 H?8H @?694
;:!4 <:=7B:9?:
%77! Q:H! AM <6=9:F1I?C -H?6B
6J6->7?56 :BB?-6=
KK 6%17 K*!4 17=667 !6F @:=I !@ )LLKK
;9%-I=:-I B>!41 H?8H @?694
;:!4 <:=7B:9?:
-G: ;9%-I=:-I %45?1:=1C 99- %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
)LL ;69965>6 <%=IF%@ F?9A?!87:! 46 )ODLO
;9%-I=:-I B>!41 H?8H @?694
;:!4 <:=7B:9?:
%77! 9%>=6!-6 4M B?!IC -6: KK 6%17 K*!4 17=667 !6F @:=I !@ )LLKK
;9%-I=:-I B>!41 H?8H @?694
;:!4 <:=7B:9?:
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
:!6 B?!%!-?%9 -6!76= ;:17:! A% L*)LO
;9%-I=:-I B>!41 ?? P H?8H @?694
;:!4 <:=7B:9?:
%77! Q:H! AM <6=9:F1I? -6: %!4 <=61?46!7 KK 6%17 K*!4 17=667 !6F @:=I !@ )LLKK
;9%-I=:-I B>!41 ?? P H?8H @?694
;:!4 <:=7B:9?:
-G: ;9%-I=:-I B>!41 ?? 7H6 -:=<:=%7?:! 7=>17
-:A<%!@
-:=<:=%7?:! 7=>17 -6!76= F?9A?!87:! 46 )ODL)
;9%-I=:-I B>!41 ?? P H?8H @?694
;:!4 <:=7B:9?:
-G: ;9%-I=:-I B>!41 ?? %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
)LL ;69965>6 <%=IF%@ F?9A?!87:! 46 )ODLO
;9%-I=:-I B>!41 ?? P H?8H @?694
;:!4 <:=7B:9?:
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
DLL 1->446=1 A?99 =:%4 <9%?!1;:=: !Q LDK+N
;9%-I=:-I B>!41 ?? P H?8H @?694
;:!4 <:=7B:9?:
%77! Q:H! AM <6=9:F1I?C -H?6B
6J6->7?56 :BB?-6=
KK 6%17 K*!4 17=667 !6F @:=I !@ )LLKK
;9%-I=:-I B>!41 ?? P H?8H @?694
;:!4 <:=7B:9?:
-G: ;9%-I=:-I %45?1:=1C 99- %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
)LL ;69965>6 <%=IF%@ F?9A?!87:! 46 )ODLO
;9%-I=:-I B>!41 ?? P H?8H @?694
;:!4 <:=7B:9?:
%77! 9%>=6!-6 4M B?!IC -6: KK 6%17 K*!4 17=667 !6F @:=I !@ )LLKK
;9%-I=:-I B>!41 ?? P H?8H @?694
;:!4 <:=7B:9?:
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
:!6 B?!%!-?%9 -6!76= ;:17:! A% L*)LO
;9%-I=:-I 89:;%9 ?!5617A6!7
16=?61
?!-:A6 17=%768?61 <:=7B:9?: %77![ 9%>=6!-6 4M B?!IC
-H%?=A%! R -6:
KK 6%17 K*!4 17=667 !6F @:=I !@ )LLKK
;9%-I=:-I 89:;%9 ?!5617A6!7
16=?61
?!-:A6 17=%768?61 <:=7B:9?: -G: ;9%-I=:-I %45?1:=1C 99- %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
)LL ;69965>6 <%=IF%@ F?9A?!87:! 46 )ODLO
;9%-I=:-I 89:;%9 ?!5617A6!7
16=?61
?!-:A6 17=%768?61 <:=7B:9?: -G: ;9%-I=:-I ?!5617A6!7
A%!%86A6!7 Y>IZ 9?A?764
%77![ 6=?-% H%!49?!8C 86!6=%9
-:>!169
)* 7H=:8A:=7:! %56!>6C
9:!4:!C 6-*! *49C 6!89%!4
;9%-I=:-I 89:;%9 ?!5617A6!7
16=?61[
?!-:A6 17=%768?61 <:=7B:9?: -G: A9 ?!5617A6!7 A%!%86=1 %77![ <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
DLL 1->446=1 A?99 =:%4 %=6 <9%?!1;:=: !Q LDK+NP)NLN
;9%-I=:-I 89:;%9 ?!5617A6!7
16=?61[
?!-:A6 17=%768?61 <:=7B:9?: -G: ;9%-I=:-I B?!%!-?%9
A%!%86A6!7C ?!-M
%77![ <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
KK 6%17 K*!4 17 !6F @:=I !@ )LL**
;9%-I=:-I 89:;%9 ?!5617A6!7
16=?61[
?!-:A6 17=%768?61 <:=7B:9?: 9%>=6!-6 B?!IC -H?6B 6J6->7?56
:BB?-6=
;9%-I=:-I B?!%!-?%9
A%!%86A6!7C ?!-M
,KK 6%17 K*!4 17 !6F @:=I !@ )LL**
<"U$ E VW N*
09-50026-mg Doc 13832 Filed 01/23/17 Entered 01/23/17 21:14:01 Main Document Pg 33 of 95
!"#$ %&&'$(() %&&'$((* %&&'$((+ %&&'$((, -./0 1/"/$ 2.3
;9%-I=:-I 81%A 8:94A%!
-:=6 <9>1 B?J64 ?!-:A6 B>!4
-G: 8:94A%! 1%-H1 B>!41
A%!%86A6!7C 9M<
%77[ 86!M -:>!169 DK ;=:%4 17 !6F @:=I !@ )LLL,P*,+,
;9%-I=:-I 81%A 8:94A%!
-:=6 <9>1 B?J64 ?!-:A6 B>!4
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
**E F%1H?!87:! 17=667 -:9>A;>1 ?! ,E*L*
;9%-I=:-I 81%A 8:94A%!
-:=6 <9>1 B?J64 ?!-:A6 B>!4
%77! Q:H! AM <6=9:F1I?C -H?6B
6J6->7?56 :BB?-6=
KK 6%17 K*!4 17=667 !6F @:=I !@ )LLKK
;9%-I=:-I 81%A 8:94A%!
-:=6 <9>1 B?J64 ?!-:A6 B>!4
-G: 7H6 8:94A%! 1%-H1
8=:><C ?!-MC
%77![ A%1%!:=? A:-H?4%C
A%!%8?!8 4?=6-7:=
*LL F617 17=667 !6F @:=I !@ )L*D*
;9%-I=:-I 81%A 8:94A%!
-:=6 <9>1 B?J64 ?!-:A6 B>!4
-G: 7H6 8:94A%! 1%-H1
8=:><C ?!-M
%77![ 86:=86 966C 6J6->7?56 *LL F617 17=667 !6F @:=I !@ )L*D*
;9%-I=:-I H?8H ?!-A B>!4 :B
;9%-I=:-I;:!4 B>!4 ?!-
%77! Q:H! AM <6=9:F1I? -6: %!4 <=61?46!7 KK 6%17 K*!4 17=667 !6F @:=I !@ )LLKK
;9%-I=:-I H?8H ?!-A B>!4 :B
;9%-I=:-I;:!4 B>!4 ?!-
-G: ;9%-I=:-I B>!41 ?? 7H6 -:=<:=%7?:! 7=>17
-:A<%!@
-:=<:=%7?:! 7=>17 -6!76= F?9A?!87:! 46 )ODL)
;9%-I=:-I H?8H ?!-A B>!4 :B
;9%-I=:-I;:!4 B>!4 ?!-
-G: ;9%-I=:-I B>!41 ?? %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
)LL ;69965>6 <%=IF%@ F?9A?!87:! 46 )ODLO
;9%-I=:-I H?8H ?!-A B>!4 :B
;9%-I=:-I;:!4 B>!4 ?!-
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
DLL 1->446=1 A?99 =:%4 <9%?!1;:=: !Q LDK+N
;9%-I=:-I H?8H ?!-:A6 B>!4
:B
;9%-I=:-I;:!4 B>!4 ?!-M %77![ Q:H! AM <6=9:F1I?C -6: KK 6%17 K*!4 17=667 !6F @:=I !@ )LLKK
;9%-I=:-I H?8H ?!-:A6 B>!4
:B
;9%-I=:-I;:!4 B>!4 ?!-M -G: ;9%-I=:-I %45?1:=1C 99- %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
)LL ;69965>6 <%=IF%@ F?9A?!87:! 46 )ODLO
;9%-I=:-I H?8H ?!-:A6 B>!4
:B
;9%-I=:-I;:!4 B>!4 ?!-M %77![ 9%>=6!-6 4M B?!IC
-H%?=A%! R -6:
KK 6%17 K*!4 17=667 !6F @:=I !@ )LLKK
;9%-I=:-I H?8H ?!-:A6
1H%=61
-7 -:=<:=%7?:! 1@176A ))) D7H %56 !6F @:=I !@ )LL))PK*L)
;9%-I=:-I H?8H ?!-:A6
1H%=61
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
))) D7H %56M !6F @:=I !@ )LL))
;9%-I=:-I H?8H ?!-:A6
1H%=61
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
)LL ;69965>6 <%=IF%@ F?9A?!87:! 46 )ODLO
;9%-I=:-I H?8H ?!-:A6
1H%=61
%77! Q:H! AM <6=9:F1I?C -H?6B
6J6->7?56 :BB?-6=
KK 6%17 K*!4 17=667 !6F @:=I !@ )LLKK
;9%-I=:-I H?8H @?694 7=>17 -G: ;9%-I=:-I -:=<:=%76
H?8H @?694 B>!4C ?!-M
-7 -:=<:=%7?:! 1@176A ))) 6?8H7H %56!>6 !6F @:=I !@ )LL))
;9%-I=:-I H?8H @?694 7=>17 -G: ;9%-I=:-I -:=<:=%76
H?8H @?694 B>!4C ?!-M
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
DLL 1->446=1 A?99 =4 <9%?!1;:=: !Q LDK+N
;9%-I=:-I H?8H @?694 7=>17 %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
+,K <%=I %56!>6 !6F @:=I !@ )L)K,
;9%-I=:-I H?8H @?694 7=>17 %77! Q:H! AM <6=9:F1I?C -H?6B
6J6->7?56 :BB?-6=
KK 6%17 K*!4 17=667 !6F @:=I !@ )LLKK
;9%-I=:-I H?8H @?694 7=>17 -G: ;9%-I=:-I %45?1:=1C 99- %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
)LL ;69965>6 <%=IF%@ F?9A?!87:! 46 )ODLO
;9%-I=:-I H?8H @?694 7=>17 %77! 9%>=6!-6 4M B?!IC -6: KK 6%17 K*!4 17=667 !6F @:=I !@ )LLKK
;9%-I=:-I A%!%864 %--
16=?61 H?8H ?!-:A6 <:=7B:9?:
%77! Q:H! AM <6=9:F1I? -6: %!4 <=61?46!7 KK 6%17 K*!4 17=667 !6F @:=I !@ )LLKK
;9%-I=:-I A%!%864 %--
16=?61 H?8H ?!-:A6 <:=7B:9?:
-G: ;9%-I=:-I B>!41 ?? 7H6 -:=<:=%7?:! 7=>17
-:A<%!@
-:=<:=%7?:! 7=>17 -6!76= F?9A?!87:! 46 )ODL)
;9%-I=:-I A%!%864 %--
16=?61 H?8H ?!-:A6 <:=7B:9?:
-G: ;9%-I=:-I B>!41 ?? %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
)LL ;69965>6 <%=IF%@ F?9A?!87:! 46 )ODLO
<"U$ D VW N*
09-50026-mg Doc 13832 Filed 01/23/17 Entered 01/23/17 21:14:01 Main Document Pg 34 of 95
!"#$ %&&'$(() %&&'$((* %&&'$((+ %&&'$((, -./0 1/"/$ 2.3
;9%-I=:-I A%!%864 %--
16=?61 H?8H ?!-:A6 <:=7B:9?:
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
DLL 1->446=1 A?99 =:%4 <9%?!1;:=: !Q LDK+N
;9%-I=:-I A%!%864 %--
16=?61 H?8H ?!-:A6 <:=7B:9?:
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
<M:M ;:J OL)) <=?!-67:! !Q LDK,+
;9%-I=:-I A%!%864 %--:>!7
16=?61
H?8H ?!-:A6 <:=7B:9?: %77![ Q:H! AM <6=9:F1I?C -H?6B
6J6->7?56 :BB?-6=
KK 6%17 K*!4 17=667 !6F @:=I !@ )LLKK
;9%-I=:-I A%!%864 %--:>!7
16=?61
H?8H ?!-:A6 <:=7B:9?: -G: ;9%-I=:-I %45?1:=1C 99- %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
)LL ;69965>6 <%=IF%@ F?9A?!87:! 46 )ODLO
;9%-I=:-I A%!%864 %--:>!7
16=?61
H?8H ?!-:A6 <:=7B:9?: %77![ 9%>=6!-6 4M B?!IC
-H%?=A%! R -6:
KK 6%17 K*!4 17=667 !6F @:=I !@ )LLKK
;9%-I=:-I A67 ?!5 16=?61 7=
H?8H @?694 <:=7B:9?:
%77! A1M 69?2%;67H A%=@ B:=867 -H?6B 6J6->7?56 :BB?-6= ,L 6%17 K*!4 17=667 !6F @:=I !@ )LL**PKO))
;9%-I=:-I A67 ?!5 16=?61 7=
H?8H @?694 <:=7B:9?:
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
K <%=I <9%2% 1>?76 )OLL ?=5?!6 -% O*N),
;9%-I=:-I A67 ?!5617:=1 16=?61
7=>17
H?8H @?694 <:=7B:9?: %77![ 9%>=6!-6 4M B?!IC
-H%?=A%! R -6:
KK 6%17 K*!4 17=667 !6F @:=I !@ )LLKK
;9%-I=:-I A67 ?!5617:=1 16=?61
7=>17
H?8H @?694 <:=7B:9?: -G: ;9%-I=:-I %45?1:=1C 99- %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
)LL ;69965>6 <%=IF%@ F?9A?!87:! 46 )ODLO
;9%-I=:-I A>97? 17=%768@
1>;P7=>17 -
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
,L 6%17 K*!4 17=667 !6F @:=I !@ )LL**
;9%-I=:-I A>97? 17=%768@
1>;P7=>17 -
%77! 9%>=6!-6 4M B?!IC -6: KK 6%17 K*!4 17=667 !6F @:=I !@ )LLKK
;9%-I=:-I A>97? 17=%768@
1>;P7=>17 -
-G: ;9%-I=:-I %45?1:=1C 99- %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
)LL ;69965>6 <%=IF%@ F?9A?!87:! 46 )ODLO
;9%-I=:-I A>97? 17=%768@
1>;P7=>17 -
%77! Q:H! AM <6=9:F1I?C -H?6B
6J6->7?56 :BB?-6=
KK 6%17 K*!4 17=667 !6F @:=I !@ )LLKK
;9%-I=:-I 16!?:= H?8H
?!-:A6 B>!4 ?!-M
%77! Q:H! AM <6=9:F1I? -6: %!4 <=61?46!7 KK 6%17 K*!4 17=667 !6F @:=I !@ )LLKK
;9%-I=:-I 16!?:= H?8H
?!-:A6 B>!4 ?!-M
-G: ;9%-I=:-I 46;7 17=%768?61
B>!4C ?!-M
7H6 -:=<:=%7?:! 7=>17
?!-:=<:=%764
+LL 6 9:A;%=4 17 ;%97?A:=6 A4 *)*L*P+*)O
;9%-I=:-I 16!?:= H?8H
?!-:A6 B>!4 ?!-M
-G: ;9%-I=:-I 46;7 17=%768?61
B>!4C ?!-M
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
+LL 6 9:A;%=4 17 ;%97?A:=6 A4 *)*L*P+*)O
;9%-I=:-I 16!?:= H?8H
?!-:A6 B>!4 ?!-M
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
DLL 1->446=1 A?99 =:%4 <9%?!1;:=: !Q LDK+N
;9%-I=:-I 16!?:= H?8H
?!-:A6 B>!4 ?!-M
%77! Q:H! AM <6=9:F1I?C -H?6B
6J6->7?56 :BB?-6=
KK 6%17 K*!4 17=667 !6F @:=I !@ )LLKK
;9%-I=:-I 16!?:= H?8H
?!-:A6 B>!4 ?!-M
-G: ;9%-I=:-I %45?1:=1C 99- %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
)LL ;69965>6 <%=IF%@ F?9A?!87:! 46 )ODLO
;9%-I=:-I 16!?:= H?8H
?!-:A6 B>!4 ?!-M
%77! 9%>=6!-6 4M B?!IC -6: KK 6%17 K*!4 17=667 !6F @:=I !@ )LLKK
;9%-I=:-I 16!?:= ?!-:A6
16=?61 ??
%77! Q:H! AM <6=9:F1I? -6: %!4 <=61?46!7 KK 6%17 K*!4 17=667 !6F @:=I !@ )LLKK
;9%-I=:-I 16!?:= ?!-:A6
16=?61 ??
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
;9%-I=:-I 16!?:= ?!-A 16=?61 ??
-G: A%<961 B?! 974
<: ;:J )LO+ 87 T>66!18%76
H:>16 1 -H>=-H 17
8=%!4 -%@A%!C -%@A%!
?19%!41
;9%-I=:-I 16!?:= ?!-:A6
16=?61 ??
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
DLL 1->446=1 A?99 =:%4 <9%?!1;:=: !Q LDK+N
;9%-I=:-I 16!?:= ?!-:A6
16=?61 ??
%77! 9%>=6!-6 4M B?!IC -6: KK 6%17 K*!4 17=667 !6F @:=I !@ )LLKK
;9%-I=:-I 16!?:= ?!-:A6
16=?61 ??
-G: ;9%-I=:-I %45?1:=1C 99- %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
)LL ;69965>6 <%=IF%@ F?9A?!87:! 46 )ODLO
<"U$ O VW N*
09-50026-mg Doc 13832 Filed 01/23/17 Entered 01/23/17 21:14:01 Main Document Pg 35 of 95
!"#$ %&&'$(() %&&'$((* %&&'$((+ %&&'$((, -./0 1/"/$ 2.3
;9%-I=:-I 16!?:= ?!-:A6
16=?61 ?5
9%>=6!-6 B?!IC -6: ;9%-I=:-I B?!%!-?%9
A%!%86A6!7C ?!-M
,KK 6%17 K*!4 17 !6F @:=I !@ )LL**
;9%-I=:-I 16!?:= ?!-:A6
16=?61 ?5
-G: A%<961 B?!%!-6 9?A?764 %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
<: ;:J )LO+ 87 T>66!18%76
H:>16 1 -H>=-H 17
8=%!4 -%@A%!C -%@A%!
?19%!41
;9%-I=:-I 16!?:= ?!-:A6
16=?61 ?5
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
;9%-I=:-I B?!%!-?%9
A%!%86A6!7C ?!-M
KK 6%17 K*!4 17 !6F @:=I !@ )LL**
;9%-I=:-I 16!?:= ?!-:A6
16=?61 ?5
%77! 9%>=6!-6 4M B?!IC -6: KK 6%17 K*!4 17=667 !6F @:=I !@ )LLKK
;9%-I=:-I 16!?:= ?!-:A6
16=?61 ?5
-G: ;9%-I=:-I %45?1:=1C 99- %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
)LL ;69965>6 <%=IF%@ F?9A?!87:! 46 )ODLO
;9%-I=:-I 16!?:= ?!-:A6
16=?61 ?5
%77! Q:H! AM <6=9:F1I?C -H?6B
6J6->7?56 :BB?-6=
KK 6%17 K*!4 17=667 !6F @:=I !@ )LLKK
;9%-I=:-I 17%768?- ;:!4 7=>17 %77! Q:H! AM <6=9:F1I?C -H?6B
6J6->7?56 :BB?-6=
KK 6%17 K*!4 17=667 !6F @:=I !@ )LLKK
;9%-I=:-I 17=%768?- ;:!4
7=>17
%77! Q:H! AM <6=9:F1I? -6: %!4 <=61?46!7 KK 6%17 K*!4 17=667 !6F @:=I !@ )LLKK
;9%-I=:-I 17=%768?- ;:!4
7=>17
-G: ;9%-I=:-I 46;7 17=%768?61
B>!4C ?!-M
7H6 -:=<:=%7?:! 7=>17
?!-:=<:=%764
+LL 6 9:A;%=4 17 ;%97?A:=6 A4 *)*L*P+*)O
;9%-I=:-I 17=%768?- ;:!4
7=>17
-G: ;9%-I=:-I 46;7 17=%768?61
B>!4C ?!-M
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
+LL 6 9:A;%=4 17 ;%97?A:=6 A4 *)*L*P+*)O
;9%-I=:-I 17=%768?- ;:!4
7=>17
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
DLL 1->446=1 A?99 =:%4 <9%?!1;:=: !Q LDK+N
;9%-I=:-I 17=%768?- ;:!4
7=>17
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
)LL ;69965>6 <IF@ F?9A?!87:! 46 )ODLOP+ELL
;9%-I=:-I 17=%768?- ;:!4
7=>17
%77! 9%>=6!-6 4M B?!IC -6: KK 6%17 K*!4 17=667 !6F @:=I !@ )LLKK
;9%-I=:-I 17=%768?- ;:!4
7=>17
-G: ;9%-I=:-I %45?1:=1C 99- %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
)LL ;69965>6 <%=IF%@ F?9A?!87:! 46 )ODLO
;9%-I=:-IP9:-H664 A%=7?!
-:=<
A%176= =67?=6A6!7 7=>17 %77![ Q:H! AM <6=9:F1I?C -H?6B
6J6->7?56 :BB?-6=
KK 6%17 K*!4 17=667 !6F @:=I !@ )LLKK
;9%-I=:-IP9:-IH664 A%=7?!
-:=<
A%176= =67?=6A6!7 7=>17 %77![ 9%>=6!-6 4M B?!IC
-H%?=A%! R -6:
KK 6%17 K*!4 17=667 !6F @:=I !@ )LLKK
;9%-I=:-IP9:-IH664 A%=7?!
-:=<
A%176= =67?=6A6!7 7=>17 -G: ;9%-I=:-I %45?1:=1C 99- %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
)LL ;69965>6 <%=IF%@ F?9A?!87:! 46 )ODLO
;9%-I=:-IP9:-IH664 A%=7?!
-:=< A%176= =67=A!7 7=
%77! A%=?9@! %M H6F1:! -H%?=A%!C <=61?46!7 R -6: 9:-IH664 A%=7?! -:=<:=%7?:!
A%176= =67?=6A6!7 7=
NDL) =:-I96486 4=?56 ;67H614% A4 *LD)E
;9%-I=:-IP9:-IH664 A%=7?!
-:=< A%176= =67=A!7 7=
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
+* :94 19?< *,7H B9::= !6F @:=I !@ )LLLK
;9%-I=:-IP9:-IH664 A%=7?!
-:=< A%176= =67=A!7 7=
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
;9%-I=:-I DLL 1->446=1 A?99 =:%4 <9%?!1;:=: !Q LDK+N
;78 <%-7>%9 -H?96 1M%M
%4A?!?17=%4:=% 86!6=%9 46
B:!4:1
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
;78 <%-7>%9 89:;%9 %1167
A%!%86A6!7 974
<=%?% 46 ;:7%B:8:C KL) N\
B9::=
=?: 46 Q%!6?=:C =Q ***KLPL,L
;=%2?9
-%? 4?17=61164 46;7 :<<:=7>!?7@
A%176= B>!4C 974M
%77! Q611 1H%I61<6%=6 4?=6-7:= <M:M ;:J )LO+ ;:>!4%=@ H%99C
-=?-I67 1T>%=6
8=%!4 -%@A%! 6O I@)P))L*C
-%@A%! ?19%!41
-%? 4?17=61164 46;7 :<<:=7>!?7@
A%176= B>!4C 974M
%77! 4><9611?6 Q%A61 QM 6J6->7?56 :BB?-6= R A%!%8?!8
4?=6-7:=
+OO <%=I %56!>6C E7H B9::= !6F @:=I !@ )LL**
-%9?B:=!?% 17%76 76%-H6=1X
=67?=6A6!7 1@176A
%77! Q%-I 6H!61 -H?6B 6J6->7?56 :BB?-6= )LL F%76=B=:!7 <9%-6 F617 1%-=%A6!7: -% OKNLK
<"U$ )L VW N*
09-50026-mg Doc 13832 Filed 01/23/17 Entered 01/23/17 21:14:01 Main Document Pg 36 of 95
!"#$ %&&'$(() %&&'$((* %&&'$((+ %&&'$((, -./0 1/"/$ 2.3
-%9?B:=!?% 17%76 76%-H6=1X
=67?=6A6!7 1@176A
%77! ;=?%! ;%=7:F 86!6=%9 -:>!169 )LL F%76=B=:!7 <9%-6 F617 1%-=%A6!7: -% OKNLK
-%9?B:=!?% 17%76 76%-H6=1X
=67?=6A6!7 1@176A
%77! Q%-I 6H!61 -6: -%917=1 <M:M ;:J )K*EK 1%-=%A6!7: -% OKDK)PL*EK
-%9?B:=!?% 17%76 76%-H6=1X
=67?=6A6!7 1@176A
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
ENNE B:91:A ;954 1%-=%A6!7: -% OKD*N
-%9?B:=!?% 17%76 76%-H6=1X
=67?=6A6!7 1@176A
%77![ 9%A:!7 I?!8 <M:M ;:J )K*EK 1%-=%A6!7: -% OKDK)PL*EK
-%!%4?%! ?A<6=?%9 ;%!I :B
-:AA6=-6
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
-:AA6=-6 -:>=7 7:=:!7:C :!7%=?: AK9 )%*C
-%!%4%
-%!%4?%! ?A<6=?%9 ;%!I :B
-:AA6=-6
%77! %-H?9961 A <6==@ 61TC 5<
%!4 86!6=%9 -:>!169
,*K 96J?!87:! %56!>6 !6F @:=I !@ )LL)E
-%!@:! -%<?7%9 -4: *LL*P)
974M
-G: A%<961B1 9?A?764 <M:M ;:J )LO+C T>66!18%76
H:>16C
))+ 1:>7H -H>=-H 17=667 8=%!4 -%@A%! I@)P))L*
-%@A%! ?19%!41
-%!@:! -%<?7%9 -4: *LL*P)
974M
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
-%!@:! -%<?7%9 %45?1:=1 99-M *LLL %56!>6 :B 7H6 17%=1 ))7H
B9::=
9:1 %!86961 -% OLLNE
-%!@:! -%<?7%9 -4: *LL*P)
974M
-G: A%<96 B?!%!-6 974 %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
<M:M ;:J )LO+87C -H>=-H 17 86:=86 7:F!C 8=%!4 -%@A%!C
I@
-%< B>!4 9< -G: A%<961 %!4 -%946= %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
<M:M ;:J +LO 87C >89%!4 H:>16C
1:>7H -H>=-H 17=667
86:=86 7:F!C 8=%!4 -%@A%!
-%< B>!4 9< %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
-:<:=%76 -6!7=6 F617 ;%@ =:%4 8=%!4 -%@A%!C I@ +))LN 1A;C
-%@A%! ?19%!41
-%<?7%9 =616%=-HP%A6=?-%!
H?8H ?!-:A6 7=>17
%77! 4%5?4 -M ;%=-9%@ <=?!-?<%9 6J6->7?56 :BB?-6= -G: %A6=?-%! H?8H ?!-:A6
7=>17
+++ 1:>7H H:<6 17=667 9:1 %!86961 -% OLLE)P),LN
-%<?7%9 =616%=-HP%A6=?-%!
H?8H ?!-:A6 7=>17
-G: %A6=?-%! H?8H ?!-:A6
7=>17
7H6 -:=<:=%7?:! 7=>17
-:A<%!@
-:=<:=%7?:! 7=>17 -6!76= F?9A?!87:! 46 )ODL)
-%<?7%9 =616%=-HP%A6=?-%!
H?8H ?!-:A6 7=>17
-G: -%<?7%9 =616%=-H %!4
A%!%86A6!7 -:
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
+++ 1:>7H H:<6 17=667 9:1 %!86961 -% OLLE)P),LN
-%=;:!%4: 99- %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
*E)) -6!76=5?996 =:%4 1>?76 ,LL F?9A?!87:! 46 )ODLD
-%=9@96 H?8H @?694 <%= ?J 974M %77! F?99?%A 6M -:!F%@ R
4%5?4 A%=I =>;6!176?!
-:P-H?6B 6J6->7?56 :BB?-6=1 7H6 -%=9@96 8=:>< )LL) <6!!1@95%!?% %56!>6C !F
A%<
F%1H?!87:! 4- *LLL,
-%=9@96 H?8H @?694 <%=7!6=1
*LLDP)C 974M
%77! F?99?%A 6M -:!F%@ R
4%5?4 A%=I =>;6!176?!
-:P-H?6B 6J6->7?56 :BB?-6=1 7H6 -%=9@96 8=:>< )LL) <6!!1@95%!?% %56!>6C !F
A%<
F%1H?!87:! 4- *LLL,
-%1796 8%=46! B>!4?!8 %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
-1B; %976=!%7?56 -%<?7%9C ?!- )) A%4?1:! %56!>6 !6F @:=I !@ )LL)L
-%1796 8%=46! B>!4?!8 -G: :8?6= B?4>-?%=@ 16=5?-61
Y-%@A%!Z 974
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
<: ;:J )*+,C T>66!18%76
H:>16C 1:>7H -H>=-H 17=667
86:=86 7:F! I@)P))LDC
-%@A%! ?19%!41
-%76=<?99%= ?!-M A%176=
<6!1?:! 7=>17
%77! Q%A61 FM :F6!1 -H?6B 6J6->7?56 :BB?-6= -G: -%76=<?99%= ?!-M )LL !6 %4%A1 17 <6:=?% ?9 N)N*OPLLL)
-%76=<?99%= ?!-M A%176=
<6!1?:! 7=>17
-G: -%76=<?99%= ?!-M -7 -:=<:=%7?:! 1@176A ))) D7H %56 !6F @:=I !@ )LL))PK*L)
-%76=<?99%= ?!-M A%176=
<6!1?:! 7=>17
-G: 4:Q -%<?7%9 A%!%86A6!7
99-
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
;948 + 176 NLL F%97H%A A% L*,K+PNOL)
--< -=64?7 %-T>?1?7?:!
H:94?!8
-G: -6!76=;=?486 -=64?7
<%=7!6=1
86!6=%9 <%=7!6=C 9M9M-M %77![ 1>1%!!6 -9%=IC 86!6=%9
-:>!169
+EK <%=I %56C )*7H B9 !6F @:=I !@ )L)K*
--< -=64?7 %-T>?1?7?:!
H:94?!8
-7 -:=<:=%7?:! 1@176A ))) 6?8H7H %56!>6 !6F @:=I !@ )LL))
<"U$ )) VW N*
09-50026-mg Doc 13832 Filed 01/23/17 Entered 01/23/17 21:14:01 Main Document Pg 37 of 95
!"#$ %&&'$(() %&&'$((* %&&'$((+ %&&'$((, -./0 1/"/$ 2.3
-69B?! -%<?7%9 1M%M %4AM
86!6=%9 46 B:!4:1
>97=% B:!4: 46 ?!56=1?:! -G: ;78 <%-7>%9 -H?96 1M%M
%4A?!?17=%4:=% 86!6=%9 46
B:!4:1
%77! <=61?46!7C 968%9 :=
86!6=%9 A%!%86=
%5 %<:8>?!4: +E*)C <?1: )O 9%1
-:!461C 1%!7?%8:C -9
-H%7H%A 9?8H7 ?? -9: 974M -G: 1%!I%7@ %45?1:=1 99- %77! 1>1%! 9@!-HC 6J6- 5< *LL -9%=6!4:! 17=667 ;:17:! A% L*))NPKL*)
-H%7H%A 9?8H7 ?? -9: 974M %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
))) H>!7?!87:! %56!>6 ;:17:! A% L*)OO
-H%7H%A 9?8H7 ?? -9: 974M %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
<: ;:J OLD87 F%9I6= H:>16C A%=@ 17=667 86:=86 7:F!C I@ LLLLC -%@A%!
?19%!41
-H%7H%A 9?8H7 ?? -9: 974M -G: 1%!I%7@ %45?1:=1 99- %77! Q6BB=6@ =:;?!1:!C 6J6- 5< *LL -9%=6!4:! 17=667 ;:17:! A% L*))NPKL*)
-H%7H%A 9?8H7 ?? -9: 974M -G: 1%!I%7@ %45?1:=1 99- %77! I?A;6=9@ H%==?1C 6J6- 5< *LL -9%=6!4:! 17=667 ;:17:! A% L*))NPKL*)
-H=@196= 99- A%176= =67?=6A6!7
7=>17
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
)LLL -H=@196= 4=?56 %>;>=! H?991 A? ,D+*NP*ENN
-?7?;%!IC !M%M %77! ;%=;%=% QM 461:6= -H?6B 6J6->7?56 :BB?-6= +OO <%=I %56!>6 B=:!7 ) !6F @:=I !@ )LL,+
-?7?;%!IC !M%M %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
EL) 6%17 NL7H 17=667 !:=7H A?!!6H%H% -:>!7@ 1?:>J B%991 14 KE)L,
-?7?;%!IC !M%M %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
+DD 8=66!F?-H 17=667 B9::= ** !6F @:=I !@ )LL)+
-?7?8=:>< B?!%!-?%9 <=:4>-71
?!-M
%77! Q%A61 % B:=616 -H?6B 6J6->7?56 :BB?-6= +DD 8=66!F?-H 17 !6F @:=I !@ )LL)+
-?7?8=:>< B?!%!-?%9 <=:4>-71
?!-M
-:=<:=%7?:! 16=5?-6 -: DL 17%76 17=667 %9;%!@ !@ )**LE
-?7?8=:>< B?!%!-?%9 <=:4>-71
?!-M
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
:!6 !6F @:=I <9%2% !6F @:=I !@ )LLL,
-?7?8=:>< 89:;%9 A%=I671 ?!-M %77![ 9@!! <:11 +DD 8=66!F?-H 17=667 )E7H B9::= !6F @:=I !@ )LL)+
-?7@ :B A?9F%>I66 6A<9:@661
=67?=6A6!7 1@176A
%77! ;6=!%=4 QM %996! 6J6->7?56 4?=6-7:= -?7@ :B A?9F%>I66 6A<9:@61X
=67?=6A6!7 1@176A
EDO !:=7H F%76= 17=667 1>?76 +LL A?9F%>I66 F? K+*L*
-?7@ :B A?9F%>I66 6A<9:@661
=67?=6A6!7 1@176A
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
,L ;=:%4 17M D7H B9::= !6F @:=I !@ )LLL,
-?7@ :B A?9F%>I66 6A<9:@661
=67?=6A6!7 1@176A
%77! A%@:= 7:A ;%==677 -?7@ H%99 *LL 6M F6991 17=667 =::A *L) A?9F%>I66 F? K+*L*
-?7@ :B A?9F%>I66 =67?=6A6!7
1@176A
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
*LL 6%17 F6991 17=667 =::A NL+ A?9F%>I66 F? K+*L*
-?7@ :B A?9F%>I66 =67?=6A6!7
1@176A
%77! A%@:= 7:A ;%==677 -?7@ H%99 *LL 6M F6991 17=667 =::A *L) A?9F%>I66 F? K+*L*
-?7@ :B :%I9%!4 <:9?-6 R B?=6
=67?=6A6!7 1@176A
%77! I%7%!: I%1%?!6C A%!%86=C
=67?=6A6!7 1@176A1
=67?=6A6!7 1@176A1 9?:!69 F?91:! ;>?94?!8 )KL B=%!I HM :8%F% <9%2%C +=4
B9::=
:%I9%!4 -% O,N)*P*L*)
-?7@ :B :%I9%!4 <:9?-6 R B?=6
=67?=6A6!7 1@176A
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
) F%99 17=667 +=4 B9::=C F?!4:F % !6F @:=I !@ )LL)K
-?7@ :B :%I9%!4 <:9?-6 R B?=6
=67?=6A6!7 1@176A
%77! A%@:= 9?;;@ 1-H%%B ) B=%!I HM :8%F% <9%2%C +=4
B9::=
:%I9%!4 -% O,N)*
-9%11?- -%@A%! ; 4 974 -G: A%<961 9?T>?4%7?:!
16=5?-61 Y-%@A%!Z 974
%77! A6=5?! 1:9%1 <M:M ;:J )LO+C ;:>!4%=@ H%99 8=%!4 -%@A%!C I@)P))L*C
-%@A%! ?19%!41
-9%11?- -%@A%! ; 4 974M %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
)+,KK !:69 =:%4 1>?76 ))KL 4%99%1 7J EK*,L
-AB8 9?B6 ?!1>=%!-6 -:A<%!@ %77! =:;6=7 !M 7=>!2: <=61?46!7 R -H?6B 6J6>7?56
:BB?-6=
KO)L A?!6=%9 <:?!7 =4 A%4?1:! F? K+ELK
-AB8 9?B6 ?!1>=%!-6 -:A<%!@ -7 -:=<:=%7?:! ,LL 6 -:>=7 %56 461 A:?!61 ?% KL+LO
<"U$ )* VW N*
09-50026-mg Doc 13832 Filed 01/23/17 Entered 01/23/17 21:14:01 Main Document Pg 38 of 95
!"#$ %&&'$(() %&&'$((* %&&'$((+ %&&'$((, -./0 1/"/$ 2.3
-AB8 9?B6 ?!1>=%!-6 -:A<%!@ ->!% A>7>%9 ?!1>=%!-6
1:-?67@
%77![ -%=9% 2?-I KO)L A?!6=%9 <:?!7 =:%4 A%4?1:! F? K+ELK
-:-% -:9% -: =67 R A17= 7= %77! ;6=!H%=4 -:6<697 16!?:= 5< 86!6=%9 -:>!169 R
-H?6B 968%9 -:>!169
7H6 -:-%P-:9% -:A<%!@ :!6 -:-%P-:9% <9%2% %79%!7% 8% +L+)+
-:-%P-:9% %77![ %!4=6F 4?J:! :!6 -:-%P-:9% <9%2% %79%!7% 8% +L+)+
-:!7?!6!7%9 -%1>%97@
-:A<%!@
%77! A=M <676= 6M Q:I?69 <=61?46!7 +++ 1:>7H F%;%1H %56!>6 -H?-%8: ?9 NLNL,
-=64?7 1>?116 %77![ 4%!?69 =:;6=71:! :!6 A%4?1:! %56!>6 !6F @:=I !@ )LL)L
-=64?7 1>?116 9:%! B>!4?!8 99- %77! A=M 7?A:7H@ <M :XH%=% -H?6B 6J6->7?56 :BB?-6= %!4
<=61?46!7
-=64?7 1>?116C >1% 69656! A%4?1:! %56!>6 *+=4
B9::=
!6F @:=I !@ )LL)L
-=64?7 1>?116 9:%! B>!4?!8 99- -:=<:=%7?:! 16=5?-6 -: DL 17%76 17 %9;%!@ !@ )**LEP*K,+
-=64?7 1>?116 9:%! B>!4?!8 99- %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
:!6 A%4?1:! %56!>6 *!4 B9::= !6F @:=I !@ )LL)L
-=64?7 1>?116 9:%! B>!4?!8 99- %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
69656! A%4?1:! %56!>6 *+=4
B9::=
!6F @:=I !@ )LL)L
-=64?7 1>?116 1@!4?-%764 9:%!
B>!4
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
96569 N *L) I6!7 17=667 1@4!6@C *LLL %>17=%9?%
-=64?7 1>?116 1@!4?-%764 9:%!
B>!4
-G: -=64?7 1>?116 Y>1%ZC ?!-M %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
)) A%4?1:! %56 !6F @:=I !@ )LL)L
-=61-6!7 1= 16->=64 B9:%7?!8
=%76 9:%! B>!4C 99-
!%7?:!%9 =68?176=64 %86!71C
?!-M
)NL 8=66!7=66 4= 176 )L) I6!7 46 )OOL,
-=61-6!7 1= 16->=64 B9:%7?!8
=%76 9:%! B>!4C 99-
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
DNK 1:>7H B?8>6=:% 17=667 9:1 %!86961 -% OLL)E
-=61-6!7 1= 16->=64 B9:%7?!8
=%76 9:%! B>!4C 99-
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
)))LL 1%!7% A:!?-% ;:>965%=4 1>?76 *LLL 9:1 %!86961 -% OLL*K
-=61-6!7 1= 16->=64 B9:%7?!8
=%76 9:%! B>!4C 99-
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
*LL <%=I %56!>6 1>?76 **LL !6F @:=I !@ )L)NNPL**D
->!% A>7>%9 ?!1>=%!-6
1:-?67@
%77! =:;6=7 !M 7=>!2: <=61?46!7 R -H?6B 6J6>7?56
:BB?-6=
KO)L A?!6=%9 <:?!7 =4 A%4?1:! F? K+ELK
->!% A>7>%9 ?!1>=%!-6
1:-?67@
-7 -:=<:=%7?:! ,LL 6 -:>=7 %56 461 A:?!61 ?% KL+LO
-@<=611 7=66 ?!7=!79 9:%!
H:94?!8 -:A<%!@
-G: -:AA6=-?%9 ?!4>17=?%9
B?!%!-6 -:=<
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
*KL <%=I %56C K7H B9 !6F @:=I !@ )L)EE
4%5?1 <:9I %77![ 699?:7 A:1I:F?72 ,KL 96J?!87:! %56!>6 !6F @:=I !@ )LL)E
44Q P Q- <6!!@ <6!1?:! <9%!
7=>17
%77! A@=:! >99A%! -H?6B 6J6->7?56 :BB?-6= QM-M <6!!@ NKL) 968%-@ 4=?56 <9%!: 7J EKL*,P+NOD
44Q P Q- <6!!@ <6!1?:! <9%!
7=>17
-G: 44Q -%<?7%9 A%!%86A6!7C
99-
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
17:!@ ;=::I :BB?-6 <%=I )+L 7>=!6= 17=667C ;>?94?!8 +C
1>?76 NLL
F%97H%A A% L*,K+
44Q P 17?-H7?!8 <6!1?:6!B:!41
H::8:56!1
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
17?-H7?!8 <6!1?:6!B:!41
H::8:56!1
F?QI6=A:96! *L*<:17;>1 )LLLL 7;4C !::=4PH:99%!4C )OEL -%C
!67H6=9%!41
44Q P 17?-H7?!8 <6!1?:6!B:!41
H::8:56!1
-G: 44Q -%<?7%9 A%!%86A6!7C
99-
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
17:!@ ;=::I :BB?-6 <%=I )+L 7>=!6= 17=667C ;>?94?!8 +C
1>?76 NLL
F%97H%A A% L*,K+
44Q -%< P -%76=<?99%= A%176=
=67?=6A6!7 7=>17
%77! 4:>89%1 :;6=H69A%! -H?6B 6J6->7?56 :BB?-6= )LL !6 %4%A1 17=667 <6:=?% ?9 N)N*O
44Q -%< P -%76=<?99%= A%176=
=67?=6A6!7 7=>17
-%76=<?99%= A%176= =67?=6A6!7
7=>17
-7 -:=<:=%7?:! 1@176A ))) 6?8H7H %56!>6 !6F @:=I !@ )LL))
44Q -%< P -%76=<?99%= A%176=
=67?=6A6!7 7=>17
-G: 44Q -%<?7%9 A%!%86A6!7C
99-
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
17:!@ ;=::I :BB?-6 <%=I )+L 7>=!6= 17=667C ;>?94?!8 +C
1>?76 NLL
F%97H%A A% L*,K+
<"U$ )+ VW N*
09-50026-mg Doc 13832 Filed 01/23/17 Entered 01/23/17 21:14:01 Main Document Pg 39 of 95
!"#$ %&&'$(() %&&'$((* %&&'$((+ %&&'$((, -./0 1/"/$ 2.3
44Q -%< A8A7 P 17?-H7?!8
;6F%%=46= ?!76=<:9?1 <!1!
-G: 44Q -%<?7%9 A%!%86A6!7C
99-
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
17:!@ ;=::I :BB?-6 <%=I )+L 7>=!6= 17=667C ;>?94?!8 +C
1>?76 NLL
F%97H%A A% L*,K+
44Q -%<?7%9 A%!%86A6!7C 99- %77![ 69?2%;67H 4>88%! )+L 7>=!6= 17=667C ;>?94?!8 + 1>?76 NLL F%97H%A A% L*,K+
44Q -%<?7%9 A87 8=:>< 7= %77! F6!4@ 1-H!?<<6= -9%@7:! 86!6=%9 -:>!169 17:!@ ;=::I :BB?-6 <%=I )+L 7>=!6= 17=667C ;>?94?!8 +C
1>?76 NLL
F%97H%A A% L*,K+
44Q -%<?7%9 A87 8=:>< 7= %77! ;=6%22%!:C <=61?46!7 44Q -%<?7%9 A%!%86A6!7C 99- 17:!@ ;=::I :BB?-6 <%=I )+L 7>=!6= 17=667C ;>?94?!8 +C
1>?76 NLL
F%97H%A A% L*,K+
44Q H?8H @?694 B>!4 -G: 44Q -%<?7%9 A%!%86A6!7C
99-
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
17:!@ ;=::I :BB?-6 <%=I )+L 7>=!6= 17=667C ;>?94?!8 +C
1>?76 NLL
F%97H%A A% L*,K+
44Q H?8H @?694 B>!4 -G: -? ?!5617A6!71 ?!-M %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
* T>66! 17=667 6%17 P *L7H B9 7:=:!7: AK- +8EC -%!%4%
44QPA>97P17@9 A>97PA8= B!41
<9-P89;9 17=78 @94 B!4
-G: =>11699 ?!5617A6!71
?=69%!4 9?A?764
%77! <H?9?< H:BBA%!C <:=7B:9?:
A%!%86=
ED 1?= Q:H! =:86=1:!X1 T>%@ 4>;9?!C -:M 4>;9?! *C ?=69%!4
44QPA>97P17@9 A>97PA8= B!41
<9-P89;9 17=78 @94 B!4
-G: =>11699 ?!5617A6!71 %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
)+L) 16-:!4 %56!>6C )D7H
B9::=
16%7796 F% OD)L)
44QPA>97P17@9 A>97PA8= B!41
<9-P89;9 17=78 @94 B!4
-G: 44Q -%<?7%9 A%!%86A6!7C
99-
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
17:!@ ;=::I :BB?-6 <%=I )+L 7>=!6= 17=667C ;>?94?!8 +C
1>?76 NLL
F%97H%A A% L*,K+
46 8=< ?!-:A6 B>!41 P 46 H?8H
@?694 :<< B>!4
-G: 469%F%=6 ?!5617A6!71 %77! A=M <%7=?-I <%>9 -:@!6C
-H%?=C -6: %!4 <=61
*LLK A%=I67 17=667 :!6 -:AA6=-6 1T>%=6 <H?9%469<H?% <% )O)L+PELO,
46 8=< ?!-:A6 B>!41 P 46 H?8H
@?694 :<< B>!4
469%F%=6 8=:>< ?!-:A6
B>!41
-:=<:=%7?:! 16=5?-6
-:A<%!@
*E)) -6!76=5?996 =4 F?9A?!87:! 46 )ODLD
46 8=< ?!-:A6 B>!41 P 46 H?8H
@?694 :<< B>!4
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
)D)D A%=I67 17=667 <H?9%469<H?% <% )O)L+
46 <::964 7= P -:=6 <9>1 B?J64
?!-:A6 <:=7B:9?:
-G: 469%F%=6 ?!5617A6!71 %77! A=M <%7=?-I <%>9 -:@!6C
-H%?=C -6: %!4 <=61
*LLK A%=I67 17=667 :!6 -:AA6=-6 1T>%=6 <H?9%469<H?% <% )O)L+PELO,
46 <::964 7= P -:=6 <9>1 B?J64
?!-:A6 <:=7B:9?:
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
)D)D A%=I67 17=667 <H?9%469<H?% <% )O)L+
46 <168 !>-96%= 99- A%176=
46-:AA?11?:!?!8 7=>17
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
) A699:! -7= <?771;>=8H <% )K*KD
46 <168 !>-96%= 99- A%176=
46-:AA?11?:!?!8 7=>17
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
DL <%=I <9%2% !6F%=I !Q LE)L*
46P16? ?!17?7>7?:!%9 ?!5 7= P H?8H
@?694 ;:!4 B>!4
16? ?!5617A6!71 A%!%86A6!7
-:=<:=%7?:!
%77! 968%9 46<%=7A6!7 ) B=664:A 5%996@ 4=?56 :%I1 <% )O,KN
46P16? ?!17?7>7?:!%9 ?!5 7= P H?8H
@?694 ;:!4 B>!4
%77! 4%5?4 %!?9:BB <:=7B:9?: A%!%86= 16? ?!5617A6!71 A%!%86A6!7
-:=<:=%7?:!
) B=664:A 5%996@ 4=?56 :%I1 <% )O,KN
46P16? ?!17?7>7?:!%9 ?!5 7=PH?8H
@?694 ;:!4 B>!4
%77! I65?! <%7=?-I ;%== 6J6->7?56 5< :B ?!5617A6!7
A%!%86A6!7 >!?7
16? ?!5617A6!71 -:M :!6 B=664:A 5%996@ 4=?56 :%I1 <% )O,KNP))LL
46P16? ?!17?7>7?:!%9 ?!5 7=PH?8H
@?694 ;:!4 B>!4
-:=<:=%7?:! 16=5?-6 -: DL 17%76 17 %9;%!@ !@ )**LEP*K,+
46P16? ?!17?7>7?:!%9 A84 7= P
H?8H @?694 ;:!4 B>!4
16? ?!5617A6!71 A%!%86A6!7
-:=<:=%7?:!
%77! 968%9 46<%=7A6!7 ) B=664:A 5%996@ 4=?56 :%I1 <% )O,KN
46P16? ?!17?7>7?:!%9 A84 7= P
H?8H @?694 ;:!4 B>!4
4:!%94 A:=8%!C A%!%8?!8
<%=7!6=C 1= A%!%8?!8 4?=
-: H6%4 :B B?J64 ?!-APH?8H
@?694 4?5 R <:=7B:9?: A8=
16? ?!5617A6!71 A%!%86A6!7
-:=<:=%7?:!
) B=664:A 5%996@ 4=?56 :%I1 <% )O,KN
46P16? ?!17?7>7?:!%9 A84 7=PH?8H
@?694 ;:!4 B>!4
%77! I65?! <%7=?-I ;%== 6J6->7?56 5< :B ?!5617A6!7
A%!%86A6!7 >!?7
16? ?!5617A6!71 -:M :!6 B=664:A 5%996@ 4=?56 :%I1 <% )O,KNP))LL
46P16? ?!17?7>7?:!%9 A84 7=PH?8H
@?694 ;:!4 B>!4
-:=<:=%7?:! 16=5?-6 -: DL 17%76 17 %9;%!@ !@ )**LEP*K,+
46;699: ?!5617:=1 99- %77! A=M -H%=961 6>86!6
4%5?41:!
-H%?=A%! %!4 -H?6B
?!5617A6!7 :BB?-6=
F6JB:=4 -%<?7%9 99- ,)) F617 <>7!%A %56!>6 8=66!F?-H -7 LND+L
<"U$ ), VW N*
09-50026-mg Doc 13832 Filed 01/23/17 Entered 01/23/17 21:14:01 Main Document Pg 40 of 95
!"#$ %&&'$(() %&&'$((* %&&'$((+ %&&'$((, -./0 1/"/$ 2.3
46;699: ?!5617:=1 99- -:=<:=%7?:! 16=5?-6 -: *E)) -6!76=5?996 =4 F?9A?!87:! 46 )ODLD
46;699: ?!5617:=1 99- %77! %!?7% <:17 ,)) F617 <>7!%A %56!>6 8=66!F?-H -7 LND+L
469%F%=6 P 95?< 469%F%=6 ;:!4
B>!4
%77! Q:H! %=7H>= F617:! 9?!-:9! ?!5617A6!7 %45?1:=1
-:=<:=%7?:!
) 8=%!?76 <9%-6 -:!-:=4 !H L++L)P+*KD
469%F%=6 P 95?< 469%F%=6 ;:!4
B>!4
%77! 4%!?69 =:11 H%@61 <=61?46!7C -H%?=A%! R
4?=6-7:=
9?!-:9! ?!5617A6!7 %45?1:=1
-:=<:=%7?:!
) 8=%!?76 <9%-6 -:!-:=4 !H L++L)P+*KD
469%F%=6 P 95?< 469%F%=6 ;:!4
B>!4
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
)+LL 1:>7H -9?!7:! 17=667 B:=7 F%@!6 ?! ,NDL,
469%F%=6 469-H6176= B>!4 -G: 46 ?!51G469%F%=6
A%!%86A6!7 ;>1?!611 7=>17
%77! A=M <%7=?-I <%>9 -:@!6C
-H%?=C -6: %!4 <=61
*LLK A%=I67 17=667 :!6 -:AA6=-6 1T>%=6 <H?9%469<H?% <% )O)L+PELO,
469%F%=6 469-H6176= B>!4 %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
)D)D A%=I67 17=667 <H?9%469<H?% <% )O)L+P+N+D
469%F%=6 4?56=1?B?64 ?!-:A6
B>!4
-G: 46 ?!51G469%F%=6
A%!%86A6!7 ;>1?!611 7=>17
%77! A=M <%7=?-I <%>9 -:@!6C
-H%?=C -6: %!4 <=61
*LLK A%=I67 17=667 :!6 -:AA6=-6 1T>%=6 <H?9%469<H?% <% )O)L+PELO,
469%F%=6 4?56=1?B?64 ?!-:A6
B>!4
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
)D)D A%=I67 17=667 <H?9%469<H?% <% )O)L+P+N+D
469%F%=6 4?56=1?B?64 ?!-:A6
7=>17
-G: 469%F%=6 ?!5617A6!71 %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
*LLK A%=I67 17=667 :!6 -:AA6=-6 1T>%=6 <H?9%469<H?% <% )O)L+PELO,
469%F%=6 4?56=1?B?64 ?!-:A6
7=>17
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
*DLL !:=7H -6!7=%9 %56M 1>?76 OLL <H:6!?J %2 DKLL,
469%F%=6 6!H%!-64 89:;%9
4?5?46!4 R ?!-:A6 B>!4
-G: 469%F%=6 ?!5617A6!71 %77! A=M <%7=?-I <%>9 -:@!6C
-H%?=C -6: %!4 <=61
*LLK A%=I67 17=667 :!6 -:AA6=-6 1T>%=6 <H?9%469<H?% <% )O)L+PELO,
469%F%=6 6!H%!-64 89:;%9
4?5?46!4 R ?!-:A6 B>!4
469%F%=6 6!H%!-64 89:;%9
4?5?46!4 %!4 ?!-:A6 B>!4
-:=<:=%7?:! 16=5?-6
-:A<%!@
*E)) -6!76=5?996 =4 F?9A?!87:! 46 )ODLD
469%F%=6 6J76!464 4>=%7?:!
;:!4 B>!4
-G: 469%F%=6 ?!5617A6!71 %77! A=M <%7=?-I <%>9 -:@!6C
-H%?=C -6: %!4 <=61
*LLK A%=I67 17=667 :!6 -:AA6=-6 1T>%=6 <H?9%469<H?% <% )O)L+PELO,
469%F%=6 6J76!464 4>=%7?:!
;:!4 B>!4
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
)D)D A%=I67 17=667 <H?9%469<H?% <% )O)L+
469%F%=6 8=:>< 6T>?7@ 5 ?!-M
4?5?46!4 ?!-:A6 B>!4
-G: 469%F%=6 ?!5617A6!71 %77! A=M <%7=?-I <%>9 -:@!6C
-H%?=C -6: %!4 <=61
*LLK A%=I67 17=667 :!6 -:AA6=-6 1T>%=6 <H?9%469<H?% <% )O)L+PELO,
469%F%=6 8=:>< 6T>?7@ 5 ?!-M
4?5?46!4 ?!-:A6 B>!4
-:=<:=%7?:! 16=5?-6 -: *E)) -6!76=5?996 =4 F?9A?!87:! 46 )ODLD
469%F%=6 8=:>< 8:56=!A6!7
B>!4 -:=6 <9>1 B>!4
-G: 469%F%=6 ?!5617A6!71 %77! A=M <%7=?-I <%>9 -:@!6C
-H%?=C -6: %!4 <=61
*LLK A%=I67 17=667 :!6 -:AA6=-6 1T>%=6 <H?9%469<H?% <% )O)L+PELO,
469%F%=6 8=:>< 8:56=!A6!7
B>!4 -:=6 <9>1 B>!4
469%F%=6 8=:>< 8:56=!A6!7
B>!4
-:=<:=%7?:! 16=5?-6
-:A<%!@
*E)) -6!76=5?996 =4 F?9A?!87:! 46 )ODLD
469%F%=6 8=:>< 8:56=!A6!7
B>!4 -:=6 <9>1 B>!4
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
)D)D A%=I67 17=667 <H?9%469<H?% <% )O)L+P+N+D
469%F%=6 8=:>< ?!- B>!4 ?!-M
-:=<:=%76 ;:!4 B>!4
-G: 469%F%=6 ?!5617A6!71 %77! A=M <%7=?-I <%>9 -:@!6C
-H%?=C -6: %!4 <=61
*LLK A%=I67 17=667 :!6 -:AA6=-6 1T>%=6 <H?9%469<H?% <% )O)L+PELO,
469%F%=6 8=:>< ?!- B>!4 ?!-M
-:=<:=%76 ;:!4 B>!4
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
)D)D A%=I67 17=667 <H?9%469<H?% <% )O)L+
469%F%=6 ?!5617A6!71 4?5?46!4
R ?!-:A6 B>!4 ?!-M
-G: 469%F%=6 ?!5617A6!71 %77! A=M <%7=?-I <%>9 -:@!6C
-H%?=C -6: %!4 <=61
*LLK A%=I67 17=667 :!6 -:AA6=-6 1T>%=6 <H?9%469<H?% <% )O)L+PELO,
469%F%=6 ?!5617A6!71 4?5?46!4
R ?!-:A6 B>!4 ?!-M
-1-P9%F@6=1 ?!-:=<:=%7?!8
16=5?-6 -:
)) 6 -H%16 17 ;%97?A:=6 A4 *)*L*P*K)N
469%F%=6 ?!5617A6!71 89:;%9
4?5?46!4 R ?!-:A6 B>!4
-G: 46 ?!51 89:;%9 4?5?46!7 R
?!-:A6 B>!4 ?!-M
%77! A=M <%7=?-I <%>9 -:@!6C
-H%?=C -6: %!4 <=61
469%F%=6 ?!5617A6!71 *LLK A%=I67 17=667C :!6
-:AA6=-6 1T>%=6
<H?9%469<H?% <% )O)L+PELO,
<"U$ )K VW N*
09-50026-mg Doc 13832 Filed 01/23/17 Entered 01/23/17 21:14:01 Main Document Pg 41 of 95
!"#$ %&&'$(() %&&'$((* %&&'$((+ %&&'$((, -./0 1/"/$ 2.3
469%F%=6 :<7?A>A B?J64
?!-:A6 B>!4
-G: 469%F%=6 ?!5617A6!71 %77! A=M <%7=?-I <%>9 -:@!6C
-H%?=C -6: %!4 <=61
*LLK A%=I67 17=667 :!6 -:AA6=-6 1T>%=6 <H?9%469<H?% <% )O)L+PELO,
469%F%=6 :<7?A>A B?J64
?!-:A6 B>!4
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7M
)D)D A%=I67 17=667 <H?9%469<H?% <% )O)L+
469%F%=6 <::964 7=>17 P H?8H
@?694 ;:!4 <:=7B:9?:
-G: 469%F%=6 ?!5617A6!71 %77! A=M <%7=?-I <%>9 -:@!6C
-H%?=C -6: %!4 <=61
*LLK A%=I67 17=667 :!6 -:AA6=-6 1T>%=6 <H?9%469<H?% <% )O)L+PELO,
469%F%=6 <::964 7=>17 P H?8H
@?694 ;:!4 <:=7B:9?:
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
)D)D A%=I67 17=667 <H?9%469<H?% <% )O)L+
469%F%=6 5?< 7=>17 4?56=1?B?64
?!-:A6 16=?61
-G: 469%F%=6 ?!5617A6!71 %77! A=M <%7=?-I <%>9 -:@!6C
-H%?=C -6: %!4 <=61
*LLK A%=I67 17=667 :!6 -:AA6=-6 1T>%=6 <H?9%469<H?% <% )O)L+PELO,
469%F%=6 5?< 7=>17 4?56=1?B?64
?!-:A6 16=?61
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
)D)D A%=I67 17=667 <H?9%469<H?% <% )O)L+
469%F%=6 5?< 7=>17 H?8H @?694
16=?61
-G: 469%F%=6 ?!5617A6!71 %77! A=M <%7=?-I <%>9 -:@!6C
-H%?=C -6: %!4 <=61
*LLK A%=I67 17=667 :!6 -:AA6=-6 1T>%=6 <H?9%469<H?% <% )O)L+PELO,
469%F%=6 5?< 7=>17 H?8H @?694
16=?61
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
)D)D A%=I67 17=667 <H?9%469<H?% <% )O)L+
46!7:!1 >1 99< -%!%4?%! ?A<6=?%9 ;%!I :B
-:AA6=-6
%77![ 8%=@ A%=1H +L+ <6%-H7=66 17=667 1>?76 K+LL %79%!7% 8% +L+LD
46!7:!1 >1 99< -%!%4?%! ?A<6=?%9 ;%!I :B
-:AA6=-6
%77![ :1-%= <?!I%1 )**) %56!>6 :B 7H6 %A6=?-%1 !6F @:=I !@ )LL*L
46>71-H6 ;%!I %8 %77! 7H:A%1 QM =@%! )*K) %56!>6 :B 7H6 %A6=?-%1 !6F @:=I !@ )LL*L
46>71-H6 ;%!I %8 %77! A=M 1%95%7:=6 <M
<%9%22:9:C 61TMC
A%!%8?!8 4?=6-7:= %!4
%11?17%!7 86! -!19
46>71-H6 ;%!I %8C !6F @:=I NL F%99 17=667 !6F @:=I !@ )LLLK
46>71-H6 ;%!I %8 %77! Q%-T>61 ;=%!4 -6: :B !:=7H %A6=?-%C
46>71-H6 ;%!I %8
NL F%99 17=667 !6F @:=I !@ )LLLK
46>71-H6 ;%!I %8 -%@A%!
?19%!4 ;=%!-H
-G: 46>71-H6 ;%!I %8 %77! Q%-T>61 ;=%!4C -H?6B
6J6->7?56 :BB?-6=
NL F%99 17=667 !6F @:=I !@ )LLLK
46>71-H6 ;%!I %8 -%@A%!
?19%!4 ;=%!-H
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
46>71-H6 ;%!I Y-%@A%!Z
9?A?764
;:>!4%=@ H%99C -=?-I67
1T>%=6C )E) 698?! %56!>6C <:
;:J )OD,
8=%!4 -%@A%! I@)P))L,C
-%@A%! ?19%!41
4?%A:!4 1<=?!81 7=%4?!8 99- -:=<:=%7?:! 7=>17 -6!76= )*LO :=%!86 17=667 F?9A?!87:! 46 )ODL)
4?%A:!4 1<=?!81 7=%4?!8 99- %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
)LL !:=7H 7=@:! 17=667 -H%=9:776 !- *D*KK
49% <?<6= A:=8%! 17%!96@ 16!?:=
B>!4?!8 ?!-M
%77![ I65?! B?!86= *L+ !:=7H 9%1%996 17=667 1>?76 )OLL -H?-%8: ?9 NLNL)P)*O+
4:>;96 ;9%-I 4?%A:!4
:BB1H:=6 974M
-G: -?7-: B>!4 16=5?-61
Y-%@A%! ?19%!41Z 9?A?764
<: ;:J +))LN DO !6J>1 F%@ -%A%!% ;%@ I@)P)*LKC -%@A%!
?19%!41
4:>;96 ;9%-I 4?%A:!4
:BB1H:=6 974M
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
*)LL A-I?!!6@ %56!>6 1>?76 )DLL 4%99%1 7J EK*L)
4>-I:= 1<=%49?!8 A67286= R
F@!!6
:%I7=66 P 1%! 4?68: -:>!7@
6A<9
=67?=6A6!7 %11:-
%77![ =:;6=7 1H%>8H!611@ +L,+ ,7H %56!>6 1%! 4?68: -% O*)L+PKDL)
6%7:! 5%!-6 -4: ?J 974M <: ;:J )LO+ T>66!18%76 H:>16 1:>7H -H>=-H 17=667 86:=86 7:F! I@)P))L*
-%@A%! ?19%!41
6%7:! 5%!-6 -4: ?J 974M B%>17C 7H:A%1 6MC -6: %!4
<=61?46!7
6%7:! 5%!-6 A%!%86A6!7 -G: 6%7:! 5%!-6
A%!%86A6!7G6%7:! 5%!-6
-:=<M
7F: ?!7=!79 <9%-6 ;:17:! A% L*))L
6%7:! 5%!-6 -4: ?J 974M %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
*KK 17%76 17=667 N7H B9::= ;:17:! A% L*)LO
<"U$ )N VW N*
09-50026-mg Doc 13832 Filed 01/23/17 Entered 01/23/17 21:14:01 Main Document Pg 42 of 95
!"#$ %&&'$(() %&&'$((* %&&'$((+ %&&'$((, -./0 1/"/$ 2.3
6%7:! 5%!-6 -4: 5??? 974 <: ;:J )LO+ T>66!18%76 H:>16 1:>7H -H>=-H 17=667 86:=86 7:F! I@)P))L*
-%@A%! ?19%!41
6%7:! 5%!-6 -4: 5??? 974 B%>17C 7H:A%1 6MC -6: %!4
<=61?46!7
6%7:! 5%!-6 A%!%86A6!7 -G: 6%7:! 5%!-6
A%!%86A6!7G6%7:! 5%!-6
-:=<M
7F: ?!7=!79 <9%-6 ;:17:! A% L*))L
6%7:! 5%!-6 -4: 5??? 974 %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
*KK 17%76 17=667 N7H B9::= ;:17:! A% L*)LO
6%7:! 5%!-6 -4: J <9- -G: 6%7:! 5%!-6
A%!%86A6!7
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
*KK 17%76 17=667 N7H B9::= ;:17:! A% L*)LO
6%7:! 5%!-6 -4: J <9- %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
DK A6==?:! 1T>%=6 4>;9?!C -: 4>;9?! *C ?=69%!4
6%7:! 5%!-6 -4: J <9- -G: 6%7:! 5%!-6
A%!%86A6!7G6%7:! 5%!-6
-:=<M
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
7F: ?!7=!79 <9%-6 ;:17:! A% L*))L
6%7:! 5%!-6 B9:%7?!8 =%76
?!-:A6 7=>17
B%>17C 7H:A%1 6MC -6: %!4
<=61?46!7
6%7:! 5%!-6 A%!%86A6!7 -G: 6%7:! 5%!-6
A%!%86A6!7G6%7:! 5%!-6
-:=<M
7F: ?!7=!79 <9%-6 ;:17:! A% L*))L
6%7:! 5%!-6 B9:%7?!8 =%76
?!-:A6 7=>17
-G: 6%7:! 5%!-6
A%!%86A6!7
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
*KK 17%76 17=667 N7H B9::= ;:17:! A% L*)LO
6%7:! 5%!-6 8=%@1:! R -:M B%>17C 7H:A%1 6MC -6: %!4
<=61?46!7
6%7:! 5%!-6 A%!%86A6!7 -G: 6%7:! 5%!-6
A%!%86A6!7G6%7:! 5%!-6
-:=<M
7F: ?!7=!79 <9%-6 ;:17:! A% L*))L
6%7:! 5%!-6 8=%@1:! R -:M -G: 6%7:! 5%!-6
A%!%86A6!7
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
*KK 17%76 17=667 N7H B9::= ;:17:! A% L*)LO
6%7:! 5%!-6 ?!17?7>7?:!%9
16!?:= 9:%! B>!4
-G: 6%7:! 5%!-6
A%!%86A6!7
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
*KK 17%76 17=667 N7H B9::= ;:17:! A% L*)LO
6%7:! 5%!-6 ?!17?7>7?:!%9
16!?:= 9:%! B>!4
-G: 6%7:! 5%!-6
A%!%86A6!7G6%7:! 5%!-6
-:=<M
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
7F: ?!7=!79 <9%-6 ;:17:! A% L*))L
6%7:! 5%!-6 ?!7=!79 Y-%@A%!
?19%!41Z B>!41 974M
B9:%7?!8P=%76 ?!-:A6 B>!4 -G: ?!76=7=>17 -:=<:=%76
16=5?-61 Y-%@A%!Z 9?A?764
)OL 698?! %56!>6 86:=86 7:F! I@)POLLKC
-%@A%! ?19%!41
6%7:! 5%!-6 ?!7=!79 Y-%@A%!
?19%!41Z B>!41 974M
B9:%7?!8P=%76 ?!-:A6 B>!4 -G: 17%76 17=667 -%@A%! 7=>17
-:A<%!@C 974M
%77![ <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
8%=46!?% -7C ,K A%=I67 17C
S++LEC -%A%!% ;%@ I@)P)*LK
-%@A%! ?19%!41
6%7:! 5%!-6 ?!7=!79 YI@Z B!4
974]B97P=%76 ?!-A B!4
-G: 6%7:! 5%!-6
A%!%86A6!7
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
*KK 17%76 17=667 N7H B9::= ;:17:! A% L*)LO
6%7:! 5%!-6 ?!7=!79 YI@Z B!4
974]B97P=%76 ?!-A B!4
-G: 6%7:! 5%!-6
A%!%86A6!7G6%7:! 5%!-6
-:=<M
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
7F: ?!7=!79 <9%-6 ;:17:! A% L*))L
6%7:! 5%!-6 9?A?764 4>=%7?:!
?!-A B>!4
-G: 6%7:! 5%!-6
A%!%86A6!7
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
*KK 17%76 17=667 N7H B9::= ;:17:! A% L*)LO
6%7:! 5%!-6 9?A?764 4>=%7?:!
?!-:A6 B>!4
B%>17C 7H:A%1 6MC -6: %!4
<=61?46!7
6%7:! 5%!-6 A%!%86A6!7 -G: 6%7:! 5%!-6
A%!%86A6!7G6%7:! 5%!-6
-:=<M
7F: ?!7=!79 <9%-6 ;:17:! A% L*))L
6%7:! 5%!-6 9:%!
:<<:=7>!?7?61 B>!4C 974M
B%>17C 7H:A%1 6MC -6: %!4
<=61?46!7
6%7:! 5%!-6 A%!%86A6!7 -G: 6%7:! 5%!-6
A%!%86A6!7G6%7:! 5%!-6
-:=<M
7F: ?!7=!79 <9%-6 ;:17:! A% L*))L
6%7:! 5%!-6 9:%!
:<<:=7>!?7?61 B>!4C 974M
-G: 6%7:! 5%!-6
A%!%86A6!7
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
*KK 17%76 17=667 N7H B9::= ;:17:! A% L*)LO
6%7:! 5%!-6 9:%!
:<<:=7>!?7?61 B>!4C 974M
-G: ?!5617:=1 ;%!I R 7=>17 -:M %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
* -:<96@ <9 176 +LL ;:17:! A% L*))NPNKND
<"U$ )E VW N*
09-50026-mg Doc 13832 Filed 01/23/17 Entered 01/23/17 21:14:01 Main Document Pg 43 of 95
!"#$ %&&'$(() %&&'$((* %&&'$((+ %&&'$((, -./0 1/"/$ 2.3
6%7:! 5%!-6 A64%99?:!
B9:%7?!8 =%76 ?!-A <:=7B:9?:
-G: ?!76=7=>17 -:=<:=%76
16=5?-61 Y-%@A%!Z 974C
)OL 698?! %56!>6 86:=86 7:F! I@)POLLKC
-%@A%! ?19%!41
6%7:! 5%!-6 A64%99?:!
B9:%7?!8 =%76 ?!-A <:=7B:9?:
-G: 6%7:! 5%!-6
A%!%86A6!7
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
*KK 17%76 17=667 N7H B9::= ;:17:! A% L*)LO
6%7:! 5%!-6 A64%99?:!
B9:%7?!8 =%76 ?!-A <:=7B:9?:
-G: 6%7:! 5%!-6
A%!%86A6!7G6%7:! 5%!-6
-:=<M
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
7F: ?!7=!79 <9%-6 ;:17:! A% L*))L
6%7:! 5%!-6 16!?:= 46;7
<:=7B:9?:
B%>17C 7H:A%1 6MC -6: %!4
<=61?46!7
6%7:! 5%!-6 A%!%86A6!7 -G: 6%7:! 5%!-6
A%!%86A6!7G6%7:! 5%!-6
-:=<M
7F: ?!7=!79 <9%-6 ;:17:! A% L*))L
6%7:! 5%!-6 16!?:= 46;7
<:=7B:9?:
-G: 6%7:! 5%!-6
A%!%86A6!7
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
*KK 17%76 17=667 N7H B9::= ;:17:! A% L*)LO
6%7:! 5%!-6 16!?:= 46;7
<:=7B:9?:
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
;:17:! A8A7 R =616%=-H *, B646=%9 17=667 N7H B9::= ;:17:! A% L*))L
6%7:! 5%!-6 16!?:= B9:%7?!8
=%76 7=>17
B%>17C 7H:A%1 6MC -6: %!4
<=61?46!7
6%7:! 5%!-6 A%!%86A6!7 -G: 6%7:! 5%!-6
A%!%86A6!7G6%7:! 5%!-6
-:=<M
7F: ?!7=!79 <9%-6 ;:17:! A% L*))L
6%7:! 5%!-6 16!?:= B9:%7?!8
=%76 7=>17
-G: 6%7:! 5%!-6
A%!%86A6!7
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
*KK 17%76 17=667 N7H B9::= ;:17:! A% L*)LO
6%7:! 5%!-6 16!?:= ?!-:A6
7=>17
%77! 1-:77 <%86 <=61?46!7 -G: 6%7:! 5%!-6
A%!%86A6!7G6%7:! 5%!-6
-:=<M
7F: ?!7=!79 <9%-6 ;:17:! A% L*))L
6%7:! 5%!-6 16!?:= ?!-:A6
7=>17
%77! A%>=66! 86AA% -H?6B 968%9 :BB?-6=C 5< %!4
16-=67%=@
6%7:! 5%!-6
A%!%86A6!7G6%7:! 5%!-6
-:=<M
7F: ?!7=!79 <9%-6 ;:17:! A% L*))L
6%7:! 5%!-6 1H:=7 4>=%7?:!
4?56=1?B?64 ?!-:A6 B>!4
B%>17C 7H:A%1 6MC -6: %!4
<=61?46!7
6%7:! 5%!-6 A%!%86A6!7 -G: 6%7:! 5%!-6
A%!%86A6!7G6%7:! 5%!-6
-:=<M
7F: ?!7=!79 <9%-6 ;:17:! A% L*))L
6%7:! 5%!-6 1H:=7 4>=%7?:!
4?56=1?B?64 ?!-:A6 B>!4
-G: 6%7:! 5%!-6
A%!%86A6!7
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
*KK 17%76 17=667 N7H B9::= ;:17:! A% L*)LO
6%7:! 5%!-6 5%=?%;96 7=
B9:%7?!8 =%76 ?!-:A6 B>!4
B%>17C 7H:A%1 6MC -6: %!4
<=61?46!7
6%7:! 5%!-6 A%!%86A6!7 -G: 6%7:! 5%!-6
A%!%86A6!7G6%7:! 5%!-6
-:=<M
7F: ?!7=!79 <9%-6 ;:17:! A% L*))L
6%7:! 5%!-6 5%=?%;96 7=
B9:%7?!8 =%76 ?!-:A6 B>!4
-G: 6%7:! 5%!-6
A%!%86A6!7
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
*KK 17%76 17=667 N7H B9::= ;:17:! A% L*)LO
6A<9:@661 =67?=6A6!7 B>!4 :B
7H6 -?7@ :B 4%99%1
%77! -H6=@9 %917:! 6J6->7?56 4?=6-7:= 6A<9:@661X =67?=6A6!7 B>!4 :B
4%99%1
NLL !M <6%=9 17MC 1>?76 *,KL 4%99%1 7J EK*L)
6A<9:@661 =67?=6A6!7 B>!4 :B
7H6 -?7@ :B 4%99%1
%77! -%=9% 4M ;=6F6= -H%?=A%! :B ;:%=4 :B
7=>17661
NLL !:=7H <6%=9 17=667C 1>?76
*,KL
1:>7H 7:F6= 4%99%1 7J EK*L)PE,)K
6A<9:@661 =67?=6A6!7 B>!4 :B
7H6 -?7@ :B 4%99%1
%77! A?I6 =%F9?!81 A%@:= -?7@ :B 4%99%1 )KLL A%=?99% 17=667 4%99%1 7J EK*L)PN+OL
6A<9:@6=1 ?!1>=%!-6
-:A<%!@ :B F%>1%>
%77! 4:@96C 1>1%! AM -6: %!4
<=61?46!7
*LLL F617F::4 4=?56 F%>1%> F? K,,L)
6A<9:@6=1 ?!1>=%!-6
-:A<%!@ :B F%>1%>
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
)EK ;6=I696@ 17=667 ;:17:! A% L*))NPKLNN
656=8=66! -:=6 <9>1 ;:!4
B>!4
%77! F?99?%A 4:>89%1 A>!! 6J6->7?56 A%!%8?!8 4?=6-7:=C
-::C %!4 4?=6-7:=
656=8=66! ?!5617A6!7
A%!%86A6!7 -:A<%!@C 99-
*LL ;6=I69@ 17=667 ;:17:! A% L*))N
656=8=66! -:=6 <9>1 ;:!4
B>!4
-G: F6991 B%=8: B>!41
A%!%86A6!7C 99-
%77! I%=9% A%=?6 =%;>1-HC <=61C
-6:C %!4 4?=6-7:=
K*K A%=I67 17=667 )*7H B9::= 1%! B=%!-?1-: -% O,)LKP*E*L
656=8=66! H?8H ?!-:A6 B>!4 %77! F?99?%A 4:>89%1 A>!! 6J6->7?56 A%!%8?!8 4?=6-7:=C
-::C %!4 4?=6-7:=
656=8=66! ?!5617A6!7
A%!%86A6!7 -:A<%!@C 99-
*LL ;6=I69@ 17=667 ;:17:! A% L*))N
<"U$ )D VW N*
09-50026-mg Doc 13832 Filed 01/23/17 Entered 01/23/17 21:14:01 Main Document Pg 44 of 95
!"#$ %&&'$(() %&&'$((* %&&'$((+ %&&'$((, -./0 1/"/$ 2.3
656=8=66! H?8H ?!-:A6 B>!4 -G: 656=8=66! ?!5617A6!7
A%!%86A6!7 -:C 99-
-:=<:=%7?:! 16=5?-6
-:A<%!@
*E)) -6!76=5?996 =4 F?9A?!87:! 46 )ODLD
656=8=66! H?8H @?694 ;:!4
7=>17
%77! F?99?%A 4:>89%1 A>!! 6J6->7?56 A%!%8?!8 4?=6-7:=C
-::C %!4 4?=6-7:=
656=8=66! ?!5617A6!7
A%!%86A6!7 -:A<%!@C 99-
*LL ;6=I69@ 17=667 ;:17:! A% L*))N
656=8=66! H?8H @?694 ;:!4
7=>17
%77! I%=9% A%=?6 =%;>1-HC <=61C
-6:C %!4 4?=6-7:=
F6991 B%=8: B>!41
A%!%86A6!7C 99-
-G: F6991 B%=8: B>!41
A%!%86A6!7C 99-
K*K A%=I67 17=667 )*7H B9::= 1%! B=%!-?1-: -% O,)LKP*E*L
656=8=66! ?!-:A6 %45%!7%86
B>!4
%77! F?99?%A 4:>89%1 A>!! 6J6->7?56 A%!%8?!8 4?=6-7:=C
-::C %!4 4?=6-7:=
656=8=66! ?!5617A6!7
A%!%86A6!7 -:A<%!@C 99-
*LL ;6=I69@ 17=667 ;:17:! A% L*))N
656=8=66! ?!-:A6 %45%!7%86
B>!4
%77! I%=9% A%=?6 =%;>1-HC <=61C
-6:C %!4 4?=6-7:=
F6991 B%=8: B>!41
A%!%86A6!7C 99-
-G: F6991 B%=8: B>!41
A%!%86A6!7C 99-
K*K A%=I67 17=667 )*7H B9::= 1%! B=%!-?1-: -% O,)LKP*E*L
656=8=66! >7?9?7?61 R H?8H
?!-:A6 B>!4
%77! F?99?%A 4:>89%1 A>!! 6J6->7?56 A%!%8?!8 4?=6-7:=C
-::C %!4 4?=6-7:=
656=8=66! ?!5617A6!7
A%!%86A6!7 -:A<%!@C 99-
*LL ;6=I69@ 17=667 ;:17:! A% L*))N
656=8=66! >7?9?7?61 R H?8H
?!-:A6 B>!4
%77! I%=9% A%=?6 =%;>1-HC <=61C
-6:C %!4 4?=6-7:=
F6991 B%=8: B>!41
A%!%86A6!7C 99-
-G: F6991 B%=8: B>!41
A%!%86A6!7C 99-
K*K A%=I67 17=667 )*7H B9::= 1%! B=%!-?1-: -% O,)LKP*E*L
656=8=66! 5% H?8H ?!-:A6
B>!4
%77! F?99?%A 4:>89%1 A>!! 6J6->7?56 A%!%8?!8 4?=6-7:=C
-::C %!4 4?=6-7:=
656=8=66! ?!5617A6!7
A%!%86A6!7 -:A<%!@C 99-
*LL ;6=I69@ 17=667 ;:17:! A% L*))N
65=8=! A>97 16-7 ?!-A B!4 BI%
65=8=! A84 ?!-A B!4
%77! F?99?%A 4:>89%1 A>!! 6J6->7?56 A%!%8?!8 4?=6-7:=C
-::C %!4 4?=6-7:=
656=8=66! ?!5617A6!7
A%!%86A6!7 -:A<%!@C 99-
*LL ;6=I69@ 17=667 ;:17:! A% L*))N
65=8=! A>97 16-7 ?!-A B!4 BI%
65=8=! A84 ?!-A B!4
%77! I%=9% A%=?6 =%;>1-HC <=61C
-6:C %!4 4?=6-7:=
F6991 B%=8: B>!41
A%!%86A6!7C 99-
-G: F6991 B%=8: B>!41
A%!%86A6!7C 99-
K*K A%=I67 17=667 )*7H B9::= 1%! B=%!-?1-: -% O,)LKP*E*L
B%68=6 ;%I6= 4%!?691 99< ?!4?%!% >!?56=1?7@ %77![ A?-H%69 I=%>11 **LL F6991 B%=8: -6!76= OL 1:>7H 1656!7H 17=667 A?!!6%<:9?1 A! KK,L*P+OL)
B%?=5?6F B>!4?!8 99- %77! 5?!-6!7 8%9%!: =68?176=64 %86!7 KNK 17%76 =:>76 +K 176 )L =64 ;%!I !Q LEEL)PKL,E
B%?=5?6F B>!4?!8 99- !%7?:!%9 -:=<:=%76 =616%=-HC
974
N)K 1M 4><:!7 HF@ 4:56= 46 )OOL)
B%?=F%@ 9:%! B>!4?!8
-:A<%!@
-G: B%?=F%@ 9:%! B>!4?!8
Y469%F%=6Z -:=<M
YB?96 !>A;6= O)LOO*EZ 4:!%94 QM <>89?1?C <>89?1? R
%11:-?%761
DKL 9?;=%=@ %56C 1>?76 *L, !6F%=I 46 )OE))
B%?=F%@ 9:%! B>!4?!8
-:A<%!@
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
B%?=F%@ 9:%! B>!4?!8
-:A<%!@
-G: A%<961B1 9?A?764C <M:M ;:J
)LO+C ;:>!4%=@ H%99C -=?-I67
1T>%=6
8=%!4 -%@A%!C I@)P))L*C
-%@A%! ?19%!41
B%?=F%@ 9:%! B>!4?!8
-:A<%!@
-G: <%-?B?- ?!5617A6!7
A%!%86A6!7 -:
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
NKL !6F<:=7 -6!76= 4=?56 !6F<:=7 ;6%-H -% O*NNL
B?469?7@ P %=?2:!% 17%76
=67?=6A6!7 1@176A
%77! <%>9 A%71:! 4?=6-7:= %=?2:!% 17%76 =67?=6A6!7 1@176A ++LL !:=7H -6!7=%9 %56!>6 <H:6!?J %2 DKL)*PL*KL
B?469?7@ P %=?2:!% 17%76
=67?=6A6!7 1@176A
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
B?469?7@ D* 465:!1H?=6 17=667 ;:17:! A% L*)LOP+NLK
B?469?7@ P %=?2:!% 17%76
=67?=6A6!7 1@176A
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
B?469?7@ *,K 1>AA6= 17=667 ;:17:! A% L**)L
B?469?7@ %45= 16=?61 ?PB?469?7@
%45= H?8H ?!-A B!4
%77! 1-:77 8:6;69 16-=67%=@ *,K 1>AA6= 17=667 ;:17:! A% L**)L
B?469?7@ %45= 16=?61 ?PB?469?7@
%45= H?8H ?!-A B!4
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
D* 465:!1H?=6 17=667 ;:17:! A% L*)LOP+NLK
B?469?7@ %45= 1=1 ?P%45= B97!8
=%76 H?8H ?!-A B!4
-G: BA= 99-C 4G;G% B?469?7@
?!5617A6!71
%77! %;?8%?9 <?6==6<:!7
Q:H!1:!C -6:
B?469?7@ ?!5617A6!71 D* 465:!1H?=6 17=667 ;:17:! A% L*)LOP+NLK
B?469?7@ %45= 1=1 ?P%45= H?8H
?!-A %45%!7%86 B!4
%77! 64F%=4 -M Q:H!1:! ???C
7=>1766
D* 465:!1H?=6 17 ;:17:! A% L*)LOP+NLK
B?469?7@ %45= 1=1 ?? P %45=
17=%768?- ?!-:A6 B>!4
%77! 64F%=4 -M Q:H!1:! ???C
7=>1766
D* 465:!1H?=6 17 ;:17:! A% L*)LOP+NLK
B?469?7@ %A6=?-%! H?8H @?694
B>!4
-G: B?469?7@ ?!5617A6!71
-%!%4% >9-
%77! =:;6=7 17=?-I9%!4C <=61 :B
B?497@ ?!5 -% 974
,D+ ;%@ 17=667C 1>?76 +LL 7:=:!7:C :! AK8 *!EC -%!%4%
<"U$ )O VW N*
09-50026-mg Doc 13832 Filed 01/23/17 Entered 01/23/17 21:14:01 Main Document Pg 45 of 95
!"#$ %&&'$(() %&&'$((* %&&'$((+ %&&'$((, -./0 1/"/$ 2.3
B?469?7@ %A6=?-%! H?8H @?694
B>!4
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
D* 465:!1H?=6 17 ;:17:! A% L*)LOP+NLK
B?469?7@ ;%99@=:-I -9: ?? %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
<M:M ;:J )LO+ 87 T>66!18%76 H:>16C 1:>7H
-H>=-H 17=667
86:=86 7:F!C 8=%!4 -%@A%!C
-%@A%! ?19%!41
B?469?7@ ;%99@=:-I -9: ?? -G: B?469?7@ ?!5617A6!71 %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
D* 465:!1H?=6 17=667 P 6+)- ;:17:! A% L*)LO
B?469?7@ ;%99@=:-I -9: ??? %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
<M:M ;:J )LO+ 87 T>66!18%76 H:>16C 1:>7H
-H>=-H 17=667
86:=86 7:F!C 8=%!4 -%@A%!C
-%@A%! ?19%!41
B?469?7@ ;%99@=:-I -9: ??? -G: B?469?7@ ?!5617A6!71 %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
D* 465:!1H?=6 17=667 P 6+)- ;:17:! A% L*)LO
B?469?7@ -%!%4?%! %11677 %99 -G: B?469?7@ ?!5617A6!71
-%!%4% >9-
%77! =:;6=7 17=?-I9%!4C <=61 :B
B?497@ ?!5 -% 974
,D+ ;%@ 17=667C 1>?76 +LL 7:=:!7:C :! AK8 *!EC -%!%4%
B?469?7@ -%!%4?%! %11677 %99 %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
B?469?7@ ?!5617A6!71 D* 465:!1H?=6 17 ;:17:! A% L*)LOP+NLK
B?469?7@ -6! ?!5PH? ?!- <B ? %77! 1-:77 8:6;69 16-=67%=@ *,K 1>AA6= 17=667 ;:17:! A% L**)L
B?469?7@ -6! ?!5PH? ?!- <B ? %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
D* 465:!1H?=6 17=667 ;:17:! A% L*)LOP+NLK
B?469?7@ -6!7=%9 ?!5617A6!7
<:=7B:9?:1 99-
B?469?7@ B9:%7?!8 =%76 -7 -:=<:=%7?:! 1@176A )KK B646=%9 17=667C 1>?76 ELL ;:17:! A% L*))LP)E*E
B?469?7@ -6!7=%9 ?!5617A6!7
<:=7B:9?:1 99-
B?469?7@ B9:%7?!8 =%76 %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
D* 465:!1H?=6 17=667 ;:17:! A% L*)LOP+NLK
B?469?7@ -6!7=%9 ?!5617A6!7
<:=7B:9?:1 99-
B?469?7@ B9:%7?!8 =%76 %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
*,K 1>AA6= 17M ;:17:! A% L**)LP))++
B?469?7@ -6!7=%9 ?!5617A6!7
<:=7B:9?:1 99-
B?469?7@ H?8H ?!-:A6 -6!7=%9
B>!4 *
-7 -:=<:=%7?:! 1@176A )KK B646=%9 17=667C 1>?76 ELL ;:17:! A% L*))LP)E*E
B?469?7@ -6!7=%9 ?!5617A6!7
<:=7B:9?:1 99-
B?469?7@ H?8H ?!-:A6 -6!7=%9
B>!4 *
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
D* 465:!1H?=6 17=667 ;:17:! A% L*)LOP+NLK
B?469?7@ -6!7=%9 ?!5617A6!7
<:=7B:9?:1 99-
B?469?7@ H?8H ?!-:A6 -6!7=%9
B>!4 *
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
*,K 1>AA6= 17M ;:17:! A% L**)LP))++
B?469?7@ ?99?!:?1 A>!? =67 B4 %77! 9:>?1 FM I:1?;% 6J6->7?56 4?=6-7:= **)) @:=I =:%4C 1>?76 ,LL :%I ;=::I ?9 NLK*+P*++E
B?469?7@ ?99?!:?1 A>!? =67 B4 %77! 9?1% A%4?8%! %77:=!6@ 86!6=%9 KLL 1:>7H 16-:!4 17=667 1<=?!8B?694 ?9 N*ELN
B?469?7@ ?99?!:?1 A>!? =67 B4 %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
B?469?7@ D* 465:!1H?=6 17=667 ;:17:! A% L*)LOP+NLK
B?469?7@ ?99?!:?1 A>!? =67 B4 %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
B?469?7@ *,K 1>AA6= 17=667 ;:17:! A% L**)L
B?469?7@ ?!-:A6 B>!4 P B?469?7@
7:7%9 ;:!4 B>!4
%77! 1-:77 - 8:6;69 16-=67%=@ *,K 1>AA6= 17=667 7=>17 ;:17:! A% L**)L
B?469?7@ ?!-:A6 B>!4 P B?469?7@
7:7%9 ;:!4 B>!4
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
D* 465:!1H?=6 17 ;:17:! A% L*)LOP+NLK
B?469?7@ <>=?7%! 7=>17 P <>=?7%!
B>!4
%77! 1-:77 - 8:6;69 16-=67%=@ *,K 1>AA6= 17=667 7=>17 ;:17:! A% L**)L
B?469?7@ <>=?7%! 7=>17 P <>=?7%!
B>!4
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
D* 465:!1H?=6 17 ;:17:! A% L*)LOP+NLK
B?469?7@ 1-H::9 17=667
7=>17P17=%768?- ?!-:A6 B>!4
%77! 64F%=4 -M Q:H!1:! ??? 7=>1766 D* 465:!1H?=6 17 ;:17:! A% L*)LOP+NLK
B?469?7@ 1-H::9 17=667
7=>17P17=%768?- ?!-:A6 B>!4
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
K) 9:>?1?%!% %56M !F F%1H?!87:! 4- *LLL)
B?469?7@ 1-H::9 17=667
7=>17P17=%768?- ?!-:A6 B>!4
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
*,K 1>AA6= 17M ;:17:! A% L**)LP))++
<"U$ *L VW N*
09-50026-mg Doc 13832 Filed 01/23/17 Entered 01/23/17 21:14:01 Main Document Pg 46 of 95
!"#$ %&&'$(() %&&'$((* %&&'$((+ %&&'$((, -./0 1/"/$ 2.3
B?469?7@ 1>AA6= 17=667
7=>17P-%<?7%9 R ?!-:A6 B>!4
%77! 1-:77 - 8:6;69 16-=67%=@ *,K 1>AA6= 17=667 7=>17 ;:17:! A% L**)L
B?469?7@ 1>AA6= 17=667
7=>17P-%<?7%9 R ?!-:A6 B>!4
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
D* 465:!1H?=6 17 ;:17:! A% L*)LOP+NLK
B?469?7@ 1>AA6= 17=667
7=>17PH?8H ?!-:A6 B>!4
%77! 1-:77 - 8:6;69 16-=67%=@ *,K 1>AA6= 17=667 7=>17 ;:17:! A% L**)L
B?469?7@ 1>AA6= 17=667
7=>17PH?8H ?!-:A6 B>!4
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
D* 465:!1H?=6 17 ;:17:! A% L*)LOP+NLK
B?469?7@ 7=P?8 ?!517 A8A7 974M %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
B?469?7@ D* 465:!1H?=6 17=667 ;:17:! A% L*)LOP+NLK
B?469?7@ 7=P?8 ?!517 A8A7 974M %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
B?469?7@ *,K 1>AA6= 17=667 ;:17:! A% L**)L
B?469?7@ 5%=?%;96 ?!1>=%!-6
<=:4>-71
5 17=%768?- ?!-:A6 <:=7B:9?: 1-:77 - 8:6;69C 16-=67%=@ *,K 1>AA6= 17=667 7=>17 ;:17:! A% L**)L
B?469?7@ 5%=?%;96 ?!1>=%!-6
<=:4>-71
5 17=%768?- ?!-:A6 <:=7B:9?: %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
D* 465:!1H?=6 17 ;:17:! A% L*)LOP+NLK
B?469?7@ 5?< B4 H? ?!- <B %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
B?469?7@ D* 465:!1H?=6 17=667 ;:17:! A% L*)LOP+NLK
B?469?7@ 5?< B4 H? ?!- <B %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
B?469?7@ *,K 1>AA6= 17=667 ;:17:! A% L**)L
B?=17 7=>17 B:>= -:=!6=1 16!?:= B9:%7?!8 =%76 ?!-:A6 B>!4 ?? Q%A61 ;=:F!C =?-H%=4
6=?-I1:!C 7H:A%1 I%496-
7=>17661 )LL) F%==6!5?996 =:%4 1>?76 +LL 9?196 ?9 NLK+*
B?=17 7=>17 B:>= -:=!6=1 16!?:= B9:%7?!8 =%76 ?!-:A6 B>!4 ?? - 7 -:=<:=%7?:! 1@176A )KK B646=%9 17MC 1>?76 ELL ;:17:! A% L*))L
B?=17 7=>17 B:>= -:=!6=1 16!?:= B9:%7?!8 =%76 ?!-:A6 B>!4 ?? %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
K)K) 1M B9:F6= 17=667 1>?76 ,+)L 9:1 %!86961 -% OLLE)
B?=17 7=>17 B:>= -:=!6=1 16!?:= B9:%7?!8 =%76 ?!-:A6 B>!4 ?? %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
)*L 6%17 9?;6=7@ 4=M FH6%7:! ?9 NL)DE
B?=17 7=>17GB:>= -:=!6=1 16!?:= B9:%7?!8 =%76 ?!-:A6 B>!4 Q%A61 ;=:F!C =?-H%=4
6=?-I1:!C 7H:A%1 I%496-
7=>17661 )LL) F%==6!5?996 =:%4 1>?76 +LL 9?196 ?9 NLK+*
B?=17 7=>17GB:>= -:=!6=1 16!?:= B9:%7?!8 =%76 ?!-:A6 B>!4 - 7 -:=<:=%7?:! 1@176A )KK B646=%9 17MC 1>?76 ELL ;:17:! A% L*))L
B?=17 7=>17GB:>= -:=!6=1 16!?:= B9:%7?!8 =%76 ?!-:A6 B>!4 %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
K)K) 1M B9:F6= 17=667 1>?76 ,+)L 9:1 %!86961 -% OLLE)
B?=17 7=>17GB:>= -:=!6=1 16!?:= B9:%7?!8 =%76 ?!-:A6 B>!4 %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
)*L 6%17 9?;6=7@ 4=M FH6%7:! ?9 NL)DE
B?=17 7=>17GB:>= -:=!6=1 16!?:= B9:%7?!8 =%76 ?!-:A6 B>!4 %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
B:>= -:=!6=1 -%<?7%9 A8A7 9?;6=7@ 7:F6= 9:1 %!86961 -% OLLE)
B::7H?99 -9: ?C 974M -G: F%9I6=1 1<5 9?A?764 %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
F%9I6= H:>16C DE A%=@ 17=667 86:=86 7:F!C 8= -%@A%!C
-%@A%! ?19%!41
B::7H?99 -9: ?C 974M -G: F%9I6= H:>16 %77! A%=@ 17=667 <M:M ;:J OLD87 8=%!4 -%@A%!C 86:=867:F!C
-%@A%! ?19%!41
B::7H?99 -9: ?C 974M -G: -%=9@96 ?!5617A6!7
A%!%86A6!7C 9M9M-
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
7H6 -%=9@96 8=:>< 9M<M )LL) <6!!1@95%!?% %56!>6C !F F%1H?!87:! 4- *LLL,P*KLK
B::7H?99 8=:>< ?!-M %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
*L,O -6!7>=@ <%=I 6%17 9:1 %!86961 -% OLLNE
B::7H?99 8=:>< ?!-M %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
))))) 1%!7% A:!?-% ;954C 1>?76
)KLL
9:1 %!86961 -% OLL*KP++++
B::7H?99 8=:>< ?!-M -G: F6991 B%=8: -%<?7%9
B?!%!-6 9M9M-M
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
*,KL -:9:=%4: %56C 176M +LLL F 1%!7% A:!?-% -% OL,L,
<"U$ *) VW N*
09-50026-mg Doc 13832 Filed 01/23/17 Entered 01/23/17 21:14:01 Main Document Pg 47 of 95
!"#$ %&&'$(() %&&'$((* %&&'$((+ %&&'$((, -./0 1/"/$ 2.3
B:=7=611 -=64?7 ?!5617A6!71 ?
974M
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
<: ;:J +LO87 >89%!4 H:>16C 1:>7H - 86:=86 7:F!C 8=%!4 -%@A%!
LLLLLC -%A%! ?19%!41
B:=7=611 -=64?7 ?!5617A6!71 ??
974M
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
<: ;:J +LO87 >89%!4 H:>16C 1:>7H - 86:=86 7:F!C 8=%!4 -%@A%!C
-%@A%! ?19%!41
B:>= -:=!6=1 -9: ?? 974M %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
K)K 1M B9:F6= 17=667 1>?76 ,+)L 9:1 %!86961 -% OLLE)
B:>= -:=!6=1 -9: ?? 974M -G: ?!76=7=>17 1<5 Y-%@A%!Z %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
)OL 698?! %56!>6 86:=86 7:F!C 8=%!4 -%@A%!C
-%@A%! ?19%!41
B:>= -:=!6=1 -9: ?? 974M %77! ;=?%! A>==@C -H?6B
-:A<9?%!-6 :BB?-6=
*LLK A%=I67 17=667 <H?9%469<H?% -% )O)L+PELOD
B:>= -:=!6=1 -9: ?? 974M -G: 46>71-H6 ;%!I !%7?:!%9
7=>17 -:
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
)EN) 6%17 1%?!7 %!4=6F <9%-6 1%!7% %!% -% O*ELK
B:>= -:=!6=1 -9: ??? 974M -G: F%9I6=1 1<5 9?A?764 %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
F%9I6= H:>16C DE A%=@ 17=667 86:=86 7:F!C 8=%!4 -%@A%!
I@)POLL*C -%@A%! ?19%!41
B:>= -:=!6=1 -9: ??? 974M -G: 46>71-H6 ;%!I !%7?:!%9
7=>17 -:
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
)EN) 6%17 1%?!7 %!4=6F <9%-6 1%!7% %!% -% O*ELK
B:>= -:=!6=1 -9: ??? 974M %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
B:>= -:=!6=1 -%<?7%9
A%!%86A6!7C 99-
K)K 1:>7H B9:F6= 17=667 Y1>?76
)NLLZ
9:1 %!86961 -% OLLE)
B7? -:!1>97?!8 ?!- + 7?A61 1T %77![ -:!:= 7>99@ !6F @:=I !@ )LL+N
86!6=%9 696-7=?- -%<?7%9
-:=<:=%7?:!
%77! I6?7H 1H6=?! -H?6B 6J6->7?56 :BB?-6= OL) A%?! %56M !:=F%9I -7 LNDK)P))ND
86!6=%9 696-7=?- -%<?7%9
-:=<:=%7?:!
-7 -:=<:=%7?:! 1@176A ))) D7H %56M !6F @:=I !@ )LL))PK*L)
86!6=%9 696-7=?- -%<?7%9
-:=<:=%7?:!
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
,, :94 =?486;>=@ =4M 4%!;>=@ -7 LND)L
86!6=%9 696-7=?- <6!1?:! 7=>17 %77! <H?9?< =?:=4%! <=61?46!7 -G: 86 %1167 A%!%86A6!7 ?!-M )NLL 1>AA6= 17=667 17%AB:=4 -7 LNOLK
86!6=%9 696-7=?- <6!1?:! 7=>17 %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
+LL+ 1>AA6= 17=667 17%AB:=4 -7 LNOLK
86!61?1 -9: *LLEP) 974M ?!76=7=>17 -:=<:=%76 16=5?-61
Y-%@A%!Z 9?A?764
)OL 698?! %56!>6C 86:=86
7:F!
8=%!4 -%@A%! I@9POLLKC
-%@A%! ?19%!41
86!61?1 -9: *LLEP) 974M 86!61?1 -9: *LLEP) -:=<M 7H6 -:=<:=%7?:! 7=>17
-:A<%!@
-:=<:=%7?:! 7=>17 -6!76= )*LO :=%!86 17 F?9A?!87:! 46 )ODL)
86!61?1 -9: *LLEP) 974M %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
F%9I6= H:>16 DE A%=@ 17=667 86:=86 7:F!C I@)POLL*
-%@A%! ?19%!41
86!61?1 -9: *LLEP) 974M %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
86!61?1 -9: *LLEP) 974M -G: :=6 H?99 <%=7!6=1 99- NKL K7H %56C +N7H B9::= !6F @:=I !@ )LL)OPN)LD
86!61?1 -9: *LLEP) 974M -G: :=6 H?99 <%=7!6=1 %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
,K* B?B7H %56!>6C *K7H B9::= !6F @:=I !@ )LL)D
86!61?1 -9: *LLEP* 974M ?!76=7=>17 1<5 Y-%@A%!Z 9?A?764 )OL 698?! %56!>6C 86:=86
7:F!
8=%!4 -%@A%! I@9POLLKC
-%@A%! ?19%!41
86!61?1 -9: *LLEP* 974M -G: 86!61?1 -9: *LLEP* -:=<M <>89?1? R %11:-?%761 DKL 9?;=%=@ %56 176 *L, !6F%=I 46 )OE))
86!61?1 -9: *LLEP* 974M %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
F%9I6= H:>16 DE A%=@ 17=667 86:=86 7:F!C I@)POLL*
-%@A%! ?19%!41
86!61?1 -9: *LLEP* 974M %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
99-< %45?1:=1 99-C %1
-:99%76=%9 A%!%86=
%776!7?:![ 17656 H%=7A%! ++K !:=7H A%<96 4=?56C 1>?76 )+L ;656=9@ H?991 -% OL*)L
89:;%9 ?!5617A6!7 8=%46
-=64?7 B>!4
%77! 4%5?4 -M B9%77>A A%!%8?!8 4?=6-7:= R 86!6=%9
-:>!169
-G: <%-?B?- ?!5617A6!7
A%!%86A6!7 -:A<%!@ 99-
NKL !6F<:=7 -6!76= 4=?56 !6F<:=7 ;6%H -% O*NNL
8A%A ?!5617A6!7 B>!41 7=>17 %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
:!6 9?!-:9! 17=667 )17 B9::= ;:17:! A% L*)))
<"U$ ** VW N*
09-50026-mg Doc 13832 Filed 01/23/17 Entered 01/23/17 21:14:01 Main Document Pg 48 of 95
!"#$ %&&'$(() %&&'$((* %&&'$((+ %&&'$((, -./0 1/"/$ 2.3
8A%A ?!5617A6!7 B>!41 7=>17 %77! 17%76 17=667 ;%!I R 7=>17
-:
7=>1766 B:= 8A%A ?!5617A6!7 :!6 9?!-:9! 17C )17 B9::= ;:17:! A% L*)))
8A%A ?!5617A6!7 B>!41 7=>17 %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
8A%A ?!5617A6!7 B>!41 ENE K7H %56!>6 !6F @:=I !@ )L)K+
8:946! I!?8H7 ?? -9:C 974M %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
OL H>41:! 17=667 Q6=16@ -?7@ !Q LE+L*
8:946!7=66 9:%!
:<<:=7>!?7?61 ???C 974M
%77! =:;6=7 A%72%C <=61?46!7 R
<%=7!6=
%77! 17656! %M 7%!%!;%>AC
A%!%8?!8 <7!= R -?: 6J6-
-G: 8:946!7=66 %1167
A%!%86A6!7 9<
+LL <%=I %56 !@ !@ )LL**PE,L*
8:946!7=66 9:%!
:<<:=7>!?7?61 ???C 974M
-G: A%<961B1 974 %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
<: ;:J )LO+C T>66!18%76 H:>16 86:=86 7:F! I@)P))L*C
-%@A%! ?19%!41
8:946!7=66 9:%!
:<<:=7>!?7?61 ?5C 974M
-G: 8:946!7=66 %1167
A%!%86A6!7 9<
%77! =:;6=7 A%72%C <=61?46!7 R
<%=7!6=
+LL <%=I %56 !@ !@ )LL**PE,L*
8:946!7=66 9:%!
:<<:=7>!?7?61 ?5C 974M
-G: 8:946!7=66 %1167
A%!%86A6!7 9<
%77! 17656! %M 7%!%!;%>AC
A%!%8?!8 <7!= R -?: 6J6-
+LL <%=I %56 !@ !@ )LL**PE,L*
8:94A%! 1%-H1 P %;1 9:%!1
*LLE 974M
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
;9:-I 4 ?56%8H -:>=7C
H%=-:>=7
4>;9?! *C LLLLC ?=69%!4
8:94A%! 1%-H1 P %;1 9:%!1
*LLE 974M
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
EL 1?= Q:H! =:86=1:!X1 T>%@ 4>;9?! * 4>;9?!C ?=69%!4
8:94A%! 1%-H1 P %;1 9:%!1
*LLE 974M
-G: 7H6 8:94A%! 1%-H1
8=:><C ?!-MC
%77![ A%1%!:=? A:-H?4%C
A%!%8?!8 4?=6-7:=
*LL F617 17=667 !6F @:=I !@ )L*D*
8:94A%! 1%-H1 P %;1 9:%!1
*LLE 974M
-G: 7H6 8:94A%! 1%-H1
8=:><C ?!-M
%77![ 86:=86 966C 6J6->7?56 *LL F617 17=667 !6F @:=I !@ )L*D*
8:94A%! 1%-H1 96!4?!8
<%=7!6=1 99-
%77! A%1%!:=? A:-H?4%C
A%!%8?!8 4?=6-7:=^
-G: 7H6 8:94A%! 1%-H1
8=:><C ?!-MC
*LL F617 17=667 !6F @:=I !@ )L*D*
8:94A%! 1%-H1 96!4?!8
<%=7!6=1 99-
-7 -:=<:=%7?:! 1@176A ))) D7H %56 !6F @:=I !@ )LL))PK*L)
8:94A%! 1%-H1 96!4?!8
<%=7!6=1 99-
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
DK ;=:%4 17=667 !6F @:=I !@ )LLL,P*,+,
8:94A%! 1%-H1 96!4?!8
<%=7!6=1 99-
%77! 86:=86 966C 6J6->7?56 -G: 7H6 8:94A%! 1%-H1
8=:><C ?!-MC
*LL F617 17=667 !6F @:=I !@ )L*D*
8<- NO 99- 7H6 -:=<:=%7?:! 7=>17
-:A<%!@
-:=<:=%7?:! 7=>17 -6!76= F?9A?!87:! 46 )ODL)
8=%-?6 -=64?7 :<<:=7>!?7?61
A%176= B>!4 9<
-G: <R1 -=64?7 <%=7!6=1C 99- %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
OKL 7H?=4 %56!>6 *O7H B9::= !6F @:=I !@ )LL**
8=%-?6 -=64?7 :<<:=7>!?7?61
A%176= B>!4 9<
-G: Q:H! :_!6?99 KOL A%4?1:! %56!>6 *D7H B9::= !6F @:=I !@ )LL**
8=%-?6 -=64?7 :<<:=7>!?7?61
A%176= B>!4 9<
8=%-?6 -=64?7 :<<:=7>!?7?61
B>!4C 9M<M
%77! 8=68 <6%=1:! KOL A%4?1:! %56!>6 *D7H
B9::=
!6F @:=I !@ )LL**
8=%-?6 -=64?7 :<<:=7>!?7?61
A%176= B>!4 9<
-:=<:=%7?:! 16=5?-6
-:A<%!@
*E)) -6!76=5?996 =4 F?9A?!87:! 46 )ODLD
8=%-?6 -=64?7 :<<:=7>!?7?61
A%176= B>!4 9<
-G: A%<961 -:=<:=%76
16=5?-61
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
<M:M ;:J +LOC >89%!4 H:>16C
1:>7H -H>=-H 17=667
86:=86 7:F!C I@)P))L,C
-%@A%! ?19%!41
8=%!4 -6!7=%9 %1167 7= 1?9 %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
NNL 176%A;:%7 =4 8=66!F?-H -7 LND+L
8=%!4 -6!7=%9 %1167 7= 1?9 %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
DKL 9?;=%=@ %56M 176M *L, !6F%=I 46 )OE))PE)EL
8=%!4 -6!7=%9 %1167 7= 1?9 -G: F%A-: %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
+DK 6 -:9:=%4: ;954 <%1%46!% -% O))L)
8=%!4 -6!7=%9 %1167 7=>17
F%A 16=?61
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
DKL 9?;=%=@ %56M 176M *L, !6F%=I 46 )OE))PE)EL
<"U$ *+ VW N*
09-50026-mg Doc 13832 Filed 01/23/17 Entered 01/23/17 21:14:01 Main Document Pg 49 of 95
!"#$ %&&'$(() %&&'$((* %&&'$((+ %&&'$((, -./0 1/"/$ 2.3
8=%!4 -6!7=%9 %1167 7=>17
F%A 16=?61
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
F%A-: +DK 6 -:9:=%4: ;954 <%1%46!% -% O))L)
8=%@1:! R -:M %77! A?-H%69 ;M ;:77H:B 5?-6 <=61?46!7 *KK 17%76 17=667 N7H B9::= ;:17:! A% L*)LOP*N)E
8>886!H6?A <:=7B:9?: -: J
99-
96J?1!6J?1 4:->A6!7 1:9>7?:!1
?!-M
*E)) -6!76=5?996 =:%4 F?9A?!87:! 46 )ODLD
8>886!H6?A <:=7B:9?: -: J
99-
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
))L 6%17 KO7H 17=667 +L7H B9::= !6F @:=I !@ )LL**
8>9B 17=6%A P -:A<%11 -9:
*LLE 974M
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
< : ;:J )LO+87 T>66!18%76 H:>16C 1:>7H
-H>=-H 17=667
86:=86 7:F!C I@ LLLLC -%@A%!
?19%!41
8>9B 17=6%A P 16J7%!7 -9:
*LLEP) 974M
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
< : ;:J )LO+87 T>66!18%76 H:>16C 1:>7H
-H>=-H 17=667
86:=86 7:F!C I@ LLLLC -%@A%!
?19%!41
8>9B 17=6%A ] -:A<%11 -9:
*LLE 974
-G: A%<961 9?T>?4%7?:!
16=5?-61
<: ;:J )LO+ ;:>!4%=@ H%99 86:=86 7:F! I@)P))L*
-%@A%! ?19%!41
8>9B 17=6%A -:A<%11 -9:
*LL+P) 974M
-G: %<:99: 89:;%9
A%!%86A6!7 9M9M-M
%77! 96:! ;9%-IC -6: O F KE7H 17=667C ,+=4 B9::= !6F @:=I !@ )LL)OP*ELL
8>9B 17=6%A -:A<%11 -9:
*LL+P) 974M
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
,*L) -:!8=611 17=667 1>?76 ,EK -H%=9:776 !- *D*LO
H%H! R H6116! 99< %77![ A%=I ?!469?-%7: ,DD A%4?1:! %56!>6 !6F @:=I !@ )LL**
H%=-H -9: ?? 974M %77! Q:16<H FM H%=-H -H%?=A%! %!4 A%!%8?!8
A6A;6=
-G: H%=-H -%<?7%9
A%!%86A6!7 99-
E,LL ! B646=%9 H?F@ 176 %K ;:-% =%7:! B9 ++,DEP)NEE
H%=-H -9: ??? 974 %77! Q:16<H FM H%=-H -H%?=A%! %!4 A%!%8?!8
A6A;6=
-G: H%=-H -%<?7%9
A%!%86A6!7 99-
E,LL ! B646=%9 HF@ 176 %K ;:-% =%7:! B9 ++,DEP)NEE
H6%97H -%=6 B:>!4%7?:! :B
8=6%76= I%!1%1 -?7@
%77! 4=M`;=?4867 A--%!49611C
-6:
*ELL 6M )D7H 17=667C 1>?76 **L I%!1%1 -?7@ A: N,)*E
H6%97H -%=6 B:>!4%7?:! :B
8=6%76= I%!1%1 -?7@
-7 -:=<:=%7?:!C <=?!-?<%9
:BB?-6
*ELL 6 )D7H 17=667C 1>?76 **L I%!1%1 -?7@ A: N,)*EP*NK+
H6%97H -%=6 B:>!4%7?:! :B
8=6%76= I%!1%1 -?7@
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
KK F%76= 17=667 )17 B9::= !6F @:=I !@ )LL,)
H6F677X1 ?19%!4 -9: ?5 %77! 176<H6! 5%--%=: -:P<=61?46!7 -?B- -:=<M *KL <%=I %56!>6C ,7H B9::= !6F @:=I !@ )L)EE
H6F677X1 ?19%!4 -9: ?5 %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
<M:M ;:J OLD87C F%9I6= H:>16 A%=@ 17=667C 86:=86 7:F! 8=%!4 -%@A%!C ;=?7?1H F617
?!4?61C -%@A%! ?19%!41
H6F677X1 ?19%!4 -9: 5 974M %77! 176<H6! 5%--%=: -:P<=61?46!7 -?B- -:=<M *KL <%=I %56!>6C ,7H B9::= !6F @:=I !@ )L)EE
H6F677X1 ?19%!4 -9: 5 974M %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
<M:M ;:J OLD87C F%9I6= H:>16 A%=@ 17=667C 86:=86 7:F! 8=%!4 -%@A%!C ;=?7?1H F617
?!4?61C -%@A%! ?19%!41
H6F677X1 ?19%!4 -9: 5 974M %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
H6F677X1 ?19%!4 -9: 5C 974M -G: ?!76=7=>17 1<5 Y-%@A%!Z
9?A?764
)OL 698?! %56!>6C 86:=86
7:F!C 8=%!4 -%@A%! I@)POLLKC
-%@A%! ?19%!41
H6F677X1 ?19%!4 -9: 5? 974M %77! 176<H6! 5%--%=: -:P<=61?46!7 -?B- -:=<M *KL <%=I %56!>6C ,7H B9::= !6F @:=I !@ )L)EE
H6F677X1 ?19%!4 -9: 5? 974M %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
<M:M ;:J OLD87C F%9I6= H:>16 A%=@ 17=667C 86:=86 7:F! 8=%!4 -%@A%!C ;=?7?1H F617
?!4?61C -%@A%! ?19%!41
H6F9677P<%-I%=4 -:A<%!@ %77! A%=8%=67 -M FH?7A%! -H?6B 6J6->7?56 :BB?-6= +LLL H%!:56= 17=667 <%9: %97: -% O,+L,
H6F9677P<%-I%=4 -:A<%!@ -G: - 7 -:=<:=%7?:! 1@176A ))) 6?8H7H %56!>6 !6F @:=I !@ )LL))
HB= =5% :<%9 A%176= 7=>17 -G: 9%F=6!-6 AM 8:94A%! <:17 %45?1:=@ 8=:>< ))EKK F?91H?=6 ;954M 1>?76 ),LL 9:1 %!86961 -% OLL*K
H?8H @?694 5%=?%;96 %--:>!7 %77! A%=?% B=%!-61
4?:=?:4F@6=
<=?!-?<%9 6J6->7?56 :BB?-6= -G: AB1 ?!5617A6!7
A%!%86A6!7
KLL ;:@917:! 17=667 ;:17:! A% L*))NP+E,)
H?8H @?694 5%=?%;96 %--:>!7 -G: AB1 ?!5617A6!7
A%!%86A6!7
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
))) H>!7?!87:! %56!>6 ;:17:! A% L*)OO
<"U$ *, VW N*
09-50026-mg Doc 13832 Filed 01/23/17 Entered 01/23/17 21:14:01 Main Document Pg 50 of 95
!"#$ %&&'$(() %&&'$((* %&&'$((+ %&&'$((, -./0 1/"/$ 2.3
H?8H9%!4 P <%- 169 B4 B978 =7 9! %77! Q%A61 4:!46=: <=61?46!7 -G: H?8H9%!4 -%<?7%9
A%!%86A6!7C 9M<M
)+,KK !:69 =:%4C 1>?76 DLL 4%99%1 7J EK*,LP)K+K
H?8H9%!4 P <%- 169 B4 B978 =7 9! -G: H?8H9%!4 -%<?7%9
A%!%86A6!7C 9<M
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
O F617 KE7H 17=667 +D7H B9::= !6F @:=I !@ )LL)O
H?8H9%!4 P <%- 169 B4 B978 =7 9! -G: H?8H9%!4 -%<?7%9
A%!%86A6!7C 9<M
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
+LL -=61-6!7 -:>=7 1>?76 ELL 4%99%1 7J EK*L)
H?8H9%!4 P <%- 169 B4 B978 =7 9! %77! 1H%=:! -H6656=C 86!6=%9
-:>!169
<%-?B?- 9?B6 B>!4 %45?:=1 99- ELL !6F<:=7 -6!76= 4=?56 !6F<:=7 ;6%-H -% O*NNL
H?8H9%!4 P <%- 169 B4 B978 =7 9! -G: 6%7:! 5%!-6
A%!%86A6!7
%77! 7H:A%1 B%>17C -6: 7F: ?!76=!%7?:!%9 <9%-6 ;:17:! A% L*))L
H?8H9%!4 -=64?7 :<<:=7>!?7?61
-4:C 974M
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
-G: H?8H9%!4 -%<?7%9
A%!%86A6!7C 9<M
+LL -=61-6!7 -:>=7C 176 ELL 4%99%1 7J EK*L)
H?8H9%!4 -=64?7 :<<:=7>!?7?61
-4:C 974M
-G: F%9I6=1 1<5 9?A?764 %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
F%9I6= H:>16C DE A%=@ 17=667 86:=86 7:F!C 8=%!4 -%@A%!
I@)POLL*C -%@A%! ?19%!41
H?8H9%!4 B9:%7?!8 =%76 B>!4 %77! Q%A61 4:!46=: <=61?46!7 -G: H?8H9%!4 -%<?7%9
A%!%86A6!7C 9M<M
)+,KK !:69 =:%4C 1>?76 DLL 4%99%1 7J EK*,LP)K+K
H?8H9%!4 B9:%7?!8 =%76 B>!4 -G: H?8H9%!4 -%<?7%9
A%!%86A6!7 9<
-7 -:=<:=%7?:! )OOO ;=@%! 17=667C 1>?76 OLL 4%99%1 7J EK*L)P+)+N
H?8H9%!4 B9:%7?!8 =%76 B>!4 -G: H?8H9%!4 -%<?7%9
A%!%86A6!7C 9<M
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
O F617 KE7H 17=667 +D7H B9::= !6F @:=I !@ )LL)O
H?8H9%!4 B9:%7?!8 =%76 B>!4 -G: H?8H9%!4 -%<?7%9
A%!%86A6!7C 9<M
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
+LL -=61-6!7 -:>=7 1>?76 ELL 4%99%1 7J EK*L)
H?A-: B978 =7 B4 -G: H%=7B:=4 ?!5617A6!7
A%!%86A6!7 -:A<%!@
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
:!6 H%=7B:=4 <9%2% A%< H%=7B:=4 -7 LN)KK
?99?!:?1 A>!?-?<%9 =67?=6A6!7
B>!4
%77! 9:>?1 FM I:1?;% 6J6->7?56 4?=6-7:= **)) @:=I =:%4C 1>?76 ,LL :%I ;=::I ?9 NLK*+P*++E
?99?!:?1 A>!?-?<%9 =67?=6A6!7
B>!4
%77! 9?1% A%4?8%! %77:=!6@ 86!6=%9 KLL 1:>7H 16-:!4 17=667 1<=?!8B?694 ?9 N*ELN
?!4?%!% >!?56=1?7@ %77! 7:A 8%!!:! :BB?-6 :B 86!6=%9 -:>!169 ;=@%! H%99 *)) )LE 1M ?!4?%!% %56!>6 ;9::A?!87:! ?! ,E,LK
?!4?%!% >!?56=1?7@ %77! A?-H%69 A-=:;;?6 <=61?46!7 ,LL 6 E7H 17=667 <:<9%=1C =::A
KL)
;9::A?!87:! ?! ,E,LKP+LL)
?!4?%!% >!?56=1?7@ %77! =%!4%99 7:;?%1 -H%?= :B 7H6 ;:%=4C ;:%=4 :B
7= :B ?! >!?56=1?7@
?> ;9::A?!87:!C B=%!I9?! H%99
*LL
NL) 6M I?=IF::4 %56M ;9::A?!87:! ?! ,E,LK
?!4?%!% >!?56=1?7@ %77! 8=68 2:6996= %77:=!6@ 86!6=%9 B:= ?!4?%!% ?!4?%!% 8:56=!A6!7 -6!76=
1:>7H
+L* FM F%1H?!87:! 17MC K7H
B9::=
?!4?%!%<:9?1 ?! ,N*L,
?:F% <>;9?- 6A<9:@661
=67?=6A6!7 1@176A
%77! 4:!!% AM A>6996= -H?6B 6J6->7?56 :BB?-6= E,L) =68?176= 4=?56 461 A:?!61 ?% KL+*)
?:F% <>;9?- 6A<9:@661
=67?=6A6!7 1@176A
%77! 4:!!% AM A>6996= -6: ?<6=1 <M:M ;:J O))E 461 A:?!61 ?% KL+LNPO))E
?=:! =:%4 -%<?7%9 <%=7!6=1 R
968%9 -:>!169
%77![ 9?1% 7%A;>=?!? ))K 1M 9%1%996 17M -H?-%8: ?9 NLNL+
?5@ B>!4 ?!-MPH?8H ?!-:A6
B>!4
-G: ?5@ ?!5617A6!7
A%!%86A6!7 -:A<%!@
%77! H6!=@ Q:H! H6==A%!!C
-6:
N+LL 9%A%= %56!>6 :56=9%!4 <%=I I1 NN*L*
?5@ B>!4 ?!-MPH?8H ?!-:A6
B>!4
-G: ?5@ ?!5617A6!7
A%!%86A6!7 -:A<%!@
7H6 -:=<:=%7?:! -:A<%!@C
?!-M
))* 1F E7H 17=667C 1>?76 +- 7:<6I% I1 NNNL+P+DKD
?5@ B>!41P?5@ H?8H ?!-:A6
B>!4
-G: ?5@ ?!5617A6!7
A%!%86A6!7 -:A<%!@
%77! H6!=@ Q:H! H6==A%!!C
-6:
N+LL 9%A%= %56!>6 :56=9%!4 <%=I I1 NN*L*
?5@ B>!41P?5@ H?8H ?!-:A6
B>!4
-G: ?5@ ?!5617A6!7
A%!%86A6!7 -:A<%!@
7H6 -:=<:=%7?:! -:A<%!@C
?!-M
))* 1F E7H 17=667C 1>?76 +- 7:<6I% I1 NNNL+P+DKD
<"U$ *K VW N*
09-50026-mg Doc 13832 Filed 01/23/17 Entered 01/23/17 21:14:01 Main Document Pg 51 of 95
!"#$ %&&'$(() %&&'$((* %&&'$((+ %&&'$((, -./0 1/"/$ 2.3
Q%!>1 %45?16= B9:%7?!8 =%76 H? %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
Q%!>1 %45?1:=1 )K) 467=:?7 17=667 46!56= -: DL*LNP,O*)
Q%1<6= B>!4?!8 %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
Q%1<6= B>!4?!8C ?B1- H:>16 ->17:A H:>16 T>%@ 4>;9?!C -: 4>;9?! )C ?=69%!4
Q%1<6= B>!4?!8 >1% -:=<:=%76 16=5?-61 ?!-M ,N 17%76 17=667 +=4 B9::= %9;%!@ !@ )**LE
Q6=16@ 17=667 -9:C 974M -G: A%<961 B?!%!-6 9?A?764 %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
<M:M ;:J )LO+87C T>66!18%76
H:>16 1 -H>=-H 17
86:=86 7:F!C 8=%!4 -%@A%!
-%@A%! ?19%!41
Q:!61 4%@ %77![ ;=>-6 ;6!!677 KKK 1:>7H B9:F6= 17=667 KL7H B9::= 9:1 %!86961 -% OLLE)
Q:!61 4%@ %77![ -H=?17:<H6= 4?<:A<6: K) 9:>?1?%!% %56!>6C !MFM F%1H?!87:! 4- *LLL)P*))+
Q:!61 4%@ %77![ Q:-69?! H:4@ K) 9:>?1?%!% %56!>6C !MFM F%1H?!87:! 4- *LLL)
Q< A:=8%! FH?76B=?%=1 ?!-M 7H6 -:=<:=%7?:! 7=>17
-:A<%!@
-:=<:=%7?:! 7=>17 -6!76= F?9A?!87:! 46 )ODL)
Q< A:=8%! FH?76B=?%=1 ?!-M %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
KLL 17%!7:! -H=?17?%!% =:%4 !6F%=I 46 )OE)+
Q< A:=8%! FH?76B=?%=1 ?!-M %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
)*K 9:!4:! F%99 9:!4:!C 6-*@ K%Q >!?764
I?!84:A
Q<A-; P 16-:!4%=@ 9:%! R
4?17=61164 -=64?7 7=%4?!8
%77! Q:H! AM -%99%8@ I6996@ 4=@6 R F%==6!C 99< )L) <%=I %56!>6 !6F @:=I !@ )L)ED
Q<A-; P 16-:!4%=@ 9:%! R
4?17=61164 -=64?7 7=%4?!8
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
Q<A:=8%! -H%16 ;%!I *EL <%=I %56M !6F @:=I !@ )LL)EP*L),
Q<A-; P 16-:!4%=@ 9:%! R
4?17=61164 -=64?7 7=%4?!8
%77! H%=:94 1M !:5?I:BB F%-H7699C 9?<7:!C =:16! R I%72 K) F617 K*!4 17=667 !6F @:=I !@ )LL)O
Q<A:=8%! -H%16 ;%!I !% %77![ %!! - I>=?!1I%1C
A%!%8?!8 4?=6-7:=
+D+ A%4?1:! %56!>6 !6F @:=I !@ )L)EO
Q<A:=8%! -H%16 ;%!I !% -G: A:=8%! 96F?1 R ;:-I?>1
99<
%77![ =?-H%=4 1 7:46=C -:>!169 )L) <%=I %56!>6 !6F @:=I !@ )L)ED
Q<A:=8%! -H%16 ;%!IC !M%M %77! Q:H! AM -%99%8@ I6996@ 4=@6 R F%==6!C 99< )L) <%=I %56!>6 !6F @:=I !@ )L)ED
Q<A:=8%! -H%16 ;%!IC !M%M %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
Q<A:=8%! -H%16 ;%!I *EL <%=I %56M !6F @:=I !@ )LL)EP*L),
Q<A:=8%! -H%16 ;%!IC !M%M %77! H%=:94 1M !:5?I:BB F%-H7699C 9?<7:!C =:16! R I%72 K) F617 K*!4 17=667 !6F @:=I !@ )LL)O
I%7:!%H *LLEP) -9: 974M 4%@9 <6%=1:!C -6: I-%< B?!%!-?%9 ?!-M *OK A%4?1:! %56!>6C N7H B9::= !6F @:=I !@ )LL)E
I%7:!%H *LLEP) -9: 974M %77! -H=?17:<H6= 9%-:5%=% -H%?=A%! I%7:!%H 46;7 %45?1:=1C 9M9M-M *OK A%4?1:! %56!>6C N7H B9::= !6F @:=I !@ )LL)E
I%7:!%H ???C 974M -G: 1%!I%7@ %45?1:=1 99- %77! 1>1%! 9@!-HC 6J6- 5< *LL -9%=6!4:! 17=667 ;:17:! A% L*))NPKL*)
I%7:!%H ???C 974M %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
))) H>!7?!87:! %56!>6 ;:17:! A% L*)OO
I%7:!%H ???C 974M -G: 1%!I%7@ %45?1:=1 99- %77! Q6BB=6@ =:;?!1:!C 6J6- 5< *LL -9%=6!4:! 17=667 ;:17:! A% L*))NPKL*)
I%7:!%H ???C 974M -G: 1%!I%7@ %45?1:=1 99- %77! I?A;6=9@ H%==?1C 6J6- 5< *LL -9%=6!4:! 17=667 ;:17:! A% L*))NPKL*)
I%7:!%H ?5 974M %77! Q:@-6 469>--% <=61?46!7 -G: I%7:!%H -%<?7%9 9M9M-M *OK A%4?1:! %56 !M@M !@ )LL)EPN+L,
I%7:!%H ?5 974M -G: I%7:!%H -%<?7%9C 9M9M-M ))) =%4?: -?=-96 A7 I?1-: !@ )LK,O
I%7:!%H ?5 974M -G: -=64?7 1>?116 B?=17 ;:17:! %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
)) A%4?1:! %56M K7H B9::= !6F @:=I !@ )LL)L
I6996@ 4=@6 R F%==6!C 99<` Q<A:=8%! -H%16 ;%!IC !M%M %77![ Q:H! -%99%8@ )L) <%=I %56!>6` !6F @:=I !@ )L)ED
I6996@ 4=@6 R F%==6!C 99<` Q<A:=8%! -H%16 ;%!IC !M%M %77![ A%=7?! I=:96F1I?` )L) <%=I %56!>6` !6F @:=I !@ )L)ED
I6996@ 4=@6 R F%==6!C 99<` Q<A:=8%! -H%16 ;%!IC !M%M %77![ !?-H:9%1 <%!%=699% )L) <%=I %56!>6` !6F @:=I !@ )L)ED
<"U$ *N VW N*
09-50026-mg Doc 13832 Filed 01/23/17 Entered 01/23/17 21:14:01 Main Document Pg 52 of 95
!"#$ %&&'$(() %&&'$((* %&&'$((+ %&&'$((, -./0 1/"/$ 2.3
I?!8 R 1<%94?!8 99< %77![ %=7H>= QM 176?!;6=8C 61TM ))DK %56!>6 :B 7H6 %A6=?-%1 !6F @:=I !@ )LL+N
I?!8 R 1<%94?!8 99< %77![ 64F%=4 9 =?<96@ ))DK %56!>6 :B 7H6 %A6=?-%1 !6F @:=I !@ )LL+N
I?!8 R 1<%94?!8 99< %77![ 8%=@ %M =?7%--:C 61TM ))DK %56!>6 :B 7H6 %A6=?-%1 !6F @:=I !@ )LL+N
I=%B7 B::41 89:;%9 ?!-M I=%B7 B::41 8=:><C ?!-M -7 -:=<:=%7?:! 1@176A ))) D7H %56!>6 !M@M !@ )LL))PK*L)
I=%B7 B::41 89:;%9 ?!-M %77! Q:H! 7:;?! -%H?99 -H%?=A%! R -6: I=%B7 B::41 8=:><C ?!-MC 7H=66 9%I61 4=?56 !:=7HB?694 ?9 NLLO+
I=%B7 B::41 8=:><C ?!-M %77![ Q:H! 56=1-%Q 7H=66 9%I61 4=?56 Y!B ,BZ !:=7HB?694 ?9 NLLO+
I@!?I:1 :<<:=7>!?7@ B>!4 ?? 9< %77! Q%A61 17656! -H%!:1 B:>!46=C <=61?46!7 %!4
A%!%8?!8 <%=7!6=
-G: I@!?I:1 %11:-?%761 9<M *L F617 KK7H 17=667C D7H B9::= !6F @:=I !@ )LL)O
I@!?I:1 :<<:=7>!?7@ B>!4 ?? 9< -7 -:=<:=%7?:! 1@176A ))) D7H %56!>6 !M@M !@ )LL))PK*L)
I@!?I:1 :<<:=7>!?7@ B>!4
?!7=!79 974M
%77! Q%A61 17656! -H%!:1 B:>!46=C <=61?46!7 %!4
A%!%8?!8 <%=7!6=
-G: I@!?I:1 %11:-?%761 9<M *L F617 KK7H 17=667C D7H B9::= !6F @:=I !@ )LL)O
I@!?I:1 :<<:=7>!?7@ B>!4 9< %77! Q%A61 17656! -H%!:1 B:>!46=C <=61?46!7 %!4
A%!%8?!8 <%=7!6=
-G: I@!?I:1 %11:-?%761 9<M *L F617 KK7H 17=667C D7H B9::= !6F @:=I !@ )LL)O
I@!?I:1 :<<:=7>!?7@ B>!4 9< -7 -:=<:=%7?:! 1@176A ))) D7H %56!>6 !M@M !@ )LL))PK*L)
9+P9?!-:9! 5%=?%;96 ?!1>=%!-6
<=:4>-71 7=>17
A%!%864 B>!4 %77! Q:H! %=7H>= F617:! 9?!-:9! ?!5617A6!7 %45?1:=1
-:=<:=%7?:!
) 8=%!?76 <9%-6 -:!-:=4 !H L++L)P+*KD
9+P9?!-:9! 5%=?%;96 ?!1>=%!-6
<=:4>-71 7=>17
A%!%864 B>!4 %77! 4%!?69 =:11 H%@61C
<=61?46!7C -H%?=A%! R 4?=
9?!-:9! ?!5617A6!7 %45?1:=1
-:=<:=%7?:!
) 8=%!?76 <9%-6 -:!-:=4 !H L++L)P+*KD
9+P9?!-:9! 5%=?%;96 ?!1>=%!-6
<=:4>-71 7=>17
A%!%864 B>!4 %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
)+LL 1:>7H -9?!7:! 17=667 B:=7 F%@!6 ?! ,NDL,
9688 A%1:! -96%=;=?486
-%<?7%9 R ?!-:A6 B>!4
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
9688 A%1:! -96%=;=?486
-%<?7%9 %!4 ?!-:A6 B>!4
-G: -96%=;=?486 ?!5617A6!71C
99-
N*L 6?8H7H %56MC ,D7H B9::= !6F @:=I !@ )LL)D
96HA%! ;=:7H6=1 B?=17 7=>17 ?!-:A6 :<<:=7>!?7@ B>!4 %77! =:;6=7 Q:H! -:!7?C -6: R
<=61?46!7
!6>;6=86= ;6=A%!
A%!%86A6!7 99-
NLK 7H?=4 %56!>6C *!4 B9::= !@ !@ )L)KDPL)DL
96HA%! ;=:7H6=1 B?=17 7=>17 ?!-:A6 :<<:=7>!?7@ B>!4 !6>;6=86= ;6=A%!
A%!%86A6!7 99-
-:=<:=%7?:! 16=5?-6
-:A<%!@
DL 17%76 17=667 %9;%!@ !@ )**LEP*K,+
96HA%! 8A%A ?!5617A6!7
B>!41 7=>17
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
:!6 9?!-:9! 17=667 )17 B9::= ;:17:! A% L*)))
96HA%! 8A%A ?!5617A6!7
B>!41 7=>17
%77! 17%76 17=667 ;%!I R 7=>17
-:
7=>1766 B:= 8A%A :!6 9?!-:9! 17C )17 B9 ;:17:! A% L*)))
96HA%! 8A%A ?!5617A6!7
B>!41 7=>17
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
8A%A ?!5617A6!7 B>!41 ENE K7H %56!>6 !6F @:=I !@ )L)K+
96HA%! <=?!-?<%9 ?!5617:=1
B>!4C ?!-M
H?8H @?694 B>!4 %77! =%!4@ 9M F69-HC <=61?46!7
R -H%?=A%!
<=?!-?<%9 B?!%!-?%9 %45?1:=1 E)) H?8H 17=667 461 A:?!61 ?% KL+O*
96HA%!P!6>;6=86=
;6=A%!PH?8H ?!-:A6 ;:!4
B>!4
%77! Q:16<H 5M %A%7: -H?6B ?!5617A6!7 :BB?-6=C
16!?:= A%!%86A6!7
-G: !6>;6=86= ;6=A%! ?!-M NLK 7H?=4 %56!>6C ,)17 B9::= !@ !@ )L)KDP+NOD
96F?1 ;%%-HC <99- %77! ;=>-6 = 8=%-6 )DOO <6!!1@95%!?% %56C !FC
1>?76 NLL
F%1H?!87:!C 4- *LLLN
9?!-:9! B?!%!-?%9 8=:>< %77![ A?-H%69 %=!:94 )+LL 1:>7H -9?!7:! 17M B:=7 F%@!6 ?! ,NDL*
9?!-:9! !%7?:!%9 9?B6
?!1>=%!-6 -:A<%!@
16<%=%76 %--:>!7 )* %77! 46!!?1 =M 89%11C -6:C
<=61?46!7 R 4?=6-7:=
-G: 9?!-:9! !%7?:!%9
-:=<:=%7?:!
)KL !:=7H =%4!:= -H6176=
=:%4C 1>?76 %+LK
=%4!:= <% )ODLE
9?!-:9! !%7?:!%9 9?B6
?!1>=%!-6 -:A<%!@
16<%=%76 %--:>!7 )* -G: 9?!-:9! !%7?:!%9
-:=<:=%7?:!
-:=<:=%7?:! 16=5?-6
-:A<%!@
*KOK ?!76=17%76 4=?56C 1>?76 )L+ H%==?1;>=8 <% )E))L
9?!-:9! !%7?:!%9 9?B6
?!1>=%!-6 -:A<%!@
16<%=%76 %--:>!7 )* %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
*LLK A%=I67 17=667 <H?9%469<H?% <% )O)L+
<"U$ *E VW N*
09-50026-mg Doc 13832 Filed 01/23/17 Entered 01/23/17 21:14:01 Main Document Pg 53 of 95
!"#$ %&&'$(() %&&'$((* %&&'$((+ %&&'$((, -./0 1/"/$ 2.3
9?!-:9! !%7?:!%9 9?B6 F1%*L %77! 46!!?1 =M 89%11 -6:C <=61?46!7 R 4?=6-7:= -G: 9?!-:9! !%7?:!%9
-:=<:=%7?:!
)KL !:=7H =%4!:= -H6176=
=:%4C 1>?76 %+LK
=%4!:= <% )ODLE
9?!-:9! !%7?:!%9 9?B6 F1%*L %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
*LLK A%=I67 17=667 <H?9%469<H?% <% )O)L+
9:%! B>!4?!8 J? 99- -G: -?7?;%!IC !%7?:!%9
%11:-?%7?:!
%77! ;%=;%=% QM 461:6=C -6: +OO <%=I %56!>6C B=:!7 ) !@ !@ )LL,+
9:8%! P =%@7H6:! A<7 P
B9:%7?!8 =%76
=%@7H6:! -:M -7 -:=<:=%7?:! 1@176A ))) 6?8H7H %56!>6 !6F @:=I !@ )LL))
9:8%! P =%@7H6:! A<7 P
B9:%7?!8 =%76
%77! 4=M 7H:A%1 %M I6!!64@ -H%?=A%! R -6: =%@7H6:! -:C DEL F?!76= 17=667 F%97H%A A% L*,K)
9:8%! P =%@7H6:! A<7 P
B9:%7?!8 =%76
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
)+K 1%!7?99? H?8HF%@ 656=677 A% L*),O
9:8%! P =%@7H6:! A<7 P A?4
8=%46 <:=7B:9?:
=%@7H6:! -:M -7 -:=<:=%7?:! 1@176A ))) 6?8H7H %56!>6 !6F @:=I !@ )LL))
9:8%! P =%@7H6:! A<7 P A?4
8=%46 <:=7B:9?:
%77! 4=M 7H:A%1 %M I6!!64@ -H%?=A%! R -6: =%@7H6:! -:C DEL F?!76= 17=667 F%97H%A A% L*,K)
9:8%! P =%@7H6:! A<7 P A?4
8=%46 <:=7B:9?:
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
)+K 1%!7?99? H?8HF%@ 656=677 A% L*),O
9:8%! ] =%@7H6:! A<7 ]
B9:%7?!8 =%76
%77! Q>46 7M 4=?1-:99C -6: R
-?:
)E)E %=-H 17=667C 176 )KLL <H?9%469<H?% <% )O)L+
9:8%! ] =%@7H6:! A<7 ]
B9:%7?!8 =%76
-G: B:=7=611 ?!5617A6!7 8=:><
99-
%77! 4%5?4 !M ;=::I1C 61TM )+,K %56!>6 :B 7H6 %A6=?-%1 !6F @:=I !@ )L)LK
9:8%! ] =%@7H6:! A<7 ] A?4
8=%46 <:=7B:9?:
%77! Q>46 7M 4=?1-:99C -6: R
-?:
)E)E %=-H 17=667C 176 )KLL <H?9%469<H?% <% )O)L+
9:8%! ] =%@7H6:! A<7 ] A?4
8=%46 <:=7B:9?:
-G: B:=7=611 ?!5617A6!7 8=:><
99-
%77! 4%5?4 !M ;=::I1C 61TM )+,K %56!>6 :B 7H6 %A6=?-%1 !6F @:=I !@ )L)LK
9:8%! -?=-96 P %9%A64%
-:!7=% -:17%
%9%A64% -:!7=% -:17% 7=%!1?7
=67?=6A6!7 1@176A
%77![ Q6BB=6@ 96F?1C -H%?= )NLL B=%!I9?! 17=667 :%I9%!4 -% O,N)*
9:8%! -?=-96 P %9%A64%
-:!7=% -:17%
7=%!1?7 =67?=6A6!7 1@176A %77! Q>46 7M 4=?1-:99C -6: R
-?:
)E)E %=-H 17=667C 176 )KLL <H?9%469<H?% <% )O)L+
9:8%! -?=-96 P %9%A64%
-:!7=% -:17%
7=%!1?7 =67?=6A6!7 1@176A %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
*LLK A%=I67 17=667 <H?9%469<H?% <% )O)L+
9:8%! -?=-96 P %9%A64%
-:!7=% -:17%
7=%!1?7 =67?=6A6!7 1@176A -G: 4%5?4 !M ;=::I1C 61TMC 5<C
86! -!19 R 16-@
B:=7=611 ?!5617A6!7 8=:>< 99- )+,K %56!>6 :B 7H6 %A6=?-%1 !@ !@ )L)LK
9:8%! -?=-96 P %99?!% H6%97H
1@1
46B?!64 ;!B7 A%176= 7= %77! Q>46 7M 4=?1-:99C -6: R
-?:
)E)E %=-H 17=667C 176 )KLL <H?9%469<H?% <% )O)L+
9:8%! -?=-96 P %99?!% H6%97H
1@1
46B?!64 ;!B7 A%176= 7= %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
*LLK A%=I67 17=667 <H?9%469<H?% <% )O)L+
9:8%! -?=-96 P %99?!% H6%97H
1@1
46B?!64 ;!B7 A%176= 7= -G: 4%5?4 !M ;=::I1C 61TMC 5<C
86! -!19 R 16-@
B:=7=611 ?!5617A6!7 8=:>< 99- )+,K %56!>6 :B 7H6 %A6=?-%1 !@ !@ )L)LK
9:8%! -?=-96 P %99?!% H6%97H
1@1 46B?!64 ;!B7 A%176= 7=
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
%99?!% H6%97H 1@176A 46B?!64
;6!6B?7 A%176= 7=>17
KLL 8=%!7 17=667C 1>?76 LN*K <?771;>=8H <% )K*KD
9:8%! -?=-96 P %99?!% H6%97H
1@176A 7=>17
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
<M:M ;:J K+KLLE <?771;>=8H <% )K*KD
9:8%! -?=-96 P %99?!% H6%97H
1@176A 7=>17
%77! Q>46 7M 4=?1-:99 )E)E %=-H 17=667C 176 )KLL <H?9%469<H?% <% )O)L+
9:8%! -?=-96 P %99?!% H6%97H
1@176A 7=>17
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
*LLK A%=I67 17=667 <H?9%469<H?% <% )O)L+
9:8%! -?=-96 P %99?!% H6%97H
1@176A 7=>17
-G: 4%5?4 !M ;=::I1C 61TMC 5<C 86!6=%9 -:>!169 R
16-=67%=@
B:=7=611 ?!5617A6!7 8=:>< 99- )+,K %56!>6 :B 7H6 %A6=?-%1 !@ !@ )L)LK
<"U$ *D VW N*
09-50026-mg Doc 13832 Filed 01/23/17 Entered 01/23/17 21:14:01 Main Document Pg 54 of 95
!"#$ %&&'$(() %&&'$((* %&&'$((+ %&&'$((, -./0 1/"/$ 2.3
9:8%! -?=-96 P ;6-H769
-:=<:=%7?:!
%77! Q>46 7M 4=?1-:99 )E)E %=-H 17=667C 176 )KLL <H?9%469<H?% <% )O)L+
9:8%! -?=-96 P ;6-H769
-:=<:=%7?:!
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
*LLK A%=I67 17=667 <H?9%469<H?% <% )O)L+
9:8%! -?=-96 P ;6-H769
-:=<:=%7?:!
-G: 4%5?4 !M ;=::I1C 61TMC 5<C 86!6=%9 -:>!169 R
16-=67%=@
B:=7=611 ?!5617A6!7 8=:>< 99- )+,K %56!>6 :B 7H6 %A6=?-%1 !@ !@ )L)LK
9:8%! -?=-96 P 9?;6=7@ A>7>%9
6A<9:@66
7H=?B7 ?!-6!7?56 <9%! %77! Q>46 7M 4=?1-:99C -6: R
-?:
)E)E %=-H 17=667C 176 )KLL <H?9%469<H?% <% )O)L+
9:8%! -?=-96 P 9?;6=7@ A>7>%9
6A<9:@66
7H=?B7 ?!-6!7?56 <9%! %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
*LLK A%=I67 17=667 <H?9%469<H?% <% )O)L+
9:8%! -?=-96 P 9?;6=7@ A>7>%9
6A<9:@66
7H=?B7 ?!-6!7?56 <9%! -G: 4%5?4 !M ;=::I1C 61TMC 5<C
86! -!19 R 16-@
B:=7=611 ?!5617A6!7 8=:>< 99- )+,K %56!>6 :B 7H6 %A6=?-%1 !@ !@ )L)LK
9:8%! -?=-96 P 9?;6=7@ A>7>%9
6A<9:@66 7H=?B7 ?!-6!7?56 <9%!
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
-G: 9?;6=7@ A>7>%9 8=:><C ?!-M )EK ;6=I96@ 17=667 ;:17:! A% L*))N
9:8%! -?=-96 P <>;9?- 16=5?-6 6 %77! Q>46 7M 4=?1-:99 )E)E %=-H 17=667C 176 )KLL <H?9%469<H?% <% )O)L+
9:8%! -?=-96 P <>;9?- 16=5?-6 6 %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
*LLK A%=I67 17=667 <H?9%469<H?% <% )O)L+
9:8%! -?=-96 P =>11699 ?!17
B>!41 99-
=>11699 -:=6 ;:!4 B>!4 %77! Q>46 7M 4=?1-:99C -6: R
-?:
)E)E %=-H 17=667C 176 )KLL <H?9%469<H?% <% )O)L+
9:8%! -?=-96 P =>11699 ?!17
B>!41 99-
=>11699 -:=6 ;:!4 B>!4 %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
*LLK A%=I67 17=667 <H?9%469<H?% <% )O)L+
9:8%! -?=-96 P =>11699 ?!17
B>!41 99-
=>11699 -:=6 ;:!4 B>!4 -G: 4%5?4 !M ;=::I1C 61TMC 5<C
86! -!19 R 16-@
B:=7=611 ?!5617A6!7 8=:>< 99- )+,K %56!>6 :B 7H6 %A6=?-%1 !@ !@ )L)LK
9:8%! -?=-96 P =>11699 ?!17
B>!41 99-
=>11699 -:=6 ;:!4 B>!4 -G: =>11699 ?!5617A6!7
-:A<%!@
%77![ 8=68:=@ QM 17%=IC -6:
%!4 <=61?46!7
)+L) 16-:!4 %56!>6 )D7H
B9::=
16%7796 F% OD)L)
9:8%! -?=-96 P =>11699
?!5617A6!7 -:A<%!@ <9-
%77! Q>46 7M 4=?1-:99 )E)E %=-H 17=667C 176 )KLL <H?9%469<H?% <% )O)L+
9:8%! -?=-96 P =>11699
?!5617A6!7 -:A<%!@ <9-
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
*LLK A%=I67 17=667 <H?9%469<H?% <% )O)L+
9:8%! -?=-96 P =>11699
?!5617A6!7 -:A<%!@ <9-
-G: 4%5?4 !M ;=::I1C 61TMC 5<C 86!6=%9 -:>!169 R
16-=67%=@
B:=7=611 ?!5617A6!7 8=:>< 99- )+,K %56!>6 :B 7H6 %A6=?-%1 !@ !@ )L)LK
9:8%! -?=-96 P =>11699
A>97?PA%!%864 ;:!4 B>!4
%77! Q>46 7M 4=?1-:99 )E)E %=-H 17=667C 176 )KLL <H?9%469<H?% <% )O)L+
9:8%! -?=-96 P =>11699
A>97?PA%!%864 ;:!4 B>!4
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
*LLK A%=I67 17=667 <H?9%469<H?% <% )O)L+
9:8%! -?=-96 P =>11699
A>97?PA%!%864 ;:!4 B>!4
-G: 4%5?4 !M ;=::I1C 61TMC 5<C 86!6=%9 -:>!169 R
16-=67%=@
B:=7=611 ?!5617A6!7 8=:>< 99- )+,K %56!>6 :B 7H6 %A6=?-%1 !@ !@ )L)LK
9:8%! -?=-96 P =>11699
A>97?PA%!%864 ;:!4 B>!4
-G: =>11699 ?!5617A6!7
-:A<%!@
%77![ 8=68:=@ QM 17%=IC -6:
%!4 <=61?46!7
)+L) 16-:!4 %56!>6 )D7H
B9::=
16%7796 F% OD)L)
9:8%! -?=-96 P =>11699
17=%768?- ;:!4 B>!4
%77! Q>46 7M 4=?1-:99 )E)E %=-H 17=667C 176 )KLL <H?9%469<H?% <% )O)L+
9:8%! -?=-96 P =>11699
17=%768?- ;:!4 B>!4
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
*LLK A%=I67 17=667 <H?9%469<H?% <% )O)L+
9:8%! -?=-96 P =>11699
17=%768?- ;:!4 B>!4
-G: 4%5?4 !M ;=::I1C 61TMC 5<C 86!6=%9 -:>!169 R
16-=67%=@
B:=7=611 ?!5617A6!7 8=:>< 99- )+,K %56!>6 :B 7H6 %A6=?-%1 !@ !@ )L)LK
9:8%! -?=-96 P 1>!:-: ?!-M
A%176= =67?=6A6!7 7=>17
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
1>!:-:C ?!-M +DL) F617 -H6176= <?I6 !6F7:F! 1T <% )OLE+P*+*L
9:8%! -?=-96 P 1>!:-: ?!-M
A%176= =67?=6A6!7 7=>17
%77! Q>46 7M 4=?1-:99 )E)E %=-H 17=667C 176 )KLL <H?9%469<H?% <% )O)L+
<"U$ *O VW N*
09-50026-mg Doc 13832 Filed 01/23/17 Entered 01/23/17 21:14:01 Main Document Pg 55 of 95
!"#$ %&&'$(() %&&'$((* %&&'$((+ %&&'$((, -./0 1/"/$ 2.3
9:8%! -?=-96 P 1>!:-: ?!-M
A%176= =67?=6A6!7 7=>17
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
*LLK A%=I67 17=667 <H?9%469<H?% <% )O)L+
9:8%! -?=-96 P 1>!:-: ?!-M
A%176= =67?=6A6!7 7=>17
-G: 4%5?4 !M ;=::I1C 61TMC 5<C 86!6=%9 -:>!169 R
16-=67%=@
B:=7=611 ?!5617A6!7 8=:>< 99- )+,K %56!>6 :B 7H6 %A6=?-%1 !@ !@ )L)LK
9:8%! -?=-96 ] =>11699
?!5617A6!7 -:A<%!@ <9-
-G: =>11699 ?!5617A6!7
-:A<%!@
%77![ 8=68:=@ QM 17%=IC -6:
%!4 <=61?46!7
)+L) 16-:!4 %56!>6 )D7H
B9::=
16%7796 F% OD)L)
9:8%! -?=-96 ] =>11699
17=%768?- ;:!4 B>!4
-G: =>11699 ?!5617A6!7
-:A<%!@
%77![ 8=68:=@ QM 17%=IC -6:
%!4 <=61?46!7
)+L) 16-:!4 %56!>6 )D7H
B9::=
16%7796 F% OD)L)
9:8%! -?=-96 B=644?6 A%-
B:>!4%7?:! ?!-M
%77! Q>46 7M 4=?1-:99 )E)E %=-H 17=667C 176 )KLL <H?9%469<H?% <% )O)L+
9:8%! -?=-96 B=644?6 A%-
B:>!4%7?:! ?!-M
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
*LLK A%=I67 17=667 <H?9%469<H?% <% )O)L+
9:8%! -?=-96 B=644?6 A%-
B:>!4%7?:! ?!-M
-G: 4%5?4 !M ;=::I1C 61TMC 5<C 86!6=%9 -:>!169 R
16-=67%=@
B:=7=611 ?!5617A6!7 8=:>< 99- )+,K %56!>6 :B 7H6 %A6=?-%1 !@ !@ )L)LK
9:8%! -?=-96 <6:<961 6!6=8@
-:=<:=%7?:!
<6!1?:! 7=>17 %77! Q>46 7M 4=?1-:99C -6: R
-?:
)E)E %=-H 17=667C 176 )KLL <H?9%469<H?% <% )O)L+
9:8%! -?=-96 <6:<961 6!6=8@
-:=<:=%7?:!
<6!1?:! 7=>17 %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
*LLK A%=I67 17=667 <H?9%469<H?% <% )O)L+
9:8%! -?=-96 <6:<961 6!6=8@
-:=<:=%7?:!
<6!1?:! 7=>17 -G: 4%5?4 !M ;=::I1C 61TMC 5<C
86! -!19 R 16-@
B:=7=611 ?!5617A6!7 8=:>< 99- )+,K %56!>6 :B 7H6 %A6=?-%1 !@ !@ )L)LK
9:8%! -?=-96 <6:<961 6!6=8@
-:=<:=%7?:! <6!1?:! 7=>17
-G: F6- 6!6=8@ 8=:>< %77![ Q:H! ;6=817=:AC -6: *+) FM A?-H?8%! 17=667 A?9F%>I66 F? K+*L+
9:8%! -?=-96 F?1-:!1?! <>;9?- 16=5?-6 -:=<:=%7?:!
<6!1?:! 7=>17
%77! Q>46 7M 4=?1-:99C -6: R
-?:
)E)E %=-H 17=667C 176 )KLL <H?9%469<H?% <% )O)L+
9:8%! -?=-96 F?1-:!1?! <>;9?- 16=5?-6 -:=<:=%7?:!
<6!1?:! 7=>17
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
*LLK A%=I67 17=667 <H?9%469<H?% <% )O)L+
9:8%! -?=-96 F?1-:!1?! <>;9?- 16=5?-6 -:=<:=%7?:!
<6!1?:! 7=>17
-G: 4%5?4 !M ;=::I1C 61TMC 5<C
86! -!19 R 16-@
B:=7=611 ?!5617A6!7 8=:>< 99- )+,K %56!>6 :B 7H6 %A6=?-%1 !@ !@ )L)LK
9:8%! -?=-96 F?1-:!1?!
<>;9?- 16=5?-6 -:=<:=%7?:!
<6!1?:! 7=>17
-G: F6- 6!6=8@ 8=:>< %77![ Q:H! ;6=817=:AC -6: *+) FM A?-H?8%! 17=667 A?9F%>I66 F? K+*L+
9:!89%!6 A%176= 7= ?5 -G: >M1M ;%!I 7=>17 !%7?:!%9
%11:-?%7?:!
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
+LL 469%F%=6 %56!>6 O7H B9::= F?9A?!87:! 46 )ODL)
9:=4 %;;67 R -:P76%-H6=1 =6 %77! ;=::I6 %M B%<:H>!4%C
61TM
5?-6 <=61?46!7 R %11?17%!7
16-=67%=@
-G: 9:=4 %;;677 ?!5617A6!7
7=>17
OL H>41:! 17=667 Q6=16@ -?7@ !Q LE+L*
9:=4 %;;677 ?!5 7= P 9:=4 %;;677
B9:%7?!8 =%76 B!4
%77! ;=::I6 %M B%<:H>!4%C
61TM
5?-6 <=61?46!7 R %11?17%!7
16-=67%=@
-G: 9:=4 %;;677 ?!5617A6!7
7=>17
OL H>41:! 17=667 Q6=16@ -?7@ !Q LE+L*
9:=4 %;;677 ?!5 7=17P9% H? @94 %77! ;=::I6 %M B%<:H>!4%C
61TM
5?-6 <=61?46!7 R %11?17%!7
16-=67%=@
-G: 9:=4 %;;677 ?!5617A6!7
7=>17
OL H>41:! 17=667 Q6=16@ -?7@ !Q LE+L*
9:>?1?%!% -%=<6!76=1 =68?:!%9
-:>!-?9
<6!1?:! 7=>17 B>!4 %77! :<6=%7?:!1 G 7=%46
167796A6!7
<M:M ;:J E*E -:9>A;>1 ?! ,E*L*PLE*E
9:>?1?%!% -%=<6!76=1 =68?:!%9
-:>!-?9
<6!1?:! 7=>17 B>!4 -G: -6!7=%9 1:>7H -%=<6!76=1
=68?:!%9 -:>!-?9
%77! Q:H! FM 64F%=41C
<=61?46!7
DDEK 8=66!F699 1<=?!81 =4 S% ;%7:! =:>86 9% ELD),P*E)L
9:>?1?%!% -%=<6!76=1 =68?:!%9
-:>!-?9
<6!1?:! 7=>17 B>!4 9% -%=<6!76=1 =68?:!%9
-:>!-?9 <6!1?:! 7=>17
-G: 26!?7H %4A?!?17=%7:=1C
?!-MC %77![ 962966 F%99
*,KL 1656=! %56!>6C 1>?76 +LK A67%?=?6 9% ELLL)P)O*N
A%-I%@ )L*DP%=I%!1%1 <>;9?- 6A<9:@66 =67?=6A6!7
1@176A
%77! A=M Q6BB=6@ 1M <H968%=C
-6: %!4 -H%?=A%!
-G: A%-I%@ 1H6?941 99- )+,K %56!>6 :B 7H6 %A6=?-%1 !6F @:=I !@ )L)LK
A%-I%@ )L*DP%=I%!1%1 <>;9?- 6A<9:@66 =67?=6A6!7
1@176A
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
%=I%!1%1 <>;9?- 6A<9:@66
=67?=6A6!7 1@176A
)*, FM -%<?7%9 %56C 1>?76 ,LL 9?7796 =:-I %= E**L)
<"U$ +L VW N*
09-50026-mg Doc 13832 Filed 01/23/17 Entered 01/23/17 21:14:01 Main Document Pg 56 of 95
!"#$ %&&'$(() %&&'$((* %&&'$((+ %&&'$((, -./0 1/"/$ 2.3
A%-I%@ DLNE P B?=6 R <:9?-6
6A<9:@66
=67?=6A6!7 1@176A :B 7H6 -?7@ :B
;%97?A:=6
%77! A=M Q6BB=6@ 1M <H968%=C
-6: %!4 -H%?=A%!
-G: A%-I%@ 1H6?941 99- )+,K %56!>6 :B 7H6 %A6=?-%1 !6F @:=I !@ )L)LK
A%-I%@ DLNE P B?=6 R <:9?-6
6A<9:@66
=67?=6A6!7 1@176A :B 7H6 -?7@ :B
;%97?A:=6
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
O FM KE7H 17=667 !6F @:=I !@ )LL)OP*EL)
A%-I%@ DLNE P B?=6 R <:9?-6
6A<9:@66
=67?=6A6!7 1@176A :B 7H6 -?7@ :B
;%97?A:=6
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
B?=6 R <:9?-6 6A<9:@66
=67?=6A6!7 1@176A
E 6%17 =64F::4 17=667C )D7H
B9::=
;%97?A:=6 A4 *)*L*
A%-I%@ !6F @:=I 9?B6
?!1>=%!-6 -:A<%!@
Y8>%=%!7664 <=:4>-71Z %77! A=M Q6BB=6@ 1M <H968%=C
-6: %!4 -H%?=A%!
-G: A%-I%@ 1H6?941 99- )+,K %56!>6 :B 7H6 %A6=?-%1 !6F @:=I !@ )L)LK
A%-I%@ !6F @:=I 9?B6
?!1>=%!-6 -:A<%!@
Y8>%=%!7664 <=:4>-71Z %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
O FM KE7H 17=667 !6F @:=I !@ )LL)OP*EL)
A%-I%@ !6F @:=I 9?B6
?!1>=%!-6 -:A<%!@
Y8>%=%!7664 <=:4>-71Z %77! 4=6F 9%F7:! -6: :B !6F @:=I 9?B6
?!5617A6!7 A%!%86A6!7 99-
K) A%4?1:! %56!>6 !6F @:=I !@ )LL)L
A%-I%@ 1H?6941 -:=6 <9>1
%9<H% B>!4 974M
%77! =:;6=71C 4%! -M A%-I%@ 1H?6941 99- O F617 KE7H 17=667 !6F @:=I !@ )LL)O
A%-I%@ 1H?6941 -:=6 <9>1
%9<H% B>!4 974M
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
H:?9677C %;%9?C F%9I6=1 B>!4
16=5?-61 9?A?764
F%9I6= H:>16C DE A%=@ 17M 86:=86 7:F!C 8=%!4 -%@A%!C
I@)POLL) -%@A%! ?19%!41
A%-I%@ 1H?6941 1H:=7
4>=%7?:! %9<H% B>!4
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
89:;%9 B>!41 7=>17 -:A<%!@ >89%!4 H:>16C 1:>7H -H>=-H
17=667C <: ;:J +L
8=%!4 -%@A%!C -%@A%!
?19%!41
A%-I%@ 1H?6941 1H:=7
4>=%7?:! %9<H% B>!4
%77! =:;6=71C 4%! -M A%-I%@ 1H?6941 99-M O FM KE7H 17=667 !6F @:=I !@ )LL)O
A%-I%@PH:>17:! <:9?-6
:BB?-6=1 <6!1?:! 1@176A
Q:H! 6M 9%F1:!C 6J6->7?56
4?=6-7:=
H:>17:! <:9?-6 :BB?-6=1X
<6!1?:! 1@176A
NL* 1%F@6=C 176 +LL H:>17:! 7J EELLE
A%-I%@PH:>17:! <:9?-6
:BB?-6=1 <6!1?:! 1@176A
%77! =:;6=71C 4%! -M A%-I%@ 1H?6941 99-M O FM KE7H 17=667 !6F @:=I !@ )LL)O
A%-I%@PH:>17:! <:9?-6
:BB?-6=1 <6!1?:! 1@176A
%77! A=M Q6BB=6@ 1M <H968%= -6: %!4 -H%?=A%! -G: A%-I%@ 1H6?941 99- )+,K %56!>6 :B 7H6 %A6=?-%1 !6F @:=I !@ )L)LK
A%4?1:! <%=I B>!4?!8 ? 974M %77! A=M =:;6=7 Q%?! -H?6B 6J6->7?56 :BB?-6= -G: -=64?7 1>?116 %1167
A%!%86A6!7 99-
:!6 A%4?1:! %56!>6 !6F @:=I !@ )LL)LP+N*O
A%4?1:! <%=I B>!4?!8 ?C 974M ?!76=7=>17 1<5 Y-%@A%!Z 9?A?764 )OL 698?! %56!>6C 86:=86
7:F!
8=%!4 -%@A%! I@9POLLKC
-%@A%! ?19%!41
A%4?1:! <%=I B>!4?!8 ?? 974M %77! A=M =:;6=7 Q%?! -H?6B 6J6->7?56 :BB?-6= -G: -=64?7 1>?116 %1167
A%!%86A6!7 99-
:!6 A%4?1:! %56!>6 !6F @:=I !@ )LL)LP+N*O
A%4?1:! <%=I B>!4?!8 ?? 974M -G: :8?6= B?4>-?%=@ 16=5?-61
Y-%@A%!Z 974
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
T>66!18%76 H:>16C 1:>7H
-H>=-H 17=667
86:=86 7:F! I@)P))L,C
-%@A%! ?19%!41
A%4?1:! <%=I B>!4?!8 ??? 974M %77! A=M =:;6=7 Q%?! -H?6B 6J6->7?56 :BB?-6= -G: -=64?7 1>?116 %1167
A%!%86A6!7 99-
:!6 A%4?1:! %56!>6 !6F @:=I !@ )LL)LP+N*O
A%4?1:! <%=I B>!4?!8 ??? 974M %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
*), !:=7H 7=@:! 17=667 -H%=9:776 !- *D*KK
A%4?1:! <%=I B>!4?!8 ?5 974M %77! A=M =:;6=7 Q%?! -H?6B 6J6->7?56 :BB?-6= -G: -=64?7 1>?116 %1167
A%!%86A6!7 99-
:!6 A%4?1:! %56!>6 !6F @:=I !@ )LL)LP+N*O
A%4?1:! <%=I B>!4?!8 ?5 974M %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
<: ;:J )*+, T>66!18%76 H:>16C 1:>7H
-H>=-H 17=667
86:=86 7:F! I@)P))LDC
-%@A%! ?19%!41
A%4?1:! <%=I B>!4?!8 5 974M %77! A=M =:;6=7 Q%?! -H?6B 6J6->7?56 :BB?-6= -G: -=64?7 1>?116 %1167
A%!%86A6!7 99-
:!6 A%4?1:! %56!>6 !6F @:=I !@ )LL)LP+N*O
A%4?1:! <%=I B>!4?!8 5 974M -G: :8?6= B?4>-?%=@ 16=5?-61
Y-%@A%!Z 974
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
DO !6J>1 F%@ -%A%!% ;%@ 8=%!4 -%@A%! I@ )POLLEC
-%@A%! ?19%!41
A%4?1:! <%=I B>!4?!8 5? 974M %77! A=M =:;6=7 Q%?! -H?6B 6J6->7?56 :BB?-6= -G: -=64?7 1>?116 %1167
A%!%86A6!7 99-
:!6 A%4?1:! %56!>6 !6F @:=I !@ )LL)LP+N*O
<"U$ +) VW N*
09-50026-mg Doc 13832 Filed 01/23/17 Entered 01/23/17 21:14:01 Main Document Pg 57 of 95
!"#$ %&&'$(() %&&'$((* %&&'$((+ %&&'$((, -./0 1/"/$ 2.3
A%4?1:! <%=I B>!4?!8 5? 974M %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
:8?6= B?4>-?%=@ 16=5?-61
Y-%@A%!Z 9?A?764
<M:M ;:J )*+, T>66!18%76
H:>16 1:>7H -H>=-H 17=667
86:=86 7:F!C 8=%!4 -%@A%!
I@)P))LDC ;=?7?1H F?C -%@A%!
?19%!41
A%=%7H:! -9: ? 974M %77! ;=>-6 =?-H%=41 -6: R -:PA%!%8?!8 <%=7!6= -G: A%=%7H:! %1167
A%!%86A6!7C 9M<M
:!6 ;=@%!7 <%=I !6F @:=I !@ )LL+N
A%=%7H:! -9: ? 974M %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
,N) B?B7H %56!>6 !6F @:=I !@ )LL)E
A%=%7H:! -9: ?? 974M %77! ;=>-6 =?-H%=41 -6: R -:PA%!%8?!8 <%=7!6= -G: A%=%7H:! %1167
A%!%86A6!7C 9M<M
:!6 ;=@%!7 <%=I !6F @:=I !@ )LL+N
A%=%7H:! -9: ?? 974M %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
,N) B?B7H %56!>6 )L7H B9::= !6F @:=I !@ )LL)E
A%=%7H:! B?!%!-?!8 ? ; 5 %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
7AB 17=>-7>=64 B?!%!-6
16=5?-61
<%=!%11>17:=6! %2 %A176=4%A 9:-%76?99?I%46 ) )LEN %2C
%A176=4%AC !67H6=9%!41
A%=%7H:! B?!%!-?!8 ? ; 5 %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
9>!% %=6!% H6=?I6=;6=8F68 *+DC
%A176=4%A 2>?4::17
%A176=4%A !::=4 H:99%!4 !9
))L) -A !67H6=9%!41
A%=?!6= 94- %77! ;=%-6;=?486 HM @:>!8C Q=M <%=7!6= %!4 -H?6B 6J6->7?56
:BB?-6=
A%=?!6= ?!5617A6!7 8=:>< 99- KLL A%A%=:!6-I %56 H%==?1:! !@ )LK*D
A%=9;:=:>8H 17=667 -9: 974M %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
<: ;:J )LO+ T>66!18%76 H:>16C 1:>7H
-H>=-H 17=667
86:=86 7:F! I@)P))L*
-%@A%! ?19%!41
A%=1H%99 46!!6H6@ F%=!6=
-:96A%! R 8:88?!C <M-M
%77! 46!?1 4?-6 *LLL A%=I67 17=667 1>?76 *+LL <H?9%469<H?% <% )O)L+
A%=1H%99 46!!6H6@ F%=!6=
-:96A%! R 8:88?!C <M-M
%77! =M 4%5?4 9%!6 Q=M F%99 17=667 <9%2% DD <?!6 17=667C *)17 B9::= !6F @:=I !@ )LLLK
A%=1H%99 46!!6H6@ F%=!6=
-:96A%! R 8:88?!C <M-M
%77! Q:69 F6=7A%! *LLL A%=I67 17=667 1>?76 *+LL <H?9%469<H?% <% )O)L+
A%1:! -%<?7%9 9< %77! A=M I6!!67H A%=?:
8%=1-H?!%
<=?!-?<%9C -:PB:>!46=C %!4
A%!%8?!8 A6A;6=
-G: A%1:! -%<?7%9
A%!%86A6!7 99-
))L 6M KO7H 17=667C +L7H B9 !6F @:=I !@ )LL**
A%1:! -%<?7%9 9< -:=<:=%7?:! 16=5?-6 -: *E)) -6!76=5?996 =4 1>?76 ,LL F?9A?!87:! 46 )ODLD
A%1:! -%<?7%9 974M %77! A=M I6!!67H A%=?:
8%=1-H?!%
<=?!-?<%9C -:PB:>!46=C %!4
A%!%8?!8 A6A;6=
-G: A%1:! -%<?7%9
A%!%86A6!7 99-
))L 6M KO7H 17=667C +L7H B9 !6F @:=I !@ )LL**
A%@<:=7 -9: 974M %77! 4:>89%1 AM H:486C -6: <%-?B?- ?!5617A6!7
A%!%86A6!7 -:A<%!@ 99-
NKL !6F<:=7 -6!76= 4=?56 !6F<:=7 ;6%-H -% O*NNL
A%@<:=7 -9: 974M %77! 4%5?4 -M B9%77>A 86!6=%9 -:>!169 <%-?B?- ?!5617A6!7
A%!%86A6!7 -:A<%!@ 99-
NKL !6F<:=7 -6!76= 4=?56 !6F<:=7 ;6%-H -% O*NNL
A-4:!!699 ?99?!:?1 17%76
;:%=4 :B ?!5617A6!7
%77! 6A?9@ =664 86!6=%9 -:>!169 R -H?6B
-:A<9?%!-6 :BB?-6=
?99?!:?1 17%76 ;:%=4 :B
?!5617A6!7
)DL !:=7H 9%1%996 17=667C =::A
*L)K
-H?-%8: ?9 NLNL)
A-4:!!699 ?99?!:?1 17%76
;:%=4 :B ?!5617A6!7
%77! 64F%=4 %M 7=6?-H69 <=61?46!7 %!4 -6: A-4:!!699 ?!5617A6!7
A%!%86A6!7C 99-
)DF),L ;>776=B?694 =:%4 S)*LL :%I;=::I 76==%-6 ?9 NLK*+
A6=?7%86 B>!4 974M -G: =6!%?11%!-6 76-H!:9:8?61
-:=<M
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
DLL 7H?=4 %56!>6 ++=4 B9::= !6F @:=I !@ )LL**
A6==?99 9@!-H -%<?7%9 16=5?-61C
?!-M
%77! 9%F=6!-6 B:=76 -H?6B 6J6->7?56 :BB?-6= )KL ! -:99686 17 !-)PL*DP)EPLN -H%=9:776 !- *D*KK
A6==?99 9@!-H -%<?7%9 16=5?-61C
?!-M
- 7 -:=<:=%7?:! 1@176A ))) 6?8H7H %56!>6 !6F @:=I !@ )LL))
A6==?99 9@!-H -%<?7%9 16=5?-61C
?!-M
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
:!6 ;=@%!7 <%=I !6F @:=I !@ )LL+N
A6==?99 9@!-H -%<?7%9 16=5?-61C
?!-M
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
)NK ;=:%4F%@ !6F @:=I !@ )LLLNP),L,
A67=:<:9?7%! F617 H?8H @?694
;:!4 B>!4
%77! 4%5?4 9?<<A%! <=61?46!7 R <=?!-?<%9 6J6->7?56
:BB?-6=
A67=:<:9?7%! F617 B>!41 DNK 1:>7H B?8>6=:% 17=667 9:1 %!86961 -% OLL)E
<"U$ +* VW N*
09-50026-mg Doc 13832 Filed 01/23/17 Entered 01/23/17 21:14:01 Main Document Pg 58 of 95
!"#$ %&&'$(() %&&'$((* %&&'$((+ %&&'$((, -./0 1/"/$ 2.3
A67=:<:9?7%! F617 H?8H @?694
;:!4 B>!4
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
))ENN F?91H?=6 ;:>965%=4 1>?76 )KD 9:1 %!86961 -% OLL*K
AB1 P 4?B P 4?56=1?B?64 ?!-:A6
B>!4
%77! =:;6=7 A%!!?!8 -H?6B 6J6->7?56 :BB?-6= A%11%-H>16771 B?!%!-?%9
16=5?-61 -:A<%!@
))) H>!7?!87:! %56 ;:17:! A% L*)OO
AB1 P 4?B P 4?56=1?B?64 ?!-:A6
B>!4
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
KLL ;:@917:! 17=667 ;:17:! A% L*))N
AB1 P 4?B P 4?56=1?B?64 ?!-:A6
B>!4
%77! 1>1%! 1M !6F7:! A%11%-H>16771 B?!%!-?%9
16=5?-61 -:A<%!@
))) H>!7?!87:! %56 ;:17:! A% L*)OO
AB1 P H?8H @?694 5%=?%;96
%--:>!7
%77! =:;6=7 A%!!?!8 -H?6B 6J6->7?56 :BB?-6= A%11%-H>16771 B?!%!-?%9
16=5?-61 -:A<%!@
))) H>!7?!87:! %56 ;:17:! A% L*)OO
AB1 P H?8H @?694 5%=?%;96
%--:>!7
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
KLL ;:@917:! 17=667 ;:17:! A% L*))N
AB1 P H?8H @?694 5%=?%;96
%--:>!7
%77! 1>1%! 1M !6F7:! A%11%-H>16771 B?!%!-?%9
16=5?-61 -:A<%!@
))) H>!7?!87:! %56 ;:17:! A% L*)OO
AB1 -H%=76= ?!-:A6 7=>17 %77! =:;6=7 A%!!?!8 -H?6B 6J6->7?56 :BB?-6= A%11%-H>16771 B?!%!-?%9
16=5?-61 -:A<%!@
))) H>!7?!87:! %56 ;:17:! A% L*)OO
AB1 -H%=76= ?!-:A6 7=>17 %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
KLL ;:@917:! 17=667 ;:17:! A% L*))N
AB1 -H%=76= ?!-:A6 7=>17 %77! 1>1%! 1M !6F7:! A%11%-H>16771 B?!%!-?%9
16=5?-61 -:A<%!@
))) H>!7?!87:! %56 ;:17:! A% L*)OO
AB1 4?56=1?B?64 ?!-:A6 B>!4 %77! =:;6=7 A%!!?!8 -H?6B 6J6->7?56 :BB?-6= A%11%-H>16771 B?!%!-?%9
16=5?-61 -:A<%!@
))) H>!7?!87:! %56 ;:17:! A% L*)OO
AB1 4?56=1?B?64 ?!-:A6 B>!4 %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
KLL ;:@917:! 17=667 ;:17:! A% L*))N
AB1 4?56=1?B?64 ?!-:A6 B>!4 %77! 1>1%! 1M !6F7:! A%11%-H>16771 B?!%!-?%9
16=5?-61 -:A<%!@
))) H>!7?!87:! %56 ;:17:! A% L*)OO
AB1 4?5?6=1?B?64 ?!-:A6
B>!4P16=?61 7=>17 J???
%77! =:;6=7 A%!!?!8 -H?6B 6J6->7?56 :BB?-6= A%11%-H>16771 B?!%!-?%9
16=5?-61 -:A<%!@
))) H>!7?!87:! %56 ;:17:! A% L*)OO
AB1 4?5?6=1?B?64 ?!-:A6
B>!4P16=?61 7=>17 J???
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
KLL ;:@917:! 17=667 ;:17:! A% L*))N
AB1 4?5?6=1?B?64 ?!-:A6
B>!4P16=?61 7=>17 J???
%77! 1>1%! 1M !6F7:! A%11%-H>16771 B?!%!-?%9
16=5?-61 -:A<%!@
))) H>!7?!87:! %56 ;:17:! A% L*)OO
AB1 B9:%7?!8 =%76 H?8H ?!-:A6
B>!4
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
<M:M ;:J +LO 8=%!4 -%@A%!C ;=?7?1H F617
?!4?61C -%@A%! ?19%!41
AB1 B9:%7?!8 =%76 H?8H ?!-:A6
B>!4
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
KLL ;:@917:! 17=667 ;:17:! A% L*))N
AB1 B9:%7?!8 =%76 H?8H ?!-:A6
B>!4
%77! 1>1%! 1M !6F7:! A%11%-H>16771 B?!%!-?%9
16=5?-61 -:A<%!@
))) H>!7?!87:! %56 ;:17:! A% L*)OO
AB1 B9:%7?!8 =%76 ?!-:A6
B>!4
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
<M:M ;:J +LO 8=%!4 -%@A%!C ;=?7?1H F617
?!4?61C -%@A%! ?19%!41
AB1 B9:%7?!8 =%76 ?!-:A6
B>!4
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
KLL ;:@917:! 17=667 ;:17:! A% L*))N
AB1 B9:%7?!8 =%76 ?!-:A6
B>!4
%77! 1>1%! 1M !6F7:! A%11%-H>16771 B?!%!-?%9
16=5?-61 -:A<%!@
))) H>!7?!87:! %56 ;:17:! A% L*)OO
AB1 89:;%9 H?8H @?694 B>!4 %77! =:;6=7 A%!!?!8 -H?6B 6J6->7?56 :BB?-6= A%11%-H>16771 B?!%!-?%9
16=5?-61 -:A<%!@
))) H>!7?!87:! %56 ;:17:! A% L*)OO
AB1 89:;%9 H?8H @?694 B>!4 %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
KLL ;:@917:! 17=667 ;:17:! A% L*))N
AB1 89:;%9 H?8H @?694 B>!4 %77! 1>1%! 1M !6F7:! A%11%-H>16771 B?!%!-?%9
16=5?-61 -:A<%!@
))) H>!7?!87:! %56 ;:17:! A% L*)OO
<"U$ ++ VW N*
09-50026-mg Doc 13832 Filed 01/23/17 Entered 01/23/17 21:14:01 Main Document Pg 59 of 95
!"#$ %&&'$(() %&&'$((* %&&'$((+ %&&'$((, -./0 1/"/$ 2.3
AB1 H?8H @?694 <:=7B:9?: %77! =:;6=7 A%!!?!8 -H?6B 6J6->7?56 :BB?-6= A%11%-H>16771 B?!%!-?%9
16=5?-61 -:A<%!@
))) H>!7?!87:! %56 ;:17:! A% L*)OO
AB1 H?8H @?694 <:=7B:9?: %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
KLL ;:@917:! 17=667 ;:17:! A% L*))N
AB1 H?8H @?694 <:=7B:9?: %77! 1>1%! 1M !6F7:! A%11%-H>16771 B?!%!-?%9
16=5?-61 -:A<%!@
))) H>!7?!87:! %56 ;:17:! A% L*)OO
AB1 ?!76=A%=I67 ?!-:A6 7=>17 ? %77! =:;6=7 A%!!?!8 -H?6B 6J6->7?56 :BB?-6= A%11%-H>16771 B?!%!-?%9
16=5?-61 -:A<%!@
))) H>!7?!87:! %56 ;:17:! A% L*)OO
AB1 ?!76=A%=I67 ?!-:A6 7=>17 ? %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
KLL ;:@917:! 17=667 ;:17:! A% L*))N
AB1 ?!76=A%=I67 ?!-:A6 7=>17 ? %77! 1>1%! 1M !6F7:! A%11%-H>16771 B?!%!-?%9
16=5?-61 -:A<%!@
))) H>!7?!87:! %56 ;:17:! A% L*)OO
AB1 ?!76=A%=I67 ?!-:A6 7=>17 ? %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
-H%16 :!6 B?!%!-?%9 <9%-6 ;:17:! A% L*)))
AB1 ?!76=A64?%76 H?8H ?!-:A6
B>!4
%77! =:;6=7 A%!!?!8 -H?6B 6J6->7?56 :BB?-6= A%11%-H>16771 B?!%!-?%9
16=5?-61 -:A<%!@
))) H>!7?!87:! %56 ;:17:! A% L*)OO
AB1 ?!76=A64?%76 H?8H ?!-:A6
B>!4
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
KLL ;:@917:! 17=667 ;:17:! A% L*))N
AB1 ?!76=A64?%76 H?8H ?!-:A6
B>!4
%77! 1>1%! 1M !6F7:! A%11%-H>16771 B?!%!-?%9
16=5?-61 -:A<%!@
))) H>!7?!87:! %56 ;:17:! A% L*)OO
AB1 ?!76=A64?%76 H?8H ?!-:A6
B>!4
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
-H%16 :!6 B?!%!-?%9 <9%-6 ;:17:! A% L*)))
AB1 A>97?A%=I67 ?!-:A6 7=>17 %77! =:;6=7 A%!!?!8 -H?6B 6J6->7?56 :BB?-6= A%11%-H>16771 B?!%!-?%9
16=5?-61 -:A<%!@
))) H>!7?!87:! %56 ;:17:! A% L*)OO
AB1 A>97?A%=I67 ?!-:A6 7=>17 %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
KLL ;:@917:! 17=667 ;:17:! A% L*))N
AB1 A>97?A%=I67 ?!-:A6 7=>17 %77! 1>1%! 1M !6F7:! A%11%-H>16771 B?!%!-?%9
16=5?-61 -:A<%!@
))) H>!7?!87:! %56 ;:17:! A% L*)OO
AB1 A>97?A%=I67 ?!-:A6 7=>17 %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
+ -A- N7H B9::= ;=::I9@! !@ ))*,K
AB1 16=?61 7=>17 ??? H?8H ?!-:A6
B>!4
%77! =:;6=7 A%!!?!8 -H?6B 6J6->7?56 :BB?-6= A%11%-H>16771 B?!%!-?%9
16=5?-61 -:A<%!@
))) H>!7?!87:! %56 ;:17:! A% L*)OO
AB1 16=?61 7=>17 ??? H?8H ?!-:A6
B>!4
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
KLL ;:@917:! 17=667 ;:17:! A% L*))N
AB1 16=?61 7=>17 ??? H?8H ?!-:A6
B>!4
%77! 1>1%! 1M !6F7:! A%11%-H>16771 B?!%!-?%9
16=5?-61 -:A<%!@
))) H>!7?!87:! %56 ;:17:! A% L*)OO
AB1 16=?61 7=>17 ??? H?8H @?694
:<<:=7>!?7?61 B>!4
%77! =:;6=7 A%!!?!8 -H?6B 6J6->7?56 :BB?-6= A%11%-H>16771 B?!%!-?%9
16=5?-61 -:A<%!@
))) H>!7?!87:! %56 ;:17:! A% L*)OO
AB1 16=?61 7=>17 ??? H?8H @?694
:<<:=7>!?7?61 B>!4
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
KLL ;:@917:! 17=667 ;:17:! A% L*))N
AB1 16=?61 7=>17 ??? H?8H @?694
:<<:=7>!?7?61 B>!4
%77! 1>1%! 1M !6F7:! A%11%-H>16771 B?!%!-?%9
16=5?-61 -:A<%!@
))) H>!7?!87:! %56 ;:17:! A% L*)OO
AB1 16=?61 7=>17 5??? 17=%768?-
?!-:A6 B>!4
%77! =:;6=7 A%!!?!8 -H?6B 6J6->7?56 :BB?-6= A%11%-H>16771 B?!%!-?%9
16=5?-61 -:A<%!@
))) H>!7?!87:! %56 ;:17:! A% L*)OO
AB1 16=?61 7=>17 5??? 17=%768?-
?!-:A6 B>!4
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
KLL ;:@917:! 17=667 ;:17:! A% L*))N
AB1 16=?61 7=>17 5??? 17=%768?-
?!-:A6 B>!4
%77! 1>1%! 1M !6F7:! A%11%-H>16771 B?!%!-?%9
16=5?-61 -:A<%!@
))) H>!7?!87:! %56 ;:17:! A% L*)OO
AB1 16=?61 7=>17 J B9:%7?!8 =%76
H?8H ?!-:A6 B>!4
%77! =:;6=7 A%!!?!8 -H?6B 6J6->7?56 :BB?-6= A%11%-H>16771 B?!%!-?%9
16=5?-61 -:A<%!@
))) H>!7?!87:! %56 ;:17:! A% L*)OO
<"U$ +, VW N*
09-50026-mg Doc 13832 Filed 01/23/17 Entered 01/23/17 21:14:01 Main Document Pg 60 of 95
!"#$ %&&'$(() %&&'$((* %&&'$((+ %&&'$((, -./0 1/"/$ 2.3
AB1 16=?61 7=>17 J B9:%7?!8 =%76
H?8H ?!-:A6 B>!4
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
KLL ;:@917:! 17=667 ;:17:! A% L*))N
AB1 16=?61 7=>17 J B9:%7?!8 =%76
H?8H ?!-:A6 B>!4
%77! 1>1%! 1M !6F7:! A%11%-H>16771 B?!%!-?%9
16=5?-61 -:A<%!@
))) H>!7?!87:! %56 ;:17:! A% L*)OO
AB1 1<6-?%9 5%9>6 7=>17 %77! =:;6=7 A%!!?!8 -H?6B 6J6->7?56 :BB?-6= A%11%-H>16771 B?!%!-?%9
16=5?-61 -:A<%!@
))) H>!7?!87:! %56 ;:17:! A% L*)OO
AB1 1<6-?%9 5%9>6 7=>17 %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
KLL ;:@917:! 17=667 ;:17:! A% L*))N
AB1 1<6-?%9 5%9>6 7=>17 %77! 1>1%! 1M !6F7:! A%11%-H>16771 B?!%!-?%9
16=5?-61 -:A<%!@
))) H>!7?!87:! %56 ;:17:! A% L*)OO
AB1 17=%768?- ?!-:A6
<:=7B:9?:
%77! =:;6=7 A%!!?!8 -H?6B 6J6->7?56 :BB?-6= A%11%-H>16771 B?!%!-?%9
16=5?-61 -:A<%!@
))) H>!7?!87:! %56 ;:17:! A% L*)OO
AB1 17=%768?- ?!-:A6
<:=7B:9?:
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
KLL ;:@917:! 17=667 ;:17:! A% L*))N
AB1 17=%768?- ?!-:A6
<:=7B:9?:
%77! 1>1%! 1M !6F7:! A%11%-H>16771 B?!%!-?%9
16=5?-61 -:A<%!@
))) H>!7?!87:! %56 ;:17:! A% L*)OO
AB1 5%=?%;96 ?!1>=%!-6 7=>17 AB1 17=%768?- ?!-:A6 16=?61
5F8
%77! =:;6=7 A%!!?!8C -6: A%11%-H>16771 B?!%!-?%9
16=5?-61 -:A<%!@
))) H>!7?!87:! %56 ;:17:! A% L*)OO
AB1 5%=?%;96 ?!1>=%!-6 7=>17 AB1 17=%768?- ?!-:A6 16=?61
5F8
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
KLL ;:@917:! 17=667 ;:17:! A% L*))N
AB1 5%=?%;96 ?!1>=%!-6 7=>17 AB1 17=%768?- ?!-:A6 16=?61
5F8
%77! 1>1%! 1M !6F7:! A%11%-H>16771 B?!%!-?%9
16=5?-61 -:A<%!@
))) H>!7?!87:! %56 ;:17:! A% L*)OO
AB1 5%=?%;96 ?!1>=%!-6 7=>17 AB1 H?8H ?!-:A6 16=?61 %77! =:;6=7 A%!!?!8C -6: A%11%-H>16771 B?!%!-?%9
16=5?-61 -:A<%!@
))) H>!7?!87:! %56 ;:17:! A% L*)OO
AB1 5%=?%;96 ?!1>=%!-6 7=>17 AB1 H?8H ?!-:A6 16=?61 %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
KLL ;:@917:! 17=667 ;:17:! A% L*))N
AB1 5%=?%;96 ?!1>=%!-6 7=>17 AB1 H?8H ?!-:A6 16=?61 %77! 1>1%! 1M !6F7:! A%11%-H>16771 B?!%!-?%9
16=5?-61 -:A<%!@
))) H>!7?!87:! %56 ;:17:! A% L*)OO
AB1 5%=?%;96 ?!1>=%!-6 7=>17 ?? H?8H @?694 <:=7B:9?: %77! =:;6=7 A%!!?!8C -6: A%11%-H>16771 B?!%!-?%9
16=5?-61 -:A<%!@
))) H>!7?!87:! %56 ;:17:! A% L*)OO
AB1 5%=?%;96 ?!1>=%!-6 7=>17 ?? H?8H @?694 <:=7B:9?: %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
KLL ;:@917:! 17=667 ;:17:! A% L*))N
AB1 5%=?%;96 ?!1>=%!-6 7=>17 ?? H?8H @?694 <:=7B:9?: %77! 1>1%! 1M !6F7:! A%11%-H>16771 B?!%!-?%9
16=5?-61 -:A<%!@
))) H>!7?!87:! %56 ;:17:! A% L*)OO
AB1 5%=?%;96 ?!1>=%!-6 7=>17 ?? 17=%768?- ?!-:A6 <:=7B:9?: %77! =:;6=7 A%!!?!8C -6: A%11%-H>16771 B?!%!-?%9
16=5?-61 -:A<%!@
))) H>!7?!87:! %56 ;:17:! A% L*)OO
AB1 5%=?%;96 ?!1>=%!-6 7=>17 ?? 17=%768?- ?!-:A6 <:=7B:9?: %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
KLL ;:@917:! 17=667 ;:17:! A% L*))N
AB1 5%=?%;96 ?!1>=%!-6 7=>17 ?? 17=%768?- ?!-:A6 <:=7B:9?: %77! 1>1%! 1M !6F7:! A%11%-H>16771 B?!%!-?%9
16=5?-61 -:A<%!@
))) H>!7?!87:! %56 ;:17:! A% L*)OO
AB1P4?BP4?56=1?B?64 ?!-:A6
B>!4
%77! =:;6=7 A%!!?!8 -H?6B 6J6->7?56 :BB?-6= A%11%-H>16771 B?!%!-?%9
16=5?-61 -:A<%!@
))) H>!7?!87:! %56 ;:17:! A% L*)OO
AB1P4?BP4?56=1?B?64 ?!-:A6
B>!4
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
KLL ;:@917:! 17=667 ;:17:! A% L*))N
AB1P4?BP4?56=1?B?64 ?!-:A6
B>!4
%77! 1>1%! 1M !6F7:! A%11%-H>16771 B?!%!-?%9
16=5?-61 -:A<%!@
))) H>!7?!87:! %56 ;:17:! A% L*)OO
A?-=:1:B7 89:;%9 B?!%!-6 974M %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
EL 1?= Q:H! =:86=1:!X1 T>%@ 4>;9?! * 4>;9?!C -: 4>;9?!
A?-=:1:B7 89:;%9 B?!%!-6 974M %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
+L H6=;6=7 17=667 4>;9?! *C ?=69%!4
<"U$ +K VW N*
09-50026-mg Doc 13832 Filed 01/23/17 Entered 01/23/17 21:14:01 Main Document Pg 61 of 95
!"#$ %&&'$(() %&&'$((* %&&'$((+ %&&'$((, -./0 1/"/$ 2.3
A?11:>=? 17%76 6A<9:@661
=67?=6A6!7 1@176A
%77! 8%=@ B?!49%@ 6J6->7?56 4?=6-7:= A:16=1 <: ;:J *LO Q6BB6=1:! -?7@ A: NK)L*
A?11:>=? 17%76 6A<9:@661
=67?=6A6!7 1@176A
%77! 8%=@ B?!49%@ 6J6->7?56 4?=6-7:= OLE F?94F::4 4=?56 Q6BB6=1:! -?7@ A: NK)LO
A:A6!7>A -%<?7%9 B>!4 974M -G: F%9I6=1 1<5 9?A?764 %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
F%9I6= H:>16C DE A%=@ 17=667 86:=86 7:F!C 8=%!4 -%@A%!
I@)POLL*C -%@A%! ?19%!41
A:!7%!% ;:%=4 :B
?!5617A6!71
%77! 7?A B:J %77:=!6@ 86!6=%9 <: ;:J *L),L) H696!% A7 KON*LP),L)
A:!7%!% ;:%=4 :B
?!5617A6!71
%77! 4%5?4 6F6=C 6J6->7?56
4?=6-7:=
A:!7%!% ;:%=4 :B
?!5617A6!71
A:!7%!% 46<%=7A6!7 :B
-:AA6=-6
*,L) -:9:!?% 4=M +=4 B9::=C
<M:M ;:J *LL)*N
H696!% A7 KON*LPL)*N
A:!7%!% ;:%=4 :B
?!5617A6!71
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
KKK B>996= H696!% A: KON*L
A:!7%!% ;:%=4 :B
?!5617A6!71
%77! 7?A B:J *)K ! 1%!46=1C 7H?=4 B9::= H696!% A7 KON*L
A:=8%! 17%!96@ 16!?:=
B>!4?!8 ?!-M
-7 -:=<:=%7?:! 1@176A ))) 6?8H7H %56!>6 !6F @:=I !@ )LL))
A:=8%! 17%!96@ 16!?:=
B>!4?!8 ?!-M
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
) <?6==6<:!7 <9%2% E7H B9::= ;=::I9@! !@ ))*L)
A:=8%! 17%!96@ 16!?:=
B>!4?!8 ?!-M
%77! %4%A HM 1%5%=616C -6: A:=8%! 17%!96@ 16!?:=
B>!4?!8C ?!-M
)KDK ;=:%4F%@ !6F @:=I !@ )LL+N
A:16=1 A?11:>=? 17%76 6A<9:@661X
=67?=6A6!7
1@176A
%77![ :A%= 4%5?1 <: ;:J *LO Q6BB6=1:! -?7@ A: NK)L*
A7M F?91:! -9: ?? 974M -G: F6176=! %1167
A%!%86A6!7 -:M
%77! Q%A61 FM H?=1-HA%!!C ?? -H?6B 6J6->7?56 :BB?-6= +DK 6%17 -:9:=%4: ;:>965%=4 <%1%46!% -% O))L)
A7M F?91:! -9: ?? 974M -G: A%<961 B?!%!-6 974 %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
<M:M ;:J )LO+ 87C ;:>!4%=@
H%99C -=?-I67 1T>%=6
86:=86 7:F!C 8=%!4 -%@A%!C
-%@A%! ?19%!41
A7M F?91:! -9: 974M %77! Q%A61 FM H?=1-HA%!!C ?? -H?6B 6J6->7?56 :BB?-6= -G: F6176=! %1167
A%!%86A6!7 -:M
+DK 6%17 -:9:=%4: ;:>965%=4 <%1%46!% -% O))L)
A7M F?91:! -9: 974M -G: F6176=! %1167
A%!%86A6!7 -:
%77[ -:=<:=%76 968%9P I?A H?99 )LL ?!7=!79 4=?56 ;%97?A:=6 A4 *)*L*
A>!86= 7:9961 R :91:! 99< %77![ A%=- 4F:=I1@ +KK 1:>7H 8=%!4 %56!>6 +K7H B9::= 9:1 %!86961 -% OLLE)
A>!86=C 7:9961 R :91:!C 99< %77! !?-H:9%1 4 B=%A KNL A?11?:! 17C *E7H B9 1%! B=%!-?1-: -% O,)LK
A>2?!?-H R -: ?6 974 BG7 %-- :B
6J7 @94 1 9:%! B!4
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
A>2?!?-H R -:M Y?=69%!4Z
9?A?764
A>2?!?-H R -:MC ?!-M ,KL <%=I %56!>6 !6F @:=I !@ )LL**
A>2?!?-H R -: ?6 974 BG7 %-- :B
6J7 @94 1 9:%! B!4
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
A>2?!?-H R -:M Y?=69%!4Z
9?A?764
;6%>J 9%!6 H:>16C A6=-6=
17=667
4>;9?! * ?=69%!4
A>2?!?-H R -: ?6 974 BG7 %-- :B
6J7 @94 1 9:%! B!4
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
++ 1?= Q:H! =:86=1:!1 T>%@ 9:>8H;:@ =?!8 =4M 4>;9?! * ?=69%!4
!%1H <:?!7 -9: %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
DK A6==?:! 1T>%=6 4>;9?! * ?=69%!4
!%1H <:?!7 -9: -G: 1%!I%7@ %45?1:=1 99- %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
*LL -9%=6!4:! 17=667 ;:17:! A% L*))N
!%1H <:?!7 -9: -G: 1%!I%7@ %45?1:=1 99- %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
KOL A%4?1:! %56!>6 ,*!4 B9::= !6F @:=I !@ )LL**
!%1H <:?!7 -9: %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
I?9A:=6 H:>16C +=4 B9::= <%=I 9%!6 1<6!-6= 4:-IC 4>;9?! )C
?=69%!4
!%7?:!%9 -?7@ ;%!I %77! 46A-H%I F?99?%AC -6: <!- !%7?:!%9 ;%!I :!6 <!- <9%2% *,O B?B7H %56!>6 <?771;>=8H <% )K***P*ELE
<"U$ +N VW N*
09-50026-mg Doc 13832 Filed 01/23/17 Entered 01/23/17 21:14:01 Main Document Pg 62 of 95
!"#$ %&&'$(() %&&'$((* %&&'$((+ %&&'$((, -./0 1/"/$ 2.3
!6>;6=86= ;6=A%! H?8H @?694
17=%768?61 B>!4
%77! =:;6=7 Q:H! -:!7? -6: R <=61?46!7 !6>;6=86= ;6=A%!
A%!%86A6!7 99-
NLK 7H?=4 %56!>6C *!4 B9::= !@ !@ )L)KDPL)DL
!6>;6=86= ;6=A%! H?8H @?694
17=%768?61 B>!4
!6>;6=86= ;6=A%!
A%!%86A6!7 99-
-:=<:=%7?:! 16=5?-6
-:A<%!@
DL 17%76 17=667 %9;%!@ !@ )**LEP*K,+
!6>;6=86= ;6=A%! ?!-:A6
B>!41
!6>;6=86= ;6=A%! H?8H
?!-:A6 ;:!4 B>!4
%77! Q:16<H 5M %A%7:C -?:C
16!?:= A%!%86A6!7
!6>;6=86= ;6=A%! ?!-M NLK 7H?=4 %56!>6C ,)17 B9::= !@ !@ )L)KDP+NOD
!6>;6=86= ;6=A%! ?!-:A6
:<<:=7>!?7@ B>!4C ?!-M
%77! =:;6=7 -:!7? -H?6B 6J6->7?56 :BB?-6= !6>;6=86= ;6=A%! H?8H @?694
17=%768?61 B>!4 ?!-M
NLK 7H?=4 %56!>6 !6F @:=I !@ )L)KD
!6>;6=86= ;6=A%! ?!-:A6
:<<:=7>!?7@ B>!4C ?!-M
-G: !6>;6=86= ;6=A%! H?8H
@?694
17=%768?61 B>!4 ?!-M -:=<:=%7?:! 16=5?-6
-:A<%!@
DL 17%76 17=667 %9;%!@ !@ )**LEP*K,+
!6F @:=I 9?B6 ?!1>=%!-6
-:A<%!@
8>%=%!7664 <=:4>-71 %77! 4=6F 64F%=4 9%F7:!C
-6:
K) A%4?1:! %56!>6 !6F @:=I !@ )LL)L
!6F @:=I 9?B6 ?!1>=%!-6
-:A<%!@
8>%=%!7664 <=:4>-71 -G: !6F @:=I 9?B6 ?!5617A6!7
A%!%86A6!7 99-
-7 -:=<:=%7?:! 1@176A )) 6?8H7H %56!>6 !6F @:=I !@ )LL))
!6F @:=I 9?B6 ?!1>=%!-6
-:A<%!@
8>%=%!7664 <=:4>-71 %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
O F617 KE7H 17=667 ++ B9::= !6F @:=I !@ )LL)O
!6F @:=I 9?B6 ?!1>=%!-6
-:A<%!@
Y8>%=%!7664 <=:4>-71Z %77! 4=6F 64F%=4 9%F7:!C
-6:
K) A%4?1:! %56!>6 !6F @:=I !@ )LL)L
!6F @:=I 9?B6 ?!1>=%!-6
-:A<%!@
Y8>%=%!7664 <=:4>-71Z -G: !6F @:=I 9?B6 ?!5617A6!7
A%!%86A6!7 99-
-7 -:=<:=%7?:! 1@176A )) 6?8H7H %56!>6 !6F @:=I !@ )LL))
!6F @:=I 9?B6 ?!1>=%!-6
-:A<%!@
Y8>%=%!7664 <=:4>-71Z %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
O F617 KE7H 17=667 ++ B9::= !6F @:=I !@ )LL)O
!6F @:=I 9?B6 ?!1>=%!-6
-:A<%!@ 8<
<:=7%;96 %9<H% %77! 4=6F 64F%=4 9%F7:!C
-6:
K) A%4?1:! %56!>6 !6F @:=I !@ )LL)L
!6F @:=I 9?B6 ?!1>=%!-6
-:A<%!@ 8<
<:=7%;96 %9<H% -G: !6F @:=I 9?B6 ?!5617A6!7
A%!%86A6!7 99-
-7 -:=<:=%7?:! 1@176A )) 6?8H7H %56!>6 !6F @:=I !@ )LL))
!6F @:=I 9?B6 ?!1>=%!-6
-:A<%!@ 8<
<:=7%;96 %9<H% %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
O F617 KE7H 17=667 ++ B9::= !6F @:=I !@ )LL)O
!6F @:=I 9?B6 ?!1>=%!-6
-:A<%!@ 8<
<:=7%;96 %9<H% %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
, !6F @:=I <9%2% !6F @:=I !@ )LLL,
!6FB9667 %1167 A%!%86A6!7 %77![ <%7=?-I B96A?!8 )LL <6%=9 17=667 H%=7B:=4 -7 LN)L+
:%I H?99 -= :<< B?! 974M %77! 896!! =M %>8>17 -H?6B 6J6->7?56 :BB?-6= :%I H?99 %45?1:=1C 9M<M ))), %56!>6 :B 7H6 %A6=?-%1C
*E7H B9
!6F @:=I !@ )LL+N
:%I H?99 -=64?7 :<<:=7>!?7?61
A%176= B>!4C 974M
%77! 896!! =M %>8>17 -H?6B 6J6->7?56 :BB?-6= :%I H?99 %45?1:=1C 9M<M ))), %56!>6 :B 7H6 %A6=?-%1C
*E7H B9
!6F @:=I !@ )LL+N
:%I H?99 -=64?7 :<<:=7>!?7?61
A%176= B>!4C 974M
-G: ?!76=7=>17 1<5 Y-%@A%!Z
974
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
*)OL 698?! %56!>6 86:=86 7:F!C I@)POLLKC
-%@A%! ?19%!41
:%I H?99 -=64?7 <%=7!6=1 ?? 974M %77! 896!! =M %>8>17 -H?6B 6J6->7?56 :BB?-6= :%I H?99 %45?1:=1C 9M<M ))), %56!>6 :B 7H6 %A6=?-%1C
*E7H B9
!6F @:=I !@ )LL+N
:%I H?99 -=64?7 <%=7!6=1 ??? 974M %77! 896!! =M %>8>17 -H?6B 6J6->7?56 :BB?-6= :%I H?99 %45?1:=1C 9M<M ))), %56!>6 :B 7H6 %A6=?-%1C
*E7H B9
!6F @:=I !@ )LL+N
:%I H?99 -=64?7 <%=7!6=1 ?5 974M %77! 896!! =M %>8>17 -H?6B 6J6->7?56 :BB?-6= :%I H?99 %45?1:=1C 9M<M ))), %56!>6 :B 7H6 %A6=?-%1C
*E7H B9
!6F @:=I !@ )LL+N
:%I H?99 -=64?7 <%=7!6=1 5 974M %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
:%I H?99 -=64?7 <7!=1 5C 974 -G:
A%<961 B?! 974
<: ;:J )LO+87 ;:>!4%=@ H%99C
-=?-I67 1T
86:=86 7:F!C 8=%!4 -%@A%!
-%@A%! ?19%!41
:%I H?99 -=64?7 <%=7!6=1 5 974M %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
:%I H?99 %45?1:=1C 9M<M ))), %56!>6 :B 7H6 %A6=?-%1C
*E7H B9
!6F @:=I !@ )LL+N
:%I7=66 P ;?99 R A69?!4% 8%761
B:>!4%7?:! 7=>17
%77! 86!6=%9 -:>!169 *+NK -%=?99:! <:?!7 I?=I9%!4 F% ODL++
<"U$ +E VW N*
09-50026-mg Doc 13832 Filed 01/23/17 Entered 01/23/17 21:14:01 Main Document Pg 63 of 95
!"#$ %&&'$(() %&&'$((* %&&'$((+ %&&'$((, -./0 1/"/$ 2.3
:%I7=66 P ;?99 R A69?!4% 8%761
B:>!4%7?:! 7=>17
-G: :%I7=66 -%<?7%9
A%!%86A6!7C 9M<M
-:=<:=%7?:! 16=5?-6
-:A<%!@
DL 17%76 17=667 %9;%!@ !@ )**LEP*K,+
:%I7=66 P ;?99 R A69?!4% 8%761
B:>!4%7?:! 7=>17
-G: :%I7=66 -%<?7%9
A%!%86A6!7C 9M<M
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
+++ 1:>7H 8=%!4 %56MC *D7H
B9::=
9:1 %!86961 -% OLLE)
:%I7=66 P ;?99 R A69?!4% 8%761
B:>!4%7?:! 7=>17
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
))E 6%17 -:9:=%4: ;954M I?=I9%!4 F% O))LK
:%I7=66 P 6A<9:@661 =67?=6A6!7
B>!4
:B 7H6 -?7@ :B 4%99%1 -%=9% 4M ;=6F6=C -H%?=A%! :B
;:%=4 :B 7=>17661
6A<9:@661X =67?=6A6!7 B>!4 :B
4%99%1
NLL !:=7H <6%=9 17=667C 1>?76
*,KLC 1:>7H 7:F6=
4%99%1 7J EK*L)PE,)K
:%I7=66 P 6A<9:@661 =67?=6A6!7
B>!4
:B 7H6 -?7@ :B 4%99%1 -G: :%I7=66 -%<?7%9
A%!%86A6!7C 9M<M
-:=<:=%7?:! 16=5?-6
-:A<%!@
DL 17%76 17=667 %9;%!@ !@ )**LEP*K,+
:%I7=66 P 6A<9:@661 =67?=6A6!7
B>!4
:B 7H6 -?7@ :B 4%99%1 -G: :%I7=66 -%<?7%9
A%!%86A6!7C 9M<M
%77![ <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
+++ 1:>7H 8=%!4 %56MC *D7H
B9::=
9:1 %!86961 -% OLLE)
:%I7=66 P 6A<9:@661 =67?=6A6!7
B>!4
:B 7H6 -?7@ :B 4%99%1 %77! -H6=@9 %917:!C 6J6->7?56
4?=6-7:=
6A<9:@661X =67?=6A6!7 B>!4 :B
4%99%1
NLL !M <6%=9 17MC 1>?76 *,KL 4%99%1 7J EK*L)
:%I7=66 P 6A<9:@661 =67?=6A6!7
B>!4
:B 7H6 -?7@ :B 4%99%1 %77! A?I6 =%F9?!81C A%@:= -?7@ :B 4%99%1 )KLL A%=?99% 17=667 4%99%1 7J EK*L)PLN+O
:%I7=66 P H?8H @?694 B>!4 ??C 9< %77! Q%@ F?!7=:; -H?6B 6J6->7?56 :BB?-6= -G: :%I7=66 -%<?7%9
A%!%86A6!7C 9M<M
+++ 1:>7H 8=%!4 %56MC *D7H
B9::=
9:1 %!86961 -% OLLE)
:%I7=66 P H?8H @?694 B>!4 ??C 9< -G: :%I7=66 -%<?7%9
A%!%86A6!7C 9M<M
-:=<:=%7?:! 16=5?-6
-:A<%!@
DL 17%76 17=667 %9;%!@ !@ )**LEP*K,+
:%I7=66 P H?8H @?694 9< %77! Q%@ F?!7=:; -H?6B 6J6->7?56 :BB?-6= -G: :%I7=66 -%<?7%9
A%!%86A6!7C 9M<M
+++ 1:>7H 8=%!4 %56MC *D7H
B9::=
9:1 %!86961 -% OLLE)
:%I7=66 P H?8H @?694 9< -G: :%I7=66 -%<?7%9
A%!%86A6!7C 9M<M
-:=<:=%7?:! 16=5?-6
-:A<%!@
DL 17%76 17=667 %9;%!@ !@ )**LEP*K,+
:%I7=66 P H?8H @?694 <9>1 B>!4
9<
-:=<:=%7?:! 16=5?-6
-:A<%!@
*E)) -6!76=5?996 =4 1>?76 ,LL F?9A?!87:! 46 )ODLD
:%I7=66 P H?8H @?694 <9>1 B>!4
9<
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
+++ 1:>7H 8=%!4 %56MC *D7H
B9::=
9:1 %!86961 -% OLLE)
:%I7=66 P ?!7=!79 <%<6= -:M -:AA?!8964 ?!5617A6!7
8=:>< 7=>17
%77! Q:H! 5M B%=%-?C -H?6B
6J6->7?56 :BB?-6=
?!7=!79 <%<6= -:A<%!@ N,LL <:<9%= %56!>6 A6A<H?1 7! +D)OE
:%I7=66 P ?!7=!79 <%<6= -:M -:AA?!8964 ?!5617A6!7
8=:>< 7=>17
-G: :%I7=66 -%<?7%9
A%!%86A6!7C 9M<M
-:=<:=%7?:! 16=5?-6
-:A<%!@
DL 17%76 17=667 %9;%!@ !@ )**LEP*K,+
:%I7=66 P ?!7=!79 <%<6= -:M -:AA?!8964 ?!5617A6!7
8=:>< 7=>17
-G: :%I7=66 -%<?7%9
A%!%86A6!7C 9M<M
%77![ <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
+++ 1:>7H 8=%!4 %56MC *D7H
B9::=
9:1 %!86961 -% OLLE)
:%I7=66 P <%-?B?- 8%1 R
696-7=?- <:17 =67 A64
7=>17 B:= !:!PA87 6A< R
=67?=661
9?!4% @M HM -H6!8C 5<C -:=<
8:5MC -:=< 16-@
<8R6 -:=<:=%7?:! EE ;6%96 17 +*!4 B9 1%! B=%!-?1-: -% O,)LK
:%I7=66 P <%-?B?- 8%1 R
696-7=?- <:17 =67 A64
7=>17 B:= !:!PA87 6A< R
=67?=661
-G: :%I7=66 -%<?7%9
A%!%86A6!7C 9M<M
-:=<:=%7?:! 16=5?-6
-:A<%!@
DL 17%76 17=667 %9;%!@ !@ )**LEP*K,+
:%I7=66 P <%-?B?- 8%1 R
696-7=?- <:17 =67 A64
7=>17 B:= !:!PA87 6A< R
=67?=661
-G: :%I7=66 -%<?7%9
A%!%86A6!7C 9M<M
%77![ <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
+++ 1:>7H 8=%!4 %56MC *D7H
B9::=
9:1 %!86961 -% OLLE)
:%I7=66 P 1%! 4?68: -:>!7@ 6A<9:@661 =67?=6A6!7
%11:-?%7?:!
%77! 4%5?4 F61-:6C ?!76=?A
-H?6B 6J6->7?56 :BB?-6=
**EK =?: ;:!?7: F%@C 1>?76 *LL 1%! 4?68: -% O*)LDP)NDK
:%I7=66 P 1%! 4?68: -:>!7@ 6A<9:@661 =67?=6A6!7
%11:-?%7?:!
-G: :%I7=66 -%<?7%9
A%!%86A6!7C 9M<M
-:=<:=%7?:! 16=5?-6
-:A<%!@
DL 17%76 17=667 %9;%!@ !@ )**LEP*K,+
:%I7=66 P 1%! 4?68: -:>!7@ 6A<9:@661 =67?=6A6!7
%11:-?%7?:!
-G: :%I7=66 -%<?7%9
A%!%86A6!7C 9M<M
%77![ <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
+++ 1:>7H 8=%!4 %56MC *D7H
B9::=
9:1 %!86961 -% OLLE)
:%I7=66 P 7A-7 9-- %77! F%==6! ; F?99?%A1:! %86!7 B:= 16=5?-6 :B <=:-611 +KL F -:9:=%4: ;954 176 *+L <%1%46!% -% O))LK
:%I7=66 P 7A-7 9-- -G: :%I7=66 -%<?7%9
A%!%86A6!7C 9M<M
-:=<:=%7?:! 16=5?-6
-:A<%!@
DL 17%76 17=667 %9;%!@ !@ )**LEP*K,+
<"U$ +D VW N*
09-50026-mg Doc 13832 Filed 01/23/17 Entered 01/23/17 21:14:01 Main Document Pg 64 of 95
!"#$ %&&'$(() %&&'$((* %&&'$((+ %&&'$((, -./0 1/"/$ 2.3
:%I7=66 P 7A-7 9-- -G: :%I7=66 -%<?7%9
A%!%86A6!7C 9M<M
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
+++ 1:>7H 8=%!4 %56MC *D7H
B9::=
9:1 %!86961 -% OLLE)
:%I7=66 -%<?7%9 A%!%86A6!7 -6!7=%9 17%761 16 %!4 1F %=6%
<6!1 <9%!
7H:A%1 -M !@H%!C 6J6->7?56
4?=6-7:=
O+EE F617 H?88?!1 =:%4 =:16A:!7 ?9 NLL)DP,O+D
:%I7=66 -%<?7%9 A%!%86A6!7 -6!7=%9 17%761 16 %!4 1F %=6%
<6!1 <9%!
-G: :%I7=66 -%<?7%9
A%!%86A6!7C 9M<M
-:=<:=%7?:! 16=5?-6
-:A<%!@
DL 17%76 17=667 %9;%!@ !@ )**LEP*K,+
:%I7=66 -%<?7%9 A%!%86A6!7 -6!7=%9 17%761 16 %!4 1F %=6%
<6!1 <9%!
-G: :%I7=66 -%<?7%9
A%!%86A6!7C 9M<M
%77![ <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
+++ 1:>7H 8=%!4 %56MC *D7H
B9::=
9:1 %!86961 -% OLLE)
:%I7=66 -%<?7%9 A%!%86A6!7
H?8H @?694 7=>17
%77! Q%@ F?!7=:; -H?6B 6J6->7?56 :BB?-6= -G: :%I7=66 -%<?7%9
A%!%86A6!7C 9M<M
+++ 1:>7H 8=%!4 %56MC *D7H
B9::=
9:1 %!86961 -% OLLE)
:%I7=66 -%<?7%9 A%!%86A6!7
H?8H @?694 7=>17
-G: :%I7=66 -%<?7%9
A%!%86A6!7C 9M<M
-:=<:=%7?:! 16=5?-6
-:A<%!@
DL 17%76 17=667 %9;%!@ !@ )**LEP*K,+
:%I7=66 86!6=%9 ;:%=4 :B
<6!1?:! R H6%97H ;6!6B?71
:B 7H6 >! A67H:4?17 -H>=-H
?!-M
-G: :%I7=66 -%<?7%9
A%!%86A6!7C 9M<M
-:=<:=%7?:! 16=5?-6
-:A<%!@
DL 17%76 17=667 %9;%!@ !@ )**LEP*K,+
:%I7=66 86!6=%9 ;:%=4 :B
<6!1?:! R H6%97H ;6!6B?71
:B 7H6 >! A67H:4?17 -H>=-H
?!-M
%77! ;%=;%=% ;:?868=%?!C 86!
16-@ R -6:
86! ;:%=4 :B <!1! R H6%97H
;6!6B?71 :B 7H6
>! A67H:4?17 -H>=-HC )OL)
-H617!>7 %56!>6
896!5?6F ?9 NLL*KP)NL,
:%I7=66 86!6=%9 ;:%=4 :B
<6!1?:! R H6%97H ;6!6B?71
:B 7H6 >! A67H:4?17 -H>=-H
?!-M
-G: :%I7=66 -%<?7%9
A%!%86A6!7C 9M<M
%77![ <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
+++ 1:>7H 8=%!4 %56MC *D7H
B9::=
9:1 %!86961 -% OLLE)
:%I7=66 9:%! B>!4 *J
Y-%@A%!ZC 9M<M
?!76=7=>17 -:=<:=%76 16=5?-61
Y-%@A%!Z 9?A?764
)OL 698?! %56!>6C 86:=86
7:F!
8=%!4 -%@A%! I@9POLLKC
-%@A%! ?19%!41
:%I7=66 9:%! B>!4 *J
Y-%@A%!ZC 9<
%77! Q%@ F?!7=:; -H?6B 6J6->7?56 :BB?-6= -G: :%I7=66 -%<?7%9
A%!%86A6!7C 9M<M
+++ 1:>7H 8=%!4 %56MC *D7H
B9::=
9:1 %!86961 -% OLLE)
:%I7=66 9:%! B>!4 *J
Y-%@A%!ZC 9<
-G: :%I7=66 -%<?7%9
A%!%86A6!7C 9M<M
-:=<:=%7?:! 16=5?-6
-:A<%!@
DL 17%76 17=667 %9;%!@ !@ )**LEP*K,+
:%I7=66 9:%! B>!4C 9< %77! Q%@ F?!7=:; -H?6B 6J6->7?56 :BB?-6= -G: :%I7=66 -%<?7%9
A%!%86A6!7C 9M<M
+++ 1:>7H 8=%!4 %56MC *D7H
B9::=
9:1 %!86961 -% OLLE)
:%I7=66 9:%! B>!4C 9< -G: :%I7=66 -%<?7%9
A%!%86A6!7C 9M<M
-:=<:=%7?:! 16=5?-6
-:A<%!@
DL 17%76 17=667 %9;%!@ !@ )**LEP*K,+
:%I7=66 16!?:= 9:%! B>!4C 9< %77! Q%@ F?!7=:; -H?6B 6J6->7?56 :BB?-6= +++ 1:>7H 8=%!4 %56MC *D7H
B9::=
9:1 %!86961 -% OLLE)
:%I7=66 16!?:= 9:%! B>!4C 9< -:=<:=%7?:! 16=5?-6 -: *E)) -6!76=5?996 =4 1>?76 ,LL F?9A?!87:! 46 )ODLD
:%I7=66P4%?A96=-H=@196=
-:=<:=%7?:!
A%176= =67?=6A6!7 7=>17 -G: :%I7=66 -%<?7%9
A%!%86A6!7C 9M<M
-:=<:=%7?:! 16=5?-6
-:A<%!@
DL 17%76 17=667 %9;%!@ !@ )**LEP*K,+
:%I7=66P4%?A96=-H=@196=
-:=<:=%7?:!
A%176= =67?=6A6!7 7=>17 -G: :%I7=66 -%<?7%9
A%!%86A6!7C 9M<M
%77![ <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
+++ 1:>7H 8=%!4 %56MC *D7H
B9::=
9:1 %!86961 -% OLLE)
:%I7=66P4%?A96=-H=@196=
-:=<:=%7?:!
A%176= =67?=6A6!7 7=>17 %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
)LLL -H=@196= 4=?56 %>;>=! H?991 A? ,D+*NP*ENN
:-A P ?;A <6=1:!%9 <6!1?:!
<9%!
%77! 5?=8?!?% AM =:A677@ -H?6B 6J6->7?56 :BB?-6= ?;A -:=<:=%7?:! ) !6F :=-H%=4 =:%4 %=A:!I !@ )LKL,P)E**
:-A P ?;A <6=1:!%9 <6!1?:!
<9%!
-G: :%I7=66 -%<?7%9
A%!%86A6!7C 9M<M
-:=<:=%7?:! 16=5?-6
-:A<%!@
DL 17%76 17=667 %9;%!@ !@ )**LEP*K,+
:-A P ?;A <6=1:!%9 <6!1?:!
<9%!
-G: :%I7=66 -%<?7%9
A%!%86A6!7C 9M<M
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
+++ 1:>7H 8=%!4 %56MC *D7H
B9::=
9:1 %!86961 -% OLLE)
:-AP<%-?B?- 8%1 R 696-7=?-
-:A<%!@
=67?=6A6!7 <9%! A%176= 7=>17 9?!4% @M HM -H6!8C 5<C -:=<
8:5MC -:=< 16-@
<8R6 -:=<:=%7?:! EE ;6%96 17 +*!4 B9 1%! B=%!-?1-: -% O,)LK
:-AP<%-?B?- 8%1 R 696-7=?-
-:A<%!@
=67?=6A6!7 <9%! A%176= 7=>17 -G: :%I7=66 -%<?7%9
A%!%86A6!7C 9M<M
-:=<:=%7?:! 16=5?-6
-:A<%!@
DL 17%76 17=667 %9;%!@ !@ )**LEP*K,+
:-AP<%-?B?- 8%1 R 696-7=?-
-:A<%!@
=67?=6A6!7 <9%! A%176= 7=>17 -G: :%I7=66 -%<?7%9
A%!%86A6!7C 9M<M
%77![ <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
+++ 1:>7H 8=%!4 %56MC *D7H
B9::=
9:1 %!86961 -% OLLE)
<"U$ +O VW N*
09-50026-mg Doc 13832 Filed 01/23/17 Entered 01/23/17 21:14:01 Main Document Pg 65 of 95
!"#$ %&&'$(() %&&'$((* %&&'$((+ %&&'$((, -./0 1/"/$ 2.3
:-AP7H6 17%76 76%-H6=1
=67?=6A6!7 1@176A :B :H?:
%77! 4%A:! BM %1;>=@ 6J6->7?56 4?=6-7:= *EK 6%17 ;=:%4 17=667 -:9>A;>1 :H ,+*)KP+EE)
:-AP7H6 17%76 76%-H6=1
=67?=6A6!7 1@176A :B :H?:
-G: :%I7=66 -%<?7%9
A%!%86A6!7C 9M<M
-:=<:=%7?:! 16=5?-6
-:A<%!@
DL 17%76 17=667 %9;%!@ !@ )**LEP*K,+
:-AP7H6 17%76 76%-H6=1
=67?=6A6!7 1@176A :B :H?:
-G: :%I7=66 -%<?7%9
A%!%86A6!7C 9M<M
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
+++ 1:>7H 8=%!4 %56MC *D7H
B9::=
9:1 %!86961 -% OLLE)
:-APFA <::9 H?8H @?694 B?J64
?!76=617 7=>17
-G: :%I7=66 -%<?7%9
A%!%86A6!7C 9M<M
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
+++ 1:>7H 8=%!4 %56MC *D7H
B9::=
9:1 %!86961 -% OLLE)
:-7%8:! ?!5617A6!7 <%=7!6=1
J? 974M
-G: A%<961 B?!%!-6 16=5?-61 %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
<: ;:J )LO+ T>66!18%76 H:>16
1 -H>=-H 17
86:=86 7:F! I@)P))L*C
-%@A%! ?19%!41
:6176==6?-H?1-H6 5:9I1;%!I6!
%8
%77![ 176<H%! I:=6! -H?6B 6J6->7?56 :BB?-6= I:9?!8%116 ),P)N 5?6!!%C 5?6!!% )LOL %>17=?%
:BB?-6 :B 7H6 ?!4?%!% %77:=!6@
86!6=%9
17%76 :B ?!4?%!% A%Q:= A:561 %77![ Q:%! ;9%-IF699 +L* FM F%1H?!87:! 17=667 ?M8M-M1M P B?B7H B9::= ?!4?%!%<:9?1 ?! ,N*L,
:BB?-6 :B 7H6 ?!4?%!% %77:=!6@
86!6=%9
17%76 :B ?!4?%!% A%Q:= A:561 %77![ H6%7H6= -=:-I677 +L* FM F%1H?!87:! 17=667 ?M8M-M1M P B?B7H B9::= ?!4?%!%<:9?1 ?! ,N*L,
:BB?-6 :B 7H6 ?!4?%!% %77:=!6@
86!6=%9
17%76 :B ?!4?%!% A%Q:= A:561 %77![ A%=?-69 1I?961 +L* FM F%1H?!87:! 17=667 ?M8M-M1M P B?B7H B9::= ?!4?%!%<:9?1 ?! ,N*L,
:H% -%< 1:9 B?! :B1H:=6 974M %77! 896!! =M %>8>17 -H?6B 6J6->7?56 :BB?-6= :%I H?99 %45?1:=1C 9M<M ))), %56!>6 :B 7H6 %A6=?-%1C
*E7H B9
!6F @:=I !@ )LL+N
:H% -%< 1:9 B?! :!1H:=6 974M %77! 896!! =M %>8>17 -H?6B 6J6->7?56 :BB?-6= :%I H?99 %45?1:=1C 9M<M ))), %56!>6 :B 7H6 %A6=?-%1C
*E7H B9
!6F @:=I !@ )LL+N
:H% <%=I %56!>6 -9: ? 974M %77! 896!! =M %>8>17 -H?6B 6J6->7?56 :BB?-6= :%I H?99 %45?1:=1C 9M<M ))), %56!>6 :B 7H6 %A6=?-%1C
*E7H B9
!6F @:=I !@ )LL+N
:H?: <:9?-6 R B?=6 <6!1?:!
B>!4
%77! A%=@ ;67H B:96@ 86!6=%9 -:>!169 ),L 6%17 7:F! 17=667 -:9>A;>1 :H ,+*)K
:H?: <:9?-6 R B?=6 <6!1?:!
B>!4
%77! Q:H! Q 8%99%8H6= 6J6->7?56 4?=6-7:= ),L 6%17 7:F! 17=667 -:9>A;>1 :H ,+*)K
:H?: <:9?-6 R B?=6 <6!1?:!
B>!4
%77! 1-:77 H>BB -H%?= ;:%=4 :B 7=>17661 ),L 6%17 7:F! 17=667 -:9>A;>1 :H ,+*)K
:H?: <:9?-6 R B?=6 <6!1?:!
B>!4
%77! A?I6 46F?!6 :H?: %77:=!6@ 86!6=%9 +L 6M ;=:%4 17MC ),7H B9::= -:9>A;>1 :H ,+*)K
:H1B B?!%!-?!8 974M %77! 896!! =M %>8>17 -H?6B 6J6->7?56 :BB?-6= :%I H?99 %45?1:=1C 9M<M ))), %56!>6 :B 7H6 %A6=?-%1C
*E7H B9
!6F @:=I !@ )LL+N
:H1B ?? B?!%!-?!8 974M %77! 896!! =M %>8>17 -H?6B 6J6->7?56 :BB?-6= :%I H?99 %45?1:=1C 9M<M ))), %56!>6 :B 7H6 %A6=?-%1C
*E7H B9
!6F @:=I !@ )LL+N
:!6J -=64?7 <%=7!6=1C 99- :!6J 46;7 :<<:=7>!?7@ B4 974M %77![ 17656 8>7A%! O)L 1@95%! %56C 176 )LL 6!896F::4 -9?BB1 !Q LEN+*
:!6J 46;7 :<<:=7>!?7@ B4 974M %77! 17656! 8>7A%! 86!6=%9 -:>!169 R -H?6B
-:A<9?%!-6 :BB?-6=
:!6J -=64?7 <%=7!6=1 99- O)L 1@95%! %56C 176 )LL 6!896F::4 -9?BB1 !Q LEN+*
:F B>!4?!8 974M 5:9>!7%=@ 9?T>?4%7:= )OL 698?! %56!>6C 86:=86
7:F!
8=%!4 -%@A%! I@)POLLKC
-%@A%! ?19%!41
:F B>!4?!8 974M %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
F%9I6= H:>16 DE A%=@ 17=667 8=%!4 -%@A%! I@)POLL*C
86:=86 7:F!C -%@A%! ?19%!41
<6!1?:! ?!5 -:AA?7766 :B 8A
B:= 8A
6A<9:@661 4:A617?- 8=:><
<6!1?:! 7=>17
1-:77 -:>7: B?469?7@ ?!5 ?!17 15-1 -:A<%!@C
?!-M
*,K 1>AA6= 17 ;:17:! A% L**)L
<6!1?:! ?!5 -:AA?7766 :B 8A
B:= 8A
6A<9:@661 4:A617?- 8=:><
<6!1?:! 7=>17
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
D* 465:!1H?=6 17=667 ;:17:! A% L*)LO
<H:6!?J 6486 16=?61 B>!4
<H:6!?J
A>97? 16-7:= 1H:=7 76=A ;:!4
16=?61
7H6 <H:6!?J -:A<%!?61C ?!-M -G: 7H6 -:=<:=%7?:! 7=>17
-:A<%!@
)*LO !M :=%!86 17=667 F?9A?!87:! 46 )ODL)
<"U$ ,L VW N*
09-50026-mg Doc 13832 Filed 01/23/17 Entered 01/23/17 21:14:01 Main Document Pg 66 of 95
!"#$ %&&'$(() %&&'$((* %&&'$((+ %&&'$((, -./0 1/"/$ 2.3
<H:6!?J 6486 16=?61 B>!4
<H:6!?J
A>97? 16-7:= 1H:=7 76=A ;:!4
16=?61
%77! Q%A61 4M F6H=C <=61?46!7 R
-6:
:!6 %A6=?-%! =:F H%=7B:=4 -7 LN))K
<H:6!?J 6486 16=?61 B>!4
<H:6!?J A>97? 16-7:=
1H:=7 76=A ;:!4 16=?61 %77! I65?! Q:H! -%==C 5< %!4
-H?6B 968%9 :BB?-6=
5?=7>1 ?!5617A6!7 <%=7!6=1C ?!- )LL <6%=9 17=667 O7H B9::= H%=7B:=4 -7 LN)L+
<H:6!?J 6486 16=?61 B>!4
<H:6!?J A>97? 16-7:=
1H:=7 76=A ;:!4 16=?61 %77! <%7=?-I 4M B96A?!8 !6FB9667 %1167 A%!%86A6!7 )LL <6%=9 17=667 O7H B9::= H%=7B:=4 -7 LN)L+
<H:6!?J 6486 1=1PA>97?P16-7:=
B?J64 ?!-:A6 16=?61
%77! I65?! Q:H! -%==C 5< %!4
-H?6B 968%9 :BB?-6=
5?=7>1 ?!5617A6!7 <%=7!6=1C ?!- )LL <6%=9 17=667 O7H B9::= H%=7B:=4 -7 LN)L+
<H:6!?J 6486 1=1PA>97?P16-7:=
B?J64 ?!-:A6 16=?61
%77! <%7=?-I 4M B96A?!8 !6FB9667 %1167 A%!%86A6!7 )LL <6%=9 17=667 O7H B9::= H%=7B:=4 -7 LN)L+
<H:6!?J 6486 1=1PA>97?P16-7:=
B?J64 ?!-:A6 16=?61
7H6 <H:6!?J -:A<%!?61C ?!-M -G: 7H6 -:=<:=%7?:! 7=>17
-:A<%!@
)*LO !M :=%!86 17=667 F?9A?!87:! 46 )ODL)
<H:6!?J 6486 1=1PA>97?P16-7:=
B?J64 ?!-:A6 16=?61
%77! Q%A61 4M F6H=C <=61?46!7 R
-6:
:!6 %A6=?-%! =:F H%=7B:=4 -7 LN))K
<?A-: P 17 9>I6 6<?1-:<%9
H6%97H 1@176A B:>!4%7?:!
%77! 696!% AM A%=I1 <=61?46!7 %!4 -H?6B 6J6->7?56
:BB?-6=
6<?1-:<%9 H6%97H B:>!4%7?:! KLL B%!!?! 17M 1>?76 +LL H:>17:! 7J EELL*
<?A-: P 17 9>I6 6<?1-:<%9
H6%97H 1@176A B:>!4%7?:!
%77! 4:>89%1 A?-H%69 H:486C
-6:
<?A-: NKL !6F<:=7 -6!76= 4=?56 !6F<:=7 ;6%-H -% O*NNL
<?A-: ),N,PB=661-%96
16A?-:!4>-7:= ?!-M
=67?=6A6!7 1%5?!81 <%-?B?- ?!5617A6!7
A%!%86A6!7 -:A<%!@ 99-
-G: =68?176=64 %86!7
1:9>7?:!1C ?!-M
OO F%1H?!87:! %56!>6C 1>?76
)LLD
%9;%!@ !@ )**NL
<?A-: ),N,PB=661-%96
16A?-:!4>-7:= ?!-M
=67?=6A6!7 1%5?!81 %77! 4:>89%1 A?-H%69 H:486 -H?6B 6J6->7?56 :BB?-6= NKL !6F<:=7 -6!76= 4=?56 !6F<:=7 ;6%-H -% O*NNL
<?A-: ),N,PB=661-%96
16A?-:!4>-7:= ?!-M
=67?=6A6!7 1%5?!81 %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
B=661-%96 16A?-:!4>-7:= ?!-M NKL) F?99?%A -%!!:! 4=?56
F617
%>17?! 7J EDE+K
<?A-: )N,)P1?6==% <%-?B?-
=61:>=-61
46B?!64 ;6! A17= 7= <%-?B?- ?!5617A6!7
A%!%86A6!7 -:A<%!@ 99-
-G: =68?176=64 %86!7
1:9>7?:!1C ?!-M
OO F%1H?!87:! %56!>6C 1>?76
)LLD
%9;%!@ !@ )**NL
<?A-: )N,)P1?6==% <%-?B?-
=61:>=-61
46B?!64 ;6! A17= 7= %77! 4:>89%1 A?-H%69 H:486 -H?6B 6J6->7?56 :BB?-6= NKL !6F<:=7 -6!76= 4=?56 !6F<:=7 ;6%-H -% O*NNL
<?A-: )N,)P1?6==% <%-?B?-
=61:>=-61
46B?!64 ;6! A17= 7= -G: !5 6!6=8@C ?!-M %77![ <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
N**N F617 1%H%=% %56!>6 9%1 568%1 !5 DO),N
<?A-: B%?=F%@ 9:%! B>!4?!8
-:A<%!@
<%-?B?- ?!5617A6!7
A%!%86A6!7 -:A<%!@ 99-
-G: =68?176=64 %86!7
1:9>7?:!1C ?!-M
OO F%1H?!87:! %56!>6C 1>?76
)LLD
%9;%!@ !@ )**NL
<?A-: B%?=F%@ 9:%! B>!4?!8
-:A<%!@
%77! 4:>89%1 A?-H%69 H:486 -6: NKL !6F<:=7 -6!76= 4=?56 !6F<:=7 ;6%-H -% O*NNL
<?A-: B%?=F%@ 9:%! B>!4?!8
-:A<%!@
-G: B%?=F%@ 9:%! B>!4?!8
Y469%F%=6Z -:=<M
YB?96 !>A;6= O)LOO*EZ 4:!%94 QM <>89?1?C <>89?1? R
%11:-?%761
DKL 9?;=%=@ %56C 1>?76 *L, !6F%=I 46 )OE))
<?A-: B%?=F%@ 9:%! B>!4?!8
-:A<%!@
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
B%?=F%@ 9:%! B>!4?!8
-:A<%!@
-G: A%<961B1 9?A?764C <M:M ;:J
)LO+C ;:>!4%=@ H%99C -=?-I67
1T>%=6
8=%!4 -%@A%!C I@)P))L*C
-%@A%! ?19%!41
<?A-:**,, P 5?=8?!?% =67?=6A6!7
1@176A
<%-?B?- ?!5617A6!7
A%!%86A6!7 -:A<%!@ 99-
-G: =68?176=64 %86!7
1:9>7?:!1C ?!-M
OO F%1H?!87:! %56!>6C 1>?76
)LLD
%9;%!@ !@ )**NL
<?A-:**,, P 5?=8?!?% =67?=6A6!7
1@176A
%77! 4:>89%1 A?-H%69 H:486 -6: NKL !6F<:=7 -6!76= 4=?56 !6F<:=7 ;6%-H -% O*NNL
<?A-:**,, P 5?=8?!?% =67?=6A6!7
1@176A
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
)))) 6M A%?! 17=667 =?-HA:!4 5% *+*)OP+K+)
<?A-:*,ONPB978 =7 ?!- B4 <%-?B?- ?!5617A6!7
A%!%86A6!7 -:A<%!@ 99-
-G: =68?176=64 %86!7
1:9>7?:!1C ?!-M
OO F%1H?!87:! %56!>6C 1>?76
)LLD
%9;%!@ !@ )**NL
<?A-:*,ONPB978 =7 ?!- B4 %77! 4:>89%1 A?-H%69 H:486 -6: NKL !6F<:=7 -6!76= 4=?56 !6F<:=7 ;6%-H -% O*NNL
<?A-:*,ONPB978 =7 ?!- B4 %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
<?A-: ?!-:A6 17=%768@ B>!4 ?? )N++ ;=:%4F%@ !6F @:=I !@ )LL)O
<"U$ ,) VW N*
09-50026-mg Doc 13832 Filed 01/23/17 Entered 01/23/17 21:14:01 Main Document Pg 67 of 95
!"#$ %&&'$(() %&&'$((* %&&'$((+ %&&'$((, -./0 1/"/$ 2.3
<?A-:*,OEPB978 =7 17=7 B4 <%-?B?- ?!5617A6!7
A%!%86A6!7 -:A<%!@ 99-
-G: =68?176=64 %86!7
1:9>7?:!1C ?!-M
OO F%1H?!87:! %56!>6C 1>?76
)LLD
%9;%!@ !@ )**NL
<?A-:*,OEPB978 =7 17=7 B4 %77! 4:>89%1 A?-H%69 H:486 -6: NKL !6F<:=7 -6!76= 4=?56 !6F<:=7 ;6%-H -% O*NNL
<?A-:*,OEPB978 =7 17=7 B4 %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
<?A-: ?!-:A6 17=%768@ B>!4 ?? )N++ ;=:%4F%@ !6F @:=I !@ )LL)O
<?A-:*NL+ P =64 =?56= H@<? 9< <%-?B?- ?!5617A6!7
A%!%86A6!7 -:A<%!@ 99-
-G: =68?176=64 %86!7
1:9>7?:!1C ?!-M
OO F%1H?!87:! %56!>6C 1>?76
)LLD
%9;%!@ !@ )**NL
<?A-:*NL+ P =64 =?56= H@<? 9< %77! 4:>89%1 A?-H%69 H:486 -6: NKL !6F<:=7 -6!76= 4=?56 !6F<:=7 ;6%-H -% O*NNL
<?A-:+D)+ P <?A-: -%@A%!
;%!I 9:%! B>!4
<%-?B?- ?!5617A6!7
A%!%86A6!7 -:A<%!@ 99-
-G: =68?176=64 %86!7
1:9>7?:!1C ?!-M
OO F%1H?!87:! %56!>6C 1>?76
)LLD
%9;%!@ !@ )**NL
<?A-:+D)+ P <?A-: -%@A%!
;%!I 9:%! B>!4
-G: ;=:F! ;=:7H6=1 H%==?A%!
7=>17 -: Y-%@A%!Z 974
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
<: ;:J *++LC ;>776=B?694 H:>16
B:=7 17=667
86:=86 7:F! I@)P))LN
-%@A%! ?19%!41
<?A-:+D)+ P <?A-: -%@A%!
;%!I 9:%! B>!4
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
NKL !6F<:=7 -6!76= 4=?56 !6F<:=7 ;6%-H -% O*NNL
<?A-:,LLP17:-I1 <9>1 1>; B>!4
; 99-
<%-?B?- ?!5617A6!7
A%!%86A6!7 -:A<%!@ 99-
-G: =68?176=64 %86!7
1:9>7?:!1C ?!-M
OO F%1H?!87:! %56!>6C 1>?76
)LLD
%9;%!@ !@ )**NL
<?A-:,LLP17:-I1 <9>1 1>; B>!4
; 99-
%77! 4:>89%1 A?-H%69 H:486 -6: NKL !6F<:=7 -6!76= 4=?56 !6F<:=7 ;6%-H -% O*NNL
<?A-:ND)O <:=7:9% -9: 974M <%-?B?- ?!5617A6!7
A%!%86A6!7 -:A<%!@ 99-
-G: =68?176=64 %86!7
1:9>7?:!1C ?!-M
OO F%1H?!87:! %56!>6C 1>?76
)LLD
%9;%!@ !@ )**NL
<?A-:ND)O <:=7:9% -9: 974M %77! 4:>89%1 A?-H%69 H:486 -6: <?A-: NKL !6F<:=7 -6!76= 4=?56 !6F<:=7 ;6%-H -% O*NNL
<?A-:ND)O <:=7:9% -9: 974M -G: F%9I6=1 1<5 974 %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
F%9I6= H:>16C DE A%=@ 17=667 86:=86 7:F!C 8=%!4 -%@A%!
I@)POLL*C -%@A%! ?19%!41
<?A-:ELLPB4 7:7 =7! B4 <%-?B?- ?!5617A6!7
A%!%86A6!7 -:A<%!@ 99-
-G: =68?176=64 %86!7
1:9>7?:!1C ?!-M
OO F%1H?!87:! %56!>6C 1>?76
)LLD
%9;%!@ !@ )**NL
<?A-:ELLPB4 7:7 =7! B4 %77! 4:>89%1 A?-H%69 H:486 -6: NKL !6F<:=7 -6!76= 4=?56 !6F<:=7 ;6%-H -% O*NNL
<?A-:ELNP<=?5%76 H?8H @?694
<:=7B:9?:
<%-?B?- ?!5617A6!7
A%!%86A6!7 -:A<%!@ 99-
-G: =68?176=64 %86!7
1:9>7?:!1C ?!-M
OO F%1H?!87:! %56!>6C 1>?76
)LLD
%9;%!@ !@ )**NL
<?A-:ELNP<=?5%76 H?8H @?694
<:=7B:9?:
%77! 4:>89%1 A?-H%69 H:486 -6: NKL !6F<:=7 -6!76= 4=?56 !6F<:=7 ;6%-H -% O*NNL
<9>A;6=1 R <?<6B?776=1 !%7?:!%9
<6!1?:! B>!4
%77! F?99?%A 7 1F66!6@C Q=M %4A?!?17=%7:= B:= 7H6 7=>17661 )L+ :=:!:-: 17=667 %96J%!4=?% 5% **+),
<!- ;%!I %77![ A?-H%69 1%99@ *,O B?B7H %56!>6 *L7H B9::= <?771;>=8H <% )K***
<!- B?!%!-?%9 16=5?-61 8=:><C
?!-M
%77! 46A-H%I F?99?%AC -6: <!- !%7?:!%9 ;%!I :!6 <!- <9%2% *,O B?B7H %56!>6 <?771;>=8H <% )K***P*ELE
<:91?!699? %77![ 1H%!7? I%7:!% *** 469%F%=6 %56!>6 1>?76 ))L) F?9A?!87:! 46 )ODL)
<:=7:9% -9: 974M -G: F%9I6=1 1<5 9?A?764 %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
F%9I6= H:>16C DE A%=@ 17=667 86:=86 7:F!C 8=%!4 -%@A%!
I@)POLL*C -%@A%! ?19%!41
<=?A>1 -9: ? 974M -G: F%9I6=1 1<5 9?A?764 %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
F%9I6= H:>16C DE A%=@ 17=667 86:=86 7:F!C 8=%!4 -%@A%!
I@)POLL*C -%@A%! ?19%!41
<=?A>1 -9: ?? 974M -G: F%9I6=1 1<5 9?A?764 %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
F%9I6= H:>16C DE A%=@ 17=667 86:=86 7:F!C 8=%!4 -%@A%!
I@)POLL*C -%@A%! ?19%!41
<=?!-67:! =:164%96 -9: ?? 974M %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
<=?!-67:! %45?1:=@ 8=:>< ,,*D =:>76 *E ;>?94?!8 -C >!?7 ) ;:J DO I?!817:! !Q LDK*DPLLDO
<=?!-67:! =:164%96 -9: ?? 974M =:164%96 -9: ?? 99- %77! 4:!%94 QM <>89?1? <>989?1? R %11:-?%761 DKL 9?;=%=@ %56C 176 *L, !6F%=I 46 )OE))
<=?!-67:! =:164%96 -9: ?? 974M -G: Q<A -=64?7 %45?1:=1 99- %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
+,,L <=617:! =?486 =:%4 1>?76 +KL %9<H%=677% 8% +LLLK
<"U$ ,* VW N*
09-50026-mg Doc 13832 Filed 01/23/17 Entered 01/23/17 21:14:01 Main Document Pg 68 of 95
!"#$ %&&'$(() %&&'$((* %&&'$((+ %&&'$((, -./0 1/"/$ 2.3
<>7!%A *OJPB>!41 7=>17
B9:%7?!8 =%76 ?!-:A6 B>!4
%77! =:;6=7 =6@!:941 <=61?46!7 8=6%7 F617 9?B6-: >1
H:94?!81
R -6: :B <>7!%A ?!5617A6!71
99-
:!6 <:17 :BB?-6 1T>%=6 ;:17:! A% L*)LO
<>7!%A *OJPB>!41 7=>17
B9:%7?!8 =%76 ?!-:A6 B>!4
<>7!%A ?!5617A6!71 99- -G: -7 -:=<:=%7?:! 1@176A )KK B646=%9 17MC 176 ELL ;:17:! A% L*))L
<>7!%A *OJPB>!41 7=>17
B9:%7?!8 =%76 ?!-:A6 B>!4
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
<>7!%A ?!5617A6!71C ?!5617:=1
F%@
) ?!5617:=1 F%@ !:=F::4 A% L*LN*
<@=%A?1 B9:%7?!8 =%76 H?8H
?!-:A6 -:AA?!8964 <::9
%77! Q6BB=6@ 9%8%=-6 <=61?46!7 :B <=@%A?1 89:;%9
%45?1:=1
<@=%A?1 89:;%9 %45?1:=1 7=>17
-:M
K+ 17%76 17=667 ;:17:! A% L*)LO
<@=%A?1 B9:%7?!8 =%76 H?8H
?!-:A6 -:AA?!8964 <::9
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
BA= 99- D* 465:!1H?=6 17=667 P 5)+H ;:17:! A% L*)LO
<@=%A?1 B9:%7?!8 =%76 H?8H
?!-:A6 -:AA?!8964 <::9
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
<@=%A?1 89:;%9 %45?1:=1 >M1M OLL 1%96A 17=667 1A?7HB?694 =? L*O)E
<@=%A?1 H? @94 ;4 -:A!89
<::9
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
<@=%A?1 H?8H @?694 B>!4C 99- *,K 1>AA6= 17=667 ;:17:! A% L**)LP))++
<@=%A?1 H? @94 ;4 -:A!89
<::9
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
<@=%A?1 89:;%9 %45?1:=1 >M1M OLL 1%96A 17=667 1A?7HB?694 =? L*O)E
<@=%A?1 H? @94 ;4 -:A!89
<::9
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
<@=%A?1 89:;%9 %45?1:=1 7=>17
-:M
K+ 17%76 17=667 ;:17:! A% L*)LO
<@=%A?1 H?8H @?694 B>!4 99- %77! Q6BB=6@ 9%8%=-6 <=61?46!7 :B <=@%A?1 89:;%9
%45?1:=1
<@=%A?1 89:;%9 %45?1:=1 7=>17
-:M
K+ 17%76 17=667 ;:17:! A% L*)LO
<@=%A?1 H?8H @?694 B>!4 99- %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
BA= 99- D* 465:!1H?=6 17=667 P 5)+H ;:17:! A% L*)LO
<@=%A?1 H?8H @?694 B>!4 99- %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
<@=%A?1 89:;%9 %45?1:=1 >M1M OLL 1%96A 17=667 1A?7HB?694 =? L*O)E
=+ -%<?7%9 <%=7!6=1 A%176= 9< %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
F%9I6= H:>16 DE A%=@ 17=667 86:=86 7:F!C I@)POLL*
-%@A%! ?19%!41
=+ -%<?7%9 <%=7!6=1 A%176= 9< %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
)*E) %56!>6 :B 7H6 %A6=?-%1 !6F @:=I !@ )LL*L
=%-6 <:?!7 ?? -9: %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
Q<A:=8%! -H%16 ;%!IC %1
7=>1766
NLL 7=%5?1 17=667 KL7H B9::= H:>17:! 7J EELL*
=%-6 <:?!7 ?? -9: -G: 1%!I%7@ %45?1:=1 99- %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
*LL -9%=6!4:! 17=667 ;:17:! A% L*))N
=%-6 <:?!7 ?? -9: -G: 1%!I%7@ %45?1:=1 99- %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
KOL A%4?1:! %56!>6 ,*!4 B9::= !6F @:=I !@ )LL**
=%-6 <:?!7 ?? -9: -G: <>89?1? R %11:-?%761 %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
DKL 9?;=%=@ %56!>6 1>?76 *L, !6F%=I 46 )OE))
=%-6 <:?!7 ??? -9: %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
E 6J-H%!86 <9%-6 ?B1- )17 B9::= 4>;9?!C ?6 ) ?=69%!4
=%-6 <:?!7 ??? -9: -G: 1%!I%7@ %45?1:=1 99- %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
*LL -9%=6!4:! 17=667 ;:17:! A% L*))N
=%-6 <:?!7 ??? -9: -G: 1%!I%7@ %45?1:=1 99- %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
KOL A%4?1:! %56!>6C ,* B9::= !6F @:=I !@ )LL**
=%-6 <:?!7 ??? -9: %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
* 8=%!4 -%!%9 1T>%=6 8=%!4 -%!%9 H%=;:>= 4>;9?! *C ?=69%!4
=%-6 <:?!7 ?5 -9: 974M -G: 1%!I%7@ %45?1:=1 99- %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
*LL -9%=6!4:! 17=667 ;:17:! A% L*))NPKL*)
=%-6 <:?!7 ?5 -9: 974M %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
KO) ;=:%4F%@ N7H B9::= !6F @:=I !@ )LL)*
=%@7H6:! A<7P9:8%! B9:%7?!8
=%76 <:=7B:9?:
=%@7H6:! -:M -G: -7 -:=<:=%7?:! 1@176A ))) 6?8H7H %56!>6 !6F @:=I !@ )LL))
<"U$ ,+ VW N*
09-50026-mg Doc 13832 Filed 01/23/17 Entered 01/23/17 21:14:01 Main Document Pg 69 of 95
!"#$ %&&'$(() %&&'$((* %&&'$((+ %&&'$((, -./0 1/"/$ 2.3
=%@7H6:! A<7P9:8%! B9:%7?!8
=%76 <:=7B:9?:
%77! 4=M 7H:A%1 %M I6!!64@ -H%?=A%! R -6: =%@7H6:! -:C DEL F?!76= 17=667 F%97H%A A% L*,K)
=%@7H6:! A<7P9:8%! B9:%7?!8
=%76 <:=7B:9?:
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
)+K 1%!7?99? H?8HF%@ 656=677 A% L*),O
=%@7H6:! A<7P9:8%! A?4
8=%46 <:=7B:9?:
=%@7H6:! -:M -G: -7 -:=<:=%7?:! 1@176A ))) 6?8H7H %56!>6 !6F @:=I !@ )LL))
=%@7H6:! A<7P9:8%! A?4
8=%46 <:=7B:9?:
%77! 4=M 7H:A%1 %M I6!!64@ -H%?=A%! R -6: =%@7H6:! -:C DEL F?!76= 17=667 F%97H%A A% L*,K)
=%@7H6:! A<7P9:8%! A?4
8=%46 <:=7B:9?:
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
)+K 1%!7?99? H?8HF%@ 656=677 A% L*),O
=;- 46J?% ?!5 15-1 7= %1 7= B:=
8A -% B:=6?8! 7=
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=;- 46J?% ?!5617:= 16=5?-61
7=>17
*L) ;%@ 17=667C 1:>7H 7:F6= 19
96569
7:=:!7:C AKQ*QKC -%!%4%
=;- 46J?% ?!5617:= 16=5?-61
7=>17
%1 7=>1766 B:= 8A -%!%4%
B:=6?8! 7=>17
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=;- 46J?% ?!5617:= 16=5?-61
7=>17
*LL ;%@ 17=667C *)17 B9::=C
7:=:!7:C AKQ*QK -%!%4%
=6%A1 P %8?9?7@ 89:;%9 B?J64
?!-:A6 A%176= B>!4 9<
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
<: ;:J E*E -:9>A;>1 ?! ,E*L*
=6%A1 P %8?9?7@ 89:;%9 B?J64
?!-:A6 A%176= B>!4 9<
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
ENE B?B7H %56!>6 ,7H B9::= !6F @:=I !@ )L)K+
=6%A1 P %8?9?7@ 89:;%9 B?J64
?!-:A6 A%176= B>!4 9<
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
**E F%1H?!87:! 17=667 -:9>A;>1 ?! ,E*L)
=6%A1 P %A6=?-%! <=61?46!7
9?!61 974M
%77! I6!!67H 896!!C <=61?46!7 %A6=?-%! <=61?46!7 9?!61 974M )N**L !:=7H 1-:7714%96 =:%4 1>?76 +LL 1-:7714%96 %2 DK*K,
=6%A1 P %A6=?-%! <=61?46!7
9?!61 974M
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
<: ;:J E*E -:9>A;>1 ?! ,E*L*
=6%A1 P %A6=?-%! <=61?46!7
9?!61 974M
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
%A6=?-%! <=61?46!7 9?!61 974M )))) ;=:%4F%@ :%I9%!4 -% O,NLE
=6%A1 P ;%97?A:=6 -:>!7@
=67?=6A6!7
%77! Q:16<H HM 26=H>16!C -H%?= ;%97?A:=6 -:>!7@ =67?=6A6!7
1@176A
,LL F%1H?!87:! %56!>6 =::A )NO 7:F1:! A4 *)*L,
=6%A1 P ;%97?A:=6 -:>!7@
=67?=6A6!7
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
<: ;:J E*E -:9>A;>1 ?! ,E*L*PLE*E
=6%A1 P ;?99 R A69?!4% 8%761
B:>!4%7?:!
%77! 86!6=%9 -:>!169 *+NK -%=?99:! <:?!7 I?=I9%!4 F% ODL++
=6%A1 P ;?99 R A69?!4% 8%761
B:>!4%7?:!
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
**E F%1H?!87:! 17=667 -:9>A;>1 ?! ,E*L)
=6%A1 P ;?99 R A69?!4% 8%761
B:>!4%7?:!
%77! 86!6=%9 -:>!169 *+NK -%=?99:! <:?!7 I?=I9%!4 F% ODL++
=6%A1 P ;?99 R A69?!4% 8%761
B:>!4%7?:! 7=>17
%77! 86!6=%9 -:>!169 *+NK -%=?9:! <:?!7 I?=I9%!4 F% ODL++
=6%A1 P ;?99 R A69?!4% 8%761
B:>!4%7?:! 7=>17
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
**E F%1H?!87:! 17=667 -:9>A;>1 ?! ,E*L)
=6%A1 P ;?99 R A69?!4% 8%761
B:>!4%7?:! 7=>17
%77! 86!6=%9 -:>!169 *+NK -%=?99:! <:?!7 I?=I9%!4 F% ODL++
=6%A1 P ;:%=4 :B <6!
<=61;@76=?%! -H>=-H
%77! =65M B=%!I -9%=I 1<6!-6= <=61?46!7 *LLL A%=I67 17=667 <H?9%469<H?% <% )O)L+P+*OD
=6%A1 P ;:%=4 :B <6!
<=61;@76=?%! -H>=-H
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
<: ;:J E*E -:9>A;>1 ?! ,E*L*
=6%A1 P ;:%=4 :B <6!
<=61;@76=?%! -H>=-H
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
**E F%1H?!87:! 17=667 -:9>A;>1 ?! ,E*L)
=6%A1 P ;>?94?!8 7=%461 >!?764
<6!1?:! 7=>17
%77! 4:>89%1 -%=91:! -H%?=A%! KLL 69A 8=:56 =:%4 <M:M ;:J K+L 69A 8=:56 F? K+)**PLK+L
<"U$ ,, VW N*
09-50026-mg Doc 13832 Filed 01/23/17 Entered 01/23/17 21:14:01 Main Document Pg 70 of 95
!"#$ %&&'$(() %&&'$((* %&&'$((+ %&&'$((, -./0 1/"/$ 2.3
=6%A1 P ;>?94?!8 7=%461 >!?764
<6!1?:! 7=>17
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
<: ;:J NNN -:9>A;>1 ?! ,E*L*
=6%A1 P ;>?94?!8 7=%461 >!?764
<6!1?:! 7=>17
-G: <=65?%!7 9%F B?=A )KKK ! =?56= -6!76= 4=M 1>?76 *L* A?9F%>I66 F? K+*)*
=6%A1 P ;>?94?!8 7=%461 >!?764
<6!1?:! 7=>17
-G: T>%=961 R ;=%4@ 99< ,)) 6%17 F?1-:!1?! %56 A?9F%>I66 F? K+*L*P,,OE
=6%A1 P ;>?94?!8 7=%461 >!?764
<6!1?:! 7=>17
-G: 1-:77 6!8=:BB 99- OE++ ! %1H -7 A6T>:! F? K+LO*PN*L*
=6%A1 P -%=<6!76=1 <6!1?:!
B>!4
:B ?99?!:?1 <6!1?:! <9%! %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
<: ;:J E*E -:9>A;>1 ?! ,E*L*
=6%A1 P -%=<6!76=1 <6!1?:!
B>!4
:B ?99?!:?1 <6!1?:! <9%! -G: ?!46<6!46!7 6A<9:@66
;6!6B?7 -:=<
%77![ <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
*D !M B?=17 17=667C 1>?76 *L) 86!65% ?9 NL)+,P**DK
=6%A1 P -%=<6!76=1 <6!1?:!
B>!4
:B ?99?!:?1 <6!1?:! <9%! %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
**E F%1H?!87:! 17=667 -:9>A;>1 ?! ,E*L)
=6%A1 P -%=<6!76=1 <6!1?:!
B>!4 :B ?99?!:?1
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
<: ;:J E*E -:9>A;>1 ?! ,E*L*
=6%A1 P -%=<6!76=1 <6!1?:!
B>!4 :B ?99?!:?1
-G: ?!46<6!46!7 6A<9:@66
;6!6B?7 -:=<
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
*D !M B?=17 17=667C 1>?76 *L) 86!65% ?9 NL)+,P**DK
=6%A1 P -%=<6!76=1 <6!1?:!
B>!4 :B ?99?!:?1
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
**E F%1H?!87:! 17=667 -:9>A;>1 ?! ,E*L)
=6%A1 P -H?94=6!_1 H:1<?7%9
<H?9%469<H?%
%77! 17656! AM %971-H>96= A4C
-6:
-H?94=6!X1 H:1<?7%9 :B
<H?9%469<H?%
+,7H 17=667 R -?5?- -6!76= ;954M <H?9%469<H?% <% )O)L,P,+OO
=6%A1 P -H?94=6!_1 H:1<?7%9
<H?9%469<H?%
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
<: ;:J E*E -:9>A;>1 ?! ,E*L*
=6%A1 P -H?94=6!_1 H:1<?7%9
<H?9%469<H?%
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
**E F%1H?!87:! 17=667 -:9>A;>1 ?! ,E*L)
=6%A1 P -H?94=6!_1 H:1<?7%9
<H?9%469<H?%
%77! Q6BB=6@ 4M I%H!C 6J6- 5<
%!4 86!6=%9 -:>!169
-H?94=6!X1 H:1<?7%9 :B
<H?9%469<H?%
+,7H 17=667 R -?5?- -6!76= ;954M <H?9%469<H?% <% )O)L,P,+OO
=6%A1 P -:9>A;>1 6J76!464
A%=I67 B>!4 99-
-G: =6%A1 >!-:!17=%?!64
;:!4 B>!4C 99-
%77! 4%5?4 ;M A-I?!!6@C
<=61?46!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
**E F%1H?!87:! 17=667 -:9>A;>1 ?! ,E*L)
=6%A1 P -:9>A;>1 6J76!464
A%=I67 B>!4 99-
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
<: ;:J E*E -:9>A;>1 ?! ,E*L*
=6%A1 P -:!!6-7?->7 86!6=%9
9?B6 ?!1>=%!-6 -:A<%!@
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
<: ;:J E*E -:9>A;>1 ?! ,E*L*
=6%A1 P -:!!6-7?->7 86!6=%9
9?B6 ?!1>=%!-6 -:A<%!@
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
-:!!67?->7 86! 9?B6 ?!1>=%!-6
-:A<%!@ ?!-M
OLL -:77%86 8=:56 =:%4 ;9::AB?694 -7 LNLL*P*O*L
=6%A1 P -:!!6-7?->7 86!6=%9
9?B6 ?!1>=%!-6 -:A<%!@
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
**E F%1H?!87:! 17=667 -:9>A;>1 ?! ,E*L)
=6%A1 P ->AA?!1 ?!-M R %BB?9?%761 -:996-7?56
?!5617A6!7 7=>17
!M 7H:A%1 9?!6;%=86= -6: ->AA?!1 ?!-M KLL Q%-I1:! 17=667 -:9>A;>1 ?! ,E*L)
=6%A1 P ->AA?!1 ?!-M R %BB?9?%761 -:996-7?56
?!5617A6!7 7=>17
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
<: ;:J E*E -:9>A;>1 ?! ,E*L*
=6%A1 P ->AA?!1 ?!-M R %BB?9?%761 -:996-7?56
?!5617A6!7 7=>17
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
**E F%1H?!87:! 17=667 -:9>A;>1 ?! ,E*L)
=6%A1 P 4>-H:11:?1 ?!4 ?!-M %77! -=%?8 QM 4>-H:11:?1 -H?6B 6J6->7?56 :BB?-6= D,K 9%=-H %56!>6 69AH>=17 ?9 NL)*K
=6%A1 P 4>-H:11:?1 ?!4 ?!-M %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
<: ;:J E*E -:9>A;>1 ?! ,E*L*
=6%A1 P 4>-H:11:?1 ?!4 ?!-M %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
**E F%1H?!87:! 17=667 -:9>A;>1 ?! ,E*L)
<"U$ ,K VW N*
09-50026-mg Doc 13832 Filed 01/23/17 Entered 01/23/17 21:14:01 Main Document Pg 71 of 95
!"#$ %&&'$(() %&&'$((* %&&'$((+ %&&'$((, -./0 1/"/$ 2.3
=6%A1 P 6?8H7 4?17=?-7
696-7=?-%9 <6!1?:! B>!4
%77! A=M =:4!6@ Q%A61C
-H%?=A%!
6?8H7H 4?17=?-7 696-7=?-%9
<6!1?:! B>!4
*D*) 1:>7H <%=I6= =:%4 1>?76 )LLK %>=:=% -: DLL),P*E),
=6%A1 P 6?8H7 4?17=?-7
696-7=?-%9 <6!1?:! B>!4
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
<: ;:J E*E -:9>A;>1 ?! ,E*L*
=6%A1 P 6?8H7 4?17=?-7
696-7=?-%9 <6!1?:! B>!4
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
**E F%1H?!87:! 17=667 -:9>A;>1 ?! ,E*L)
=6%A1 P 6A6=1:! 696-7=?- %77! 4%5?4 !M B%== -H?6B 6J6->7?56 :BB?-6= 6A6=1:! 696-7=?- DLLL F617 B9:=?11%!7 %56!>6 17MC 9:>?1 A: N+)+N
=6%A1 P 6A6=1:! 696-7=?- -G: 6A6=1:! 696-7=?- -7 -:=<:=%7?:! ))) 6?8H7H %56!>6 !6F @:=I !@ )LL))
=6%A1 P 6A6=1:! 696-7=?- %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
<: ;:J E*E -:9>A;>1 ?! ,E*L*
=6%A1 P 6A6=1:! 696-7=?- %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
**E F%1H?!87:! 17=667 -:9>A;>1 ?! ,E*L)
=6%A1 P 6A6=1:! 696-7=?-
-:A<%!@
=67?=6A6!7 A%176= 7=>17 %77! 4%5?4 !M B%==C -H?6B
6J6->7?56 :BB?-6=
6A6=1:! 696-7=?- DLLL F617 B9:=?11%!7 %56!>6 17MC 9:>?1 A: N+)+N
=6%A1 P 6A6=1:! 696-7=?-
-:A<%!@
=67?=6A6!7 A%176= 7=>17 -G: 6A6=1:! 696-7=?- -7 -:=<:=%7?:! ))) 6?8H7H %56!>6 !6F @:=I !@ )LL))
=6%A1 P 6A6=1:! 696-7=?-
-:A<%!@
=67?=6A6!7 A%176= 7=>17 %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
<: ;:J E*E -:9>A;>1 ?! ,E*L*
=6%A1 P 6A6=1:! 696-7=?-
-:A<%!@
=67?=6A6!7 A%176= 7=>17 %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
**E F%1H?!87:! 17=667 -:9>A;>1 ?! ,E*L)
=6%A1 P 6A<9:@661X =67?=6A6!7
1@176A
:B 7H6 -?7@ :B A?9F%>I66 %77! A%@:= 7:A ;%==677 -?7@ H%99 *LL 6M F6991 17=667C =::A *L) A?9F%>I66 F? K+*L*
=6%A1 P 6A<9:@661X =67?=6A6!7
1@176A
:B 7H6 -?7@ :B A?9F%>I66 %77! ;6=!%=4 QM %996!C
6J6->7?56 4?=6-7:=
-?7@ :B A?9F%>I66 6A<9:@61X
=67?=6A6!7 1@176A
EDO !:=7H F%76= 17=667 1>?76 +LL A?9F%>I66 F? K+*L*
=6%A1 P 6A<9:@661X =67?=6A6!7
1@176A
:B 7H6 -?7@ :B A?9F%>I66 %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
<: ;:J E*E -:9>A;>1 ?! ,E*L*
=6%A1 P 6A<9:@661X =67?=6A6!7
1@176A
:B 7H6 -?7@ :B A?9F%>I66 %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
**E F%1H?!87:! 17=667 -:9>A;>1 ?! ,E*L)
=6%A1 P 6A<9:@661X =67?=6A6!7
1@176A
:B ;%97?A:=6 -:>!7@ %77! Q:16<H HM 26=H>16!C
-H%?=A%!
;%97?A:=6 -:>!7@ =67?=6A6!7
1@176A
,LL F%1H?!87:! %56!>6C =::A
)NO
7:F1:! A4 *)*L,
=6%A1 P 6A<9:@661X =67?=6A6!7
1@176A
:B ;%97?A:=6 -:>!7@ %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
<: ;:J E*E -:9>A;>1 ?! ,E*L*
=6%A1 P 6A<9:@661X =67?=6A6!7
1@176A
:B ;%97?A:=6 -:>!7@ %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
**E F%1H?!87:! 17=667 -:9>A;>1 ?! ,E*L)
=6%A1 P B=:!768=% -:9>A;>1
-:=6 <9>1 B>!4
-G: B=:!768=% B>!41G B=:!7?6=
B>!41
%77! F?99?%A 4M B:=1@7H ???C
<=61?46!7
,LL 1I:I?6 ;954M 1>?76 KLL !:=7H;=::I ?9 NLLN*
=6%A1 P B=:!768=% -:9>A;>1
-:=6 <9>1 B>!4
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
<: ;:J E*E -:9>A;>1 ?! ,E*L*
=6%A1 P B=:!768=% -:9>A;>1
-:=6 <9>1 B>!4
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
**E F%1H?!87:! 17=667 -:9>A;>1 ?! ,E*L)
=6%A1 P B=:!768=% -:9>A;>1
-:=6 <9>1 B>!4
-G: 1-:>7 ?!5617A6!71 %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
O*D 8=%!4 ;:>965%=4 I%!1%1 -?7@ A: N,)LN
=6%A1 P 8:94A%! -:=6 <9>1
B?J64
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
<: ;:J E*E -:9>A;>1 ?! ,E*L*
=6%A1 P 8:94A%! -:=6 <9>1
B?J64
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
8:94A%! 1%-H1 8=:>< *LL F617 17=667 !6F @:=I !@ )L*D*
=6%A1 P 8:94A%! -:=6 <9>1
B?J64
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
**E F%1H?!87:! 17=667 -:9>A;>1 ?! ,E*L)
=6%A1 P H%99?;>=7:! -:A<%!@ %77! 4%5?4 QM 961%= -H%?=A%! :B 7H6 ;:%=4 R -6: H%99?;>=7:! +LLL !M 1%A H:>17:! <IF@ 6M H:>17:! 7J EEL+*
<"U$ ,N VW N*
09-50026-mg Doc 13832 Filed 01/23/17 Entered 01/23/17 21:14:01 Main Document Pg 72 of 95
!"#$ %&&'$(() %&&'$((* %&&'$((+ %&&'$((, -./0 1/"/$ 2.3
=6%A1 P H%99?;>=7:! -:A<%!@ %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
<: ;:J E*E -:9>A;>1 ?! ,E*L*
=6%A1 P H%99?;>=7:! -:A<%!@ %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
**E F%1H?!87:! 17=667 -:9>A;>1 ?! ,E*L)
=6%A1 P H%99?;>=7:! -:A<%!@ 6A<9:@66 ;6!6B?7 A%176= 7=>17 %77! 4%5?4 QM 961%=C -H%?=A%!
:B 7H6 ;:%=4 R -6:
H%99?;>=7:! +LLL !M 1%A H:>17:! <IF@ 6M H:>17:! 7J EEL+*
=6%A1 P H%99?;>=7:! -:A<%!@ 6A<9:@66 ;6!6B?7 A%176= 7=>17 %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
)L*LL ;699%?=6 ;:>965%=4 *!F)N% H:>17:! 7J EEEEE
=6%A1 P H%99?;>=7:! -:A<%!@ 6A<9:@66 ;6!6B?7 A%176= 7=>17 %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
<: ;:J E*E -:9>A;>1 ?! ,E*L*
=6%A1 P H%99?;>=7:! -:A<%!@ 6A<9:@66 ;6!6B?7 A%176= 7=>17 %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
**E F%1H?!87:! 17=667 -:9>A;>1 ?! ,E*L)
=6%A1 P H6%97H -%=6
B:>!4%7?:!
:B 8=6%76= I%!1%1 -?7@ %77! 4=M`;=?4867 A--%!49611C
-6:
*ELL 6M )D7H 17=667C 1>?76 **L I%!1%1 -?7@ A: N,)*E
=6%A1 P H6%97H -%=6
B:>!4%7?:!
:B 8=6%76= I%!1%1 -?7@ %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
<: ;:J E*E -:9>A;>1 ?! ,E*L*
=6%A1 P H6%97H -%=6
B:>!4%7?:!
:B 8=6%76= I%!1%1 -?7@ %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
**E F%1H?!87:! 17=667 -:9>A;>1 ?! ,E*L)
=6%A1 P ?9F>G<A% %77! A%=?: <6=62C
%4A?!?17=%7:= :B 7H6 <9%!
?9F> <A% <6!1?:! <9%! ))DD B=%!I9?! 17=667 1>?76 )L) 1%! B=%!-?1-: -% O,)LO
=6%A1 P ?9F>G<A% %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
<: ;:J E*E -:9>A;>1 ?! ,E*L*
=6%A1 P ?9F>G<A% %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
**E F%1H?!87:! 17=667 -:9>A;>1 ?! ,E*L)
=6%A1 P ?9F>G<A% <6!1?:! <9%! %77! A%=?: <6=62C
%4A?!?17=%7:= :B 7H6 <9%!
?9F> <A% <6!1?:! <9%! ))DD B=%!I9?! 17=667 1>?76 )L) 1%! B=%!-?1-: -% O,)LO
=6%A1 P ?9F>G<A% <6!1?:! <9%! %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
<: ;:J E*E -:9>A;>1 ?! ,E*L*
=6%A1 P ?9F>G<A% <6!1?:! <9%! %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
**E F%1H?!87:! 17=667 -:9>A;>1 ?! ,E*L)
=6%A1 P ?!4?%!% >!?56=1?7@ %77! A?-H%69 A-=:;;?6 <=61?46!7 ,LL 6 E7H 17=667 <:<9%=1C =::A
KL)
;9::A?!87:! ?! ,E,LKP+LL)
=6%A1 P ?!4?%!% >!?56=1?7@ %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
<: ;:J E*E -:9>A;>1 ?! ,E*L*
=6%A1 P ?!4?%!% >!?56=1?7@ %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
**E F%1H?!87:! 17=667 -:9>A;>1 ?! ,E*L)
=6%A1 P I=%B7 B::41 A%176=
=67?=6A6!7 7=>17
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
<: ;:J E*E -:9>A;>1 ?! ,E*L*
=6%A1 P I=%B7 B::41 A%176=
=67?=6A6!7 7=>17
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
I=%B7 B::4 8=:><1C ?!-M 7H=66 9%I61 4=?56 !:=7HB?694 ?9 NLLO+
=6%A1 P I=%B7 B::41 A%176=
=67?=6A6!7 7=>17
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
**E F%1H?!87:! 17=667 -:9>A;>1 ?! ,E*L)
=6%A1 P 9% B?=6 R <:9?-6 %77! ;69?!4% AM 568%C <=61?46!7 46<%=7A6!7 :B B?=6 %!4 <:9?-6
<6!1?:!1
+NL 6%17 16-:!4 17=667C 1>?76 ,LL 9:1 %!86961 -% OLL)*
=6%A1 P 9% B?=6 R <:9?-6 %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
<: ;:J E*E -:9>A;>1 ?! ,E*L*
=6%A1 P 9% B?=6 R <:9?-6 %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
**E F%1H?!87:! 17=667 -:9>A;>1 ?! ,E*L)
=6%A1 P 9%;-:=< -%1H ;%9%!-6
=67?=6A6!7 B>!4
%77! 4%5?4 <M I?!8 -H?6B 6J6->7?56 :BB?-6= 9%;:=%7:=@ -:=<:=%7?:! :B
%A6=?-% H:94?!81
+KD 1:>7H A%?! 17=667 ;>=9?!87:! !- *E*)K
<"U$ ,E VW N*
09-50026-mg Doc 13832 Filed 01/23/17 Entered 01/23/17 21:14:01 Main Document Pg 73 of 95
!"#$ %&&'$(() %&&'$((* %&&'$((+ %&&'$((, -./0 1/"/$ 2.3
=6%A1 P 9%;-:=< -%1H ;%9%!-6
=67?=6A6!7 B>!4
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
<: ;:J E*E -:9>A;>1 ?! ,E*L*
=6%A1 P 9%;-:=< -%1H ;%9%!-6
=67?=6A6!7 B>!4
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
**E F%1H?!87:! 17=667 -:9>A;>1 ?! ,E*L)
=6%A1 P 9%;:=%7:=@ -:=<M :B
%A6=?-% H:94?!81
%77! 4%5?4 <M I?!8 -H?6B 6J6->7?56 :BB?-6= 9%;:=%7:=@ -:=<:=%7?:! :B
%A6=?-% H:94?!81
+KD 1:>7H A%?! 17=667 ;>=9?!87:! !- *E*)K
=6%A1 P 9%;:=%7:=@ -:=<M :B
%A6=?-% H:94?!81
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
*+) A%<96 %56!>6 ;>=9?!87:! !- *E*)K
=6%A1 P 9%;:=%7:=@ -:=<M :B
%A6=?-% H:94?!81
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
<: ;:J E*E -:9>A;>1 ?! ,E*L*
=6%A1 P 9%;:=%7:=@ -:=<M :B
%A6=?-% H:94?!81
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
**E F%1H?!87:! 17=667 -:9>A;>1 ?! ,E*L)
=6%A1 P A%176= 7=>17 <>=1>%!7
7: 7H6
=67?=6A6!7 <9%!1 :B %<9 974M R
1>;1?4?%=?61
%77! I6!!67H 896!!C <=61?46!7 %A6=?-%! <=61?46!7 9?!61 974M )N**L !:=7H 1-:7714%96 =:%4
1>?76 +LL
1-:7714%96 %2 DK*K,
=6%A1 P A%176= 7=>17 <>=1>%!7
7: 7H6
=67?=6A6!7 <9%!1 :B %<9 974M R
1>;1?4?%=?61
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
+KL -%9?B:=!?% 17=667 !:M +KL 1%! B=%!-?1-: -% O,)L,
=6%A1 P A%176= 7=>17 <>=1>%!7
7: 7H6
=67?=6A6!7 <9%!1 :B %<9 974M R
1>;1?4?%=?61
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
%A6=?-%! <=61?46!7 9?!61 974M )))) ;=:%4F%@ :%I9%!4 -% O,NLE
=6%A1 P A%176= 7=>17 <>=1>%!7
7: 7H6
=67?=6A6!7 <9%!1 :B %<9 974M R
1>;1?4?%=?61
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
<: ;:J E*E -:9>A;>1 ?! ,E*L*
=6%A1 P A%176= 7=>17 <>=1>%!7
7: 7H6
=67?=6A6!7 <9%!1 :B %<9 974M R
1>;1?4?%=?61
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
**E F%1H?!87:! 17=667 -:9>A;>1 ?! ,E*L)
=6%A1 P A:!7%!% ;:%=4 :B
?!5617A6!71
%77! 7?A B:J %77:=!6@ 86!6=%9 <: ;:J *L),L) H696!% A7 KON*LP),L)
=6%A1 P A:!7%!% ;:%=4 :B
?!5617A6!71
%77! 4%5?4 6F6=C 6J6->7?56
4?=6-7:=
A:!7%!% ;:%=4 :B
?!5617A6!71
A:!7%!% 46<%=7A6!7 :B
-:AA6=-6
*,L) -:9:!?% 4=M +=4 B9::=C
<M:M ;:J *LL)*N
H696!% A7 KON*LPL)*N
=6%A1 P A:!7%!% ;:%=4 :B
?!5617A6!71
%77! 7?A B:J *)K ! 1%!46=1C 7H?=4 B9::= H696!% A7 KON*L
=6%A1 P A:!7%!% ;:%=4 :B
?!5617A6!71
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
<: ;:J E*E -:9>A;>1 ?! ,E*L*
=6%A1 P A:!7%!% ;:%=4 :B
?!5617A6!71
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
**E F%1H?!87:! 17=667 -:9>A;>1 ?! ,E*L)
=6%A1 P <%=I5?6F A6A:=?%9
H6%97H
%77! A?I6 <%-I!677 <=61?46!7 R -6: <%=I5?6F H6%97H )LKL) -:=<:=%76 4=?56 B:=7 F%@!6 ?! ,ND,K
=6%A1 P <%=I5?6F A6A:=?%9
H6%97H
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
<: ;:J E*E -:9>A;>1 ?! ,E*L*
=6%A1 P <%=I5?6F A6A:=?%9
H6%97H
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
**E F%1H?!87:! 17=667 -:9>A;>1 ?! ,E*L)
=6%A1 P <=>46!7?%9 =67?=6A6!7
?!1>=%!-6 R
%!!>?7@ -:A<%!@ %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
<: ;:J E*E -:9>A;>1 ?! ,E*L*
=6%A1 P <=>46!7?%9 =67?=6A6!7
?!1>=%!-6 R
%!!>?7@ -:A<%!@ %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
<=>46!7?%9 =67?=6A6!7
?!1>=%!-6 R %!!>?7@ -:A<%!@
*DL 7=>A;>99 17=667 H%=7B:=4 -7 LN)L+
=6%A1 P <=>46!7?%9 =67?=6A6!7
?!1>=%!-6 R
%!!>?7@ -:A<%!@ %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
**E F%1H?!87:! 17=667 -:9>A;>1 ?! ,E*L)
=6%A1 P =6?-HH:94C ?!-M %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
<6!1?:! ;6!6B?7 8>%=%!7@
-:=<M
)*LL I 17=667C !MFM F%1H?!87:! 4- *LLLKP,L*N
=6%A1 P =6?-HH:94C ?!-M %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
KK F%76= 17=667 <9%2% 96569 P +=4 B9::= !6F @:=I !@ )LL,)
=6%A1 P =6?-HH:94C ?!-M %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
<: ;:J E*E -:9>A;>1 ?! ,E*L*
<"U$ ,D VW N*
09-50026-mg Doc 13832 Filed 01/23/17 Entered 01/23/17 21:14:01 Main Document Pg 74 of 95
!"#$ %&&'$(() %&&'$((* %&&'$((+ %&&'$((, -./0 1/"/$ 2.3
=6%A1 P =6?-HH:94C ?!-M %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
**E F%1H?!87:! 17=667 -:9>A;>1 ?! ,E*L)
=6%A1 P =67?=6A6!7 ;:%=4 :B
7H6 <%=I 6A<9:@661
%!!>?7@ R ;6!6B?7 B>!4 %77! <%A69% %M A>!?22?C
<=61?46!7
<%=I 6A<9:@661X %!!>?7@ %!4
;6!6B?7 B>!4
KK 6%17 A:!=:6 17=667C 1>?76
*E*L
-H?-%8: ?9 NLNL+
=6%A1 P =67?=6A6!7 ;:%=4 :B
7H6 <%=I 6A<9:@661
%!!>?7@ R ;6!6B?7 B>!4 %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
<: ;:J E*E -:9>A;>1 ?! ,E*L*
=6%A1 P =67?=6A6!7 ;:%=4 :B
7H6 <%=I 6A<9:@661
%!!>?7@ R ;6!6B?7 B>!4 %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
**E F%1H?!87:! 17=667 -:9>A;>1 ?! ,E*L)
=6%A1 P =67?=6A6!7 ;:%=4 :B
7H6 <%=I 6A<9:@661
%!!>?7@ R ;6!6B?7 B>!4 %77! 4%5?4 ;M A-I?!!6@C
<=61?46!7
=6%A1 %1167 A%!%86A6!7 **E F%1H?!87:! 17=667 -:9>A;>1 ?! ,E*L)
=6%A1 P =:7%=@ ?!7=!79
B:>!4%7?:!
%77! Q:H! H6FI:C 86!6=%9
16-=67%=@
=:7%=@ ?!7=!79 :!6 =:7%=@ -6!76= )KNL 1H6=A%! %56!>6 65%!17:! ?9 NL*L)
=6%A1 P =:7%=@ ?!7=!79
B:>!4%7?:!
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
<: ;:J E*E -:9>A;>1 ?! ,E*L*
=6%A1 P =:7%=@ ?!7=!79
B:>!4%7?:!
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
**E F%1H?!87:! 17=667 -:9>A;>1 ?! ,E*L)
=6%A1 P 1%! 4?68: B:>!4%7?:! %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
7H6 1%! 4?68: B:>!4%7?:! *KLD H?17:=?- 46-%7>= =4MC 1>?76
*LL
1%! 4?68: -% O*)LN
=6%A1 P 1%! 4?68: B:>!4%7?:! %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
<: ;:J E*E -:9>A;>1 ?! ,E*L*
=6%A1 P 1%! 4?68: B:>!4%7?:! %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
**E F%1H?!87:! 17=667 -:9>A;>1 ?! ,E*L)
=6%A1 P 1%!7% ;%=;%=% -:>!7@ %77! H696!6 1-H!6?46= A%@:= -?7@ H%99 <M:M ;:J )OOL 1%!7% ;%=;%=% -% O+)L*P)OOL
=6%A1 P 1%!7% ;%=;%=% -:>!7@ %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
<: ;:J E*E -:9>A;>1 ?! ,E*L*
=6%A1 P 1%!7% ;%=;%=% -:>!7@ %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
**E F%1H?!87:! 17=667 -:9>A;>1 ?! ,E*L)
=6%A1 P 1%!7% ;%=;%=% -:>!7@ 6A<9:@661X =67?=6A6!7 1@176A %77! Q6!!?B6= -H=?176!16!C
-H%?=
1%!7% ;%=;%=% -:>!7@
6A<9:@661X =67?=6A6!7 1@176A
+O)N 17%76 17=667C 1>?76 )LL 1%!7% ;%=;%=% -% O+)LK
=6%A1 P 1%!7% ;%=;%=% -:>!7@ 6A<9:@661X =67?=6A6!7 1@176A %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
<: ;:J E*E -:9>A;>1 ?! ,E*L*
=6%A1 P 1%!7% ;%=;%=% -:>!7@ 6A<9:@661X =67?=6A6!7 1@176A %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
**E F%1H?!87:! 17=667 -:9>A;>1 ?! ,E*L)
=6%A1 P 16%7796 -?7@ 6A<9:@66X1
=67?=6A6!7 1@176A
%77! 64F%=4 A>==%@ A%@:= -?7@ :B 16%7796 <: ;:J O,E,O 16%7796 F% OD)*,P,E,O
=6%A1 P 16%7796 -?7@ 6A<9:@66X1
=67?=6A6!7 1@176A
-?7@ :B 16%7796 :BB?-6 :B 7H6 -?7@ -96=I <: ;:J O,E*D 16%7796 F% OD)*,P,E*D
=6%A1 P 16%7796 -?7@ 6A<9:@66X1
=67?=6A6!7 1@176A
%77! I6!!67H QM !%I%71> ?!76=?A 6J6->7?56 4?=6-7:=C
1-6=1
<%-?B?- ;>?94?!8 E*L +=4 %56C O7H B9::= 16%7796 F% OD)L,
=6%A1 P 16%7796 -?7@ 6A<9:@66X1
=67?=6A6!7 1@176A
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
<: ;:J E*E -:9>A;>1 ?! ,E*L*
=6%A1 P 16%7796 -?7@ 6A<9:@66X1
=67?=6A6!7 1@176A
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
**E F%1H?!87:! 17=667 -:9>A;>1 ?! ,E*L)
=6%A1 P 1:!:A% -:>!7@ 6A<9:@661 =67?=6A6!7
%11:-?%7?:!
%77! A?-H%69 8=:11A%! 1:!:A% -:>!7@ 6A<9:@661
=67?=6A6!7 %11:-?%7?:!
,++ %5?%7?:! ;954C 1>?76 )LL 1%!7% =:1% -% OK,L+
=6%A1 P 1:!:A% -:>!7@ 6A<9:@661 =67?=6A6!7
%11:-?%7?:!
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
<: ;:J E*E -:9>A;>1 ?! ,E*L*
=6%A1 P 1:!:A% -:>!7@ 6A<9:@661 =67?=6A6!7
%11:-?%7?:!
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
**E F%1H?!87:! 17=667 -:9>A;>1 ?! ,E*L)
<"U$ ,O VW N*
09-50026-mg Doc 13832 Filed 01/23/17 Entered 01/23/17 21:14:01 Main Document Pg 75 of 95
!"#$ %&&'$(() %&&'$((* %&&'$((+ %&&'$((, -./0 1/"/$ 2.3
=6%A1 P 1:!:A% -:>!7@ 6A<9:@661 =67?=6A6!7
%11:-?%7?:!
%77! 8=68 Q%H! 1:!:A% -:>!7@ 6A<9:@661
=67?=6A6!7 %11:-?%7?:!
,++ %5?%7?:! ;954C 1>?76 )LL 1%!7% =:1% -% OK,L+
=6%A1 P 1:!:A% -:>!7@ 6A<9:@661 =67?=6A6!7
%11:-?%7?:!
%77! -H=?1769 T>6=?Q6=: 1:!:A% -:>!7@ 6A<9:@661
=67?=6A6!7 %11:-?%7?:!
,++ %5?%7?:! ;954C 1>?76 )LL 1%!7% =:1% -% OK,L+
=6%A1 P 17 ?!4?%!% A%Q:=
A:561
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
<: ;:J E*E -:9>A;>1 ?! ,E*L*
=6%A1 P 17 ?!4?%!% A%Q:=
A:561
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
?!4?%!% 46<%=7A6!7 :B
7=%!1<:=7%7?:!
)LL !M 16!%76 %56MC ?8-! E+L ?!4?%!%<:9?1 ?! ,N*L,
=6%A1 P 17 ?!4?%!% A%Q:=
A:561
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
**E F%1H?!87:! 17=667 -:9>A;>1 ?! ,E*L)
=6%A1 P 17 ?!4?%!% A%Q:=
A:561
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
*,* 17%76 H:>16 ?!4?%!%<:9?1 ?! ,N*L,
=6%A1 P 17 ?!4?%!% A%Q:=
A:561
?!4?%!% %77:=!6@ 86!6=%9X1
:BB?-6
%77! %77:=!6@ 86!6=%9 ?!4?%!% 8:56=!A6!7 -6!76=
1:>7H
+L* FM F%1H?!87:! 17MC K7H
B9::=
?!4?%!%<:9?1 ?! ,N*L,
=6%A1 P 17 9>I6 6<?1-:<%9
H6%97H 1@176A B:>!4%7?:!
%77! A?-H%69 HM -:56=7C
<=61?46!7 R -6:
17M 9>I6X1 H6%97H NN*, B%!!?!C 1>?76 ))LL H:>17:! 7J EEL+L
=6%A1 P 17 9>I6 6<?1-:<%9
H6%97H 1@176A B:>!4%7?:!
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
+)LL A%?! 17=667 H:>17:! 7J EELL*
=6%A1 P 17 9>I6 6<?1-:<%9
H6%97H 1@176A B:>!4%7?:!
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
<: ;:J E*E -:9>A;>1 ?! ,E*L*
=6%A1 P 17 9>I6 6<?1-:<%9
H6%97H 1@176A B:>!4%7?:!
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
**E F%1H?!87:! 17=667 -:9>A;>1 ?! ,E*L)
=6%A1 P 17%76 :B ?!4?%!% A%Q:= A:561 -:!17=>-7?:!
B>!4
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
?!4?%!% 46<%=7A6!7 :B
7=%!1<:=7%7?:!
)LL !M 16!%76 %56MC ?8-! E+L ?!4?%!%<:9?1 ?! ,N*L,
=6%A1 P 17%76 :B ?!4?%!% A%Q:= A:561 -:!17=>-7?:!
B>!4
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
*,* 17%76 H:>16 ?!4?%!%<:9?1 ?! ,N*L,
=6%A1 P 17%76 :B ?!4?%!% A%Q:= A:561 -:!17=>-7?:!
B>!4
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
<: ;:J E*E -:9>A;>1 ?! ,E*L*
=6%A1 P 17%76 :B ?!4?%!% A%Q:= A:561 -:!17=>-7?:!
B>!4
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
**E F%1H?!87:! 17=667 -:9>A;>1 ?! ,E*L)
=6%A1 P 17%76 :B ?!4?%!% A%Q:= A:561 -:!17=>-7?:!
B>!4
?!4?%!% %77:=!6@ 86!X1 :BB?-6C
%77! %77:=!6@ 86!
?!4?%!% 8:56=!A6!7 -6!76=
1:>7H
+L* FM F%1H?!87:! 17MC K7H
B9::=
?!4?%!%<:9?1 ?! ,N*L,
=6%A1 P 7H6 A%7H6= B:>!4%7?:!
-:=6 <9>1
%77! A%=@ 96%=@ <=61?46!7 R -6: A%7H6=9?B6F%@1 )NL+ :==?!87:! %56!>6C 1>?76
)DLL
65%!17:! ?9 NL*L)
=6%A1 P 7H6 A%7H6= B:>!4%7?:!
-:=6 <9>1
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
<: ;:J E*E -:9>A;>1 ?! ,E*L*
=6%A1 P 7H6 A%7H6= B:>!4%7?:!
-:=6 <9>1
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
**E F%1H?!87:! 17=667 -:9>A;>1 ?! ,E*L)
=6%A1 P 7H6 =:7%=@ B:>!4%7?:! %77! Q:H! H6FI:C 86!6=%9
16-=67%=@
=:7%=@ ?!7=!79 :!6 =:7%=@ -6!76= )KNL 1H6=A%! %56!>6 65%!17:! ?9 NL*L)
=6%A1 P 7H6 =:7%=@ B:>!4%7?:! %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
<: ;:J E*E -:9>A;>1 ?! ,E*L*
=6%A1 P 7H6 =:7%=@ B:>!4%7?:! %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
**E F%1H?!87:! 17=667 -:9>A;>1 ?! ,E*L)
=6%A1 P 7=>17661 :B <>=4>6
>!?56=1?7@
%77! 7H:A%1 1<>=86:!C
-H%?=A%!
<>=4>6 >!?56=1?7@ ;:%=4 :B
7=>17661
H:546 H%99C =::A *,E N)L <>=4>6 A%99 F617 9%B%@6776 ?! ,EOLE
=6%A1 P 7=>17661 :B <>=4>6
>!?56=1?7@
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
<: ;:J E*E -:9>A;>1 ?! ,E*L*
=6%A1 P 7=>17661 :B <>=4>6
>!?56=1?7@
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
**E F%1H?!87:! 17=667 -:9>A;>1 ?! ,E*L)
<"U$ KL VW N*
09-50026-mg Doc 13832 Filed 01/23/17 Entered 01/23/17 21:14:01 Main Document Pg 76 of 95
!"#$ %&&'$(() %&&'$((* %&&'$((+ %&&'$((, -./0 1/"/$ 2.3
=6%A1 P >!?56=1?7@ :B I6!7>-I@ %77! ;?99 7H=:C 86!6=%9
-:>!169
+L)Q A%?! ;>?94?!8 LL+* 96J?!87:! I@ ,LKLN
=6%A1 P >!?56=1?7@ :B I6!7>-I@ %77! 4=M 69? -%<?9:>7: <=61?46!7 )L) A%?! ;>?94?!8 LL+* 96J?!87:! I@ ,LKLN
=6%A1 P >!?56=1?7@ :B I6!7>-I@ %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
<: ;:J E*E -:9>A;>1 ?! ,E*L*
=6%A1 P >!?56=1?7@ :B I6!7>-I@ %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
**E F%1H?!87:! 17=667 -:9>A;>1 ?! ,E*L)
=6%A1 P 56!7>=% -:>!7@ 6A<9:@661X =67?=6A6!7
%11:-?%7?:!
7=%-@ 7:F!6=C -H%?=A%! 56!7>=% -:>!7@ 6A<9:@661
=67?=6A6!7 %11:-?%7?:!
))OL 1M 5?-7:=?% %56!>6C 1>?76
*LL
56!7>=% -% O+LL+
=6%A1 P 56!7>=% -:>!7@ 6A<9:@661X =67?=6A6!7
%11:-?%7?:!
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
<: ;:J E*E -:9>A;>1 ?! ,E*L*
=6%A1 P 56!7>=% -:>!7@ 6A<9:@661X =67?=6A6!7
%11:-?%7?:!
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
**E F%1H?!87:! 17=667 -:9>A;>1 ?! ,E*L)
=6%A1 %1167 A%!%86A6!7 %77![ Q%1:! H:@6= **E F%1H?!87:! 17=667 -:9>A;>1 ?! ,E*L)
=6%A1 ;:%=4 :B B?=6 R <:9?-6
<6!1?:!
-:AA?11?:!6=1 :B 7H6 -?7@ :B
9:1 %!86961
%77! ;69?!4% AM 568%C <=61?46!7 46<%=7A6!7 :B B?=6 %!4 <:9?-6
<6!1?:!1
+NL 6%17 16-:!4 17=667C 1>?76 ,LL 9:1 %!86961 -% OLL)*
=6%A1 ;:%=4 :B B?=6 R <:9?-6
<6!1?:!
-:AA?11?:!6=1 :B 7H6 -?7@ :B
9:1 %!86961
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
<: ;:J E*E -:9>A;>1 ?! ,E*L*
=6%A1 ;:%=4 :B B?=6 R <:9?-6
<6!1?:!
-:AA?11?:!6=1 :B 7H6 -?7@ :B
9:1 %!86961
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
**E F%1H?!87:! 17=667 -:9>A;>1 ?! ,E*L)
=6%A1 -H?-%8: <%=I 4?17=?-7 %77! <%A69% %M A>!?22?C
<=61?46!7
<%=I 6A<9:@661X %!!>?7@ %!4
;6!6B?7 B>!4
KK 6%17 A:!=:6 17=667 1>?76 *E*L -H?-%8: ?9 NLNL+
=6%A1 -H?-%8: <%=I 4?17=?-7 %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
<: ;:J E*E -:9>A;>1 ?! ,E*L*
=6%A1 -H?-%8: <%=I 4?17=?-7 %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
**E F%1H?!87:! 17=667 -:9>A;>1 ?! ,E*L)
=6%A1 -H?94=6!X1 H:1<?7%9 B>!4 %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
<: ;:J E*E -:9>A;>1 ?! ,E*L*
=6%A1 -H?94=6!X1 H:1<?7%9 B>!4 %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
**E F%1H?!87:! 17=667 -:9>A;>1 ?! ,E*L)
=6%A1 -?7@ :B A?9F%>I66
=67?=6A6!7 1@176A
%77! A%@:= 7:A ;%==677 -?7@ H%99 *LL 6M F6991 17=667 =::A *L) A?9F%>I66 F? K+*L*
=6%A1 -?7@ :B A?9F%>I66
=67?=6A6!7 1@176A
%77! ;6=!%=4 QM %996! 6J6->7?56 4?=6-7:= -?7@ :B A?9F%>I66 6A<9:@61X
=67?=6A6!7 1@176A
EDO !:=7H F%76= 17=667 1>?76 +LL A?9F%>I66 F? K+*L*
=6%A1 -?7@ :B A?9F%>I66
=67?=6A6!7 1@176A
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
<: ;:J E*E -:9>A;>1 ?! ,E*L*
=6%A1 -?7@ :B A?9F%>I66
=67?=6A6!7 1@176A
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
**E F%1H?!87:! 17=667 -:9>A;>1 ?! ,E*L)
=6%A1 -?7@ :B A:!78:A6=@
%9%;%A%
6A<9:@66X1 =67?=6A6!7 1@176A %77! 7@1:! H:F%=4C ;:%=4
-H%?=A%!
-?7@ :B A:!78:A6=@
=67?=6A6!7 1@176A1
)L+ !:=7H <6==@ 17=667C =::A
)*K
A:!78:A6=@ %9 +N)L,
=6%A1 -?7@ :B A:!78:A6=@
%9%;%A%
6A<9:@66X1 =67?=6A6!7 1@176A %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
) F%99 17=667 +=4 B9::=C F?!4:F % !6F @:=I !@ )L*DN
=6%A1 -?7@ :B A:!78:A6=@
%9%;%A%
6A<9:@66X1 =67?=6A6!7 1@176A %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
<: ;:J E*E -:9>A;>1 ?! ,E*L*
=6%A1 -?7@ :B A:!78:A6=@
%9%;%A%
6A<9:@66X1 =67?=6A6!7 1@176A %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
**E F%1H?!87:! 17=667 -:9>A;>1 ?! ,E*L)
=6%A1 -?7@ :B A:!78:A6=@
=67?=6A6!7 1@176A
%77! 7@1:! H:F%=4C ;:%=4
-H%?=A%!
-?7@ :B A:!78:A6=@
=67?=6A6!7 1@176A1
)L+ !:=7H <6==@ 17=667 =::A )*K A:!78:A6=@ %9 +N)L,
<"U$ K) VW N*
09-50026-mg Doc 13832 Filed 01/23/17 Entered 01/23/17 21:14:01 Main Document Pg 77 of 95
!"#$ %&&'$(() %&&'$((* %&&'$((+ %&&'$((, -./0 1/"/$ 2.3
=6%A1 -?7@ :B A:!78:A6=@
=67?=6A6!7 1@176A
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
<: ;:J E*E -:9>A;>1 ?! ,E*L*
=6%A1 -?7@ :B A:!78:A6=@
=67?=6A6!7 1@176A
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
**E F%1H?!87:! 17=667 -:9>A;>1 ?! ,E*L)
=6%A1 -?7@ :B :%I9%!4 <:9?-6 %77! I%7%!: I%1%?!6C A%!%86=C
=67?=6A6!7 1@176A1
=67?=6A6!7 1@176A1 9?:!69 F?91:! ;>?94?!8 )KL B=%!I HM :8%F% <9%2%C +=4
B9::=
:%I9%!4 -% O,N)*P*L*)
=6%A1 -?7@ :B :%I9%!4 <:9?-6 %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
<: ;:J E*E -:9>A;>1 ?! ,E*L*
=6%A1 -?7@ :B :%I9%!4 <:9?-6 %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
**E F%1H?!87:! 17=667 -:9>A;>1 ?! ,E*L)
=6%A1 -?7@ :B :%I9%!4 <:9?-6 %77! A%@:= 9?;;@ 1-H%%B ) B=%!I HM :8%F% <9%2%C +=4
B9::=
:%I9%!4 -% O,N)*
=6%A1 ?!4?%!% 17%76 <:9?-6 %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
17%76 <:9?-6 B>!41C ?!4?%!%
17%76 <:9?-6
?!4?%!% 8:56=!A6!7 -6!76=
!:=7H
)LL !:=7H 16!%76 %56!>6 ?!4?%!%<:9?1 ?! ,N*L,
=6%A1 ?!4?%!% 17%76 <:9?-6 %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
<: ;:J E*E -:9>A;>1 ?! ,E*L*
=6%A1 ?!4?%!% 17%76 <:9?-6 %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
**E F%1H?!87:! 17=667 -:9>A;>1 ?! ,E*L)
=6%A1 ?!4?%!% 17%76 <:9?-6 %77! B9:@4 76%A6=C 4?=6-7:= <:9?-6 %!4 B?=6 B>!41 ),+ F617 A%=I67 17=667 ?!4?%!%<:9?1 ?! ,N*L,
=6%A1 ?!4?%!% 17%76 <:9?-6 ?!4?%!% <>;9?- =67?=6A6!7
1@176A Y?!<=1Z
%77! A=M 17656 =>11:C 4?=6-7:= :!6 !:=7H -%<?7:9C 1>?76 LL) ?!4?%!%<:9?1 ?! ,N*L,
=6%A1 ?!4?%!% 17%76 <:9?-6
<6!1?:! B>!4
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
17%76 <:9?-6 B>!41C ?!4?%!%
17%76 <:9?-6
?!4?%!% 8:56=!A6!7 -6!76=
!:=7H
)LL !:=7H 16!%76 %56!>6 ?!4?%!%<:9?1 ?! ,N*L,
=6%A1 ?!4?%!% 17%76 <:9?-6
<6!1?:! B>!4
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
<: ;:J E*E -:9>A;>1 ?! ,E*L*
=6%A1 ?!4?%!% 17%76 <:9?-6
<6!1?:! B>!4
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
**E F%1H?!87:! 17=667 -:9>A;>1 ?! ,E*L)
=6%A1 ?!4?%!% 17%76 <:9?-6
<6!1?:! B>!4
%77! B9:@4 76%A6=C 4?=6-7:= <:9?-6 %!4 B?=6 B>!41 ),+ F617 A%=I67 17=667 ?!4?%!%<:9?1 ?! ,N*L,
=6%A1 ?!4?%!% 17%76 <:9?-6
<6!1?:! B>!4
?!4?%!% <>;9?- =67?=6A6!7
1@176A Y?!<=1Z
%77! A=M 17656 =>11:C 4?=6-7:= :!6 !:=7H -%<?7:9C 1>?76 LL) ?!4?%!%<:9?1 ?! ,N*L,
=6%A1 ?!4?%!% 17%76 <:9?-6
<6!1?:! 7=>17
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
17%76 <:9?-6 B>!41C ?!4?%!%
17%76 <:9?-6
?!4?%!% 8:56=!A6!7 -6!76=
!:=7H
)LL !:=7H 16!%76 %56!>6 ?!4?%!%<:9?1 ?! ,N*L,
=6%A1 ?!4?%!% 17%76 <:9?-6
<6!1?:! 7=>17
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
<: ;:J E*E -:9>A;>1 ?! ,E*L*
=6%A1 ?!4?%!% 17%76 <:9?-6
<6!1?:! 7=>17
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
**E F%1H?!87:! 17=667 -:9>A;>1 ?! ,E*L)
=6%A1 ?!4?%!% 17%76 <:9?-6
<6!1?:! 7=>17
%77! B9:@4 76%A6=C 4?=6-7:= <:9?-6 %!4 B?=6 B>!41 ),+ F617 A%=I67 17=667 ?!4?%!%<:9?1 ?! ,N*L,
=6%A1 ?!4?%!% 17%76 <:9?-6
<6!1?:! 7=>17
?!4?%!% <>;9?- =67?=6A6!7
1@176A Y?!<=1Z
%77! A=M 17656 =>11:C 4?=6-7:= :!6 !:=7H -%<?7:9C 1>?76 LL) ?!4?%!%<:9?1 ?! ,N*L,
=6%A1 ?!4?%!% 17%76 76%-H6=1
=67?=6A6!7 B>!4
%77! 17656 =>11: 4?=6-7:= ?!4?%!% <>;9?- =67?=6A6!7
1@176A
:!6 !:=7H -%<?7:9C 1>?76 LL) ?!4?%!%<:9?1 ?! ,N*L,
=6%A1 ?!4?%!% 17%76 76%-H6=1
=67?=6A6!7 B>!4
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
<: ;:J E*E -:9>A;>1 ?! ,E*L*
=6%A1 ?!4?%!% 17%76 76%-H6=1
=67?=6A6!7 B>!4
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
**E F%1H?!87:! 17=667 -:9>A;>1 ?! ,E*L)
=6%A1 ?!4?%!% 17%76 76%-H6=1
=67?=6A6!7 B>!4
?!4?%!% %77:=!6@ 86!6=%9X1
:BB?-6
?!4?%!% 8:56=!A6!7 -6!76=
1:>7H
+L* FM F%1H?!87:! 17MC K7H
B9::=
?!4?%!%<:9?1 ?! ,N*L,
<"U$ K* VW N*
09-50026-mg Doc 13832 Filed 01/23/17 Entered 01/23/17 21:14:01 Main Document Pg 78 of 95
!"#$ %&&'$(() %&&'$((* %&&'$((+ %&&'$((, -./0 1/"/$ 2.3
=6%A1 ?!76= 9:-%9 <6!1?:!
B>!4 :B 7H6 8=%<H?- -:AA
?!7=!79 ;=:7H6=H::4 :B
76%A176=1
%77! 9%F=6!-6 A?7-H699C
6J6->7?56 4?=6-7:=
?!7 9-9 <!1! B!4 :G7 8=<H-
-:A ?!79 ;=7H4 : 7A17=1
,KK I6H:6 ;954C 1>?76 )LL -%=:9 17=6%A ?9 NL)DD
=6%A1 ?!76= 9:-%9 <6!1?:!
B>!4 :B 7H6 8=%<H?- -:AA
?!7=!79 ;=:7H6=H::4 :B
76%A176=1
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
<: ;:J E*E -:9>A;>1 ?! ,E*L*
=6%A1 ?!76= 9:-%9 <6!1?:!
B>!4 :B 7H6 8=%<H?- -:AA
?!7=!79 ;=:7H6=H::4 :B
76%A176=1
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
**E F%1H?!87:! 17=667 -:9>A;>1 ?! ,E*L)
=6%A1 I=%B7 B::41 89:;%9 ?!-M I=%B7 B::41 8=:><C ?!-M -G: -7 -:=<:=%7?:! 1@176A ))) D7H %56!>6 !M@M !@ )LL))PK*L)
=6%A1 I=%B7 B::41 89:;%9 ?!-M %77! Q:H! 7:;?! -%H?99 -H%?=A%! R -6: I=%B7 B::41 8=:><C ?!-MC 7H=66 9%I61 4=?56 !:=7HB?694 ?9 NLLO+
=6%A1 I=%B7 B::41 89:;%9 ?!-M %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
<: ;:J E*E -:9>A;>1 ?! ,E*L*
=6%A1 I=%B7 B::41 89:;%9 ?!-M %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
**E F%1H?!87:! 17=667 -:9>A;>1 ?! ,E*L)
=6%A1 9:>?1?%!% -%=<6!76=1
=68?:!%9
-:>!-?9 <6!1?:! 7=>17 B>!4 %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
<: ;:J E*E -:9>A;>1 ?! ,E*L*
=6%A1 9:>?1?%!% -%=<6!76=1
=68?:!%9
-:>!-?9 <6!1?:! 7=>17 B>!4 -G: -6!7=%9 1:>7H -%=<6!76=1
=68?:!%9 -:>!-?9
%77! Q:H! FM 64F%=41C
<=61?46!7
DDEK 8=66!F699 1<=?!81 =4 S% ;%7:! =:>86 9% ELD),P*E)L
=6%A1 9:>?1?%!% -%=<6!76=1
=68?:!%9
-:>!-?9 <6!1?:! 7=>17 B>!4 %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
**E F%1H?!87:! 17=667 -:9>A;>1 ?! ,E*L)
=6%A1 9:>?1?%!% -%=<6!76=1
=68?:!%9
-:>!-?9 <6!1?:! 7=>17 B>!4 9% -%=<6!76=1 =68?:!%9
-:>!-?9 <6!1?:! 7=>17
-G: 26!?7H %4A?!?17=%7:=1C
?!-MC %77![ 962966 F%99
*,KL 1656=! %56!>6C 1>?76 +LK A67%?=?6 9% ELLL)P)O*N
=6%A1 A>!?-?<%9 6A<9:@66 =67?=6A6!7 1@176A :B A?-H?8%! %77! A=M A?-H%69 ;=:F!C
-H%?=<6=1:! :B 7H6 ;:%=4
A>!?-?<%9 6A<9:@661X
=67?=6A6!7 1@176A
))+, A>!?-?<%9 F%@ 9%!1?!8 A? ,DO)E
=6%A1 A>!?-?<%9 6A<9:@66 =67?=6A6!7 1@176A :B A?-H?8%! %77! I%=6! 1M F?9-:J <: ;:J NNN -:9>A;>1 ?! ,E*L*PLNNN
=6%A1 A>!?-?<%9 6A<9:@66 =67?=6A6!7 1@176A :B A?-H?8%! %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
<: ;:J E*E -:9>A;>1 ?! ,E*L*
=6%A1 A>!?-?<%9 6A<9:@66 =67?=6A6!7 1@176A :B A?-H?8%! %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
**E F%1H?!87:! 17=667 -:9>A;>1 ?! ,E*L)
=6%A1 7=>17661 :B ?!4?%!%
>!?56=1?7@
%77! =%!4%99 7:;?%1 -H%?= :B 7H6 ;:%=4C 7H6
7=>17661 :B ?! >!?56=1?7@
?> ;9::A?!87:!C B=%!I9?! H%99
*LL
NL) 6M I?=IF::4 %56!>6 ;9::A?!87:! ?! ,E,LK
=6%A1 7=>17661 :B ?!4?%!%
>!?56=1?7@
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
<: ;:J E*E -:9>A;>1 ?! ,E*L*
=6%A1 7=>17661 :B ?!4?%!%
>!?56=1?7@
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
**E F%1H?!87:! 17=667 -:9>A;>1 ?! ,E*L)
=6%A1 >!-:!17=%?!64 ;:!4
B>!4C 99-
-G: =6%A1 >!-:!17=%?!64
;:!4 B>!4C 99-
%77! 4%5?4 ;M A-I?!!6@C
<=61?46!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
**E F%1H?!87:! 17=667 -:9>A;>1 ?! ,E*L)
=6%A1 >!-:!17=%?!64 ;:!4
B>!4C 99-
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
<: ;:J E*E -:9>A;>1 ?! ,E*L*
=6?-HH:94 %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
<6!1?:! ;6!6B?7 8>%=%!7@
-:=<M
)*LL I 17=667C !MFM F%1H?!87:! 4- *LLLKP,L*N
=6?-HH:94 %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
KK F%76= 17=667 <9%2% 96569 P +=4 B9::= !6F @:=I !@ )LL,)
=6?-HH:94 %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
<: ;:J E*E -:9>A;>1 ?! ,E*L*
=6?-HH:94 %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
=6%A1 %1167 A%!%86A6!7
-:A<%!@
**E F%1H?!87:! 17=667 -:9>A;>1 ?! ,E*L)
=8% =6?!1>=%!-6 -:A<%!@ %77! <%>9 %M 1-H>176= -H?6B 6J6->7?56 :BB?-6= %!4
<=61?46!7
)NNLL 1F?!896@ =?486 =4 -H6176=B?694 A: N+L)EP)ELN
=8% =6?!1>=%!-6 -:A<%!@ -G: -7 -:=<:=%7?:! 1@176A )NNLL 1F?!896@ =?486 =4 -H6176=B?694 A: N+L)EP)ELN
<"U$ K+ VW N*
09-50026-mg Doc 13832 Filed 01/23/17 Entered 01/23/17 21:14:01 Main Document Pg 79 of 95
!"#$ %&&'$(() %&&'$((* %&&'$((+ %&&'$((, -./0 1/"/$ 2.3
=8% =6?!1>=%!-6 -:A<%!@ %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
*LL <%=I %56!>6 1>?76 **LL !6F @:=I !@ )L)NN
=>11699 ?!5617A6!7 -:A<%!@
<9-
7H6 89:;%9 17=%768?- @?694
B>!4
%77! 8=68:=@ QM 17%=IC -6:
%!4 <=61?46!7
=>11699 ?!5617A6!7 -:A<%!@ )+L) 16-:!4 %56!>6 )D7H
B9::=
16%7796 F% OD)L)
=>11699 ?!5617A6!71 %77![ 699?:7 -:H6! )+L) 16-:!4 %56!>6 )D7H B9::= 16%7796 F% OD)L)
=>11699 ?!5617A6!71 %77![ 4%5?4 656=677 )+L) 16-:!4 %56!>6 )D7H B9::= 16%7796 F% OD)L)
=>11699 17=%768?- ;:!4 B>!4 =>11699 ?!5617A6!7 -:A<%!@ -G: -7 -:=<:=%7?:! 1@176A ))) D7H %56 !6F @:=I !@ )LL))PK*L)
=>11699 17=%768?- ;:!4 B>!4 %77! 8=68:=@ QM 17%=I -6: %!4 <=61?46!7 =>11699 ?!5617A6!7 -:A<%!@ )+L) 16-:!4 %56!>6 )D7H
B9::=
16%7796 F% OD)L)
1%!B:=4 ;6=!176?! ?? ?!76=A 4> %77! =:;6=7 I6?7HC -6: %!4
<=61?46!7
1%!B:=4 - ;6=!176?! B!4 ??
?!-P?!76= 4>= ?!17 <:=7
-G: %99?%!-6;6=!176?! 9M<M )+,K %56!>6 :B 7H6 %A6=?-%1 !6F @:=I !@ )L)LK
1%!B:=4 ;6=!176?! ?? ?!76=A 4> -G: 7H6 <=6!7?-6PH%99
-:=<:=%7?:! 1@176A
1%!B:=4 - ;6=!176?! B>!4 ?? ?!-
?!76=A64?%76 4>=%7?:! ?!17!9
<:=7B:9?:
%77![ <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
E 17M <%>9 17=667C 1>?76 D*L ;%97?A:=6 A4 *)*L*
1%!B:=4 -M ;6=!176?! B>!4C ?!-M ?!76=A64?%76 4>=%7?:!
<:=7B:9?:
-G: %99?%!-6;6=!176?! 9M<M %77![ A%=?9@! B64%IC <=61?46!7 )+,K %56!>6 :B 7H6 %A6=?-%1 !6F @:=I !@ )L)LK
1%!B:=4 -M ;6=!176?! B>!4C ?!-M ?!76=A64?%76 4>=%7?:!
<:=7B:9?:
-G: 7H6 <=6!7?-6PH%99
-:=<:=%7?:! 1@176A
%77![ <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
E 17M <%>9 17=667C 1>?76 D*L ;%97?A:=6 A4 *)*L*
1%!I%7@ H?8H @?694 <%=7!6=1 ???
9<
%77! A1M 4?%!6 QM 6J76= 16!?:= 4?=6-7:= Q:H! H%!-:-I 7:F6= *LL -9%=6!4:! 17=667 ;:17:! A% L*))N
1%!I%7@ H?8H @?694 <%=7!6=1 ???
9<
-G: 7H6 -:=<:=%7?:! 7=>17 -: -:=<:=%7?:! 7=>17 -6!76= )*LO :=%!86 17 F?9A?!87:! 46 )ODL)
1%!I%7@ H?8H @?694 <%=7!6=1 ???
9<
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
))) H>!7?!87:! %56!>6 ;:17:! A% L*)OO
1%!7% ;%=;%=% -:>!7@ %77! H696!6 1-H!6?46= A%@:= -?7@ H%99 <M:M ;:J )OOL 1%!7% ;%=;%=% -% O+)L*P)OOL
16%7796 -?7@ 6A<9:@661X
=67?=6A6!7 1@176A
%77! 64F%=4 A>==%@ A%@:= -?7@ :B 16%7796 <: ;:J O,E,O 16%7796 F% OD)*,P,E,O
16%7796 -?7@ 6A<9:@661X
=67?=6A6!7 1@176A
-?7@ :B 16%7796 :BB?-6 :B 7H6 -?7@ -96=I <: ;:J O,E*D 16%7796 F% OD)*,P,E*D
16%7796 -?7@ 6A<9:@661X
=67?=6A6!7 1@176A
%77! I6!!67H QM !%I%71> ?!76=?A 6J6->7?56 4?=6-7:=C
1-6=1
<%-?B?- ;>?94?!8 E*L +=4 %56C O7H B9::= 16%7796 F% OD)L,
16%7796 -?7@ 6A<9:@661X
=67?=6A6!7 1@176A
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
) F%99 17=667 +=4 B9::=C F?!4:F % !6F @:=I !@ )LL,)
16%7796 -?7@ 6A<9:@661X
=67?=6A6!7 1@176A
%77! -6-69?% -%=76= 6J6->7?56 :BB?-6=C 1-6=1 <%-?B?- ;>?94?!8 E*L +=4 %56C O7H B9::= 16%7796 F% OD)L,
16-:!4%=@ 9:%! R 4?17=61164 %77! Q:H! AM -%99%8@ I6996@ 4=@6 R F%==6!C 99< )L) <%=I %56!>6 !6F @:=I !@ )L)ED
16-:!4%=@ 9:%! R 4?17=61164 %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
Q<A:=8%! -H%16 ;%!I *EL <%=I %56M !6F @:=I !@ )LL)EP*L),
16-:!4%=@ 9:%! R 4?17=61164 %77! H%=:94 1M !:5?I:BB F%-H7699C 9?<7:!C =:16! R I%72 K) F617 K*!4 17=667 !6F @:=I !@ )LL)O
16->=?7@ ?!5617:=1P16- ?!-A
B>!4PH?8H @?694 1=1
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
16->=?7@ ?!5617:=1C 99- -G: 8>886!H6?A <%=7!6=1 99- ++L A%4?1:! %56!>6 !6F @:=I !@ )LL)E
16->=?7@ ?!5617:=1P16- ?!-A
B>!4PH?8H @?694 1=1
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
:!6 16->=?7@ ;6!6B?7 <9%-6 7:<6I% I1 NNN+NPLLL)
16? ?!17?7>7?:!%9 A%!%864
7=>17X1
-:=6 B?J64 ?!-:A6 %77! I65?! <%7=?-I ;%==C
<=61?46!7 %!4 4?=6-7:=
:!6 B=664:A 5%996@ 4=?56 :%I1 <% )O,KNP))LL
16? ?!17?7>7?:!%9 A%!%864
7=>17X1
-:=6 B?J64 ?!-:A6 -G: -:=<:=%7?:! 16=5?-6
-:A<%!@
DL 17%76 17 %9;%!@ !@ )**LEP*K,+
<"U$ K, VW N*
09-50026-mg Doc 13832 Filed 01/23/17 Entered 01/23/17 21:14:01 Main Document Pg 80 of 95
!"#$ %&&'$(() %&&'$((* %&&'$((+ %&&'$((, -./0 1/"/$ 2.3
16? ?!17?7>7?:!%9 A%!%864
7=>17X1
-:=6 B?J64 ?!-:A6 %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
+DK 6%17 -:9:=%4: ;:>965%=4 +=4 B9::= <%1%46!% -% O))L)
16!?:= ?!-:A6 7=>17 %77! 7H:A%1 6M B%>17C Q= -H?6B 6J6->7?56 :BB?-6= 6%7:! 5%!-6 A%!%86A6!7 7F: ?!7=!79 <9%-6 A%< ;:17:! A% L*))L
16!?:= ?!-:A6 7=>17 %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
6%7:! 5%!-6 A%!%86A6!7 *KK 17%76 17=667 N7H B9::= ;:17:! A% L*)LO
16!?:= ?!-:A6 7=>17 -G: 6%7:! 5%!-6 %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
*, B646=%9 17=667 N7H B9::= ;:17:! A% L*))L
1BP+ 168=68%764 <:=7B:9?: %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
B:>= -:=!6=1 -%<?7%9 A8A7 9?;6=7@ 7:F6= 9:1 %!86961 -% OLLE)
1BP+ 168=68%764 <:=7B:9?: %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
B:>= -:=!6=1 -%<?7%9 A8A7 <H?9%469<H?% <% )O)L+PELOD
1B= 974M -G: A%<961 9?T>?4%7?:!
16=5?-61
<: ;:J )LO+ ;:>!4%=@ H%99 86:=86 7:F!C I@)P))L*C
-%@A6! ?19%!4
1B= 974M %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
F%9I6=1 1<5 9?A?764 F%9I6= H:>16C DE A%=@ 17=667 86:=86 7:F!C 8=%!4 -%@A%!
I@ )POLLK -%@A%! ?19%!41
1H%<?=: H%;6= R >=A@ 99< %77![ 64F%=4 H%;6= 16%<:=7 6%17 7F: 16%<:=7 9%!6 ;:17:! A% L**)L
1H?!!6-:-I -9: ?? 974M %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
O F617 KE7H 17=667 *N7H B9::= !6F @:=I !@ )LL)O
1H?!!6-:-I -9: ?? 974M -G: A%<961 -:=<:=%76
16=5?-61
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
<M:M ;:J +LOC >89%!4 H:>16C
1:>7H -H>=-H 17=667
86:=86 7:F!C I@)P))L,C
-%@A%! ?19%!41
1?956=%4: -9: *LLNP) 974M -G: F6991 B%=8: R -:A<%!@ %77! Q:H! 17>A<B ,*L A:!78:A6=@ 17=667 1%! B=%!-?1-: -% O,)L,
1?956=%4: -9: *LLNP) 974M %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
F%9I6=1 1<5 9?A?764 F%9I6= H:>16C A%=@ 17=667C <:
;:J OLD87
86:=86 7:F!C I@ LLLL -%@A%!
?19%!41
1:9>1 -:=6 :<<:=7>!?7?61
A%176= B>!4 974M
%77! -H=?17:<H6= %!7H:!@
<>-?99:
B:>!46=C <=61?46!7C -6: R
-H?6B ?!5617A6!7 :BB?-6=
1:9>1 %976=!%7?56 %1167
A%!%86A6!7 9<
,+L <%=I %56!>6C ))7H B9::= !@ !@ )LL**
1:9>1 -:=6 :<<:=7>!?7?61
A%176= B>!4 974M
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
-%@A%! -:=<:=%76 -6!7=6 *E H:1<?7%9 =:%4C K7H B9 K7H B9::=C H%A?97:! HA ))C
-%@A%! ?19%!41
1<6%=1 R ?A61 99< %77! Q:%!!% - H6!4:! K) A%4?1:! %56!>6 !6F @:=I !@ )LL)E
1<6%=1 R ?A61 99< %77! %9?-?% IM %A4>= K) A%4?1:! %56!>6 !6F @:=I !@ )LL)E
1<?=67 ?5 9:%! 7=>17 *LL+ ; -G: F?9A?!87:! 7=>17
-:A<%!@
=:4!6@ 1T>%=6 !:=7H ))LL !M A%=I67 17=667 F?9A?!87:! 46 )ODOL
1=? B>!4 9< %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
DO !6J>1 F%@ -%A%!% =:%4C <M:M ;:J +))LN 8=%!4 -%@A%!C I@P)*LKC
-%@A%! ?19%!41
1=? B>!4 9< %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
*L) A%?! 17=667 1>?76 *KLL B:=7 F:=7H 7J EN)L*
111 B>!4?!8 ??C 99- %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
))) H>!7?!87:! %56!>6 +K7H B9::= ;:17:! A% L*)OO
111 B>!4?!8 ??C 99- -G: 1%!I%7@ %45?1:=1 99- %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
*LL -9%=6!4:! 17=667 ;:17:! A% L*))NPKL*)
17%76 :B -:!!6-7?->7 %77! 86:=86 Q6<16! %77:=!6@ 86!6=%9 :BB?-6 :B 7H6 %77:=!6@
86!6=%9
KK 69A 17=667 H%=7B:=4 -7 LN)LN
17%76 :B ?!4?%!% A%Q:= A:561 %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
?!4?%!% 46<%=7A6!7 :B
7=%!1<:=7%7?:!
)LL !M 16!%76 %56MC ?8-! E+L ?!4?%!%<:9?1 ?! ,N*L,
17%76 :B ?!4?%!% A%Q:= A:561 %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
*,* 17%76 H:>16 ?!4?%!%<:9?1 ?! ,N*L,
17%76 :B ?!4?%!% A%Q:= A:561 ?!4?%!% %77:=!6@ 86!6=%9X1
:BB?-6
%77! %77:=!6@ 86!6=%9 ?!4?%!% 8:56=!A6!7 -6!76=
1:>7H
+L* FM F%1H?!87:! 17MC K7H
B9::=
?!4?%!%<:9?1 ?! ,N*L,
<"U$ KK VW N*
09-50026-mg Doc 13832 Filed 01/23/17 Entered 01/23/17 21:14:01 Main Document Pg 81 of 95
!"#$ %&&'$(() %&&'$((* %&&'$((+ %&&'$((, -./0 1/"/$ 2.3
17?-H7?!8
;64=?QB17%I<6!1?:6!B:!41
5::= 46 A67%96I7=:
%77! =:;6=7 5%! 1-H%?IC H6%4
:B <57 6T R ?!B=%1
A! 16=5?-61 !5 <=?!161
;6%7=?J9%%! )K
7H6 H%8>6C 2>?4PH:99%!4C *KOK
%IC !67H6=9%!41
17?-H7?!8
;64=?QB17%I<6!1?:6!B:!41
5::= 46 A67%96I7=:
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
B:9I17:!6F68 +DC )))D 9A
9>-H7H%56! 1-H?<H:9
A! 16=5?-61 56=A:86!1;6H66=
;5 ;>=86=!66176=
6916!!?%%! +*O **D* A2 =?Q1F?QI
*H !67H6=9%!41
17?-H7?!8 46<:1?7%=@ %<8 B?J64
?!-:A6 -=64?71 <::9
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
:>46 9?!4617=%%7 EL H66=96!C 9?A;>=8C !9C N,)) 6QC
!67H6=9%!41
17?-H7?!8 <6!1?:6!B:!41 %;< %77! <%>9 1<?QI6=1C H6%4 :B
968%9 %BB%?=1
H6%4 :B ;:!41C %!4 4?=6-7:=
:B B?J64 ?!-:A6
:>46 9?!4617=%%7 EL H66=96!C 9?A;>=8 N,)) 6QC
!67H6=9%!41
17?-H7?!8 <6!1?:6!B:!41 %;< :>46 9?!4617=%%7 EL N,)) 6Q H66=96! <: ;:J *DDO N,L) 4QC H66=96! !67H6=9%!41
17?-H7?!8 <6!1?:6!B:!41 5%!
46 A67%96I7=:
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
B:9I17:!6F68 +D 7;4C !::=4PH:99%!4 )))D 9AC !67H6=9%!41
17?-H7?!8 <6!1?:!B:!41 A6 %77! =:;6=7 5%! 1-H%?I H6%4 :B <=?5%76 6T>?7@ %!4
?!B=%17=>-7>=6
A! 16=5?-61 !5 <=?!161
;6%7=?J9%%! )K
7H6 H%8>6C 2>?4PH:99%!4C *KOK
%IC !67H6=9%!41
17?-H7?!8 <6!1?:!B:!41 A6 %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
B:9I17:!6F68 +DC )))D 9A
9>-H7H%56! 1-H?<H:9
A! 16=5?-61 56=A:86!1;6H66=
;5 ;>=86=!66176=
6916!!?%%! +*OC **D* A2 =?Q1F?QI
*HC !67H6=9%!41
17:!6@ 9%!6 B>!4?!8 ? 974M %77! A%=I 8:94 -:PB:>!46= R A%!%8?!8
<%=7!6=
-G: H?99A%=I -%<?7%9
A%!%86A6!7C 9M<M
NLL A%4?1:! %56!>6C )N7H
B9::=
!@ !@ )LL**
17:!6@ 9%!6 B>!4?!8 ? 974M %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
T>66!18%76 H:>16 <: ;:J )LO+87 86:=86 7:F!C -? )LO+C -%@A%!
?19%!41
17=%496@ =:!:! 17656!1 R
@:>!8C 99<
%77![ A%=I 4:=5%9 *LLK A%=I67 17=667 1>?76 *NLL <H?9%469<H?% <% )O)L+
7%-:!?- -%<?7%9 <%=7!6=1 ) K 9< 7%-:!?- -%<?7%9 %45?1:=1 -G: -:=<:=%7?:! 16=5?-6
-:A<%!@
DL 17%76 17 %9;%!@ !@ )**LEP*K,+
7%-:!?- -%<?7%9 <%=7!6=1 ) K 9< %77! %9@11% 8=6?B @%5!6=C
<=?!-?<%9 %!4 -B:
7%-:!?- -%<?7%9 %45?1:=1 *DL <%=I %56 B9 K6 !6F @:=I !@ )LL)EP)+)N
7%-:!?- A%=I67 4?19:-%7?:!
B>!4 ?? 9<
-G: -:=<:=%7?:! 16=5?-6
-:A<%!@
DL 17%76 17 %9;%!@ !@ )**LEP*K,+
7%-:!?- A%=I67 4?19:-%7?:!
B>!4 ?? 9<
%77! %9@11% 8=6?B @%5!6=C
<=?!-?<%9 %!4 -B:
*DL <%=I %56 B9 K6 !6F @:=I !@ )LL)EP)+)N
7%-:!?- A%=I67 4?19:-%7?:!
A%176= B>!4 ?? 9<
7%-:!?- -%<?7%9 %45?1:=1 -G: -:=<:=%7?:! 16=5?-6
-:A<%!@
DL 17%76 17 %9;%!@ !@ )**LEP*K,+
7%-:!?- A%=I67 4?19:-%7?:!
A%176= B>!4 ?? 9<
%77! %9@11% 8=6?B @%5!6=C
<=?!-?<%9 %!4 -B:
7%-:!?- -%<?7%9 %45?1:=1 *DL <%=I %56 B9 K6 !6F @:=I !@ )LL)EP)+)N
7%-:!?- :<<:=7>!?7@ B>!4 9< -G: -:=<:=%7?:! 16=5?-6
-:A<%!@
*E)) -6!76=5?996 =4 1>?76 ,LL F?9A?!87:! 46 )ODLD
7%-:!?- :<<:=7>!?7@ B>!4 9< %77! %9@11% 8=6?B @%5!6=C
<=?!-?<%9 %!4 -B:
*DL <%=I %56 B9 K6 !6F @:=I !@ )LL)EP)+)N
7%9:! 7:7%9 =67>=! <%=7!6=1 9< %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
7F?! 9%I6 7:7%9 =67>=! <%=7!6=1
9M<M
-G: 1:>7H 9%1%996 A%!%86=1C
99-
))K 1:>7H 9%1%996 17=667C +,7H
B9::=
-H?-%8: ?9 NLNL+
7%9:! 7:7%9 =67>=! T<
<%=7!6=1 9<
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
7F?! 9%I6 7:7%9 =67>=! <%=7!6=1
T< 9M<M
-G: 1:>7H 9%1%996 A%!%86=1C
99-
))K 1:>7H 9%1%996 17=667C +,7H
B9::=
-H?-%8: ?9 NLNL+
7-F %77![ 9%2%=>1 1>! DNK 1 B?8>6=:% 17=667 9:1 %!86961 -% OLL)E
7-F %77![ 7H6=61% 7=%! DNK 1 B?8>6=:% 17=667 9:1 %!86961 -% OLL)E
7-F P 569:-?7@ -9:C 974M -G: A%<961 -:=<:=%76
16=5?-61 9?A?764
<M:M ;:J +LOC >89%!4 H:>16C
1:>7H -H>=-H 17
86:=86 7:F!C 8=%!4 -%@A%!
I@)P))L,
7-F H?8H ?!-A <%=7!6=1 974M %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
69?2%;67H?%! 1T>%=6C *!4 B9::= <: ;:J )OD,87 86:=86 7:F!C I@ LLLLC -%@A%!
?19%!41
<"U$ KN VW N*
09-50026-mg Doc 13832 Filed 01/23/17 Entered 01/23/17 21:14:01 Main Document Pg 82 of 95
!"#$ %&&'$(() %&&'$((* %&&'$((+ %&&'$((, -./0 1/"/$ 2.3
7-F H?8H ?!-:A6 <%=7!6=1 974M %77! 4%5?4 ;M 9?<<A%! -6:C <=61?46!7 R 4?=6-7:= 7H6 7-F 8=:><C ?!-M DNK 1:>7H B?8>6=:% 17=667C 1>?76
)DLL
9:1 %!86961 -% OLL)E
7-F H?8H ?!-:A6 <%=7!6=1C 974M -G: 46>71-H6 ;%!I Y-%@A%!Z
9?A?764
<M:M ;:J )OD,C )E) 698?! %56MC
;:>!4%=@ H%99C
-=?-I67 1T>%=6C 8=%!4
-%@A%!C I@9P))L,
7-F ?9 17%76 ;:%=4 :B
?!5617A6!7
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
*LL <%=I %56!>6 1>?76 **LL !6F @:=I !@ )L)NNPL**D
7-F ?9 17%76 ;:%=4 :B
?!5617A6!7
%77! 4%5?4 9?<<A%! -H?6B 6J6->7?56 :BB?6= 7H6 7-F 8=:><C ?!-M DNK 1:>7H B?8>6=:% 17=667C 1>?76
)DLL
9:1 %!86961 -% OLL)E
7-F ?9 17%76 ;:%=4 :B
?!5617A6!7
%77! 9?1% A%4?8%! %77:=!6@ 86!6=%9 KLL 1:>7H 16-:!4 17=667 1<=?!8B?694 ?9 N*ELN
7-F ?99?!:?1 17%76 ;:%=4 :B
?!5617A6!7
%77! 6A?9@ =664 86!6=%9 -:>!169 R -H?6B
-:A<9?%!-6 :BB?-6=
)DL !:=7H 9%1%996 17=667C =::A
*L)K
-H?-%8: ?9 NLNL)
7-F 16!?:= 16->=64 B9:%7?!8
=%76 9:%! B>!4 9<
-=61-6!7 16!?:= 16->=64 B9:%7?!8 =%76 9:%! B>!4C 99- !%7?:!%9 =68?176=64 %86!71C
?!-M
)NL 8=66!7=66 4= 176 )L) I6!7 46 )OOL,
7-F 16!?:= 16->=64 B9:%7?!8
=%76 9:%! B>!4 9<
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
-=61-6!7 1= 16->=64 B9:%7?!8
=%76 9:%! B>!4C 99-
DNK 1:>7H B?8>6=:% 17=667 9:1 %!86961 -% OLL)E
7-F 16!?:= 16->=64 B9:%7?!8
=%76 9:%! B>!4 9<
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
-=61-6!7 1= 16->=64 B9:%7?!8
=%76 9:%! B>!4C 99-
)))LL 1%!7% A:!?-% ;:>965%=4 1>?76 *LLL 9:1 %!86961 -% OLL*K
7-F 16!?:= 16->=64 B9:%7?!8
=%76 9:%! B>!4 9<
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
*LL <%=I %56!>6 1>?76 **LL !6F @:=I !@ )L)NNPL**D
7-F 16!?:= 16->=64 9:%! B>!4
9<
%77! 4%5?4 9?<<A%! 6J6->7?56 :BB?-6= DNK 1 B?8>6=:% 17 176 )DLL 9:1 %!86961 -% )L)NN
7-F 16!?:= 16->=64 9:%! B>!4
9<
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
>89%!4 H:>16 1:>7H -H>=-H 17=667 8=%!4 -%@A%!C I@ LLLLLC
-%@A%! ?19%!41
7-F 569:-?7@ -9: %77! 4%5?4 ;M 9?<<A%! -6:C <=61?46!7 R 4?=6-7:= 7H6 7-F 8=:><C ?!-M DNK 1:>7H B?8>6=:% 17=667C 1>?76
)DLL
9:1 %!86961 -% OLL)E
7-F 569:-?7@ -9: -G: A%<961 B?!%!-6 974 %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
<M:M ;:J )LO+ 87C T>66!18%76
H:>16
1:>7H -H>=-H 17=667C 8=%!4
-%@A%!C -%@A%! ?19%!41
7-FP<%=I %56!>6 9:%! 7=>17 %77! 4%5?4 ;M 9?<<A%! -6:C <=61?46!7 R 4?=6-7:= 7H6 7-F 8=:><C ?!-M DNK 1:>7H B?8>6=:% 17=667C 1>?76
)DLL
9:1 %!86961 -% OLL)E
76%-H6=1X =67?=6A6!7 1@176A :B 7H6 17%76 :B ?99?!:?1 %77! 9?1% A%4?8%!C %77:=!6@
86!6=%9
KLL 1:>7H 16-:!4 17=667 1<=?!8B?694 ?9 N*ELN
76%-H6=1X =67?=6A6!7 1@176A :B
7H6 17%76 :B ?9
%77! -H=?17:<H6= I:-H <=61?46!7 *D)K F617 F%1H?!87:! 1<=?!8B?694 ?9 N*EL*
76J%1 -:>!7@ R 4?17=?-7 =67
1@176A
%77! I6! <%J7:! %77:=!6@ 86!6=%9 <: ;:J )*K,D %>17?! 7J EDE))P*K,D
76J%1 -:>!7@ R 4?17=?-7 =67
1@176A
%77! %A@ ;?1H:<C 4?=6-7:= OL) 1:>7H A:<%- ;%=7:! :%I1 <9%2% ?5C 1>?76 KLL %>17?! 7J EDE,N
7H6 %11671 A%!%86A6!7
-:AA?7766 :B 7H6
-:-%P-:9% -:A<%!@ A%176=
=67?=6A6!7 7=>17
7H6 -:-%P-:9% -: A%176=
=7=A!7 7= B!4C 9<
7H6 -:=<:=%7?:! 7=>17
-:A<%!@
-:=<:=%7?:! 7=>17 -6!76= )*LO
:=%!86 17
F?9A?!87:! 46 )ODL)
7H6 %11671 A%!%86A6!7
-:AA?7766 :B 7H6
-:-%P-:9% -: A%176=
=67?=6A6!7 7=>17
%77! ;6=!H%=4 -:6<697C1= 5<
86! R -H?6B 989 -!19
7H6 -:-%P-:9% -:A<%!@ :!6 -:-%P-:9% <9%2% %79%!7% 8% +L+)+
7H6 %11671 A%!%86A6!7
-:AA?7766 :B 7H6
-:-%P-:9% -: A%176=
=67?=6A6!7 7=>17
-G: B?469?7@ ?!5617A6!71 %77![ <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
D* 465:!1H?=6 17=667 P 6+)- ;:17:! A% L*)LO
7H6 -H?94=6!X1 H:1<?7%9
B:>!4%7?:!
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
+,7H 17=667 %!4 -?5?- -6!76=
;954M
<H?9%469<H?% <% )O)L,
7H6 4>-H:11:?1 8=:>< ?!-M %77! -=%?8 QM 4>-H:11:?1 -H?6B 6J6->7?56 :BB?-6= D,K 9%=-H %56!>6 69AH>=17 ?9 NL)*K
7H6 4>-H:11:?1 8=:>< ?!-M -G: -7 -:=<:=%7?:! 1@176A *LD 1 9% 1%996 17C 176 D), -H?-%8: ?9 NLNL,P))L)
<"U$ KE VW N*
09-50026-mg Doc 13832 Filed 01/23/17 Entered 01/23/17 21:14:01 Main Document Pg 83 of 95
!"#$ %&&'$(() %&&'$((* %&&'$((+ %&&'$((, -./0 1/"/$ 2.3
7H6 8%9%J?76 A%176= >!?7 7=>17 -G: -9:16 ;=:7H6=1 Y-%@A%!Z
9?A?764
H%=;:>= <9%-6 )L+ 1:>7H -H>=-H 17=667 86:=86 7:F!C -%@A%! ?19%!41
7H6 8%9%J?76 A%176= >!?7 7=>17 %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
-9:16 7=>17661 Y-%@A%!Z
9?A?764
H%=;:>= <9%-6 ,7H B9::=C )L+
1:>7H -H>=-H 17=667
8=%!4 -%@A%!C I@ LLLLL
-%@A%! ?19%!41
7H6 H%=7B:=4 A>7>%9 B>!41C
?!-M
7H6 H%=7B:=4 B9:%7?!8 =%76
B>!4
%77![ :BB?-6=C A%!%8?!8 :=
86!6=%9 %86!7
K =%4!:= -:=<:=%76 -6!76= )LL A%71:!B:=4 =:%4 =%4!:= <% )OLDE
7H6 H%=7B:=4 A>7>%9 B>!41C
?!-M
7H6 H%=7B:=4 B9:%7?!8 =%76
B>!4
-G: 7H6 -:=<:=%7?:! 7=>17
?!-:=<:=%764
+K) F617 -%A46! 17=667 ;%97?A:=6 A4 *)*L)
7H6 H%=7B:=4 A>7>%9 B>!41C
?!-M
7H6 H%=7B:=4 B9:%7?!8 =%76
B>!4
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
*LL H:<A6%4:F 17=667 1?A1;>=@ -7 LNLDO
7H6 H%=7B:=4 A>7>%9 B>!41C
?!-M
7H6 H%=7B:=4 B9:%7?!8 =%76
B>!4
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
)K =%4!:= -:=<:=%76 -6!76= *)LL A%71:!B:=4 =:%4C 1>?76
+LL
=%4!:= 7:F!1H?< <% )OLDE
7H6 A%7H6= B:>!4%7?:! %77! A%=@ 96%=@ <=61?46!7 R -6: A%7H6=9?B6F%@1 )NL+ :==?!87:! %56!>6C 1>?76
)DLL
65%!17:! ?9
7H6 A%7H6= B:>!4%7?:! %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
,L ;=:%4 17=667 D7H B9::= !6F @:=I !@ )LLL,
7H6 :BB?-6 :B %=?2:!% %77:=!6@
86!6=%9
B?469?7@ P %=?2:!% 17%76
=67?=6A6!7 1@176A
%77![ 5%96=?6 A%=-?%!: )*EK FM F%1H?!87:! <H:6!?J %2 DKLLE
7H6 =:@%9 ;%!I :B 1-:79%!4
<9- !6F @:=I ;=%!-H
-G: -:=<:=%7?:! 16=5?-6
-:A<%!@
*E)) -6!76=5?996 =4 F?9A?!87:! 46 )ODLD
7H6 =:@%9 ;%!I :B 1-:79%!4
<9- !@ ;=%!-H
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
)L) <%=I %56!>6 !6F @:=I !@ )L)EDPLLL*
7H9 -=64?7 A-4:!!699 ?99?!:?1 17%76
;:%=4 :B ?!5617A6!7
%77![ Q?A ;%=79?!8 )LL B646=%9 17=667 +)17 B9::= ;:17:! A% L*))L
7H=?56!7 B?!%!-?%9 B:=
9>7H6=%!1
-G: -7 -:=<:=%7?:! 1@176A
?!-
+E 1>!!@ 1?46 9! 1%?!7 <%>9 A! KK))DP,E*+
7H=?56!7 B?!%!-?%9 B:=
9>7H6=%!1
%77! ;=%4B:=4 96?8H H6F?77 -6:C <=61?46!7 %!4 4?=6-7:= N*K B:>=7H %56M 1M A?!!6%<:9?1 A! KK,)KP)N*,
7H=?56!7 H?8H @?694 B>!4 %77! 4%5?4 1-:77 =:@%9 -H?6B 968%9 :BB?-6= %!4
16-=67%=@
-G: 7H=?56!7 %1167
A%!%86A6!7 99-
N*K B:>=7H %56M 1M A?!!6%<:9?1 A! KK,)KP)N*,
7H=?56!7 H?8H @?694 <:=7B:9?: %77! I%=6! 9%1:! -H?6B 6J6->7?56 :BB?-6= -G: 7H=?56!7 %1167
A%!%86A6!7 99-
N*K B:>=7H %56M 1M A?!!6%<:9?1 A! KK,)KP)N*,
7H=?56!7 ?!-:A6 B>!4 %77! I%=6! 9%1:! -H?6B 6J6->7?56 :BB?-6= -G: 7H=?56!7 %1167
A%!%86A6!7 99-
N*K B:>=7H %56M 1M A?!!6%<:9?1 A! KK,)KP)N*,
7H=?56!7 16=?61 B>!4C ?!-M P
?!-:A6 <:=7B:9?:
%77! 4%5?4 1-:77 =:@%9 -H?6B 968%9 :BB?-6= %!4
16-=67%=@
N*K B:>=7H %56M 1M A?!!6%<:9?1 A! KK,)KP)N*,
7A-7 ?? 99- %77! F%==6! ;M F?99?%A1:! =68?176=64 %86!7 +KL FM -:9:=%4: ;954 176 *+L <%1%46!% -% O))LKP)DKK
7A-7 ?? 99- %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
+,KK <6%-H7=66 =4MC !6 1>?76 )*LL %79%!7% 8% +L+*N
7=%!1%A6=?-% 16=?61 7=>17 %77! 7H:A%1 %!7H:!@ 1F%!I -H?6B 6J6->7?56 :BB?-6= 7=%!1%A6=?-% 16=?61 7=>17 KEL -%=?99:! <%=IF%@ 17M <676=1;>=8 B9 ++E)N
7=%!1%A6=?-% 16=?61 7=>17 -G: 7H6 -:=<:=%7?:! 7=>17 -: -:=<:=%7?:! 7=>17 -6!76= F?9A?!87:! 46 )ODL)
7=%!1%A6=?-% 16=?61 7=>17 %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
KLL ;:@917:! 17=667 *+=4 B9::= ;:17:! A% L*))N
7=?9:8@ <:=7B:9?: -:A<%!@
99-
-G: 7=?9:8@ -%<?7%9
A%!%86A6!7C 99-C
%77! Q:!%7H%! 4M =:16!176?! ++ ;6!64?-7 <9%-6 8=66!F?-H -7 LND+L
7=?9:8@ <:=7B:9?: -:A<%!@
99-
-G: 469%F%=6 -:=<:=%7?:!
:=8%!?26=1C ?!-M
)*L) !:=7H A%=I67 17 B9 )D <M:M ;:J )+,E F?9A?!87:! 46 )ODL)
7=?9:8@ <:=7B:9?: -:A<%!@
99-
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
KLL A%A=:!6-I %56!>6 H%==?1:! !@ )LK*D
<"U$ KD VW N*
09-50026-mg Doc 13832 Filed 01/23/17 Entered 01/23/17 21:14:01 Main Document Pg 84 of 95
!"#$ %&&'$(() %&&'$((* %&&'$((+ %&&'$((, -./0 1/"/$ 2.3
7=1 15-: 99- -G: 7H6 -:=<:=%7?:! 7=>17
-:A<%!@
-:=<:=%7?:! 7=>17 -6!76= )*LO :=%!86 17=667 F?9A?!87:! 46 )ODL)
7=1 15-: 99- -G: 46>71-H6 ;%!I %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
NL F%99 17=667 !6F @:=I !@ )LLLK
7=1 15-: 99- %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
OL H>41:! 17=667 Q6=16@ -?7@ !Q LE+L*
7F?! 9%I6 7:7%9 =67>=! <%=7!6=1
9<
-G: !%7?:!%9 -:=<:=%76
=616%=-HC 974M
N)K 1M 4><:!7 HF@ 4:56= 46 )OOL)
7F?! 9%I6 7:7%9 =67>=! <%=7!6=1
9<
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
7F?! 9%I6 7:7%9 =67>=! <%=7!6=1
9M<M
-G: 1:>7H 9%1%996 A%!%86=1C
99-
))K 1:>7H 9%1%996 17=667C +,7H
B9::=
-H?-%8: ?9 NLNL+
7F?! 9%I6 7:7%9 =67>=! <%=7!6=1
T< 9<
-G: !%7?:!%9 -:=<:=%76
=616%=-HC 974M
DKL !6F ;>=7:! =4 S *L) 4:56= 46 )OOL,PK,K)
7F?! 9%I6 7:7%9 =67>=! <%=7!6=1
T< 9<
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
7F?! 9%I6 7:7%9 =67>=! <%=7!6=1
T< 9M<M
-G: 1:>7H 9%1%996 A%!%86=1C
99-
))K 1:>7H 9%1%996 17=667C +,7H
B9::=
-H?-%8: ?9 NLNL+
7F?! 9%I6 7:7%9 =67>=! <%=7!6=1
=A; -%< A8A7 99-
%77![ 65%! 4=6@B>11 )KL %996!1 -=66I =:%4 =:-H6176= !@ ),N)D
7F?! 9%I6 7:7%9 =67>=! <%=7!6=1
=A; -%< A8A7 99-
%77![ <%>9:1 17=?I6 ))K 1M 9%1%996 17M +,7H B9::= -H?-%8: ?9 NLNL+
>A- ;6!6B?7 ;:%=4C ?!-M -G: -7 -:=<:=%7?:! *LD 1: 9%1%996 17C 1>?76 D), -H?-%8: ?9 NLNL,
>A- ;6!6B?7 ;:%=4C ?!-M %77! ;%=;%=% ;:?868=%?! 86!6=%9 16-=67%=@ %!4 -6: )OL) -H617!>7 %56!>6 896!5?6F ?9 NLL*KP)NL,
569:-?7@ -9: 974M -G: 7-F %1167 A%!%86A6!7
-:A<%!@
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
DNK 1 B?8>6=:% 17 176 )DLL 9:1 %!86961 -% OLL)E
569:-?7@ -9: 974M -G: A%<961 B?!%!-6 974 %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
<M:M ;:J )LO+ 87C T>66!18%76
H:>16
1:>7H -H>=-H 17=667C 8=%!4
-%@A%!C -%@A%! ?19%!41
569:-?7@ -9: 974M -G: -=61-6!7 -%<?7%9 8=:>< 9< %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
)))LL 1%!7% A:!?-% ;:>965%=4
1>?76 *LLL
9:1 %!86961 -% OLL*K
569:-?7@ -9:C 974M -G: A%<961 -:=<:=%76
16=5?-61 9?A?764
<M:M ;:J +LOC >89%!4 H:>16C
1:>7H -H>=-H 17
86:=86 7:F!C 8=%!4 -%@A%!
I@)P))L,
5?=7>1 A>97? 16-7:= B?J64 ?!-A
B>!4
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
?-A 8=:>< ) -A< )D7H B9::= H%=7B:=4 -7 )LLD)
5?=7>1 A>97? 16-7:= B?J64 ?!-A
B>!4
%77! 86:=86 =M %@9F%=4 <=61?46!7C -6:C %!4 4?=6-7:= 5?=7>1 ?!5617A6!7 <%=7!6=1C ?!- )LL <6%=9 17=667 O7H B9::= H%=7B:=4 -7 LN)L+
5?=7>1 A>97? 16-7:= B?J64
?!-:A6 B>!4
%77! I65?! Q:H! -%== -H?6B 968%9 :BB?-6= %!4 5?-6
<=61?46!7
5?=7>1 ?!5617A6!7 <%=7!6=1C ?!- )LL <6%=9 17=667 O7H B9::= H%=7B:=4 -7 LN)L+
5?=7>1 A>97?16-7:= 1H:=7 76=A
;:!4 B>!4
%77! I65?! Q:H! -%== -H?6B 968%9 :BB?-6= %!4 5?-6
<=61?46!7
5?=7>1 ?!5617A6!7 <%=7!6=1C ?!- )LL <6%=9 17=667 O7H B9::= H%=7B:=4 -7 LN)L+
5?=7>1 A>97?16-7:= 1H:=7 76=A
;:!4 B>!4
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
KN <=:1<6-7 17=667 H%=7B:=4 -7 LN)LN
5?=7>1 A>97?16-7:= 1H:=7 76=A
;:!4 B>!4
%77! 86:=86 =M %@9F%=4 <=61?46!7C -6:C %!4 4?=6-7:= 5?=7>1 ?!5617A6!7 <%=7!6=1C ?!- )LL <6%=9 17=667 O7H B9::= H%=7B:=4 -7 LN)L+
5?=7>1 16!?:= B9:%7?!8 =%76
B>!4
%77! 86:=86 =M %@9F%=4 <=61?46!7C -H?6B 6J6->7?56
:BB?-6=C %!4 4?=6-7:=
5?=7>1 ?!5617A6!7 <%=7!6=1C ?!- )LL <6%=9 17=667 O7H B9::= H%=7B:=4 -7 LN)L+
5?=7>1 16!?:= B9:%7?!8 =%76
B>!4
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
) !@ <9%2% !6F @:=I !@ )LLL,
5?=7>1 16!?:= B9:%7?!8 =%76
B>!4
%77! I65?! Q:H! -%== -H?6B 968%9 :BB?-6= %!4 5< 5?=7>1 ?!5617A6!7 <%=7!6=1C ?!- )LL <6%=9 17=667 O7H B9::= H%=7B:=4 -7 LN)L+
5?76116 -9: 974M -G: A%<961B1 9?A?764 <M:M ;:J )LO+C T>66!18%76
H:>16C ))+ 1:>7H -H>=-H 17
8=%!4 -%@A%! I@)P))L*
-%@A%! ?19%!41
<"U$ KO VW N*
09-50026-mg Doc 13832 Filed 01/23/17 Entered 01/23/17 21:14:01 Main Document Pg 85 of 95
!"#$ %&&'$(() %&&'$((* %&&'$((+ %&&'$((, -./0 1/"/$ 2.3
5?76116 -9: 974M %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
<: ;:J )LO+ T>66!18%76 H:>16C 1:>7H
-H>=-H 17=667
86:=86 7:F! I@)P))L*C
-%@A%! ?19%!41
5?76116 -9: 974M %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
*LL <%=I %56!>6 1>?76 **LL !6F @:=I !@ )L)NN
5?76116 -9: 974M -G: 7-F %1167 A%!%86A6!7
-:
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
DNK 1 B?8>6=:% 17 176 )DLL 9:1 %!86961 -% OLL)E
5?76116 -9: 974M -G: -=61-6!7 -%<?7%9 8=:>< 9< %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
)))LL 1%!7% A:!?-% ;:>965%=4
1>?76 *LLL
9:1 %!86961 -% OLL*K
5>9-%! 56!7>=61 ?!-M %77! 4>%!6 ;6-I677 -H?6B 6J6->7?56 :BB?-6= ,K 17%76 17 ;=:-I<:=7 !@ ),,*L
5>9-%! 56!7>=61 ?!-M %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
KLK K7H %56!>6 1M 16%7796 F% OD)L,P+KO)
F%-H7699C 9?<7:!C =:16! R I%72 %77! -%==?6 A =6?99@ K) F K*!4 17 !6F @:=I !@ )LL)OPN)KL
F%-H7699C 9?<7:!C =:16! R I%72 Q<A:=8%! -H%16 ;%!IC !M%M %77![ 6A?9 I96?!H%>1 K) F617 K*!4 17=667 !6F @:=I !@ )LL)OPN)KL
F%-H7699C 9?<7:!C =:16! R I%72 Q<A:=8%! -H%16 ;%!IC !M%M %77![ 4:>89%1 A%@6= K) F617 K*!4 17=667 !6F @:=I !@ )LL)OPN)KL
F%-H7699C 9?<7:!C =:16! R I%72 Q<A:=8%! -H%16 ;%!IC !M%M %77![ H%=:94 !:5?I:BB K) F617 K*!4 17=667 !6F @:=I !@ )LL)OPN)KL
F%-H7699C 9?<7:!C =:16! R I%72 Q<A:=8%! -H%16 ;%!IC !M%M %77![ F?99?%A 1%5?77 K) F617 K*!4 17=667 !6F @:=I !@ )LL)OPN)KL
F%-H7699C 9?<7:!C =:16! R I%72 Q<A:=8%! -H%16 ;%!IC !M%M %77![ A%=- F:9?!1I@ K) F617 K*!4 17=667 !6F @:=I !@ )LL)OPN)KL
F%A-: P +)+) =%@7H6:! A%176= <6!1?:!
A%176= 7=>17
%77! 4=M 7H:A%1 %M I6!!64@C
-H%?=A%! R -6:
=%@7H6:! -:C DEL F?!76= 17=667 F%97H%A A% L*,K)
F%A-: P +)+) P =%@7H6:!
A%176= <6!1?:!
A%176= 7=>17 %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
)+K 1%!7?99? H?8HF%@ 656=677 A% L*),O
F%A-: P +)+) P =%@7H6:!
A%176= <6!1?:!
A%176= 7=>17 -G: F6176=! %1167
A%!%86A6!7 -:M
%77! Q%A61 FM H?=1-HA%!!C ?? +DK 6%17 -:9:=%4: ;:>965%=4 <%1%46A%M -% O))L)
F%A-: )EN 5?=8?!?% 1><<96A6!7%9
=67?=6A6!7 1@176A
%77! <%7=:-:% 1M ;?1H:<C
%-7?!8 4?=6-7:=
5?=8?!?% =67?=6A6!7 1@176A )*LL 6%17 A%?! 17=667 =?-HA:!4 5% *+*)DP*KLL
F%A-: )EN P 5?=8?!?%
1><<96A6!7%9
=67?=6A6!7 1@176A -G: F6176=! %1167
A%!%86A6!7 -:M
%77! Q%A61 FM H?=1-HA%!!C ?? +DK 6%17 -:9:=%4: ;:>965%=4 <%1%46A%M -% O))L)
F%A-: *+KE P 9688 A%1:!
<%=7!6=1 -%<?7%9
R ?!-:A6 B>!4 -G: F6176=! %1167
A%!%86A6!7 -:M
%77! Q%A61 FM H?=1-HA%!!C ?? +DK 6%17 -:9:=%4: ;:>965%=4 <%1%46A%M -% O))L)
F%A-: *+KE P 9688 A%1:!
<%=7!6=1 -<7%9 R ?!-A B>!4
9688 A%1:! -96%=;=?486
-%<?7%9 %!4 ?!-:A6 B>!4
-G: -96%=;=?486 ?!5617A6!71C
99-
%77![ <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
N*L 6?8H7H %56MC ,D7H B9::= !6F @:=I !@ )LL)D
F%A-: +L*+ 5?=8?!?% =67?=6A6!7 1@176A1
;%!I 9:%! <:=7B:9?:
-G: F6176=! %1167
A%!%86A6!7 -:M
%77! Q%A61 FM H?=1-HA%!!C ?? +DK 6%17 -:9:=%4: ;:>965%=4 <%1%46A%M -% O))L)
F%A-: +L*+ P 5?=8?!?%
=67?=6A6!7
1@176A1 ;%!I 9:%! <:=7B:9?: %77! <%7=:-:% 1M ;?1H:<C
%-7?!8 4?=6-7:=
5?=8?!?% =67?=6A6!7 1@176A )*LL 6%17 A%?! 17=667 =?-HA:!4 5% *+*)DP*KLL
F%A-: +LE+ P Q:H! H%!-:-I
7=>17
B9:%7?!8 =%76 ?!-:A6 7=>17 -G: F6176=! %1167
A%!%86A6!7 -:M
%77! Q%A61 FM H?=1-HA%!!C ?? +DK 6%17 -:9:=%4: ;:>965%=4 <%1%46A%M -% O))L)
F%A-: +LE+ P Q:H! H%!-:-I
7=>17 B9:%7?!8 =%76
?!-A 7=>17 %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
NL) -:!8=611 17=667 ;:17:! A% L*))L
F%A-: +LE, P Q:H! H%!-:-I
B>!4 ??
B9:%7?!8 =%76 ?!-:A6 B>!4 -G: F6176=! %1167
A%!%86A6!7 -:M
%77! Q%A61 FM H?=1-HA%!!C ?? +DK 6%17 -:9:=%4: ;:>965%=4 <%1%46A%M -% O))L)
F%A-: +LE, P Q:H! H%!-:-I
B>!4 ??
B9:%7?!8 =%76 ?!-A B>!4 -G: Q:H! H%!-:-I %45?16=1C
99-
%77![ %!4=6F 8=%!7 %=!:77
-H?6B 6J6->7?56 :BB?-6=
NL) -:!8=611 17=667 ;:17:! A% L**)LP*DLK
F%A-: A7 F?91:! -9: 974M -G: F6176=! %1167
A%!%86A6!7 -:M
%77! Q%A61 FM H?=1-HA%!!C ?? +DK 6%17 -:9:=%4: ;:>965%=4 <%1%46A%M -% O))L)
F%A-: A7 F?91:! -9: 974M -G: A%<961 9?T>?4%7?:!
16=5?-61 Y-%@A%!Z974
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
<: ;:J )LO+C ;:>!4%=@ H%99 8=%!4 -%@A%! I@)P))L*C
-%@A%! ?19%!41
<"U$ NL VW N*
09-50026-mg Doc 13832 Filed 01/23/17 Entered 01/23/17 21:14:01 Main Document Pg 86 of 95
!"#$ %&&'$(() %&&'$((* %&&'$((+ %&&'$((, -./0 1/"/$ 2.3
F%A-: F6176=! %1167 B9:%7?!8 =%76 H?8H ?!-:A6
B>!4 99-
%77! Q%A61 FM H?=1-HA%!!C ??
-6:
-G: F6176=! %1167
A%!%86A6!7 -:M
+DK 6%17 -:9:=%4: ;:>965%=4 <%1%46A%M -% O))L)
F%A-: F6176=! %1167 B9:%7?!8
=%76 H?8H
?!-A B>!4 99- %77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
))E 6%17 -:9:=%4: ;954M <%1%46!% -% O))LK
F%=!6= !:=-=:11 R Q>44 99< %97?-:= ?!-M %77![ 8:=4:! 7:6=?!8 OLL B?B7H 7H?=4 -6!76= ))) 9@:! 17=667C !F 8=%!4 =%<?41 A? ,OKL+
F6?9C 8:71H%9 R A%!861 99< %77! ?=F?! H F%==6! R Q6!!?B6=
A :9?56=
ENE B?B7H %56 !6F @:=I !@ )L)K+
F6991 R -:A<%!@ A%176=
<6!1?:! 7=>17[
4;% F6991 -%<?7%9
A%!%86A6!7 P )****)++
%77! =:;6=7 F ;?11699C -6: F6991 -%<?7%9 A%!%86A6!7
?!-:=<:=%764
K*K A%=I67 17=667 )L7H B9::= 1%! B=%!-?1-: -% O,)LK
F6991 R -:A<%!@ A%176=
<6!1?:! 7=>17[
4;% F6991 -%<?7%9
A%!%86A6!7 P )****)++
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
F6991 B%=8: R -:A<%!@
A%176= <6!1?:! 7=>17
NLD 16-:!4 %56!>6 1:>7H
!:=17%= 6%17 ;>?94?!8 O7H
B9::=
A?!!6%<:9?1 A! KK,L*
F6991 P )+EL*OLL %77! =:;6=7 F ;?11699 -H?6B 6J6->7?56 :BB?-6= F6991 -%<?7%9 A%!%86A6!7
?!-:=<:=%764
K*K A%=I67 17=667 )L7H B9::= 1%! B=%!-?1-: -% O,)LK
F6991 P ),O,KLLL %77! =:;6=7 F ;?11699 -H?6B 6J6->7?56 :BB?-6= F6991 -%<?7%9 A%!%86A6!7
?!-:=<:=%764
K*K A%=I67 17=667 )L7H B9::= 1%! B=%!-?1-: -% O,)LK
F6991 P 9:1 %!86961 46<7M :B
F%76= R
<:F6= 6A<9:@661 =67?=6
4?1%;?9?7@
%77! =:;6=7 F ;?11699C -6: F6991 -%<?7%9 A%!%86A6!7
?!-:=<:=%764
K*K A%=I67 17=667 )L7H B9::= 1%! B=%!-?1-: -% O,)LK
F6991 P 9:1 %!86961 46<7M :B
F%76= R
<:F6= 6A<9:@661 =67?=6
4?1%;?9?7@
%77! <=61?46!7C A%!%8?!8 :=
86!6=%9 %86!7
,)E A:!78:A6=@ 17=667 K7H B9::= 1%! B=%!-?1-: -% O,)L,
F6991 P 9:1 %!86961 46<7M :B
F%76= R
<:F6= 6A<9:@661 =67?=6
4?1%;?9?7@
6J6->7?56 4?=6-7:=C B=646=?-I
<?-I69
9% 4F<6=< ))) !:=7H H:<6 17=667C =::A
+KE
9:1 %!86961 -% OLL)*
F6991 -%< A8A7 P )+O*+NL) %77! =:;6=7 F ;?11699 -H?6B 6J6->7?56 :BB?-6= F6991 -%<?7%9 A%!%86A6!7
?!-:=<:=%764
K*K A%=I67 17=667 )L7H B9::= 1%! B=%!-?1-: -% O,)LK
F6991 -%<?7%9 A%!%86A6!7
)NL)ELLL
%77! =:;6=7 F ;?11699 -H?6B 6J6->7?56 :BB?-6= F6991 -%<?7%9 A%!%86A6!7
?!-:=<:=%764
K*K A%=I67 17=667 )L7H B9::= 1%! B=%!-?1-: -% O,)LK
F6991 -%<?7%9 A%!%86A6!7
)NOKOELL
%77! =:;6=7 F ;?11699 -H?6B 6J6->7?56 :BB?-6= F6991 -%<?7%9 A%!%86A6!7
?!-:=<:=%764
K*K A%=I67 17=667 )L7H B9::= 1%! B=%!-?1-: -% O,)LK
F6991 -%<?7%9 A%!%86A6!7
)NOKOEL)
%77! =:;6=7 F ;?11699 -H?6B 6J6->7?56 :BB?-6= F6991 -%<?7%9 A%!%86A6!7
?!-:=<:=%764
K*K A%=I67 17=667 )L7H B9::= 1%! B=%!-?1-: -% O,)LK
F6991 -%<?7%9 A%!%86A6!7
)DDNNKLL
%77! =:;6=7 F ;?11699 -H?6B 6J6->7?56 :BB?-6= F6991 -%<?7%9 A%!%86A6!7
?!-:=<:=%764
K*K A%=I67 17=667 )L7H B9::= 1%! B=%!-?1-: -% O,)LK
F6991 B%=8: %45%!7%86
?!-:A6 B>!41[
?!-:A6 <9>1 B>!4 %77! I%=9% A%=?6 =%;>1-HC
<=61?46!7C -6:C %!4 4?=
-G: F6991 B%=8: B>!41
A%!%86A6!7C 99-
K*K A%=I67 17=667 )*7H B9::= 1%! B=%!-?1-: -% O,)LKP*E*L
F6991 B%=8: %45%!7%86
?!-:A6 :<<:=7>!?7?61 B>!4
%77! I%=9% A%=?6 =%;>1-H <=61?46!7C -H?6B 6J6->7?56
:BB?-6=C %!4 4?=6-7:=
-G: F6991 B%=8: B>!41
A%!%86A6!7C 99-
K*K A%=I67 17=667 )*7H B9::= 1%! B=%!-?1-: -% O,)LKP*E*L
F6991 B%=8: %45%!7%86
A>97?P16-7:= ?!-:A6 B>!4
%77! I%=9% A%=?6 =%;>1-H <=61?46!7C -H?6B 6J6->7?56
:BB?-6=C %!4 4?=6-7:=
-G: F6991 B%=8: B>!41
A%!%86A6!7C 99-
K*K A%=I67 17=667 )*7H B9::= 1%! B=%!-?1-: -% O,)LKP*E*L
F6991 B%=8: %45%!7%86
>7?9?7?61 R H?8H ?!-:A6 B>!4
%77! I%=9% A%=?6 =%;>1-H <=61?46!7C -H?6B 6J6->7?56
:BB?-6=C %!4 4?=6-7:=
-G: F6991 B%=8: B>!41
A%!%86A6!7C 99-
K*K A%=I67 17=667 )*7H B9::= 1%! B=%!-?1-: -% O,)LKP*E*L
F617 ;6!4 A>7>%9 ?!1>=%!-6
-:A<%!@
%77! I65?! 176?!6= -H?6B 6J6->7?56 :BB?-6= )OLL 1:>7H )D7H %56!>6 F617 ;6!4 F? K+LOK
F617 ;6!4 A>7>%9 ?!1>=%!-6
-:A<%!@
%77! Q?A <%>9@ 86!6=%9 -:>!169 R 16-=67%=@ )OLL 1:>7H )D7H %56!>6 F617 ;6!4 F? K+LOK
F617 ;6!4 A>7>%9 ?!1>=%!-6
-:A<%!@
%77! Q%A61 Q <%>9@ )OLL 1 )D7H %56 F617 ;6!4 F? K+LOK
F617 ;6!4 A>7>%9 ?!1>=%!-6
-:A<%!@
%77![ Q>9? ;6!64>A )OLL 1:>7H )D7H %56!>6 F617 ;6!4 F? K+LOK
F6JB:=4 -%<?7%9 9< %77![ %=7H>= %A=:! ,)) F617 <>7!%A %56!>6 8=66!F?-H -7 LND+L
<"U$ N) VW N*
09-50026-mg Doc 13832 Filed 01/23/17 Entered 01/23/17 21:14:01 Main Document Pg 87 of 95
!"#$ %&&'$(() %&&'$((* %&&'$((+ %&&'$((, -./0 1/"/$ 2.3
F6JB:=4 -%7%9@17 ?!5617:=1 %77! -H%=961 6>86!6 4%5?41:! -H%?=A%! R -H?6B ?!5617A6!7
:BB?-6=
-G: F6JB:=4 -%<?7%9 9< ,)) F617 <>7!%A %56!>6 8=66!F?-H -7 LND+L
F6JB:=4 1<6-7=>A ?!5617:=1
99-
%77! -H%=961 6>86!6 4%5?41:! -H%?=A%! R -H?6B ?!5617A6!7
:BB?-6=
-G: F6JB:=4 -%<?7%9 9< ,)) F617 <>7!%A %56!>6 8=66!F?-H -7 LND+L
<"U$ N* VW N*
09-50026-mg Doc 13832 Filed 01/23/17 Entered 01/23/17 21:14:01 Main Document Pg 88 of 95
!"#$ %&&'$(() %&&'$((* %&&'$((+ %&&'$((, -./0 1/"/$ 2#".34.5
%67896 : ;<!4%=24 ,> ?%18@!;7<! 1ABC 1<978C 6D
+),%
!2? E<6F !E )>>)* "'/GH'BIJKL"3$LMK0HB$&H
%161 @!N217D2!7 17%OO
P@!N217D2!7 %!%=E17Q
%6@4<!% 17%72 627@62D2!7 1E172D %77!R D@-82%= -<S2=%!T ++>> !<678 -2!76%= %N2!92 S8<2!@U %4 VW>)* D.XG$"3-JM"L"('(BIJY
%161 @!N217D2!7 17%OO
PS<67O<=@< %!%=E17Q
%6@4<!% 17%72 627@62D2!7 1E172D %77!R =9S@7% Z62=%!T ++>> !<678 -2!76%= %N2!92 S8<2!@U %4 VW>)* =H5./"ZM"L"('(BIJY
Z%!F <O %D26@-% %77!R :%1<! 17<!2 W> 6<-F2O2==26 S=%4% [78 O=<<6 !2? E<6F !E )>>*>\)]>W ^"(JKB(/JK$M_"K`Ja"#$'.X"BXJ#
Z@== b D2=@!T% ;%721
O<9!T%7@<! 76 @!N217 <OO@-2
Z@== b D2=@!T% ;%721
O<9!T%7@<! 76917
%77!R -<!!@2 -<==@!;1?<678 *+]W -%6@==<! S<@!7 F@6F=%!T ?% cV>++ =$I"3MZD;@I'JH5BXJ#
Z@== b D2=@!T% ;%721
O<9!T%7@<! 76 @!N217 <OO@-2
Z@== b D2=@!T% ;%721
O<9!T%7@<! 76917
%77!R 7%D%6% T6@1-<== *+]W -%6@==<! S<@!7 F@6F=%!T ?% cV>++ =$I"3MZD;@I'JH5BXJ#
Z@==bD2=@!T% ;%721
O<9!T%7@<! 76917 @!N217 <OO@-2
Z@== b D2=@!T% ;%721
O<9!T%7@<! 76917
%77!R 6<Z@! <6?@=26 *+]W -%6@==<! S<@!7 F@6F=%!T ?% cV>++ =$I"3MZD;@I'JH5BXJ#
Z@==bD2=@!T% ;%721
O<9!T%7@<! 76917 @!N217 <OO@-2
Z@== b D2=@!T% ;%721
O<9!T%7@<! 76917
%77!R 1826E= 1ED<!T1 *+]W -%6@==<! S<@!7 F@6F=%!T ?% cV>++ =$I"3MZD;@I'JH5BXJ#
-%=@O<6!@% 17%72 72%-8261d
627@62D2!7 1E172D
%77!R =%D<!7 F@!; SB<B Z<U )W*[W 1%-6%D2!7< -% cWVW)\>*[W 3`.KIM-"31761BXJ#
-@7@;6<9S ;=<Z%= D%6F271 @!-B %77!R =E!! S<11 +VV ;622!?@-8 176227 )[78 O=<<6 !2? E<6F !E )>>)+ 30KKB5J((MX./.BXJ#
-DO; =@O2 @!196%!-2 -<DS%!E -9!% D979%= @!196%!-2
1<-@27E
%77!R -%6=% 4@-F Wc)> D@!26%= S<@!7 6<%T D%T@1<! ?@ W+[>W X"'3"BL.X`MXHK"#H/H"3BXJ#
-<-%\-<=% %77!R %!T62? T@U<! <!2 -<-%\-<=% S=%4% %7=%!7% ;% +>+)+ "K&'$e&.fJKMXJX"\XJ3"BXJ#
T%N@1 S<=F %77!R 2==@<7 D<1F<?@74 ,W> =2U@!;7<! %N2!92 !2? E<6F !E )>>)[ $33.J/B#J(`Je./LM&"Y.(5J3`BXJ#
TT: -%S@7%= D%!%;2D2!7C ==- %77!R 2=@4%Z278 T9;;%! )+> 796!26 176227C Z9@=T@!; + 19@72 ]>> ?%=78%D D% >*,W+ $&HII"KM&&^X"5BXJ#
T2!7<!1 91 ==S -%!%T@%! @DS26@%= Z%!F <O
-<DD26-2
%77!R ;%6E D%618 +>+ S2%-87622 176227 19@72 W+>> %7=%!7% ;% +>+>V I"'0B#"'(GM&$K/JK(BXJ#
T2!7<!1 91 ==S -%!%T@%! @DS26@%= Z%!F <O
-<DD26-2
%77!R <1-%6 S@!F%1 )**) %N2!92 <O 782 %D26@-%1 !2? E<6F !E )>>*> J(X"'B5.K`"(M&$K/JK(BXJ#
T=% S@S26 D<6;%! 17%!=2E 12!@<6
O9!T@!; @!-B
%77!R F2N@! O@!;26 *>+ !<678 =%1%==2 176227 19@72 )c>> -8@-%;< @= ]>]>)\)*c+ `$Y.KBa.KI$'M&3"5.5$'BXJ#
T9-F<6 1S6%T=@!; D274;26 b
?E!!2
<%F7622 \ 1%! T@2;< -<9!7E
2DS=
627@62D2!7 %11<-
%77!R 6<Z267 18%9;8!211E +>,+ ,78 %N2!92 1%! T@2;< -% c*)>+\WV>) (G"HIGK$((0M&(#eBXJ#
O%2;62 Z%F26 T%!@2=1 ==S @!T@%!% 9!@N261@7E %77!R D@-8%2= F6%911 **>> ?2==1 O%6;< -2!726 c> 1<978 12N2!78 176227 D@!!2%S<=@1 D! WW,>*\+c>) #.XG"$3B`'"H((Ma"$I'$_&BXJ#
8%8! b 82112! ==S %77!R D%6F @!T2=@-%7< ,VV D%T@1<! %N2!92 !2? E<6F !E )>>** D.K&$3.X"/JMG"GKG$(($KBXJ#
@6<! 6<%T -%S@7%= S%67!261 b
=2;%= -<9!12=
%77!R =@1% 7%DZ96@!@ ))W 1B =%1%==2 17B -8@-%;< @= ]>]>+ 3/"#_H'.K.M'#_X"5BXJ#
:<!21 T%E %77!R Z69-2 Z2!!277 WWW 1<978 O=<?26 176227 W>78 O=<<6 =<1 %!;2=21 -% c>>[) __$KK$//M^JK$(&"0BXJ#
:<!21 T%E %77!R -86@17<S826 T@S<DS2< W) =<9@1@%!% %N2!92C !B?B ?%18@!;7<! T- *>>>)\*))+ X&.5J#5$JM^JK$(&"0BXJ#
:<!21 T%E %77!R :<-2=@! 8<TE W) =<9@1@%!% %N2!92C !B?B ?%18@!;7<! T- *>>>) ^GJ&0M^JK$(&"0BXJ#
F2==2E T6E2 b ?%662!C ==Sg :SD<6;%! -8%12 Z%!FC !B%B %77!R :<8! -%==%;E )>) S%6F %N2!92g !2? E<6F !E )>)[V ^X"33"I0M`$33$0&'0$BXJ#
F2==2E T6E2 b ?%662!C ==Sg :SD<6;%! -8%12 Z%!FC !B%B %77!R D%67@! F6<=2?1F@g )>) S%6F %N2!92g !2? E<6F !E )>)[V #`'J3$e(`.M`$33$0&'0$BXJ#
F2==2E T6E2 b ?%662!C ==Sg :SD<6;%! -8%12 Z%!FC !B%B %77!R !@-8<=%1 S%!%62==% )>) S%6F %N2!92g !2? E<6F !E )>)[V K5"K"'$33"M`$33$0&'0$BXJ#
F@!; b 1S%=T@!; ==S %77!R %67896 :B 172@!Z26;C 21AB ))VW %N2!92 <O 782 %D26@-%1 !2? E<6F !E )>>+] "(/$.K_$'IM`(3"eBXJ#
F@!; b 1S%=T@!; ==S %77!R ;%6E %B 6@7%--<C 21AB ))VW %N2!92 <O 782 %D26@-%1 !2? E<6F !E )>>+] I'./"XXJM`(3"eBXJ#
S"I$ ) Ja +
09-50026-mg Doc 13832 Filed 01/23/17 Entered 01/23/17 21:14:01 Main Document Pg 90 of 95
!"#$ %&&'$(() %&&'$((* %&&'$((+ %&&'$((, -./0 1/"/$ 2#".34.5
=2?@1 Z%%-8C S==- %77! Z69-2 6 ;6%-2 )Vcc S2!!1E=N%!@% %N2C !?C
19@72 ]>>
?%18@!;7<!C T- *>>>] Z'HX$B;'"X$M3$e.(_""XGBXJ#
=@!-<=! O@!%!-@%= ;6<9S %77!R D@-8%2= %6!<=T )+>> 1<978 -=@!7<! 17B O<67 ?%E!2 @! ,]V>* D.XG"$3B"'KJ3&M3aIBXJ#
D%618%== T2!!282E ?%6!26
-<=2D%! b ;<;;@!C SB-B
%77! T2!@1 T@-2 *>>> D%6F27 176227 19@72 *+>> S8@=%T2=S8@% S% )c)>+ &X&.X$MDT?-;BXJ#
D%618%== T2!!282E ?%6!26
-<=2D%! b ;<;;@!C SB-B
%77! 6B T%N@T =%!2 :6B ?%== 176227 S=%4% VV S@!2 176227C *)17 O=<<6 !2? E<6F !E )>>>W '&3"K$M#&eXIBXJ#
D%618%== T2!!282E ?%6!26
-<=2D%! b ;<;;@!C SB-B
%77! :<2= ?267D%! *>>> D%6F27 176227 19@72 *+>> S8@=%T2=S8@% S% )c)>+ :D?$'/#"KMDT?-;BXJ#
D<1261 D@11<96@ 17%72 2DS=<E221d
627@62D2!7
1E172D
%77!R <D%6 T%N@1 S< Z<U *>c :2OO261<! -@7E D< ]W)>* <D%6TM#J($'(BJ'I
D9!;26C 7<==21 b <=1<!C ==S %77! !@-8<=%1 T O6%D W]> D@11@<! 17C *[78 O= 1%! O6%!-@1-< -% c,)>W !.XGJ3"(Ba'"#M#/JBXJ#
!2?O=227 %1127 D%!%;2D2!7 %77!R S%76@-F O=2D@!; )>> S2%6= 176227 8%67O<6T -7 >])>+ 5"/'.X`Ba3$#.KIMK$ea3$$/BXJ#
<%F7622 \ Z@== b D2=@!T% ;%721
O<9!T%7@<! 76917
%77! ;2!26%= -<9!12= *+]W -%6@==<! S<@!7 F@6F=%!T ?% cV>++ =2;%=MZD;@I'JH5BXJ#
<OO@-2 <O 782 @!T@%!% %77<6!2E
;2!26%=
17%72 <O @!T@%!% D%:<6 D<N21 %77!R :<%! Z=%-F?2== +>* ?B ?%18@!;7<! 176227 @B;B-B1B \ O@O78 O=<<6 @!T@%!%S<=@1 @! ,]*>, :J"KBZ3"X`e$33M"/IB.KBIJY
<OO@-2 <O 782 @!T@%!% %77<6!2E
;2!26%=
17%72 <O @!T@%!% D%:<6 D<N21 %77!R 82%7826 -6<-F277 +>* ?B ?%18@!;7<! 176227 @B;B-B1B \ O@O78 O=<<6 @!T@%!%S<=@1 @! ,]*>, 8$"/G$'B-'JX`$//M"/IB.KBIJY
<OO@-2 <O 782 @!T@%!% %77<6!2E
;2!26%=
17%72 <O @!T@%!% D%:<6 D<N21 %77!R D%6@-2= 1F@=21 +>* ?B ?%18@!;7<! 176227 @B;B-B1B \ O@O78 O=<<6 @!T@%!%S<=@1 @! ,]*>, D"'.X$3B1`.3$(M"/IB.KBIJY
<!2U -62T@7 S%67!261C ==- <!2U T2Z7 <SS<679!@7E OT =7TB %77!R 172N2 ;97D%! c)> 1E=N%! %N2C 172 )>> 2!;=2?<<T -=@OO1 !: >[]+* (IH/#"KMJK$fX'$&./BXJ#
S!- Z%!F %77!R D@-8%2= 1%==E *,c O@O78 %N2!92 *>78 O=<<6 S@771Z96;8 S% )W*** #.XG"$3B("330M5KXBXJ#
S<=1@!2==@ %77!R 18%!7@ F%7<!% *** T2=%?%62 %N2!92 19@72 ))>) ?@=D@!;7<! T2 )cV>) (`"/JK"M5J3(.K$33.BXJ#
62%D1 \ Z@== b D2=@!T% ;%721
O<9!T%7@<!
%77! ;2!26%= -<9!12= *+]W -%6@==<! S<@!7 F@6F=%!T ?% cV>++ =2;%=MZD;@I'JH5BXJ#
62%D1 \ Z@== b D2=@!T% ;%721
O<9!T%7@<!
%77! ;2!26%= -<9!12= *+]W -%6@==<! S<@!7 F@6F=%!T ?% cV>++ =2;%=MZD;@I'JH5BXJ#
62%D1 \ Z@== b D2=@!T% ;%721
O<9!T%7@<! 76917
%77! ;2!26%= -<9!12= *+]W -%6@=<! S<@!7 F@6F=%!T ?% cV>++ =2;%=MZD;@I'JH5BXJ#
62%D1 \ Z@== b D2=@!T% ;%721
O<9!T%7@<! 76917
%77! ;2!26%= -<9!12= *+]W -%6@==<! S<@!7 F@6F=%!T ?% cV>++ =2;%=MZD;@I'JH5BXJ#
62%D1 %1127 D%!%;2D2!7 %77!R :%1<! 8<E26 **[ ?%18@!;7<! 176227 -<=9DZ91 @! ,[*>) ^GJ0$'M'$"#("(($/BXJ#
1S2%61 b @D21 ==S %77! :<%!!% - 82!T<! W) D%T@1<! %N2!92 !2? E<6F !E )>>)[ ^G$K&JKM(5$"'(.#$(BXJ#
1S2%61 b @D21 ==S %77! %=@-@% FB %DT96 W) D%T@1<! %N2!92 !2? E<6F !E )>>)[ ""#&H'M(5$"'(.#$(BXJ#
17@-87@!; S2!1@<2!O<!T1 %ZS <9T2 =@!T2176%%7 [> ],)) 2: 8226=2! S< Z<U *VVc ],>) T:C 8226=2! !27826=%!T1 $hH./.$(M"5I\"#BK3
176%T=2E 6<!<! 172N2!1 b
E<9!;C ==S
%77!R D%6F T<6N%= *>>W D%6F27 176227 19@72 *]>> S8@=%T2=S8@% S% )c)>+ DTJ'Y"3M(/'"&3$0BXJ#
7-? %77!R =%4%691 19! V]W 1 O@;926<% 176227 =<1 %!;2=21 -% c>>)[ 3"L"'H(B(HKM/XeBXJ#
7-? %77!R 782621% 76%! V]W 1 O@;926<% 176227 =<1 %!;2=21 -% c>>)[ /G$'$("B/'"KM/XeBXJ#
782 <OO@-2 <O %6@4<!% %77<6!2E
;2!26%=
O@T2=@7E \ %6@4<!% 17%72
627@62D2!7 1E172D
%77!R N%=26@2 D%6-@%!< )*[W ?B ?%18@!;7<! S8<2!@U %4 VW>>[ N"3$'.$BD"'X."KJM"L"IBIJY
78= -62T@7 D-T<!!2== @==@!<@1 17%72
Z<%6T <O @!N217D2!7
%77!R :@D Z%67=@!; )>> O2T26%= 176227 +)17 O=<<6 Z<17<! D% >*))> ^_"'/3.KIM/G3X'$&./BXJ#
S"I$ * Ja +
09-50026-mg Doc 13832 Filed 01/23/17 Entered 01/23/17 21:14:01 Main Document Pg 91 of 95
!"#$ %&&'$(() %&&'$((* %&&'$((+ %&&'$((, -./0 1/"/$ 2#".34.5
7?@! =%F2 7<7%= 62796! S%67!261
6DZ -%S D;D7 ==-
%77!R 2N%! T62EO911 )W> %==2!1 -622F 6<%T 6<-821726 !E ),])V $&'$0aH((M'#_X"5BXJ#
7?@! =%F2 7<7%= 62796! S%67!261
6DZ -%S D;D7 ==-
%77!R S%9=<1 176@F2 ))W 1B =%1%==2 17B +,78 O=<<6 -8@-%;< @= ]>]>+ 5(/'.`$M'#_X"5BXJ#
?%-872==C =@S7<!C 6<12! b F%74 %77! -%66@2 D 62@==E W) ? W*!T 17 !2? E<6F !E )>>)c\])W> X#'$.330Me3'`BXJ#
?%-872==C =@S7<!C 6<12! b F%74 :SD<6;%! -8%12 Z%!FC !B%B %77!R 2D@= F=2@!8%91 W) ?217 W*!T 176227 !2? E<6F !E )>>)c\])W> 2%F3$.KG"H(Me3'`BXJ#
?%-872==C =@S7<!C 6<12! b F%74 :SD<6;%! -8%12 Z%!FC !B%B %77!R T<9;=%1 D%E26 W) ?217 W*!T 176227 !2? E<6F !E )>>)c\])W> TFD"0$'M?=6FBXJ#
?%-872==C =@S7<!C 6<12! b F%74 :SD<6;%! -8%12 Z%!FC !B%B %77!R 8%6<=T !<N@F<OO W) ?217 W*!T 176227 !2? E<6F !E )>>)c\])W> 81!JY.`JaaMe3'`BXJ#
?%-872==C =@S7<!C 6<12! b F%74 :SD<6;%! -8%12 Z%!FC !B%B %77!R ?@==@%D 1%N@77 W) ?217 W*!T 176227 !2? E<6F !E )>>)c\])W> ?T1"Y.//Me3'`BXJ#
?%-872==C =@S7<!C 6<12! b F%74 :SD<6;%! -8%12 Z%!FC !B%B %77!R D%6- ?<=@!1FE W) ?217 W*!T 176227 !2? E<6F !E )>>)c\])W> D?J3.K(`0Me3'`BXJ#
?%6!26 !<6-6<11 b :9TT ==S %=7@-<6 @!-B %77!R ;<6T<! 7<26@!; c>> O@O78 78@6T -2!726 ))) =E<! 176227C !? ;6%!T 6%S@T1 D@ ,cW>+ I/J$'.KIMeK^BXJ#
?2@=C ;<718%= b D%!;21 ==S %77! @6?@! 8 ?%662! b :2!!@O26
D <=@N26
[][ O@O78 %N2 !2? E<6F !E )>)W+ .'e.KBe"''$KMe$.3BXJ#i ^$KK.a$'BJ3.Y$'Me$.3BXJ#
?217 Z2!T D979%= @!196%!-2
-<DS%!E
%77!R :9=@ Z2!2T9D )c>> 1<978 )V78 %N2!92 ?217 Z2!T ?@ W+>cW ^_$K$&H#Me_#.BXJ#
?2UO<6T -%S@7%= =S %77!R %67896 %D6<! ,)) ?217 S97!%D %N2!92 ;622!?@-8 -7 >]V+> ""#'JKMe$faJ'&BXJ#
S"I$ + Ja +
09-50026-mg Doc 13832 Filed 01/23/17 Entered 01/23/17 21:14:01 Main Document Pg 92 of 95
ALL DEPOSITORIES, NOMINEES, BROKERS AND OTHERS: PLEASE FACILITATE THE TRANSMISSION OF THIS NOTICE
TO ALL BENEFICIAL OWNERS.
NOTICE TO HOLDERS OF
MOTORS LIQUIDATION COMPANY GUC TRUST UNITS (CUSIP NO. 62010U101)1
January 20, 2017 Reference is made to (i) the Second Amended Joint Chapter 11 Plan dated as of March 18, 2011 of Motors Liquidation Company and certain of its affiliates, which was confirmed by an order of the Bankruptcy Court for the Southern District of New York (the “Bankruptcy Court”) entered on March 29, 2011 (as so confirmed, the “Plan”) and which became effective on March 31, 2011, and (ii) the Second Amended and Restated Motors Liquidation Company GUC Trust Agreement dated as of July 30, 2015 (the “GUC Trust Agreement”).2 The above-described units representing contingent beneficial interests in the GUC Trust (the “Trust Units”) were issued pursuant to the terms of the Plan and the GUC Trust Agreement. Capitalized terms used but not defined herein have the meanings ascribed to them in the Plan.
The Plan provides for the establishment of the Motors Liquidation Company GUC Trust (the “GUC Trust”) to implement the Plan, including by distributing GUC Trust Distributable Assets (as defined in the GUC Trust Agreement) and resolving outstanding Disputed General Unsecured Claims.
Wilmington Trust Company, as trust administrator and trustee of the GUC Trust (in such capacity, the “GUC Trust Administrator”), hereby informs you that, on January 20, 2017, the GUC Trust Administrator filed a motion (the “Motion”) with the Bankruptcy Court seeking authority to, among other things, reallocate and use certain GUC Trust Distributable Assets for the purposes of funding projected costs, fees and expenses of the GUC Trust. A copy of the Motion is available on the website maintained by the GUC Trust: www.mlcguctrust.com.
The Motion is currently scheduled to be heard by the Bankruptcy Court on February 14, 2017 at 10:00 a.m. (Eastern), with an objection deadline of February 7, 2017 at 4:00 p.m. (Eastern).3
1 The CUSIP number appearing herein has been included solely for the convenience of the holders of the Trust Units. Wilmington Trust Company assumes no responsibility for the selection or use of such number and makes no representations as to the correctness of the CUSIP number appearing herein.
2 Information on the bankruptcy proceedings, including a copy of the Plan, can be found at: http://www.motorsliquidationdocket.com/. Information can also be found on the website maintained by the trust administrator and trustee of the Motors Liquidation Company GUC Trust at https://www.mlcguctrust.com/.
3 Please note the times and dates set forth herein are subject to change without further notice.
09-50026-mg Doc 13832 Filed 01/23/17 Entered 01/23/17 21:14:01 Main Document Pg 94 of 95
Wilmington Trust Company has prepared this communication in its capacity as GUC Trust Administrator, based upon information supplied to it without independent investigation. You should not rely on Wilmington Trust Company as your sole source of information. Wilmington Trust Company makes no recommendations and gives no investment or legal advice herein, and holders of Trust Units are urged to consult with their own advisors concerning the Trust Units, the Plan and the Motion.
Should any holder of Trust Units have any questions regarding this notice, please contact Wilmington Trust Company as follows:
Wilmington Trust Company Rodney Square North 1110 North Market Street Wilmington, Delaware, 19890-1615 Phone No.: (866) 521-0079 Fax No.: (302) 636-4140
Wilmington Trust Company may conclude that a specific response to particular inquiries from individual holders of Trust Units is not consistent with its duties to provide equal and full dissemination to all holders of Trust Units.
Very Truly Yours, Wilmington Trust Company, solely in its capacity as GUC Trust Administrator
09-50026-mg Doc 13832 Filed 01/23/17 Entered 01/23/17 21:14:01 Main Document Pg 95 of 95