Aletheia Research and Management's bankruptcy petition

7/30/2019 Aletheia Research and Management's bankruptcy petition

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B1 (Official Form 1) (12/11)

United States Bankruptcy Court

Central District of CaliforniaVoluntary Petition

Name of Debtor (if individual, enter Last, First, Middle):

Aletheia Research and Management, Inc.Name of Joint Debtor (Spouse) (Last, First, Middle):

All Other Names used by the Debtor in the last 8 years(include married, maiden, and trade names):

All Other Names used by the Joint Debtor in the last 8 years(include married, maiden, and trade names):

Last four digits of Soc. Sec. or Individual-Taxpayer I.D. (ITIN)/Complete EIN

(if more than one, state all):95-4647814

Last four digits of Soc. Sec. or Individual-Taxpayer I.D. (ITIN)/Complete EIN

(if more than one, state all):

Street Address of Debtor (No. & Street, City, and State):

100 Wilshire Blvd.Suite 1900Santa Monica, CA 90401

Street Address of Joint Debtor (No. & Street, City, and State):

County of Residence or of the Principal Place of Business:

Los AngelesCounty of Residence or of the Principal Place of Business:

Mailing Address of Debtor (if different from street address): Mailing Address of Joint Debtor (if different from streetaddress):

Location of Principal Assets of Business Debtor (if different from street address above):

Type of Debtor

(Form of Organization)(Checkone box.)

Individual (includes Joint Debtors)

See Exhibit D on page 2 of this form.

Corporation (includes LLC and LLP)

Partnership

Other (If debtor is not one of the above entities, check thisbox and state type of entity below.)

Nature of Business

(Checkone box.)

Health Care Business

Single Asset Real Estate as defined in 11 U.S.C. 101(51B)

Railroad

Stockbroker

Commodity Broker

Clearing Bank

Other

Chapter of Bankruptcy Code Under Which

the Petition is Filed (Checkone box)

Chapter 7

Chapter 9

Chapter 11

Chapter 12

Chapter 13

Chapter 15 Petition forRecognition of aForeign MainProceeding

Chapter 15 Petition forRecognition of aForeign NonmainProceeding

Chapter 15 Debtors

Country of debtor's center of main interests:

Each country in which a foreign proceeding by, regarding, oragainst debtor is pending:

Tax-Exempt Entity(Check box, if applicable.)

Debtor is a tax-exempt organization underTitle 26 of the United States Code (theInternal Revenue Code).

Nature of Debts(Checkone box)

Debts are primarily consumerdebts, defined in 11 U.S.C. 101(8) as "incurred by anindividual primarily for apersonal, family, or householdpurpose."

Debts areprimarily businessdebts.

Filing Fee (Check one box.)

Full Filing Fee attached

Filing Fee to be paid in installments (applicable to individuals only). Must attach signedapplication for the court's consideration certifying that the debtor is unable to pay feeexcept in installments. Rule 1006(b). See Official Form 3A.

Filing Fee waiver requested (applicable to chapter 7 individuals only). Must attachsigned application for the court's consideration. See Official Form 3B.

Check one box: Chapter 11 Debtors

Debtor is a small business debtor as defined in 11 U.S.C. 101(51D).

Debtor is not a small business debtor as defined in 11 U.S.C. 101(51D).

Check if:

Debtor's aggregate noncontingent liquidated debts (excluding debts owed to insiders oraffiliates) are less than $2,343,300 (amount subject to adjustment on 4/01/13 and every threeyears thereafter).------------------------------------------------------Check all applicable boxes:

A plan is being filed with this petition.

Acceptances of the plan were solicited prepetition from one or more classes of creditors,in accordance with 11 U.S.C. 1126(b).

Statistical/Administrative Information

Debtor estimates that funds will be available for distribution to unsecured creditors.

Debtor estimates that, after any exempt property is excluded and administrative expenses paid, there will be no funds available for distributionto unsecured creditors.

THIS SPACE IS FOR COURT USE ONLY

Estimated Number of Creditors

1-49 50-99 100-199 200-999 1,000-5,000

5001-10,000

10,001-25,000

25,001-50,000

50,001-100,000

OVER100,000

Estimated Assets

$0 to$50,000

$50,001 to$100,000

$100,001 to$500,000

$500,001to $1million

$1,000,001to $10million

$10,000,001to $50million

$50,000,001to $100million

$100,000,001to $500million

$500,000,001to $1 billion

More than$1 billion

Estimated Liabilities

$0 to$50,000

$50,001 to$100,000

$100,001 to$500,000

$500,001to $1million

$1,000,001to $10million

$10,000,001to $50million

$50,000,001to $100million

$100,000,001to $500million

$500,000,001to $1 billion

More than$1 billion

ZIP CODE

ZIP CODE

90401-0000

ZIP CODE

ZIP CODE

Case 2:12-bk-47718-BR Doc 1 Filed 11/11/12 Entered 11/11/12 18:29:41 DescMain Document Page 1 of 35


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B1 (Official Form 1) (12/11) Page 2

Voluntary Petition(This page must be completed and filed in every case)

Name of Debtor(s):

Aletheia Research and Management, Inc.

All Prior Bankruptcy Cases Filed Within Last 8 Years(If more than two, attach additional sheet.)

LocationWhere Filed: - None -

Case Number: Date Filed:

LocationWhere Filed:

Case Number: Date Filed:

Pending Bankruptcy Case Filed by any Spouse, Partner, or Affiliate of this Debtor (If more than one, attach additional sheet.)

Name of Debtor: - None - Case Number: Date Filed:

District: Relationship: Judge:

Exhibit A

(To be completed if debtor is required to file periodic reports (e.g., forms 10K and

10Q) with the Securities and Exchange Commission pursuant to Section 13 or15(d) of the Securities Exchange Act of 1934 and is requesting relief under

chapter 11.)

Exhibit B(To be completed if debtor is an individual

whose debts are primarily consumer debts.)

I, the attorney for the petitioner named in the foregoing petition, declare that I

have informed the petitioner that [he or she] may proceed under chapter 7, 11, 12,

or 13 of title 11, United States Code, and have explained the relief available undereach such chapter. I further certify that I delivered to the debtor the notice

required by 11 U.S.C. 342(b).

Exhibit A is attached and made a part of this petition. X

Signature of Attorney for Debtor(s) (Date)

Exhibit C

Does the debtor own or have possession of any property that poses or is alleged to pose a threat of imminent and identifiable harm to public health or safety?

Yes, and Exhibit C is attached and made a part of this petition.

No

Exhibit D

(To be completed by every individual debtor. If a joint petition is filed, each spouse must complete and attach a separate Exhibit D.)

Exhibit D completed and signed by the debtor is attached and made a part of this petition.

If this is a joint petition:

Exhibit D also completed and signed by the joint debtor is attached and made a part of this petition.

Information Regarding the Debtor - Venue(Check any applicable box.)

Debtor has been domiciled or has had a residence, principal place of business, or principal assets in this District for 180 days immediatelypreceding the date of this petition or for a longer part of such 180 days than in any other District.

There is a bankruptcy case concerning debtor's affiliate, general partner, or partnership pending in this District.

Debtor is a debtor in a foreign proceeding and has its principal place of business or principal assets in the United States in this District, or hasno principal place of business or assets in the United States but is a defendant in an action or proceeding [in a federal or state court] in this

District, or the interests of the parties will be served in regard to the relief sought in this District.

Certification by a Debtor Who Resides as a Tenant of Residential Property(Check all applicable boxes.)

Landlord has a judgment against the debtor for possession of debtor's residence. (If box checked, complete thefollowing.)

Debtor claims that under applicable nonbankruptcy law, there are circumstances under which the debtor would bepermitted to cure the entire monetary default that gave rise to the judgment for possession, after the judgment for

possession was entered, and

Debtor has included in this petition the deposit with the court of any rent that would become due during the 30-dayperiod after the filing of the petition.

Debtor certifies that he/she has served the Landlord with this certification. (11 U.S.C. 362(l)).

(Address of landlord)

(Name of landlord that obtained judgment)



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B4 (Official Form 4) (12/07)

United States Bankruptcy CourtCentral District of California

In re Aletheia Research and Management, Inc. Case No.

Debtor(s) Chapter 11

LIST OF CREDITORS HOLDING 20 LARGEST UNSECURED CLAIMS

Following is the list of the debtor's creditors holding the 20 largest unsecured claims. The list is prepared in

accordance with Fed. R. Bankr. P. 1007(d) for filing in this chapter 11 [orchapter 9] case. The list does not include (1)

persons who come within the definition of "insider" set forth in 11 U.S.C. 101, or (2) secured creditors unless the value of

the collateral is such that the unsecured deficiency places the creditor among the holders of the 20 largest unsecured claims.

If a minor child is one of the creditors holding the 20 largest unsecured claims, state the child's initials and the name and

address of the child's parent or guardian, such as "A.B., a minor child, by John Doe, guardian." Do not disclose the child's

name. See 11 U.S.C. 112; Fed. R. Bankr. P. 1007(m).

(1)

Name of creditor and complete

mailing address including zip

code

(2)

Name, telephone number and complete

mailing address, including zip code, of

employee, agent, or department of creditor

familiar with claim who may be contacted

(3)

Nature of claim (trade

debt, bank loan,

government contract,

etc.)

(4)

Indicate if claim is

contingent,

unliquidated,

disputed, or

subject to setoff

(5)

Amount of claim

[if secured, also

state value of

security]

Advent Software, Inc.P.O. Box 823374Philadelphia, PA 19182-3374


132,287.89

Anthem Blue CrossPo Box 54630Los Angeles, CA 90054-0630

Anthem Blue CrossPo Box 54630Los Angeles, CA 90054-0630800-627-8797

Medical Insurance 113,392.00

Bingham McCutchen LLP1601 Cloverfield Blvd #2050NSanta Monica, CA 90404

Michael ShermanBingham McCutchen LLP1601 Cloverfield Blvd #2050NSanta Monica, CA 90404310-907-1000

Legal Expensesrelated to Peikinlitigation

UnliquidatedDisputed

730,000.00

City of Santa MonicaP.O. Box 2200Santa Monica, CA90407-2200

Business & Revenue Operations DivCity of Santa MonicaP.O. Box 2200Santa Monica, CA 90407-2200310-458-8745

Business Tax 118,000.00

David Bunzel2 Sherbrooke Rd-RearScarsdale, NY 10583

David BunzelDavid Bunzel2 Sherbrooke Rd-RearScarsdale, NY 10583917-697-7762

Revenue ShareNote

200,000.00

Douglas Emmett 1998, LLC100 Wilshire Blvd, Suite 290Santa Monica, CA 90401

Mary LoweDouglas Emmett 1998, LLC100 Wilshire Blvd, Suite 290Santa Monica, CA 90401

310-319-0100

Amount of MonthlyRent Due

151,724.76

Dr William C Mow575 North RockinghamLos Angeles, CA 90049

Dr William C MowDr William C Mow575 North RockinghamLos Angeles, CA 90049310-471-5225

Revenue ShareNote

4,000,000.00

Dr William C Mow575 North RockinghamLos Angeles, CA 90049

Dr William C MowDr William C Mow575 North RockinghamLos Angeles, CA 90049310-471-5225

Unsecured debt 1,500,000.00

Software Copyright (c) 1996-2012 CCH INCORPORATED - www.bestcase.com Best Case Bankruptc



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B4 (Official Form 4) (12/07) - Cont.

In re Aletheia Research and Management, Inc. Case No.

Debtor(s)

LIST OF CREDITORS HOLDING 20 LARGEST UNSECURED CLAIMS(Continuation Sheet)

(1)

Name of creditor and complete

mailing address including zip

code

(2)

Name, telephone number and complete

mailing address, including zip code, of

employee, agent, or department of creditor

familiar with claim who may be contacted

(3)

Nature of claim (trade

debt, bank loan,

government contract,

etc.)

(4)

Indicate if claim is

contingent,

unliquidated,

disputed, or

subject to setoff

(5)

Amount of claim

[if secured, also

state value of

security]

Franchise Tax BoardFTB MSA381Sacramento, CA 95827

Jill MorrisFranchise Tax BoardFTB MSA381Sacramento, CA 95827916-845-4528

2008 and 2011Taxes

Disputed 2,500,000.00

Freedman & Taitleman LLP1901 Ave of the Stars Suite500

Los Angeles, CA 90067

Michael TaitelmanFreedman & Taitleman LLP1901 Ave of the Stars Suite 500

Los Angeles, CA 90067310- 201-0005

Legal ExpensesRelated to ProctorLitigation

118,685.72

FTI Consulting633 West 5th Street Suite1600Los Angeles, CA 90071-2007

Lisa TroeFTI Consulting633 West 5th Street Suite 1600Los Angeles, CA 90071-2007213-689-1200

Consulting Feesrelated to SEClitigation

225,000.00

Jones Day LLP555 South Flower Streer 15thFloorLos Angeles, CA 90071

Jones Day LLP555 South Flower Streer 15th FloorLos Angeles, CA 90071213-489-3939

Legal Expensesrelated to Peikinlitigation

340,000.00

Lescroart Corp,John Lescroart, Lisa Sawyer426 D StreetDavis, CA 95616

John LescroartLescroart Corp,John Lescroart, Lisa Sawyer426 D StreetDavis, CA 95616530-756-7929

Legal Expensesrelated to formerclient investmentlosses


320,426.74

Nossaman LLP777 South Figuera Street34th FloorLos Angeles, CA 90017

Joan CotkinNossaman LLP777 South Figuera Street 34th FloorLos Angeles, CA 90017213-612-7800

Legal ExpensesRelated toInsuranceLitigation

120,665.62

Proctor Investments919 Third AveNew York, NY 10022

Harry DavisProctor Investments919 Third AveNew York, NY 10022212-756-2000

Pending Litigation UnliquidatedDisputed

16,000,000.00

R. Patrick Abergel1571 San Remo Drive

Pacific Palisades, CA 90272

R. Patrick Abergel1571 San Remo Drive

Pacific Palisades, CA 90272

Legal Expensesrelated to former

client investmentlosses


960,000.00

Robbie Levin351 High Desert RdGrand Junction, CO 81503

Robbie LevinRobbie Levin351 High Desert RdGrand Junction, CO 81503435-729-0075

Revenue ShareNote

300,000.00

Roger Peikin635 14th StSanta Monica, CA 90402

Roger PeikinRoger Peikin635 14th StSanta Monica, CA 90402

Pending Litigation UnliquidatedDisputed

750,000.00

Software Copyright (c) 1996-2012 CCH INCORPORATED - www.bestcase.com Best Case Bankruptc



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}bk1{CreditorAddressMatrix}bk{

Aletheia Research and Management, Inc.100 Wilshire Blvd.Suite 1900Santa Monica, CA 90401

Brian L. DavidoffGreenberg Glusker Fields Claman Machtinger1900 Avenue of the StarsSuite 2100Los Angeles, CA 90067

A-1 Courier1936 14th Street, Suite 100Santa Monica, CA 90404

A.S.A.P Advisor Services, Inc.

41 East 11th Street, 11th FloorNew York, NY 10003

Access Intelligence4 Choke Cherry RoadRockville, MD 20850

Advent Software600 Townsend StreetSan Francisco, CA 94103


Air-Tec1606 E Carson StreetCarson, CA 90745



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Anthem Small Group ServicesP.O. Box 9062Oxnard, CA 93031-9062

Anthony McKeon

22041 Avenue San LuisWoodland Hills, CA 91364

Arroyo Insurance Services, Inc.13749 Riverside DriveP.O. Box 55248Sherman Oaks, CA 91413-0248

Arvin Santos461 Country Club CrescentMississauga, ON L5J2P9

Canada

Ashland Partners & Co., LLP525 Bigham Knoll, Suite 200Jacksonville, OR 97530

Bingham McCutchen LLP1601 Cloverfield Blvd #2050NSanta Monica, CA 90404

Bloomberg731 Lexington AveNew York, NY 10022

C-Scape Consulting Corp.P.O. Box 126Oceanside, NY 11572



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Christa McMullin21012 Vintage StreetChatsworth, CA 91311

Christine Roper

1639 Old Topanga Canyon Rd.Topanga, CA 90290

City of Santa MonicaP.O. Box 2200Santa Monica, CA 90407-2200

City of Santa Monica - FireP.O. Box 2200Santa Monica, CA 90407-2200

Client Server SpecialistsP.O. Box 1985Southeastern, PA 19399

Clifton Gunderson LLP9339 Priority Way West DriveSuite 220Indianapolis, IN 46240

Clifton Larson Allen915 Wilshire Blvd Suite 2250Los Angeles, CA 90017

CNA Insurance (Arroyo)Department LA 21245Pasadena, CA 91185-1245



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Hunter Klarish LLP1359 Broadway, Suite 2001New York, NY 10018

Interactive Data

P.O. Box 98616Chicago, IL 60693

Intertrust Corporate Services(Cayman) Limited87 Mary Street, George TownGrand Cayman Island KY1-900

Investigative Advisory Group550 South Hope Street, Suite 850Los Angeles, CA 90071

IPFS Corporation (Arroyo)P.O. Box 100391Pasadena, CA 91189-0391

Iron MountainP.O. Box 601002Pasadena, CA 91189-1002

Iron Mountain1101 Enterprise DriveRoyersford, PA 19468

Jones Day LLP555 South Flower Streer 15th FloorLos Angeles, CA 90071



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Kahili Reed616 South Burnside Ave. #406Los Angeles, CA 90036

Kekst and Company Inc.

437 Madison AvenueNew York, NY 10022-7016

LA Networks15301 Ventura BlvdBuilding E, Suite 3100Sherman Oaks, CA 91403

Leggett Jury Research, LLC225 South Lake Avenue, Suite 300Pasadena, CA 91101

Lescroart Corp,John Lescroart, Lisa Sawyer426 D StreetDavis, CA 95616

Level(3)550 South 24th Street W, Suite 103Billings, MT 59102-6361

Lincoln Benefit Life CompanyP.O. Box 3582Akron, OH 44309-3582

Lincoln Benefit Life CompanyP.O. Box 4243Woodland Hills, CA 91365-4243



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LiveOffice, LLC2780 Skypark Drive, Suite 300Torrance, CA 90505

Mark Scalzo

13351 Cristallina WayTruckee, CA 96161

MassMutual Financial Group1295 State Street E-405Springfield, MA 11111

Maximum Security SystemsP.O. Box 5607Sherman Oaks, CA 91413-5607

Mercedes Benz Financial Services36455 Corporate DriveFarmington, MI 48331

Michael Dunn16924 W. Sunset Blvd.Pacific Palisades, CA 90272

Michael Laney858 Galloway StreetPacific Palisades, CA 90272

Moss Adams, LLP10960 Wilshire Blvd, Suite 1100Los Angeles, CA 90024



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Nai Li Mow575 North RockinghamLos Angeles, CA 90049

Nasdaq OMX

P.O. Box 8500Philadelphia, PA 19178-0200

National Corporate Research Ltd10 East 40th Street, 10th FloorNew York, NY 10016

Network Deposition Services, Inc.1875 Century Park East, Suite 2100Los Angeles, CA 90067

New York StateUnemployment InsuranceWA Harriman Campus, Building 12Albany, NY 12227

New York State Departmentof Taxation and FinanceWA Harriman CampusAlbany, NY 01222-7001

New York State Insurance Fund105 Corporate Park Drive, Suite 200White Plains, NY 10604-3814

New York State Worker'sCompensation Board328 State StreetSchenectady, NY 12305-2318



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Nossaman LLP777 South Figuera Street 34th FloorLos Angeles, CA 90017

NYSE Market, Inc.

11 Wall StreetNew York, NY 10005

Options Clearing CorporationOne North Wacker Drive, Suite 500Chicago, IL 60606

Options Price Reporting Auth.400 South LaSalleChicago, IL 60605

Patricia Barnes7561 Trask AvePlaya Del Rey, CA 90293

Patricia Loncaric25919 Matel Rd.Valencia, CA 91355

Pensylvania Department of RevenueP.O. Box 280509Harrisburg, PA 17128-0509

Personal Court Reporters, Inc.11400 West Olympic Blvd, Suite 140Los Angeles, CA 90064



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Aletheia Research and Management's bankruptcy petition

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Transcript of Aletheia Research and Management's bankruptcy petition