In Re Covad Communications Group, Inc. Initial...
Transcript of In Re Covad Communications Group, Inc. Initial...
Case 1:01-cv-05834-SAS Document 49 Filed 11/30/09 Page 1 of 30
UNITED STATES DISTRICT COURT SOUTHERN DISTRICT OF NEW YORK
Civil Action No. 21 MC 92 (SAS) IN RE INITIAL PUBLIC OFFERING SECURITIES LITIGATION
01 Civ. 5834
This Document Relates To: In re Covad Communications Group, Inc. IPO Sec. Litig.
U/3O10 ORDER AND FINAL JUDGMENT
On the 10th day of September, 2009, a hearing having been held before this Court to
determine: (1) whether the terms and conditions of the Stipulation and Agreement of Settlement
dated April 1, 2009 (the "Stipulation") are fair, reasonable, and adequate for the settlement of all
claims asserted by the Settlement Classes against the Defendants in the respective operative
Complaints now pending in the Actions in this Court (including the above-referenced Action)
under the captions listed on Exhibit A to the Stipulation, including the release of the Defendants
and the Protected Persons from the Settled Claims, and should be approved; (2) whether
judgment should be entered dismissing the Complaints as against the Defendants in each of the
respective Actions only, on the merits and with prejudice in favor of the Defendants and as
against all persons or entities who are members of the respective Settlement Classes in such
Actions who have not requested exclusion therefrom; (3) whether to approve the proposed
Designation and Plan of Allocation as a fair and reasonable method to allocate the settlement
proceeds among the cases and the members of the Settlement Classes; (4) whether and in what
amount to award Plaintiffs' Counsel fees and reimbursement of expenses; and (5) whether and in
what amount to award the proposed Settlement Class Representatives and/or Lead Plaintiffs
reasonable time and expense reimbursement (including lost wages) incurred as a result of their
Case 1:01-cv-05834-SAS Document 49 Filed 11/30/09 Page 2 of 30
representation of the Settlement Classes ("PSLRA Award Requests"). The Court having
considered all matters submitted to it at the hearing and otherwise; and it appearing that a notice
of the hearing substantially in the form approved by the Court was mailed to all persons or
entities reasonably identifiable who purchased or otherwise acquired the Subject Securities set
forth on Schedule ito the Notice of Pendency and Proposed Global Settlement of 309 Class
Actions, Motion for Approval of Settlement, Plan of Allocation, Attorneys' Fees and Expenses,
PSLRA Awards of Reimbursement of Representatives' Time and Expenses and Settlement
Fairness Hearing (the "Settlement Notice") in the date ranges set forth in said Schedule I (the
"Settlement Classes" or "Settlement Class Periods"), as shown by the records of the Issuers'
transfer agents at the respective addresses set forth in such records, and that a summary notice of
the hearing substantially in the form approved by the Court was published in the national
editions of The Wall Street Journal, USA Today, and The New York Times, and once over the PR
Newswire pursuant to the specifications of the Court, and copies of the Settlement Notice were
mailed to all persons or entities who were identified as potential class members in connection
with the previously terminated settlement or who requested copies as a result of the publication
notice or otherwise, and copies of the Settlement Notice were also made available at
www.iposecuritieslitigation.com ; and the Court having considered and determined the fairness,
reasonableness and adequacy of the Settlement, the proposed Designation and Plan of
Allocation, and the fairness and reasonableness of the award of attorneys' fees and expenses
requested and the PSLRA Award Requests; and all initial capitalized terms used herein having
the meanings as set forth and defined in the Stipulation.
NOW, THEREFORE, IT IS HEREBY ORDERED, ADJUDGED AND DECREED
THAT:
2
Case 1:01-cv-05834-SAS Document 49 Filed 11/30/09 Page 3 of 30
The Court has jurisdiction over the subject matter of this Action, the Lead
Plaintiff(s), Proposed Settlement Class Representative(s), all Settlement Class Members, and the
Defendants, in this Action.
2. The Court finds for the purposes of the Settlement only that the prerequisites for
certification of this Action as a class action under Rule 23 (a) and (b)(3) of the Federal Rules of
Civil Procedure have been satisfied in that in this Action: (a) the number of Settlement Class
Members herein is so numerous that joinder of all members thereof is impracticable; (b) there are
questions of law and fact common to the members of the Settlement Class herein; (c) the claims
of the Settlement Class Representative(s) herein are typical of the claims of the Settlement Class
sought to be represented; (d) the Settlement Class Representative(s) and Plaintiffs' Executive
Committee have fairly and adequately represented, and will fairly and adequately represent, the
interests of the Settlement Class herein; (e) questions of law and fact common to the remaining
members of the Settlement Class herein predominate over questions affecting only individual
remaining members of the Settlement Class herein; and (f) a class action is superior to other
available methods for the fair and efficient adjudication of the remaining controversy in this
Action.
Pursuant to Rule 23 of the Federal Rules of Civil Procedure and for the purposes
of the Settlement only, this Court hereby finally certifies this Action as a class action on behalf
of all persons who purchased or otherwise acquired the common stock (the "Subject Security")
of Covad Communications Group, Inc. ("Covad Comm.") during the period January 21, 1999
through December 6, 2000 (the "Covad Comm.Settlement Class"). Excluded from the Covad
Comm. Settlement Class herein are: (a) each Person, other than a Natural Person, that was
identified as a recipient of an allocation of shares from the "institutional pot" in the IPO or Other
Case 1:01-cv-05834-SAS Document 49 Filed 11/30/09 Page 4 of 30
Charged Offering of any of the 309 Subject Securities, according to a list derived from the final
"institutional pot" list created at the time of each IPO or Other Charged Offering by the lead
Underwriter in that Offering ("Excluded Allocants"); (b) (i) each Person that currently is or
previously was a named defendant in any of the 309 Actions (hereafter "Named Defendant");
(ii) any attorney who has appeared in the Actions on behalf of a Named Defendant; (iii)
members of the immediate family of any Named Defendant, (iv) any entity in which any
Excluded Allocant or Named Defendant has or during any of the class periods had a majority
interest; (v) the legal representatives, heirs, successors or assigns of any Excluded Allocant or
Named Defendant; and (vi) any director, officer, employee, or beneficial owner of any Excluded
Allocant or Named Defendant during any of the Settlement Class Periods. Notwithstanding the
prior sentence, a person shall not be excluded from the Covad Comm. Settlement Class herein
merely by virtue of his, her or its beneficial ownership of the securities of a publicly-traded
Excluded Allocant or Named Defendant. Also excluded from the Covad Comm. Settlement
Class herein are the persons and/or entities who requested exclusion from every Settlement Class
as listed on Exhibit 1 annexed hereto and the following persons and/or entities who requested
exclusion from the Covad Comm. Settlement Class: Chauncey Bryant, Cassa Lombarda SpA,
Barbara G. Fiero & Robert S. Fiero (Joint Acct.), Robert S. Fiero (Individual Acct.), Marlene P.
Heider, John F. Lane, Peter Mulcrone and Eugene Needham.
4. Pursuant to Rule 23 of the Federal Rules of Civil Procedure and for the purposes
of the Settlement only, the Proposed Settlement Class Representative(s) herein, Gordon L.
Bailey, Neils Peter Christenson and Rolando A. Borromeo, are finally certified as Settlement
Class Representative(s) in this Action; and the firms comprising the Plaintiffs' Executive
Committee are finally certified as Class Counsel in this Action.
Case 1:01-cv-05834-SAS Document 49 Filed 11/30/09 Page 5 of 30
5. Notice of the pendency of the Actions as class actions and of the proposed
Settlement was given to all Members of the Settlement Classes in all 309 Actions who could be
identified with reasonable effort, including all members of the Covad Comm. Settlement Class
herein. The form and method of notifying the Covad Comm. Settlement Class of the pendency
of this Action as a class action and of the terms and conditions of the proposed Settlement,
including the use of a separate website to identify the alleged artificial inflation amounts and end
of Class Period holding price for the Subject Security, met the requirements of Rule 23 of the
Federal Rules of Civil Procedure, Section 27 of the Securities Act of 1933, 15 U.S.C. § 77z-
1(a)(7) as amended by the Private Securities Litigation Reform Act of 1995, Section 21D(a)(7)
of the Securities Exchange Act of 1934, 15 U.S.C. § 78u-4(a)(7) as amended by the Private
Securities Litigation Reform Act of 1995, due process, Rule 23.1 of the Local Civil Rules of the
United States District Courts for the Southern and Eastern Districts of New York, and any other
applicable law, constituted the best notice practicable under the circumstances, and constituted
due and sufficient notice to all persons and entities entitled thereto.
6. The Settlement is approved as fair, reasonable and adequate for the settlement of
this Action, and the parties to the Stipulation are directed to consummate the Settlement in
accordance with the terms and provisions of the Stipulation.
Except to the extent waived by all parties in writing, the Settlement is conditioned
on entry of an Order and Final Judgment approving the settlements in each and every one of the
Actions.
The Complaints in this Action, which the Court finds were each filed on a good
faith basis in accordance with the Private Securities Litigation Reform Act of 1995 (the
"PSLRA") and Rule 11 of the Federal Rules of Civil Procedure, based upon publicly available
Case 1:01-cv-05834-SAS Document 49 Filed 11/30/09 Page 6 of 30
information, are hereby dismissed as against all Defendants in this Action and the Bankrupt
Issuers, with prejudice and, except to the extent costs are provided in the Stipulation, without
costs.
9. Except as provided in paragraphs 10 and 11 below, upon the Effective Date, Lead
Plaintiff(s), the Settlement Class Representative(s) and the Covad Comm. Settlement Class
Members in this Action, on behalf of themselves, their heirs, executors, administrators,
successors and assigns are hereby permanently barred and enjoined from filing, commencing,
prosecuting, intervening in or participating in, any and all Settled Claims against any and all of
the Protected Persons in the Actions or in any other proceeding. The Settled Claims are hereby
compromised, settled, released, discharged and dismissed as against the Protected Persons on the
merits and with prejudice by virtue of the proceedings herein and this Order and Final Judgment.
10. Lead Plaintiff(s), Proposed Settlement Class Representative(s) and the Covad
Comm. Settlement Class Members, upon the Effective Date, are hereby deemed to have
covenanted not to sue the Bankrupt Issuers or Lehman or prosecute any action against the
Bankrupt Issuers or Lehman with respect to any Bankrupt Issuers and Lehman Resolved Claims;
provided, however, that in the event that any Bankrupt Issuers and/or Lehman asserts a claim
against any Lead Plaintiff, Proposed Settlement Class Representative or Covad Comm.
Settlement Class Member that otherwise would have been released pursuant to this Paragraph 10,
such Lead Plaintiff, Proposed Settlement Class Representative or Covad Comm. Settlement
Class Member shall be permitted to assert defensively (up to the amount of any Bankrupt
Issuer's or Lehman's claim, as the case may be) all matters against any Bankrupt Issuer and/or
Lehman that would otherwise have been barred or released pursuant to this Paragraph.
Case 1:01-cv-05834-SAS Document 49 Filed 11/30/09 Page 7 of 30
11. The release and injunction referred to in Paragraphs 9 and 10 above shall not bar
any Covad Comm. Settlement Class Member from asserting in any other proceeding that conduct
with regard to the allocation of any shares to or by Protected Persons is relevant evidence in such
other proceeding, but shall bar Covad Comm. Settlement Class Members in their own right from
asserting a Settled Claim against the Protected Persons in that other proceeding. The Protected
Persons shall retain all rights and defenses with regard to any such assertion.
12. Upon the Effective Date, each of the Protected Persons (except Lehman and the
Bankrupt Issuers) are hereby deemed to have released and forever discharged the Settled
Defendant Claims in this Action, against any Covad Comm. Settlement Class Members,
directors and officers of any Covad Comm. Settlement Class Member, and the present and
former agents, attorneys and employees of any Covad Comm. Settlement Class Member, acting
in such capacity, and each of their respective successors and assigns to the fullest extent
permitted by law.
13. Upon the Effective Date, each of the Protected Persons (except Lehman and the
Bankrupt Issuers) is hereby deemed to have released and forever discharged the Settled Cross
Defendant Claims against any other Protected Person, to the extent described in Paragraphs 26
and 27 of the Stipulation, to the fullest extent permitted by law. Upon the Effective Date, the
Protected Persons are, to the fullest extent permitted by law, deemed to covenant not to sue the
Bankrupt Issuers and/or Lehman and/or a Protected Person or prosecute any action against the
Bankrupt Issuers and/or Lehman and/or a Protected Person with respect to any Settled Cross
Defendant Claims; provided, however, that in the event that a Bankrupt Issuer and/or Lehman
and/or a Protected Person asserts a claim against any Protected Person that otherwise would have
been released pursuant to this Paragraph, such Protected Person shall be permitted to assert
7
Case 1:01-cv-05834-SAS Document 49 Filed 11/30/09 Page 8 of 30
defensively (up to the amount of the Bankrupt Issuer's and/or Lehman's and/or the Protected
Person's claim) all matters against the Bankrupt Issuers and/or Lehman and/or the Protected
Person that would otherwise have been barred or released pursuant to this Paragraph.
14. To the fullest extent permitted by law, the Protected Persons are hereby
discharged from all Claims Over by any person or entity, whether arising under state, federal or
common law, based upon, arising out of, relating to, or in connection with the Settled Claims of
any Covad Comm. Settlement Class Member. To the fullest extent permitted by law, the Court
hereby bars, enjoins and restrains commencement, enforcement or assertion of all such Claims
Over: (a) against the Protected Persons by any person (except Lehman); and (b) by the Protected
Persons (except Lehman) against any person or entity.
15. To effectuate the protection of Protected Persons contemplated by Paragraph 14
and to compensate for any impairment of any person's interest in barred Claims Over, the Court
orders that any judgment or award obtained by any shareholder of an Issuer or an Issuer on any
claim arising out of or reasonably flowing from the conduct alleged to be wrongful in these
Actions (except for Section 16(b) claims against any Defendant in litigations previously filed as
of the date of execution of the Stipulation), in this Court, in any federal or state court, or in any
other court, arbitration proceeding, administrative agency proceeding, or other forum in the
United States or elsewhere, including but not limited to claims against Lehman, shall be reduced
by the greater of (i) the amount that corresponds to the percentage of proportionate fault of
Protected Persons adjudged responsible or (ii) the amount allocated to the Action against that
Issuer under the Plan of Allocation in this Settlement.
16. The Defendants have denied and continue to deny any wrongdoing whatsoever.
This Order and Final Judgment shall in no event be construed or deemed to be evidence of or an
Case 1:01-cv-05834-SAS Document 49 Filed 11/30/09 Page 9 of 30
admission, presumption or concession on the part of any Protected Person of any fault, liability,
coverage or wrongdoing as to any facts or claims asserted in the Actions (or any infirmity in the
defenses that they have asserted or could assert in the Actions), or any other actions or
proceedings, and shall not be interpreted, construed, deemed, invoked, offered, or received in
evidence or otherwise used against a Protected Person in the Actions, or in any other action or
proceeding, whether civil, criminal or administrative. Notwithstanding anything contained herein
to the contrary, this Order and Final Judgment may be used by any Person to enforce its terms.
17. The proposed Plan of Designation' and Plan of Allocation are approved as fair
and reasonable, and Plaintiffs' Executive Committee and the Claims Administrator are directed
to administer the Stipulation in accordance with their terms and provisions.
18. The Court finds that all parties and their counsel have complied with each
requirement of Rule 11 of the Federal Rules of Civil Procedure as to all proceedings herein.
19. Pursuant to this Court's October 5, 2009 Opinion and Order, attorneys' fees in the
amount of one-third (33-1/3%) of the Settlement amount, net of $46,941,556.96 of litigation
expenses, $27,500,000 of anticipated Administration fees, and a total of $1,303,593.05 in
PSLRA reimbursements awarded to specific plaintiffs, were awarded to Plaintiffs' Counsel.
Attached hereto as Exhibit 2 is a list showing, for each of the Actions covered by this Court's
October 5, 2009 Opinion and Order: (i) the Total Designation Amounts for each of the Actions
covered by this Court's October 5, 2009 Opinion and Order; (ii) the proportionate amounts of the
$27,500,000 reserved for the Administrators' fees; (iii) the PSLRA Awards, and (iv) the
proportionate amounts of the $46,941,556.96 of litigation expenses awarded. In this Action,
Schedule 2 to Exhibit 1 to Exhibit C of the Stipulation.
As set forth in the Notice (Exhibit 1 to Exhibit C of the Stipulation) beginning at page 14.
Case 1:01-cv-05834-SAS Document 49 Filed 11/30/09 Page 10 of 30
Plaintiffs' Counsel are awarded the amounts of attorneys' fees and litigation expenses as shown
on Exhibit 2 for this Action, which sum the Court finds to be fair and reasonable. 3 The foregoing
fees and expenses shall be paid to Plaintiffs' Executive Committee from the Gross Settlement
Fund with interest from the date such Settlement Fund was funded to the date of payment at the
same net rate that the Settlement Fund earns. The award of attorneys' fees shall be allocated
among Plaintiffs' Counsel by, and in a fashion which in the opinion of, Plaintiffs' Executive
Committee, fairly compensates Plaintiffs' Counsel for their respective contributions in the
prosecution of this Action.
20. In making this award of attorneys' fees and reimbursement of expenses to be paid
from the Gross Settlement Fund, the Court has considered the reasons and facts discussed at
length in the Court's October 5, 2009 Opinion and Order, including that:
a. Plaintiffs' Counsel has created a settlement fund which is reflected in the
Total Designation Amount for this Action shown on Exhibit 2 attached hereto, that is already on
deposit and earning interest, and that numerous Covad Comm. Settlement Class Members who
submit acceptable Proofs of Claim will benefit from the Settlement created by Plaintiffs'
Counsel;
b. Over seven million copies of the Settlement Notice were disseminated to
putative Settlement Class Members in all 309 Actions, including 299,455 mailed with
"Frontispieces" specifically directed to members of the Covad Comm. Settlement Class,
No adjustment shall be made for any spillover to or from this Action's Total Designation Amount, as any spillover amount will ultimately go to Members of the Settlement Classes, net of the present fee award only, in which case the portion of the fee attributable to such spillover shall be deemed paid from the spillover's recipients. There shall be no reversion to Defendants by virtue of any spillover, nor shall any additional fees be paid to Plaintiffs' Counsel upon any spillover.
10
Case 1:01-cv-05834-SAS Document 49 Filed 11/30/09 Page 11 of 30
indicating that Plaintiffs' Counsel were moving for attorneys' fees in the amount of up to 33-
1/3% of the Gross Settlement Fund, plus interest, and for reimbursement of expenses in an
amount of approximately $56 Million, plus interest, and approximately only 140 objections,
representing less than a hundredth of one percent of all Settlement Classes, were filed against the
Settlement and/or the fee and expense request set forth in the Settlement Notice;
C. Plaintiffs' Counsel have conducted the litigation and achieved the
Settlement with skill, perseverance and diligent advocacy;
d. The action involves complex factual and legal issues and was actively
prosecuted over eight years and, in the absence of a settlement, would involve further lengthy
proceedings with uncertain resolution of the complex factual and legal issues;
e. Had Plaintiffs' Counsel not achieved the Settlement there would remain a
significant risk that the Settlement Classes may have recovered less or nothing from the
Defendants;
f. Plaintiffs' Counsel have committed hundreds of thousands of hours in
litigating the 309 Actions and ultimately achieving the Settlement; and
g. The amount of attorneys' fees awarded and expenses reimbursed from the
Settlement Fund are fair and reasonable under the circumstances of this Action.
21. Pursuant to the PSLRA, Rolando A. Borromeo and Neils Peter Christenson are
hereby awarded $466.67 and $10,000.00, respectively, as reasonable time and expense
reimbursement (including lost wages) incurred as a result of representing the Covad Comm.
Settlement Class in this Action.
11
Case 1:01-cv-05834-SAS Document 49 Filed 11/30/09 Page 12 of 30
22. In granting these PSLRA Award Requests to be paid out of the Gross Settlement
Fund, the Court has considered and found the reasons and facts discussed at length in the Court's
October 5, 2009 Opinion and Order.
23. Exclusive jurisdiction is hereby retained over the parties and the Covad Comm.
Settlement Class Members for all matters relating to this Action, including the administration,
interpretation, effectuation or enforcement of the Stipulation and this Order and Final Judgment,
including any application for fees and expenses incurred in connection with administering and
distributing the settlement proceeds to the members of the Covad Comm. Settlement Class, and
for all further proceedings herein relating to the Settlement.
24. Without further order of the Court, the parties may agree to reasonable extensions
of time to carry out any of the provisions of the Stipulation.
25. The Clerk of the Court is directed to file a true copy of this Order and Final
Judgment in this Action.
Dated: New York, New York
,2009
HO&Bh SHIRA A. SCHEINDLIN UNITED STATES DISTRICT JUDGE
12
Case 1:01-cv-05834-SAS Document 49 Filed 11/30/09 Page 13 of 30
m :-
Case 1:01-cv-05834-SAS Document 49 Filed 11/30/09 Page 14 of 30
EXHIBIT 1
IN RE INITIAL PUBLIC OFFERING SECURITIES LITIGATION CIVIL ACTION NO. 21 MC 92 (SAS)
EXCLUSION REQUESTS - ALL SETTLEMENT CLASSES
Donna R. Adams Fredric L. Aibel (Trust Acct.) Brad Anselmo Donner T. Bailey (Deceased) (IRA Acct.) Richard L. Balser (PMA Acct.) Richard G. Barrows (IRA Acct.) Marcelle G. Baumbach James D. Becker Karen Belsky & Melvin Belsky (Trust Acct.) Daniel & Mary Ann Bernardi (Joint Acct.) Mary Ann Bernardi (IRA Acct.) Noreen Betten & Paul Betten (Joint Acct.) Gerald T. Bird & Kristine I. Bird (Joint Acct.) Markus Blechner Anthony D. Bogus & Margaret L. Bogus (Trust Acct.) Jeffrey J. Bradt Timothy K. Brady Dwight G. Brainard (Individual Acct.) Dwight G. Brainard & Gwendolyn H. Brainard (Joint Acct.) Eric S. Braley (Roth IRA Acct.) Marco L. Brew Robert Browder Iva H. Brown (Individual Acct.) Iva H. Brown (Trust Acct.) Kevin Brown (IRA Acct.) Garth R. Budlong Jean M. Buescher & Robert E. Buescher (Deceased) (Joint Acct.) Robert Calamari (Trust Acct.) Angela Cappiello & Augustino Cappiello (Joint Acct.) Henreitte Clapp & John R. Clapp (Joint Acct.) John R. Clapp (Individual Acct.) CNN Investment Co., Inc. Burton Cohen & Tess Cohen (Trust Acct.) Linda R. Collings Stanley Compton John J. Connolly Beverly J. Cosper (Individual Acct.) Beverly J. Cosper & Bruce R. Cosper (Joint Acct.)
Case 1:01-cv-05834-SAS Document 49 Filed 11/30/09 Page 15 of 30
Mary Crehan Daniel L. Curtis Anthony D'Agostino & Rose D'Agostino (Deceased) (Joint Acct.) George Darwin (Individual Acct.) George Darwin, Viola D. Darwin, Jeffrey Darwin & Diana Leboeuf (Joint Acct.) George Darwin & Viola D. Darwin (Joint Acct.) Melody F. Davenport Louis Debole & Mary Debole (Joint Acct.) Dwane L. Decker (Deceased) & Verma Decker (Joint Acct.) Glenn P. Deltondo & Maria R. Deltondo (Joint Acct.) Irmgard Dem Jerry L. Dieball (IRA Acct.) Jerry L. Dieball & Karen L. Dieball (Joint Acct.) Louis A. Diller (IRA Acct.) Richard T. Dolbeare Arthur J. Domingue, Jr. (IRA Acct.) Dale L. Doucet & Evelyn J. Doucet (Joint Acct.) Traida M. Echeandia Nancy K. Edenfield (IRA Acct.) Sylvia M. Edney (Roth IRA Acct.) Arthur T. Elgin III Donald F. Erickson, Sr. (Deceased) (IRA Acct.) Michael J. Fealy (IRA Acct.) Michael A. Fiorenzo Douglas C. Flegal (SEP-IRA Acct.) Daun A. Fondarella & Pat J. Fondarella (Joint Acct.) Jan A. Fulks (Deceased) George Galvan & Gloria D. Galvan (Joint Acct.) Gary Nibbelink Associates John R. Gingles (IRA Acct.) Miu-Chu W. Gong & Phillip S. Gong (Joint Acct.) Good Shepherd Church (Operations Acct.) Good Shepherd Church (Building Fund Acct.) Ruby T. Gregory Despina Hatton & John 0. Swendseid (Joint Acct.) Âme B. Heikkila (Deceased) Carrie L. Higo & Paul H. Higo (Joint Acct.) Mildred A. Howard & Nelson Howard (Joint Acct.) Jung-Hsin Hu & Danny T. Tsao (Joint Acct.) Elizabeth J. Janiszewski (Roth IRA Acct.) Raymond G. Jarisch Mary N. Johnson & Russell L. Johnson (Joint Acct.) Kevin L. Jones K & A Muizer Enterprises LP Jon Kayyem (Individual Acct.) Judith W. Kielhofer & Kary D. Kiethofer (Joint Acct.)
Case 1:01-cv-05834-SAS Document 49 Filed 11/30/09 Page 16 of 30
Bridie Kilduff Donald A. Kissell (IRA Acct.) R.J. Kjeve (Deceased) Koch Equity Holdings Inc. John Kong Carr C. Kreuger II (Individual Acct.) Can C. Kreuger II & Lori L. Krueger (Joint Acct.) Betty L. Kruchten & Joseph L. Kruchten (Joint Acct.) Joseph L. Kruchten (Individual Acct.) Barbara Lawton & Howard B. Lawton (Trust Acct.) Loreen B. Lejeune & Jonathan H. Wenocur (Joint Acct.) Deeann M. Limp & Wayne E. Limp (Joint Acct.) Aloysius W. Little & Virginia C. Little (Trust Acct.) Gregory T. Little & Virginia C. Little (Joint Acct.) Tom R. Loffland (Individual Acct.) Tom R. Loffland (Trust Acct. 1) Tom R. Loffland (Trust Acct. 2) George E. Loomis Arthur F. Luetke Michael R. Lufrano Jennings M. Lyon Domenica M. Macerata Minh T. Mai (Individual Acct.) Minh T. Mai (Roth IRA Acct.) Edward Makarchuk Thomas G. Mansfield Curtis E. Marc, Jr. Larry Matthews Laverne McCombs & Robert L. McCombs (Joint Acct.) Mildred E. McLemore & Robert W. McLemore (Joint Acct.) Robert W. McLemore (IRA Acct.) Virginia M. McNear Robert E. Megill (IRA Acct.) Gail P. Miller & Richard J. Miller (Trust Acct.) Lenore Miller Yaichiro Minami (IRA Acct.) Yaichiro Minami (Trust Acct.) John T. Mitchell James M. Monger & Lucille M. Monger (Trust Acct.) Pamela A. Moore Andrea H. Mulzer Kenneth D. Mulzer, Sr. (IRA Acct.) Kristin J. Muizer (Individual Acct.) Kristin J. Muizer (IRA Acct.) Billy Murphy Marilyn A. Murrow (IRA Acct.)
3
Case 1:01-cv-05834-SAS Document 49 Filed 11/30/09 Page 17 of 30
John A. Newton HI (IRA Acct.) Alice B. Newton (IRA Acct.) Gary D. Nibbelink (Individual Acct.) Gary D. Nibbelink & Linda A. Nibbelink (Joint Acct.) Gary D. Nibbelink & Linda A. Nibbelink (Profit Sharing Acct.) Linda A. Nibbelink (Individual Acct.) Anne M. Noonan Talila G. O'Higgins Bruce A. Paige & Donna H. Paige (Joint Acct.) James M. Parker David B. Pedersen & Diane S. Pedersen (Joint Acct.) Diane S. Pedersen (Individual Acct.) Clara E. Perrin & Clayton J. Perrin (Trust Acct.) Eusibius Peters William B. Pettinger (Deceased) Charles R. Platt Eugene F. Pleyvak John A. Primeau (Deceased) & Suzanne C. Primeau (Joint Acct.) Barbara P. Radebaugh M. Rangaraj (401K Acct.) Boyce A. Ray (Individual Acct.) Boyce A. Ray (IRA Acct.) James R. Reitnauer Mark R. Rizzo Griffen A. Rizzo (Custodial Acct.) Lester Rose (Trust Acct.) Dorothy D. Rupel (Trust Acct.) Sterling M. Ryder Valerie A. Saines Patricia G. Salisbury (IRA Acct.) Evan C. Santistevan Barbara V. Schugt & H. Dieter Schugt (Joint Acct.) Ingeborg Schuster Nancy A. Scott (Roth IRA Acct.) Bonnie N. Shimasaki & Robert K. Shimasaki (Joint Acct.) Albin J. Sircely James P. Slupe Barton L. Small & Catherine B. Small (Trust Acct.) Barbara J. Smith (Individual Acct.) Barbara J. Smith & Thomas F. Smith (Trust Acct.) Brenda J. Smith & Nathan J. Smith (Joint Acct.) Frances Smith (Trust Acct.) James Smith (Deceased) (IRA Acct.) Thomas F. Smith (Individual Acct.) Raymond W. Sperring, Jr. (IRA Acct.) Raymond W. Sperring III
4
Case 1:01-cv-05834-SAS Document 49 Filed 11/30/09 Page 18 of 30
Steven P. Stachwick Marc G. Stalker & Salena W. Stalker (Joint Acct.) Marlies Starbird Patricia S. Steele (Individual Acct.) Sue Steele (ERA Acct.) Morgan Stewart W.J. Sturm (IRA Acct.) Eric M. Talgo (Individual Acct.) Eric M. Talgo & Lynda Talgo (Joint Acct.) Delena R. Tanner Richard A. Taylor (IRA Acct.) Mary T. Thayer Bjorn C. Tollerud & Bjorn E. Tollerud (Joint Acct.) Bjorn E. Tollerud (Individual Acct.) Turner Broadcasting System, Inc. Irwin Usher (Deceased) Jeffrey D. Van Gundy Deborah A. Verginia & Michael D. Verginia (Joint Acct.) Ava N. Walker (Individual Acct.) Ava N. Walker (IRA Acct.) J.W. Walker (IRA Acct.) Jonathan H. Wenocur (Individual Acct.) David E. West Tony R. Whisenant Ralph Whited David A. Windecker (IRA Acct.) Windecker Family Trust Mona M. Wolf Charles Wright, Jr. & Frances L. Wright (Joint Acct.) Michelle D. Wright John C. Yancy (401K Acct.) Arlene Yannece & Ralph Yannece (Joint Acct.) Youth Help Association Inc. George E. Zeigler Farida K. Zreik
5
Case 1:01-cv-05834-SAS Document 49 Filed 11/30/09 Page 19 of 30
rn X
0
N)
I I
C,)
CI')
N C'
C)
N
d z z 0 H C-)
-
C)
Case 1:01-cv-05834-SAS Document 49 Filed 11/30/09 Page 20 of 30
(N N
r rs r r - - r r r r
C' ('1 1N NNN 00 00
r ,
0
r
0
rr
C' 'C' r 00 C'
C 00 4 C' N C' 00 ( 4 ' 00 '0 N 4 N C' C' N N -T N N N
1' - '.0 N ' N 10 In 'C' N N N rn 00 N N In '.0 '.0 N 10 C' N m m 00 t) - © C' r' N '0 00 C C C' .0 C C' C N It .0 C c C' C C
'o Q 00 t 00 N C' N r 'f N 00 'f N - r' C' C '.0 00 In rn N 'r C c' 1 N N 00 4è C' 00 j- - - 00 C 00 rn - e' 00 00 N C C I '.0 - N - ir, C' 00 '.0 C' * N N 00 00
' c, m 68 '4f N '0 N - N N 'O * N C' - N m '1- C '4 N N m - -
'Q0
ca
Os 68 '4 '4
ON
6, U 0
'.0 C' N N f N In In In c". 00 CInN 00 00 ('. '. 00 C' C 'C' - .•, N 00 0 00 C' 'e, 10 C' - C'. .- N C' N ' - ' '0 N - - '1- N ' N C C - r 't C - N r 00
e '0 00 N -. -' - r C' '. N 'C' C' C' c 00 'C' - N N -0- -0- N . N N N - N N N 00CC' 00-C' C' '.0 rfl 0 -00 '.0 C ----C' •r00N
'- C' C 0- C 00 C' 00 -,t• '.0 'C' - N N N C N '.0 r N '0- 'r 0.0 00 el - - '0 0' 10 '-0 C N '0- N N 'f N N N N 0 C' N C '.0 m '.0 C' N N N V -In
4868 - N 38 - 68 - 38 N 4848 48 38 ,0 38N N '43848 - 4048 N 38- - 3844
68
-H C C C r0 C' C C C C C C C CC 0' 00 C C C C C C C N C
tn N N r') C C C C C C C - C C') C C C') C C N 'f 00 C') C C N C') g N 0 0 10 In '0- C) C' 0 0 In 0 C') C C') C 00 'C' C C C'
'0m N '.0 - 00 C' 64 N C') C '10 C C 6') C' .- C C' C C 64 6') N 6') 00 68 C') C - N 'I) C N '-as C'C''-' C'C'NC'NC NC')'00iC') 00 N C')CO'10N00'I0
-- o'c - '43848- 48 38484848 68 - 34-- 38
44
H
- N - C' C "0 -~zl 'C - CO - - C., C-) C 00 N CO C' N 00 CO 00 C' C') 00 C' 00 In N 00 f) N 00 '0 00 00 '0- N C-) C' N 00 N 10 N '0 N 00 r C' 00 N C C' 'C' N r') N C' C N N - N N 00 '0- '0 C '(0
C * C - 00 N N 'C' C') N 't C N N '(0 'C' N o t i (0 C' C' N f C ? C' 06 - N t C C C t
ON "0 eo C' - - 00 - N C') t '0- - 1- c') N - N 'I) - ') "0 N en - C' N en '0 '0 en - 0 N '4383868- '4'4'4-'4N'44848-44N38--'-38483844m3838-38-44443838
cu ca
0. N
00 C - C en C - C en C' '0- C en '(0 '0- '0- '0- '0 C en 10 en C - 'I) C '.0 en N N o C'Nm
en'0- OenCC-0- NNC,0Nen'0'0C',00 N'I000'I- CONOOCOO'0- C'
In C C '0 C '.0 N N en '0- C' N - 'C' '0- C C 00 00 en 0) N C' C N '10 C' '-0 '0 C - C C C' C C' N
.? N N - N '10 C '10 C N C' C' 4 - en oo 0) C' 0 0 - C e') N "0 N 4 "0 en N N 10 - '0' Cl II) C C N 'C' 00 C 'C' C 00 '0- ON '0' N N C N - C "Zr N en C' 00 '0' C
1r en N en "0 N C' (o) en C' N 00 en "0 en en N N '/0 N en 0'. N N N N '.0 en SS '4 -'4 -''4 6660q60)'4 ---r-'4 -'4 '4
- 6868 6468 68 68 - 64 6468 686864 4868 6868 64
0 H
C) C) C) 0 C)
C) C) z cn En 0C)c' - 0
8 C)3 C)
C)C)d 0 HO00 OH l)C) 1 - 00 -OO HC) H H
C4 wo. u u 0 > > ><,OO
N< < <<< <<<< <<< <
Case 1:01-cv-05834-SAS Document 49 Filed 11/30/09 Page 21 of 30
— ,- ,- r\ r r r. , r , r r r r , r r r r - N N - 00 'C 'C - N N - N C) '(' — 00 C 00 - N N '0 C' C' N C' N N 00 (N C (N '0 0 (N (N '0 N r 00 'r f (N - C' — 00 () C' In C'
C' (N 00 'C 0000OOOmN(N NN C)d r.Q
'C C' ' 0 C) N t 'CC'- - - N 0CC) -1- -- r '0 - 1- N '000 - N 00 '0 N ir 00 N C' 'C N 'f) If) ) 00 00 N N 'C 1- N 0 If) 8 C' n N 00 00 C' 'C '0 -
I() CI 00 -' - C' c C' — 00 N N N N 00 '0 N '0 00 t 1- C) If) N 'C N 00 0'
N N - 44 44 44
C N
69 U C
m N 'C 0 If) r) r.) If If) 'C C' C) If) N 0 00 C', C' N CO If) r) 'C 'C
C) (N C' 'C ) If) If) (N - N • C' If) 10 C) •f) 'C '0 C' (N If) -0'•.-- 'r C) If)
N C) •f) 'C N C' - N- (N N C' '0 f) N N- 'C N N N 00 N N- — C' N- C) N 00 N - (N 00m C' m IN If) 'C (N C) 'C 'C . C' N- N N N 'f) C) - N- 'C fl N- N 00 N- — N- 34 34 38 44 - N- 38 — 44 - - 34 34 N 34 48 34 38 — (N C' 38 34 38 If) - N If) 34 44 34
'-'48 434 cc
'C o N-
C) C) C) C) C) C) N- r' Cl C) C) If) 9 'C If 'C If) C) - f) C) N 0 (N r' C) 'C 'C N C) 0
C) If) 'C r1) N C) 68 'C - C) N - C) C') 64 'C r9 r' 48 — 68 (N 00 C) 'C If) N N 48
--'C--'C)(N0'NN'C 'CC'C)N-C)N- 0000c') ') C)'CIf)N-(flIf)'C U') --r ç-) m C>NO'00C'
cm
34 --383848 6') - 444434 3434 44 34948-484838
H
N cIn 0 O0 C) N N NC' C' QO 'C In IN 'tU =00 'C (9 00 N 'C 00 00 00 If) (9 N- - C) N C' 00 00 'C N- (9 0' If) C) N- If N 'C N -
r9 N N- N N f) (N r9 If) C' N C' C' N N- C' C' N '- If) 'C 'C (N C 00 'C 4.
N If) C' N — C' N- -' 0 'I) C' If) N N- (4 N- 00 'C N- 'F) C' N 'F) It - 'C C' 00 N' 00
N £1) £4 38 - 68 (N 38 4') 0.4 £4 0.8 38 44 - 4') 38 34 38 - - If) 44 - - 44 (9 - N- N 3') 3') 4') 0 o. r-* -' '--' '-' "-' '-' 64'--''-''--''---''-''--' cd ci
= C
C) If) If) '0 N N - C) 19 19 00 0' C) N- C-- (N 'C 'C 0) N- N .-I 00 V - 19 N 00 -
00 C) ON 0 0) 0 N 0 N 00 C) N- If) £0 C) N 00 - C' N- N- 0) 'C 'C ~o In
N- - '0 . C)
00C) C) 00 — 00 'C If) 00 C) C) - 19 - N- (N - N- C) n If) C) 0) (N 0) N' IF) N- If) - C- N bf) 0019(9 'CC) 00 N If)N £0 N N' ' ,6 06 N 19N' C)
C. 0) 00 00 0) N N - C) C) 00 £0 N N- N N- C) C) N C) 00 19 If) - If) (9 'C 0) C-- C) 00 Cl 9 C) 19 - '0 (N 'C — 19 19 N N N- N IF) C' C' 9 00 C' 19 'F) 00 (N If) — '. N (9 N- N- N- 6') - ' v- — — ''4 44 48 '468 68 _" e'I -' 68 68 1 48 4848
— 68 686448 48 6848 68 6844- 68 48646868 48
C H
0 0
8 4Z4 uu~iooum C~u 00
P4 0 00 0 oo8
I
N
H
0
(-)
Cl)
C/)
N C'
0
N
d z z 0 H 0
0
00
00
N 0'
U
d z
z 0
U
-4 U
0
Case 1:01-cv-05834-SAS Document 49 Filed 11/30/09 Page 22 of 30
C - - 00 0' 00 N N N C' C' 'C C'. N 4 0' 'C 00 — C-, C 5 Ifl C' C -r 00 N en N 'C '0- 'fi C -0- C - en fl 500 'C en 'r, 0' 'C, en C -0- '0 N en en '0 en N S 'fi 00 'fi 'C N N C
C' C N 00 00 en 00 N N 00 en '0 'C C' - -0- '0- C-. N 00 '0 S N In N N N 'C C In 00 5 N C' '0- t 'C 'fi C\ '0 00 'C N 'C 't N 'C '0- N 00 f 00 'C 00 0' N '0 00 C '1- - 'fi N 00 'C, NenN N-00*N00Nen NN 00N en
'-00 0000000000000000000000000000
0 5
00
0
00
'C, C' N '0- '0 N 0' (C, 'C fl 00 00 4 N N en — en 4 'fi C en 00 4 O ' 'fi 'I C fl 0. N 00 'C en 00 00 'C C fl 0' en 5
- N 00 - N 00 00
00 '0 N N- - '0-S 'C 'C 'C, C 'C, en N 00 en C 'C 'q - 00 0' .0 C N 'fi 'C N '0- '-0 en 'C C 'C, 10 — N 'C C C 'C, en C N N '0- - N C N 0'
000000--0000000000N 000000 00N00C'000000 ,-
0 '0 0 _ 00
fS
C C' 00 N C C C C C C' C C' C C 00 C C' 00 C C C (C C' C' C C C 'C 00 C' 00 en 'C, 'C, lfl C N C' C' 00 C' 00 C N 00 C C C N C C C' C 00 00 0 en .0 In '0 0 S 0 'C, C C Cl en C 'fi N -0- 0 N - C C' '0 0 C '0- en
'0 00 N C Cl 00 C N 'C C' C en '0 .0 C 00 en 00 C C' '- C' C 'C, - N 00 0' 00 C 00 'C, C'NC 'CC'enCCNC'CC 0' 'O- CenC'-NC''C-
Ifj ee,r'rc - 00 0000 00-000000 00 0000
en
rJ
C' N 'fi C' - 'C, en 'C, N N 0' - en en N N 00 00 00 C 'C N N N C C' C C, IN
c, C' 00 00 00 C' d C' 'C 00 C' C) C 'C) en 'C, '' '0' C' C' N 'C, - C' 00 'C 'r C fl C' 00 C
en -0- '0 C' - -0- en N C'. C' N C' C' -0- C 00 en -0' 'C 'I en C 00 N N N en en C 'C S N C' o. 'o' '0- en — -' C' N - - 00 0' N 'fi 'C N C. N 00 en - N 'fi C en C' 'C 'ri' C' C'. en' N C' et N 'C C C' C' C C' 00 '.0 0' N 00 C 'C, 0 '0- N en'C en '0- t'-
'O' 'e, '0 - 'e, N en en - c-0 en '0' en 'C, C' en 'C 0- en 'C 'fi en "0- N N - - N 'C N 'C - 'fi 0 ? N GA 00 LA 00 00 00 LA 00 00 00 00 00 00 00 LA 00 00 'fi LA 00 00 00 00 00 00 00 o , -''--'--00'--''--''---' '-"
0 0' N - en N 'C N C' — 'C C' C S C' — N 0' 00 'fi 00 C' C' ("I S 'fl C' - C 'C, 0 en0'CO0'C'NC'0'enC'N0 'flC''r'IN 00'flO0C'C'CN 'fl'0 - C'C'
In In In In In ON -' '0- 'C 00 t-'- S 'fl C' en 0' 0' '0- 0' ON rI 0' N C' 'C en N 'C N 'C, Cl CO en 'fi C'. N C' -
C N 'fi 0' 00 -' C' 0' C' 'fi N 00 - '0- '0 00 fl CO N 'C, CO '0 C' C' C' 'C '0 'C, N C' C .p C:' - c ri en C' - - 'C C:' 'C en — en N '0- 'C N N CO C' 0' en en C en C' -
C. 00 fl 0 'C 00 en C' 00 N 00 Ifi S en '0- '0 0' 'C, en 'fi '0' 0' en '0- C 'C C' - S C' C' en 00 CO 'fi '0 00 en 'C, N 0' 00 N 0'. 00 - 0'. 00 en N 'C C' '0- CO en en 'C, '0 'fi en en N
0000000000 00 00 0000 ,, 00 00 000000 , 00IN - 0000 0000 00 0000 00 0000 00 - 000000 00
00 0
U
0 0
0 2: 0 00 0
00 0 00
0 0 h h
00
E o
S -4
z 0 -4
0
—4
0
N
wl
Case 1:01-cv-05834-SAS Document 49 Filed 11/30/09 Page 23 of 30
30
N
0
N
d z
J NJ C' 00 ' NJ r' N NJ C' N- NJ NJ NJ N 'C ' 'i 00 C' C' ' M kn OZ C' " 30 'C r, 1c N - — - C' ' '.0 N — C' 30 rn C' -
N'— 'C 'C C' C' N N C' N '.0 N N 0 I - N N r N 03 Q 'C N N 0 — r N N N C' N C C' r - N 30 N C' N- N
OO C' N N C' — C' — — 'C C' 03 Ie, —4 '—' t 'COO ' 0300 N- 4f C' C' C' 'C N N rn -30 ., N N c, C' N N N N — ('
4 -t - N — m V) WY - m C' N
-OO o S '3 W) , '3 0 C' C N-
0
N-
N- COO C 4r C' 'C C' C' '/ 0'. 4i ' N 'C N-
'C — 'C r C' N- C' N N ., 30 N 'C r , , f N- — 'r, 'C .,Ifl C'rC'N-C'4' '- 'CNC''.CN 10 c' 'fIC'N- C'C,rC'C' 'C00 —3O'41'C' —
N C C' 'C '0 -1- t - 'C t C' .—' •1' C' — 00 00 f, - N - t- 't- 00 00 00 r 4f, 30 t 00 4( N C' C' kn N N 00 N N m t It ON 00 N N C' 00'C 30 30 N 30 30 C' N . N- C' 30 30 — 30 .— 30 30 30 30 30 30 30 30 30 GA GA - N 30
-ZA GA
C' W) M — C' — C' r' 'C C C' N C' N C C' 'r, C' 0 00 N C' C C C f C' C '— 'C' 0 C N C C' '0 C' C' - C' 'C 'C N 00 'C C' C' .—' C' 'C 4C' 'C, . C' N N C' (-I N C' C' 'C C'
'0 N N '.0 - 30 'C N N C' '— C' C' N 30 C' — 'C r C'
00 N 'C' N- 03 C' 4C' i- 'C' f 'C '1- 30 — N C' 30 N N- C' N N
'C — 'C' 30 'C,C' N GA
3030 30303030 303030 3030 30 303030 —GA " o
F-
— 'C' m 30 IT c 0 C' C' C' 30 C' .3- 3- 'C, C' 'C 'C 30 r 00 30 N 30 — N -, 00 00 30 0'. C' N N - '3- C' C'
N 3- 'C 'r •r, .- N N 30 't- 30 C'. N r". N- N C' — 'C 'C c 00 '3- 30
C' C' '3 ', C C' C' C' 4,'. C' 'C' '3 N- C' c N '— N N' '-C ".t - 'C N f c.'. 30 N 'C - t N- '3- '3 30 N N- 'C 'C" 'C 30 'C
0 c.'. 'C' 44'. C-I C' * N- '1- C' C-'. 3- N '3- — N- — N N - 'C' 0 N 30 - - 'C 3- —' '3- '0 30 30 GA 30 30 30 - GA 30 30 30 30 30 30 30 30 30 30 N — 30
0 0. N '-' '-' 30 -- '...' 30 30 30 30 30 '- GA
U ca .2
C-'. CI 00 'C C' N C' 00 '3 00 0'. — 00 — Cl C-'. C' N N C' 'C' Cl C' N N 'C N N '3' 'C' N N C' C' 'C N 1C' It CI 44'. C' 'C C' c". '3 '3 C' 0'. 0 '0 CD C' C' C-I 0'. 13 'C' 0'. ON C'
Z N NCDC'O'.'C'NN'C0OC' - c'I N '3 '3- — 30 'C' C' 00 'C C-'. 'I'. N C' It C' C' C' N N C' N N C' N
CI 'C — N c' '3- 41'. C-'. '3- C' — N C' C' C' 'C CI N C-'. ".1- C' c''. C' C' 'i-, C' 'C CO N '11 00 N c', 'Il 0 4 4C' CI C' C' 4 C-'. N C". N C' 44'. C' C' N '3 C-'. C' 441 N '4'. 00 N C' 00 C' C' C'. 'C '3 CI '3 00 N C' C' 'C C'. N 00 'C C' - Cl C' Cl c''. — 'C' c', c". C' 00 N — C' C' N N N- N '3- N N- 00 '4'. C' C". 'C-, 4-". '3- '3 'C' c". N C-'. C-'. 'C N C' C-'. e". C' C' N q - N 00 C-, CI N —' N 44'' ' 'iI c''. - 303030 —303030— 30 30 loq 30 3030 4604 30
GA 30
rA
o
0 F-
U 0
ud ! hil
CD GO 0 0
Case 1:01-cv-05834-SAS Document 49 Filed 11/30/09 Page 24 of 30
00 N N Cs 00 C 00 C N N C Q - C14 C~l Cl ' Cl N Cl - N N 00 r' '0r N N C'. 0' - r', '3 - N 00 '' 0' 0' 00 c) ' '( C' 0' 00 N C)
N 00 In N 00 In 0' 00 'r - r N N N N N 0' 00 IN - 'sf N r t' '.0 C'.
N 0' 0' C, N C) N '.0 '1'. N •r, r, N C'. Cs '.0 c" N N N N 'f'. '.3 - C- ' ' Cs C '0 '0 Cs Cl N 00 V'. Ii'. - 35 '0 '0 '0 N c". 00 00 00 00 'fl C". Il'. 00 N N 00 m '0 t')
00 " 'a" LA LA LA LA LA LA LA LA " " ' LA LA LA LA LA LA LA LA LA LA LA
cl
o LA 00' 0
0
00 5.". 00 51'. 35 1 00 C'. N N In
'C' '33 C 'C' m C'- ON N C". C". - -
00 'CL C'I'fC)C5 00C)QQ'.ONSf 5CL00f 5f'.C'.C)C)C)C)C)5C'N.f.-05-r.'.-r'.C)N '.0 C'- N N '0 N -st SC) C". C". 3s C'. N Cs C-I -SI- I- t '1'. N Cs 0' C'. C-I C--! C'- 00 C')
- SIm In C". N N N '0 - - 'C'. - N C'- N N N N N 3'. '.0 '.". C' C'- 'I'. 00'.0 00 N LANN-LALALA*N-NLANN LALA LA- LA-
03'. '-4 -'--
0 '0 o
It
,- C) C, N N 0' 0' 0' 0' 0' - C) N 0' 00 C". 0' Cl 0' 0' N 0' 0' 0' '0 0' 0' C) 0' C)
- 0' C) 'C'. C 51'. '0' C) C - '0 r". C C C '1'. 0' M., C) C C". SI
-0 e17, - 5.-'. N LA - N LA 'C' ".1- It C) 3'. '.0 LA 'C' 5". LA LA ON LA N 00 '1'. C' '51- 10 - m C) LA C' 00 'C' ' 00 N 'C' C'. C'. 1'.
5V) -- C 00I'N-'-C)1- LALA LALALALA- LALA LA -LALA-LALA LA LA
C
H
00 C'- '51- 00 N N '0 IC' IT C". (
0' 0N35N0'N0N'0 0000000035NN0000N00C)NC)". (I- 'C' 'SI 'sI' 10 10 C) '.0 -SI- - - N N N N '0 5-! N r'- 'C' N 'r. '.0 0' 10 10
0' 0' - C'. 00 N 'C' C' N sf '.0 If'. 00 - 'SI' '0 '-0 C'. 0' C) C' C) 'C' C". '0 'I'. -5 0' '-0 N ' '.0 C) N'C'NI'C' 06 , SItC'N ".'5I''51- 1- C') 4C)0' N-C)-Q0 00 C')
0 ..
5. o 0. rNI v', LA -LA'---'LA'--' 44 5.4 '- sq 5--'
4 LA 44 '-' '.•.' '
cc- '-I
C'! C'- C') 0' 0'. 'CL C". N 'C'. N '000 0'. 0' 0' 0' 0' - - C') 0'. 0' 00 'C'.-It
N N C') 55 00 '3C'! 'C'. 5fl 'C) 'CL 0' 0' 0' 0' 00 '.3 N 0' Cl N 0o'.0 N'0 'C) '.0 0' 00 3'. 0' '0' 0' 0' 00 0'. 0'. 0'. 'C' C'- N 00 N 0' 0' 0' 0' 0'. '.0 0' 'SI' '51' 0' Cl C. cn - -
00 55) 351 C'- - 0' '.0 C'. '.3 - 35' '.0 00 0' 0' 0' 10 00 51. 'CL • N N Cs! N C - - 0' C, C--I ct Cs! C) C') 00 0' 0' 0' 0' N N '.00'. '.0 Cs! C') N '.0'.0 , N '.3 0'. ('4 C". 00 0' N ON ('4 C". 'SI' 1 51- 'a') c". '51' -51- 0' 0' 0' 0' '0 If) '.0 IN ON 'C'. In ON 0' C') 'C) è 'C' 0'. 00 N 55) 4", (". 'C) C-! 'SI' C'- C'- '.0 140 Cs C'- - C". C". C". C". SC' - 00 '.0 '51' - '3 C> C, vi
' 5-ç C f GS f Sq 44 '4 44 _1_ '4 Qq 60') cq sq 4444 44445444 4454 5444 44 sq sq 6q 6q 460q Q4 6e
0
U -'- 0 U - 00 o
i4 coo C u C-0 N on 0~ u u
eA
00
00
U
d z z 0
U
U
I0
Case 1:01-cv-05834-SAS Document 49 Filed 11/30/09 Page 25 of 30
00 N_ _
mNC'-00CNCCsi- l(oo ------ 'C'NN rflC- N e N '0 N r N 'r N N N In N
- C N N r N r' C' - C - 'I- C N N N M N '- 00 C N In In N 'C C N C'C N flNSt00000CC
rn N - N C' N 'C N fl 00 C N N N N N N C C' r1 C' N 'C 00 N 00 N ('I * N 'I- 'C Cfl 00 00 00 It In In- N m It 00 00 00 00 -, 'fi C N C' sj- '(1 00 'C C' C 00 - - - N 'fi 00 N ll r 'C si- 0 00 00 00 - N r 00 t r fl 00 'fi - 00 0000
000000 '-0000 4000000000000 '- '-- 00 '-'0000000000 - 000000 - 00 00
O N
00
C
C fl In 0 N rl - fl 'fi 'fi N C' C 00 In C N
'C C IfI 00 N In 00 • 00 C 00 'fi N C N N 'fi r l 00 • 'C N N N * 00 fl N N IJ NC'e C C' sI-C N 00 fl N '(100 '0 1 00 N fl '000 C
C m C' ('I 00 t '0 C' 00 l '0 C' '(1 In N 00 N m 'C C' C' C' -
'- 'It 62
00 00'-00 00
'---00N .N0000
IA 00 00 (J3 'C
o •
C C C' 00 C C C 01 C - C C rn C C N C C C C C C N 00 '(1 C C N C - C C l C C C C C '(1 N C C C C '0 C N C N '(1 C C 00 m N In 4 'fi '11 - I"l C 'C 0 '(1In C C C 01 N C C C C ON 00 N '(1 '(1 '(1 N 00 '(1 It C ON N t- * 00 '(1 00 C' ' 00 00 00 C N 00 C' C N N 'C C 'C N -
Cl C-I C 'C C' t 'C tfl * - Cl 'C 1(1 OS Cl C '(1 C - Cl It 00 '(1 00 Cl t ccI,.l - ó'-5 0000 00 000000 0000 0000 000000 00-' 00
H
N 01 C C.
IN 00 Cl Cl Cl C' - 0 - N 00 00 N 00 'C N 00 C Cl ' Cl - C' Cl 00 00 00 N 00 C - C Cl C '0 'C 00 N N "I- N C' 'C C C' Cl (1 Cl S '11 Cl 'C N '.©
C 00 C N c-I N' It c-I "C Cl Cl It C 00 C' '(1 '- 00 It 00 C6 Cl In00 C N C N' N - C N 00 00 00 00 00 00 00 00 00 N 00 00 - 00 IA 00 00 00 00 00 IA 00 00 - 00 N 00 IA - N 00 IA
Cl N 'C C Cl '(1 C C' It '(1 N C C' C N C C C N C 'C Sf N C' N 1-4 00 00 Cl 00 00 0
o C' Cl N N 'C ('1 0 N 00 Os 00 '0 '(1C' '(10 0 N C Cl 'C - 00 Sf IC Cl 'C - Cl N 0 Cl - N N N C C Sf C N Cl - 0 C C ((1 C Cl 'f C - - - Cl - Sf ON N 'C Cl N C
C C Sf 'C N N C' 0 Cl 00 N 'C 'C 0 Cl 00 'C C C C C N Cl N N Os 'C '-0 00 N C' - 0 N 'C d N e'' C' Cl 05 00 00 'C '(1 - d' C 'C C C C C N N N Sf '(1 00 Cl N 0 N N C Cl 00 C' 00 C '(1 C N 00 N It '(1 Cl '(1 Cs 00 C 0 00 C 00 '0 'C Sf '(1 Sf N Cl Cl 00 N 0 Sf Cl N Sf Cs 00 Cl Cs Os - - - Sf Sf Cl Cl '-C Cl Cl 00 0 00 Cl 'C C' Cl Os Sf Cl Cl 00 00 0000 00 00 00 00 000000 c-4' c-f in 00 00
00 00 00 00 00 00 00 0000 00 00 000000 00 000000 00
0 H
(,J
0 Z 0 0 - 00 u 0
N 0 ç 0 0 CIO
: _
N
lu
0,
I
00
00
N C'
()
N
d z z 0
U
U
C' - N 4444 00 N'044 C'
C'N -4444 4444
N
10 10C\NCC'00C-'0
C' Cl C' '0 '0' C' N ¼0 - ON - N In 10 10 en C' N * N N - " N '4 44
44'-
44 '- 4,
C' '-4, '- '-, -'--
C'-
Case 1:01-cv-05834-SAS Document 49 Filed 11/30/09 Page 26 of 30
r r en N 'e N C' 00 en 00 '0 C'
C - N N N N en en N C C' - - 00 en e', 'C -0- en '0 - N u en 0- C' C' N ' en - - '0 00 C' - C) Ie C N 'r ' C' 00 en en r, '1 N '0-00 N P -'P N 'ON '0 N 00 N N N C' r C' C' C' - 1- en 00 N '0-
'1) C' N '- 0 r- -In N en N "P In '0 en C" C C' C' N en f '0 C' N "P C' 4? C' C' N 00 00 t N — C' C' - 00 00 N en C' N 00 C' 00 * It - en - N -0- N - N en '4- N '4N en '-0- en N C' - '-C N N '0 C' '4C - '4en -
00
cn CI)
co
00 L.
f;z
o N
0
4?'0 N N'0N -
N e, 00 - N en C' 00 '0 N - 00 N 00 C' .r) en 1'
00 C 00 - e"
r ¼0 00 00 t 00 C' C' en N C' '0 Cl - '('1 - - N C' "1' 00 N N In N N 00 N 00 N "P C' 'F ,_ ' '4 —' — N '4 N —' '4 '4 V4 '4 -' 4 '4 'f en '4
'0 o It
H
8'E C'8 C' 00 "1' C' en C' C
C' 10 C-I 'f en W-I so C 0 C' c C' C' 'r 0 N - C en 0 C' 10 e'i -'P Cl Cs en N N N In N N In N — '4 "P - 4,; en 4,; In
'0r en - 44 44 444444 4444 44 444444
C —
en
- ç U C' 00 en C' '0 00 N '0' C' 00 N 4 00 N C- 'P '0' en N 00 00
c~ In en N en N en 't N - "0' "P N 'r 1- C' N C' N C' - en '0- C en en '0 N C' C- 00 en 'c * C' C' 0 'f C' N '0 "1- '0 "1' -'1' C C'l C" P C' C' r "P "t''0 (' C' C' '( - C C' '0'
00 '.n ,'- - en -, -0' ' N 'l- -'1- N N en C' en 4? N 44 44 * 44 - 44 44 44 44 44 44 £4 44 44 '4 en - 44 - £4
• 0. (4
?
C'000rnC'
N C' 't C' 00 It - C' en C' C' N C' en C'00 '0 00 enC'\0 - PN N '$ Cl '0 N 'r N C' "0- N 00
'44444
M 00 N C' Cl '0 00 N '0' - Cl en - C' N C' 00 en - Cl 10 '0 - 'f N 00 00 '0 C' en C' 0 C'C%.nC'OV'-rnN'0'00CC'Ne'0O0-N
c4 en - C' C' 00 '0 ¼0 N - C C' en N 00 '0- '0 C" - -0' Cl '0 en - '0 '0' '0 C' C '0- en 4 - N ("I C' '4' - '0 "0 C C' '0- 00 en N N s" C "P N C' N en C' 'r en '0 C' C en '0 C' 0 - C - 0(3' N C" N 0 - N en 4 en N '0 '0- ee3' C' - '0- N 00 C' C' C' , 00 In '0 - C' '' C' N en en C' 00 CO C '0- '0 4 N fl '0- en N 1' N - N "I 'r Cl Cs C'
4?
10 -4- N C-' en 't 00 C. en en N en C' - Cl ON 00 00 '0 N N en 00 - N en N t' en C' In " '4 4," 48 ee3'" c'i' 4 -3' ' csi '4 ee3' '4" '4
- 444444 '44444 '44444 4444 '4
0 F'
0
z 00 0
0 0
cn
F'
£40 C?)
F' 000
0 0
C,) U riD
Z 0
0 0
00 z
000
000 8z - 0>'
- 0 00
- 4? CID_>
00000000000000o,o.o.o,o
Case 1:01-cv-05834-SAS Document 49 Filed 11/30/09 Page 27 of 30
N0 0
en0 in
C)00
C)C N In o-q C - 0' 0' N _N '
rC 0
r0 0
,
h
-'. i
r
'n
0r
' r- Nr _
Cr 00 en '
n 00 0' — N
Cl Cl Q In 00 N '0 00 N N N en en 0' O C) 0' 'C N in en — N C) 'C' N C' C) '0 N 0' N 00 N - - 0' N '0 In C" In .- C) C) '.0 en "1- en 00 03 N 00 N N N 10 N 00 C' N C' N Ir' t '. C), C) ri,
.l tn C' en N - In en 00 - C' - In en N 00 in oo en N N 00 CO en en 00 N '0 N en N C) '.0 —C)-0'en'0N--0'—'00'C)NO3In03N0'C)1 - C)03-00en0000N—C)In
—N39 39- In-38—en03enNNN64-3964NInN'0 I- 0. 61344 44 41*
In 0 N
64 U 0
Cl - Cl Cl - 00 ' - C 03 00 00 In in '0 0 N en 000' t' InC)N'000N'00'-' 0'00'0C) Tt In 'n'0N01 - Nen InN
C) C) N N N 05 '0 00 - 05 0' in CS C) 00 C) 10 00 en en - en en '- N N N I()
en 00 C) rc N n C) C' N C) 00 •r ' 00 •n '.0 en lt' in CS C) N '0 '- C) N -' •'1- '-. en in N 00 N en N N N en j' N en C) In N In 00 10 N en N N '.0 'e3 In 00
39 44 34 39 49 -''0 In 48 39 - 34 39 44 N 49 39 39 - N en 44 39 41* 34 613 39 34 44 49 -
'.0 o '
H IfS C) CS N C) C) 00 00 C) C) N C) C) C) C) C'. C) C) C) C) 00 C) C) 00 C) C) C) N 00 C) C)
Ii) Cl C' I ', Cl - 0 0 en 0 0 00 0 '- 0 0 0 C) C) C) in oo C) C) C) C) C) C) '0 C) C) en C) C) C) in C) C) en 6 p ''P C. CD Cl Cs N -0 - In C)
'0 N 68 10 N 44 N C' It C) C) 10- In 64 It C) en C) N in C) C) 49 49 C) 34 C) C) N C) C) N In en C)C) t"-00t00N 00C)-QfNN'0 0' — N— N—NenNen--i NIn 39 3434 646464-644464 646464-483444 49 3439
313 '-' '- en
H
. 00 '0 N — en OS N Os - Cs 00 en '0- Cs '000 00 05 N N 00 en C) '15 C) C) N C) en en
U C> - 'l C N C) N N 00 N C) N N ni - en en Cs oc - in N N 'i 00 In 00 C) C) 05 C) en 'n - C) 10 00 C) - 10 -t en Cs C'. C' In N Cs -00 Cs C) C) N en N N - en N -
'.0 C) 'C - 00 C) 00 in 1- C) C) C) It 0 ..
I'- 39 '.13 -49 39 44 39 en en 34 34 34 34 34 '.13 44 34 34 613 N 34 34 44 613 - 31* - CA 34 '.13 - 0 Q N '''_''' 34 39 '_ '. '_' _ 44 39 '-'--'--''--' U 0 = 0
Os Cl N - en - - N '15 en--'C-- en '.0 00 in N en N 00 C) N C) C) '15 C) in 0 Cl; C) '.0 C)'0 '15 in N in N 00 00 05 00 00 00 C) — C) C) in
w 00 05 — - '.0 05 en N en in 00 '.0 in C' N N - N - C) Cs C) C) en C) C) 00 "ct C) N — 00 00 in 05 N en In - N '.0 - In C) in C) C) in en Cs en 15 0 - N - en 0 N en en N C) C) 00 00 N C) N C) Cs 0 C) 05 N - -
, — in In - '0 '0 N 00 C) N In - '8- '8' N '8- '.0 N '8- C) - in C) '.0 C) C) '.0 '.0 05 '0 -I- en N en -4- 03 en N en en '.0 en en '4- C's i-i en '4' en — '.0 N C) N en '8' en en N N 'C N 6848646864 6468 683468 ' 446864 68 683444444834 68
696868 44 68 486469 64 68 48
0
0 U
C-) — 64
C-) C15 H U
L 0
o ol h Pk
cn
O -HZ OU Z
i 0'
N
E I 64
64
U
N
z z 0 H U
-
U
Case 1:01-cv-05834-SAS Document 49 Filed 11/30/09 Page 28 of 30
00 C 00 C' N 0 00 0 .-' N N 00 C 00 (N N (N (N
0 sC C' M (N 0' C 0- '0 0' 'C ,I, 00 - 00 - (N In N 'C) 00 C') N C') 00 0' N r N
'-00 N N 00- C') •f) C') C' C') C') (N s '0 C' In N In N 00000' 'r N N C' N Ifl r C' In C') '0 - t In 00 - In - 'n If) j If) If) - c') Cs If) N C' C' C' 'C) '1 00
If) C' 00 '0 00 00 Os N f - N 00 00 00 ON N 00 ON N C') 00 ' - 05 00 00 ON - '0 p
-00 0. )
cm
C N
00
0
N 'C) 'l 00 - •-' N '0 ICI IC, In C) - - C' If) N - 00 '* N N - - C) N
'0 00 N 'O N Os 'C, C) N N C's 00 (N 0- ON C)C'-In-00NNC')NN-NN0'N0'00Cs.r-CsNC'00(NCS- IC,00N
'0 10 N- N N- - "5 N - C') 00 sO 'C, (N - '0 10 If) - N C) N (N N 00 00 C'S N C') C'S IC, C) '0 I'5 (N N- C' N C') C' C') ,-' C'S '0 N- 00- '0 Cs C') N '.000 N 00
It C') C) C')'.O If) C' C' '0 It (N
'1) 00 sO C') C) -* C) N- (N N- sf Os O 00 If) - 00 N 'ri' ' ' N It C') C') - N- N- 05 N
N N 00 00 00 -
-00 ON-
n _N C' C' C' C'
0 C) CD - ' C' C) C' N C' 0) 00 C, C) C') C' C' Cl C) 10
N C) N 00 N 00 C' C' C' 00 Cs In C' C') C' 'Cs '(5 00 C) (N C' If) (NN N- N)0'f)'0N
Wl
In 0,6 vi 6
'r4 —o 0000 N00 0000 0000 0000 0000 000000 00N 00 0000
C "S'
C')
H IC, - 05 N- 0' 05 C) IC, 'Cs N 00 N- C') 'C - 'CS C' N N C' C' 05 00 N
U 05 05 '0 00 N 00 '0 0'. 00 IC, N- - C' 00 N C') (N N 'C C') IC, (N N - N- - In 00 00 C' 00 0) N N (N If) C) C') C' 00 N ('I C) (N C') C') N - IC, IC, C') N - 00 N N 10 C'S (N
'C C' '0 N C' N- In C' C') 10 '0 If) sO 00 N N C') C) In C' C) N- 00 o 'C N In 'Cs 05 00 N f Cs 0 '0 C' C' 'Cs '(5 - '(5 (N * - 'Cs N- '-0 N- (N
C N in - N N - IC, * CC C'S 00 In ON N N C') C'S '0 C'S It '0 It 00 10 C'S C'S C') - - Cs C'S Os
ci
CN
0 + = 0
C' C' In C' Cl C) .-' N- 00 '0 N N - N If) N00 N N- 00 N - N- 00 00 C) C' 0) VS 'C 0
's 1.0 - In t- N Cs N C' 'C, C''0 N- 'C, Os –' '0 N C'S ON C' C' In C' r- ---t C' 'C N C' N- N - - IC, 00 VS 'Cs IC, N 'C C') - IC, 00 N- C-I C' C' Cs 00 C)
N '.0 IC, N- C' N- C' C'S N- 0' C'S 00 C' N - Cs r's C' 00 N- C') N C' N as C' C' N- C') - N CS In '.0 (N 0 N - C", N I-'s C'S - '.0 '.0 - '0 Cs C' en - N '.0 00 - - C' C' 'C, N C'S
' 00 N N N- N C' In C' IC, 00 C' N- - C' Os N- N- 'C, IC, N N- C' N c's IC, 05 00 C' C' In N- 'C 'C N c's In N- c's N C's '.0 '0 00 N - 'C '0 '.0 'C c's N 0' N- C' 00 C'S C' N N C'S C', C' N C)
00 0000 00 00 000000000000 00 00 00 00
0
C/) Z Gn
U H
o 0O8 'H UCC =c,',0j
000000
N
0
;1 Ct
C/)
N 0'
C.)
(N
d z
0)
Case 1:01-cv-05834-SAS Document 49 Filed 11/30/09 Page 29 of 30
,- , C' N N - N 00 - N I( If
- C'
E2 N 4C -!r -'r r N '- N N In 'C N 4 Th 'C rn N 00 N C' 00 00 ,', N N N C) N N 00 C' - - 'C 'C' ( C 00 C
C' 4fl 0 N 'r N N N C' N 00 N Cl N 't ' 00 '0 N 00 r 0 — N 00 - N N 00 C 10 C C' C' C 00 'l C' 00 'C C) 00 Pro rn 't 00 4') N Cl N 4, — N 00 C N r'4 - - - N r- C'
0 44 44 4') 44 N
ON 4,
4., U 0
'C 'C' rn 00 IC) 00 00 'C 'C) 'C N N C ' C C' 'C
'C C' 'C N r' N N l- 00 'C C' C C 00 00 C' N "t t C' C 'C) N c' 'CC 00 'C) C' 'C) c' 'C)
'rt 0 ('I 'f C' r' 'C ' C <4 <'i <4 <4 o In In -6 <4 r-, ,- - C' * It N 'C) 00 N N fl N - N CM C r 'C) f N C' It
44 — Cl 44 4'9 N '4 44 44 44 — 'C) r — ,. 44 '4 44 44 C' 0O
'1 '4
C C C 'C) C' C N C C C C C 'C) C N C N C C C' 'C) In
C' N C C' 0 'C) 00 C C C' 'C) C C' C 'C C 'C C C C N e) '0 <. 00 'C) C C' 'C N 'C) C 'C) C' C 'C) C' N 'r N C C 44 'C C' I- N 'C) 'C) 'C C 00 't 00 "t C C' In
u1) -: 4, Cl 44 44 - 4'4 44 4, — 4, 4, 44 48 4, 64 44
4,
J)
C C)
N 'O 00 <8 C' 'C 00 N <8 C' 'C) 'C C 00 N N N <8 C C C
N C' '0 00 N N C N C C C 'C) 'C) N 'C <8 — C' C' C' 'C C' N 'C 'C) C N 'C) - C 00
C' q-, — 't 'C <f <f N N '0 'C 'C 't C) In C' C <8 Cl <f C'
C In'0f—cfl'C"t--<f'0CNC''C0oN<8N<-'C) C'
CN 4444-444,-<4,44444444<8—--44-4444-444444 If)
.9 0. N 44 44 44 '-' 44 '' '.-' '-' -
ci 4')
en
0 = 0
'C) <8 C <8 <8 '0 C' — 'C) C' N 'C) 'C <8 'C, 'C - C' 'C) C' C'
Cl 00 Cl C 00 00 'C C' IN — C' C 'C) N C' <8 — <8 Cl '0 C'
C - C C) N <8 C' 'C N C N 'C 'C) 'C) — N N C' C'
00 <8 N C <8 <8 'C) C' N C' C N '0 Cl C' <f C' C '0 C'
— <f C' en N IC) C' en en C' '<I- 'C) C- — en C' 'C 110 'C) C' — C - < 4, 4, 46S Qq '44, '.6 ''4'4'4
444448 44 44") 48 4') '84444 44 00
z
U Ucn U
Ln
N
00
00
N C'
U
N
d z
z 0 -4
U
> —4
U
Case 1:01-cv-05834-SAS Document 49 Filed 11/30/09 Page 30 of 30
CERTIFICATE OF SERVICE
I hereby certify that on the 201h day of November, 2009, I caused true and accurate copies
of the foregoing to be served by hand upon the following:
Gandolfo V. DiBlasi, Esq. Jack C. Auspitz, Esq. Sullivan & Cromwell LLP Morrison & Foersfer LLP 125 Broad Street 1290 Avenue of the Americas New York, NY 10004 New York, NY 10104-0050
All other counsel of record to be served by LexisNexis File & Serve or First-Class mail.
1 ? ZICT 1-t -, 4~' Matthew Bucher