Free Motion for Leave to File - District Court of Federal Claims - federal

Case 1:05-cv-00748-CCM
EXHIBIT A

Document 84-3

Filed 02/26/2008

Page 1 of 18

STOBIE CREEK v. UNITED STATES OF AMERICA PLAINTIFF'S EXHIBIT LIST
PREVIOUSLY MARKED And/Or BATES NO.

PLAINTIFF'S EXHIBIT NO. 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15

DESCRIPTION 7/12/05 Complaint 7/11/07 Complaint 7/11/05 David K. Welles, Sr. and Georgia Welles Remittance Deposit, stamped "Received with Remittance" 7/11/05 Christopher S. Welles and Catherine Welles Remittance Deposit, stamped "Received with Remittance" 7/11/05 David K. Welles, Jr. and Hope Welles Remittance Deposit, stamped "Received with Remittance" 7/11/05 Jeffrey F. Welles and Maud Welles Remittance Deposit, stamped "Received with Remittance" 7/11/05 Peter C. Welles Remittance Remittance Deposit, stamped "Received with Remittance" 7/11/05 Roger Jordan and Virginia Jordan Remittance Deposit, stamped "Received with Remittance" 7/10/07 David K. Welles, Sr. and Georgia Welles Remittance Deposit, stamped "Received with Remittance" 7/10/07 Christopher S. Welles and Catherine Welles Remittance Deposit, stamped "Received with Remittance" 7/10/07 David K. Welles, Jr. and Hope Welles Remittance Deposit, stamped "Received with Remittance" 7/10/07 Jeffrey F. Welles and Maud Welles Remittance Deposit, stamped "Received with Remittance" 7/10/07 Peter C. Welles Remittance Deposit, stamped "Received with Remittance" 7/10/07 Roger Jordan and Virginia Jordan Remittance Deposit, stamped "Received with Remittance" David K. Welles, Sr. Welles Asset Management, LLC Organizational Documents 1. Delaware Certificate of Formation 2. Minutes of Incorporation 3. Form SS-4 Application for Employer ID Number DKW Senior Enterprises, Inc.: 4. Delaware Certificate of Formation 5. Minutes of Incorporation 6. By-Laws 7. Trust Agreement between Settlor and Trustee 8. Action by Written Consent of Sole Shareholder 9. Action by Written Consent of Board of Directors 10. Share Certificate No. 1 for 100 shares dated 3/17/00 11. IRS Filings: Form SS-4 Application for Employer ID Number Form 2553 Election by Small Business Corporation ESBT Election

Plaintiff's 8565-8567 Plaintiff's 8571-8573 Plaintiff's 8568-8570 Plaintiff's 8563-8564 Plaintiff's 8574-8576 Plaintiff's 8577-8580 Plaintiff's 9913-9915 Plaintiff's 9916-9918 Plaintiff's 9919-9921 Plaintiff's 9922-9924 Plaintiff's 9925-9927 Plaintiff's 9928-9930 DGWSR 82-85

DGWSR 86-105 DGWSR 113-116 DGWSR 154-155 DGWSR 151-153 DGWSR 156-170 DGWSR 515-526 DGWSR 171 DGWSR 174-175 DGWSR 176-177 DGWSR 178-181

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Case 1:05-cv-00748-CCM
EXHIBIT A

Document 84-3

Filed 02/26/2008

Page 2 of 18

STOBIE CREEK v. UNITED STATES OF AMERICA PLAINTIFF'S EXHIBIT LIST

PLAINTIFF'S EXHIBIT NO.

DESCRIPTION Miscellaneous: 12. Assignment Separate from Certificate Assigning from Georgia Welles to David K. Welles, Sr. 1, 250 shares of Voting Common Stock of Therma-Tru 13. Assignment Separate from Certificate Assigning from David K. Welles 1994 Qualified Annuity Trust to Stobie Creek 107,670.25 and 546 shares of Nonvoting Common Stock of Therma-Tru 14. Assignment Separate from Certificate Assigning to Stobie Creek 6,564.25 and 625 shares of Voting Common Stock of Therma-Tru 15. Stobie Creek Investments Agreement: Schedule A: Member Signature Page Schedule B: Joinder Agreement Schedule C: New Investment Request Amendment to Schedule A Contribution 16. Stobie Creek Investments Agreement and David K. Welles 1994 Qualified Annuity Trust: Schedule A: Member Signature Page Schedule B: Joinder Agreement Schedule C: New Investment Request Amendment to Schedule A Contribution 17. Assignment of Membership Interest and Joinder Agreement by and among David K. Welles, Sr. and DKW Senior Enterprises, Inc. 18. Assignment of Membership Interest and Joinder Agreement by and among David K. Welles 1994 Qualified Annuity Trust, Stobie Creek Investment and Welles Asset Management, Inc. 19. Certificates of Good Standing for Welles Asset Management and DKW Senior Enterprises, Inc. as of March 17, 2000 1/31/04 David K. Welles 1994 Sr. Qualified Annuity Trust 6/21/05 David K. Welles Sr. Response to IDR 001 12/16/05 David K. Welles Sr. Response to IDR 002 10/6/06 David K. Welles Sr. Response to IDR 003 10/25/06David K. Welles Sr. Response to IDR 004 11/24/06 David K. Welles Sr. Response to IDR 005 11/24/06 David K. Welles Sr. Response to IDR 006 Christopher S. Welles CSW Investments, LLC Organizational Documents 1. Delaware Certificate of Formation

PREVIOUSLY MARKED And/Or BATES NO. DGWSR 628

DGWSR 629-630 DGWSR 639-640 DGWSR 209-212

DGWSR 144-147

DGWSR 213-214 DGWSR 148-49 Plaintiff's 8549-8550 00000843-862 DGWSR 1-12 DGWSR 13-1284 DGWSR 1285-1375 DGWSR 1376-1379 Plaintiff's 2061-2065 Plaintiff's 2066 CSW 26-29

16 17 18 19 20 21 22 23

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EXHIBIT A

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STOBIE CREEK v. UNITED STATES OF AMERICA PLAINTIFF'S EXHIBIT LIST

PLAINTIFF'S EXHIBIT NO.

DESCRIPTION 2. Operating Agreement 3. Form SS-4 Application for Employee ID Number CSW Asset Management, Inc.: 4. Delaware Certificate of Formation 5. Minutes of Incorporation 6. By-Laws 7. Action by Written Consent of Sole Shareholder 8. Action by Written Consent of Board of Directors 9. Share Certificate No. 1 for 100 Shares dated March 17, 2000 issued to Christopher S. Welles 10. IRS Filings: Form SS-4 Application for Employer Identification Number; Form 2553 Election by a Small Business Corporation Miscellaneous: 11. Assignment Separate from Certificate assigning to Stobie Creek 22,208.45 shares of Nonvoting Common Capital Stock of Therma-Tru Corporation Miscellaneous: 12. Assignment Separate from Certificate assigning to Stobie Creek 1,142.25 shares of Voting Common Capital Stock of Therma-Tru Corporation 13. Stobie Creek Investments Agreement: Schedule A: Member Signature Page Schedule B: Joinder Agreement Schedule C: New Investment Request Amendment to Schedule A Contribution 14. Assignment of Membership Interest and Joinder Agreement by and among Christopher S. Welles and CSW Enterprises, Inc. 15. Certificates of Good Standing for CSW Investments LLC and CSW Asset Management, Inc. 6/30/05 Christopher S. Welles Response to IDR 001 12/2/05 Christopher S. Welles Response to IDR 002 10/11/06 Christopher S. Welles Response to IDR 003 10/25/06 Christopher S. Welles Response to IDR 004

PREVIOUSLY MARKED And/Or BATES NO. CSW 30-38 CSW 39-40 CSW 41-42 CSW 43-47 CSW 48-62 CSW 63 CSW 64-65 CSW 66-69 CSW 70-73

CSW 362

CSW 361

CSW 101-104; 108

CSW 105-106 C. Welles Ex. 93 Plaintiff's 8551-8552 CSW 1-7 CSW 8-1009 CSW 1010-1079 CSW 1080-1083

24 25 26 27

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EXHIBIT A

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STOBIE CREEK v. UNITED STATES OF AMERICA PLAINTIFF'S EXHIBIT LIST

PLAINTIFF'S EXHIBIT NO. DESCRIPTION 28 David K. Welles, Jr. DKW Junior Investments, LLC Organizational Documents 1. Delaware Certificate of Formation 2. Operating Agreement 3. Form SS-4 Application for Employee ID Number DKW Jr. Enterprises, Inc. 4. Delaware Certificate of Formation 5. Minutes of Incorporation 6. By-Laws 7. Trust Agreement between David K. Welles, Jr., Settlor and David K. Welles, Jr. Trustee 8. Action by Written Consent of Sole Shareholder 9. Action by Written Consent of Board of Directors 10. Share Certificate No. 1 for 100 Shares dated March 17, 2000 issued to David K. Welles, Jr. Trustee of the David K. Welles, Jr. Electing Small Business Trust 11. IRS Filings: Form SS-4 Application for Employer Identification Number; Form 2553 Election by a Small Business Corporation ESBT Election Miscellaneous: 12. Assignment Separate from Certificate assigning to Stobie Creek 36,458.45 shares of Nonvoting Common Capital Stock of Therma-Tru Corporation 13. Assignment Separate from Certificate assigning to Stobie Creek 1,892.25 shares of Voting Common Capital Stock of Therma-Tru Corporation 14. Stobie Creek Investments Agreement: Schedule A: Member Signature Page Schedule B: Joinder Agreement Schedule C: New Investment Request Amendment to Schedule A Contribution 15. Assignment of Membership Interest and Joinder Agreement by and among David K. Welles, Jr. and DKW Junior Enterprises, Inc. 16. Certificates of Good Standing for DKW Junior Investments, LLC and DKW Junior Enterprises, Inc.

PREVIOUSLY MARKED And/Or BATES NO. DKWJR 76-77; 89-90

DGWJR 78-90 DKWJR 87-88 DKWJR 91-92 DKWJR 93-97 DKWJR 98-112 DKWJR 113-124 DKWJR 125 DKWJR 126-127 DKWJR 130-131 DKWJR 132-136

DKWJR 431

DKWJR 430 DKWJR 140-143

DKWJR 137-138 D. Welles Jr. Ex. 136 IRS-JG 1723-1724 Plaintiff's 8553-8554

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EXHIBIT A

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STOBIE CREEK v. UNITED STATES OF AMERICA PLAINTIFF'S EXHIBIT LIST
PREVIOUSLY MARKED And/Or BATES NO. DKWJR 1-6 DKWJR 7-1068 DGWJR 1069-1370 DKWJR 1371-1374 Plaintiff's 2056 Plaintiff's 2057 Plaintiff's 2058-2060 JFW 155-158

PLAINTIFF'S EXHIBIT NO. 29 30 31 32 33 34 35 36

DESCRIPTION 7/13/05 David K. Welles, Jr. Response to IDR 001 11/23/05 David K. Welles, Jr. Response to IDR 002 9/27/05 David K. Welles, Jr. Response to IDR 003 10/25/06 David K. Welles, Jr. Response to IDR 004 11/24/06 David K. Welles, Jr. Response to IDR 005 11/24/06 David K. Welles, Jr. Response to IDR 006 11/24/06 David K. Welles, Jr. Response to IDR 007 Jeffrey Welles JFW Investments, LLC Organizational Documents 1. Delaware Certificate of Formation 2. Operating Agreement 3. Form SS-4 Application for Employee ID Number JFW Enterprises, Inc. 4. Delaware Certificate of Formation 5. Minutes of Incorporation 6. By-Laws 7. Action by Written Consent of Sole Shareholder 8. Action by Written Consent of Board of Directors 9. Share Certificate No. 1 for 100 Shares dated March 17, 2000 issued to Jeffrey F. Welles 10. IRS Filings: Form SS-4 Application for Employer Identification Number; Form 2553 Election by a Small Business Corporation Miscellaneous: 11. Assignment Separate from Certificate assigning to Stobie Creek 22,208.45 shares of Nonvoting Common Capital Stock of Therma-Tru Corporation 12. Assignment Separate from Certificate assigning to Stobie Creek 1,142.25 shares of Voting Common Capital Stock of Therma-Tru Corporation 13. Stobie Creek Investments Agreement: Schedule A: Member Signature Page Schedule B: Joinder Agreement Schedule C: New Investment Request Amendment to Schedule A Contribution

JFW 159-167 JFW 168-169 JFW 170-171 JFW 172-176 JFW 177-191 JFW 192 JFW 193-194 JFW 197-198 JFW 199-201

JFW 746

JFW 745 JFW 151-154

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EXHIBIT A

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STOBIE CREEK v. UNITED STATES OF AMERICA PLAINTIFF'S EXHIBIT LIST

PLAINTIFF'S EXHIBIT NO.

DESCRIPTION 14. Assignment of Membership Interest and Joinder Agreement by and among Jeffrey F. Welles and JFW Enterprises, Inc. 15. Certificates of Good Standing for JFW Investments, LLC and JFW Enterprises, Inc. 6/20/05 Jeffrey F. Welles. Response to IDR 001 9/22/05 Jeffrey F. Welles. Response to IDR 002 8/9/05 Jeffrey F. Welles. Response to IDR 003 10/25/06 Jeffrey F. Welles. Response to IDR 004 Peter Welles PCW Investments, LLC Organizational Documents 1. Delaware Certificate of Formation 2. Operating Agreement 3. Form SS-4 Application for Employee ID Number PCW Enterprises, Inc. 4. Delaware Certificate of Formation 5. Minutes of Incorporation 6. By-Laws 7. Action by Written Consent of Sole Shareholder 8. Action by Written Consent of Board of Directors 9. Share Certificate No. 1 for 100 Shares dated March 17, 2000 issued to Peter C. Welles 10. IRS Filings: Form SS-4 Application for Employer Identification Number; Form 2553 Election by a Small Business Corporation Miscellaneous: 11. Assignment Separate from Certificate assigning to Stobie Creek 22,759.45 and 36,458.45 shares of Nonvoting Common Capital Stock of Therma-Tru Corporation 12. Assignment Separate from Certificate assigning to Stobie Creek 1,171.25 and 1,250 shares of Voting Common Capital Stock of Therma-Tru Corporation 13. Stobie Creek Investments Agreement: Schedule A: Member Signature Page Schedule B: Joinder Agreement Schedule C: New Investment Request Amendment to Schedule A Contribution

37 38 39 40 41

PREVIOUSLY MARKED And/Or BATES NO. J. Welles Ex. 113 JFW 202-203 Plaintiff's 8555-8556 JFW 1-6 JFW 7-950 JFW 951-1418 JFW 1420-1423 PCW 84-87

PCW 88-96 PCW 97-98 PCW 99-100 PCW 101-105 PCW 110-124 PCW 125 PCW 106-107 PCW 126-127 PCW 128-130

PCW 363, 386

PCW 378, 385 PCW 80-83

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Case 1:05-cv-00748-CCM
EXHIBIT A

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STOBIE CREEK v. UNITED STATES OF AMERICA PLAINTIFF'S EXHIBIT LIST

PLAINTIFF'S EXHIBIT NO.

DESCRIPTION 14. Assignment of Membership Interest and Joinder Agreement between Peter C. Welles and PCW Enterprises, Inc. 15. Certificate of Good Standing for PCW Investments, LLC and PCW Enterprises, Inc. 7/6/05 Peter C. Welles. Response to IDR 001 11/30/05 Peter C. Welles. Response to IDR 002 5/19/06 Peter C. Welles. Response to IDR 003 10/25/06 Peter C. Welles Response to IDR 004 Virginia Jordan VJ Investments, LLC Organizational Documents 1. Delaware Certificate of Formation 2. Operating Agreement 3. Form SS-4 Application for Employee ID Number VJ Enterprises, Inc. 4. Delaware Certificate of Formation 5. Minutes of Incorporation 6. By-Laws 7. Action by Written Consent of Sole Shareholder 8. Action by Written Consent of Board of Directors 9. Share Certificate No. 1 for 100 Shares dated March 17, 2000 issued to Virginia W. Jordan 10. IRS Filings: Form SS-4 Application for Employer Identification Number; Form 2553 Election by a Small Business Corporation Miscellaneous: 11. Assignment Separate from Certificate assigning to Stobie Creek 22,208.45 shares of Nonvoting Common Capital Stock of Therma-Tru Corporation 12. Assignment Separate from Certificate assigning to Stobie Creek 1,142.25 shares of Voting Common Capital Stock of Therma-Tru Corporation

42 43 44 45 46

PREVIOUSLY MARKED And/Or BATES NO. Ex. 81 PCW 77-78 Plaintiff's 8557-8558 PCW 1-6 PCW 7-1029 PCW 1030-1174 PCW 1175-1178 VSJ 45-48

VSJ 49-57 Ex. 57 VSJ 58 VSJ 59-60 VSJ 61-65 Ex. 57 VSJ 66-80 VSJ 81 VSJ 82-83 Floyd 1786-1787 VSJ 86-89

VSJ 383 Ex. 63 IRS-JG 7608 VSJ 382 Ex. 64 IRS-JG 7607

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EXHIBIT A

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STOBIE CREEK v. UNITED STATES OF AMERICA PLAINTIFF'S EXHIBIT LIST

PLAINTIFF'S EXHIBIT NO.

DESCRIPTION 13. Stobie Creek Investments Agreement: Schedule A: Member Signature Page Schedule B: Joinder Agreement Schedule C: New Investment Request Amendment to Schedule A Contribution 14. Assignment of Membership Interest and Joinder Agreement by and among Virginia Welles Jordan and VJ Enterprises, Inc. 15. Certificates of Good Standing for VJ Investments, LLC and VJ Enterprises, Inc. 7/7/05 Virginia Jordan Response to IDR 001 12/1/05 Virginia Jordan Response to IDR 002 10/9/06 Virginia Jordan Response to IDR 003 10/25/06 Virginia Jordan Response to IDR 004 2/14/06 Stobie Creek Response to IDR 001 for tax period ending 2001 2/14/06 Stobie Creek Response to IDR 002 for tax period ending 2001 2/14/06 Stobie Creek Response to IDR 003 for tax period ending 2001 2/14/06 Stobie Creek Response to IDR 004 for tax period ending 2001 3/29/06 Stobie Creek Response to IDR 001 for tax period ending 4/30/00 11/1/06 Stobie Creek Response to IDR 002 for 2000 tax year Stobie Creek Organizational Documents 1. Operating Agreement 2. Stobie Creek Investments Agreement with CSW Investments LLC Schedule A: Member Signature Page Schedule B: Joinder Agreement Schedule C: New Investment Report Schedule D: Amendment to Schedule A Contribution

PREVIOUSLY MARKED And/Or BATES NO. VSJ 117-120

VSJ 126-127 Plaintiff's 8559-8560 VSJ 1-6 VSJ 7-1024 VSJ 1025-1075 VSJ 1076-1079 Floyd Ex. 8 SCI 1-4 Floyd Ex. 8 SCI 5-339 Floyd Ex. 8 SCI 340-384 Floyd Ex. 8 SCI 385 SCI 386-390 SCI 391-409 SLK 561-591 SLK 729-732

47 48 49 50 51 52 53 54 55 56 57

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EXHIBIT A

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STOBIE CREEK v. UNITED STATES OF AMERICA PLAINTIFF'S EXHIBIT LIST
PREVIOUSLY MARKED And/Or BATES NO. SLK 733-736

PLAINTIFF'S EXHIBIT NO.

59

DESCRIPTION 3. Stobie Creek Investments Agreement with JFW Investments LLC Schedule A: Member Signature Page Schedule B: Joinder Agreement Schedule C: New Investment Report Amendment to Schedule A Contribution 4. Stobie Creek Investments Agreement with DKW Jr. Investments LLC Schedule A: Member Signature Page Schedule B: Joinder Agreement Schedule C: New Investment Report Amendment to Schedule A Contribution 5. Stobie Creek Investments Agreement with DKW Sr. Investments LLC Schedule A: Member Signature Page Schedule B: Joinder Agreement Schedule C: New Investment Report Amendment to Schedule A Contribution 6. Stobie Creek Investments Agreement with VJ Investments LLC Schedule A: Member Signature Page Schedule B: Joinder Agreement Schedule C: New Investment Report Amendment to Schedule A Contribution 7. Stobie Creek Investments Agreement with Family Under the David K. Welles 1994 Qualified Annuity Trust Schedule A: Member Signature Page Schedule B: Joinder Agreement Schedule C: New Investment Report Amendment to Schedule A Contribution 8. Stobie Creek Investments Agreement with Family Under the David K. Welles 1994 Annuity Trust Schedule A: Member Signature Page Schedule B: Joinder Agreement Schedule C: New Investment Report Schedule D: Amendment to Schedule A Contribution 9. Stobie Creek Certificate of Good Standing North Channel Organizational Documents 1. Certified Copy of Organization

SLK 737-740

SLK 741-744

SLK 745-748

SLK 749-752

SLK 753-756

Plaintiff's 8561 Welles 28-32

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EXHIBIT A

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STOBIE CREEK v. UNITED STATES OF AMERICA PLAINTIFF'S EXHIBIT LIST
PREVIOUSLY MARKED And/Or BATES NO. Welles 39-40 Plaintiff's 8562 Herpe Ex. 35 Welles 9-27 Welles 51-53 Welles 54-56 Welles 62-64 Plaintiff's 8562 Welles 33-36 Plaintiff's 89-91 Plaintiff's 9949-10332 Plaintiff's 8716-8750 Ex. 124 Floyd 5135-5167 Ex. 125 Floyd 5168-5476 Floyd 9363-9379 Plaintiff's 1513-1567 Plaintiff's 1479-1512 Floyd 3088-3139 Floyd 3494-3508 Plaintiff's 1384-1478 Plaintiff's 1311-1344 Plaintiff's 1610-1665 Floyd 3182-3216 Plaintiff's 923-987 Plaintiff's 861-894 Plaintiff's 1176-1216 Plaintiff's 1078-1111 VSJ 1115-1193 Plaintiff's 799-832

PLAINTIFF'S EXHIBIT NO. 2. Application for Employer ID Number 3. 10/13/99 North Channel LLC Agreement

DESCRIPTION

61 62 63 65 67 68 75 76 78 80 82 84 86 88 90 92 94 96 98 100 102

4. 12/29/99 Certified Notice of Formation in New York Law Journal 5. 1/26/00 New York Affidavit of Publication 6. 1/24/00 Revolving Credit Note between North Channel and David K. Welles, Sr. 1994 Qualified Annuity Trust 7. Certificate of Good Standing as of 10/24/07 for North Channel 8. Articles of Incorporation of North Channel LLC 12/8/99 Kenner Proposal to Acquire Therma-Tru signed by David K. Welles, Jr. Kenner transaction contract with Therma-Tru dated 5/9/00 Therma-Tru Tax Return 1999 Therma-Tru Shareholder's Basis Computations Tax Returns for Stobie Creek 4/30/00 Tax Return for Stobie Creek 12/31/00 Tax Return for North Channel 12/31/00 Tax return for David K. Welles Sr. for 2000 Tax return for DKW Sr. Enterprises Inc. 2000 Tax Return for Welles Asset Management Inc. 2000 Tax return for DKW Sr. ESBT 2000 Tax return for Christopher Welles for 2000 Tax return for CSW Asset Management Inc. 2000 Tax return for David (Deke) Welles Jr. for 2000 Tax return for DKW Jr. Enterprises Inc. 2000 Tax return for Jeffrey Welles for 2000 Tax return for JFW Enterprises Inc. 2000 Tax return for Peter Welles for 2000 Tax return for PCW Enterprises Inc. 2000 Tax return for Virginia Jordan for 2000 Tax return for VJ Enterprises Inc. 2000

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EXHIBIT A

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STOBIE CREEK v. UNITED STATES OF AMERICA PLAINTIFF'S EXHIBIT LIST

PLAINTIFF'S EXHIBIT NO. DESCRIPTION 108 File copy 8/9/00 letter from David Waterman addressed to Welles family 111 112 113 114 115 116 117 118 119 120 123

124 125 126 127 128 129 130 131 132

PREVIOUSLY MARKED And/Or BATES NO. Ex. 130 SLK 9685-9687 Welles Family Meeting Documents dated 1/23/00-1/24/00 Herpe Ex. 37 Welles Priv 0001 Welles Family Meeting Discussion Outline from 1/23/00-1/24/00 Welles Priv 0003 (3 pps.) Welles Family Meeting Agenda from 1/23/00-1/24/00 Herpe 39 Welles Priv 0004 Welles Family Meeting 1/23/00-1/24/00 Herpe notes Welles Priv 0005 (3 pps.) Welles Family Pooled Investment Vehicle chart Herpe 48 Welles Priv 0006 Herpe notes from the Vero Beach meeting Herpe 47 Welles Priv 0007 Welles Family Meeting Minutes, Vero Beach 1/24/00 Herpe 38 Welles Priv 0008 Stobie Creek Meeting Minutes, dated 5/9/00 Goldstein Ex. 4 Plaintiff's 3764-3767 Welles Family Meeting Documents, dated 5/19/00 D. Welles Jr. Ex. 137 Plaintiff's 7020-7152 Stobie Creek Meeting Minutes, dated 12/1/00 - 12/2/00 Plaintiff's 3770-3780 Assignment Agreement to Stobie Creek from JFW Investments LLC Ex. 105, 106 JFW 254-256 IRS-JG 7635-7637 Assignment Agreement to Stobie Creek from DKW Senior Investments LLC DGWSR 270-272, 276-278 Assignment Agreement to Stobie Creek from David K. Welles, Sr. 1994 Qualified Annuity Trust DGWSR 252-254, 258-260 Assignment Agreement to Stobie Creek from CSW Investments CSW 126-128, 132-134 Assignment Agreement to Stobie Creek from DKW Junior Investments DKWJR 167-169, 173-175 Assignment Agreement to Stobie Creek from PCW Investments LLC PCW 141-143, 147-149 Assignment Agreement to Stobie Creek from VJ Investments LLC VSJ 143-145, 149-151 9/14/99 correspondence from D. Herpe to David K. Welles Sr. re a family office, anticipated merger, private family foundation Welles Priv 0009 (3 pps.) Stobie Creek Investments LLC Summary of Important Provisions of Company Agreement prepared by Herpe Stobie Creek Investments LLC Summary of Important Provisions of Company Agreement Welles Priv 0010 (3 pps.) Welles Priv 0012 (4 pps.)

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STOBIE CREEK v. UNITED STATES OF AMERICA PLAINTIFF'S EXHIBIT LIST

PLAINTIFF'S EXHIBIT NO. DESCRIPTION 140 2/9/01 engagement letter between J&G and Stobie Creek 141 142 143 144 145 146 147 148 149 150 151 152 154 156 157 158 159 160 March 31, 2001 Account Balances Intentionally Left Blank J&G Tax Opinion dated 1/2/01 to Jeffrey Welles J&G Tax Opinion dated 1/2/01 to David K. Welles, Sr. J&G Tax Opinion dated 1/2/01 Christopher Welles J&G Tax Opinion dated 1/2/01 David Welles, Jr. J&G Tax Opinion dated 1/2/01 Peter Welles J&G Tax Opinion dated 1/2/01 Virginia Jordan J&G draft Tax Opinion dated 8/00 J&G draft Tax Opinion dated 1/25/01 J&G Memorandum dated 11/99 re: Tax Consequences of Contribution of Option Spread to Partnership or Corporation File copy of 3/6/00 letter from D. Waterman addressed to Welles Family J. Welles handwritten notes and Bloomberg Data 3/30/00 facsimile from J. Welles to Susan Madden at Northern Trust Northern Trust Year 2000 account transaction statement 3/1/00-3/31/00 Northern Trust Portfolio Statement Deutsche Bank Weekly Reports Goldman Sachs The Weekly Analyst Weekly/Quarterly Reports

PREVIOUSLY MARKED And/Or BATES NO. Ex. 114 JFW 653-656 Plaintiff's 002081-002085 Ex. 118 JFW 1308-1418 G. Welles Ex. 401 IRS-JG 3226-3347 C. Welles Ex. 94 CSW 145-254 D. Welles, Jr. Ex. 74 DKWJR 203-313 P. Welles Ex. 82 PCW 165-275 V. Jordan Ex. 67 VSJ 0162-0272 Ex. 115 JFW 0274-0376 Ex. 116 JFW 0377-0487 Herpe Ex. 46 DKWJR 0024-44 Herpe Ex. 45 SLK 48-51 JFW 1301-1307 Plaintiff's 8688 Floyd 003771-3797 Plaintiff's 8689-8715 JFW 75-123 Plaintiff's 3513-3763

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STOBIE CREEK v. UNITED STATES OF AMERICA PLAINTIFF'S EXHIBIT LIST
PREVIOUSLY MARKED And/Or BATES NO. G. Welles Ex. 403 DB-DOJ-Cobra 148291148297 G. Welles Ex. 404 IRS-JG 3369-3371 DOJ-Stobie 1107-1109 G. Welles Ex. 405 DB-DOJ-Cobra 148371 G. Welles Ex. 408 DOJ-Stobie 1091, IRS-JG 1777-1779 J. Welles Ex. 4 IRS-JG 5761 J. Welles Ex. 4 IRS-JG 5762 G. Welles Ex. 410 G. Welles Ex. 411 G. Welles Ex. 412 DGW 148-1304 DGWSR 284-288 DGWSR 279-283 DGWSR 239-243 DGWSR 244-248 J. Welles Ex. 4 IRS-JG 5763 J. Welles Ex. 4 IRS-JG 5764 Jordan Ex. 61 VSJ 152-156 Jordan Ex. 62 VSJ 157-161 DOJ-Stobie 1147-1149

PLAINTIFF'S EXHIBIT NO. DESCRIPTION 162 Deutsche Banc Trust Authorization, Full Trading Authorization Annuity Trust

163 164 165 166

Guaranty Agreement signed by Georgia Welles as Trustee Guaranty Agreement signed by David Welles Sr. Letter showing wire transfer from David K. Welles Sr. 1994 Annuity Trust to Deutsche Bank account re FX Options dated 3/31/00 3/31/00 letter of direction to Deutsche Bank on behalf of David K. Welles Sr. 1994 Qualified Annuity Trust

167 168 169 170 171 172 173 174 175 179 180 181 182 183

Letter showing wire transfer from DKW Senior Investments LLC to Deutsche Bank account re FX Options dated 3/31/00 4/3/00 letter of direction to Deutsche Bank on behalf of DKW Sr. Investments 6/21/05 David K. Welles, Sr. and Georgia E. Welles Response to IDR 001 11/21/05 David K. Welles, Sr. and Georgia E. Welles Response to IDR 002 10/6/06 David K. Welles, Sr. and Georgia E. Welles Response to IDR 003 Deutsche Banc Alex. Brown Client Statement for DKW Senior Investments LLC for 3/1/00-3/31/00 Deutsche Banc Alex. Brown Client Statement for DKW Senior Investments LLC for 4/1/00-4/30/00 Deutsche Banc Alex. Brown Client Statement for David K. Welles 1994 Qualified Annuity Trust for 3/1/00-3/31/00 Deutsche Banc Alex. Brown Client Statement for David K. Welles 1994 Qualified Annuity Trust for 4/1/00-4/30/00 Letter showing wire transfer from VJ Investments LLC to Deutsche Bank account re FX Options dated 3/31/00 4/3/00 letter of direction to Deutsche Bank on behalf of VJ Investments LLC Deutsche Bank Client Statement for VJ Investments LLC for 04/01/00-04/30/00 Deutsche Bank Client Statement for VJ Investments LLC for 03/01/00-03/31/00 3/29/00 Guaranty Agreement signed by Virginia Jordan

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EXHIBIT A

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STOBIE CREEK v. UNITED STATES OF AMERICA PLAINTIFF'S EXHIBIT LIST

PLAINTIFF'S PREVIOUSLY MARKED EXHIBIT NO. DESCRIPTION And/Or BATES NO. 184 Facsimile attaching Assignment Separate from Certificate from members of the Welles Family assigning stock to Stobie Creek Jordan Ex. 65 JFW 741-756 185 2/13/01 letter from D. Guerin to V. Jordan enclosing Opinion Jordan Ex. 66 IRS-JG 8129 186 6/24/05 David K. Welles Jr. Response to IDR 001 D. Welles, Jr. Ex. 68 DKWJR 2-6 189 3/28/00 Guaranty Agreements between David K. Welles, Jr. and BT Alex Brown DKWJR 161-163 190 3/28/00 Guaranty Agreements between DKW LLC and BT Alex Brown DKWJR 151-153 191 Letter showing wire transfer from DKW Jr. Investments LLC to Deutsche Bank account re FX Options dated 3/31/00 DKWJR 176 192 4/3/00 letter of direction to Deutsche Bank on behalf of DKW Junior Investments LLC DKWJR 177 196 Letter showing wire transfer from PCW Investments LLC to Deutsche Bank account re FX Options dated 3/31/00 J. Welles Ex. 4 IRS-JG 5767 197 4/3/00 letter of direction to Deutsche Bank on behalf of PCW Investments LLC J. Welles Ex. 4 IRS-JG 5768 198 Deutsche Bank Client Statement for PCW Investments LLC for 3/1/00 to 03/31/00 P. Welles Ex. 83 PCW 155-159 199 Deutsche Bank Client Statement for PCW Investments LLC for 04/01/00 to 04/30/00 P. Welles Ex. 84 PCW 150-154 200 Guaranty Agreement between Peter C. Welles and BT Alex Brown P. Welles Ex. 85 IRS-JG 6899-6901 201 Guaranty Agreement between Peter Welles and BT Alex Brown P. Welles Ex. 86 IRS-JG 6909-6911 Letter showing wire transfer from CSW Investments LLC to Deutsche Bank account re FX Options dated 3/31/00 J. Welles Ex. 4 205 IRS-JG 5769 4/3/00 letter of direction to Deutsche Bank on behalf of CSW+B354 Investments LLC J. Welles Ex. 4 206 IRS-JG 5770 207 4/13/00 letter from SLK to Donna Guerin C. Welles Ex. 95 IRS-JG 5315-5346 208 Deutsche Banc Alex. Brown Client Statement for CSW Investments LLC for 3/1-31/00 CSW 135-139 209 Deutsche Banc Alex. Brown Client Statement for CSW Investments LLC for 4/1-30/00 CSW 140-144 210 3/27/00 Guaranty Agreement signed by Christopher S. Welles DOJ-Stobie 1119-1121 211 3/28/00 Guaranty Agreement signed by Christopher S. Welles DOJ-Stobie 1123-1125

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STOBIE CREEK v. UNITED STATES OF AMERICA PLAINTIFF'S EXHIBIT LIST

PLAINTIFF'S EXHIBIT NO. DESCRIPTION 212 3/26/01 facsimile attaching schedule re paying back 4/30/00 loans and a sample note 213 214 215 216 217 218 Various Articles from Deutsche Bank and Foreign Exchange Weekly Deutsche Banc Alex Brown Client Statement for JFW Investments LLC for 3/1/00-3/31/00 Deutsche Banc Alex Brown Client Statement for JFW Investments LLC for 4/1/00-4/30/00 3/27/00 Guaranty Agreement signed by Jeffrey Welles 3/27/00 Guaranty Agreement signed by Jeffrey Welles Letter showing wire transfer from JFW Investments LLC to Deutsche Bank account re FX Options dated 3/31/00

219

4/3/00 letter of direction to Deutsche Bank on behalf of JFW Investments LLC

230 232 240 242 243 244 245

Memo enclosing Goldman Sachs The Foreign Exchange Market 9/99 List of loan transactions between Welles family members 1/25/01 Letter enclosing draft Tax Opinion for Jeffrey Welles Stobie Creek Investments LLC New Investment Request and Withdrawal Request for Welles Family Members Deutsche Bank Confirmation for JFW Investments LLC Dollar/Euro Deutsche Bank Confirmation for JFW Investments LLC Dollar/Swiss Franc Deutsche Bank Confirmation for PCW Investments LLC Dollar/Euro

PREVIOUSLY MARKED And/Or BATES NO. J. Welles Ex. 103 JFW 715-720 J. Welles Ex. 104 JFW 75-123 J. Welles Ex. 107 JFW 260-264 J. Welles Ex. 108 JFW 265-269 J. Welles Ex. 110 IRS-JG 1007-1009 J. Welles Ex. 111 IRS-JG 5713-5715 JFW 270 J. Welles Ex. 4 IRS-JG 5765 JFW 271 J. Welles Ex. 4 IRS-JG 5766 J. Welles Ex. 5 Plaintiff's 4097-4158 Floyd Ex. 6 Plaintiff's 2081-2085 Goldstein Ex. 6 Plaintiff's 3213-3223 Goldstein Ex. 14 Plaintiff's 5880-5954 J. Welles Ex. 98 JFW 248-250 J. Welles Ex. 99 JFW 251-253 P. Welles Ex. 79 PCW 138-140

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STOBIE CREEK v. UNITED STATES OF AMERICA PLAINTIFF'S EXHIBIT LIST

PLAINTIFF'S EXHIBIT NO. DESCRIPTION 246 Deutsche Bank Confirmation for PCW Investments LLC Dollar/Swiss Franc 247 248 249 250 251 Deutsche Bank Confirmation for CSW Investments LLC Dollar/Euro Deutsche Bank Confirmation for CSW Investments LLC Dollar/Swiss Franc Deutsche Bank Confirmation for VJ Investments LLC Dollar/Euro Deutsche Bank Confirmation for VJ Investments LLC Dollar/Swiss Franc Deutsche Bank Confirmation for David Welles, Sr. 1994 Qualified Annuity David Welles 1994 Trust Dollar/Euro

PREVIOUSLY MARKED And/Or BATES NO. P. Welles Ex. 80 PCW 144-146 C. Welles Ex. 91 CSW 123-125 C. Welles Ex. 92 CSW 129-131 Jordan Ex. 59 VSJ 140-142 Jordan Ex. 60 VSJ 146-148 Floyd 2260-2262 DGWSR 249-254 DB-DOJ-Cobra 5402354025; 157443-445 DGWSR 255-260 DGWSR 267-272 DGWSR 273-275 D. Welles, Jr. Ex. 72 DKWJR 164-166 D. Welles, Jr. Ex. 73 DKWJR 170-172 Waterman Ex. 13 SLK 9946-9948

252

Deutsche Bank Confirmation for David Welles, Sr. Annuity David Welles 1994 Trust Dollar/Swiss Franc

253 254 255 256 260 272 273 274 275 276 277 278 279

Deutsche Bank Confirmation for DKW Sr. Investments LLC Dollar/Euro Deutsche Bank Confirmation for DKW Sr. Investments LLC Dollar/Swiss Franc Deutsche Bank Confirmation for DKW Jr. Investments LLC Dollar/Euro Deutsche Bank Confirmation for DKW Jr. Investments LLC B435Dollar/Swiss Franc 4/8/04 Facsimile attaching 12/15/03 letter confirming representation of Jeffrey Welles and other family members

10/1/07 Ira Shepard Expert Report 10/1/07 Ira Shepard Expert Report, page 74, Table 2: Allocation of Transaction Costs 10/1/07 Ira Shepard Expert Report, page 76, Table 3: Chart re Probability of Success 10/1/07 Ira Shepard Expert Report, Exhibit A, Ira Shepard CV 10/1/07 Ira Shepard Expert Report, Exhibit B, Materials Reviewed 10/1/07 Ira Shepard Expert Report, Exhibit C, Stobie Creek Comparative Financial Statements 10/1/07 Ira Shepard Expert Report, Exhibit D, NASDAQ Stock Price Index Expert Report of Jeffrey Frankel, dated 9/14/07

Frankel Ex. 7

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STOBIE CREEK v. UNITED STATES OF AMERICA PLAINTIFF'S EXHIBIT LIST
PREVIOUSLY MARKED And/Or BATES NO. Frankel Ex. 5

PLAINTIFF'S EXHIBIT NO. 281 282 283 284 285 286 287 288 289 291 292 293 294 295 296 297 298 299 300 301 302 303 304 305 306 307 308 309

DESCRIPTION Consensus Forecasts-USA dated 12/6/99, 3/13/00 and 4/10/00 Frankel Ex. 1.1: Nominal and Real US$ Value of Euro Frankel Ex. 1.2: Nominal and Real US$ Value of CHF Frankel Ex. 2.2: Correlation between Currencies, Daily Exchange Rate from 1/1/90-12/31/99 Frankel Ex. 2.3: Correlation between Currencies, Monthly Exchange Changes from 1/99-9/07 Frankel Ex. 2.4: Correlation between Currencies, Monthly Exchange Changes from 1/9-12/98 Frankel Ex. 3: Table Frankel Ex. 4: Monthly Correlation Coefficients between EUR and CHF from 1/99-3/00 Frankel Ex. 5, including 5.1 and 5.2: It Takes Disagreement Make a Market Expert Report of Robert Kolb, 9/11/07 Rebuttal Report of Robert Kolb, 10/11/07 10/6/07 Revised Expert Report of Robert Kolb

09/11/07 Robert Kolb Expert Report, p. 21, Exhibit 1: Payoffs at Expiration for Buying a Plain Vanilla Call
09/11/07 Robert Kolb Expert Report, p. 22, Exhibit 2: Payoffs at Expiration for Selling a Plain Vanilla Call 09/11/07 Robert Kolb Expert Report, p. 23, Exhibit 3: Payoffs at Expiration for Buying a Digital Option 09/11/07 Robert Kolb Expert Report, p. 24, Exhibit 4: Payoffs at Expiration for Selling a Digital Option 10/06/07 Robert Kolb Corrected Expert Report, Exhibit 5: Digital Options of JFW 09/11/07 Robert Kolb Expert Report, p. 26, Exhibit 6: Option Payoffs 10/06/07 Robert Kolb Corrected Expert Report, Exhibit 7: Option Payoffs 10/06/07 Robert Kolb Corrected Expert Report, Exhibit 8: All Possible Investment Outcomes for JFW 10/06/07 Robert Kolb Corrected Expert Report, Exhibit 9: Euro Binary Option Investment for All Seven Welles Family Accounts 10/06/07 Robert Kolb Corrected Expert Report, Exhibit 10: Swiss Franc Binary Option Investment for All Seven Welles Family Accounts 10/06/07 Robert Kolb Corrected Expert Report, Exhibit 11: All Possible Investment Outcomes for the Aggregated Welles Family Accounts 9/11/07 Robert Kolb Expert Report p.34, Ex. 12 USD per EUR 9/11/07 Robert Kolb Expert Report p.35, Ex. 13 CHF per US$ 9/13/07 Richard Levich Expert Report 09/13/07 Richard Levich Expert Report, p. 3, Chart of Description of Option Strategy and Contracts 09/13/07 Richard Levich Expert Report, p.8, Chart of Estimates of Probability that Single Currency Pair Would Exceed Critical Amount

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STOBIE CREEK v. UNITED STATES OF AMERICA PLAINTIFF'S EXHIBIT LIST

PLAINTIFF'S EXHIBIT NO. 310 311 312 313 315 316 317 319 320 321 323 325 326 328 330 331 332 333 334 335

DESCRIPTION 09/13/07 Richard Levich Expert Report, p.9, chart 09/13/07 Richard Levich Expert Report, p. 13, Table 1, Payoffs for JFW Options 09/13/07 Richard Levich Expert Report, p.14, Table 2, Matrix of CHF/EUR Rates 09/13/07 Richard Levich Expert Report, p.15, Table 3, Matrix of Payoffs 9/13/07 Richard Levich Expert Report, Spot Exchange Rate in CHF/EUR, Graph 1 9/13/07 Richard Levich Expert Report, Implied Volatility For At-the-Money Option On Spot EUR/CHF, Graph 2 9/13/07 Levich Report: Summary of Calculations and Analysis Regarding Options Traded by JFW Investments on or around 3/31/00 Levich, Richard, International Financial Markets: Prices and Policies, 2nd Edition, Published by McGraw Hill Higher Education, Copyright 2001 Digital Options Computations Chart re: Double, Total Loss and Sweet Spot Chart re: Correlation of CHF/USD Exchange Rates-1 Month Periods Chart re: USD/EUR Options with handwritten notations Chart re Implied Volatility of 1 Month At-The Money Options EUR and CHF vs the USD Implied Volatility: 1-Month at the Money Options, Daily Data 1/2/95-3/31/00 Spot Cross Exchange Rate CHF/EUR CHF/DEM adjusted for 1.95883 ratio to EUR Correlation of CHF and DM vs USD Spot Exchange Rates for CHF and EUR v USD daily USD daily 3/31/00-4/28/00 Spot Exchange Rates for CHF and EUR, Scaled With March 31=100, Daily, 3/31/00-4/28/00, Chart 5 Spot Exchange Rates for CHF and EUR, Scaled With March 31=100, Daily, 3/31/00-4/28/00, Chart 6 Expert Report of Stuart Smith

PREVIOUSLY MARKED And/Or BATES NO.

Levich Ex. 7

Levich Ex. 1 Levich Ex. 4 Levich Ex. 6 Levich Ex. 9 (8 pps.) Levich Ex. 10

Smith Ex. 1

18