Free Exhibit List - District Court of Federal Claims - federal

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

Document 65-2

Filed 02/07/2008

Page 1 of 17

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

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

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 DGWSR 629-630

Page 1

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

Document 65-2

Filed 02/07/2008

Page 2 of 17

STOBIE CREEK v. UNITED STATES OF AMERICA PLAINTIFF'S EXHIBIT LIST
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 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 DGWSR 639-640

DGWSR 209-212 DGWSR 144-147 DGWSR 213-214

DGWSR 148-49

00000843-862 DGWSR 1-12 DGWSR 13-1284 DGWSR 1285-1375 DGWSR 1376-1379 Plaintiff's 2061-2065 Plaintiff's 2066 CSW 26-29 CSW 30-38 CSW 39-40 CSW 41-42

16 17 18 19 20 21 22 23

CSW 43-47 CSW 48-62 CSW 63 CSW 64-65

Page 2

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

Document 65-2

Filed 02/07/2008

Page 3 of 17

STOBIE CREEK v. UNITED STATES OF AMERICA PLAINTIFF'S EXHIBIT LIST
6. By-Laws 7. Action by Written Consent of Sole Shareholder CSW 66-69 CSW 70-73

24 25 26 27 28

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 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

CSW 362 CSW 361 CSW 101-104; 108

CSW 105-106 C. Welles Ex. 93 CSW 1-7

CSW 8-1009

CSW 1010-1079 CSW 1080-1083 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

Page 3

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

Document 65-2

Filed 02/07/2008

Page 4 of 17

STOBIE CREEK v. UNITED STATES OF AMERICA PLAINTIFF'S EXHIBIT LIST
7. Trust Agreement between David K. Welles, Jr., Settlor and David K. Welles, Jr. Trustee DKWJR 132-136

29 30 31 32 33 34 35 36

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. 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

DKWJR 431 DKWJR 430 DKWJR 140-143 DKWJR 137-138 D. Welles Jr. Ex. 136 IRS-JG 1723-1724 DKWJR 1-6

DKWJR 7-1040 DGWJR 1041-1068 DGWJR 1069-1370

DKWJR 1371-1374 Plaintiff's 2056 Plaintiff's 2057 Plaintiff's 2058-2060 JFW 155-158 JFW 159-167 JFW 168-169 JFW 170-171 JFW 172-176 JFW 177-191

JFW 192

Page 4

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

Document 65-2

Filed 02/07/2008

Page 5 of 17

STOBIE CREEK v. UNITED STATES OF AMERICA PLAINTIFF'S EXHIBIT LIST
3. Form SS-4 Application for Employee ID Number JFW Enterprises, Inc. 4. Delaware Certificate of Formation 5. Minutes of Incorporation JFW 193-194 JFW 197-198 JFW 199-201

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 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

JFW 746 JFW 745 JFW 151-154 J. Welles Ex. 113 JFW 202-203 JFW 1-6

JFW 7-260

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

37 38 39 40 41

PCW 106-107 PCW 126-127

Page 5

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

Document 65-2

Filed 02/07/2008

Page 6 of 17

STOBIE CREEK v. UNITED STATES OF AMERICA PLAINTIFF'S EXHIBIT LIST
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 14. Assignment of Membership Interest and Joinder Agreement between David K. Welles, Jr. and DKW Junior Enterprises, Inc. 15. Certificates of Good Standing for PCW Investments, LLC and PCW Enterprises, Inc. Assignment of Membership Interest and Joinder Agreement by and among Peter C. Welles and PCW Enterprises, Inc. 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 PCW 128-130

PCW 363; 386 PCW 378; 385 PCW 80-83 Ex. 81 PCW 77-78 P. Welles Ex. 81 PCW 77-79 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

42 43 44 45

Page 6

Case 1:05-cv-00748-CCM
Exhibit A
46

Document 65-2

Filed 02/07/2008

Page 7 of 17

STOBIE CREEK v. UNITED STATES OF AMERICA PLAINTIFF'S EXHIBIT LIST
Virginia Jordan VJ Investments, LLC Organizational Documents 1. Delaware Certificate of Formation 2. Operating Agreement Floyd 1786-1787

VSJ 86-89

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 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

VSJ 383 Ex. 63 IRS-JG 7608 VSJ 382 Ex. 64 IRS-JG 7607 VSJ 117-120 VSJ 126-127 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

47 48

Floyd Ex. 8 SCI 385 SCI 386-390 SCI 391-409 SLK 561-591

Page 7

Case 1:05-cv-00748-CCM
Exhibit A
49 50 51 52

Document 65-2

Filed 02/07/2008

Page 8 of 17

STOBIE CREEK v. UNITED STATES OF AMERICA PLAINTIFF'S EXHIBIT LIST
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 SLK 729-732 Welles 28-32 Welles 39-40 Plaintiff's 8562 Herpe Ex. 35 Welles 9-27 Welles 51-53 Welles 54-56 Welles 62-64 Welles 33-36 Plaintiff's 89-91

53 54 55 56 57

59

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 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 2. Application for Employer ID Number 3. 10/13/99 North Channel LLC Agreement

Plaintiff's 8716-8750

Ex. 124 Floyd 5135-5167 Ex. 125 Floyd 5168-5476 Plaintiff's 8751-9912

Floyd 9363-9379

Plaintiff's 1513-1567

Plaintiff's 1479-1512 Floyd 3494-3508 DGWSR 53-66 Plaintiff's 1384-1478

Page 8

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

Document 65-2

Filed 02/07/2008

Page 9 of 17

STOBIE CREEK v. UNITED STATES OF AMERICA PLAINTIFF'S EXHIBIT LIST
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 Plaintiff's 1311-1344 Plaintiff's 1610-1665 Floyd 3182-3216 Plaintiff's 923-987 Plaintiff's 861-894 Plaintiff's 1078-1111 VSJ 1115-1193 Plaintiff's 9949-10332 Welles Priv 0003 (3 pps.) Welles Priv 0005 (3 pps.) Herpe 48 Welles Priv 0006 CSW 126-128, 132-134 DKWJR 167-169,173-175 VSJ 143-145,139-151 Plaintiff's 002081-002085 G. Welles Ex. 401 IRS-JG-3226-3347 D. Welles, Jr. Ex. 74 DKW JR 203-313 V. Jordan Ex. 67 VSJ 0162-0272 Herpe Ex. 45 SLK 48-51 JFW 75-123 G. Welles Ex. 405 DB-DOJ-Cobra 148371 J. Welles Ex. 4 IRS-JG 5761 G. Welles Ex. 410 G. Welles Ex. 412 DGW 148-1304 J. Welles Ex. 4 IRS-JG 5764

61 62 63 65 67 68

75 76 78 80 82 84 86 88 90 92

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

94 96 98 100

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

Page 9

Case 1:05-cv-00748-CCM
Exhibit A
102 108 111

Document 65-2

Filed 02/07/2008

Page 10 of 17

STOBIE CREEK v. UNITED STATES OF AMERICA PLAINTIFF'S EXHIBIT LIST
Tax return for VJ Enterprises Inc. 2000 File copy 8/9/00 letter from David Waterman addressed to Welles family Welles Family Meeting Documents dated 1/23/00-1/24/00 D. Welles, Jr. Ex. 69 DKWJR 7-22 Ex. 130 SLK 9685-9687 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 J. Welles Ex. 98 JFW 248-250 J. Welles Ex. 99 JFW 251-253 P. Welles Ex. 79 PCW 138-140 P. Welles Ex. 80 PCW 144-146 Goldstein Ex. 4 Plaintiff's 3764-3767 C. Welles Ex. 92 CSW 129-131 PL3770-3780 DB-DOJ-Cobra 5402354025; 157443-445 DGWSR 255-260 DGWSR 267-272

112

Welles Family Meeting Discussion Outline from 1/23/00-1/24/00

113 114

Welles Family Meeting Agenda from 1/23/00-1/24/00 Welles Family Meeting 1/23/00-1/24/00 Herpe notes

115

Welles Family Pooled Investment Vehicle chart

116

Herpe notes from the Vero Beach meeting

117

Welles Family Meeting Minutes, Vero Beach 1/24/00

118 119

Stobie Creek Meeting Minutes, dated 5/9/00 Welles Family Meeting Documents, dated 5/19/00

120 123

Stobie Creek Meeting Minutes,B287 dated 12/1/00 - 12/2/00 Assignment Agreement to Stobie Creek from JFW Investments LLC

124

Assignment Agreement to Stobie Creek from DKW Senior Investments LLC

Page 10

Case 1:05-cv-00748-CCM
Exhibit A
125 126

Document 65-2

Filed 02/07/2008

Page 11 of 17

STOBIE CREEK v. UNITED STATES OF AMERICA PLAINTIFF'S EXHIBIT LIST
Assignment Agreement to Stobie Creek from David K. Welles, Sr. 1994 Qualified Annuity Trust Assignment Agreement to Stobie Creek from CSW Investments DGWSR 273-275 D. Welles, Jr. Ex. 72 DGWJR 164-166

127

Assignment Agreement to Stobie Creek from DKW Junior Investments D. Welles, Jr. Ex. 73 DGWJR 170-172

128 129 130 131 132 140 141 143 144 145 146 147 148 149 150 151 152 154 156 157 158 159

Assignment Agreement to Stobie Creek from PCW Investments LLC Assignment Agreement to Stobie Creek from VJ Investments LLC
9/14/99 correspondence from D. Herpe to David K. Welles Sr. re a family office, anticipated merger, private family foundation 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 2/9/01 engagement letter between J&G and Stobie Creek March 31, 2001 Account Balances 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 Welles Priv 0009 (3 pps.) Welles Priv 0010 (3 pps.) Welles Priv 0012 (4 pps.)

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 Ex. 116 JFW 0377-0487 Herpe Ex. 46 DKW Jr. 0024-44 JFW 1301-1307 Plaintiff's 8688 Floyd 003771-3797

Page 11

Case 1:05-cv-00748-CCM
Exhibit A
160 162

Document 65-2

Filed 02/07/2008

Page 12 of 17

STOBIE CREEK v. UNITED STATES OF AMERICA PLAINTIFF'S EXHIBIT LIST
Goldman Sachs The Weekly Analyst Weekly/Quarterly Reports Deutsche Banc Trust Authorization, Full Trading Authorization Annuity Trust

163 164 165 166 167 168 169 170 171 172 173 174 175 179 180 181 182 183 184 185 186 187

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 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 Facsimile attaching Assignment Separate from Certificate from members of the Welles Family assigning stock to Stobie Creek 2/13/01 letter from D. Guerin to V. Jordan enclosing Opinion 6/24/05 David K. Welles Jr. Response to IDR 001 11/23/05 David K. Welles Jr. Response to IDR 002

G. Welles Ex. 403 DB-DOJ-Cobra 148291148297 G. Welles Ex. 404 IRS-JG 3369-3371 DOJ-Stobie 1107-1109

Levich Ex. 7 DGWSR 284-288 DGWSR 279-283 DGWSR 239-243 DGWSR 244-248

Jordan Ex. 61 VSJ 152-156 Jordan Ex. 62 VSJ 157-161 DOJ-Stobie 1147-1149 Jordan Ex. 65 JFW 741-756 Jordan Ex. 66 IRS-JG-8129 D. Welles, Jr. Ex. 68 DKWJR 2-6 D. Welles, Jr. Ex. 69 DKWJR 7-22

Page 12

Case 1:05-cv-00748-CCM
Exhibit A
188 189 190 191 192 196 197 198 199 200 201 205 206 207 208 209 210 211 212 213 214

Document 65-2

Filed 02/07/2008

Page 13 of 17

STOBIE CREEK v. UNITED STATES OF AMERICA PLAINTIFF'S EXHIBIT LIST
9/27/05 David K. Welles Jr. Response to IDR 003 3/28/00 Guaranty Agreements between David K. Welles, Jr. and BT Alex Brown 3/28/00 Guaranty Agreements between DKW LLC and BT Alex Brown Letter showing wire transfer from DKW Jr. 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 Junior Investments LLC Letter showing wire transfer from PCW 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 PCW Investments LLC Deutsche Bank Client Statement for PCW Investments LLC for 3/1/00 to 03/31/00 Deutsche Bank Client Statement for PCW Investments LLC for 04/01/00 to 04/30/00 Guaranty Agreement between Peter C. Welles and BT Alex Brown Guaranty Agreement between Peter Welles and BT Alex Brown Letter showing wire transfer from CSW 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 CSW+B354 Investments LLC 4/13/00 letter from SLK to Donna Guerin Deutsche Banc Alex. Brown Client Statement for CSW Investments LLC for 3/1-31/00 Deutsche Banc Alex. Brown Client Statement for CSW Investments LLC for 4/1-30/00 3/27/00 Guaranty Agreement signed by Christopher S. Welles 3/28/00 Guaranty Agreement signed by Christopher S. Welles 3/26/01 facsimile attaching schedule re paying back 4/30/00 loans and a sample note 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 D. Welles, Jr. Ex. 70 DGWJR 1069-1370 DKWJR 161-163 DKWJR 151-153 DKWJR 176 DKWJR 177 J. Welles Ex. 4 IRS-JG 5767 J. Welles Ex. 4 IRS-JG 5768 P. Welles Ex. 83 PCW 155-159 P. Welles Ex. 84 PCW 150-154 P. Welles Ex. 85 IRS-JG-6899-6901 P. Welles Ex. 86 IRS-JG-6909-6911 J. Welles Ex. 4 IRS-JG 5769 J. Welles Ex. 4 IRS-JG 5770 C. Welles Ex. 95 IRS-JG-5315-5346 CSW 135-139 CSW 140-144 DOJ-Stobie 1119-1121 DOJ-Stobie 1123-1125 J. Welles Ex. 103 JFW 715-720 J. Welles Ex. 104 JFW 75-123 J. Welles Ex. 107 JFW 260-264

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Case 1:05-cv-00748-CCM
Exhibit A
215 216 217 218

Document 65-2

Filed 02/07/2008

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STOBIE CREEK v. UNITED STATES OF AMERICA PLAINTIFF'S EXHIBIT LIST
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 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 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 P. Welles Ex. 80 PCW 144-146 C. Welles Ex. 91 CSW 123-125

219

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

230 232 240 242 243

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

244

Deutsche Bank Confirmation for JFW Investments LLC Dollar/Swiss Franc

245

Deutsche Bank Confirmation for PCW Investments LLC Dollar/Euro

246

Deutsche Bank Confirmation for PCW Investments LLC Dollar/Swiss Franc

247

Deutsche Bank Confirmation for CSW Investments LLC Dollar/Euro

Page 14

Case 1:05-cv-00748-CCM
Exhibit A
248

Document 65-2

Filed 02/07/2008

Page 15 of 17

STOBIE CREEK v. UNITED STATES OF AMERICA PLAINTIFF'S EXHIBIT LIST
Deutsche Bank Confirmation for CSW Investments LLC Dollar/Swiss Franc C. Welles Ex. 92 CSW 129-131 Jordan Ex. 59 VSJ 140-142 Jordan Ex. 60 VSJ 146-148

249

Deutsche Bank Confirmation for VJ Investments LLC Dollar/Euro

250

Deutsche Bank Confirmation for VJ Investments LLC Dollar/Swiss Franc

251

Deutsche Bank Confirmation for David Welles, Sr. 1994 Qualified Annuity David Welles 1994 Trust Dollar/Euro Floyd 2260-2262 DGWSR 249-254

252

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

DB-DOJ-Cobra 5402354025; 157443-445 DGWSR 255-260 DGWSR 267-272 DGWSR 273-275 D. Welles, Jr. Ex. 72 DGWJR 164-166 D. Welles, Jr. Ex. 73 DGWJR 170-172 Waterman Ex. 13 SLK 9946-9948

253 254 255 256 260 272 273 274 275 276 277 278 279 281 282

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
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. 7 Frankel Ex. 5

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Case 1:05-cv-00748-CCM
Exhibit A
283 284 285 286 287 288 289 291 292 293 294 295 296 297 298 299 300 301 302 303 304 305 306 307 308 309 310 311 312 313 315 316

Document 65-2

Filed 02/07/2008

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

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Case 1:05-cv-00748-CCM
Exhibit A
317 319 320 321 323 325 326 328 330 331 332 333 334 335

Document 65-2

Filed 02/07/2008

Page 17 of 17

STOBIE CREEK v. UNITED STATES OF AMERICA PLAINTIFF'S EXHIBIT LIST
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 Levich Ex. 7

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

Smith Ex. 1

Page 17