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IN THE UNITED STATES COURT OF FEDERAL CLAIMS STERLING SAVINGS ASSOCIATION, a state chartered savings association, STERLING FINANCIAL CORPORATION, a Washington corporation, Plaintiffs, v. UNITED STATES OF AMERICA, Defendant. JOINT ADMITTED EXHIBIT LIST Pursuant to the Court's Order from the bench, issued on July 13, 2007, Plaintiffs, Sterling Savings Association and Sterling Financial Corporation, and Defendant, the United States, respectfully submit the attached, joint list of exhibits admitted into evidence during the trial in this case. As directed by the Court, the list includes the following information: the exhibit number, the witness through whom the exhibit was admitted, the date of admission, any limitation upon admission (e.g., for demonstrative purposes only), and identification of the party that offered the exhibit into evidence.
No. 95-829C (Judge Thomas C. Wheeler)
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Respectfully submitted,
WITHERSPOON, KELLEY, DAVENPORT & TOOLE, P.S. By: /s/ William D. Symmes William D. Symmes Counsel of Record And Member Of the Bar of the United States Court of Federal Claims 1100 U.S. Bank Building 422 West Riverside Avenue Spokane, WA 99201-0300 Tele.: (509) 624-5265 Fax: (509) 458-2717 Attorneys for Plaintiffs July 23, 2007
MICHAEL F. HERTZ Deputy Assistant Attorney General s/ Jeanne E. Davidson JEANNE E. DAVIDSON Director s/ Kenneth M. Dintzer KENNETH M. DINTZER Assistant Director s/ Elizabeth M. Hosford ELIZABETH M. HOSFORD Trial Attorney Commercial Litigation Branch Civil Division Department of Justice Attn: Classification Unit, 8th Floor 1100 L Street, N.W. Washington, D.C. 20530 Tele: (202) 616-0332 OF COUNSEL: TAREK SAWI Senior Trial Counsel MELINDA HART ELIZABETH HOLT DELISA SANCHEZ TIMOTHY ABRAHAM WILLIAM KANELLIS Attorneys for Defendant July 23 , 2007
2
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STERLING SAVINGS V. UNITED STATES Case No. 95-829C LIST OF ADMITTED EXHIBITS As of July 18, 2007
Exhibit #
Witness
Party
Trial Date Admitted 07/03/07 07/03/07 07/03/07 07/03/07
Description
Comments
DX 23 DX 27 DX 86 DX 87 DX 117
Stipulation Stipulation Stipulation Stipulation Hamm Defendant
ANNUAL REPORT 1989, STERLING SAVINGS ANNUAL REPORT 1991, STERLING SAVINGS FHLBB THRIFT FINANCIAL REPORT OTS THRIFT FINANCIAL REPORT (AMENDED 06/25/90) THE COLLAPSE OF THE TEXAS THRIFT INDUSTRY: CAUSES OF THE PROBLEM AND IMPLICATIONS FOR REFORM FINANCIAL STATEMENTS FINANCIAL STATEMENTS FINANCIAL STATEMENTS FINANCIAL STATEMENTS 7/95-12/95 FINANCIAL STATEMENTS FINANCIAL STATEMENTS FINANCIAL STATEMENTS STERLING FINANCIAL CORPORATION CALENDAR YEAR 1998 OPERATING AND STRATEGIC PLAN Page 1 of 87
07/11/07
DX 183 DX 185 DX 186 DX 191 DX 193 DX 194 DX 196 DX 197
Gilkey Gilkey Gilkey Byrne Gilkey Gilkey Gilkey Gilkey
Plaintiff Plaintiff Defendant Plaintiff Defendant Plaintiff Defendant Defendant
06/27/07 06/27/07 06/26/07 06/29/07 06/26/07 06/27/07 06/26/07 06/26/07
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STERLING SAVINGS V. UNITED STATES Case No. 95-829C LIST OF ADMITTED EXHIBITS As of July 18, 2007
Exhibit #
Witness
Party
Trial Date Admitted 06/27/07 06/27/07 06/26/07 07/02/07 06/27/07 06/26/07 06/27/07 06/27/07 07/03/07 07/03/07
Description
Comments
DX 198 DX 202 DX 205 DX 206 DX 207 DX 208 DX 210 DX 212 DX 219 DX 228 DX 233 DX 244 DX 255 DX 258
Gilkey Gilkey Gilkey Welch Gilkey Gilkey Gilkey Gilkey Stipulation Stipulation Gilkey Harlow Byrne Byrne
Plaintiff Plaintiff Defendant Defendant Plaintiff Defendant Plaintiff Plaintiff
FINANCIAL STATEMENTS FINANCIAL STATEMENTS FINANCIAL STATEMENTS STERLING FINANCIAL CORPORATION 8.75% SUBORDINATED NOTES DUE 2000 FINANCIAL STATEMENTS FINANCIAL STATEMENTS FINANCIAL STATEMENTS FINANCIAL STATEMENTS BUSINESS PLAN-REFORECAST FOR FISCAL 1988 BUSINESS PLAN BUSINESS PLAN JOINT REGULAR EXAMINATION REPORT OF EXAMINATION, FDIC REPORT OF EXAMINATION, OTS
Defendant Defendant Plaintiff Plaintiff
06/26/07 06/27/07 06/29/07 06/29/07
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STERLING SAVINGS V. UNITED STATES Case No. 95-829C LIST OF ADMITTED EXHIBITS As of July 18, 2007
Exhibit #
Witness
Party
Trial Date Admitted 06/29/07 07/10/07 07/03/07
Description
Comments
DX 263 DX 266 DX 267 DX 269 DX 278 DX 279 DX 280 DX 282 DX 285 DX 287
Byrne Potthast Stipulation Potthast Potthast Potthast Potthast Potthast Potthast Potthast
Plaintiff Defendant
REPORT OF EXAMINATION, JOINTLY-STATE OF WASHINGTON OTS AND FDIC EXAMINATION HISTORY REPORT, STERLING SAVINGS ASSOCIATION REPORT OF EXAMINATION, JOINTLY-STATE OF WASHINGTON AND OTS REPORT OF EXAMINATION, JOINTLY-STATE OF WASHINGTON AND OTS REPORT OF EXAMINATION, OTS HOLDING COMPANY EXAMINATION REPORT OF EXAMINATION, OTS REPORT OF EXAMINATION, STATE OF WASHINGTON HOLDING COMPANY EXAMINATION REPORT OF EXAMINATION, OTS
Defendant Defendant Defendant Defendant Defendant Defendant Defendant
07/10/07 07/10/07 07/10/07 07/10/07 07/10/07 07/10/07 07/10/07
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STERLING SAVINGS V. UNITED STATES Case No. 95-829C LIST OF ADMITTED EXHIBITS As of July 18, 2007
Exhibit #
Witness
Party
Trial Date Admitted 07/02/07
Description
Comments
DX 356
Byrne
Defendant
LETTER FROM DANIEL G. BYRNE TO CAROL GAMBLE-FRIEND RE: COMPARISON OF OPERATING RESULTS, ACTUAL VS. PRO FORMA, JUNE 30, 1989 W/ATTACHED STERLING SAVINGS ASSOCIATION COMPARISON OF FOURTH QUARTER OPERATING RESULTS LETTER FROM DANIEL BYRNE TO CAROL FRIEND RE: STERLING 1990 BUSINESS PLAN W/ATTACHED EXHIBITS NOTIFICATION MEMORANDUM FROM C. NOLTE TO P. MARSHALL, C. FRIEND, E. HEDLUND, R. KARR RE: APPLICATION TO ACQUIRE BRANCH OFFICES AND TRANSFER OF SAVINGS ACCOUNTS LETTER FROM DANIEL G. BYRNE RE: FORM 10-K W/ATTACHED FORM 10-K DATED, JUNE 30, 1989 MEMORANDUM OF ORAL COMMUNICATION RE: BRANCH PURCHASE DECISION
DX 358
Byrne
Defendant
07/02/07
DX 361
Friend
Plaintiff
07/05/07
DX 371
Byrne
Defendant
07/02/07
DX 373
Hedlund
Defendant
07/11/07
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STERLING SAVINGS V. UNITED STATES Case No. 95-829C LIST OF ADMITTED EXHIBITS As of July 18, 2007
Exhibit #
Witness
Party
Trial Date Admitted 07/05/07
Description
Comments
DX 374
Friend
Defendant
LETTER FROM CAROL FRIEND TO DANIEL BYRNE RE: OCTOBER 3, 1989 LETTER ADDRESSING THE FUTURE PAYMENT OF DIVIDENDS LETTER FROM DAIN BOSWORTH TO HAROLD GILKEY RE AGREEMENT FOR PRIVATE FINANCING TRANSACTION LETTER FROM HAROLD GILKEY TO RONALD N. KARR RE: DOCKET NO. 7918 LETTER (DRAFT) FROM DANIEL BYRNE TO CAROL FRIEND RE: STERLING'S PLAN TO MEET IT'S REGULATORY CAPITAL REQUIREMENTS LETTER FROM CAROL FRIEND TO HAROLD GILKEY RE: FOLLOW-UP TO RECENT CONVERSATIONS REGARDING 10/19/89 LETTER MEMORANDUM FROM STEVE CHURCHILL TO BILL ZUPPE RE: PRESIDENT'S PROFILE OF CJ-4
DX 377
Stipulation
07/03/07
DX 379 DX 384
Stipulation Byrne Defendant
07/03/07 07/02/07
DX 388
Gilkey
Plaintiff
06/25/07
DX 389
Stipulation Byrne
Defendant
07/03/07 07/03/07
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STERLING SAVINGS V. UNITED STATES Case No. 95-829C LIST OF ADMITTED EXHIBITS As of July 18, 2007
Exhibit #
Witness
Party
Trial Date Admitted 06/26/07
Description
Comments
DX 395
Gilkey
Plaintiff
INTEROFFICE MEMORANDUM FROM WILLIAM DURBIN RE; STERLING SAVINGS DIVIDENDS W/ ATTACHED MEMORANDUMS FROM ALVIN SMUZYNKSI AND CAROL MEMORANDUM OF ORAL COMMUNICATION RE: MEETING WITH DOCHOW, CATON AND SMUZYNSKI LETTER FROM CAROL FRIEND TO STEPHEN PAGE RE: STERLING'S LENDING RELATIONSHIP WITH HOWED DEVELOPMENT COMPANY LETTER FROM CAROL FRIEND TO BOARD OF DIRECTORS RE: REPORT OF EXAMINATION W/ATTACHED OTS REPORT OF EXAMINATION DATED 11/13/1989 LETTER FROM DANIEL G. BYRNE TO CAROL FRIEND RE: CAPITAL RESTORATION PLAN W/ATTACHED CAPITAL RESTORATION PLAN DATED 2/19/1990 LETTER FROM CAROL FRIEND TO WILLIAM W. ZUPPE RE: REVIEW OF THE MAY 9, 1990 LETTER
DX 396
Hedlund
Defendant
07/11/07
DX 408
Friend
Plaintiff
07/05/07
DX 414
Friend
Plaintiff
07/05/07
DX 422
Byrne
Defendant
07/03/07
DX 432
Stipulation
07/03/07
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STERLING SAVINGS V. UNITED STATES Case No. 95-829C LIST OF ADMITTED EXHIBITS As of July 18, 2007
Exhibit #
Witness
Party
Trial Date Admitted 06/26/07
Description
Comments
DX 441
Gilkey
Defendant
LETTER FROM CAROL FRIEND TO DANIEL BYRNE WITH ATTACHMENTS RE JUNE 5, 1990 LETTER FROM OTS NOT SERVING AS A RESTRICTION MEMORANDUM OF ORAL COMMUNICATION RE: MONDAY'S MEETING MEMORANDUM OPINION AND ORDER, RE GRANTING MOTION FOR PRELIMINARY INJUNCTION AND DENYING MOTION TO DISMISS, INTER ALIA, STERLING LETTER FROM CAROL FRIEND TO DANIEL G. BYRNE RE: AUGUST 17, 1990 LETTER MEMORANDUM FROM CAROL FRIEND TO SCOTT BRADLEY RE: EXAMINATION SCOPE LETTER FROM DANIEL G. BYRNE TO CAROL FRIEND RE: RESPONSE TO LETTERS DATED SEPTEMBER 19 AND 20, 1990 LETTER FROM EDWARD J. O'MEARA TO WILLIAM D. SYMMES RE: LETTER OF OCTOBER 8, 1990
DX 452 DX 460
Hedlund Gilkey
Defendant Defendant
07/11/07 06/26/07
DX 464 DX 470 DX 477
Friend Friend Gilkey
Plaintiff Defendant Defendant
07/05/07 07/05/07 06/27/07
DX 481
Gilkey
Defendant
06/27/07
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STERLING SAVINGS V. UNITED STATES Case No. 95-829C LIST OF ADMITTED EXHIBITS As of July 18, 2007
Exhibit #
Witness
Party
Trial Date Admitted 06/27/07
Description
Comments
DX 485
Gilkey
Defendant
MEMO FROM SHERRY COLLITON TO FILE RE: OTS/FDIC/STATE EXIT CONFERENCE NOVEMBER 1, 1990 FOR COMMENCING SEPTEMBER 17, 1990 LETTER FROM CAROL FRIEND TO BOARD OF DIRECTORS RE: SEPTEMBER 17, 1990 REPORT OF EXAMINATION W/ATTACHED REPORT OF EXAMINATION MEMO FROM WAYNE ALLERT TO B. ZUPPE, S. PAGE, D. BYRNE, N. JUDD, J. VAN DIJK, G. LELAND RE: ASSET CLASSIFICATION MEETING-QUARTER-END DECEMBER 31, 1990-JANUARY 7, 1991 LETTER FROM DANIEL G. BYRNE TO ED HEDLUND RE: EXCEPTIONAL TO OPERATIONAL CONCERNS LETTER FROM JONATHAN L. FIECHTER TO DANIEL G. BYRNE RE: RESPONSE TO DECEMBER 17, 1990 LETTER FROM HAROLD GILKEY TO ED HEDLUND RE CAPITAL DISTRIBUTION
DX 496
Stipulation
07/03/07
DX 497
Byrne
Defendant
07/02/07
DX 512
Byrne
Defendant
07/02/07
DX 514
Byrne
Defendant
07/03/07
DX 518
Hedlund
Defendant
07/11/07
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STERLING SAVINGS V. UNITED STATES Case No. 95-829C LIST OF ADMITTED EXHIBITS As of July 18, 2007
Exhibit #
Witness
Party
Trial Date Admitted 07/11/07
Description
Comments
DX 520
Hedlund
Defendant
INTEROFFICE MEMORANDUM FROM ED C. HEDLUND TO MICHAEL PATRIARCA, CHARLES A. DEARDORFF, JAMES A. HENDRIKSEN RE: STERLING MEMORANDUM FROM C.A.DEARDORFF TO THE FILE RE: STERLING S&LA MEMORANDUM FROM JOHN CROSLEY TO DISTRIBUTION RE: STERLING SAVINGS ASSOCIATION MINUTES OF THE MEETING AT OTS SEATTLE ON JULY 17, 1991 MEMORANDUM FROM WAYNE ALLERT TO ROD BARNETT RE: MONTHLY UPDATE ON INTERNAL AUDIT ACTIVITIES LETTER FROM DANIEL BYRNE TO OFFICE OF THRIFT SUPERVISION RE: STERLING SAVINGS ASSOCIATION LETTER FROM DANIEL BYRNE TO ED HEDLUND RE: A DRAFT CAPITAL PLAN LETTER FROM EDWIN C. HEDLUND TO DANIEL G. BYRNE RE: STERLING SAVINGS ASSOCIATION admitted but not with respect to the handwritten note at the bottom at this time; part of P-241 Admitted with handwriting
DX 521 DX 522
Hedlund Hedlund
Defendant Defendant
07/11/07 07/11/07
DX 523
Byrne
Defendant
07/02/07
DX 525
Byrne
Defendant
07/02/07
DX 531 DX 533
Byrne Byrne
Defendant Defendant
07/02/07 07/02/07
Hedlund
Defendant
07/11/07 Page 9 of 87
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STERLING SAVINGS V. UNITED STATES Case No. 95-829C LIST OF ADMITTED EXHIBITS As of July 18, 2007
Exhibit #
Witness
Party
Trial Date Admitted 06/27/07
Description
Comments
DX 534
Gilkey
Defendant
MEMORANDUM FROM WAYNE ALLERT TO ROD BARNETT RE MONTHLY UPDATE ON INTERNAL AUDIT ACTIVITIES MEMORANDUM OF ORAL COMMUNICATION RE: OFFERING LETTER FROM EDWIN C. HEDLUND TO BOARD OF DIRECTORS RE: SEPTEMBER 16, 1991 REPORT OF EXAMINATION W/ATTACHED REPORT OF EXAMINATION LETTER FROM EDWIN C. HEDLUND TO DANIEL G. BYRNE RE: RESPONSE TO NOVEMBER 5, 1991 LETTER MEMORANDUM FROM JOHN W. POTTHAST TO ED HEDLUND RE: OFFSITE EXAM MEMORANDUM FROM JOHN POTTHAST RE: STERLING SAVINGS ASSOCIATION DOCKET NO. 7918 NO RECOMMENDED ENFORCEMENT ACTION MEMORANDUM FROM JOHN W. POTTHAST TO ED HEDLUND RE: OFFSITE EXAMINATION (TYPE 22) STERLING SAVINGS ASSOCIATION
DX 538 DX 539
Hedlund Potthast
Defendant Defendant
07/11/07 07/10/07
DX 540
Byrne
Defendant
07/02/07
DX 547 DX 550
Potthast Potthast
Defendant Defendant
07/10/07 07/10/07
DX 563
Potthast
Defendant
07/10/07
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STERLING SAVINGS V. UNITED STATES Case No. 95-829C LIST OF ADMITTED EXHIBITS As of July 18, 2007
Exhibit #
Witness
Party
Trial Date Admitted 07/02/07
Description
Comments
DX 568
Welch
Plaintiff
LETTER TO CORPORATE CAPITAL COMMITMENT COMMITTEE FROM DAVID WELCH, IKE EISENHART, WESTCOTT JONES RE STERLING FINANCIAL CONVERTIBLE PREFERRED STOCK OFFERING LETTER FROM DANIEL G. BYRNE TO ROBERT KNECKT, ERIC BERG, GEORGE MESA, DAVE SJOGREN, ED HEDLUND RE: STERLING'S APPLICATION/INFORMATION FILING H-(E)3 W/ATTACHED ACQUISITION OF THREE BRANCHES FAR WEST FEDERAL SAVINGS BANK LETTER FROM DANIEL BYRNE TO DAVID WELCH RE LETTER SENT TO ED HEDLUND REGARDING PRO FORMA CAPITAL RATIOS STERLING SAVINGS OTS NO. 7918 7-23-90 MEETING INVESTMENT COMMITTEE MEETING, JANUARY 27, 1992 MINUTES OF THE MEETING OF THE BOARD OF DIRECTORS-STERLING SAVINGS ASSOCIATION
DX 571
Stipulation
07/03/07
DX 574
Welch
Plaintiff
07/02/07
DX 659 DX 700 DX 701
Hedlund Gilkey Stipulation
Defendant Defendant
07/11/07 06/27/07 07/03/07
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STERLING SAVINGS V. UNITED STATES Case No. 95-829C LIST OF ADMITTED EXHIBITS As of July 18, 2007
Exhibit #
Witness
Party
Trial Date Admitted 06/26/07
Description
Comments
DX 704
Gilkey
Defendant
MINUTES OF THE MEETING OF THE BOARD OF DIRECTORS-STERLING SAVINGS ASSOCIATION INVESTMENT COMMITTEE MEETING, DATED JUNE 8, 1992 INVESTMENT COMMITTEE MEETING, JUNE 29, 1992 INVESTMENT COMMITTEE MEETING, JULY 7, 1992 INVESTMENT COMMITTEE MEETING, JULY 22, 1992 INVESTMENT COMMITTEE MEETING, AUGUST 10, 1992 INVESTMENT COMMITTEE MEETING, SEPTEMBER 8, 1992 ALCO MEETING, DATED SEPTEMBER 21, 1992 INVESTMENT COMMITTEE MEETING, DECEMBER 14, 1992
DX 706 DX 709 DX 710 DX 711 DX 713 DX 716 DX 718 DX 723
Stipulation Byrne Stipulation Stipulation Page Page Stipulation Gilkey Defendant Defendant Defendant Defendant
07/03/07 07/03/07 07/03/07 07/03/07 06/28/07 06/28/07 07/03/07 06/26/07
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STERLING SAVINGS V. UNITED STATES Case No. 95-829C LIST OF ADMITTED EXHIBITS As of July 18, 2007
Exhibit #
Witness
Party
Trial Date Admitted 06/26/07
Description
Comments
DX 725
Gilkey
Defendant
MINUTES OF MEETING OF BOARD OF DIRECTORS-STERLING SAVINGS ASSOCIATION MINUTES OF MEETING OF BOARD OF DIRECTORS-STERLING SAVINGS ASSOCIATION ALCO MEETING, JULY 26, 1993 INVESTMENT COMMITTEE MEETING, AUGUST 9, 1993 INVESTMENT COMMITTEE MEETING, AUGUST 16, 1993 INVESTMENT COMMITTEE MEETING, SEPTEMBER 7, 1993 INVESTMENT COMMITTEE MEETING, NOVEMBER 1, 1993 INVESTMENT COMMITTEE MEETING, FEBRUARY 7, 1994 MINUTES OF THE BOARD OF DIRECTORS-STERLING SAVINGS ASSOCIATION
DX 737
Gilkey
Defendant
06/26/07
DX 738 DX 740 DX 741 DX 743 DX 746 DX 752 DX 759
Gilkey Gilkey Byrne Byrne Stipulation Gilkey Stipulation
Defendant Defendant Defendant Defendant
06/26/07 06/26/07 07/03/07 07/03/07 07/03/07
Defendant
06/26/07 07/03/07
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STERLING SAVINGS V. UNITED STATES Case No. 95-829C LIST OF ADMITTED EXHIBITS As of July 18, 2007
Exhibit #
Witness
Party
Trial Date Admitted 06/26/07 07/03/07 06/28/07 07/03/07 07/03/07
Description
Comments
DX 762 DX 764 DX 780 DX 782 DX 799 DX 801 DX 824
Gilkey Byrne Page Stipulation Stipulation Byrne Stipulation
Defendant Defendant Defendant
INVESTMENT COMMITTEE MEETING, AUGUST 1, 1994 INVESTMENT COMMITTEE MEETING, SEPTEMBER 6, 1994 ALCO MEETING, DATED JULY 24, 1995 INVESTMENT COMMITTEE MEETING, SEPTEMBER 11, 1995 INVESTMENT COMMITTEE MEETING, JULY 8, 1996 INVESTMENT COMMITTEE MEETING, AUGUST 12, 1996 MINUTES OF THE MEETING OF THE BOARD OF DIRECTORS-STERLING SAVINGS ASSOCIATION MINUTES OF THE BOARD OF DIRECTORS-STERLING FINANCIAL CORPORATION MINUTES OF THE BOARD OF DIRECTORS-STERLING SAVINGS BANK
Defendant
07/03/07 07/03/07
DX 827
Stipulation
07/03/07
DX 839
Gilkey
Defendant
06/26/07
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STERLING SAVINGS V. UNITED STATES Case No. 95-829C LIST OF ADMITTED EXHIBITS As of July 18, 2007
Exhibit #
Witness
Party
Trial Date Admitted 07/03/07 07/03/07 07/03/07
Description
Comments
DX 856 DX 868 DX 908 DX 910 DX 913 DX 915
Stipulation Stipulation Stipulation Byrne Stipulation Hamm Defendant Defendant
MINUTES OF THE MEETING OF THE BOARD OF DIRECTORS-STERLING SAVINGS BANK MINUTES OF THE MEETING OF THE BOARD OF DIRECTORS-STERLING SAVINGS BANK OFFERING CIRCULAR FOR SERIES A STOCK OFFERING CIRCULAR SUBJECT TO COMPLETION OFFERING CIRCULAR ARTICLE FROM AMERICAN BANKER-HEADLINE: THE INCREASE IN CAPITAL STANDARDS WILL MAKE BANKING SAFER ARTICLE FROM THE AMERICAN BANKER-HEADLINE: HIGHER CAPITAL REQUIREMENT HAS TO BE APPLIED ACROSS THE BOARD SUMMARY OF RISING CAPITAL CJ-4 BUSINESS PARK 12 CFR SECTION 567 Page 15 of 87 admitted as a demonstrative exhibit
07/02/07 07/03/07 07/12/07
DX 919
Horvitz
Defendant
07/06/07
admitted for demonstrative purposes
DX 936 DX 943 DX 968
Stipulation Stipulation Byrne Hargett Defendant Defendant
07/03/07 07/03/07 07/03/07 07/10/07
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STERLING SAVINGS V. UNITED STATES Case No. 95-829C LIST OF ADMITTED EXHIBITS As of July 18, 2007
Exhibit #
Witness
Party
Trial Date Admitted 07/09/07 07/11/07
Description
Comments
DX 972 DX 998
Zuppe Hedlund
Plaintiff Defendant
SUMMONS RE: STERLING SAVINGS ASSOCIATION VS. CJ-4 ASSOCIATES STERLING SAVINGS ASSOCIATION RE: REASONS WHY NO FORMAL ENFORCEMENT ACTION HAS BEEN TAKEN STERLING SAVINGS ASSOCIATION ROADSHOW SCRIPT, AUGUST 1992 UPDATE TO THE EXPERT REPORT OF PAUL HORVITZ UPDATED EXPERT REPORT OF PROFESSOR CHRISTOPHER M. JAMES EXPERT REPORT OF W. BAREFOOT BANKHEAD UPDATED AMENDED EXPERT REPORT OF MUKESH BAJAJ, PHD SUPPLEMENTAL EXPERT REPORT OF WILLIAM G. HAMM, PHD MEMORANDUM FROM C.A. DEARDORFF TO THE FILE RE: STERLING SAVINGS OTS DOCKET #7918 MEETING WITH HAROLD GILKEY Page 16 of 87 admitted for demonstrative purposes admitted for demonstrative purposes admitted for demonstrative purposes admitted for demonstrative purposes admitted for demonstrative purposes
DX 1002 DX 1046 DX 1047 DX 1049 DX 1051 DX 1052 DX 1055
Stipulation Hamm Hamm Bankhead Bajaj Hamm Hedlund Plaintiff Plaintiff Defendant Defendant Defendant Defendant
07/03/07 07/12/07 07/12/07 07/10/07 07/13/07 07/12/07 07/11/07
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STERLING SAVINGS V. UNITED STATES Case No. 95-829C LIST OF ADMITTED EXHIBITS As of July 18, 2007
Exhibit #
Witness
Party
Trial Date Admitted 07/03/07
Description
Comments
DX 1061 DX 1065
Stipulation Horvitz Defendant
STSA DEF 14A (DEFINITIVE PROXY STATEMENT) JOURNAL OF FINANCIAL SERVICES RESEARCH, ABNORMAL RETURNS IN POSTFIRREA ACQUISITIONS OF FAILED THRIFTS MEMO FROM JOHN M. HARLOW TO WILLIAM W. ZUPPE RE: MONTHLY PROGRESS REPORT W/ATTACHMENTS MEMO FROM JOHN M. HARLOW TO HAROLD B. GILKEY RE: MONTHLY PROGRESS REPORT STERLING SAVINGS LETTER FROM DANIEL G. BYRNE TO CAROL FRIEND (OTS) RE: SUMMARY OF RECENT CONVERSATIONS CONCERNING WEEKLY REPORTS IN LIGHT OF TEMPORARY RESTRAINING ORDER W/ MARGINALIA STERLING SAVINGS LETTER FROM DANIEL G. BYRNE TO CAROL FRIEND (OTS) RE: RESPONSE TO JUNE 25, 1990 LETTER CONCERNING REQUEST FOR ADDITIONAL INFORMATION FOR MAY 29 THROUGH JUNE 15, 1990 REPORT admitted for demonstrative purposes
07/06/07
DX 1068
Harlow
Defendant
06/27/07
DX 1069 DX 1077
Harlow Friend
Defendant Defendant
06/27/07 07/05/07
DX 1078
Friend
Defendant
07/05/07
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STERLING SAVINGS V. UNITED STATES Case No. 95-829C LIST OF ADMITTED EXHIBITS As of July 18, 2007
Exhibit #
Witness
Party
Trial Date Admitted 07/05/07
Description
Comments
DX 1080
Friend
Defendant
FRIEND DEMONSTRATIVE - HANDWRITTEN CALCULATION: STERLING'S GOODWILL FALLS SHORT OF CAPITAL REQUIREMENTS COMPARISON OF DR. HORVITZ'S BUT-FOR BANK FORM 10-K, BANK UNITED CORP. CHART BY BAJAJ BANKHEAD DEMONSTRATIVE CONTRACTUAL INTANGIBLES AS OF DECEMBER 31, 1989 BANKHEAD DEMONSTRATIVE - BUT-FOR CORE CAPITAL AS OF DECEMBER 31, 1989 BANKHEAD DEMONSTRATIVE - CENTRAL EVERGREEN DECISION HAS LITTLE EFFECT UPON DR. HORVITZ'S CALCULATION OF BUT-FOR CAPITAL BANKHEAD DEMONSTRATIVE COMPONENTS OF STERLING'S SUPERVISORY GOODWILL AS OF DECEMBER 31, 1989
admitted as a demonstrative exhibit
DX 1081 DX 1082 DX 1084 DX 2000
Horvitz Horvitz Bajaj Bankhead
Defendant Defendant Defendant Defendant
07/06/07 07/06/07 07/12/07 07/10/07
admitted for demonstrative purposes
admitted for demonstrative purposes admitted for demonstrative purposes
DX 2001 DX 2002
Bankhead Bankhead
Defendant Defendant
07/10/07 07/10/07
admitted for demonstrative purposes admitted for demonstrative purposes
DX 2003
Bankhead
Defendant
07/10/07
admitted for demonstrative purposes
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STERLING SAVINGS V. UNITED STATES Case No. 95-829C LIST OF ADMITTED EXHIBITS As of July 18, 2007
Exhibit #
Witness
Party
Trial Date Admitted 07/10/07
Description
Comments
DX 2004A DX 2005 DX 2006 DX 2007 DX 2008 DX 2009
Bankhead
Defendant
BANKHEAD DEMONSTRATIVE - GAAP VS. RAP ACCOUNTING FOR ASSISTED AND NON-ASSISTED ACQUISITIONS BANKHEAD DEMONSTRATIVE - SUMMARY OF OPINIONS BANKHEAD DEMONSTRATIVE -SUMMARY OF OPINIONS BANKHEAD DEMONSTRATIVE - DEFINITION OF SUPERVISORY GOODWILL BANKHEAD DEMONSTRATIVE - PHASE-OUT OF QUALIFYING SUPERVISORY GOODWILL BANKHEAD DEMONSTRATIVE - BUT-FOR STERLING'S SUPERVISORY GOODWILL AS OF DECEMBER 31, 1989 BANKHEAD DEMONSTRATIVE - DR. HORVITZ'S CALCULATION OF BUT-FOR STERLING'S CORE CAPITAL AS OF DECEMBER 31, 1989
admitted for demonstrative purposes
Bankhead Bankhead Bankhead Bankhead Bankhead
Defendant Defendant Defendant Defendant Defendant
07/10/07 07/10/07 07/10/07 07/10/07 07/10/07
admitted for demonstrative purposes admitted for demonstrative purposes admitted for demonstrative purposes admitted for demonstrative purposes admitted for demonstrative purposes
DX 2010
Bankhead
Defendant
07/10/07
admitted for demonstrative purposes
Page 19 of 87
Case 1:95-cv-00829-TCW
Document 280
Filed 07/23/2007
Page 22 of 90
STERLING SAVINGS V. UNITED STATES Case No. 95-829C LIST OF ADMITTED EXHIBITS As of July 18, 2007
Exhibit #
Witness
Party
Trial Date Admitted 07/10/07
Description
Comments
DX 2011
Bankhead
Defendant
BANKHEAD DEMONSTRATIVE - TOTAL SUPERVISORY GOODWILL DR. HORVITZ INCLUDED IN BUT-FOR STERLING'S CORE CAPITAL CALCULATION BANKHEAD DEMONSTRATIVE - ADJUSTED CALCULATION OF BUT-FOR STERLING'S CORE CAPITAL AS OF DECEMBER 31, 1989 BANKHEAD DEMONSTRATIVE - EXAMPLE ILLUSTRATING IMPLAUSIBILITY OF DR. HORVITZ'S AND MR. SCHOTT'S CORE CAPITAL CALCULATIONS BANKHEAD DEMONSTRATIVE ALTERNATIVE CALCULATION OF BUT-FOR STERLING'S CORE CAPITAL AS OF DECEMBER 31, 1989 BANKHEAD DEMONSTRATIVE - ASSISTED ACQUISITION - RAP ACCOUNTING - (2) HARGETT DEMONSTRATIVE - ISSUES WITH THE LOAN TO CJ-4 ASSOCIATES HARGETT DEMONSTRATIVE - THE CJ-4 LOAN WAS A PROBLEM LOAN AT THE TIME THE NEW CAPITAL STANDARDS WERE ENACTED Page 20 of 87
admitted for demonstrative purposes
DX 2012
Bankhead
Defendant
07/10/07
admitted for demonstrative purposes
DX 2013
Bankhead
Defendant
07/10/07
admitted for demonstrative purposes
DX 2014
Bankhead
Defendant
07/10/07
admitted for demonstrative purposes
DX 2015A DX 2501 DX 2502
Bankhead Hargett Hargett
Defendant Defendant Defendant
07/10/07 07/10/07 07/10/07
admitted for demonstrative purposes admitted for demonstrative purposes admitted for demonstrative purposes
Case 1:95-cv-00829-TCW
Document 280
Filed 07/23/2007
Page 23 of 90
STERLING SAVINGS V. UNITED STATES Case No. 95-829C LIST OF ADMITTED EXHIBITS As of July 18, 2007
Exhibit #
Witness
Party
Trial Date Admitted 07/10/07
Description
Comments
DX 2503
Hargett
Defendant
HARGETT DEMONSTRATIVE - FORECLOSURE WAS ALREADY PLANNED PRIOR TO THE EFFECTIVE DATE OF THE NEW CAPITAL STANDARDS HARGETT DEMONSTRATIVE - THE VALUE OF THE COLLATERAL SECURITIZING THE LOAN WAS DECLINING HARGETT DEMONSTRATIVE - OPINIONS OF JOE A. HARGETT REGARDING THE REGULATORY TREATMENT OF STERLING'S GOODWILL HARGETT DEMONSTRATIVE - EXAMPLE OF WHY DR. HORVITZ'S METHODOLOGY IS ILLOGICAL AND INAPPROPRIATE HAMM CV HAMM DEMONSTRATIVE - DR. HORVITZ'S ESTIMATE OF EXPECTANCY DAMAGES IS FATALLY FLAWED HAMM DEMONSTRATIVE - IMPLIED VALUE OF STERLING'S GOODWILL
admitted for demonstrative purposes
DX 2504
Hargett
Defendant
07/10/07
admitted for demonstrative purposes
DX 2505
Hargett
Defendant
07/10/07
admitted for demonstrative purposes
DX 2506
Hargett
Defendant
07/10/07
admitted for demonstrative purposes
DX 3000 DX 3001
Hamm Hamm
Defendant Defendant
07/11/07 07/11/07
admitted for demonstrative purposes admitted for demonstrative purposes
DX 3003
Hamm
Defendant
07/11/07
admitted for demonstrative purposes
Page 21 of 87
Case 1:95-cv-00829-TCW
Document 280
Filed 07/23/2007
Page 24 of 90
STERLING SAVINGS V. UNITED STATES Case No. 95-829C LIST OF ADMITTED EXHIBITS As of July 18, 2007
Exhibit #
Witness
Party
Trial Date Admitted 07/11/07 07/11/07
Description
Comments
DX 3005 DX 3006
Hamm Hamm
Defendant Defendant
HAMM DEMONSTRATIVE - A THRIFT'S RISK EXPOSURE HAMM DEMONSTRATIVE - IN THE BT-FOR WORLD, STERLING'S APPETITE FOR RISK WOULD HAVE BEEN MORE LIKELY TO GO DOWN, NOT UP HAMM DEMONSTRATIVE - DR. HORVITZ'S LOST PROFITS MODEL IS COMPLETELY SPECULATIVE HAMM DEMONSTRATIVE - A THRIFT'S INSTITUTION'S REAL-WORLD COMPETITION HAMM DEMONSTRATIVE - FINANCIAL CONSEQUENCES WHEN A THRIFT TRIES TO INCREASE ITS SHARE OF THE RETAIL DEPOSIT MARKET HAMM DEMONSTRATIVE - INCREMENTAL COST OF NEW MONEY HAMM DEMONSTRATIVE - MARKET COMPETITION LIMITS THRIFT GROWTH HAMM DEMONSTRATIVE - COMPOSITION OF STERLING'S INTEREST-BEARING LIABILITIES
admitted for demonstrative purposes admitted for demonstrative purposes
DX 3007
Hamm
Defendant
07/11/07
admitted for demonstrative purposes
DX 3008 DX 3009
Hamm Hamm
Defendant Defendant
07/11/07 07/11/07
admitted for demonstrative purposes admitted for demonstrative purposes
DX 3010 DX 3011 DX 3012
Hamm Hamm Hamm
Defendant Defendant Defendant
07/11/07 07/11/07 07/11/07
admitted for demonstrative purposes admitted for demonstrative purposes admitted for demonstrative purposes
Page 22 of 87
Case 1:95-cv-00829-TCW
Document 280
Filed 07/23/2007
Page 25 of 90
STERLING SAVINGS V. UNITED STATES Case No. 95-829C LIST OF ADMITTED EXHIBITS As of July 18, 2007
Exhibit #
Witness
Party
Trial Date Admitted 07/11/07 07/11/07
Description
Comments
DX 3013 DX 3014
Hamm Hamm
Defendant Defendant
HAMM DEMONSTRATIVE - COMPOSITION OF STERLING'S INTEREST-BEARING ASSETS HAMM DEMONSTRATIVE - HOW A THRIFT'S COMPETITORS BECOME AWARE OF ITS EFFORTS TO TAKE THEIR PROFITABLE CUSTOMERS HAMM DEMONSTRATIVE - REQUIREMENTS FOR A SUCCESSFUL ACQUISITION HAMM DEMONSTRATIVE - REAL-WORLD STERLING'S TANGIBLE NET WORTH POSITION ON JUNE 30, 1989 (BEFORE FIRREA) HAMM DEMONSTRATIVE - BUT-FOR STERLING'S TANGIBLE NET WORTH POSITION ON DECEMBER 31, 1989 (PER DR. HORVITZ) HAMM DEMONSTRATIVE - HOW REAL-MONEY CAPITAL HELPS THRIFTS GENERATE INCOME HAMM DEMONSTRATIVE - DR. HORVITZ'S FOREGONE ASSETS VS. REAL-WORLD STERLING'S VOLUNTARILY FOREGONE ASSETS Page 23 of 87
admitted for demonstrative purposes admitted for demonstrative purposes
DX 3015 DX 3016
Hamm Hamm
Defendant Defendant
07/12/07 07/12/07
admitted for demonstrative purposes admitted for demonstrative purposes
DX 3017
Hamm
Defendant
07/12/07
admitted for demonstrative purposes
DX 3018
Hamm
Defendant
07/12/07
admitted for demonstrative purposes
DX 3019
Hamm
Defendant
07/12/07
admitted for demonstrative purposes
Case 1:95-cv-00829-TCW
Document 280
Filed 07/23/2007
Page 26 of 90
STERLING SAVINGS V. UNITED STATES Case No. 95-829C LIST OF ADMITTED EXHIBITS As of July 18, 2007
Exhibit #
Witness
Party
Trial Date Admitted 07/12/07 07/12/07 07/12/07 07/13/07
Description
Comments
DX 3022 DX 3023 DX 3500 DX 3501
Hamm Hamm Bajaj Bajaj
Defendant Defendant Defendant Defendant
HAMM DEMONSTRATIVE - STERLING'S G&A RATIO VS. AVERAGE ASSETS HAMM DEMONSTRATIVE - STERLING'S TANGIBLE NET WORTH (1984 - 1990) BAJAJ DEMONSTRATIVE - SUMMARY OF DR. BAJAJ'S OPINIONS BAJAJ DEMONSTRATIVE - NO CREDIBLE EVIDENCE OF LOST PROFITS PRIOR TO NOVEMBER 1991 BAJAJ DEMONSTRATIVE - STERLING'S TOTAL ASSETS V. INCOME 1989 TO 1992 BAJAJ DEMONSTRATIVE - MARKET DATA SHOWS MANY THRIFTS RAISED CAPITAL IN THE POST-FIRREA PERIOD BAJAJ DEMONSTRATIVE - "THIRTY-SEVEN" THRIFTS BEGAN PUBLICLY TRADING BETWEEN SEPT 1989 AND NOV 1991 BAJAJ DEMONSTRATIVE - "FIFTEEN" MUTUAL-TO-STOCK IPOS OCCURED DURING 1989 THROUGH 1991 Page 24 of 87
admitted for demonstrative purposes admitted for demonstrative purposes admitted for demonstrative purposes admitted for demonstrative purposes
DX 3502 DX 3503
Bajaj Bajaj
Defendant Defendant
07/13/07 07/13/07
admitted for demonstrative purposes admitted for demonstrative purposes
DX 3504
Bajaj
Defendant
07/13/07
admitted for demonstrative purposes
DX 3505
Bajaj
Defendant
07/13/07
admitted for demonstrative purposes
Case 1:95-cv-00829-TCW
Document 280
Filed 07/23/2007
Page 27 of 90
STERLING SAVINGS V. UNITED STATES Case No. 95-829C LIST OF ADMITTED EXHIBITS As of July 18, 2007
Exhibit #
Witness
Party
Trial Date Admitted 07/13/07
Description
Comments
DX 3506
Bajaj
Defendant
BAJAJ DEMONSTRATIVE - "FIFTY-NINE" CAPITAL RAISING EVENTS OCCURRED NATIONWIDE FROM 1990 THROUGH Q3 1991 BAJAJ DEMONSTRATIVE - DR. HORVITZ'S EXPECTANCY DAMAGES CLAIM IS COUNTERFACTUAL AND FATALLY FLAWED BAJAJ DEMONSTRATIVE - STERLING OBTAINED $23 MILLION OF ADDITIONAL REGULATORY CAPITAL IN NOVEMBER 1991 BAJAJ DEMONSTRATIVE - STERLING EXCEEDED ALL THREE FIRREA CAPITAL REQUIREMENTS AS OF DECEMBER 31, 1991 BAJAJ DEMONSTRATIVE - STERLING'S BUSINESS PLANS INDICATED THAT IT HAD SUFFICIENT ACCESS TO CAPITAL TO GROW BAJAJ DEMONSTRATIVE - STERLING HAD ACCESS TO ADDITIONAL CAPITAL WHEN PROFITABLE OPPORTUNITIES WERE IDENTIFIED
admitted for demonstrative purposes
DX 3507
Bajaj
Defendant
07/13/07
admitted for demonstrative purposes
DX 3508
Bajaj
Defendant
07/13/07
admitted for demonstrative purposes
DX 3509
Bajaj
Defendant
07/13/07
admitted for demonstrative purposes
DX 3511
Bajaj
Defendant
07/13/07
admitted for demonstrative purposes
DX 3512
Bajaj
Defendant
07/13/07
admitted for demonstrative purposes
Page 25 of 87
Case 1:95-cv-00829-TCW
Document 280
Filed 07/23/2007
Page 28 of 90
STERLING SAVINGS V. UNITED STATES Case No. 95-829C LIST OF ADMITTED EXHIBITS As of July 18, 2007
Exhibit #
Witness
Party
Trial Date Admitted 07/13/07
Description
Comments
DX 3513
Bajaj
Defendant
BAJAJ DEMONSTRATIVE - STERLING REPORTED THAT IT HAD RAISED THE CAPITAL TO MEET REGULATORY CAPITAL REQUIREMENTS BAJAJ DEMONSTRATIVE - STERLING RAISED CAPITAL VIRTUALLY EACH YEAR FROM 1992 TO 2006 BAJAJ DEMONSTRATIVE - STERLING RAISED OVER $515 MILLION IN CAPITAL FROM 1992 TO 2006 BAJAJ DEMONSTRATIVE - STERLING HELD EXCESS CAPITAL EACH YEAR AFTER DECEMBER 1991 (TANGIBLE CAPITAL) BAJAJ DEMONSTRATIVE - STERLING HELD EXCESS CAPITAL EACH YEAR AFTER DECEMBER 1991 (CORE CAPITAL) BAJAJ DEMONSTRATIVE - STERLING HELD EXCESS CAPITAL EACH YEAR AFTER DECEMBER 1991 (RISK-BASED CAPITAL) BAJAJ DEMONSTRATIVE - COMPONENETS OF DR. HORVITZ'S DAMAGES MODEL Page 26 of 87
admitted for demonstrative purposes
DX 3514
Bajaj
Defendant
07/13/07
admitted for demonstrative purposes
DX 3515
Bajaj
Defendant
07/13/07
admitted for demonstrative purposes
DX 3516
Bajaj
Defendant
07/13/07
admitted for demonstrative purposes
DX 3517
Bajaj
Defendant
07/13/07
admitted for demonstrative purposes
DX 3518
Bajaj
Defendant
07/13/07
admitted for demonstrative purposes
DX 3519
Bajaj
Defendant
07/13/07
admitted for demonstrative purposes
Case 1:95-cv-00829-TCW
Document 280
Filed 07/23/2007
Page 29 of 90
STERLING SAVINGS V. UNITED STATES Case No. 95-829C LIST OF ADMITTED EXHIBITS As of July 18, 2007
Exhibit #
Witness
Party
Trial Date Admitted 07/13/07
Description
Comments
DX 3520
Bajaj
Defendant
BAJAJ DEMONSTRATIVE - DR. HORVITZ'S LOST PROFITS MODEL IS SPECULATIVE AND FATALLY FLAWED BAJAJ DEMONSTRATIVE - WRONGLY ASSUMES THAT STERLING COULD ALWAYS FIND ADDITIONAL "SUITABLE" INVESTMENTS BAJAJ DEMONSTRATIVE - INTEREST RATES DROPPED BAJAJ DEMONSTRATIVE - MORTGAGE INTEREST RATES DROPPED BAJAJ DEMONSTRATIVE - STERLING ORIGINATED PRIMARILY FIXED RATE LOANS BAJAJ DEMONSTRATIVE - STERLING SOLD THE LOANS IT ORIGINATED BAJAJ DEMONSTRATIVE - STERLING'S POLICY WAS NOT TO HOLD FIXED RATE LOANS BAJAJ DEMONSTRATIVE - STERLING'S RECORDS INDICATE DIFFICULTY FINDING SUFFICIENT ASSETS IN 1992 Page 27 of 87
admitted for demonstrative purposes
DX 3521
Bajaj
Defendant
07/13/07
DX 3522 DX 3523 DX 3525 DX 3526 DX 3527
Bajaj Bajaj Bajaj Bajaj Bajaj
Defendant Defendant Defendant Defendant Defendant
07/13/07 07/13/07 07/13/07 07/13/07 07/13/07
admitted for demonstrative purposes admitted for demonstrative purposes admitted for demonstrative purposes admitted for demonstrative purposes admitted for demonstrative purposes
DX 3528
Bajaj
Defendant
07/13/07
admitted for demonstrative purposes
Case 1:95-cv-00829-TCW
Document 280
Filed 07/23/2007
Page 30 of 90
STERLING SAVINGS V. UNITED STATES Case No. 95-829C LIST OF ADMITTED EXHIBITS As of July 18, 2007
Exhibit #
Witness
Party
Trial Date Admitted 07/13/07
Description
Comments
DX 3530
Bajaj
Defendant
BAJAJ DEMONSTRATIVE - REGULATORS EXPRESSED CONCERNS OVER STERLING'S INTEREST RATE RISK (IRR) BAJAJ DEMONSTRATIVE - STERLING MANAGEMENT EXPRESSED CONCERN ABOUT IRR EXPOSURE BAJAJ DEMONSTRATIVE - DR. HORVITZ CANNOT DETERMINE WHETHER THE "BUT-FOR" STERLING WOULD MEET THE "WELL CAPITALIZED" RISK-BASED CAPITAL STANDARD BAJAJ DEMONSTRATIVE - DR. HORVITZ'S PROFITABILITY ASSUMPTIONS ARE SPECULATIVE AND UNSUPPORTABLE BAJAJ DEMONSTRATIVE - BREALEY & MYERS: PAST RETURNS DO NOT GUARANTEE FUTURE RETURNS BAJAJ DEMONSTRATIVE - STERLING'S BOARD MINUTES DISCUSS THE BANK'S TROUBLE GROWING DEPOSITS
admitted for demonstrative purposes
DX 3531
Bajaj
Defendant
07/13/07
admitted for demonstrative purposes
DX 3532
Bajaj
Defendant
07/13/07
admitted for demonstrative purposes
DX 3533
Bajaj
Defendant
07/13/07
admitted for demonstrative purposes
DX 3534
Bajaj
Defendant
07/13/07
admitted for demonstrative purposes
DX 3535
Bajaj
Defendant
07/13/07
admitted for demonstrative purposes
Page 28 of 87
Case 1:95-cv-00829-TCW
Document 280
Filed 07/23/2007
Page 31 of 90
STERLING SAVINGS V. UNITED STATES Case No. 95-829C LIST OF ADMITTED EXHIBITS As of July 18, 2007
Exhibit #
Witness
Party
Trial Date Admitted 07/13/07
Description
Comments
DX 3536
Bajaj
Defendant
BAJAJ DEMONSTRATIVE - REGULATORS NOTED STERLING'S INABILITY TO GROW DEPOSITS BAJAJ DEMONSTRATIVE - REGULATORS EXPRESSED CONCERNS OVER STERLING'S RELIANCE ON WHOLESALE FUNDING BAJAJ DEMONSTRATIVE - COMPONENTS OF STERLING'S "OTHER INCOME" CATEGORY BAJAJ DEMONSTRATIVE - STERLING'S INCOME WAS HEAVILY DEPENDENT ON "OTHER INCOME" BAJAJ DEMONSTRATIVE - "OTHER INCOME" FROM MORTGAGE BANKING INCREASED WHILE TOTAL ASSETS DECREASED BAJAJ DEMONSTRATIVE - MR. GILKEY TESTIFIED THAT STERLING CHANGED ITS STRATEGY FOLLOWING FIRREA BAJAJ DEMONSTRATIVE - STERLING'S 10-K INDICATED A NEW EMPHASIS ON RESIDENTIAL LENDING/LOAN SALES
admitted for demonstrative purposes
DX 3537
Bajaj
Defendant
07/13/07
admitted for demonstrative purposes
DX 3538 DX 3539
Bajaj Bajaj
Defendant Defendant
07/13/07 07/13/07
admitted for demonstrative purposes admitted for demonstrative purposes
DX 3540
Bajaj
Defendant
07/13/07
admitted for demonstrative purposes
DX 3542
Bajaj
Defendant
07/13/07
admitted for demonstrative purposes
DX 3543
Bajaj
Defendant
07/13/07
admitted for demonstrative purposes
Page 29 of 87
Case 1:95-cv-00829-TCW
Document 280
Filed 07/23/2007
Page 32 of 90
STERLING SAVINGS V. UNITED STATES Case No. 95-829C LIST OF ADMITTED EXHIBITS As of July 18, 2007
Exhibit #
Witness
Party
Trial Date Admitted 07/13/07
Description
Comments
DX 3544
Bajaj
Defendant
BAJAJ DEMONSTRATIVE - STERLING AVOIDED POTENTIAL PROBLEM LOANS BY SHRINKING ITS ASSET BASE BAJAJ DEMONSTRATIVE - EFFECT OF ELIMINATION CLAIMED WOUNDED BANK DAMAGES FROM DR. HORVITZ'S LOST PROFITS MODEL BAJAJ DEMONSTRATIVE - COMPONENTS OF DR. JAMES'S MITIGATION DAMAGES MODEL BAJAJ DEMONSTRATIVE - STERLING'S DAMAGES CLAIM IS NOT ECONOMICALLY REASONABLE BAJAJ DEMONSTRATIVE - #3 - TRANSACTION COSTS ARE THE APPROPRIATE MEASURE OF THE COST OF RAISING CAPITAL BAJAJ DEMONSTRATIVE - #4 - THE BENEFITS OF PERMANENT CAPITAL CONTINUE TO ACCRUE TO STERLING BAJAJ DEMONSTRATIVE - DR. JAMES IGNORES THE CONTINUING BENEFIT OF PERMANENT CAPITAL Page 30 of 87
admitted for demonstrative purposes
DX 3546
Bajaj
Defendant
07/13/07
admitted for demonstrative purposes
DX 3547 DX 3548
Bajaj Bajaj
Defendant Defendant
07/12/07 07/12/07
admitted for demonstrative purposes admitted for demonstrative purposes
DX 3551
Bajaj
Defendant
07/12/07
admitted for demonstrative purposes
DX 3555
Bajaj
Defendant
07/12/07
admitted for demonstrative purposes
DX 3556
Bajaj
Defendant
07/12/07
admitted for demonstrative purposes
Case 1:95-cv-00829-TCW
Document 280
Filed 07/23/2007
Page 33 of 90
STERLING SAVINGS V. UNITED STATES Case No. 95-829C LIST OF ADMITTED EXHIBITS As of July 18, 2007
Exhibit #
Witness
Party
Trial Date Admitted 07/12/07
Description
Comments
DX 3557
Bajaj
Defendant
BAJAJ DEMONSTRATIVE - ESTIMATE OF THE CONTINUING BENEFIT USING HORVITZ/JAMES LOST PROFITS METHODOLOGY BAJAJ DEMONSTRATIVE - DR. JAMES'S MITIGATION DAMAGES MODEL IS FLAWED BAJAJ DEMONSTRATIVE - DR. JAMES'S LOST PROFITS MODEL IS FLAWED AND SPECULATIVE BAJAJ DEMONSTRATIVE - DR. JAMES'S LOST PROFITS MODEL DUPLICATES ERRORS MADE BY DR. HORVITZ BAJAJ DEMONSTRATIVE - REDUCING STERLING'S 6/30/92 LEVERAGE RATIO FROM 5.5% TO 5.0% INFLATES LOST PROFITS BAJAJ DEMONSTRATIVE - REDUCING STERLING'S LEVERAGE RATIO FROM ACTUAL 5.71% TO 5.0% UNDERMINES LOST PROFITS CLAIM
admitted for demonstrative purposes
DX 3559 DX 3560
Bajaj Bajaj
Defendant Defendant
07/12/07 07/13/07
admitted for demonstrative purposes admitted for demonstrative purposes
DX 3561
Bajaj
Defendant
07/13/07
admitted for demonstrative purposes
DX 3562
Bajaj
Defendant
07/13/07
admitted for demonstrative purposes
DX 3563
Bajaj
Defendant
07/13/07
admitted for demonstrative purposes
Page 31 of 87
Case 1:95-cv-00829-TCW
Document 280
Filed 07/23/2007
Page 34 of 90
STERLING SAVINGS V. UNITED STATES Case No. 95-829C LIST OF ADMITTED EXHIBITS As of July 18, 2007
Exhibit #
Witness
Party
Trial Date Admitted 07/13/07
Description
Comments
DX 3564
Bajaj
Defendant
BAJAJ DEMONSTRATIVE - FAILS TO REDUCE LOST PROFITS BY PERCENTAGE OF LOST CONTRACTUAL CAPITAL REPLACED IN 1991 BAJAJ DEMONSTRATIVE - DR. JAMES'S ADJUSTMENTS TO THE 1991 "NET" OFFERING PROCEEDS BAJAJ DEMONSTRATIVE - INCLUSION OF $5.678 MILLION TO REPLACE CENTRAL EVERGREEN INTANGIBLES INFLATES CORE CAPITAL & LOST PROFITS BAJAJ DEMONSTRATIVE - ADJUSTMENTS TO DR. JAMES LOST PROFITS ESTIMATES (IN $ MILLIONS) BAJAJ DEMONSTRATIVE - COMPARISON OF DR. JAMES'S REPLICATING PREFERRED STOCK DIVIDEND MODELS BAJAJ DEMONSTRATIVE - DR. JAMES'S NEW "ACTUAL" COST OF REPLACEMENT MODEL IS THE SAME FLAWED MODEL WITH NEW INPUTS
admitted for demonstrative purposes
DX 3565
Bajaj
Defendant
07/13/07
admitted for demonstrative purposes
DX 3566
Bajaj
Defendant
07/13/07
admitted for demonstrative purposes
DX 3567
Bajaj
Defendant
07/13/07
admitted for demonstrative purposes
DX 3568
Bajaj
Defendant
07/12/07
admitted for demonstrative purposes
DX 3569
Bajaj
Defendant
07/12/07
admitted for demonstrative purposes
Page 32 of 87
Case 1:95-cv-00829-TCW
Document 280
Filed 07/23/2007
Page 35 of 90
STERLING SAVINGS V. UNITED STATES Case No. 95-829C LIST OF ADMITTED EXHIBITS As of July 18, 2007
Exhibit #
Witness
Party
Trial Date Admitted 07/12/07
Description
Comments
DX 3573
Bajaj
Defendant
BAJAJ DEMONSTRATIVE - DR. JAMES MISSTATES THE AMOUNT OF MITIGATION CAPITAL BAJAJ DEMONSTRATIVE - FLAWS IN DR. JAMES'S FUTURE DAMAGE MODEL BAJAJ DEMONSTRATIVE - SUMMARY OF DR. BAJAJ'S OPINIONS REGARDING STERLING'S "WOUNDED BANK" DAMAGES CLAIMS 7/22/85 - INTEROFFICE MEMO TO HILTON HEWITT FROM KATHI DANDO RE LIQUIDATION ANALYSIS FOR LEWIS FEDERAL 8/14/85 - RE: MERGER OF LEWIS FEDERAL WITH STERLING TO HAROLD B. GILKEY FROM JAMES R. FAULSTICH 10/8/85 - EXECUTIVE SUMMARY TO FHLBB FROM JAMES R. FAULSTICH 10/23/85 - S MEMORANDUM TO FHLBB FROM JAMES R. FAULSTICH
admitted for demonstrative purposes
DX 3575 DX 3577
Bajaj Bajaj
Defendant Defendant
07/12/07 07/13/07
admitted for demonstrative purposes admitted for demonstrative purposes
P-1
Gilkey
Plaintiff
06/25/07
P-3
Gilkey
Plaintiff
06/25/07
admitted, excluding marginalia
P-5 P-6
Faulstich Faulstich
Plaintiff Plaintiff
06/26/07 06/26/07
Page 33 of 87
Case 1:95-cv-00829-TCW
Document 280
Filed 07/23/2007
Page 36 of 90
STERLING SAVINGS V. UNITED STATES Case No. 95-829C LIST OF ADMITTED EXHIBITS As of July 18, 2007
Exhibit #
Witness
Party
Trial Date Admitted 06/26/07 06/26/07 06/25/07 06/25/07 06/25/07
Description
Comments
P-7 P-8 P-18 P-19 P-20
Faulstich Faulstich Gilkey Gilkey Gilkey
Plaintiff Plaintiff Plaintiff Plaintiff Plaintiff
10/23/85 - A MEMORANDUM TO FHLBB FROM JAMES R. FAULSTICH 10/23/85 - ISSUES MEMORANDUM TO FHLBB FROM JAMES R. FAULSTICH 11/5/85 - ACQUISITION AGREEMENT 11/5/85 - ACQUISITION AGREEMENT 11/12/85 - LETTER RE PURCHASE OF ALL ASSETS TO HAROLD B. GILKEY FROM JEFF SCONYERS 3/31/88 - S MEMORANDUM TO JOHN BUCKLEY, JR. FROM JAMES R. FAULSTICH 4/6/88 - ISSUE MEMORANDUM TO FHLBB FROM JAMES R. FAULSTICH 4/6/88 - FORBEARANCE LETTER RE TRI-CITIES TO STERLING BOARD OF DIRECTORS FROM FHLBB 4/8/88 - ACQUISITION AGREEMENT admitted, but Court notes that it appears to be incomplete - found document to be complete
P-24 P-27 P-28
Faulstich Faulstich Gilkey
Plaintiff Plaintiff Plainitff
06/26/07 06/26/07 06/25/07
P-37
Gilkey
Plaintiff
06/25/07
Page 34 of 87
Case 1:95-cv-00829-TCW
Document 280
Filed 07/23/2007
Page 37 of 90
STERLING SAVINGS V. UNITED STATES Case No. 95-829C LIST OF ADMITTED EXHIBITS As of July 18, 2007
Exhibit #
Witness
Party
Trial Date Admitted 06/25/07
Description
Comments
P-38
Gilkey
Plaintiff
4/8/88 - ACQUISITION AGREEMENT
admitted, except for handwritten marginalia; foundation laid and admitted including handwritten marginalia
P-40
Gilkey
Plaintiff
06/25/07
5/20/88 - MEMORANDUM FROM BRUCE I. HICKOK TO KEITH V. THOMAS RE: MACRO/EXECUTIVE SUMMARY 8/15/88 - FISCAL 1989 BUSINESS PLAN UPDATE 11/7/88 - MEMORANDUM FROM JAMES FAULSTICH FROM JULIE WILLIAMS RE: APPLICATION FOR VOLUNTARY SUPERVISORY CONVERSION AND MERGER OF CENTRAL EVERGREEN 10/26/83 - FORM 10 FROM STERLING SAVINGS ASSOCIATION 00/00/83 - 1983 ANNUAL REPORT FROM STERLING SAVINGS ASSOCIATION 6/30/084 - FORM 10-K FROM STERLING SAVINGS ASSOCIATION
P-44 P-45
Gilkey Faulstich
Plaintiff Plaintiff
06/25/07 06/26/07
P-65 P-66 P-67
Stipulation Stipulation Stipulation
07/03/07 07/03/07 07/03/07
Page 35 of 87
Case 1:95-cv-00829-TCW
Document 280
Filed 07/23/2007
Page 38 of 90
STERLING SAVINGS V. UNITED STATES Case No. 95-829C LIST OF ADMITTED EXHIBITS As of July 18, 2007
Exhibit #
Witness
Party
Trial Date Admitted 07/03/07 07/03/07 07/03/07 07/03/07 07/03/07 07/03/07 07/03/07
Description
Comments
P-68 P-69 P-70 P-71 P-72 P-73 P-74
Stipulation Stipulation Stipulation Stipulation Stipulation Stipulation Stipulation
11/11/84 - 1984 ANNUAL REPORT FROM STERLING SAVINGS ASSOCIATION 6/30/85 - FORM 10-K FROM STERLING SAVINGS ASSOCIATION 00/00/85 - 1985 ANNUAL REPORT FROM STERLING SAVINGS ASSOCIATION 6/30/86 - FORM 10-K FROM STERLING SAVINGS ASSOCIATION 00/00/86 - 1986 ANNUAL REPORT FROM STERLING SAVINGS ASSOCIATION 6/30/87 - FORM 10-K FROM STERLING SAVINGS ASSOCIATION 00/00/87 - ANNUAL REPORT TO SHAREHOLDERS 1987 FROM STERLING SAVINGS ASSOCIATION 6/30/98 - FORM 10-K FROM STERLING SAVINGS ASSOCIATION
P-75
Stipulation
07/03/07
Page 36 of 87
Case 1:95-cv-00829-TCW
Document 280
Filed 07/23/2007
Page 39 of 90
STERLING SAVINGS V. UNITED STATES Case No. 95-829C LIST OF ADMITTED EXHIBITS As of July 18, 2007
Exhibit #
Witness
Party
Trial Date Admitted 06/25/07 07/03/07 07/03/07
Description
Comments
P-76
Gilkey Stipulation Stipulation Gilkey Stipulation Stipulation Stipulation
Plaintiff
00/00/88 - ANNUAL REPORT TO SHAREHOLDERS 1988 FROM STERLING SAVINGS ASSOCIATION 6/30/89 - FORM 10-K FROM STERLING SAVINGS ASSOCIATION 00/00/89 - ANNUAL REPORT TO SHAREHOLDERS 1989 FROM STERLING SAVINGS ASSOCIATION 6/30/90 - FORM 10-K FROM STERLING SAVINGS ASSOCIATION 00/00/90 - ANNUAL REPORT TO SHAREHOLDERS 1990 FROM STERLING SAVINGS ASSOCIATION 6/30/91 - FORM 10-K FROM STERLING SAVINGS ASSOCIATION 00/00/91 - ANNUAL REPORT TO SHAREHOLDERS 1991 FROM STERLING SAVINGS ASSOCIATION 6/30/92 - FORM 10-K FROM STERLING SAVINGS ASSOCIATION Page 37 of 87
P-77 P-78
Plaintiff
06/25/07 07/03/07 07/03/07 07/03/07
P-79 P-80
P-81 P-82
Gilkey Stipulation Stipulation
Defendant
06/26/07 07/03/07 07/03/07
P-83
Gilkey Stipulation
Defendant
06/26/07 07/03/07
Case 1:95-cv-00829-TCW
Document 280
Filed 07/23/2007
Page 40 of 90
STERLING SAVINGS V. UNITED STATES Case No. 95-829C LIST OF ADMITTED EXHIBITS As of July 18, 2007
Exhibit #
Witness
Party
Trial Date Admitted 06/27/07 07/03/07 06/26/07 07/03/07 06/26/07 07/03/07 07/03/07
Description
Comments
P-84
Gilkey Stipulation Gilkey Stipulation Gilkey Stipulation Stipulation Gilkey Stipulation Stipulation Gilkey Gilkey Stipulation Stipulation
Defendant
00/00/92 - ANNUAL REPORT TO SHAREHOLDERS 1992 FROM STERLING SAVINGS ASSOCIATION 6/30/093 - FORM 10-K FROM STERLING SAVINGS ASSOCIATION 00/00/93 - ANNUAL REPORT TO SHAREHOLDERS 1993 FROM STERLING SAVINGS ASSOCIATION 6/30/94 - FORM 10-K FROM STERLING SAVINGS ASSOCIATION 00/00/94 - ANNUAL REPORT TO SHAREHOLDERS 1994 FROM STERLING SAVINGS ASSOCIATION 6/30/95 - FORM 10-K FROM STERLING SAVINGS ASSOCIATION 00/00/95 - ANNUAL REPORT TO SHAREHOLDERS 1995 FROM STERLING SAVINGS ASSOCIATION 6/30/96 - FORM 10-K FROM STERLING SAVINGS ASSOCIATION Page 38 of 87
P-85 P-86
Defendant Defendant
P-87 P-88
Defendant
06/26/07 07/03/07 07/03/07
P-89 P-90
Defendant Plaintiff
06/26/07 06/27/07 07/03/07 07/03/07
P-91
Case 1:95-cv-00829-TCW
Document 280
Filed 07/23/2007
Page 41 of 90
STERLING SAVINGS V. UNITED STATES Case No. 95-829C LIST OF ADMITTED EXHIBITS As of July 18, 2007
Exhibit #
Witness
Party
Trial Date Admitted 07/03/07
Description
Comments
P-92
Stipulation
00/00/96 - ANNUAL REPORT TO SHAREHOLDERS 1996 FROM STERLING SAVINGS ASSOCIATION 6/30/96 - 1996 ANNUAL REPORT 12/31/96 - ANNUAL REPORT ON FORM 10-K, STERLING FINANCIAL CORPORATION 12/31/97 - FORM 10-K FROM STERLING SAVINGS ASSOCIATION 00/00/97 - ANNUAL REPORT TO SHAREHOLDERS 1997 FROM STERLING SAVINGS ASSOCIATION 00/00/98 - ANNUAL REPORT 1998 - FORM 10-K FROM STERLING SAVINGS ASSOCIATION 00/00/99 - ANNUAL REPORT 1999 - FROM 10-K FROM STERLING SAVINGS ASSOCIATION 00/00/2000 - ANNUAL REPORT 2000 - FORM 10-K FROM STERLING SAVINGS ASSOCIATION (P-92 was withdrawn and P-92A was put forward)
P-92A P-92B P-93 P-94
Gilkey Stipulation Stipulation Byrne Stipulation Stipulation
Defendant
06/26/07 07/03/07 07/03/07
Defendant
07/02/07 07/03/07 07/03/07
P-95 P-96 P-97
Page Stipulation Byrne Stipulation Stipulation
Plaintiff Defendant
06/28/07 07/03/07 07/02/07 07/03/07 07/03/07
Page 39 of 87
Case 1:95-cv-00829-TCW
Document 280
Filed 07/23/2007
Page 42 of 90
STERLING SAVINGS V. UNITED STATES Case No. 95-829C LIST OF ADMITTED EXHIBITS As of July 18, 2007
Exhibit #
Witness
Party
Trial Date Admitted 07/03/07
Description
Comments
P-98 P-99 P-100 P-101 P-102 P-103 P-104 P-105 P-106
Stipulation Page Stipulation Stipulation Byrne Stipulation Stipulation Stipulation Stipulation Stipulation Page Stipulation Plaintiff Plaintiff Plaintiff
00/00/01 - ANNUAL REPORT 2001 - FORM 10-K FROM STERLING SAVINGS ASSOCIATION 00/00/02 - ANNUAL REPORT 2002 - FORM 10-K FROM STERLING SAVINGS ASSOCIATION 12/31/03 - FORM 10-K FROM STERLING FINANCIAL CORPORATION 12/31/04 - FORM 10-K FROM STERLING FINANCIAL CORPORATION 00/00/04 - ANNUAL REPORT FROM STERLING FINANCIAL CORPORATION 12/31/05 - FORM 10-K FROM STERLING FINANCIAL CORPORATION 00/00/05 - ANNUAL REPORT 2005 FROM STERLING FINANCIAL CORPORATION 12/31/06 - FORM 10-K FROM STERLING FINANCIAL CORPORATION 00/00/06 - ANNUAL REPORT 2006 FROM STERLING FINANCIAL CORPORATION
06/28/07 07/03/07 07/03/07 06/29/07 07/03/07 07/03/07 07/03/07 07/03/07 07/03/07 06/28/07 07/03/07
Page 40 of 87
Case 1:95-cv-00829-TCW
Document 280
Filed 07/23/2007
Page 43 of 90
STERLING SAVINGS V. UNITED STATES Case No. 95-829C LIST OF ADMITTED EXHIBITS As of July 18, 2007
Exhibit #
Witness
Party
Trial Date Admitted 07/03/07
Description
Comments
P-107 P-108 P-109 P-110 P-111 P-112 P-113 P-114 P-115 P-116
Stipulation Byrne Stipulation Stipulation Stipulation Stipulation Stipulation Stipulation Stipulation Stipulation Stipulation Plaintiff
9/30/89 - FORM 10-Q FROM HAROLD GILKEY, WILLIAM ZUPPE, DANIEL BYRNE 12/31/89 - FORM 10-Q FROM HAROLD GILKEY, WILLIAM ZUPPE, DANIEL BYRNE 3/31/90 - FORM 10-Q FROM HAROLD GILKEY, WILLIAM ZUPPE, DANIEL BYRNE 9/30/90 - FORM 10-Q FROM HAROLD GILKEY, WILLIAM ZUPPE, DANIEL BYRNE 12/31/90 - FORM 10-Q FROM HAROLD GILKEY, WILLIAM ZUPPE, DANIEL BYRNE 3/31/91 - FORM 10-Q FROM HAROLD GILKEY, WILLIAM ZUPPE, DANIEL BYRNE 9/30/91 - FORM 10-Q FROM HAROLD GILKEY, WILLIAM ZUPPE, DANIEL BYRNE 12/31/91 - FORM 10-Q FROM HAROLD GILKEY, WILLIAM ZUPPE, DANIEL BYRNE 3/31/92 - FORM 10-Q FROM HAROLD GILKEY, WILLIAM ZUPPE, DANIEL BYRNE 3/31/03 - FORM 10-Q FROM DANIEL BYRNE Page 41 of 87
06/29/07 07/03/07 07/03/07 07/03/07 07/03/07 07/03/07 07/03/07 07/03/07 07/03/07 07/03/07
Case 1:95-cv-00829-TCW
Document 280
Filed 07/23/2007
Page 44 of 90
STERLING SAVINGS V. UNITED STATES Case No. 95-829C LIST OF ADMITTED EXHIBITS As of July 18, 2007
Exhibit #
Witness
Party
Trial Date Admitted 07/03/07 07/03/07 07/03/07 07/03/07 07/03/07 07/03/07 07/03/07 07/03/07 07/03/07 07/03/07
Description
Comments
P-117 P-118 P-119 P-120 P-121 P-122 P-123 P-124 P-125 P-126
Stipulation Stipulation Stipulation Stipulation Stipulation Stipulation Stipulation Stipulation Stipulation Stipulation
6/30/03 - FORM 10-Q FROM HAROLD GILKEY, DANIEL BYRNE 9/30/03 - FORM 10-Q FROM HAROLD GILKEY, DANIEL BYRNE 3/31/04 - FORM 10-Q FROM HAROLD GILKEY, DANIEL BYRNE 6/30/04 - FORM 10-Q FROM HAROLD GILKEY, DANIEL BYRNE 9/30/04 - FORM 10-Q FROM HAROLD GILKEY, DANIEL BYRNE 3/31/05 - FORM 10-Q FROM HAROLD GILKEY, DANIEL BYRNE 6/30/05 - FORM 10-Q FROM HAROLD GILKEY, DANIEL BYRNE 9/30/05 - FORM 10-Q FROM HAROLD GILKEY, DANIEL BYRNE 3/31/06 - FORM 10-Q 6/30/06 - FORM 10-Q FROM HAROLD GILKEY, DANIEL BYRNE Page 42 of 87
Case 1:95-cv-00829-TCW
Document 280
Filed 07/23/2007
Page 45 of 90
STERLING SAVINGS V. UNITED STATES Case No. 95-829C LIST OF ADMITTED EXHIBITS As of July 18, 2007
Exhibit #
Witness
Party
Trial Date Admitted 07/03/07 07/03/07
Description
Comments
P-127A P-127B P-128 P-129 P-130 P-131 P-132 P-133 P-134 P-135 P-136 P-137 P-138
Stipulation Stipulation Byrne Stipulation Stipulation Stipulation Stipulation Stipulation Stipulation Stipulation Stipulation Stipulation Stipulation Stipulation Plaintiff
9/30/06 - FORM 10-Q FROM STERLING FINANCIAL CORPORATION 3/31/07 - FORM 10-Q, STERLING FINANCIAL CORPORATION 3/31/83 - THRIFT FINANCIAL REPORT 6/30/83 - THRIFT FINANCIAL REPORT 12/31/83 - THRIFT FINANCIAL REPORT 3/31/84 - THRIFT FINANCIAL REPORT 6/30/84 - THRIFT FINANCIAL REPORT 9/30/84 - THRIFT FINANCIAL REPORT 12/31/84 - THRIFT FINANCIAL REPORT 3/31/85 - THRIFT FINANCIAL REPORT 6/30/85 - THRIFT FINANCIAL REPORT 9/30/85 - THRIFT FINANCIAL REPORT 12/31/85 - THRIFT FINANCIAL REPORT
06/29/07 07/03/07 07/03/07 07/03/07 07/03/07 07/03/07 07/03/07 07/03/07 07/03/07 07/03/07 07/03/07 07/03/07
Page 43 of 87
Case 1:95-cv-00829-TCW
Document 280
Filed 07/23/2007
Page 46 of 90
STERLING SAVINGS V. UNITED STATES Case No. 95-829C LIST OF ADMITTED EXHIBITS As of July 18, 2007
Exhibit #
Witness
Party
Trial Date Admitted 07/03/07 07/03/07 07/03/07 07/03/07 07/03/07 07/03/07 07/03/07 07/03/07 07/03/07 07/03/07 07/03/07 07/03/07 07/03/07
Description
Comments
P-139 P-140 P-141 P-142 P-143 P-144 P-145 P-146 P-147 P-148 P-149 P-150 P-151 P-152
Stipulation Stipulation Stipulation Stipulation Stipulation Stipulation Stipulation Stipulation Stipulation Stipulation Stipulation Stipulation Stipulation Byrne Stipulation Plaintiff
3/31/86 - THRIFT FINANCIAL REPORT 6/30/86 - THRIFT FINANCIAL REPORT 9/30/086 - THRIFT FINANCIAL REPORT 6/30/87 - THRIFT REPORT INSTRUCTIONS: 1987 12/31/86 - THRIFT FINANCIAL REPORT 3/31/87 - THRIFT FINANCIAL REPORT 6/30/87 - THRIFT FINANCIAL REPORT 9/30/87 - THRIFT FINANCIAL REPORT 12/31/87 - THRIFT FINANCIAL REPORT 3/31/88 - THRIFT FINANCIAL REPORT 6/30/88 - THRIFT FINANCIAL REPORT 9/30/88 - THRIFT FINANCIAL REPORT 12/31/88 - THRIFT FINANCIAL REPORT 1/30/89 - SUMMARY OF CHANGES TO THRIFT FINANCIAL REPORT FORMS AND INSTRUCTIONS
06/29/07 07/03/07
Page 44 of 87
Case 1:95-cv-00829-TCW
Document 280
Filed 07/23/2007
Page 47 of 90
STERLING SAVINGS V. UNITED STATES Case No. 95-829C LIST OF ADMITTED EXHIBITS As of July 18, 2007
Exhibit #
Witness
Party
Trial Date Admitted 06/29/07 07/03/07 07/03/07 07/03/07
Description
Comments
P-153 P-154 P-155
Byrne Stipulation Stipulation Stipulation
Plaintiff
12/31/89 - SHESHUNOFF SUMMARY FROM THRIFT FINANCIAL REPORTS 12/31/90 - SHESHUNOFF SUMMARY FROM THRIFT FINANCIAL REPORTS 9/1/91 - OCTOBER, NOVEMBER AND DECEMBER 1991 THRIFT FINANCIAL REPORTS TO MANAGING OFFICER OF THRIFT INSTITUTION 12/31/91 - SHESHUNOFF SUMMARY FROM THRIFT FINANCIAL REPORTS 12/31/92 - SHESHUNOFF SUMMARY FROM THRIFT FINANCIAL REPORTS 12/31/93 - SHESHUNOFF SUMMARY FROM THRIFT FINANCIAL REPORTS 12/31/94 - SHESHUNOFF SUMMARY FROM THRIFT FINANCIAL REPORTS 12/31/95 - SHESHUNOFF SUMMARY FROM THRIFT FINANCIAL REPORTS
P-156 P-157 P-158 P-159 P-160
Stipulation Stipulation Stipulation Stipulation Stipulation
07/03/07 07/03/07 07/03/07 07/03/07 07/03/07
Page 45 of 87
Case 1:95-cv-00829-TCW
Document 280
Filed 07/23/2007
Page 48 of 90
STERLING SAVINGS V. UNITED STATES Case No. 95-829C LIST OF ADMITTED EXHIBITS As of July 18, 2007
Exhibit #
Witness
Party
Trial Date Admitted 07/03/07 07/03/07 07/03/07 07/03/07 07/03/07 07/03/07 07/03/07 07/03/07 07/03/07 07/03/07 07/03/07 07/03/07 07/03/07
Description
Comments
P-161 P-162 P-163 P-164 P-165 P-166 P-167 P-168 P-169 P-170 P-171 P-172 P-174
Stipulation Stipulation Stipulation Stipulation Stipulation Stipulation Stipulation Stipulation Stipulation Stipulation Stipulation Stipulation Stipulation
12/31/96 - SHESHUNOFF SUMMARY FROM THRIFT FINANCIAL REPORTS 12/31/97 - SHESHUNOFF SUMMARY FROM THRIFT FINANCIAL REPORTS 12/31/99 - SHESHUNOFF SUMMARY FROM THRIFT FINANCIAL REPORTS 12/31/00 - SHESHUNOFF SUMMARY FROM THRIFT FINANCIAL REPORTS 12/31/03 - ELECTRONIC THRIFT REPORT 3/31/04 - ELECTRONIC THRIFT REPORT 6/30/84 - ELECTRONIC THRIFT REPORT 9/30/84 - ELECTRONIC THRIFT REPORT 12/31/04 - ELECTRONIC THRIFT REPORT 3/31/05 - ELECTRONIC THRIFT REPORT 6/30/05 - ELECTRONIC THRIFT REPORT 9/30/05 - ELECTRONIC CALL REPORT 3/31/06 - ELECTRONIC CALL REPORT Page 46 of 87
Case 1:95-cv-00829-TCW
Document 280
Filed 07/23/2007
Page 49 of 90
STERLING SAVINGS V. UNITED STATES Case No. 95-829C LIST OF ADMITTED EXHIBITS As of July 18, 2007
Exhibit #
Witness
Party
Trial Date Admitted 07/03/07 07/03/07 07/03/07 07/03/07
Description
Comments
P-175 P-176 P-177 P-178 P-179
Stipulation Stipulation Stipulation Stipulation Byrne Stipulation Byrne Stipulation Plaintiff
6/30/06 - ELECTRONIC CALL REPORT 9/30/06 - ELECTRONIC CALL REPORT 12/31/06 - ELECTRONIC CALL REPORT 6/19/89 - SSA JOINT REGULATION EXAMINATION 11/31/89 - SSA REPORT OF EXAMINATION FROM FEDERAL DEPOSIT INSURANCE CORPORATION TO SSA 11/13/89 - SSA REPORT OF EXAMINATION FROM OFFICE OF THRIFT SUPERVISION admitted subject to counsel checking about a possible missing page - corrected document provided admitted subject to counsel checking about possible missing pages - corrected document provided
06/29/07 07/03/07 06/29/07 07/03/07
P-180
Plaintiff
P-181
Byrne Stipulation Byrne Stipulation
Plaintiff
06/29/07 07/03/07 06/29/07 07/03/07
9/17/90 - SSA REPORT OF EXAMINATION FROM FEDERAL DEPOSIT INSURANCE CORPORATION TO SSA 9/17/90 - OTS EXAM REPORT FROM OTS TO STERLING SAVINGS
P-182
Plaintiff
Page 47 of 87
Case 1:95-cv-00829-TCW
Document 280
Filed 07/23/2007
Page 50 of 90
STERLING SAVINGS V. UNITED STATES Case No. 95-829C LIST OF ADMITTED EXHIBITS As of July 18, 2007
Exhibit #
Witness
Party
Trial Date Admitted 07/03/07
Description
Comments
P-184
Stipulation
9/16/91 - RESPONSE TO THE OTS EXAMINATION AND HEDLUND CORRESPONDENCE 9/16/91 - FDIC REPORT OF EXAMINATION 10/7/92 - JOINTLY-OTS, WEST REGION STATE OF WASHINGTON EXAM DATE AUGUST 10, 1992 10/14/97 - EXAMINER'S REPORT OF EXAMINATION 10/26/98 - REPORT OF EXAMINATION, OTS 2/14/83 - SSA MINUTES OF THE REGULAR MEETING OF THE BOARD OF DIRECTORS 11/10/83 - SSA 1984 OPERATING BUDGET 6/30/86 - SSA OPERATING PLAN 00/00/86 - STERLING FISCAL 1986 OPERATING PLAN
P-185 P-186A
Stipulation Stipulation
07/03/07 07/03/07
P-186B P-186C P-187 P-188 P-189 P-190
Byrne Stipulation Byrne Stipulation Stipulation Byrne Stipulation Byrne Stipulation Byrne Stipulation
Plaintiff Plaintiff
06/29/07 07/03/07 06/29/07 07/03/07 07/03/07
Plaintiff Plaintiff Plaintiff
06/29/07 07/03/07 06/29/07 07/03/07 06/29/07 07/03/07
Page 48 of 87
Case 1:95-cv-00829-TCW
Document 280
Filed 07/23/2007
Page 51 of 90
STERLING SAVINGS V. UNITED STATES Case No. 95-829C LIST OF ADMITTED EXHIBITS As of July 18, 2007
Exhibit #
Witness
Party
Trial Date Admitted 06/29/07 07/03/07 06/29/07 07/03/07 06/29/07 07/03/07 06/29/07 07/03/07 06/29/07 07/03/07 06/26/07 07/03/07 06/26/07 07/03/07 06/29/07 07/03/07 06/29/07 07/03/07
Description
Comments
P-191 P-192 P-193 P-194 P-195 P-196
Byrne Stipulation Byrne Stipulation Byrne Stipulation Byrne Stipulation Byrne Stipulation Gilkey Stipulation Gilkey Stipulation Byrne Stipulation Byrne Stipulation
Plaintiff Plaintiff Plaintiff Plaintiff Plaintiff Defendant
00/00/87 - STERLING SAVINGS ASSOCIATION FISCAL 1987 OPERATING PLAN 6/23/87 - SSA BUSINESS PLAN UPDATE FOR FISCAL 1988 2/26/88 - SSA FISCAL 1988 BUSINESS PLAN UPDATE (DRAFT) 3/31/88 - SSA FISCAL 1988 BUSINESS PLAN UPDATE 6/28/88 - SSA BUSINESS PLAN FOR FISCAL 1989 8/15/88 - SSA FISCAL 1988 BUSINESS PLAN UPDATE TO INCLUDE ACQUISITION FOR CENTRAL EVERGREEN S&L 7/25/99 - SSA AND SUBSIDIARY COMPANIES BUSINESS PLAN FOR FISCAL 1990 00/00/91 - SSA FISCAL YEAR 1991 BUDGET PACKAGE 00/00/92 - SSA FISCAL 1992 BUSINESS PLAN NARRATIVE
P-197 P-198 P-199
Defendant Plaintiff Plaintiff
Page 49 of 87
Case 1:95-cv-00829-TCW
Document 280
Filed 07/23/2007
Page 52 of 90
STERLING SAVINGS V. UNITED STATES Case No. 95-829C LIST OF ADMITTED EXHIBITS As of July 18, 2007
Exhibit #
Witness
Party
Trial Date Admitted 06/29/07 07/03/07 06/29/07 07/03/07 06/29/07 07/03/07 06/29/07 07/03/07 06/29/07 07/03/07 07/03/07 07/03/07 07/03/07 07/03/07
Description
Comments
P-200 P-201 P-202 P-203 P-203A P-206 P-207 P-208 P-209
Byrne Stipulation Byrne Stipulation Byrne Stipulation Byrne Stipulation Byrne Stipulation Stipulation Stipulation Stipulation Stipulation
Plaintiff Plaintiff Plaintiff Plaintiff Plaintiff
00/00/93 - SSA FISCAL 1993 BUSINESS PLAN NARRATIVE 00/00/94 - SSA FISCAL 1994 BUSINESS PLAN NARRATIVE 00/00/95 - SSA FISCAL 1995 BUSINESS PLAN NARRATIVE 00/00/96 - SSA FISCAL 1996 BUSINESS PLAN NARRATIVE 00/00/07 - SSA 2007 BUSINESS PLAN 11/21/83 - MINUTES OF THE PLANNING COMMITTEE 2/16/84 - EXECUTIVE 1985 THRUSTS EXECUTIVE COMMITTEE MEETING 3/12/84 - MINUTES OF THE PLANNING COMMITTEE (DRAFT) 6/7/84 - MINUTES OF THE PLANNING COMMITTEE
Page 50 of 87
Case 1:95-cv-00829-TCW
Document 280
Filed 07/23/2007
Page 53 of 90
STERLING SAVINGS V. UNITED STATES Case No. 95-829C LIST OF ADMITTED EXHIBITS As of July 18, 2007
Exhibit #
Witness
Party
Trial Date Admitted 07/03/07 07/03/07 07/03/07 07/03/07 07/03/07 07/03/07 07/03/07 07/03/07 07/03/07
Description
Comments
P-210 P-211 P-212 P-213 P-214 P-215 P-216 P-217 P-218
Stipulation Stipulation Stipulation Stipulation Stipulation Stipulation Stipulation Stipulation Stipulation
6/30/85 - OPERATING PLAN FOR FISCAL YEAR ENDING JUNE 30, 1985 2/26/85 - BOARD OF DIRECTORS MEETING LEWIS FEDERAL ACQUISITION OPPORTUNITY 5/28/85 - BOARD OF DIRECTORS MEETING HIGHLIGHT MEMORANDUM 7/28/87 - MINUTES OF THE BOARD OF DIRECTORS MEETING 9/22/87 - MINUTES OF THE BOARD OF DIRECTORS MEETING 10/27/87 - MINUTES OF THE BOARD OF DIRECTORS MEETING 11/24/87 - MINUTES OF THE BOARD OF DIRECTORS MEETING 12/22/87 - MINUTES OF THE BOARD OF DIRECTORS MEETING 1/14/88 - MINUTES OF THE BOARD OF DIRECTORS MEETING
Page 51 of 87
Case 1:95-cv-00829-TCW
Document 280
Filed 07/23/2007
Page 54 of 90
STERLING SAVINGS V. UNITED STATES Case No. 95-829C LIST OF ADMITTED EXHIBITS As of July 18, 2007
Exhibit #
Witness
Party
Trial Date Admitted 07/03/07 07/03/07 07/03/07 07/03/07 07/03/07 07/03/07
Description
Comments
P-219 P-221 P-223 P-224 P-225A P-225B
Stipulation Stipulation Stipulation Stipulation Stipulation Stipulation
2/20/88 - MINUTES OF THE BOARD OF DIRECTORS MEETING 5/24/88 - MINUTES OF THE BOARD OF DIRECTORS MEETING 8/23/88 - MINUTES OF THE BOARD OF DIRECTORS MEETING 12/20/88 - MINUTES OF THE BOARD OF DIRECTORS MEETING 1/24/89 - MINUTES OF THE BOARD OF DIRECTORS MEETING 2/28/89 - MINUTES OF THE MEETING OF THE BOARD OF DIRECTORS - STERLING SAVINGS ASSOCIATION 3/28/89 - MINUTES OF THE MEETING OF THE BOARD OF DIRECTORS - STERLING SAVINGS ASSOCIATION 4/23/89 - MINUTES OF THE MEETING OF THE BOARD OF DRECTORS - STERLING SAVINGS ASSOCIATION
P-225C
Stipulation
07/03/07
P-225D
Stipulation
07/03/07
Page 52 of 87
Case 1:95-cv-00829-TCW
Document 280
Filed 07/23/2007
Page 55 of 90
STERLING SAVINGS V. UNITED STATES Case No. 95-829C LIST OF ADMITTED EXHIBITS As of July 18, 2007
Exhibit #
Witness
Party
Trial Date Admitted 07/03/07 07/03/07
Description
Comments
P-228 P-229 P-231 P-232 P-233A P-233B P-234 P-235A P-235B
Stipulation Stipulation Zuppe Stipulation Stipulation Stipulation Stipulation Stipulation Stipulation Plaintiff
8/22/89 - MINUTES OF THE BOARD OF DIRECTORS MEETING 9/14/89 - MINUTES OF THE BOARD OF DIRECTORS MEETING 11/27/89 - MINUTES OF THE BOARD OF DIRECTORS MEETING 12/20/89 - MINUTES OF THE BOARD OF DIRECTORS MEETING 1/23/90 - MINUTES OF THE BOARD OF DIRECTORS MEETING 2/27/90 - MINUTES OF THE BOARD OF DIRECTORS MEETING 3/27/90 - MINUTES OF THE BOARD OF DIRECTORS MEETING 4/24/90 - MINUTES OF THE BOARD OF DIRECTORS MEETING 5/15/90 - MINUTES OF THE SPECIAL MEETING OF THE BOARD OF DIRECTORS
07/09/07 07/03/07 07/03/07 07/03/07 07/03/07 07/03/07 07/03/07
Page 53 of 87
Case 1:95-cv-00829-TCW
Document 280
Filed 07/23/2007
Page 56 of 90
STERLING SAVINGS V. UNITED STATES Case No. 95-829C LIST OF ADMITTED EXHIBITS As of July 18, 2007
Exhibit #
Witness
Party
Trial Date Admitted 07/03/07 07/03/07 07/03/07 07/03/07 07/03/07 07/03/07 07/03/07 07/03/07 07/03/07
Description
Comments
P-236A P-236B P-237A P-237C P-237D P-237F P-237H P-237I P-237J
Stipulation Stipulation Stipulation Stipulation Stipulation Stipulation Stipulation Stipulation Stipulation
5/22/90 - MINUTES OF THE BOARD OF DIRECTORS MEETING 6/26/90 - MINUTES OF THE BOARD OF DIRECTORS MEETING 7/24/90 - MINUTES OF THE BOARD OF DIRECTORS MEETING 9/25/90 - MINUTES OF THE BOARD OF DIRECTORS MEETING 10/23/90 - MINUTES OF THE BOARD OF DIRECTORS MEETING 11/27/90 - MINUTES OF THE BOARD OF DIRECTORS MEETING 1/22/91 - MINUTES OF THE BOARD OF DIRECTORS MEETING 2/26/91 - MINUTES OF THE BOARD OF DIRECTORS MEETING 3/25/91 - MINUTES OF THE BOARD OF DIRECTORS MEETI