Free Declaration - District Court of Delaware - Delaware

Case 1:04-cv-01482-GMS

Document 92-10
274 2500 TO

Filed 06/27/2005

Page 1 of 16

2002 13: 15 FR

HERR I CK FE I NSTE IN LLP3

2358, 1212284470 P. 02/
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HERRICK, FEINSTEIN
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June 26t 2002
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BY HAN

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Honorable John G. Koeltl United States Distrct Judge United States Distrct Cour - S.
500 Pearl Street - Room 1030

New York, New York 10007
Re:

. F
Aluminum

Base Met

Traing, S. A. sa 11. v. Russian

et aI
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Docket No. OO Civ. 9627 (JGK)

Dear Judge Koeltl:
Though we are not eagc: to involve the Cour in another exchange ofletters concerg a discover issu, ths issue is discrete and important, and only came to our attention at ths date because discovery is stayed and our abilty to obtai documents created by defendants is effected only thugh infonnal sources, which involves diculty and delay. We wrte to request lited relief ftom the c ent stay of discovery to obtai dicovery concerg d narow issue. Prior to makg ths application, we requested that defendants consent discrete to ths relief, and produce the relevant documents but they refused to do so.
Briefly; one of defendats ' parent companes, in a publicly fied document issued in connection with a securities offerig disclosed tha.t Russian cours are corrpt and that foreign
. 1

litigats canot be assurd th they wil be able to obtain a just resolution of their clais
Russia - an admssion diectly relevant to opposing their have reason to believe that defendats (or related pares) may
Cour to obtai discovery
impeded oW' abilty

in

foru non convenien
have issued

motion. We simi disclosur in

connection with other securties offerigs or credt transactions, and are therefore

applyi to the.

concerning this matter. Needless to say, the absence of discovery to challenge positions taken by defendants -- positions contradicted by thei

very sttements.

Defendants ' pending motions to dismiss rase the issue of whether the Russian cour provide an adequate alternative foru for resolving plaintiffs ' clais. Magistte Judge Maa, in resolving the prior discovery matter Your Honor referr to hi, agreed with plaintiff
Hf'NWl: #32806

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Case 1:04-cv-01482-GMS
I '

Document 92-10

Filed 06/27/2005

Page 2 of 16

FR HERR I CK FE I NSTE I N LLP3 274 2500 TO ~2358, JUN 26 2002 13: 15

1212284470 P. 03/17

HER-lUCK, FEINSTEIN
L:.
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Honorable John G. Koeltl June 26, 2002 Page 2

I: .

tht evidence, of genera

corrption in the Russian

judiciar is

forw non and witnesses. I

comity motions, and thus granted plaitis Consistent with that ruling,

relevant to resolvi the pending the right to depose defendants ' expert
J: ;

platiffs seek docoments generated by defendats,

Russian judiciar. More specifically, in the coure related entities, concernng conution in th statement issued by a Russian of our investigation we obtaned a publicly filed disclosure 50% of defendant company called Sibneft, or OAO Siberian Oil Company. Sibneft owns s offerig of Russia Alumum. The disclosure sttement wa fied in connection with Sibneft'

, under the heading "Investment certain loan parcipation notes. In ths disclosue statement directly contrdict defendants' Considerations Relati to Russia." Sibneft made sttements that foru for resolvig position tht the Russian cours provide a fai and adequate alterntive " Sibneft admits that plaitis ' clai. Under the sub-headitg il legal and Reguatory Risks that there can be no guantee tht foreign Russian coor face a corrption problem and " in the Russian cour: investors wil be able to obta " effective redress s legal system create uncertty with respect to many of
The following asects of Russia

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s maagement make: the l. ga and business decisions th Sibneft'

i:'

Russia has a iudiciar
market-oriented legislation

with lited

applyig which is vulnerable to economic and politica
eJeerience in interpretig and

inuence ; and
there is no Russia has weak enforcement procedures for cour judgments and Russian cour? guartee thaJ a foreign investor wil obtain effective redress ina

The statement that Russia s judiciar is "vulnerable to economic and political inuenced inuence" is a sanitized way of saying that the Russian judiciar is capable of being ' position. The statement concerng the absence of a by conuption which is precisely plaitifs R1.sian cour guaantee" th foreign investors will be able to obtain "effective redrss in a
Plaintiff have tied an Objection to
the right to

ta cerin fact dicover. Platiff do not objec however, to tht porton of the corrption is relevat and which Magstre Judge s decision which held tht evidence of general

Magtrte Judge Maa ' decision insofar as It denied plaintiff
expen witesss.
u Bx. A.

grted plaintiff the right to depose defnda'

Copies of the relevant pages from Slbneft' s disclQsure statement are alUexed hereto

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Case 1:04-cv-01482-GMS

Document 92-10

Filed 06/27/2005

Page 3 of 16

26 2002 13: 15 FR HERR I CK FE I NSTE I N LLP3 274 2500
jtp.ICK, FEINSTEIN 1.'

~2359, 1212294470 P. 04/
.:1

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Honorable John G. Koeltl
J1.e 26 , 2002
Page 3
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in Russian cour canot obtai dictly support plaintiffs ' position that foreign litigantsthese statements and the extent of the and just resolution of their claim. The signcance of Disclosure statements generaly problem facing the Rusian cour, canot be overmphaized. therfore, by defenlht Russian and the decision, only contain risk disclosures that are material specific diclosures gives some sense of the Alumnum s parent company to make these Moreover, risk disclosures are only made the problem with the Russian cours.

a fai

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magntue of

afer underwters and their counsel have conducted due dilgence, and the materals they also provide direct evidence of the corrption
reviewed in order to craft these diclosurs will
facing foreign litigants in Russian
other have

More specificaly, we understad tAat
prvate placements are not widely effort to obtai these documents,
'1'

bee

Although we have been able to obtai

cour.
th
defendant

disclosur sta.tement ,

we believe that
See
Ex. B.

issued by the defendants, including some for private placements.

Sibirsky Alwnum

issued American

Depository Receipts (ADRs) in a private placement placement. Disclosure statements issued in connection with offerig, issued ADRs in a. private available, and though we have contacted varous entities in an
made simlar disclosures in debt or other credit tractions.

and that Sibneft in addition to ths note

we have been unable to do so. In adition, the varous Ban and their parnts corporate defendants, Russian Alumum, Siber Aluminum, MDB
subsidiareSi,ay have

' decision The requested discovery is also consistent with Judge Mus depos limite dico-ver, Judge Maa held tht plainti could plaitiff the right to tae fairness of the Russian cour. See defendats ' expert on issues relatng to "the fudaenta the Memoradum Decision, dated May 13, 2002 at 1 O 11, Ths documentar evdence concern

cer

grti

exact same issue, and is even more probative than a deposition of defendants' Mas previously reflects defendants' prior statements and admissions. Finally, although Judge to Your Honorappealed denied plaitiff' request for document discovery - an issue we have narow category oChighy probative and diectly ths document request focuses on an extemely Judge relev documents, and is not " merits relatedtl in the same maner as' the prior requestson the prior sttements Maa denied. This request is intended solely to discover defendants
faiess oithe Russianjudiciat.

expert because

Accordigly, . we respectfuly request that this Cour lift the curent stay. discover and allow plaintiff to serve a document demand and identification intetogatories, the relevant portions of which ar anexed hereto as Ex. B and C, respectively,. upon defendants of the

concemini these matters. Although we do not seek it at ths tie, pendin review depose lea-ve of the Cour to documents defendants produce, plaintiffs may seek documents and to serve subpoenas upon the individuals involved in the preparation of these third-pares identified by defendants as involved in these transactions.

fuer

HF1! #3186 ". 1 #0514--001

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Case 1:04-cv-01482-GMS Document 92-10
LLP3 274 2500 TO

. '

Filed 06/27/2005

Page 4 of 16

. i fN 26 2002 13: 16 FR HERR
"'t

I CK FE I NSTE I N

2359 I 1212284470 P. 05/

IN 1.. t.U R.RICK, FEINST
. r

Honotable John G. Koeltl June 26, 2002
Page 4

We addrss these points

Cour for its of ths matter, th theafer the Courconsiderationopportty to and are available to fuer
ha had an

consider defendats t

response.

Respectfully submitted

(2

David M. Meisels

Att1uents
cc:

Jame Bern Esq. (via fa)
MicJ1ael D.

Bwrows, Es. (via fax) John Redon, Esq. (vi fa) Esq. (via fax) Paul R. Victor Roger Rubin, Esq. (via fax)

Gr

Pete D. Venaglcr Esq. (via fa)

Robert E. Haubcrg, JI., Esq. (via fax) Brian S. Cousin Esq. (via fax) Raymond L. Vanderberg. Es. (via fax) Lisa C. Cohen, Esq. (via fa)

Eliabeth M. Johnon, Esq. (via fax)

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Case 1:04-cv-01482-GMS
( 26 2002
13: 1

Document 92-10
LLP3 274 2500 TO

Filed 06/27/2005

Page 5 of 16

FR HERR I CK FE I NSTE I N
LlP

2859, 1212284470 P. 06/17
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;EIlIlICK, FEINSTEIN

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Exhibit B - Document Demands'
1. Documents distbuted or

which were intended for distrbution but not actually concerng any offering by the distrbuted, to investors, or potential investors) , of equity or defendants, or their agents , parnt companes, subsidiares or afliates , bonds or American Depository debt intrents , includig, but not lited to, notes
Receipts, whether for a public or private placement or otheIWse.

11:.

2. Draf of any docwnents reponsive to Document Demand number 1.
3. Documents

, Ii,

includig) but not limted to, conespondence with investment or agent

concerg any documents responsive to Document Deman number and 2, or concerg the tractions identified in respnse to Interrogatory number I, ban, intern
provided to

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memorada or e-mai.
4. Documents
:1, : il

r reviewed by any entities

identified in

response .

Interrogatory number 2.

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Case 1:04-cv-01482-GMS

Document 92-10

Filed 06/27/2005

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iN 26 2002 13: 16 FR

HERRICK FEINSTEIN LLP3 274 2500 TO ~2358,

1212284470 P. 07/17
. L

HERRICK, FEINSTEIN u.p

Exhibit C - Interrof!atories
l'.

1. Identify each tranaction in which

defendats, or their agents, parent companes,

subsidiares or affliates ) distrbuted to investors, or potential investors, any offerng , notes, bonds or Amercan of equity or debt inttents, includig) but not limited to
Depository Receipts, whether for a public or private placement or

otherse.

2. For each trsaction

identified in response to Interrogatory number 1 , identify any persons or companes, moludig, bu.t not limited to, curent or fonner employees
agent$ or indePendent contractors, involved in the

planng, development

and

execution of the traction.

3. For each document produced in

extent not discernble ftm
doc

ent,

response to the foregoing document demands, to the the face of the docwnent, identif the author of the

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Case 1:04-cv-01482-GMS
N 26 2002
13: 16

Document 92-10
LLP3 274 2500 TO

Filed 06/27/2005

Page 7 of 16

FR HERR I CK FE I NsTE I N

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Exhibit A
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Case 1:04-cv-01482-GMS
WUN 26 2002
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Document 92-10

Filed 06/27/2005

Page 8 of 16

13: 16 FR

HERR I CK FE I NsTE I N

LLP8 274 2500 TO ~235S, 1212284470 P. 0S/
' '::'1

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OAO Siberian on Company
$2S0,OOO .000

sibneft
113 per cent.
'DunC offifIn.ciftl

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Loan Par icl:.dioD Notes due 2007
issll,d hY. bt wiloul

to, Salamun .8I'Ih,nAG
G: '"an

. 1tJ t/ tJ pur,p ol'

OAO Siberian Oil Company
Issue Price: 100 per cent.
Silolnon1ltOho AG(I"" "2w")
101D (1I -,Dic''' c..1I1I

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Case 1:04-cv-01482-GMS

Document 92-10

Filed 06/27/2005

Page 9 of 16

2002 13: 17 FR

HERRICK FEINSTEIN LLP3 274 2500 TO ~2359, 1212294470 p.

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cI d

elepe lz JtlUslA and In&nf for$ of

II gn&'\.anab\c Oft

insure pttecic vtcd th tc& .:cnrnon iAwch counuie$ inlldi, coverace

mi/u, 1eve1 of

lo

opti

In\l tmcnt Co,uidlll'l1on. 'Re1altnl '0 J..u
Politi =J

r,.

\1jl I matec econom. 'Ihc p1vraut d&: 4 nQ nOf is Ie ) eDmplc IIni'nmu

$iG 1.91.

1W bu btzl\ c:o\vint mm a CO%unlu slSIC

with I cc ttAl)' planed

)' 10 ;t

e.CC

pCOc:$ at politi"1

j)Mlc refonn hu not ben
ar/or

can be li

n th,1 iI wil c:ndnuc. Tho RlWian poH111:

y ai8lfiCZ1 poUeiw wt:bUUy symrr TCns w1ncrable ID soia) lieS etnic Wlf abilly 10 pruce aff c val'.: 01 forren in"esuc:to in Rvula an Sibncm'

P'

o1ld cdV'c:cly

. I,

oil. The

Case 1:04-cv-01482-GMS
2002

Document 92-10

Filed 06/27/2005

Page 10 of 16

13:17 FR HERRICK FEINSTEIN LLP3 274 2500 TO

2358. 1212284470 P. 11/17
' t

GC'cmmeaL has mnD

Ii,, mi' if $'ebM=h cba ccd fIQUlI
;' o:

I!:y bc

199L Til

1;b

mOW &"'11

"cc &'f iaJ fr;uant ch iD S inlud\r8' of invCSaU In "1111 or OoltcnCD cbCIII CO cuca IUCI or If m. lol8toan..
lIrxtted

rrri

InCI

c!w in Jlri
cou1. be

JoDCi

f,.
i ..

aprad
be

1991 K) pt&tQ& F"81C JXopcny &pinsc Si,nificlm RIlSo eistA us bceJ ca.ctcd blC be no UlpnC Jbal1lh pr=taN wold an r'.lIllons;lI!gn tr &be Goummet. bu& Ihln: th prY liu on (incJ.e c4 irlba evw of aD ImcwS C)tOpri iOD or re-ncOGan or
8 prt'l
tJI11i) will

" i '

Si'ncf'

\I men

)D IUlion. N

is " r

l1in ve

rcabc. af rens, cvcu bdva1
10
1I in 5Q

an resill

:wcllorities JId oth c:onas COII! UDrW opCT..tla 8IvJfOn( Il
Etr\c eM Such

tidy =:y hier

ill CiImClrs i" 1'DSlIa

nc' s lans-an pJan .bity En

p.b:
mi CO6

i;iolJ dllfucMU in JWS$a hAVC z.VCl ri
a

ts co1ld bva

a JIawial .d...r:..
ECCliomicJP'''

df

cfDC on 110 vDIII 0( 1l1 all &111fin=c: cotion Of'1I

AI

'iUt

cotlicL.

cony sucb IS SibcCt

u.wc$ in RuJi& in pacula. an Cluld
:, 1'

In. pa1C\It:1bc (Jvgllcnt' do;irion JI\ Aug1lS1199111O t1c end 0111& So't em dnl of czain. dometic II Cccli debts ilS \be Roble aM 1C mi rorda deh CI i15 dg . It is .pSJlD 1hst RuSA tnl)'

J,ssill S p;nomy 1'.u \lc:ane 0
aIc:a1

"IiClIlI Ib cauJd acveuely conditin of $lben Inud:
faDvn by

on1'11

aft

tmll de its Iin$lia subill:. 0I
td
6' 0( to iCl

QD mtfl:t4 by

of siplc:t itabil) siDe
terpo11 Itp ID c:l1lpsc: it

1i:

t'!b cury
1r0f

In led

to

Or1a1c:

"rmc

uw calld Jlep.llcly wJ':lt thll
Fan Dr ftW
lC:c:a 10

Govc:11 10 &c
CApita

n:t1
lsUD; II)'

nu II C'II

D Intctl
c and lIaiald

abi,= 1m:) of 1Q GOU

ion.;

onol'y \Ii1hitl Rusi' c: :p'b) GonmmCl 10 Idrc s TCvc to ok wea banl'l $)ltc, hiP. 10Vml Flads gf rcalivc)' hill iNuion. lSon, levels of GIII 1nu Ulvi aM e prlll. CoM1U= 1I
dll

IU :I' suwne

mbs

)!vc1s of 'U loymc/U IId IInd=mplo)'cnt a!tet aw azu coud adwntly &f Sibnes buClU a. .. rell1P:
cu1N',

!! cnvt%c.t in ..hi

cou

Sibl\cf
mDY"

fla;lUlliDS in 1b ,1oba economy (iudlD&- j, Russi. ec_tIy en Sibn' s b .,cn)' Afecl

Q\c;lion In wOT aU prce); wb

Nf"
.., f"

ud Jte,platorl JUsb

bu:i clisma Ibr
tb JM

" Th t'11owiC IS

af lWsii " 1 St\cro CIelU an Cmc mike: SlbMR'

ri n= t to may 01 1M lClil

aM mWserill tS beMcen JIW5 Pt;dcnt deQ, CiOVr.C:1C rcsolutkJ bcc= 1O1. rcilon1 anI! t mI1egi;laIl and rqlalionsi orer. an WiCIt dClce _l\1on Itld feJ(1aliOC tNy be .d4pt by JO mlQ\talulh dlsc:ociOCI
be incn:ts
an

cka COuUluti. Ot

1oilbli c ba. an4 -.lb ..

Ih dere of

su'btMi.1 lap5 In 11, "'SU1D.tl JIJCE\ roe.y lmplemunni catflm l'rirb:i;n

1I crellted b)

\h delDY 01 Absc

of rei"lalClIII
.. 1imtc

tb i$ a W: ot
S$ has llea

Ision ptc:nda1 va)gc or juddll wWllitd =POMI1CC in intefP Rusal& b&s Ijqdid
",1J is YD1nCT1c 10 ecc an
&Danc::m

Judcill and

arinistIJvc GuWn

01\ inlcrp

1 appUclblc rWcs

i1B lad :ll)'DIL ma

c:..ntrted IctIlatioCl Md.

pa1tW1 inu
foc COIJ judlftenll a

in"U&ClT wUI obtAin e!(otive

rcen in I kussan court

FgC

tbcc is no g\l

tc th;t a. fwgu

! .r'

I,

, i'

, F

.'
Case 1:04-cv-01482-GMS Document 92-10 Filed 06/27/2005 Page 11 of 16

2002 13: 18 FR
aOC.

HERR I CK FE I NSTE I

N LLP3 274 2500 TO

2358, 1212284470 P. 12/17

f' .
in..",1m !Tom

" 1:
, I

or tho dc:r.pinC lItUte of R,OIsj;a

ownership 8\15 lcxurliC$. J!r:

InI1iona gpinJ nwb 118. bo wmill Sew, Df tb isDC Lbal UIIhIs.

nlf .
ioll

s je, W 'IcplmOJ fcACwor ft&anin; p:o)'
L Sjbnc',
Iban IlritlO Anacc

sigaIi=n1 rist

" 1'

rb 1ncJudc:

. RlW'

s .ecuticles

:ys!e

1s 1c dC'

ot ""c:
Sib/lft to Incre

s ";vIAeOJ .."i/lMlet1 1$ bn
10 o

an/\ wbi c.uld

c.n

""d hier

i'l

ils busin;

I.
ris dw mIY

o $ignifc:c vr.c=rJiatil;s IIMI aive rin Russia s 1I an bllID=' dc,isiOl &ld p1anmnJ.

eompUc;w Sibndl'

Ilssiz ba 1'
,p.ct )tu:J,
11

'I1b Sibod' , IbililY UI condllct rOlltlne busincss cnaa!ionJ and It'BC fnvest.

IiYt CIrmy R8ul~on which hn in \he uc
otrtlo. R_trlc!:alL

nJ pa

;nC may

th tutD mauc

.i
, f:

ExulIlt Contrb aAII

I ') n;; .he J.uble 1w bet" sjpiflCnl i."\tabiLily In III. Rcllb1e exchllc

exe= rae. S;c "'lwa ""IC 7d'Y to th dolbr . D8nWcal dcp=lUion a; Exdlllngc Cartz"
Amlr ol
IQ

and Iber

can be De asurce

itS Roabfes Inla toreisn

cn= wiD e:o=inllc Incfni=ly. CuDCt Rum 1all peits Sibnef pIYfrll:"u_mc It flScu.1 obtlgali- blic.\1 cab nO BUlI'ee flt/) t:. 1h b.nkins: 1)\e \/l $bcll co.."cdlan wil be )Xillc:d in ,be 1M cI rcllAe Qffunds ou of. eJoped .nd c l\dC:l'iblc: deb)'. Insy occur U11M trancr ort\lcl ""iUr!\
th
\ Illch

Uidc dRWlri:a The Roub14 is .senc111 nol conn1'1ib1G of Jtgubles info olhl:t M7;ne:iC$ . b 1 il is limlud in size: :a if '\lbJ

wl.I1n Rvsaa. fat Ihe eOD"&IiDTi
to e:anv

conV Ies linlili& tLich '

CI)'

10

f\lute.

In J.\Iu1il is noC

Ru:s!..
'ItDent Con~dd'.tionJh1aalnG
CD tht.

" :1

Th T

ed provi4" tor an E6

i$ law

CI vnderme l:o;' 18in ..Ialln$ ane! oChr riibcs wdl.s nvcr euWn I=O'nlllI 199 pzvicJs lta ne: ivae1 as Itlft to," on 1 J Ge== JlIol" 1cy Co w1W Involtlg elM opomnr of wglveIIY Gc:m1aw !or ,"ur purpo:c: ray no.. "'lil1e4 tD dedct , which 1I be b,y . insol"en adaUnia'r the :lsisncc b enfo pJf .. duo adclcc la 1I\e Ths ScC1on 16 cnfo anent up to 9 Few CCQt. as f ed thI .. Gmmm COn wDj not l'old S1= ic c:lII be !be: Trlt 7 ,lyen EarJish b,w c:hlT ;bollld bcwbjcttO"slle:h Sccioll'166(1):-

CI

Gen lvcncy Coce cht afl ( &be T
in tIvoUt

" I "

slec for 1he be,,

t of Noldolc!m \' S..don J6Q(') Dflh

Il

proc

o:, tRlIt

und&
tbl!

pfOc:

pu.IO

Dc

u aD
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: .. 'j. " '

Case 1:04-cv-01482-GMS
" "'I,

Document 92-10

Filed 06/27/2005

Page 12 of 16

UN 26 2002

13: 18

FR HERR itK FE I NsTE I N LLP3

274 2500 TO ~2358, 1212294470 P. 13/17

,,I, I'
" Ii)' I'

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t,,

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~U

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Exhibit

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or,

' tI

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J ,., If;

II

I"'.

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Case 1:04-cv-01482-GMS

Document 92-10

Filed 06/27/2005
TO'

Page 13 of 16

JUN 26 2002 13: 18 FR HERR I CK FE J NSTE J N LLP3 274 2500

235S, 1212294470 P. 14/17

to I

I L
i.

r: \

r".

B8C page SBVJ1 US

DG16 Equity
Price Not Available

DES

SSYMF US
Metal-Aluminum

DESCRIPTION
SIBIRSKV AL VUHINIUH

Page 1/2
CN All News/Research

Ccmpan also owns a Sibirsky Alyumjniyum produces aluminum in Russia, ThE and a partial interest In controlling interest in busmaker Pavlovsky Avtobus

.1:

carmaker Gorkobsky Avtcmabi 1 ny 2avod.

, r

mOVD VIDENDS
Pri ce
52Uk High 52Uk Low YTD (hng 1 Yr Total
"'kEt Cap

- None
Amt

USD

usn
USD USD

Indicated Gross Yld Dividend Growth

-Date ,Type
EARNINGS

2)TRA

Return
9JERN

, ':. I

Est EPS

PIE

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It

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61 2 S?7 8SC 'r'II:tU I5U 308 450 Kol" 8S 877 600 JQf# .1 3 321 ISDCI S'ngapDl 5$ 212 1000 \J. S.
EI.lIlIt

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1 212 318 ;!O

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Case 1:04-cv-01482-GMS Document 92-10 Filed 06/27/2005
FR HERR I CK FE I NsTE IN LLP3 274 2500 TO ~2358

'-'"

'- :.:,,.:.,''',\".\. , ,.!.)'' ,, ":.\:;, ';:.., ., ',., , \: , ,'.' :' " ''' , . ,'..:,"..:(,'. ::;,;.',,,,), ,: !.: :;:

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Page 14 of 16

UN 26 2002 13: 18

I 1212294470

1S/17

0.
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1':-

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Hi t 1

SBYMF

(GO) for a more deta 11 ad company management prof 11
SIBIRSKV AL VUHIHIUM

US

DG16 Equitg
e CHGMT).

DES
I .. .. r'"

Page 2/2
f:';

. RusSia.
TR AG

OLEG DERIPASKA
f VIKTOR BEL YAEV

CHAIRMAN
, 0' ,f;l'

ALEXANDER NAUHOV

EXECUTIVE DIRECTOR

)1,

. i:.

: Type Common tack
FISCAL YEAR END

M MBER

PRIMARY EXCHANGE OTe US

COUNTRY

None

.I

.. 1

Russ 1
4\

. 1.,

WPK Number 693615

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1\.

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f.,

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.. -..---" --Case 1:04-cv-01482-GMS
2 13: 19 FR HERR I CK FE I NSTE I

.-...
Document 92-10 Filed 06/27/2005 Page 15 of 16
P. 16/ t7 Yage 1

., , '.,,..,...':: . ;.,;.,,, ...,':..,,,;....:.\ .",':" :.,.::'\ ,!,"!:,:';,,;, :. '" .':'(:":. ,.,:

N LLP3 274 2500

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f2 ,
l-:

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/2001

fao!d

SECulU ADpmONS
IlCl

13:34 IINPG'
PSac
SCGI" SUDIC

"'R;a"x Ej

Pan Pelagic AS
Pfd

tf1i
(Ru
"lata Markt Pfd 51!

Q!er.
mt"'iv~ O

OYCaB Dallv Li
OlJ

11e

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,,p."hI

(Narway) OSJunoo ate
California Sere$ D as/111200

"5 Buslnl! Pari 1

50'l

r '

5!b.J _!-rum Inum

Sa Cegld ACT (fr;nce)

05111/2001 05111/2001
OSI11
OOl
, V,

Stu SVIc A8 (Sweden)

SECURn DE1.t'QN$
UEl I! at

C6m any NaQJe
eFAOF
Banc Ftanc: RIO
QClgjrp MDnily

13:3"

1::34
13:34

Eff RMe/ Comt\ OS/U/ OOl Oupv tlPFPF
05111/2001 Q)II IV, redemptin 118/1991 05/1%/2001 Calltd lor rallption

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CCON
CCIOO

Cibarp Cep Sh Rep VID Ser 13

I-

13:34
13:34
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Cftlrll Maney MariC Pfd
Ot/COrp Ma/'

2/20/1996

Marlt

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05/11/2001
Cabec

CCOP

Oti

Money Markee Pfd SA

cap!,
CCPM
CCIPN

CitlOlrp Conv Ptd s .. 13
CiCiCQrp Money Matket Ptel SO

11/30/200
t 11301
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05/11/2001 Called I'r ledempton

13:34
13:34

05/11/2001

Qlleii ror"

Citirp Money Man:t Pfd 5C
cotp Money Maneet Pfd

05/11/001

1t10/2000
Called tol'

rvdempclon

13:34
13:34

CCPO

CCPP

Citicarp Maney Marlt Pfd SA
OtiCXrp .Aj Pf Ser 1
OtlCOrp Grad

11/3012000 05/11/2001 CaUee for reempt1n :L2/U/199Q DS/1. 1/2001 Called for reempciotl
:12/101

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OS/11/ 001 Celled fgr redempton

13:34
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8/15/1998
ClcJcorp Mone)' M4Ir\t Pfd SF
Schroclers PIc

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OOl CBlhtd tor redemption.

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12/4/19110 OS/l1/ Oupliciti of SHNWF DS/unOOl Reorganiztion (Sae RACNW

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.,Case 1:04-cv-01482-GMS
i ..

, ;'"' , :',,

Document 92-10

UN 26 2002 13: 18 .1

FR HERRICK FEINSTEIN LLP3 274 2Sa0 TO

w..u
In Piela rud QU
Ois

Filed 06/27/2005

Page 16 of 16

235S, 1212294470 P. 17/17 U.1 I
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