EXHIBIT B
Case 2:04-cv-00424-ROS
Document 451-3
Filed 05/16/2008
Page 1 of 74
Allen, et al. v. Honeywell Retirement Earnings Plan, et al. (D. Ariz., CV04-0424 PHX ROS) Honeywell Plan Defendants' May 13, 2008 Supplemental Privilege Log
No.
1
Date
1/1/1976
Author
Debevoise & Plimpton*
Addressee
Copyee
Description
Handwritten notes reflecting legal analysis re: merger of Garrett and Signal plans.
Bates Begin
Bates End
Redacted
No
Privilege
Reason for Disclosure
R
Attorney-Client
2
3/12/1982
Gordon, David*
Leinbach, Charles*
Letter reflecting mental impressions of counsel and providing advice re: amendments to the retirement plan and severance plan changes. Letter enclosing information in furtherance of representation re: amendment to Garrett plan. Draft plan documents and board resolutions reflecting legal analysis and advice re: proposed amendments to Garrett plans.
No
Attorney-Client
N/A
3
7/9/1982
Gordon, David*
Leinbach, Charles*
No
Attorney-Client
N/A
4
7/12/1982
O'Melveny & Myers*
No
Attorney-Client
R
5
9/10/1982
Ohlund, Marie
Gordon, David*
Letter transmitting information in furtherance of representation re: amendment to Garrett retirement plan and IRS approval. Letter enclosing information prepared in furtherance of representation re: proposed Garrett plan amendments. Lachter, Jack Kong, Loong Tritt, Clyde* Letter and memorandum containing legal analysis and advice re: Garrett severance plan amendments.
No
Attorney-Client
R
6
10/8/1982 Leinbach, Charles*
Gordon, David*
No
Attorney-Client
R
7
11/17/1982 Gordon, David*
Milligan, Jack
No
Attorney-Client
O
8
11/17/1982 Gordon, David*
Milligan, Jack
Leinbach, Charles* Lachter, Jack Kong, Loong Tritt, Clyde*
Letter containing legal analysis and advice re: Garrett severance plan.
No
Attorney-Client
O
9
1/1/1983
Debevoise & Plimpton*
Draft plan amendment containing mental impressions and advice of counsel re: Signal plan amendment history. Gordon, David* Letter and attached memorandum providing legal analysis and advice re: Garrett plan amendments.
No
Attorney-Client
R
10
3/15/1983
Leinbach, Charles*
No
Attorney-Client
N/A
Tuesday, May 13, 2008
(*) indicates attorneys and legal professionals
Page 1 of 73
Reasons for Disclosure: F=Fiduciary Exception to Attorney-Client Privilege L=Litigation Not Reasonably Anticipated P=Post-Dates 2/4/84 Signal Plan Amendment
Case
R=No Legal Advice, No Lawyer Involvement or Appears Capable of Redaction to Remove Advice E=Distributed to or Sent by Lower 2:04-cv-00424-ROS Document 451-3 Level Employees Filed 05/16/2008 Page O=Distributed to Outside Actuaries, Consultants and Administrators U=Unknown Distribution, N/A= Plaintiffs Not Seeking Disclsoure
2 of 74
No.
11
Date
3/23 /1983
Author
Milligan, Jack
Addressee
I.R. Managers Benefits Administrators Allyn, B. Bardon, Gwen Bailey, Claire Botiller, Ted Bromley, Don Cortine, T. Close, Earl Cudahy, Joan DeKimpe, Lois Donovan, Tom Ellery, Fenn Flanagan, Norma Grady, Dan Kloster, Richard Mitchell, Francis Moore, Edna
Copyee
Bouzan, Paul Dunaway, R. Glover, Ed Gordon, David* Hayes, D. Lachter, Jack Leinbach, Charles* McLeod, Jim Parker, R.
Description
Memo relaying legal advice and information in furtherance of representation re: Garrett severance plan adjustments.
Bates Begin
HW0055630
Bates End
HW0055630
Redacted
Yes
Privilege Reason for Disclosure
Attorney-Client F,E,O
12
5/4/1983
O'Melveny & Myers* Leinbach, Charles* Lachter, Jack Kong, Loong
Notes reflecting legal strategy and ongoing assignments re: severance plan and SBA offset. Milligan, Jack Letter enclosing draft memo containing legal analysis re: proposed amendments to Garrett Severance Plan.
No
Attorney-Client
F, R
13
6/15/1983
Gordon, David*
No
Attorney-Client
O
14
6/15/1983
Gordon, David*
Milligan, Jack
Leinbach, Charles* Lachter, Jack Kong, Loong
Letter enclosing draft memo containing legal analysis re: proposed amendments to Garrett Severance Plan.
No
Attorney-Client
O
Tuesday, May 13, 2008
(*) indicates attorneys and legal professionals
Page 2 of 73
Reasons for Disclosure: F=Fiduciary Exception to Attorney-Client Privilege L=Litigation Not Reasonably Anticipated P=Post-Dates 2/4/84 Signal Plan Amendment
Case
R=No Legal Advice, No Lawyer Involvement or Appears Capable of Redaction to Remove Advice E=Distributed to or Sent by Lower 2:04-cv-00424-ROS Document 451-3 Level Employees Filed 05/16/2008 Page O=Distributed to Outside Actuaries, Consultants and Administrators U=Unknown Distribution, N/A= Plaintiffs Not Seeking Disclsoure
3 of 74
No.
15
Date
6/15/1983
Author
Gordon, David*
Addressee
Milligan, Jack
Copyee
Leinbach, Charles* Lachter, Jack Kong, Loong Tritt, Clyde*
Description
Letter and attached draft memorandum containing legal analysis re: severance plan benefit structure.
Bates Begin
Bates End
Redacted
No
Privilege
Reason for Disclosure
F, O
Attorney-Client
16
6/15/1983 Gordon, David*
Milligan, Jack
Leinbach, Charles* Lachter, Jack Kong, Loong Tritt, Clyde*
Letter and attached draft memorandum containing legal analysis and attorney-client communication re: severance plan benefit structure.
No
Attorney-Client
F, O
17
6/15/1983
Gordon, David*
Milligan, Jack
Leinbach, Charles* Lachter, Jack Kong, Loong Tritt, Clyde*
Letter and attached draft memorandum containing legal analysis and attorney-client communication re: severance plan benefit structure.
No
Attorney-Client
F, O
18
6/15/1983
Gordon, David*
Milligan, Jack
Leinbach, Charles* Lachter, Jack Kong, Loong Tritt, Clyde*
Letter and attached draft memorandum containing legal analysis and attorney-client communication re: severance plan benefit structure.
No
Attorney-Client
F, O
19
6/15/1983
O'Melveny & Myers*
Draft memo containing legal analysis re: proposed amendments to Garrett Severance Plan. Leinbach, Charles* Letter containing attorney-client communication re: IRS determination re: plan amendments. Letter seeking legal advice re: IRS determinations re: Garrett plan amendments. Letter and attachment reflecting attorney-client communications re: IRS determination re: plan amendment. Letter and attachment reflecting attorney-client communications re: IRS determination re: plan amendment. Notes reflecting legal analysis re: timetable for restructuring of Garrett plans.
No
Attorney-Client
R
20
9/1/19\83
Gordon, David*
No
Attorney-Client
F
21
9/17/1983 Leinbach, Charles*
Gordon, David*
No
Attorney-Client
F
22
9/17/1983
Gordon, David*
Leinbach, Charles*
No
Attorney-Client
F, R
23
9/17/1983
Gordon, David*
Leinbach, Charles*
No
Attorney-Client
F, R
24
10/15/1983
Debevoise & Plimpton*
No
Attorney-Client
F, R
Tuesday, May 13, 2008
(*) indicates attorneys and legal professionals
Page 3 of 73
Reasons for Disclosure: F=Fiduciary Exception to Attorney-Client Privilege L=Litigation Not Reasonably Anticipated P=Post-Dates 2/4/84 Signal Plan Amendment
Case
R=No Legal Advice, No Lawyer Involvement or Appears Capable of Redaction to Remove Advice E=Distributed to or Sent by Lower 2:04-cv-00424-ROS Document 451-3 Level Employees Filed 05/16/2008 Page O=Distributed to Outside Actuaries, Consultants and Administrators U=Unknown Distribution, N/A= Plaintiffs Not Seeking Disclsoure
4 of 74
No.
25
Date
Author
Addressee
Garcia, A.
Copyee
Duff, David* Pinzur, Laurence
Description
Letter and draft proposal reflecting attorney-client communication and requesting information in furtherance of representation re: annuity purchase quotation. Letter and memo reflecting legal advice and analysis re: severance plan restructuring.
Bates Begin
Bates End
Redacted
No
Privilege
Reason for Disclosure
F, O
10/26/1983 Coffey, William
Attorney-Client
26
10/28/1983 Gordon, David*
No
Attorney-Client
F, U, R
27
10/28/1983 Lachter, Jack
Gordon, David*
Information provided at the request of counsel and in furtherance of representation re: severance plan restructuring options. Letter reflecting legal advice and analysis re: severance plan restructuring.
No
Attorney-Client
F, O, R
28
10/28/1983 Gordon, David*
No
Attorney-Client
F, U
29
11/2/1983 Gordon, David*
Kong, Loong
Letter containing legal advice and analysis and enclosing information in furtherance of representation re: severance and retirement plan documents. Memo providing legal analysis and mental impressions of counsel re: proposed changes to Signal retirement plan.
No
Attorney-Client
F, O, R,
30
12/1/1983 Gordon, David*
Bouzan, Paul Close, Earl Glover, Ed Milligan, Jack McLeod, Jim Leinbach, Charles* Kong, Loong Lachter, Jack Duff, David* Ryan, Kathy* Coffey, William Rauch, Richard
No
Attorney-Client
F, E, O
31
12/15/1983 Debevoise & Plimpton*
Draft plan document reflecting legal advice and strategy re: Garrett retirement plan amendment. Leinbach, Charles* Letter containing legal advice re: computation of service under retirement plan. Draft plan documents reflecting legal advice re: Garrett retirement plan amendments.
No
Attorney-Client
F, R
32
12/19/1983
Gordon, David*
No
Attorney-Client
F
33
12/19/1983
O'Melveny & Myers*
No
Attorney-Client
F, R
Tuesday, May 13, 2008
(*) indicates attorneys and legal professionals
Page 4 of 73
Reasons for Disclosure: F=Fiduciary Exception to Attorney-Client Privilege L=Litigation Not Reasonably Anticipated P=Post-Dates 2/4/84 Signal Plan Amendment
Case
R=No Legal Advice, No Lawyer Involvement or Appears Capable of Redaction to Remove Advice E=Distributed to or Sent by Lower 2:04-cv-00424-ROS Document 451-3 Level Employees Filed 05/16/2008 Page O=Distributed to Outside Actuaries, Consultants and Administrators U=Unknown Distribution, N/A= Plaintiffs Not Seeking Disclsoure
5 of 74
No.
34
Date
Author
Addressee
Lachter, Jack
Copyee
McLeod, Jim
Description
Letter containing attorney-client communication re: draft Signal retirement plan. Letter containing legal advice re: revised draft amendment to Signal savings plan trust agreement.
Bates Begin
Bates End
Redacted
No
Privilege
Reason for Disclosure
F, O, R
12/27/1983 Gordon, David*
Attorney-Client
35
12/28/1983
Duff, David*
Rauch, Richard Arms, Brewster* Gordon, David* Coffey, William Metzger, Warren
No
Attorney-Client
F, O
36
12/29/1983 Gordon, David*
Bouzan, Paul Close, Earl Glover, Ed Milligan, Jack McLeod, Jim Leinbach, Charles* Kong, Loong Lachter, Jack Duff, David* Ryan, James* Coffey, William Rauch, Richard
Memorandum providing legal analysis and containing mental impressions of counsel re: draft Signal retirement plan.
No
Attorney-Client
F, O
37
12/29/1983
Gordon, David*
Norton, R.
Rauch, Richard Sanborn, III, W. Grover, J. Norton, R. Lachter, Jack Duff, David* Franklin, J. Metzger, Warren Hudgens, C. Rauch, Richard
Letter and attachments conveying legal advice and recommendation re: Prudential annuity agreement with Signal Savings and Stock Purchase Plan.
No
Attorney-Client
F, O
Tuesday, May 13, 2008
(*) indicates attorneys and legal professionals
Page 5 of 73
Reasons for Disclosure: F=Fiduciary Exception to Attorney-Client Privilege L=Litigation Not Reasonably Anticipated P=Post-Dates 2/4/84 Signal Plan Amendment
Case
R=No Legal Advice, No Lawyer Involvement or Appears Capable of Redaction to Remove Advice E=Distributed to or Sent by Lower 2:04-cv-00424-ROS Document 451-3 Level Employees Filed 05/16/2008 Page O=Distributed to Outside Actuaries, Consultants and Administrators U=Unknown Distribution, N/A= Plaintiffs Not Seeking Disclsoure
6 of 74
No.
38
Date
Author
Addressee
Coffey, William
Copyee
Description
Fax and attachment containing mental impressions of counsel and legal advice re: Garrett plan amendments. Letter providing legal advice and impressions of counsel re: draft addition to Signal retirement plan. Notes reflecting mental impressions of counsel and legal advice re: meeting re: retirement plan.
Bates Begin
Bates End
Redacted
No
Privilege
Reason for Disclosure
F, P
3/5/1984 Duff, David*
Attorney-Client
39
7/9/1984
Gordon, David*
Leinbach, Charles*
No
Attorney-Client
F, P
40
7/26/1984
O'Melveny & Myers*
No
Attorney-Client
F, D, P
41
8/9/1984 Gordon, David*
Ryan, Kathy*
Letter containing attorney-client communications and legal analysis and mental impressions of counsel re: proposed revision to the Signal Retirement Plan. Handwritten notes reflecting communications with counsel for purposes of developing legal advice and strategy re: claim for SBA benefits. HW0054941 HW0054971
No
Attorney-Client
F, P
42
8/12/1984
O'Neill, Harry*
Yes
Attorney-Client
F
43
8/21/1984 Ryan, Kathy*
Coffey, William
Fax and attachment providing information in furtherance of representation and legal advice re: IRS rules for computation of vesting service. Document reflecting mental impressions of counsel re: draft Signal retirement plan.
No
Attorney-Client
F
44
10/16/1984
Covington & Burling*
No
Attorney-Client
F, P
45
10/22/1984 Gordon, David* Leinbach, Charles*
Leinbach, Charles* Gordon, David* Gordon, David*
Letter and attachments providing legal advice and mental impressions of counsel re: Garrett Retirement Plan. Letter requesting information in furtherance of representation and legal advice re: deferred retirement benefits. Leinbach, Charles* Letter reflecting legal advice re: revised amendment to Signal savings and stock purchase plan.
No
Attorney-Client
F, P
46
10/29/1984 Leinbach, Charles*
No
Attorney-Client
F
47
6/25/1985 Arms, Brewster*
Allen, W.* Perry, R. Hamilton, Steve* Woods, J.
No
Attorney-Client
N/A
48
10/28/1985
Debevoise & Plimpton*
Handwritten notes reflecting mental impressions of counsel re: Signal retirement plan. Gordon, David* Memo and attachments containing information sent in furtherance of representation re: incorporation of Signal retirement plan with Garrett plan.
No
Attorney-Client
F, P
49
12/4/1985 Bennett, T.
No
Attorney-Client
F, P
Tuesday, May 13, 2008
(*) indicates attorneys and legal professionals
Page 6 of 73
Reasons for Disclosure: F=Fiduciary Exception to Attorney-Client Privilege L=Litigation Not Reasonably Anticipated P=Post-Dates 2/4/84 Signal Plan Amendment
Case
R=No Legal Advice, No Lawyer Involvement or Appears Capable of Redaction to Remove Advice E=Distributed to or Sent by Lower 2:04-cv-00424-ROS Document 451-3 Level Employees Filed 05/16/2008 Page O=Distributed to Outside Actuaries, Consultants and Administrators U=Unknown Distribution, N/A= Plaintiffs Not Seeking Disclsoure
7 of 74
No.
50
Date
Author
Addressee
The Administrative Committee Under the Signal Companies, Inc. Retirement Plan The Administrative Committee Under the Signal Companies, Inc. Retirement Plan Breeding, J. Brindley, Elizabeth Cannon, C. Czwalga, E. Donroe, F. Farrell, Mark Gambrel, A. Howland, Gerry* Kehrer, A. Pinzur, Laurence Reed, P. Shaw, Jr., Charles Smith, C. Waters, H. Yarmchuk, Robert
Copyee
Arms, Brewster* Freundlich, B. David Coffey, William Arms, Brewster* Freundlich, B. David Coffey, William Coffey, William Duff, David* Kronheim, Steven*
Description
Memo containing legal advice and mental impressions of counsel re: proposed Signal retirement plan amendments.
Bates Begin
Bates End
Redacted
No
Privilege
Reason for Disclosure
F
1/22/1986 Duff, David*
Attorney-Client
51
1/22/1986
Duff, David*
Memo containing legal advice and mental impressions of counsel re: proposed Signal retirement plan amendments.
No
Attorney-Client
F
52
4/8/1986 Taylor, L.*
Letter providing legal advice re: draft Signal plan amendments.
No
Attorney-Client
E, O
53
4/8/1986
Duff, David*
The Administrative Committee Under the Signal Companies, Inc. Retirement Plan Catapano-Friedman, R.
Draft reflecting mental impressions of counsel and legal advice re: Signal retirement plan amendments.
No
Attorney-Client
F
54
1/20/1987
Gordon, David*
Letter containing attorney-client communication re: IRS HW0055631 filings for Signal retirement plan and IRS determination letters.
Yes
Attorney-Client
F, R
Tuesday, May 13, 2008
(*) indicates attorneys and legal professionals
Page 7 of 73
Reasons for Disclosure: F=Fiduciary Exception to Attorney-Client Privilege L=Litigation Not Reasonably Anticipated P=Post-Dates 2/4/84 Signal Plan Amendment
Case
R=No Legal Advice, No Lawyer Involvement or Appears Capable of Redaction to Remove Advice E=Distributed to or Sent by Lower 2:04-cv-00424-ROS Document 451-3 Level Employees Filed 05/16/2008 Page O=Distributed to Outside Actuaries, Consultants and Administrators U=Unknown Distribution, N/A= Plaintiffs Not Seeking Disclsoure
8 of 74
No.
55
Date
9/19/1995
Author
Wigle, James*
Addressee
O'Keefe, Mary Lou Mercer, Peter McGovern, Patrick*
Copyee
Description
Fax containing attorney-client communications re: potential SBA claims.
Bates Begin
Bates End
Redacted
No
Privilege Reason for Disclosure
Attorney-Client F
56
9/19/1995
Wigle, James*
Snethen, Joe
Fax containing attorney-client communications re: potential SBA claims. Fax containing attorney-client communications re: potential SBA claims. Fax containing attorney-client communications re: potential SBA claims.
No
Attorney-Client
F
57
9/19/1995 Wigle, James*
Snethen, Joe
No
Attorney-Client
F
58
9/19/1995 Wigle, James*
O'Keefe, Mary Lou Mercer, Peter McGovern, Patrick*
No
Attorney-Client
F
59
10/6/1995 Donovan, Tom
Chapman, Craig Goulet, Tom O'Keefe, Mary Lou Payne, Jean Wigle, James*
Email seeking legal advice re: communications to employees re: SBA offset.
No
Attorney-Client
F, E
60
10/9/1995
Wigle, James*
Bocick, E.
Anderson, Vance* McGovern, Patrick* O'Keefe, Mary Lou Sabol, Joy Chapman, Craig Gore, Joe*
Email containing legal advice and mental impressions of counsel re: potential SBA questions and claims.
No
Attorney-Client
F, E
61
10/10/1995
Wigle, James*
Donovan, Tom O'Keefe, Mary Lou
Chapman, Craig
Email chain containing attorney-client communications re: communications to employees re: SBA offset.
No
Attorney-Client
F
62
10/10/1995
Wigle, James*
Donovan, Tom O'Keefe, Mary Lou
Chapman, Craig
Email chain reflecting attorney-client communications re: communications to employees re: SBA.
HW0031561
HW0031571
Yes
Attorney-Client
F
Tuesday, May 13, 2008
(*) indicates attorneys and legal professionals
Page 8 of 73
Reasons for Disclosure: F=Fiduciary Exception to Attorney-Client Privilege L=Litigation Not Reasonably Anticipated P=Post-Dates 2/4/84 Signal Plan Amendment
Case
R=No Legal Advice, No Lawyer Involvement or Appears Capable of Redaction to Remove Advice E=Distributed to or Sent by Lower 2:04-cv-00424-ROS Document 451-3 Level Employees Filed 05/16/2008 Page O=Distributed to Outside Actuaries, Consultants and Administrators U=Unknown Distribution, N/A= Plaintiffs Not Seeking Disclsoure
9 of 74
No.
63
Date
10/12/1995
Author
Arbolida, Max
Addressee
Chapman, Craig Shaw, Don
Copyee
Anderson, Vance* McGovern, Patrick* Anderson, Vance* McGovern, Patrick* Arbolida, Max Gore, Joe*
Description
Email forwarding instructions and legal advice from counsel re: communications with SBA plan participants.
Bates Begin
Bates End
Redacted
No
Privilege Reason for Disclosure
Attorney-Client F
64
10/12/1995 Wigle, James*
Snethen, Joe Donovan, Tom
Email chain and attachment reflecting legal advice re: communications to employees re: SBA.
HW0031582
HW0031585
Yes
Attorney-Client
F
65
10/13/1995
Donovan, Tom
Kong, Loong
Fax and attachments containing information provided at the request of counsel in furtherance of representation re: SBA actuarial analysis. Wigle, James* Snethen, Joe Chapman, Craig O'Keefe, Mary Lou Email and attachment containing attorney-client communications re: SBA offset calculation. HW0032566 HW0032571
No
Attorney-Client
F, O
66
10/13/1995
Donovan, Tom
Rojas, Maureen
Yes
Attorney-Client
F, O
67
10/16/1995 O'Keefe, Mary Lou
Hawkins, Russ
Chapman, Craig Donovan, Tom Payne, Jean Rojas, Maureen Wigle, James*
Email containing attorney-client communications and seeking legal analysis re: potential SBA claims.
No
Attorney-Client
F, E
68
10/16/1995
Chapman, Craig
Handwritten notes reflecting conference with counsel and legal strategy re: SBA issue. Handwritten notes reflecting attorney-client communications re: communications to employees re: SBA. Rojas, Maureen Snethen, Joe Chapman, Craig O'Keefe, Mary Lou Wigle, James* Email and attachment reflecting attorney-client communications and information prepared at the request of counsel re: SBA plan amendment.
No
Attorney-Client
F
69
10/16/1995 Chapman, Craig
No
Attorney-Client
F
70
10/17/1995
Donovan, Tom
No
Attorney-Client
F
Tuesday, May 13, 2008
(*) indicates attorneys and legal professionals
Page 9 of 73
Reasons for Disclosure: F=Fiduciary Exception to Attorney-Client Privilege L=Litigation Not Reasonably Anticipated P=Post-Dates 2/4/84 Signal Plan Amendment
Case
R=No Legal Advice, No Lawyer Involvement or Appears Capable of Redaction to Remove Advice E=Distributed to or Sent by Lower 2:04-cv-00424-ROS Document 451-3 Level Employees Filed 05/16/2008 Page O=Distributed to Outside Actuaries, Consultants and Administrators U=Unknown Distribution, N/A= Plaintiffs Not Seeking Disclsoure
10 of 74
No.
71
Date
Author
Addressee
Chapman, Craig Donovan, Tom Rojas, Maureen
Copyee
Description
Email and attachment reflecting legal analysis and mental impressions of counsel re: potential SBA claims.
Bates Begin
Bates End
Redacted
No
Privilege Reason for Disclosure
Attorney-Client F
10/17/1995 Wigle, James*
72
10/17/1995
Wigle, James*
Chapman, Craig Donovan, Tom Rojas, Maureen
Email and attachment reflecting legal advice re: proposed communications to employee focus groups re: SBA.
No
Attorney-Client
F
73
10/19/1995 Donovan, Tom
Wigle, James*
Chapman, Craig Rojas, Maureen
Email chain containing attorney-client communications re: communications to employees re: SBA. Handwritten notes reflecting attorney-client communications re: communications to employees re: SBA.
No
Attorney-Client
F
74
10/23/1995 Chapman, Craig
No
Attorney-Client
F
75
10/25/1995
Poulin, Carla
Adair, Jerry*
Hawkins, Russ Chapman, Craig
Email containing attorney-client communication re: communications to employees re: SBA. Email chain containing attorney-client communication re: communications to employees re: SBA.
No
Attorney-Client
F, E
76
10/25/1995
Chapman, Craig
Poulin, Carla
Adair, Jerry* Snethen, Joe Hawkins, Russ
No
Attorney-Client
F, E
77
10/26/1995 O' K eefe, Mary Lou
Hawkins, Russ
Wigle, James* Chapman, Craig Rojas, Maureen Donovan, Tom Payne, Jean Goulet, Tom Arbolide, Max
Fax cover sheet and email seeking legal analysis and mental impressions of counsel re: potential SBA claims.
No
Attorney-Client
F, E
78
10/27/1995 Donovan, Tom
Chapman, Craig O'Keefe, Mary Lou Shaw, Don
Payne, Jean Rojas, Maureen Wigle, James* Sabol, Joy
Email chain containing attorney-client communication re: communications to employees re: SBA.
No
Attorney-Client
F, E
Tuesday, May 13, 2008
(*) indicates attorneys and legal professionals
Page 10 of 73
Reasons for Disclosure: F=Fiduciary Exception to Attorney-Client Privilege L=Litigation Not Reasonably Anticipated P=Post-Dates 2/4/84 Signal Plan Amendment
Case
R=No Legal Advice, No Lawyer Involvement or Appears Capable of Redaction to Remove Advice E=Distributed to or Sent by Lower 2:04-cv-00424-ROS Document 451-3 Level Employees Filed 05/16/2008 Page O=Distributed to Outside Actuaries, Consultants and Administrators U=Unknown Distribution, N/A= Plaintiffs Not Seeking Disclsoure
11 of 74
No.
79
Date
Author
Addressee
Adair, Jerry* Snethen, Joe
Copyee
Edwards, Dale Kitchell, Carol O'Connor, Collen Chapman, Craig Sabol, Joy
Description
Email seeking legal analysis and advice re: stand alone SBA statement.
Bates Begin
Bates End
Redacted
No
Privilege Reason for Disclosure
Attorney-Client F, E
11/2/1995 Poulin, Carla
80
11/7/1995 Rojas, Maureen
Adair, Jerry* Snethen, Joe
Email seeking legal advice re: communications to employees re: SBA.
No
Attorney-Client
F, E
81
11/7/1995
Rojas, Maureen
Snethen, Joe Adair, Jerry*
O'Connor, Collen Chapman, Craig Sabol, Joy Shutler, Gary Yarmchuk, Robert
Email reflecting legal advice and mental impressions of counsel re: SBA communication to employees.
No
Attorney-Client
F, E, O
82
11/7/1995 Rojas, Maureen
Adair, Jerry* Snethen, Joe
Email and attachment reflecting legal advice and mental impressions of counsel re: SBA communication to employees. O'Connor, Collen Chapman, Craig Sabol, Joy Email reflecting legal advice and mental impressions of counsel re: SBA communication to employees.
No
Attorney-Client
F
83
11/7/1995
Rojas, Maureen
Snethen, Joe Adair, Jerry*
No
Attorney-Client
F, E
84
11/7/1995
Rojas, Maureen
Adair, Jerry* Snethen, Joe
O'Connor, Collen Chapman, Craig Sabol, Joy
Email reflecting legal advice and mental impressions of counsel re: SBA communication to employees.
No
Attorney-Client
F, E
85
11/8/199 5 Adair, Jerry*
Snethen, Joe Rojas, Maureen
O'Connor, Collen Chapman, Craig Sabol, Joy
Email reflecting legal advice and mental impressions of counsel re: SBA communication to employees.
No
Attorney-Client
F, E
86
11/8/1995
Adair, Jerry*
Snethen, Joe Rojas, Maureen
O'Connor, Collen Chapman, Craig Sabol, Joy
Email reflecting legal advice and mental impressions of counsel re: SBA communication to employees.
No
Attorney-Client
F, E
Tuesday, May 13, 2008
(*) indicates attorneys and legal professionals
Page 11 of 73
Reasons for Disclosure: F=Fiduciary Exception to Attorney-Client Privilege L=Litigation Not Reasonably Anticipated P=Post-Dates 2/4/84 Signal Plan Amendment
Case
R=No Legal Advice, No Lawyer Involvement or Appears Capable of Redaction to Remove Advice E=Distributed to or Sent by Lower 2:04-cv-00424-ROS Document 451-3 Level Employees Filed 05/16/2008 Page O=Distributed to Outside Actuaries, Consultants and Administrators U=Unknown Distribution, N/A= Plaintiffs Not Seeking Disclsoure
12 of 74
No.
87
Date
Author
Addressee
Arbolida, Max Shaw, Don O'Keefe, Mary Lou Donovan, Tom Chapman, Craig
Copyee
Description
Email containing attorney-client communication re: potential litigation involving Garrett SBA.
Bates Begin
Bates End
Redacted
No
Privilege Reason for Disclosure
Attorney-Client F
11/13/1995 Wigle, James*
88
11/13/1995 Wigle, James*
Chapman, Craig Donovan, Tom O'Keefe, Mary Lou Shaw, Don Arbolida, Max
Email chain containing attorney-client communications re: potential litigation involving Garrett SBA.
No
Attorney-Client
F
89
11/13/1995 Rojas, Maureen
Adair, Jerry* Snethen, Joe Poulin, Carla
Chapman, Craig Sabol, Joy
Email seeking legal advice re: communications to employees re: SBA.
HW0031961
HW0031963
Yes
Attorney-Client
F, E
90
11/16/1995
Rojas, Maureen
Foster, Chuck Nicholls, Mark Shaw, Don Arbolida, Max
Adair, Jerry* O'Connor, Collen Snethen, Joe Chapman, Craig Donovan, Tom O'Keefe, Mary Lou Payne, Jean Wigle, James* Hultquist, Kyle Sabol, Joy Mercer, Peter
Email chain containing attorney-client communications and reflecting legal advice re: communications to employees re: SBA.
No
Attorney-Client
F, E
Tuesday, May 13, 2008
(*) indicates attorneys and legal professionals
Page 12 of 73
Reasons for Disclosure: F=Fiduciary Exception to Attorney-Client Privilege L=Litigation Not Reasonably Anticipated P=Post-Dates 2/4/84 Signal Plan Amendment
Case
R=No Legal Advice, No Lawyer Involvement or Appears Capable of Redaction to Remove Advice E=Distributed to or Sent by Lower 2:04-cv-00424-ROS Document 451-3 Level Employees Filed 05/16/2008 Page O=Distributed to Outside Actuaries, Consultants and Administrators U=Unknown Distribution, N/A= Plaintiffs Not Seeking Disclsoure
13 of 74
No.
91
Date
11/17/1995
Author
Rojas, Maureen
Addressee
Foster, Chuck Nicholls, Mark Arbolida, Max Shaw, Don
Copyee
Chapman, Craig Donovan, Tom O'Keefe, Mary Lou Payne, Jean Goulet, Tom Wigle, James* Hultquist, Kyle Sabol, Joy Mercer, Peter
Description
Email chain reflecting legal advice re: communications to employees re: SBA offset.
Bates Begin
Bates End
Redacted
No
Privilege Reason for Disclosure
Attorney-Client F, E
92
11/17/1995
Rojas, Maureen
Bendino, Marilyn Bohne, Jeff Chapman, Craig Fincher, Dick Flannagan, Gary Foster, Chuck Galloway, Zena Johnson, Lisa Kepner, Mary Livermore, Lucy Martinez, Joel Mattick, Susan Nicholls, Mark Nicoson, Cookie Oliver, Kendall Parsons, Sally
Email chain reflecting legal advice re: communications to employees re: SBA.
No
Attorney-Client
F, E
Tuesday, May 13, 2008
(*) indicates attorneys and legal professionals
Page 13 of 73
Reasons for Disclosure: F=Fiduciary Exception to Attorney-Client Privilege L=Litigation Not Reasonably Anticipated P=Post-Dates 2/4/84 Signal Plan Amendment
Case
R=No Legal Advice, No Lawyer Involvement or Appears Capable of Redaction to Remove Advice E=Distributed to or Sent by Lower 2:04-cv-00424-ROS Document 451-3 Level Employees Filed 05/16/2008 Page O=Distributed to Outside Actuaries, Consultants and Administrators U=Unknown Distribution, N/A= Plaintiffs Not Seeking Disclsoure
14 of 74
No.
93
Date
Author
Addressee
Foster, Chuck Nicholls, Mark Shaw, Don Arbolida, Max
Copyee
Chapman, Craig Donovan, Tom O'Keefe, Mary Lou Payne, Jean Goulet, Tom Wigle, James* Hultquist, Kyle Sabol, Joy Mercer, Peter
Description
Email chain containing attorney-client communications and reflecting legal advice re: communications to employees re: SBA.
Bates Begin
Bates End
Redacted
No
Privilege
Reason for Disclosure
F, E
11/17/1995 Rojas, Maureen
Attorney-Client
94
11/20/1995
Snethen, Joe Rojas, Maureen
Bryant, Stacey Foster, Chuck Nicholls, Mark Shaw, Don Arbolida, Max
Adair, Jerry* O'Connor, Collen Snethen, Joe Chapman, Craig Donovan, Tom O'Keefe, Mary Lou Payne, Jean Goulet, Tom Wigle, James* Hultquist, Kyle Sabol, Joy Mercer, Peter
Email chain containing attorney-client communications and reflecting legal advice re: communications to employees re: SBA.
No
Attorney-Client
F, E
95
12/4/1995
Adair, Jerry*
Chapman, Craig
Email containing mental impressions of counsel and legal advice re: SBA video. Email containing legal advice re: communications to employees re: SBA.
No
Attorney-Client
F
96
12/4/1995
Adair, Jerry*
Chapman, Craig
No
Attorney-Client
F
Tuesday, May 13, 2008
(*) indicates attorneys and legal professionals
Page 14 of 73
Reasons for Disclosure: F=Fiduciary Exception to Attorney-Client Privilege L=Litigation Not Reasonably Anticipated P=Post-Dates 2/4/84 Signal Plan Amendment
Case
R=No Legal Advice, No Lawyer Involvement or Appears Capable of Redaction to Remove Advice E=Distributed to or Sent by Lower 2:04-cv-00424-ROS Document 451-3 Level Employees Filed 05/16/2008 Page O=Distributed to Outside Actuaries, Consultants and Administrators U=Unknown Distribution, N/A= Plaintiffs Not Seeking Disclsoure
15 of 74
No.
97
Date
12/11/1995
Author
Chapman, Craig
Addressee
Adair, Jerry* Edwards, Dale Snethen, Joe
Copyee
O'Keefe, Mary Lou Shaw, Don Rojas, Maureen Wigle, James* Edwards, Dale O'Keefe, Mary Lou Rojas, Maureen Wigle, James* Shaw, Don
Description
Email containing attorney-client communications re: SBA offset.
Bates Begin
Bates End
Redacted
No
Privilege Reason for Disclosure
Attorney-Client F
98
12/11/1995
Chapman, Craig
Adair, Jerry* Snethen, Joe Edwards, Dale
O'Keefe, Mary Lou Rojas, Maureen Wigle, James* Shaw, Don
Email containing attorney-client communications re: SBA communication to employees.
No
Attorney-Client
F
99
12/11/1995
Chapman, Craig
Adair, Jerry* Edwards, Dale Snethen, Joe
O'Keefe, Mary Lou Shaw, Don Rojas, Maureen Wigle, James*
Email containing attorney-client communications re: SBA offset.
No
Attorney-Client
F
100
12/11/1995 Chapman, Craig
Adair, Jerry* Snethen, Joe Edwards, Dale
O'Keefe, Mary Lou Rojas, Maureen Wigle, James* Shaw, Don
Email reflecting attorney-client communication and mental impressions of counsel re: SBA communication to employees.
No
Attorney-Client
F
101
12/11/1995 Chapman, Craig
Adair, Jerry* Edwards, Dale Snethen, Joe
O'Keefe, Mary Lou Shaw, Don Rojas, Maureen Wigle, James*
Email requesting legal advice re: communications to employees re: SBA.
HW0031885
HW0031887
Yes
Attorney-Client
F
Tuesday, May 13, 2008
(*) indicates attorneys and legal professionals
Page 15 of 73
Reasons for Disclosure: F=Fiduciary Exception to Attorney-Client Privilege L=Litigation Not Reasonably Anticipated P=Post-Dates 2/4/84 Signal Plan Amendment
Case
R=No Legal Advice, No Lawyer Involvement or Appears Capable of Redaction to Remove Advice E=Distributed to or Sent by Lower 2:04-cv-00424-ROS Document 451-3 Level Employees Filed 05/16/2008 Page O=Distributed to Outside Actuaries, Consultants and Administrators U=Unknown Distribution, N/A= Plaintiffs Not Seeking Disclsoure
16 of 74
No.
102
Date
12/11/1995
Author
Chapman, Craig
Addressee
Edwards, Dale Snethen, Joe Adair, Jerry*
Copyee
Shaw, Don Wigle, James* O'Keefe, Mary Lou Rojas, Maureen
Description
Email containing attorney-client communication re: feedback from employee re: communications to employees re: SBA.
Bates Begin
HW0031891
Bates End
HW0031901
Redacted
Yes
Privilege
Reason for Disclosure
F
Attorney-Client
103
12/11/1995
Edwards, Dale Chapman, Craig
Chapman, Craig Adair, Jerry* Snethen, Joe Edwards, Dale
Snethen, Joe O'Keefe, Mary Lou Rojas, Maureen Wigle, James* Shaw, Don
Email containing attorney-client communication re: feedback from employee re: communications to employees re: SBA.
No
Attorney-Client
F
104
12/11/1995 Chapman, Craig
Adair, Jerry* Edwards, Dale Snethen, Joe
O'Keefe, Mary Lou Shaw, Don Rojas, Maureen Wigle, James*
Email containing attorney-client communication re: feedback from employee re: communications to employees re: SBA.
HW0031902
HW0031905
Yes
Attorney-Client
F
105
12/11/1995
Chapman, Craig
Edwards, Dale Snethen, Joe Adair, Jerry*
O'Keefe, Mary Lou Rojas, Maureen Wigle, James* Shaw, Don
Email containing attorney-client communication re: feedback from employee re: communications to employees re: SBA.
HW0031914
HW0031914
Yes
Attorney-Client
F
106
12/11/1995
Chapman, Craig
Edwards, Dale Snethen, Joe Adair, Jerry*
Shaw, Don Wigle, James* O'Keefe, Mary Lou Rojas, Maureen
Email containing attorney-client communication re: feedback from employee re: communications to employees re: SBA.
HW0056759
HW0056769
Yes
Attorney-Client
F
107
12/18/1995 Adair, Jerry*
Chapman, Craig
Snethen, Joe Edwards, Dale O'Keefe, Mary Lou Rojas, Maureen Wigle, James* Shaw, Don
Email providing legal advice for draft presentation re: SBA offset.
No
Attorney-Client
F
Tuesday, May 13, 2008
(*) indicates attorneys and legal professionals
Page 16 of 73
Reasons for Disclosure: F=Fiduciary Exception to Attorney-Client Privilege L=Litigation Not Reasonably Anticipated P=Post-Dates 2/4/84 Signal Plan Amendment
Case
R=No Legal Advice, No Lawyer Involvement or Appears Capable of Redaction to Remove Advice E=Distributed to or Sent by Lower 2:04-cv-00424-ROS Document 451-3 Level Employees Filed 05/16/2008 Page O=Distributed to Outside Actuaries, Consultants and Administrators U=Unknown Distribution, N/A= Plaintiffs Not Seeking Disclsoure
17 of 74
No.
108
Date
12/18/1995
Author
Adair, Jerry*
Addressee
Chapman, Craig
Copyee
Snethen, Joe Edwards, Dale O'Keefe, Mary Lou Rojas, Maureen Wigle, James* Shaw, Don
Description
Email containing legal advice re: communications with employees re: SBA.
Bates Begin
Bates End
Redacted
No
Privilege Reason for Disclosure
Attorney-Client F
109
1/1/1996 Denlinger, Kurt
Chart containing analysis prepared at the request of counsel for purposes of developing legal advice and in furtherance of representation re: individual benefits calculations for potential lawsuit Handwritten notes reflecting legal re: IRS determination HW0055208 re: AlliedSignal retirement plan. Greenman, Jane* Fincher, Dick Email seeking legal advice re: treatment of SBA accounts for rehired employees. Email communication from counsel reflecting legal advice re: proposed SBA amendments. Email providing information and analyzing benefits at request of counsel for purpose of providing legal advice and strategy re: ADEA lawsuit. Email and attached presentation containing attorneyclient communications re: proposed design changes to SBA. HW0031839 HW0055028
No
Attorney-Client; Work Product
F, O, L
110
1/22/1997
Kronheim, Steven*
Yes
Attorney-Client
F
111
6/19/1997
Sowecke, Tom
HW0031841
Yes
Attorney-Client
F, E
112
7/10/1997
Sowecke, Tom
Greenman, Jane*
Fincher, Dick
Yes
Attorney-Client
F, E
113
5/14/1999 Conte, Carol
Rusin, P.
Greenman, Jane* Denlinger, Kurt
No
Attorney-Client
N/A
114
9/17/1999 Rosenberg, Melanie
Mathis, Kathleen Snethen, Joe Edwards, Dale Payne, Jean Covert, Kevin* Greenman, Jane* Denlinger, Kurt
No
Attorney-Client
F, E, O
Tuesday, May 13, 2008
(*) indicates attorneys and legal professionals
Page 17 of 73
Reasons for Disclosure: F=Fiduciary Exception to Attorney-Client Privilege L=Litigation Not Reasonably Anticipated P=Post-Dates 2/4/84 Signal Plan Amendment
Case
R=No Legal Advice, No Lawyer Involvement or Appears Capable of Redaction to Remove Advice E=Distributed to or Sent by Lower 2:04-cv-00424-ROS Document 451-3 Level Employees Filed 05/16/2008 Page O=Distributed to Outside Actuaries, Consultants and Administrators U=Unknown Distribution, N/A= Plaintiffs Not Seeking Disclsoure
18 of 74
No.
115
Date
9/20/1999
Author
Mathis, Kathleen
Addressee
Greenman, Jane* Covert, Kevin* Snethen, Joe Edwards, Dale Rosenberg, Melanie
Copyee
Payne, Jean Mercer, Peter
Description
Email with handwritten notes and attachment seeking legal advice re: SBA alternatives.
Bates Begin
Bates End
Redacted
No
Privilege
Reason for Disclosure
F, E
Attorney-Client
116
9/20/1999 Mathis, Kathleen
Greenman, Jane* Covert, Kevin* Snethen, Joe Edwards, Dale Rosenberg, Melanie
Email sending draft presentation to counsel for purpose of securing legal advice re: proposed SBA alternatives under Signal Retirement Plan.
No
Attorney-Client
F, E
117
3/14/2000 Denlinger, Kurt
Gangone, Marie*
Fax transmitting information prepared at the request of counsel for purposes of securing legal advice re: benefits calculations. Handwritten notes reflecting legal advice re: communications to employees re: proposed plan amendments.
HW0032511
HW0032514
Yes
Attorney-Client
F, O
118
3/31/2000
Chapman, Craig
HW0031262
HW0031264
Yes
Attorney-Client
F
119
4/4/2000 Chapman, Craig
Smith, C.
Mathis, Kathleen Burnelko, Cindy Payne, Jean
Email chain and attachment reflecting legal advice re: draft SBA communication.
No
Attorney-Client
F, E, O
120
4/4/2000
Chapman, Craig
Clarke, Allen* Payne, Jean
Email chain containing legal advice re: draft communication re: SBA.
No
Attorney-Client
F, E
121
4/10/2000 Chapman, Craig
Handwritten notes reflecting legal advice re: communications to employees re: proposed plan amendments.
No
Attorney-Client
F, E
Tuesday, May 13, 2008
(*) indicates attorneys and legal professionals
Page 18 of 73
Reasons for Disclosure: F=Fiduciary Exception to Attorney-Client Privilege L=Litigation Not Reasonably Anticipated P=Post-Dates 2/4/84 Signal Plan Amendment
Case
R=No Legal Advice, No Lawyer Involvement or Appears Capable of Redaction to Remove Advice E=Distributed to or Sent by Lower 2:04-cv-00424-ROS Document 451-3 Level Employees Filed 05/16/2008 Page O=Distributed to Outside Actuaries, Consultants and Administrators U=Unknown Distribution, N/A= Plaintiffs Not Seeking Disclsoure
19 of 74
No.
122
Date
4/13/2000
Author
Denlinger, Kurt
Addressee
Mathis, Kathleen
Copyee
Burnelko, Cindy Covert, Kevin* Marcotte, Brian Murphy, Blake Conte, Carol Sher, F. D'Ariano, Frank
Description
Email providing benefits analysis to counsel for purposes of developing legal advice and strategy re: effect of proposed plan amendment and ADEA claims.
Bates Begin
Bates End
Redacted
No
Privilege
Reason for Disclosure
N/A
Attorney-Client
123
4/13/2000 Chapman, Craig
Chapman, Craig Clarke, Allen* Mathis, Kathleen Burnelko, Cindy Murphy, Blake
Rojas, Maureen Payne, Jean Saperstein, Steven
Email chain and attachment seeking legal advice re: communications to participants re: SBA plan.
No
Attorney-Client
F, E, O
124
4/13/2000 Chapman, Craig
Chapman, Craig Clarke, Allen* Mathis, Kathleen Burnelko, Cindy Murphy, Blake
Rojas, Maureen
Email chain and attachment seeking legal advice re: communications to participants re: SBA plan.
No
Attorney-Client
F, O
125
4/14/2000
Covert, Kevin*
Denlinger, Kurt
Email from and forwarding correspondence by counsel re: benefits analysis for purpose of developing legal advice and strategy. Clarke, Allen* Mathis, Kathleen Burnelko, Cindy Rojas, Maureen Payne, Jean Saperstein, Steven Harris, Rita Email chain including request for legal advice re: draft communications re: SBA offset.
No
Attorney-Client
F, O
126
4/14/2000
Murphy, Blake
Chapman, Craig
No
Attorney-Client
F, E, O
Tuesday, May 13, 2008
(*) indicates attorneys and legal professionals
Page 19 of 73
Reasons for Disclosure: F=Fiduciary Exception to Attorney-Client Privilege L=Litigation Not Reasonably Anticipated P=Post-Dates 2/4/84 Signal Plan Amendment
Case
R=No Legal Advice, No Lawyer Involvement or Appears Capable of Redaction to Remove Advice E=Distributed to or Sent by Lower 2:04-cv-00424-ROS Document 451-3 Level Employees Filed 05/16/2008 Page O=Distributed to Outside Actuaries, Consultants and Administrators U=Unknown Distribution, N/A= Plaintiffs Not Seeking Disclsoure
20 of 74
No.
127
Date
Author
Addressee
Murphy, Blake
Copyee
Saperstein, Steven Mathis, Kathleen Rojas, Maureen Payne, Jean
Description
Email chain discussing and forwarding request for legal advice from counsel re: draft communications re: SBA offset.
Bates Begin
Bates End
Redacted
No
Privilege
Reason for Disclosure
F, E, O
4/14/2000 Chapman, Craig
Attorney-Client
128
4/14/2000 Chapman, Craig
Payne, Jean Rojas, Maureen
Saperstein, Steven Oliver, Kendall Robles, Josie
Email chain discussing and forwarding legal analysis from counsel re: SBA eligibility date.
No
Attorney-Client
F, E
129
4/14/2000 Clarke, Allen*
Rojas, Maureen Chapman, Craig Mathis, Kathleen Rojas, Maureen Payne, Jean Saperstein, Steven
Email chain and attachments providing legal advice re: communications to participants re: SBA plan.
No
Attorney-Client
F, E
130
4/14/2000
Clark e, Allen*
Chapman, Craig Mathis, Kathleen Burnelko, Cindy Murphy, Blake Rojas, Maureen Payne, Jean Saperstein, Steven
Email chain and attachment providing legal advice re: communications to participants re: SBA plan.
No
Attorney-Client
F ,E,O
131
4/24/2000
Greenman, Jane*
Clarke, Allen*
Chapman, Craig Rojas, Maureen
Email chain containing legal advice re: communications to employees re: proposed plan amendments. Emails discussing benefits analysis prepared at the request of counsel for purpose of providing legal advice and forwarding communications with counsel re: proposed plan amendments. Email chain containing legal advice re: communications HW0031342 to employees re: proposed plan amendments. HW0031349
No
Attorney-Client
N/A
132
4/24/2000 Denlinger, Kurt
Murphy, Blake
Smith, C.
No
Attorney-Client
N/A
133
4/25/2000
Greenman, Jane*
Chapman, Craig Clarke, Allen*
Mathis, Kathleen Marcotte, Brian
Yes
Attorney-Client
F
Tuesday, May 13, 2008
(*) indicates attorneys and legal professionals
Page 20 of 73
Reasons for Disclosure: F=Fiduciary Exception to Attorney-Client Privilege L=Litigation Not Reasonably Anticipated P=Post-Dates 2/4/84 Signal Plan Amendment
Case
R=No Legal Advice, No Lawyer Involvement or Appears Capable of Redaction to Remove Advice E=Distributed to or Sent by Lower 2:04-cv-00424-ROS Document 451-3 Level Employees Filed 05/16/2008 Page O=Distributed to Outside Actuaries, Consultants and Administrators U=Unknown Distribution, N/A= Plaintiffs Not Seeking Disclsoure
21 of 74
No.
134
Date
4/25/2000
Author
Covert, Kevin*
Addressee
Denlinger, Kurt
Copyee
Greenman, Jane* Vine, John*
Description
Email from counsel requesting analysis for purposes of developing legal advice re: benefits calculations. Handwritten notes reflecting legal advice re: communications to employees re: proposed plan amendments.
Bates Begin
Bates End
Redacted
No
Privilege Reason for Disclosure
Attorney-Client F, O
135
4/25/2000
Chapman, Craig
HW0031300
HW0031308
Yes
Attorney-Client
F
136
4/27/2000
Clarke, Allen*
Chapman, Craig
Greenman, Jane*
E-mail chain reflecting legal advice re: communications to employees re: SBA offset. Email forwarding draft communications to counsel for purposes of securing legal advice re: proposed amendments concerning the SBA.
No
Attorney-Client
F
137
5/3/2000 Chapman, Craig
Mathis, Kathleen
Rojas, Maureen Clarke, Allen* Payne, Jean
No
Attorney-Client
N/A
138
5/3/2000 Mathis, Kathleen Clarke, Allen*
Chapman, Craig
Fax reflecting handwritten notes and legal advice from counsel re: draft SBA presentation.
No
Attorney-Client
F
139
5/15/2000 Mathis, Kathleen
Rojas, Maureen Murphy, Blake
Email chain including request for legal advice re: draft SBA communication materials. Email correspondence responding to request from counsel for analysis re: ADEA claim and SBA amendment for purposes of developing legal advice and strategy. Email correspondence responding to request from counsel for analysis re: ADEA claim and SBA amendment for purposes of developing legal advice and strategy. Murphy, Blake Email correspondence responding to request from counsel for analysis re: ADEA claim and SBA amendment for purposes of developing legal advice and strategy. Email correspondence responding to request from counsel for analysis re: ADEA claim and SBA amendment for purposes of developing legal advice and strategy. Email correspondence responding to request from counsel for analysis re: SBA amendment for purposes of developing legal advice and strategy and forwarding correspondence with counsel re: same.
No
Attorney-Client
F, R
140
5/16/2000
Endrizzi, Jim
Denlinger, Kurt
No
Attorney-Client
N/A
141
5/16/2000 Denlinger, Kurt
Murphy, Blake
No
Attorney-Client
N/A
142
5/17/2000
Endrizzi, Jim
Denlinger, Kurt
No
Attorney-Client
N/A
143
5/19/2000 Denlinger, Kurt
Endrizzi, Jim
No
Attorney-Client N/A
144
5/23/2000 Endrizzi, Jim
Denlinger, Kurt
No
Attorney-Client
N/A
Tuesday, May 13, 2008
(*) indicates attorneys and legal professionals
Page 21 of 73
Reasons for Disclosure: F=Fiduciary Exception to Attorney-Client Privilege L=Litigation Not Reasonably Anticipated P=Post-Dates 2/4/84 Signal Plan Amendment
Case
R=No Legal Advice, No Lawyer Involvement or Appears Capable of Redaction to Remove Advice E=Distributed to or Sent by Lower 2:04-cv-00424-ROS Document 451-3 Level Employees Filed 05/16/2008 Page O=Distributed to Outside Actuaries, Consultants and Administrators U=Unknown Distribution, N/A= Plaintiffs Not Seeking Disclsoure
22 of 74
No.
145
Date
5/24/2000
Author
Denlinger, Kurt
Addressee
Horne, Carolyn
Copyee
Description
Fax providing analysis requested by counsel re: SBA account balances for purpose of developing legal advice. Email providing benefits analysis at the request of counsel re: potential SBA amendment for purposes of developing legal advice.
Bates Begin
Bates End
Redacted
No
Privilege
Reason for Disclosure
N/A
Attorney-Client
146
5/24/2000 Denlinger, Kurt
Horne, Carolyn Greenman, Jane* Covert, Kevin* Mathis, Kathleen
No
Attorney-Client
N/A
147
5/24/2000 Endrizzi, Jim
Denlinger, Kurt
Email correspondence responding to request from counsel for analysis re: SBA amendment for purposes of developing legal advice and strategy and forwarding correspondence with counsel re: same. Email from counsel requesting analysis re: SBA amendment for purposes of developing legal advice. Email responding to request from counsel for analysis re: SBA amendment for purposes of developing legal advice.
No
Attorney-Client
N/A
148
5/24/2000
Greenman, Jane*
Denlinger, Kurt
No
Attorney-Client
N/A
149
5/26/2000
Denlinger, Kurt
Horne, Carolyn Greenman, Jane* Mathis, Kathleen Covert, Kevin* Murphy, Blake Endrizzi, Jim
No
Attorney-Client
N/A
150
5/26/2000 Murphy, Blake
Denlinger, Kurt
Email correspondence responding to request from counsel for analysis re: SBA amendment for purposes of developing legal advice and strategy and forwarding correspondence with counsel re: same. Email providing analysis at the request of counsel re: SBA amendment for purposes of developing legal advice.
No
Attorney-Client
N/A
151
5/26/2000
Denlinger, Kurt
Horne, Carolyn Greenman, Jane* Covert, Kevin* Mathis, Kathleen
No
Attorney-Client
N/A
152
5/31/2000
Covert, Kevin*
Denlinger, Kurt
Email from counsel requesting information and analysis re: proposed SBA amendment for purposes of developing legal advice and forwarding correspondence re: same.
No
Attorney-Client
N/A
Tuesday, May 13, 2008
(*) indicates attorneys and legal professionals
Page 22 of 73
Reasons for Disclosure: F=Fiduciary Exception to Attorney-Client Privilege L=Litigation Not Reasonably Anticipated P=Post-Dates 2/4/84 Signal Plan Amendment
Case
R=No Legal Advice, No Lawyer Involvement or Appears Capable of Redaction to Remove Advice E=Distributed to or Sent by Lower 2:04-cv-00424-ROS Document 451-3 Level Employees Filed 05/16/2008 Page O=Distributed to Outside Actuaries, Consultants and Administrators U=Unknown Distribution, N/A= Plaintiffs Not Seeking Disclsoure
23 of 74
No.
153
Date
Author
Addressee
Horne, Carolyn Greenman, Jane* Mathis, Kathleen Covert, Kevin* Murphy, Blake Endrizzi, Jim
Copyee
Description
Email correspondence responding to request from counsel for analysis re: SBA amendment for purposes of developing legal advice and strategy and forwarding correspondence with counsel re: same.
Bates Begin
Bates End
Redacted
No
Privilege Reason for Disclosure
Attorney-Client N/A
5/31/2000 Denlinger, Kurt
154
5/31/2000
Denlinger, Kurt
Covert, Kevin*
Murphy, Blake Endrizzi, Jim
Email providing analysis at the request of counsel re: proposed SBA amendment for purposes of providing legal advice and forwarding correspondence re: same. Email from counsel requesting information and analysis re: proposed SBA amendment for purposes of developing legal advice and forwarding correspondence re: same.
No
Attorney-Client
N/A
155
5/31/2000 Horne, Carolyn
Denlinger, Kurt Mathis, Kathleen Murphy, Blake Endrizzi, Jim
No
Attorney-Client
N/A
156
5/31/2000
Endrizzi, Jim
Denlinger, Kurt
Email providing analysis at the request of counsel re: proposed SBA amendment for purposes of providing legal advice and forwarding correspondence re: same. Email chain containing analysis prepared for purposes of providing legal advice re: proposed SBA amendment.
No
Attorney-Client
N/A
157
5/31/2000 Denlinger, Kurt
Horne, Carolyn Greenman, Jane* Mathis, Kathleen Covert, Kevin* Murphy, Blake Endrizzi, Jim
No
Attorney-Client
N/A
158
6/1/2000
Denlinger, Kurt
Endrizzi, Jim Murphy, Blake
Email correspondence responding to request from counsel for analysis re: SBA amendment for purposes of developing legal advice and strategy and forwarding correspondence with counsel re: same. Email providing analysis at the request of counsel re: proposed SBA amendment for purposes of providing legal advice and forwarding correspondence re: same.
No
Attorney-Client
N/A
159
6/2/2000
Endrizzi, Jim
Denlinger, Kurt Horne, Carolyn Greenman, Jane* Mathis, Kathleen
No
Attorney-Client
N/A
Tuesday, May 13, 2008
(*) indicates attorneys and legal professionals
Page 23 of 73
Reasons for Disclosure: F=Fiduciary Exception to Attorney-Client Privilege L=Litigation Not Reasonably Anticipated P=Post-Dates 2/4/84 Signal Plan Amendment
Case
R=No Legal Advice, No Lawyer Involvement or Appears Capable of Redaction to Remove Advice E=Distributed to or Sent by Lower 2:04-cv-00424-ROS Document 451-3 Level Employees Filed 05/16/2008 Page O=Distributed to Outside Actuaries, Consultants and Administrators U=Unknown Distribution, N/A= Plaintiffs Not Seeking Disclsoure
24 of 74
No.
160
Date
6/2/2000
Author
Endrizzi, Jim
Addressee
Denlinger, Kurt
Copyee
Horne, Carolyn Greenman, Jane* Mathis, Kathleen Covert, Kevin* Murphy, Blake
Description
Email providing analysis at the request of counsel re: proposed SBA amendment for purposes of providing legal advice and forwarding correspondence re: same.
Bates Begin
Bates End
Redacted
No
Privilege Reason for Disclosure
Attorney-Client N/A
161
6/26/2000 Denlinger, Kurt
Marcotte, Brian Covert, Kevin* Edwards, Dale
Email providing analysis at the request of counsel re: proposed SBA amendment for purposes of providing legal advice and forwarding correspondence re: same.
No
Attorney-Client
N/A
162
7/19/2000
Edwards, Dale
Denlinger, Kurt Edwards, Dale
Marcotte, Brian Covert, Kevin* Edwards, Dale Marcotte, Brian Covert, Kevin*
Email requesting information and analysis re: proposed SBA amendment for purposes of developing legal advice and forwarding correspondence re: same. Email providing analysis at the request of counsel re: proposed SBA amendment for purposes of providing legal advice and forwarding correspondence re: same.
No
Attorney-Client
F, P, O
163
7/19/2000
Denlinger, Kurt
Edwards, Dale
No
Attorney-Client
F, P, O
164
8/31/2000
Burden, Jay
Covert, Kevin* Edwards, Dale Greenman, Jane* Heagstedt, J. Kitchell, Carol Mathis, Kathleen Tokar, Edward Matthews, R.
Memo containing request for legal advice re: Prudential proposal re: SBA annuity contract.
No
Attorney-Client
N/A
165
9/4/2000
Covert, Kevin*
Burnelko, Cindy Covert, Kevin* Gangone, Marie* Gangone, Marie* Mathis, Kathleen McDonald, Cathy Mathis, Kathleen McDonald, Cathy
Email from counsel requesting information and analysis for purposes of providing legal advice re: proposed SBA amendment.
No
Attorney-Client
F, P, E
166
9/5/2000 Covert, Kevin*
Mathis, Kathleen Gangone, Marie*
Email from counsel requesting information and analysis for purposes of providing legal advice re: proposed SBA amendment.
No
Attorney-Client
F, P
Tuesday, May 13, 2008
(*) indicates attorneys and legal professionals
Page 24 of 73
Reasons for Disclosure: F=Fiduciary Exception to Attorney-Client Privilege L=Litigation Not Reasonably Anticipated P=Post-Dates 2/4/84 Signal Plan Amendment
Case
R=No Legal Advice, No Lawyer Involvement or Appears Capable of Redaction to Remove Advice E=Distributed to or Sent by Lower 2:04-cv-00424-ROS Document 451-3 Level Employees Filed 05/16/2008 Page O=Distributed to Outside Actuaries, Consultants and Administrators U=Unknown Distribution, N/A= Plaintiffs Not Seeking Disclsoure
25 of 74
No.
167
Date
9/5/2000
Author
McDonald, Cathy
Addressee
Covert, Kevin* Burnelko, Cindy Gangone, Marie* Mathis, Kathleen
Copyee
Description
Email responding to request from counsel for information and analysis for purposes of providing legal advice re: proposed SBA amendment and forwarding correspondence re: same.
Bates Begin
Bates End
Redacted
No
Privilege Reason for Disclosure
Attorney-Client F, P, E
168
9/5/2000
Denlinger, Kurt
Covert, Kevin*
Email responding to request from counsel for information and analysis for purposes of providing legal advice re: proposed SBA amendment and forwarding correspondence re: same. Payne, Jean Email chain and attachment containing attorney-client communications re: draft plan amendment. Memo containing request for legal advice re: Prudential HW0026374 proposal re: SBA annuity contract. HW0026378
No
Attorney-Client
F, P, O
169
9/13/2000
Chapman, Craig
Mathis, Kathleen
No
Attorney-Client
F, P, E
170
10/3/2000 Burden, Jay
Edwards, Dale Mathis, Kathleen
Covert, Kevin* Greenman, Jane* Tokar, Edward
Yes
Attorney-Client
N/A
171
10/11/2000
Gangone, Marie*
Denlinger, Kurt
Email providing information at the request of counsel re: benefits calculations and background for administrative claimant for purposes of providing legal advice and legal strategy. Email providing information at the request of counsel re: benefits calculations and background for administrative claimant for purposes of providing legal advice and legal strategy. Covert, Kevin* Greenman, Jane* Heagstedt, J. Tokar, Edward Zeleney, D. Memo containing request for legal advice re: Prudential proposal re: SBA annuity contract.
No
Attorney-Client
F, O, R
172
10/11/2000 Gangone, Marie*
Denlinger, Kurt
No
Attorney-Client
F, O, R
173
11/1/2000
Burden, Jay
Edwards, Dale Mathis, Kathleen
No
Attorney-Client
N/A
174
11/3/200 Burden, Jay
Edwards, Dale Mathis, Kathleen
Covert, Kevin* Tokar, Edward Greenman, Jane*
Memo containing request for legal advice re: Prudential HW0026384 proposal re: SBA annuity contract.
HW0026388
Yes
Attorney-Client
N/A
Tuesday, May 13, 2008
(*) indicates attorneys and legal professionals
Page 25 of 73
Reasons for Disclosure: F=Fiduciary Exception to Attorney-Client Privilege L=Litigation Not Reasonably Anticipated P=Post-Dates 2/4/84 Signal Plan Amendment
Case
R=No Legal Advice, No Lawyer Involvement or Appears Capable of Redaction to Remove Advice E=Distributed to or Sent by Lower 2:04-cv-00424-ROS Document 451-3 Level Employees Filed 05/16/2008 Page O=Distributed to Outside Actuaries, Consultants and Administrators U=Unknown Distribution, N/A= Plaintiffs Not Seeking Disclsoure
26 of 74
No.
175
Date
11/3/2000
Author
Burden, Jay Mathis, Kathleen
Addressee
Edwards, Dale Mathis, Kathleen
Copyee
Covert, Kevin* Tokar, Edward Greenman, Jane*
Description
Memo with handwritten notes containing request for legal advice re: Prudential proposal re: SBA annuity contract.
Bates Begin
HW0026379
Bates End
HW0026383
Redacted
Yes
Privilege
Reason for Disclosure
N/A
Attorney-Client
176
11/20/2000
Snethen, Joe Rojas, Maureen
Bryant, Stacey Foster, Chuck Nicholls, Mark Shaw, Don Arbolida, Max
Adair, Jerry* O'Connor, Collen Snethen, Joe Chapman, Craig Donovan, Tom O'Keefe, Mary Lou Payne, Jean Wigle, James* Goulet, Tom Hultquist, Kyle Sabol, Joy Mercer, Peter
Email chain containing attorney-client communications and reflecting legal advice re: communications to employees re: SBA.
No
Attorney-Client
F, E
177
11/27/2000 Denlinger, Kurt
Detrollo, N.
O'Neill, Harry* Gangone, Marie*
Email providing analysis re: benefit calculations prepared at the request of counsel for purpose of providing legal advice and strategy in support of defense of ADEA claims. Redacted communications from counsel reflecting legal HW0055100 advice provided in anticipation of litigation re: ADEA claim settlement. Redacted communications from counsel reflecting legal HW0055097 advice provided in anticipation of litigation re: ADEA claim settlement. Redacted communications from counsel reflecting legal HW0055094 advice provided in anticipation of litigation re: ADEA claim settlement. Email providing information at the request of counsel re: ADEA settlement claim for purposes of providing legal advice in anticipation of litigation and forwarding correspondence re: same. HW0055102
No
Attorney-Client; Work Product
N/A
178
7/6/2001 Rosenbaum, David*
Gangone, Marie* Covert, Kevin*
Yes
Attorney-Client; Work Product
N/A
179
7/6/2001 Rosenbaum, David*
Gangone, Marie* Covert, Kevin*
HW0055099
Yes
Attorney-Client; Work Product
N/A
180
7/6/2001 Rosenbaum, David*
Gangone, Marie* Covert, Kevin*
HW0055096
Yes
Attorney-Client; Work Product
N/A
181
7/10/2001 Vitale, Suzanne
Gangone, Marie* Covert, Kevin*
No
Attorney-Client; Work Product
N/A
Tuesday, May 13, 2008
(*) indicates attorneys and legal professionals
Page 26 of 73
Reasons for Disclosure: F=Fiduciary Exception to Attorney-Client Privilege L=Litigation Not Reasonably Anticipated P=Post-Dates 2/4/84 Signal Plan Amendment
Case
R=No Legal Advice, No Lawyer Involvement or Appears Capable of Redaction to Remove Advice E=Distributed to or Sent by Lower 2:04-cv-00424-ROS Document 451-3 Level Employees Filed 05/16/2008 Page O=Distributed to Outside Actuaries, Consultants and Administrators U=Unknown Distribution, N/A= Plaintiffs Not Seeking Disclsoure
27 of 74
No.
182
Date
9/13/2001
Author
Acquaviva, Theresa
Addressee
Chapman, Craig
Copyee
Mathis, Kathleen Kitchell, Carol Payne, Jean Saperstein, Steven
Description
Email chain and attachment containing attorney-client communications and providing legal advice re: draft communication to SBA participants.
Bates Begin
Bates End
Redacted
No
Privilege
Reason for Disclosure
F, E
Attorney-Client
183
9/13/2001
Chapman, Craig
Rojas, Maureen Payne, Jean Clarke, Allen*
Email chain and attachment containing attorney-client communications and providing legal advice re: draft communication to SBA participants.
No
Attorney-Client
F, E
184
10/2/2001
Chapman, Craig
Marcotte, Brian Mathis, Kathleen Payne, Jean Yamasaki, Steve Clarke, Allen* Rojas, Maureen
Email and attachment containing attorney-client communications re: potential SBA lawsuit.
No
Attorney-Client
F, E
185
10/2/2001
Chapman, Craig
Marcotte, Brian Mathis, Kathleen Payne, Jean Yamasaki, Steve Clarke, Allen* Rojas, Maureen
Email and attachment containing attorney-client communications re: potential SBA lawsuit.
No
Attorney-Client
F, E
186
10/4/2001 O'Neill, Harry*
Gangone, Marie*
Email from counsel requesting information re: potential litigation by SBA participants for purposes of providing legal advice in anticipation of litigation and forwarding documents re: same. Handwritten notes reflecting legal analysis and prepared in anticipation of litigation re: benefit calculations.
No
Attorney-Client; Work Product
F, L
187
5/1/2002 Mathis, Kathleen
No
Attorney-Client; Work Product
F, L, R
Tuesday, May 13, 2008
(*) indicates attorneys and legal professionals
Page 27 of 73
Reasons for Disclosure: F=Fiduciary Exception to Attorney-Client Privilege L=Litigation Not Reasonably Anticipated P=Post-Dates 2/4/84 Signal Plan Amendment
Case
R=No Legal Advice, No Lawyer Involvement or Appears Capable of Redaction to Remove Advice E=Distributed to or Sent by Lower 2:04-cv-00424-ROS Document 451-3 Level Employees Filed 05/16/2008 Page O=Distributed to Outside Actuaries, Consultants and Administrators U=Unknown Distribution, N/A= Plaintiffs Not Seeking Disclsoure
28 of 74
No.
188
Date
7/31/2002
Author
Addressee
O'Neill, Harry*
Copyee
Burnelko, Cindy Kitchell, Carol Marcotte, Brian Mathis, Kathleen Racka, Walter
Description
Email seeking legal advice re: Department of Labor inquiry re: SBA offset.
Bates Begin
Bates End
Redacted
No
Privilege Reason for Disclosure
Attorney-Client F, E
189
8/1/2002 Hewitt Associates
Spreadsheet containing information prepared at the request of counsel and prepared in anticipation of litigation re: SBA claimants. Spreadsheet containing information prepared at the request of counsel and prepared in anticipation of litigation re: SBA claimants. Spreadsheet containing information prepared at the request of counsel and prepared in anticipation of litigation re: SBA claimants. Spreadsheet containing information prepared at the request of counsel and prepared in anticipation of litigation re: SBA claimants. Vine, John* Fax transmitting document to counsel re: administrative claims for purposes of providing legal advice in anticipation of litigation. Fax transmitting document to counsel re: administrative claims for purposes of providing legal advice in anticipation of litigation. Fax transmitting document to counsel re: administrative claims for purposes of providing legal advice in anticipation of litigation. Fax transmitting document to counsel re: administrative claims for purposes of providing legal advice in anticipation of litigation.
No
Attorney-Client; Work Product
F, O, R, L
190
8/1/2002 Hewitt Associates
No
Attorney-Client; Work Product
F, O, R, L
191
8/1/2002 Hewitt Associates
No
Attorney-Client; Work Product
F, O, R, L
192
8/1/2002 Hewitt Associates
No
Attorney-Client; Work Product
F, O, R, L
193
8/12/2002 O'Neill, Harry*
No
Attorney-Client; Work Product
F, L
194
8/12/2002 O'Neill, Harry*
Vine, John*
No
Attorney-Client; Work Product
F, L
195
8/12/2002 O'Neill, Harry*
Vine, John*
No
Attorney-Client; Work Product
F, L
196
8/12/2002 O'Neill, Harry*
Vine, John*
No
Attorney-Client; Work Product
F, L
Tuesday, May 13, 2008
(*) indicates attorneys and legal professionals
Page 28 of 73
Reasons for Disclosure: F=Fiduciary Exception to Attorney-Client Privilege L=Litigation Not Reasonably Anticipated P=Post-Dates 2/4/84 Signal Plan Amendment
Case
R=No Legal Advice, No Lawyer Involvement or Appears Capable of Redaction to Remove Advice E=Distributed to or Sent by Lower 2:04-cv-00424-ROS Document 451-3 Level Em