Free Brief (Non Appeal) - District Court of Arizona - Arizona

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