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FOIA CONFIDENTIAL TREATMENT REQUESTED BY LEHMAN BROTHERS HOLDINGS, INC.
F G H I J K
E&P La tam
Client Marketer Client Marketer DCP Midstream Jason Donehue Aeromexico Gui Castellan Eagle Rock Jason Donehue Ambev Gui Castellan EOG Aubrie Fine Codelco Miguel Puertas Highland Operating, LLC Jason Donehue Companhia Siderurgica Nacional Gui Castellan Highmount Ron Ruffini Ecopetrol Miguel Puertas Hunt Oil Ron Ruffini ENAP Gui Castellan Mariner Energy Aubrie Fine FEMSA Cerveza (FAMOSA) Gui Castellan Phillips Resources Aubrie Fine Lan Chile Miguel Puertas Pioneer Natural Resources Ron Ruffini PIFCO (Petrobras) Gui Castellan Quicksilver Ron Ruffini Usiminas Gui Castellan Resolute Aubrie Fine Vitro Gui Castellan Tetra Technologies Jason Donehue Votorantim GMBH Gui Castellan
Verzatec Gui Castellan
E&P La tam
Client Marketer Client Marketer Apache Aubrie Fine CSAV Miguel Puertas Enterprise Products Operating Jason Donehue Kimberly Clark Mexico Gui Castellan Newfield Aubrie Fine
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3 NY- Power 4 5 Client Marketer 6 AES Deepwater Rez Sharifi 7 Calpine Frank Smejkal 8 ConEd Rez Sharifi 9 Dynegy Geoff Gregory I Ben Krause 10 IW\1@~ P<:\\1\ll;)J" < I Rul:!l:!l'l ~9r~@9 < 11 PG&E Ruben Lorenzo 12 Portland General Electric Company Ruben Lorenzo 13 Safeway Rez Sharifi 14 Turlock Irrigation District Ruben Lorenzo 15 16 17 18 19 20 21 22 23
24 r---25
26 NY- Power 27 28 Client Marketer 29 Avista Corporation Ruben Lorenzo 30 Brazos Frank Smejkal 31 CDWR Ruben Lorenzo 32 City of Garland Frank Smejkal 33 City of Riverside Ruben Lorenzo 34 Coral Frank Smejkal 35 Hino Electric Frank Smejkal 36 Idaho Power Company Ruben Lorenzo 37 Puget Sound Energy Ruben Lorenzo 38 South Texas Electric Corp Frank Smejkal 39 Southern California Gas Company Ruben Lorenzo 40 41 42
FOIA CONFIDENTIAL TREATMENT REQUESTED BY LEHMAN BROTHERS HOLDINGS, INC.
N 0 p Q R s
Hedge Funds Metals & Mining
Client Marketer Client Marketer Anglian Commodities Fund HF Sales Arco Richard H Anglian Fund SPC HF Sales Chrysler Richard H Anglian Select Commodities Fund Limited HF Sales Coca Cola Bottlers Assoc Richard H Custom Investments PCC Limited-Cell C69 (Anglian) HF Sales Ford Richard H Harbert Strategic Commodities Fund HF Sales General Motors Richard H Talek BBT Fund HF Sales Hudbay Minerals Richard H Talek Concentrated Alpha Fund HF Sales Johnson Matthey Inc & Pic Richard H Talek Socially Responsible Investments Fund HF Sales Mt Polley (Imperial Metals) Richard H Tudor Proprietary Trading BBI HF Sales PB Richard H
3 Ags Canada ~ ~ Client Marketer Client r---s- Canadian Wheat Board Bryan Magliaro Atco Midstream r---y Darden Restaurants Bryan Magliaro Direct Energy r---a Del Monte Foods Bryan Magliaro Enbridge Gas Distribution r---g---- Land 0' Lakes Bryan Magliaro Nova Chemicals r---w- Sara Lee Bryan Magliaro Paramount Energy Trust f----11 Treehouse Foods Bryan Magliaro Provident Energy r----u- Yankee Candle Bryan Magliaro Talisman Energy Inc. ~ Trilogy ~ Scotia Capital f--:15 f---:j6 ~ r--w-f--:19 r--w-~ r---n-f----23 ~
FOIA CONFIDENTIAL TREATMENT REQUESTED BY LEHMAN BROTHERS HOLDINGS, INC.
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Marketer Dave Wilson Dave Wilson Dave Wilson Dave Wilson Dave Wilson Dave Wilson Dave Wilson Dave Wilson HF Sales
Marketer Dave Wilson Dave Wilson Dave Wilson
AA AB IAC1 AD
Coal Houston - Gas
Client Marketer Client Alliant Energy Corporate Services Inc Bruce Miller Cambridge Energy LLC Ameren UE Matt Levar Cleco Power LLC ARCH Energy Services Jeff Price Conagra Trade Group City Utilities of Springfield Matt Levar Florida Municipal Power Agency CoaiTrade LLC (Peabody) Rick Pieper Florida Power Corp dba Progress Entergy Arkansas Inc. Rick Pieper FPL Power Marketing Lower Colorado River Authority Bruce Miller i.:o$1 K~ot@i<Y i.Jtillil~$ > · · Luminant Energy Company LLC Rick Pieper Mirant Energy Trading LLC Midwest Generation LLC Bruce Miller Municipal Electric Authority of Georgia New Ulm Public Utilities Bruce Miller PPL EnergyPius LLC NRG Power Marketing LLC Rick Pieper Reedy Creek lm1 District Ontario Power Generation Bruce Miller R~p$1:)1 TransAita Centralia Generation LLC Matt Levar Rockwood Sewer & Gas
San Diego Gas Electric Wisconsin Power & Light
Coal Houston - Gas
Client Marketer Client AEP Service Corp Matt Levar Milagro Exploration LLC Colorado Springs Utilities Bruce Miller SEP Holdings I, LLC Dairyland Power Jeff Price Southwestern Energy Company Great River Energy Bruce Miller Recycled Energy Development LLC MidAmerican Energy Company Rick Pieper $~~i~~rh lllih()i# f"~r ¢()()p > • • · · · · · Sempra Energy Rick Pieper Southern California Gas
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3 Houston - Power 4 5 Marketer Client Marketer 6 John Calhoun Alabama Electric Coop Chris Armitage 7 Lee Byassee Arc light Energy Marketing LLC Cody Moore 8 Jeremy Davis Barclays Adam Sinn 9 John Calhoun DPI Energy LLC Cody Moore 10 John Calhoun East Kentucky Power Cooperative, Inc. Chris Armitage 11 Meghan Kazmann Endure Energy Rudy Acevedo 12 Giiiii;iy~$~>·· Equistar Chemical Company Jay Hurst 13 Eric Graff Global Infrastructure Management Miquel Puertas 14 John Calhoun Prelectric Energy Services LLC Rick Abernathy 15 Eric Graff Southern Company Cody Moore 16 John Calhoun 17 ••Giiii•i;iy~$~··••••••••••••••••••••••••••• 18 Todd Moore 19 Scott Wischoff 20 Jeremy Davis 21 22 23
24 r---25
26 Houston - Power 27 28 Marketer Client Marketer 29 David Livingston 30 David Livingston 31 John Nowak 32 John Nowak 33 •Giiiii;iy~$~··••••••••••••••••••••••••••• 34 Scott Wischoff 35 sc&fWiscfiiolf > · · ............................
FOIA CONFIDENTIAL TREATMENT REQUESTED BY LEHMAN BROTHERS HOLDINGS, INC.
AI AJ AK AL AM AN
Phy Crude I Products Emissions
Client Marketer Client Marketer BHP Duke Energy James Macintosh Chevron AEP James Macintosh Exxon Koch Supply and Trading LP James Macintosh Gavilon (Conagra) So Cal Ed James Macintosh Mecuria Detroit Edison James Macintosh Murphy Reliant Energy Services James Macintosh Parnon CE2 Environmental Markkets James Macintosh Plains NRG James Macintosh Suncor Constellation James Macintosh Sunoco Bear Energy I JPM James Macintosh Trafigura Vito I
Phy Crude I Products Emissions
Client Marketer Client Marketer
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2 ~ ~ Client Marketer ""5 Canadian Wheat Board Bryan Magliaro r-s Darden Restaurants Bryan Magliaro r-y- Del Monte Foods Bryan Magliaro r-a Land 0' Lakes Bryan Magliaro r-g Sara Lee Bryan Magliaro r-w Treehouse Foods Bryan Magliaro ~ Yankee Candle Bryan Magliaro '"12 Atco Midstream Dave Wilson f-:13 Direct Energy Dave Wilson '14 Enbridge Gas Distribution Dave Wilson ~ Husky Energy Dave Wilson '16 lntegrys Dave Wilson f-:17 Nova Chemicals Dave Wilson '18 Paramount Energy Trust Dave Wilson ~ Provident Energy Dave Wilson r-w Scotia Capital David Wilson f-21 Talisman Energy Inc. Dave Wilson e-n Trilogy Dave Wilson r-n UBS Canada Dave Wilson '24 AEP Matt Levar f-25 Alliant Energy Corporate Services Inc Bruce Miller f-26 Ameren UE Matt Levar ~ ARCH Energy Services Jeff Price '28 City Utilities of Springfield Matt Levar f-29 CoaiTrade LLC (Peabody) Rick Pieper f-30 Colorado Springs Utilities Bruce Miller ~ Dairyland Power Jeff Price '32 Entergy Arkansas Inc. Rick Pieper f-33 Great River Energy Bruce Miller f-34 Lower Colorado River Authority Bruce Miller ~ Luminant Energy Company LLC Rick Pieper '36 MidAmerican Energy Company Rick Pieper f-37 Midwest Generation LLC Bruce Miller f-38 New Ulm Public Utilities Bruce Miller ~ NRG Power Marketing LLC Rick Pieper '40 Ontario Power Generation Bruce Miller f-41 Sempra Energy Rick Pieper '42 TransAita Centralia Generation LLC Matt Levar ~ Angelica Textile Stuart Tomanek '44 BNSF Stuart Tomanek f-;15 Kempler & Co Stuart Tomanek '46 Lansing Stuart Tomanek ~ Lyondell Chemical Company Stuart Tomanek '48 Musket Stuart Tomanek f-;19 Newedge Stuart Tomanek '50 Sunoco R&M (LFC) Stuart Tomanek ~ Tesoro Stuart Tomanek '52 Valero Marketing & Supply Stuart Tomanek '53 Western Refining Stuart Tomenek '54 Apache Aubrie Fine ~ DCP Midstream Jason Donehue '56 Eagle Rock Jason Donehue '57 Enterprise Products Operating Jason Donehue '58 EOG Resources Aubrie Fine ~ Highland Operating, LLC Jason Donehue
FOIA CONFIDENTIAL TREATMENT REQUESTED BY LEHMAN BROTHERS HOLDINGS, INC.
D I E I F I G I H
Priority Action Li
Area Priority Negotiator Type of Doc Awaiting Action From Ags 1 NIA ISDA Sales Ags 1 Mary Ann Swick ISDA Neg Ags 1 Kara Rappaport ISDA Client Ags 1 Kara Rappaport ISDA Client Ags 1 NIA LFC Sales Ags 1 Kara Rappaport ISDA Client Ags 1 Kara Rappaport ISDA Neg Canada 1 David Perlman MSA Credit Canada 1 Rosa Pietanza ISDAI NAESB Sales Canada 1 Kara Rappaport NAESB Client Canada 2 Mary Ann Swick ISDA w Gas Annex Client Canada 2 Rosa Pietanza NAESB Neg Canada 1 Rosa Pietanza EDI I ISDA Client Canada 1 Jen Smith ISDAI EDI Client Canada 1 Kara Rappaport ISDAI EDI Client Canada 2 Kimberly Dautenhahn ISDA Sales Canada 1 Jen Smith ISDAI EDI Client Canada 1 Jen Smith EDI Client Canada 2 Kara Rappaport ISDA w Gas Annex Client Coal 2 Rosa Pietanza Coal Annex Client Coal 1 Rosa Pietanza CTA Neg Coal 1 Mary Ann Swick CTA Client Coal 1 Rosa Pietanza CTA Client Coal 1 Rosa Pietanza CTA Credit Coal 1 Rosa Pietanza CTA Client Coal 2 NIA CTA Sales Coal 2 NIA CTA Sales Coal 1 Rosa Pietanza CTA Sales Coal 2 Kara Rappaport Coal Annex Client Coal 1 Jen Smith CTA Client Coal 1 Rosa Pietanza Coal Annex Client Coal 2 Rosa Pietanza Coal Annex Client Coal 1 NIA CTA Sales I Credit Coal 1 NIA CTA Sales I Credit Coal 1 Kara Rappaport Coal Annex Client Coal 1 Mary Ann Swick CTA Client Coal 2 NIA CTA Sales Coal 1 NIA CTA Sales I Credit Consumers I Refiners 1 NIA ISDA Neg Consumers I Refiners 1 Rosa Pietanza ISDA Client Consumers I Refiners 1 Rosa Pietanza ISDA Client Consumers I Refiners 1 NIA ISDA Sale Consumers I Refiners 1 NIA ISDA Sales Consumers I Refiners 1 Kathryn Purvis ISDA Client Consumers I Refiners 1 Celine Liminet ISDA Client Consumers I Refiners 1 NIA LFC Sales Consumers I Refiners 1 Kara Rappaport ISDA Client Consumers I Refiners 1 Kimberly Dautenhahn ISDA Client Consumers I Refiners 1 Kara Rappaport ISDA Sales E&P 2 Mary Ann Swick ISDA Client E&P 1 Rosa Pietanza ISDA Sales E&P 1 Kara Rappaport ISDA Client E&P 2 Jen Smith ISDA Client E&P 1 Jen Smith I R Frederick ISDAI NAESB Neg E&P 1 Rosa Pietanza ISDA Neg
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4 Update I Next Step 5 6 Client has draft 7 Doing a LFC and ISDA 8 Client has draft 9 Preparing draft of LFC 10 11 12 New priority 13 NIA 14 Client has draft - Iawter out for 2 weeks 15 NIA 16 NIA 17 Need word form from client I also need answers on certain defintions 18 NIA 19 20 Awaiting client feedback on revised ISDA draft 21 NIA 22 23 NIA 24 Client has draft 25 No MAF - Bruce to reach out to client 26 Peter G speaking with credit contact - MAF completed but waiting for client to provide docs 27 Credit depts are discussing collateral thresholds 28 Need MAF 29 Client has draft (as of Monday 619) 30 Need MAF 31 32 Need MAF 33 Client has draft 34 Close to signing 35 Client has draft 36 Client has draft 37 No MAF - Midwest Gen - Rick meeting wl client next week, MAF to be completed afterwards 38 No MAF - Rick to provide contact 39 Coal Annex sent to client. Awaiting comments. N RG indicated they do not have internal approval to start negotiating coal documentation as of yet 40 41 42 No MAF - Credit contacted again yesterday, waiting for response 43 44 Had conf call with client 45 46 47 48 Client has draft 49 50 Need MAF 51 52 Client is reviewing draft (Roy Salame has followed up with the client) 53 Added back name 54 John Chung has replaced Paul Nyugen as Apache's negotiator. I sent an email to John this morning inquiring about his status 55 Ron asked me to resume working on this. Focus doc 56 Client has draft 57 Draft sent to client 58 Comments received from E Docs - call with them tomorrow 59
FOIA CONFIDENTIAL TREATMENT REQUESTED BY LEHMAN BROTHERS HOLDINGS, INC.
AI B I c 2 ~ r-;r- Client Marketer reo Highmount Ron Ruffini f-6:1 Hunt Oil Ron Ruffini f-62 Mariner Energy Aubrie Fine r-s3 Newfield Aubrie Fine '"64 Philips Resources Aubrie Fine f-65 Pioneer Natural Resources Ron Ruffini rs6 Quicksilver Ron Ruffini r-s? Resolute Aubrie Fine r-ea Tetra Technologies Jason Donehue f-69 Anglian Commodities Fund HF Sales r-m Anglian Fund SPC HF Sales ~ Anglian Select Commodities Fund Limited HF Sales e-n- Blackgold HF Sales f-73 Custom Investments PCC Limited-Cell C69 (Anglian) HF Sales '74 Graham HF Sales ~ Harbert Strategic Commodities Fund HF Sales r-ye Ill Structured Commodities Fund, L.P. HF Sales f-77 KelinHeinz HF Sales '78 Och-Ziff HF Sales rye- Pequot HF Sales r-ao- Talek BBT Fund HF Sales f-8:1 Talek Concentrated Alpha Fund HF Sales f--82 Talek Socially Responsible Investments Fund HF Sales r-a3 Tudor Proprietary Trading BBI HF Sales '"84 Valhalla HF Sales f-85 Vantage HF Sales r-ae Vermillion HF Sales r-ay Cambridge Energy LLC John Calhoun r-aa- Cleco Power LLC Lee Byassee f-89 Conagra Trade Group Jeremy Davis rgo- Florida Municipal Power Agency John Calhoun r-e-:J Florida Power Corp dba Progress John Calhoun '"92 FPL Power Marketing Meghan Kazmann f-93 Milagro Exploration LLC David Livingston f-94 Mirant Energy Trading LLC Eric Graff r-e5 Municipal Electric Authority of Georgia John Calhoun r-es PPL EnergyPius LLC Eric Graff f-97 Recycled Energy Development LLC John Nowak rea- Reedy Creek Improvement District John Calhoun rgg- Rockwood Sewer & Gas Todd Moore '10o San Diego Gas Electric Scott Wischoff '101 SEP Holdings I, LLC David Livingston '102 Southern California Gas Company Scott Wischoff ~ Southwestern Energy Company John Nowak '104 Wisconsin Power & Light Jeremy Davis '105 LGE I Kentucky Utilities Lee Byassee rw6 Repsol Lee Byassee rw7 Southern Illinois Power Coop Lee Byassee '108 Arizona Public Service Scott Wischoff '109 Nevada Power Ruben Lorenzo '110 Southern Company Cody Moore ~ Alabama Electric Coop Chris Armitage w Arclight Energy Marketing LLC Cody Moore f-113 Barclays Adam Sinn '114 DPI Energy LLC Cody Moore ~ East Kentucky Power Cooperative, Inc. Chris Armitage
FOIA CONFIDENTIAL TREATMENT REQUESTED BY LEHMAN BROTHERS HOLDINGS, INC.
D I E I F I G I H
Priority Action Li
Area Priority Negotiator Type of Doc Awaiting Action From E&P 1 Mary Ann Swick ISDA Client E&P 1 Rosa Pietanza ISDA Client E&P 1 D Schweigman I S Fischer ISDAI NAESB Client E&P 2 Jen Smith ISDA Client E&P 1 Jen Smith ISDA Client E&P 1 Jen Smith ISDA Client E&P 1 Kara Rappaport ISDA Client E&P 1 Renilde Zug ISDA Sales E&P 1 Mary Ann Swick ISDA Neg Hedge Funds 1 Rosa Pietanza ISDA Client Hedge Funds 1 Rosa Pietanza ISDA Client Hedge Funds 1 Rosa Pietanza ISDA Client Hedge Funds 2 NIA ISDA Sales Hedge Funds 1 Rosa Pietanza ISDA Client Hedge Funds 2 NIA ISDA Sales Hedge Funds 1 Rozina Dewji ISDA Neg Hedge Funds 2 Kimberly Dautenhahn ISDA Sales Hedge Funds 2 NIA ISDA Sales Hedge Funds 2 NIA ISDA Sales Hedge Funds 2 NIA ISDA Sales Hedge Funds 1 Meghan Eicher ISDA Client Hedge Funds 1 Meghan Eicher ISDA Client Hedge Funds 1 Meghan Eicher ISDA Client Hedge Funds 1 NIA ISDA Sales Hedge Funds 2 NIA ISDA Sales Hedge Funds 2 NIA ISDA Sales Hedge Funds 2 NIA ISDA Sales Houston - Gas 1 Eric Dennison FTA Neg Houston - Gas 1 Robin Frederick NAESB In Execution Houston - Gas 1 Kara Rappaport NAESB Credit Houston - Gas 1 Stephanie Fischer ISDA I P&G Annex Neg Houston - Gas 1 Stephanie Fischer ISDA I P&G Annex Neg Houston - Gas 1 Robin Frederick NAESB Neg Houston - Gas 2 Robin Frederick NAESB Client Houston - Gas 1 Rosa Pietanza ISDA I P&G Annex Credit Houston - Gas 1 Jen Smith ISDA I P&G Annex Neg Houston - Gas 1 Stephanie Fischer NAESB Neg Houston - Gas 2 Robin Frederick EEl w Gas Annex Client Houston - Gas 1 Rosa Pietanza ISDA I P&G Annex Neg Houston - Gas 1 Robin Frederick NAESB Neg Houston - Gas 1 Robin Frederick NAESB Client Houston - Gas 2 Stephanie Fischer ISDA I P&G Annex Client Houston - Gas 2 Eric Dennison Master Netting Neg Houston - Gas 2 Stephanie Fischer ISDA Client Houston - Gas 1 Stephanie Fischer ISDA Dupe Client Houston - Gas 1 NIA NAESB Credit Houston - Gas 1 NIA NAESB Credit Houston - Gas 2 NIA NAESB Credit Houston - Gas 2 Stephanie Fischer NAESB Neg NY- Power 1 Robin Frederick NAESB Credit Houston - Power 1 NIA EEl Client Houston - Power 1 Eric Dennison EEl Sales Houston - Power 1 Robin Frederick EEl Neg Houston - Power 1 Rosa Pietanza EEl Client Houston - Power 1 Robin Frederick EEl Sales Houston - Power 1 Stephanie Fischer EEl Neg
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4 Update I Next Step 60 Sent client draft 61 Client has draft 62 Sending out revised draft to ISDA 63 Draft sent to client 64 Client has revised adequate assurances language 65 Client pushed call off to next week 66 Client reviewing Lehman's comments. Followed up several times with their outside counsel. Ron is aware and working with the client to send a response 67 No response from client 68 Sent client draft 69 Client has draft 70 Will dupe after client signs first Anglian 71 Will dupe after client signs first Anglian 72 No MAF 73 Will dupe after client signs first Anglian 74 No MAF 75 76 Currently on hold 77 No MAF 78 No MAF 79 No MAF 80 Sent client draft 81 Sent client draft 82 Sent client draft 83 84 No MAF 85 No MAF 86 No MAF 87 Need MAF 88 Duping into EAUS 89 Looking at issues 90 91 Need MAF 92 93 Draft sent to client 94 Rengage with an ISDA I P&G Annex 95 96 Need MAF I preparing draft as well 97 Draft sent to client 98 99 100 Client reviewing document. Spoke with CP last week. CP preparing comments 101 Draft sent to client 102 Reviewing wl NY 103 Need MAF I sent them a margining agreement 104 Draft sent to client 105 106 107 108 109 110 Need MAF 111 Marketer reviewing 112 Working on a draft I also want to do a QSE scheduling agreement 113 Reviewed issues at E Docs and reverted draft to client 114 Cody to follow up 115 ACES negotiates these for them
FOIA CONFIDENTIAL TREATMENT REQUESTED BY LEHMAN BROTHERS HOLDINGS, INC.
AI B I c 2 ~ r-;r- Client Marketer '"116 Endure Energy Rudy Acevedo '117 Equistar Chemical Company Jay Hurst '118 Global Infrastructure Management Miguel Garcia ~ Prelectric Energy Services LLC Rick Abernathy '12o Duke Energy James Macintosh '121 AEP James Macintosh e-m Koch Supply and Trading LP James Macintosh ~ So Cal Ed James Macintosh '"124 Detroit Edison James Macintosh '125 Reliant Energy Services James Macintosh e-m CE2 Environmental Markkets James Macintosh ru? NRG James Macintosh '128 Constellation James Macintosh f-129 Bear Energy I JPM James Macintosh '130 AeroMexico Gui Castellan ~ Ambev Gui Castellan '132 Codelco Miguel Puertas '133 Companhia Siderurgica Nacional Gui Castellan '134 CSAV Miguel Puertas ~ EcoPetrol Miguel Puertas '136 ENAP Miguel Puertas '137 FEMSA Cerveza (FAMOSA) Gui Castellan '138 Kimberly Clark Mexico Gui Castellan ~ Lan Chile Miguel Puertas '140 PIFCO (Petrobras) Gui Castellan '141 Usiminas Gui Castellan '142 Verzatec Gui Castellan ~ Vitro Gui Castellan '144 Votorantim GMBH Gui Castellan '145 BP I Arco Aluminum Richard Hajdukiewicz '146 Chrysler Richard Hajdukiewicz w Coca Cola Bottlers Assoc Richard Hajdukiewicz '148 Ford Richard Hajdukiewicz '149 General Motors Richard Hajdukiewicz '150 PB Richard Hajdukiewicz ~ Hudbay Minerals Richard Hajdukiewicz '152 Johnson Matthey Inc & Pic Richard Hajdukiewicz '153 Mt Polley (Imperial Metals) Richard Hajdukiewicz '154 TRACO Richard Hajdukiewicz ~ AES Deepwater Rez Sharifi '156 Avista Corporation Ruben Lorenzo '157 Brazos Frank Smejkal '158 Calpine Frank Smejkal ~ CDWR Ruben Lorenzo '16o City of Garland Frank Smejkal '161 City of Riverside Ruben Lorenzo '162 ConEd Rez Sharifi ~ Coral Frank Smejkal '164 Dynegy Geoff Gregory I Ben Krause '165 Hino Electric Frank Smejkal '166 Idaho Power Company Ruben Lorenzo w PG&E Ruben Lorenzo '168 Portland General Electric Company Ruben Lorenzo '169 Nevada Power Ruben Lorenzo '17o Safeway Rez Sharifi ~ South Texas Electric Corp Frank Smejkal
FOIA CONFIDENTIAL TREATMENT REQUESTED BY LEHMAN BROTHERS HOLDINGS, INC.
D I E I F I G I H
Priority Action Li
Area Priority Negotiator Type of Doc Awaiting Action From Houston - Power 1 Mary Ann Swick EEl Sales Houston - Power 1 Stephanie Fischer EEl Client Houston - Power 1 NIA EEl Sales Houston - Power 1 Robin Frederick EMA (Suite) Client Emissions 1 NIA Emissions Annex Sales Emissions 1 NIA Emissions Annex Sales Emissions 1 NIA Emissions Annex Sales Emissions 1 NIA Emissions Annex Sales Emissions 1 NIA Emissions Annex Sales Emissions 1 NIA Emissions Annex Sales Emissions 1 NIA Emissions Annex Sales Emissions 1 NIA Emissions Annex Sales Emissions 1 NIA Emissions Annex Sales Emissions 1 NIA Emissions Annex Sales Latam 1 Hector Velez ISDA Sales Latam 1 Hector Velez ISDA Client Latam 1 Hector Velez ISDA Client Latam 1 Mary Ann Swick ISDA Client Latam 2 Hector Velez ISDA Client Latam 1 Hector Velez ISDA Client Latam 1 Hector Velez ISDA Client Latam 1 Hector Velez ISDA Client Latam 2 Hector Velez ISDA Client Latam 1 Hector Velez ISDA Neg Latam 1 Hector Velez ISDA Client Latam 1 Hector Velez ISDA Client Latam 1 Hector Velez ISDA NIA Latam 1 Hector Velez ISDA Neg Latam 1 Hector Velez ISDA Client Metals & Mining 1 NIA ISDA Sales Metals & Mining 1 NIA ISDA Sales Metals & Mining 1 Kara Rappaport ISDA Client Metals & Mining 1 Renilde Zug ISDA Client Metals & Mining 1 Cornelia Griesheimer ISDA Client Metals & Mining 1 Jen Smith ISDA Energy Docs Metals & Mining 1 Kara Rappaport ISDA Sales Metals & Mining 1 Jen Smith ISDA Client Metals & Mining 1 Kara Rappaport ISDA Neg Metals & Mining 1 NIA ISDA Sales NY- Power 1 Jen Smith ISDA Client NY- Power 2 Jen Smith ISDA Client NY- Power 2 Eric Dennison EEl Client NY- Power 1 Jen Smith ISDA Client NY- Power 2 Jen Smith NAESB Client NY- Power 2 Kara Rappaport EEl Client NY- Power 2 Rosa Pietanza WSPP Client NY- Power 1 Jen Smith ISDAI NAESB Client NY- Power 2 Kara Rappaport EEl Client NY- Power 1 David Perlman ISDA Credit NY- Power 2 Eric Dennison EEl Client NY- Power 2 Mary Ann Swick NAESB Neg NY- Power 1 Rosa Pietanza Energy Bridge Client NY- Power 1 Kara Rappaport ISDA Client NY- Power 2 Jen Smith NAESB Energy Docs NY- Power 1 Jen Smith NAESB Client NY- Power 2 Jen Smith EEl Client
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4 Update I Next Step 116 Need MAF 117 Draft sent to client 118 Need MAF 119 Draft sent to client 120 121 122 123 124 125 126 127 128 129 130 Doc with Credit 131 Working on draft 132 Sent client draft 133 Sent client draft 134 135 Execution copies sent to client 136 Sent client draft 137 138 Draft sent to client 139 Working on draft 140 Client has LFC draft I ISDA will be on hold for now- doc with credit
141 142 143 Draft sent to client 144 145 146 Waiting to get financials from the company to structure credit terms and draft ISDA 147 Sent draft to client 148 Client has been busy with the divestiture of Land Rover and Jaguar, will get getting to the ISDA in the next few weeks 149 On hold per sales desk 150 On hold per sales desk 151 152 Sent draft to client 153 154 Client reviewing financials - No MAF yet 155 Draft send to counterparty 156 Sen draft to client 157 Draft sent back 158 Sent follow up email to their counsel this week (Lien document first, then margin agreement) 159 No MAF for physical gas 160 Sent draft to client 161 Client has draft 162 Comments came back from Energy Docs (NAESB) I Reviewing issues on ISDA in E Docs 163 Sent draft to client 164 First Lien 165 Client has draft 166 Sent to client 167 EEl and Power ISDA Energy Bridge needs to be done 168 Sent draft to client 169 Issues wit E Docs 170 Draft send back to client 171
FOIA CONFIDENTIAL TREATMENT REQUESTED BY LEHMAN BROTHERS HOLDINGS, INC.
AI B I c 2 ~ r-;r- Client Marketer '172 Southern California Gas Company Ruben Lorenzo '173 Turlock Irrigation District Ruben Lorenzo '174 BHP Phy Oil Trading ~ Chevron Phy Oil Trading '176 Exxon Phy Oil Trading '177 Gavilon (Conagra) Phy Oil Trading e-m Mecuria Phy Oil Trading ~ Murphy Phy Oil Trading '18o Parnon Phy Oil Trading '181 Plains Phy Oil Trading '182 Suncor Phy Oil Trading ~ Sunoco Phy Oil Trading '184 Trafigura Phy Oil Trading '185 Vito I Phy Oil Trading
FOIA CONFIDENTIAL TREATMENT REQUESTED BY LEHMAN BROTHERS HOLDINGS, INC.
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Area NY- Power NY- Power Phy Crude Phy Crude Phy Crude Phy Crude Phy Crude Phy Crude Phy Crude Phy Crude Phy Crude Phy Crude Phy Crude Phy Crude
E I F I G I H
Priority Action Li
Priority Negotiator Type of Doc Awaiting Action From 2 Rosa Pietanza ISDA/ NAESB Client 1 Rosa Pietanza ISDA Energy Docs 1 Mary Ann Swick LEAP Neg 1 Mary Ann Swick MNSA Neg 1 Mary Ann Swick MNSA Client 1 Mary Ann Swick MNSA Client 1 Mary Ann Swick MNSA Client 1 Mary Ann Swick MNSA TBD 1 Mary Ann Swick LEAP Client 1 Mary Ann Swick MNSA Client 1 Mary Ann Swick N/A TBD 1 Mary Ann Swick MNSA Neg 1 Mary Ann Swick MNSA Neg 1 Mary Ann Swick MNSA Client
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4 Update I Next Step 172 No update 173 Question with outside counsel 174 Close to signing LEAP 175 Reviewing their document 176 Sent client draft 177 Pending a trade being doen 178 Sent client draft 179 Sent client draft 180 Sent client draft 181 Have their parent guarentee- looking at out MNA 182 Credit Issues 183 Sent client draft 184 Getting comments to them 185 Sent client draft
FOIA CONFIDENTIAL TREATMENT REQUESTED BY LEHMAN BROTHERS HOLDINGS, INC.
4 !Update I Next Step 5 I Draft with client - still working on some issues 6 I Send draft to client
J_ I No MAF
~ I Gas and Power Annex with client 9 I Need to work on rln,..••m<>nl
10 I Client is "'"'""i"~ draft _1_1_ I No MAF
J2 IN/A 13 I Client has draft 14 I No update
~ _!§_ I Execution copies sent out 3/6 17 I SIGNED 18 I Cargill- close to signing MNSA
_1_g_ _19_ IN/A 21 I Credit said no MAF required on 1123; not sure if anyone assigned 22 I Maureen Ryan received credit approval on 117 and said was going to send draft to client
~ I Sent vVIIIIII""'~ 4-9 _1.! I DONE 25 I DONE 26 I Client has draft
_]J_ I Client has "A"vution copies
~ !Awaiting client "' '""'w to the ISDA 29 I No MAF 30 I No response from client
_l_1_ I Received partially executed
E I Neg working on draft 33 I Fully executed I waitin guarantee issue 34 !COVERAGE IN NY
~ I Will mirror when Integra is done
~ I EEl executed I Gas Annex to EEl needs to be worked on 37 I Client reviewing document 38 I Document with Client
~ I No MAF
~ !Awaiting client "' '""'w to the ISDA and LFC 41 I No MAF 42 lin Execution - need EAM setup
__Q I Draft with client
~ I Final issue ·coni call regarding LBCS vv• "'y"' ... ulity language scheduled today to finalize 45 I Sent <>v<>f'lllin'1 copies for the NAESB. Client switched entities through which they wish to trade out of. Awaiting copy of CP guarantee to review
46 _£_ I Received comments from CP
~ I Comments sent back to client close to finalizing 49 I Long form confirm - with client 50 I Awaiting feedback from Rie as to how to proceed. Never received a copy of the client's form of ISDA
_21_ I No update __g I EXECUTED 53 I EXECUTED 54 I EXECUTED
~ IN/A
~ lin .:xecutiC"'1 on client side (per Rez) 57 I Europe will cover 58 lin AYAf'lllinn
FOIA CONFIDENTIAL TREATMENT REQUESTED BY LEHMAN BROTHERS HOLDINGS, INC.
60 Lyondell Ox:y Chem Cody Moore r-s-:J FEMSA Cerveza (FAMOSA) Gui Castellan '"62 Gruma Gui Castellan f-63 Sao Martinho Gui Castellan f-64 Bill Barret Corp Aubrie Fine r-s5 Forest Oil Aubrie Fine r-es Alabama Power Company Jeff Price f-67 Detroit Edison CO. Jeff Price r-ea DTE Coal Services Rick Pieper r-es First Energy Generation Corporation Bruce Miller r-yo Foundation Energy Sales Inc. Jeff Price f-71 Georgia Power Company Jeff Price r-n Firstlight Power K Costa I B Krause ~ Elm Ridge Exploration David Livingston ~ Owens Corning Richard Hajdukiewicz f-75 Endeavor Energy Resources Aubrie Fine rye- Bottling Group LLC Richard Hajdukiewicz r-n ConocoPhillips Jeremy Davis r-ya FB (Fortis) Dave Wilson f-79 Grays Harbor Energy LLC Cody Moore r-ao Petrohawk Energy Ron Ruffini r-a-:J TPG Axon Partners LP HF Sales '"82 TPG Axon Partners Offshore LTD HF Sales f-83 Teays River Investment LLC Bryan Magliaro f-84 Boeing Company Christine Spiro r-a5 Exelon Generation Corporation LLC Jeff Price r-ae Xcel Energy Matt Levar f-87 Constellation Energy Commodities Group, INC Rick Pieper r-aa- Buckskin Mining Company Bruce Miller rae- Agrium Dave Wilson reo- Empire District Gas Company Christine Spiro f-9:1 St. Clair Christine Spiro f--92 Atlas Pipeline Ron Ruffini r-e3 Pilgrim's Pride Bryan Magliaro ~ Affiliated Energy Group Jay Hurst f-95 BP Phy Oil Trading r-gs- Nexen Phy Oil Trading rgy- Noble Phy Oil Trading rea- SemCrude Phy Oil Trading f-99 Kinder Morgan Aubrie Fine r-wo Husky John Nowak rwT Continental Airlines Rie Ishibashi '102 Puget Sound Energy Ruben Lorenzo '103 Merrill Lynch Commodities, Inc. Rick Pieper '104 El Paso Aubrie Fine
FOIA CONFIDENTIAL TREATMENT REQUESTED BY LEHMAN BROTHERS HOLDINGS, INC.
D E F G H E&P 1 Rosa Pietanza ISDA Client Houston - Power 1 Eric Dennison EMA Neg Latam 1 Hector Velez ISDA Client Latam 1 Hector Velez ISDA Client Latam 1 Hector Velez ISDA Client E&P 2 NIA NIA Sales E&P 2 NIA NIA Sales Coal 2 Rosa Pietanza CTA Sales Coal 2 NIA CTA Sales I Credit Coal 2 NIA CTA Sales I Credit Coal 2 NIA CTA Sales I Credit Coal 2 Rosa Pietanza CTA Sales Coal 2 Kara Rappaport CTA Sales NY- Power 1 David Perlman ISDA Sales Houston - Gas 2 Kara Rappaport ISDA Executed Metals & Mining 1 Kara Rappaport ISDA Client E&P 1 Kathryn Purvis ISDA Neg Metals & Mining 1 Kara Rappaport ISDA Sales Houston - Gas 1 Mary Ann Swick ISDA Dupe REMOVED Canada 2 Kara Rappaport ISDA w Gas Annex Client Houston - Power 1 Eric Dennison EMA In Execution E&P 1 NIA NIA Sales Hedge Funds 1 Kathryn Purvis ISDA Client Hedge Funds 1 Kathryn Purvis ISDA Client Ags 1 NIA ISDA TBD Houston - Gas 1 Eric Dennison NAESB Client Coal 2 Kara Rappaport Coal Annex Client Coal 2 NIA TBD Sales I Credit Coal 2 Kara Rappaport Coal Annex Client Coal 1 NIA CTA Sales I Credit Canada 1 Kara Rappaport EDI In Execution Houston - Gas 1 Robin Frederick NAESB Client Houston - Gas 2 Stephanie Fischer NAESB Client E&P 1 Rosa Pietanza ISDA Client Ags 1 Kara Rappaport ISDA Sales Houston - Power 1 NIA EEl Sales Phy Crude 2 Mary Ann Swick LEAP Neg Phy Crude 2 Mary Ann Swick LEAP Client Phy Crude 1 Mary Ann Swick MNSA Client Phy Crude 1 Mary Ann Swick MNSA Neg E&P 1 Kara Rappaport NIA Client Houston - Gas 1 Robin Frederick NAESB Client Consumers I Refiners 1 Rosa Pietanza ISDA Client NY- Power 2 Jen Smith NAESB Energy Docs Coal 2 Kara Rappaport Coal Annex Client E&P 1 Rosa Pietanza ISDA Client
LBEX-DOCID 3567397
I 59 Sent out execution copies 60 Draft sent on retail piece I we owe them draft on non retail piece 61 Draft sent to client 62 Draft sent to client 63 Draft sent to client 64 On hold until lending relationship established 65 On hold until lending relationship established 66 Counterparty maybe depriortized 67 No MAF - Rick is meeting with the client next week and told me to hold off until then 68 No MAF - on the back burner per Rick. Client is unwilling to take credit exposure to investment banks right now 69 No MAF- Contacted counterparty (credit will call again) 70 Need EAM set up to send the draft - maybe deprioriized 71 Waiting on confirmation from Rick regarding client's proposed form of documentation 72 NIA 73 Executed 74 Sent draft to client 75 Working with credit on revised draft 76 ISDA amendment sent to client 77 ISDA Dupe 78 Client has draft 79 Client sent us back a draft 80 On hold until lending relationship established 81 In Execution 82 In Execution 83 84 Awaiting client comments 85 Have older version of Coal Annex - want to send client updated version 86 No MAF - Need clearer entity definition - I contacted again yesterday, waiting for response 87 Client has draft 88 No MAF- Issues with credit- Unless Buckskin can provide audited financials, we will not be putting docs in place 89 Client has draft 90 Client has draft. CP called me yesterday, requested removal of all ISDA language. CP to send revisions. 91 Draft sent to client 92 reviewed CA, should be able to revert this week 93 One remaing issues on collateral 94 Need MAF 95 Close to signing LEAP 96 Sent client draft 97 Have their parent guarentee- looking at out MNA 98 Getting comments to them 99 Waiting for their ISDA version 100 Client is backlogged 101 Docs with client I transacting via LFC 102 Issues wit E Docs 103 Client has draft 104 Client has draft
FOIA CONFIDENTIAL TREATMENT REQUESTED BY LEHMAN BROTHERS HOLDINGS, INC.
47 1 Total 11 48 11 49 1 AEP 1 ~ Bear Energy I JPM 1 ~ CE2 Environmental Markkets 1 "52 Constellation 1 f--53 Detroit Edison 1 ~ Duke Energy 1 ~ Koch Supply and Trading LP 1 f-56 NRG 1 f-57 Reliant Energy Services 1 ~ So Cal Ed 1
FOIA CONFIDENTIAL TREATMENT REQUESTED BY LEHMAN BROTHERS HOLDINGS, INC.
'"101 Cleco Power LLC 1 '102 Conagra Trade Group 1 '103 Florida Municipal Power Agency 1 ~ Florida Power Corp dba Progress 1 '105 FPL Power Marketing 1 '106 LGE I Kentucky Utilities 1 '107 Mirant Energy Trading LLC 1 r-wa Municipal Electric Authority of Georgia 1 '109 PPL EnergyPius LLC 1 '110 Reedy Creek Improvement District 1 '111 Repsol 1 ~ Rockwood Sewer & Gas 1 '"113 San Diego Gas Electric 1 '114 Wisconsin Power & Light 1 115 1 Total 15 116 2 Arizona Public Service 1
FOIA CONFIDENTIAL TREATMENT REQUESTED BY LEHMAN BROTHERS HOLDINGS, INC.
LBEX-DOCID 3567397
p Q R 117 2 Milagro Exploration LLC 1 ~ Recycled Energy Development LLC 1 '"119 SEP Holdings I, LLC 1 '120 Souther Illinois Power Coop 1 '121 Southern California Gas Company 1 ~ Southwestern Energy Company 1 123 2 Total 7 124 22 125 1 Alabama Electric Coop 1 rue Arclight Energy Marketing LLC 1
'127 Barclays 1 '128 DPI Energy LLC 1 '129 East Kentucky Power Cooperative, Inc. 1 ~ Endure Energy 1 '"131 Equistar Chemical Company 1 '132 Global Infrastructure Management 1 '133 Prelectric Energy Services LLC 1 ~ Southern Company 1 135 1 Total 10 136 10 137 1 AeroMexico 1 ~ Ambev 1 '139 Codelco 1 '140 Companhia Siderurgica Nacional 1 '141 EcoPetrol 1 ~ ENAP 1 '143 FEMSA Cerveza (FAMOSA) 1 '144 Lan Chile 1 '145 PIFCO (Petrobras) 1 ~ Usiminas 1 '147 Verzatec 1 '148 Vitro 1 '149 Votorantim GMBH 1 150 1 Total 13
~ 2 CSAV 1 152 Kimberly Clark Mexico 1 153 2 Total 2 154 15
~ 1 BP I Arco Aluminum 1
~ Chrysler 1 157 Coca Cola Bottlers Assoc 1 ~ Ford 1 '159 General Motors 1 '160 Hudbay Minerals 1 '1St Johnson Matthey Inc & Pic 1 ~ Mt Polley (Imperial Metals) 1 '163 PB 1 '164 TRACO 1 165 1 Total 10 166 10
~ 1 AES Deepwater 1
~ Calpine 1 169 ConEd 1 ~ Dynegy 1 '"171 Nevada Power 1 '172 PG&E 1 '173 Portland General Electric Company 1 ~ Safeway 1
FOIA CONFIDENTIAL TREATMENT REQUESTED BY LEHMAN BROTHERS HOLDINGS, INC.
LBEX-DOCID 3567397
p I Q R 175 1 Turlock Irrigation District 1 176 1 Total 9
g 2 Avista Corporation 1
~ Brazos 1 179 CDWR 1 rwo City of Garland 1
'"181 City of Riverside 1 '182 Coral 1 '183 Hino Electric 1 ~ Idaho Power Company 1 '185 Nevada Power 1 '186 South Texas Electric Corp 1 '187 Southern California Gas Company 1 188 2 Total 11 189 20
~ 1 BHP 1 191 Chevron 1 ~ Exxon 1 '193 Gavilon (Conagra) 1 '194 Mecuria 1 '195 Murphy 1 ~ Parnon 1 '197 Plains 1 '198 Suncor 1 '199 Sunoco 1 rwo Trafigura 1 rwT Vito I 1 202 1 Total 12 203 12 204 1 Atco Midstream 1 ~ Direct Energy 1 f206 Enbridge Gas Distribution 1 f207 Nova Chemicals 1 rwa Paramount Energy Trust 1 rwe Provident Energy 1 f210 Talisman Energy Inc. 1 f2rt Trilogy 1 212 1 Total 8