Free Exhibit List - District Court of Colorado - Colorado

Case 1:04-cv-01225-MSK-BNB

Document 219-3

Filed 11/07/2005

Page 1 of 7

JUDGE MARCIA S. KRIEGER Joint Exhibit List for Trial on Arbitrability November 9-10, 2005 Case No. 04-cv-1225-MSK-BNB (Consolidated with 04-cv-1226-MSK-BNB) Caption: Malik M. Hasan, M.D., and Seeme G. Hasan v. Goldman Sachs 1998 Exchange Place Fund, L.P., Goldman Sachs 1999 Exchange Place Fund, L.P., Goldman Sachs Management Partners, L.P., Goldman Sachs Management, Inc., The Goldman Sachs Group, Inc., and Goldman, Sachs & Co., JOHN DOES 1-100, and LENDER PARTIES 1-100 B LIST

Ex.

Witness

Brief Description Letter from G. Giglio to S. Mattie, dated May 6, 1998 (Dep. Ex. 10) Letter from G. Giglio to M. Hasan enclosing team biography, dated June 5, 1998 (Dep. Ex. 11) Letter from G. Giglio to M. Hasan, dated July 7, 1998 (Dep. Ex. 87) Multi-Party Account Instructions (HASAN 1438-1442) Letter from M. Hasan to Goldman Sachs & Co., dated August 4, 1998 (Partial Dep. Ex. 15; HASAN 14041405)

Stip.

Offered

Admitted

Refused

Ruling Reserved

Comments / Objections

60.

X

61.

X

62. 63.

X X

64.

X

Case 1:04-cv-01225-MSK-BNB

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Ex.

Witness

Brief Description Monthly Account Statement, August 1999 (HASAN 2545-2549) Exchange Funds, Greene Street Exchange Fund, LLC and Meadowbrook Exchange Fund, LLC Power Point Slides (Dep. Ex. 35) Spreadsheet listing Request for Offering Memorandums for 1998 Fund, salesperson Diane Hischhorn, dated September 15, 1998 (Dep. Ex. 50) Monthly Account Statement, December 1998; Portfolio Account 014070726, Valuation Date December 31, 1998 (HASAN 2641-2644; Dep. Ex. 55) The Nam d e nat R sos t e D f dn ' epneo e s Pa tf Fr Stfn r gt i ln f ' it eo It r a r s i is s eo oe and Requests for Production of Documents, dated May 20, 2005 (Dep. Ex. 66) Unsigned Letter from G. Giglio, R. MulrJO S agns ad . ee . 'huhes n N l, y Powell to M. Hasan, dated June 23, 1998 (GSX 3081) Collection of GS Account Documents for Multi-Party Account Agreement (Dep. Ex. 15; HASAN 1399-1444)

Stip.

Offered

Admitted

Refused

Ruling Reserved

Comments / Objections

65.

X

66.

X

67.

X

68.

X

69.

X

70.

D f dn ' b co: Relevance e nat oj t n e s ei

71.

Limited use 2

Case 1:04-cv-01225-MSK-BNB

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Ex.

Witness

Brief Description C s m r O t n A r m n s nd ut e s p os ge et i e o ' i e ,g by Hasans 7/31/98; signed by G. Giglio 9/2/98; signed by G. Kobs 9/8/98 (Dep. Ex. 44; GSX 691-692) Memorandum from M. Jansen to J. Keller, with attached stock certificates, dated August 11, 1998 (Dep. Ex. 15; HASAN 1406-1413) GS&Co. Master Agreement for OTC Options, dated August 15, 1998, with addendums (Dep. Ex. 45; GSX 691-692; March 8, 2005 Hearing Ex. 22) Unsigned Letter from G. Giglio, R. MulrJO S agnessy and N. ee . 'huh l, Powell to M. Hasan, dated September 10, 1998 (GSX 3083) Exhibit 35 from March 8 Hearing Certificate of Limited Partnership for 1998 Fund, dated October 1, 1998 (GSX 2895-2896) Facsimile from Michael Jansen to Lou Thompson, dated December 16, 1998 (GSX 2475-2483) Bowne Business Communication Job Notes, BBC-4816, March 30, 1999 April 28, 1999 (Dep. Ex. 63)

Stip.

Offered

Admitted

Refused

Ruling Reserved

Comments / Objections

72.

Pa tf oj t n R l ac ln f ' b co: e vne i is e i e

73.

D f dn ' b c e nat oj t Authenticity e s e ion:

74.

Pa tf oj t n R l ac ln f ' b co: e vne i is e i e

75.

D f dn ' b cos R l ac. e nat oj t n: e vne e s ei e

76. 77.

Plaintf oj t n R l ac is b co: e vne f' e i e Pa tf oj t n: e vne ln f ' b cos R l ac; i is e i e authenticity

78.

79.

D f dn ' b co: Relevance e nat oj t n e s ei

3

Case 1:04-cv-01225-MSK-BNB

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Ex.

Witness

Brief Description Notice of Removal, AEQ, LLC v. Monument Systems Inc. and Malik Hasan, dated June 28, 1999 (GSX 3094-3124) Civil Cover Sheet, AEQ, LLC v. Monument Systems Inc. and Malik Hasan, dated June 28, 1999 (GSX 3122-3123) Form of Subscription Booklet, Goldman Sachs 1999 Exchange Place Fund, L.P. (Dep. Ex. 24; HASAN 1144-1198) Certificate of Limited Partnership for 1999 Fund, dated August 19, 1999 (GSX 2893-2894)

Stip.

Offered

Admitted

Refused

Ruling Reserved

Comments / Objections

80.

Pa tf oj t n Relevance; ln f ' b cos: i is e i authenticity

81.

Pa tf oj t n R l ac ln f ' b co: e vne i is e i e

82.

Pa tf oj t n Relevance ln f ' b co: i is e i

83.

Pa tf oj t n R l ac ln f ' b co: e vne i is e i e

84.

Monthly Portfolio Statement, September 1999

Defendants make a limited offer of this exhibit to show receipt of the 1999 Exchange Fund Units into the Hasan Account Pa tf oj t n R l ac ln f ' b co: e vne i is e i e

85.

86.

Notice of Motion To Dismiss, AEQ, LLC v. Monument Systems Inc. and Malik Hasan, dated September 21, 1999 (GSX 3125-3161) Affidavit of Malik Hasan, AEQ, LLC v. Monument Systems Inc. and Malik Hasan, dated September 9, 1999 (GSX 3154-3156) 4

Plaintf oj t n: R l is b cos e vance; f' e i e authenticity

Pa tf oj t n R l ac ln f ' b co: e vne i is e i e

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Ex.

Witness

Brief Description E-mail from J. Collins to M. Hasan, dated December 20, 2002 (Dep. Ex. 59) E-mail from J. Collins to M. Hasan, dated January 9, 2003 (Dep. Ex. 60) E-mail from J. Collins to M. Hasan, dated January 16, 2003 (Dep. Ex. 61) Demand for Arbitration filed by M. Hasan and S. Hasan dated October 15, 2004, AAA Arbitration No. 77 113 00394 RWH Second Amended Complaint, Malik Hasan et al v. Goldman Sachs 1998 Exchange Place Fund, L.P., No. 04-cv1225-MSK-BNB, dated December 27, 2004 Transcript of Testimony of Dr. Malik Hasan at March 8, 2005 Hearing Pa tf i e oa r as e ln f 'n r gt y nw rs i is t r o (including any amendments), dated May 2, 2005 (Dep. Ex. 33)

Stip.

Offered

Admitted

Refused

Ruling Reserved

Comments / Objections

87.

D f dn ' b co: Relevance e nat oj t n e s ei

88.

D f dn ' b co: elevance e nat oj t n R e s ei

89.

D f dn ' b co Relevance e nat oj t n: e s ei Defendants will use or offer this exhibit for limited purpose only to show that plaintiffs acknowledge the arbitration clause in the Multi-Party Account Agreement and its scope Defendants will use or offer this exhibit for the limited purpose of admissions, impeachment, and/or to refresh recollection Defendants will use or offer this exhibit solely for admissions, for impeachment, and/or to refresh recollection Defendants will use or offer this exhibit solely for admissions, for impeachment, and/or to refresh recollection

90.

91.

92.

93.

5

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Ex.

Witness

Brief Description Pa tf vri tions to interrogatory ln f ' e f a i is ic answers, dated May 3, 2005 (Dep. Ex. 34) Videos of M. Hasan deposition, May 26 and 27, 2005

Stip.

Offered

Admitted

Refused

Ruling Reserved

Comments / Objections Defendants will use or offer this exhibit solely for admissions, for impeachment, and/or to refresh recollection Defendants will use or offer this exhibit solely for admissions, for impeachment, and/or to refresh recollection D f dn ' b co: Hearsay. No e nat oj t n e s ei objection, if offered with deposition transcript or opportunity to crossexamine at trial. Limited use Limited use D f dn ' b cos O j t n e nat oj t n: b cos e s ei ei only to the extent the errata relates to otherwise objectionable examination and testimony D f dn ' b cos Objections e nat oj t n: e s ei only to the extent the errata relates to otherwise objectionable examination and testimony Pa tf oj t n H a a ln f ' b co: er y i is e i s Pln f ' b co: H a a a tf oj t n er y i is e i s

94.

95.

96. 97. 98.

Paige Doherty Expert Report, issued dated September 3, 2005 Paige Doherty materials Video of Page Doherty deposition and related Deposition Exhibit 92, September 14, 2005 Errata Sheet for Deposition of Gary Giglio taken on September 9, 2005 in NYC Errata Sheet for Deposition of Rosemary Angeloni taken on September 9, 2005 in NYC J. Donald Vacca lifts and photos Affidavit of Morris Sandler, dated October 7, 2005 (GSX 3084-3090)

99.

100. 101. 102.

6

Case 1:04-cv-01225-MSK-BNB

Document 219-3
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Filed 11/07/2005

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Ex.

Witness

Brief Description 1999 Exchange Fund Stock 8-6 Spreadsheet (Dep. Ex. 71) Gross Credit Spreadsheet (Dep. Ex. 83) 1998 Greene Street Orderbook Spreadsheet (Dep. Ex. 70) Order Spreadsheet (Dep. Ex. 79) 1999 Exchange Fund Slots Spreadsheet (Dep. Ex. 81) 1999 Exchange Fund Gross Credits Spreadsheet (Dep. Ex. 84) Commissions Spreadsheet (Dep. Ex. 85) DVD representing 1999 Private Placement Memorandum provided by Gordon M. Binder (HASAN 2726) Goldman Sachs 1998 Exchange Place Fund, L.P. Form of Limited Partnership Agreement provided by Gordon M. Binder (Binder Dep. Ex. 3) Demonstratives

Stip.

Offered

Admitted

Refused

Ruling Reserved

Comments / Objections D f dn ' b cos e nat oj t n: e s ei Authenticity; incomplete D f dn ' b cos Relevance; e nat oj t n: e s ei authenticity; incomplete D f dn ' b cos e nat oj t n: e s ei Authenticity; incomplete D f dn ' b cos e nat oj t n: e s ei Authenticity; incomplete D f dn ' b cos e nat oj t n: e s ei Authenticity; incomplete D f dn ' b cos Relevance; e nat oj t n: e s ei authenticity; incomplete D f dn ' b cos Relevance; e nat oj t n: e s ei authenticity; incomplete; D f dn ' b cos R e nat oj t n: elevance, e s ei authenticity, foundation (subject to review of deposition testimony of Binder) Defenat of t s xi tn i dn ' f rh eh iol n s e i b y the event that their objections to Trial Exhibits 59 and 112 are overruled

103. 104. 105. 106. 107. 108. 109.

110.

111.

112.

7