Free Exhibit List - District Court of Colorado - Colorado

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

Document 219-2

Filed 11/07/2005

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JUDGE MARCIA S. KRIEGER Joint Exhibit List 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 A LIST

Ex.

Witness

Brief Description Multi-Party Account Agreement, executed by plaintiffs on July 31, 1998 (HASAN 1484-1487; March 8, 2005 Hearing Ex. 21) Multi-Party Agreement, fully executed September 1998 (GSX 661-664) Letter from J. Keller to G. Giglio, dated August 12, 1998 (Partial Dep. Ex. 15; HASAN 1414) Letter from M. Jansen to J. Knapp, dated August 18, 1998 (Partial Dep. Ex. 15; HASAN 14151416)

Stip.

Offered

Admitted

Refused

Ruling Reserved

Comments / Objections

1.

X

2.

X

3.

X

4.

X

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

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Ex.

Witness

Brief Description Foundation Health Systems, Inc. stock certificate, dated August 21, 1998 (GSX 592; March 8, 2005 Hearing Ex. 20) Monthly Account Statement, August 1998; Portfolio Account Statement 014070726, Valuation Date August 31, 1998 (Dep. Ex. 48; HASAN 2681-2683) Private Placement Memorandum for Greene Street 1998 Exchange Fund, L.P., dated September 1998 (Y95) (Dep. Ex. 17; HASAN 168-246) Unsigned draft letter from G. Giglio, R. MulrJO S agns ad . ee . 'huhes n N l, y Powell to M. Hasan, dated September 18, 1998 (Dep. Ex. 88; GSX 654; March 8 Hearing Ex. 5) Spreadsheet listing Request for Offering Memorandums for 1998 Fund, salesperson R. Mueller, dated September 18, 1998 (Dep. Ex. 51; GSX 650-651) Subscription Booklet for Greene Street 1998 Exchange Fund, L.P. (Original Exhibit 10A from March 8, 2005 Hearing and replicas GSX 2960-3015)

Stip.

Offered

Admitted

Refused

Ruling Reserved

Comments / Objections

5.

X

6.

X

7.

X

8.

X

9.

X

10A

X

2

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

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Ex.

Witness

Brief Description Subscription Booklet for Goldman Sachs 1999 Exchange Place Fund, L.P. (Original Exhibit 11A from March 8, 2005 Hearing and replicas GSX 30163075) Stock Power Page from 1999 Subscription Booklet (Original Exhibit 11B from March 8, 2005 Hearing) Draft letter from G. Giglio, R. Mueller, JO S agns , . o e to . 'huhes N P w l y l investor (name and address redacted), rejected by Compliance, dated September 21, 1998 (Dep. Ex. 49; GSX 653) Draft letter from G. Giglio, R. Mueller, JO S agns , . o e to . 'huhes N P w l y l investor (name and address redacted), rejected by Compliance, dated September 23, 1998 (Dep. Ex. 52; GSX 652) Letter from G. Giglio, R. Mueller, J. O S agns ad . o e tM. 'huhes n N P w l o y l Hasan, dated September 18, 1998, but sent later in September (Dep. Ex. 36; HASAN 1472; March 8, 2005 Hearing Ex. 19; Identical versions marked as Dep. Exs. 5, 36 and 89)

Stip.

Offered

Admitted

Refused

Ruling Reserved

Comments / Objections

11A

X

11B

X

12.

X

13.

X

14.

X

3

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

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Ex.

Witness

Brief Description Form of Amended and Restated Agreements of Limited Partnership, Greene Street 1998 Exchange Fund, L.P.; Form of Limited Partnership Agreement of Greene Street Master Fund, L.P. (Dep. Ex. 19; HASAN 1527-1606) E-mail exchange between M. Hasan and J. Collins, dated May 28, 2003 (Dep. Ex. 62; GSX 657-660) Portion of Subscription Booklet for Greene Street 1998 Exchange Fund, L.P., faxed May 29, 2003 (Dep. Ex. 18a) Portion of Subscription Booklet for Goldman Sachs 1999 Exchange Place Fund, L.P., faxed May 29, 2003 (Dep. Ex. 6) Malik M. Hasan, M.D., Foundation Health Systems, Stock Holdings as of February 26, 1997, dated November 4, 1998 (Dep. Ex. 39; GSX 593-594) Monthly Account Statement, November 1998; Portfolio Account Statement 014070726, Valuation Date November 30, 1998 (Dep. Ex. 54)

Stip.

Offered

Admitted

Refused

Ruling Reserved

Comments / Objections

15.

X

16.

X

17.

X

18.

X

19.

X

20.

X

4

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Ex.

Witness

Brief Description Private Placement Memorandum for Goldman Sachs 1999 Exchange Place Fund, L.P., dated June 1999 (Dep. Ex. 27; HASAN 527-615; March 8, 2005 Hearing Ex. 18) Bind Rite Videotape, dated August 25, 2005 (Dep. Ex. 69) E-mail from B. Featherstone to G. Merrick, dated October 25, 2005, 9:09 a.m. Unsigned letter from G. Giglio and J. O S agns t M. aa, dated 'huhes o H sn y August 12, 1998 (GSX 3082) Foundation Health Systems, Inc. stock certificate, dated August 21, 1998 and October 26, 2005 letter from Computershare to M. Hasan (GSX 592) Executive Summary, Greene Street 1998 Exchange Fund, L.P., dated August 1998 (Dep. Ex. 16; HASAN 247-268) Greene Street 1998 Exchange Fund L.P. Inspection Report, dated November 5, 1998 (Dep. Ex. 40; HASAN 2694-2704; March 8, 2005 Hearing Ex. 36)

Stip.

Offered

Admitted

Refused

Ruling Reserved

Comments / Objections

21.

X

22.

X

23.

X

24.

D f dn ' b cos Relevance. e nat oj t n: e s ei D f dn ' b cos No e nat oj t n: e s ei objection to the stock certificate. Objection to the letter as hearsay, multiple hearsay, absence of foundation and authenticity. Pa tf oj t n R l a ln f ' b co: e vnce i is e i e

25.

26.

27.

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

5

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

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Ex.

Witness

Brief Description First Amended and Restated Limited Partnership Agreement of Greene Street 1998 Exchange Fund, L.P., dated November 12, 1998 (Dep. Ex. 42; GSX 93-135; March 8, 2005 Hearing Ex. 7) Bowne of New York Invoices to Goldman, Sachs & Co. for 1998 Fund Offering Documents, dated November 12 and December 2, 1998; Declaration of Raymond Coppede (business records), dated September 14, 2005; Declaration of Leonardo Rizzi (business records), dated September 13, 2005 (Dep. Ex. 64; GSX 697-701) Form Original Booklets from 1998 Fund: Private Placement Memorandum Executive Summary; Limited Partnership Agreement; Subscription Booklet (Dep. Ex. 65; GSX 3162-3423) Greene Street 1998 Exchange Fund L.P., Investment Portfolio and form cover letter, dated November 12, 1998 (Dep. Ex. 41; HASAN 2684-2693)

Stip.

Offered

Admitted

Refused

Ruling Reserved

Comments / Objections

28.

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

29.

Pa tf o ln f ' bjections: Relevance; i is authenticity; hearsay

30.

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

31.

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

6

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Ex.

Witness

Brief Description Second Amended and Restated Limited Partnership Agreement of Goldman Sachs 1998 Exchange Place Fund, L.P., dated May 12, 1999 (Dep. Ex. 20; HASAN 126-167; March 8, 2005 Hearing Ex. 8) Executive Summary Goldman Sachs 1999 Exchange Place Fund, L.P., dated June 1999 (Dep. Ex. 8; HASAN 1318-1341) Global Financial Press invoices to Goldman, Sachs & Co. for 1999 Fund, dated July 19 and July 30, 1999; Declaration of Richard S. Kendall (business records), dated September 12, 2005; Declaration of Leonardo Rizzi (business records), dated September 13, 2005 (Dep. Ex. 67; GSX 2471-2474) Form Original Booklets from 1999 Fund: Private Placement Memorandum Executive Summary; Limited Partnership Agreement; Subscription Booklet (Dep. Ex. 68; GSX 3424-3667) Form of Limited Partnership Agreement, Goldman Sachs 1999 Exchange Place Fund, L.P. (Dep. Ex. 26; HASAN 854-901; March 8, 2005 Hearing Ex. 17)

Stip.

Offered

Admitted

Refused

Ruling Reserved

Comments / Objections

32.

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

33.

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

34.

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

35.

Pa tf oj t n A t n cy ln f ' b co: u eti i is e i h it

36.

Plaintisoj t n R l ac f ' b co: e vne f ei e

7

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Ex.

Witness

Brief Description Goldman Sachs 1999 Exchange Place Fund L.P. Inspection Report and cover letter, dated August 27, 1999 (HASAN 1449-1461; March 8, 2005 Hearing Ex. 37) Goldman Sachs 1999 Exchange Place Fund L.P. Investment Portfolio and form cover letter, September 3, 1999 (HASAN 1471; 1366-1373) Limited Partnership Agreement of Goldman Sachs 1999 Exchange Place Fund, L.P., dated September 3, 1999 (GSX 230-278; March 8, 2005 Hearing Ex. 19) Goldman Sachs Liquidity Partners 2001, L.P. Limited Partnership Interests Private Placement Memorandum, August 2001 (HASAN 1199-1257) Goldman Sachs 1999 Exchange Place Fund, L.P. Redemption Election Verification December 14, 2001 to M. Hasan (Dep. Ex. 58)

Stip.

Offered

Admitted

Refused

Ruling Reserved

Comments / Objections

37.

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

38.

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

39.

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

40.

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

41.

Defendan ' b co: Relevance t oj t n s ei

8

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Ex.

Witness

Brief Description

Stip.

Offered

Admitted

Refused

Ruling Reserved

Comments / Objections D f dn ' b cos Relevance; e nat oj t n: e s ei privileged settlement communication (Rule 408), pursuant to express agreement. If offered or admitted over objection, defendants reserve the right to offer and introduce such evidence as they deem appropriate to rebut, including (without limitation), the Amended Complaint and Scheduling Order in the Newby case, other court records regarding the actions identified in ¶ 46 of the Second Amended Complaint, and the Hasans' Opposition to Goldman, Sc &C . Mo o t Ds i ah o s t n o i s ' i m s filed in the Denver Arbitration. D f dn ' b cos R e nat oj t n: elevance; e s ei incomplete D f dn ' b cos Relevance; e nat oj t n: e s ei hearsay

42.

Letter from M. Gitter to M. Blasy, dated November 19, 2003

43. 44.

45.

Demand for Arbitration filed by Goldman Sachs Defendants on August 20, 2004 (NY AAA) ACT Log for Hasan Account, printed February 24, 2005 Affidavit of Malik M. Hasan in S potfh Pa tf R sos i upro t ln f ' epnen e i is O psi tD f dn ' t no poio o e nat Mo o t tn e s i Transfer this Action to the Southern District of New York, or, in the Alternative, for a Stay Pending Arbitration, dated November 15, 2004 (Dep. Ex. 31; March 8, 2005 Hearing Ex. 14) 9

D f dn ' b co: er y e nat oj t n H a a to e s ei s offer by plaintiffs. Defendants will use or offer this exhibit for limited purpose only.

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Ex.

Witness

Brief Description Excerpted Definition of word " ok tf mwww.answers.com, as B ol"r e o produced by M. Hasan during deposition on May 27, 2005 (Dep. Ex. 38) Complete Definition of word " ok tf mwww.answers.com B ol"r e o (Dep. Ex. 46) Amended Affidavit of Malik M. Hasan iS potfh Pa tf R sos n upro t ln f ' epne e i is iO psi t D f dn ' t n o n poio o e nat Mo o t tn e s i Transfer this Action to the Southern District of New York, or, in the Alternative, for a Stay Pending Arbitration, dated September 7, 2005 Not used Not used Not used E-mail from B. Featherstone to G. Merrick, dated September 15, 2005, 9:25 a.m. E-mail from G. Merrick to B. Featherstone, dated September 15, 2005, 2:04 p.m.

Stip.

Offered

Admitted

Refused

Ruling Reserved

Comments / Objections

46.

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

47.

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

48.

Defendan ' b co: earsay to t oj t n H s ei p i isof . Defendants will use ln f ' f r a tf e or offer this exhibit for limited purpose only.

49. 50. 51. 52.

Offered if objections to Exs. 53 and 54 are overruled D f dn ' b cos R e nat oj t n: elevance; e s ei completeness

53.

10

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Ex.

Witness

Brief Description

Stip.

Offered

Admitted

Refused

Ruling Reserved

Comments / Objections Defendn ' b cos R at oj t n: elevance; s ei hearsay; multiple hearsay; selfserving; misleading; prejudicial (R. 403); argumentative. Also, objection that the exhibit is not complete because it does not include the responses to this email from defendants, as plaintiffs counsel represented that it would. Offered if objections to Exs. 53 and 54 are overruled Pa tf oj t n H a a ln f ' b co: er y i is e i s D f dn ' b cos R e nat oj t n: elevance e s ei

54.

E-mail from G. Merrick to B. Featherstone, dated September 15, 2005, 2:44 p.m.

55. 56. 57. 58. 59.

E-mail from B. Featherstone to G. Merrick, dated September 19, 2005, 2:09 p.m. J. Donald Vacca credentials 1999 Private Placement Memorandum provided by Gordon M. Binder Not used Not used

11