Plaintiffs vs. HSBC BANK USA

ROBBINS GELLER RUDMAN
& DOWD LLP
SAMUEL H. RUDMAN
DAVID A. ROSENFELD

58 South Service Road, Suite 200
Melville, NY 11747
Telephone: 631/367-7100
631/367-1173 (fax)
Co-Counsel for Plaintiffs-Appellants
[Additional counsel appear on signature page.]

Debtor. KA KIN WONG, et al., Plaintiffs, vs. HSBC BANK USA, NATIONAL
ASSOCIATION, et al., Defendants.
Case No. 08-13555-JMP Chapter 11 Adversary Proceeding No. 09-01120-JMP Plaintiffs KA KIN WONG, SIU LUI CHING, TIM CHOY FUNG, LIN TEI TSE, SAU KING TSE, LAI KUEN CHAN, FUK SHING WONG, SIU KWAN WONG, YEE MING SHEN and YUEN FUN TANG, derivatively on behalf of a trust administered by HSBC Bank USA, N.A., and on behalf of themselves as well as all others similarly situated (collectively, “Plaintiffs- Appellants” or “Plaintiffs”), in the matter Ka King Wong v. HSBC Bank USA, Nat’l Ass’n, No. 09-01120-JMP (S.D.N.Y. Bankr. Mar. 12, 2009) (the “Adversary roceeding”), filed a Notice of Appeal on March 17, 2011, in the matter In re: Lehman Brothers Holdings Inc., et al., No. 08-13555-JMP (Dkt. No. 15143) (the “Notice”), pursuant to 28 U.S.C. §158 and Rule 8001 of the Federal Rules of Bankruptcy Procedure, to appeal from the Bankruptcy Court’s Alternative Dispute Resolution Procedures Order for Affirmative Claims of the Debtors Under Derivatives Transactions with Special Purpose Vehicle Counterparties (the “Bankruptcy Order”) (Dkt. No. 14789), and from the Bankruptcy Court’s overruling Plaintiffs’ objection to such procedures (Dkt. Nos. 13823, 13827) (“Plaintiffs’ Objection”).

THIS APPEAL IS RELATED TO OTHER APPELLATE PROCEEDINGS

The Bankruptcy Order and Plaintiffs’ Objection are related to the Adversary Proceeding currently pending before the Bankruptcy Court, and to the following Appellate Proceedings: (1) Ka Kin Wong v. HSBC USA, Inc., No. 1:10-cv-00017-WHP (S.D.N.Y. Jan. 4, 2010); and (2) Ka Kin Wong v. HSBC USA, Inc., No. 1:10-cv-00096-WHP (S.D.N.Y. Jan. 7, 2010), The Honorable William H. Pauley III, presiding. In those Appellate Proceedings, the District Court reversed the Bankruptcy Court’s dismissal of the initial complaint filed in the Adversary Proceeding. See Ka Kin Wong v. HSBC USA, Inc., No. 1:10-cv-00017-WHP, Memorandum & Order (S.D.N.Y. Aug. 9, 2010); Ka Kin Wong v. HSBC USA, Inc., No. 1:10-cv-00096-WHP, Memorandum & Order - 2 -
615963_2 (S.D.N.Y. Aug. 9, 2010) (together, the “District Court Orders”). Copies of the District Court Orders are attached hereto as Exhibit A and Exhibit B.

Plaintiffs hereby submit their statement of issues to be presented on appeal and designation of record on appeal.

STATEMENT OF ISSUES

Plaintiffs intend to present the following issues on appeal:

1. Whether the Bankruptcy Court erred as a matter of fact or law in failing to amend the Bankruptcy Order to comply with the District Court Orders?

2. Whether the Bankruptcy Court erred as a matter of fact or law in permitting debtor
Lehman Brothers Special Financing Inc. (“LBSF”) to negotiate with HSBC Bank USA, National Association (defendants in the Adversary Proceeding) (“HSBC Bank”), and/or their agents or entities under their separate or common control, to settle claims concerning the Adversary Proceeding, when the District Court Orders reversed and remanded the Bankruptcy Court’s dismissal of the initial Adversary Proceeding complaint, and in so reversing, the District Court found:

Despite representations in the Minibonds prospectuses that neither Lehman Brothers nor any of its subsidiaries exercised control over the Issuer, Lehman Brothers esigned the Minibonds program and directed the Issuer’s activities. As a party to the trust deeds, LBSF was substantially involved in that process. The Issuer then
created a trust that, in certain circumstances, distributes its only collateral to a
Lehman entity, rather than the trust’s sole beneficiary. Juxtaposed against the promise that the Minibonds would be secured by highly-rated collateral, this is an odd result. . . . Furthermore, the recently released Examiner’s report reveals cooperation between HSBC and Lehman Brothers at the highest levels during Lehman Brothers’ collapse.

See District Court Orders at 12-13.

3. Whether the Bankruptcy Court erred as a matter of fact or law in overruling HSBC
Bank’s objection and joinder (Dkt. No. 13315), in which HSBC Bank admitted that it “ha[d] noeconomic interest” in the subject transactions, and erred in requiring HSBC Bank to negotiate with debtors to settle claims in which HSBC Bank had no economic interest?

4. Whether the Bankruptcy Court erred as a matter of fact or law in holding that
Plaintiffs’ Objection to the Bankruptcy Order was untimely?

5. Whether the Bankruptcy Court erred as a matter of fact or law for any other reason or reasons?

DESIGNATION OF CONTENTS OF RECORD

Plaintiffs designate the following items for inclusion in the record on appeal:
Adversary Proceeding Case No. 09-01120(JMP) and Related Hearing Transcripts from Other Proceedings as Indicated

1 03/12/2009 1 Adversary case 09-01120. Complaint against HSBC USA, INC., HSBC Bank PLC, Pacific International Finance Limited, HSBC Bank (Cayman) Limited (f/k/a HSBC Financial Services (Cayman) Ltd.), HSBC Holdings PLC, Scott Aitken, Cereita Lawrence, Sarah Coombs, Janet Crawshaw, Sylvia Lewis, The Bank of New York Mellon Corporation, Lehman Brothers Special Financing Inc.

2 04/13/2009 6 So Ordered Stipulation and Order Signed on 4/13/2009 Extending the Time for the Defendants to Move, Answer or Otherwise Respond to the Complaint to May 13, 2009. (Nulty, Lynda) (Entered: 04/13/2009)

3 05/27/2009 11 Answer to Complaint (Related Doc #1 ) filed by Eric A. Schaffer on behalf of The Bank of New York Mellon. (Attachments: #1 Certificate of Service) (Schaffer, Eric)(Entered: 05/27/2009)

4 05/27/2009 12 Corporate Ownership Statement filed by David G. Januszewski on behalf of HSBC USA, INC. (Januszewski, David) (Entered: 05/27/2009) Adversary Proceeding Case No. 09-01120(JMP) and Related Hearing Transcripts from Other Proceedings as Indicated

5 05/27/2009 13 Motion to Dismiss Case //Notice of HSBC USA, Inc’s Motion to Dismiss the Class Action Complaint, Abstain or Stay the Adversary Proceeding filed by David G. Januszewski on behalf of HSBC USA, INC. with hearing to be held on 7/15/2009 at 10:00 AM at Courtroom 601 (JMP) Responses due by 7/10/2009, (Januszewski, David) (Entered: 05/27/2009)

6 05/27/2009 14 Affidavit of Song Qun in Support of Motion to Dismiss filed by David G. Januszewski on behalf of HSBC USA, INC. (Attachments: #1 Exhibit B #2 Exhibit C #3 Exhibit D-F #4 Exhibit G-J) (Januszewski, David) (Entered: 05/27/2009)

7 05/27/2009 15 Matrix //Appendix of Unreported Authorities filed by David G. Januszewski on behalf of HSBC USA, INC. (Attachments: #1 Appendix Part 2) (Januszewski, David) (Entered: 05/27/2009)

8 05/27/2009 16 Memorandum of Law in Support of Motion to Dismiss, Abstain or Stay Action filed by David G. Januszewski on behalf of HSBC USA, INC. (Januszewski, David) (Entered: 05/27/2009)

9 05/27/2009 17 Motion to Dismiss Adversary Proceeding: Defendant Lehman Brothers Special Financing Inc.’s Motion to Dismiss the Complaint filed by Richard W. Slack on behalf of Lehman Brothers Special Financing Inc. with hearing to be held on 7/15/2009 at 10:00 AM at Courtroom 601 (JMP) Responses due by 6/23/2009, (Attachments: #1 Exhibit 1 #2 Exhibit 2) (Slack, Richard) (Entered: 05/27/2009)

10 05/28/2009 18 Affidavit of Service of Herb Baer of Epiq Bankruptcy Solutions, LLC (related document(s) 17) filed by Shai Waisman on behalf of Lehman Brothers Special Financing Inc. (Waisman, Shai) (Entered: 05/28/2009) 11 05/28/2009 19 Corporate Ownership Statement filed by Eric A Schaffer on behalf of The Bank of New York Mellon. (Schaffer, Eric) (Entered: 05/28/2009)

12 05/28/2009 20 Statement Plaintiffs’ Report Pursuant to Fed. R. Civ. P. 26(f) filed by Ray A. Mandlekar on behalf of Lai Mei Chan, Siu Lui Ching, Sing Heung, Chun IP, Yin Ying Leung, Jin Liu, Ka Kin Wong. (Attachments: #1 Exhibit A #2 Exhibit B) (Mandlekar, Ray) (Entered: 05/28/2009) Adversary Proceeding Case No. 09-01120(JMP) and Related Hearing Transcripts from Other Proceedings as Indicated

13 06/04/2009 *1174 Transcript regarding Hearing Held on 6/3/09 at 10:04
AM. (Richards, Beverly) Modified on 6/10/2009 (Richards, Beverly). (Entered: 06/05/2009) (*Docket Number in Case No. 08-01420-JMP)

14 06/15/2009 31 Motion to Stay // Defendant Lehman Brothers Special Financing Inc.’s Notice of Motion and Motion to Stay Discovery Pending Determination of Its Motion to Dismiss the Complaint filed by Richard W. Slack on behalf of Lehman Brothers Special Financing Inc. (Attachments: #1 Declaration of Richard W. Slack #2 Proposed Order) (Slack, Richard) (Entered: 06/15/2009)

15 06/17/2009 33 So Ordered Stipulation and Consent Order Signed on 6/17/2009 Permitting Intervention of Official Committee of Unsecured Creditors in Adversary
Proceeding. (Nulty, Lynda) (Entered: 06/17/2009)

16 07/08/2009 36 So Ordered Stipulation signed on 7/8/2009 Between Plaintiffs and Defendants Establishing Uniform Schedule for Answers or Motion Practice and Setting
Return Date. (Bush, Brent) (Entered: 07/08/2009)

17 07/09/2009 37 Motion to Dismiss Adversary Proceeding, Abstain, or Stay the Adversary Proceeding filed by David G. Januszewski on behalf of Scott Aitken, Sarah Coombs, Janet Crawshaw, HSBC Bank (Cayman) Limited (f/k/a HSBC Financial Services (Cayman) LTD), HSBC Bank PLC, HSBC Holdings PLC, Cereita Lawrence, Sylvia Lewis, Pacific international Finance Limited. (Januszewski, David) (Entered: 07/09/2009)

18 07/09/2009 38 Declaration of Patricia Farren in Support of the Motion to Dismiss the Class Action Complaint, Abstain, or Stay the Adversary Proceeding filed by David G. Januszewski on behalf of Scott Aitken, Sarah Coombs, Janet Crawshaw, HSBC Bank (Cayman) Limited (f/k/a HSBC Financial Services (Cayman) LTD), HSBC Bank PLC, HSBC Holdings PLC, Cereita Lawrence, Sylvia Lewis, Pacific international Finance Limited. (Januszewski, David) (Entered: 07/09/2009) Adversary Proceeding Case No. 09-01120(JMP) and Related Hearing Transcripts from Other Proceedings as Indicated

19 07/09/2009 39 Memorandum of Law in Support of the Motion to Dismiss the Class Action Complaint, Abstain, or Stay the Adversary Proceeding filed by David G. Januszewski on behalf of Scott Aitken, Sarah Coombs, Janet Crawshaw, HSBC Bank (Cayman) Limited (f/k/a HSBC Financial Services (Cayman) LTD), HSBC Bank PLC, HSBC Holdings PLC, Cereita Lawrence, Sylvia Lewis, Pacific International Finance Limited. (Januszewski, David) (Entered: 07/09/2009)

20 07/09/2009 40 Corporate Ownership Statement filed by David G. Januszewski on behalf of HSBC Bank (Cayman) Limited (f/k/a HSBC Financial Services (Cayman)
LTD), HSBC Bank PLC, HSBC Holdings PLC, Pacific international Finance Limited. (Januszewski, David) (Entered: 07/09/2009)

21 07/09/2009 42 Opposition Plaintiffs’ Opposition to Defendant Lehman Brothers Special Financing Inc.’s Motion to Stay Discovery Pending Determination of Its Motion to Dismiss the Complaint (related document(s) 31) filed by Ray A. Mandlekar on behalf of Lai Mei Chan, Siu Lui Ching, Sing Heung, Chun IP, Yin Ying Leung, Jin Liu, Ka Kin Wong. (Attachments: #1 Exhibit A #2 Exhibit B #3 Exhibit C #4 Exhibit D #5 Exhibit E #6 Exhibit F #7 Exhibit G #8 Certificate of Service) (Mandlekar, Ray) (Entered: 07/09/2009)

22 07/10/2009 43 Statement Of Official Committee Of Unsecured Creditors Of Lehman Brothers Holdings Inc., et al. In Support Of Debtors’ Motion To Stay Discovery Pending Determination Of Debtors’ Motion To Dismiss The Complaint (related document(s) 31) filed by Dennis F. Dunne on behalf of Official Committee Of Unsecured
Creditors. (Dunne, Dennis) (Entered: 07/10/2009)

23 07/14/2009 44 Reply to Motion: Reply Brief In Support of Defendant Lehman Brothers Special Financing Inc.’s Motion to Stay Discovery Pending Determination of its Motion to Dismiss the Complaint (related document(s) 31) filed by Richard W. Slack on behalf of Lehman Brothers Special Financing Inc. (Slack, Richard) (Entered:
07/14/2009) Adversary Proceeding Case No. 09-01120(JMP) and Related Hearing Transcripts from Other Proceedings as Indicated

24 07/17/2009 *4440 Transcript regarding Hearing Held on 7/15/09 10:03 AM. (Richards, Beverly) (Entered: 07/17/2009) (*Docket Number in Case No. 08-13555-JMP)

25 07/30/2009 54 Order Signed on 7/30/2009 Granting the Defendant Lehman Brothers Special Financing Inc.’s Motion to Stay Discovery Pending Determination of Its Motion to Dismiss the Complaint. (Related Doc #31) (Nulty, Lynda) (Entered: 07/30/2009)

26 07/31/2009 55 Motion to Withdraw the Reference (related document(s) 1) filed by Robert F. Elgidely on behalf of Lai Mei Chan, Siu Lui Ching, Chun Ip, Sing Heung, Jin Liu, Ka Kin Wong, Yin Ying Leung. Responses due by 8/14/2009, (Elgidely, Robert) (Entered: 07/31/2009)

27 07/31/2009 56 Memorandum of Law In Support Of Plaintiffs’ Motion To Withdraw Reference Of Adversary Proceeding (related document(s) 55) filed by Robert F. Elgidely on behalf of Lai Mei Chan, Siu Lui Ching, Chun Ip, Sing Heung, Jin Liu, Ka Kin Wong, Yin Ying Leung. Objections due by 8/14/2009, Reply due by 8/21/2009, (Elgidely, Robert) (Entered: 07/31/2009)

28 07/31/2009 57 Declaration in Support of Plaintiffs’ Motion to Withdraw Reference of Adversary Proceeding (related document(s) 55) filed by Robert F. Elgidely on behalf of Lai Mei Chan, Siu Lui Ching, Chun Ip, Sing Heung, Jin Liu, Ka Kin Wong, Yin Ying Leung. Objections due by 8/14/2009, Reply due by 8/21/2009, (Attachments:
#1 Exhibit Exhibit A – Complaint #2 Exhibit Exhibit B – BNY Answer #3 Exhibit Exhibit C – HSBC USA Memorandum of Law in Support of Motion to Dismiss #4 Exhibit Exhibit D, Part 1 – HSBC Supporting Affidavit #5 Exhibit Exhibit D, Part 2 – HSBC
Supporting Affidavit #6 Exhibit Exhibit D, Part 3 – HSBC Supporting Affidavit #7 Exhibit Exhibit D, Part 4 – HSBC Supporting Affidavit #8 Exhibit Exhibit D, Part 5 – HSBC Supporting Affidavit #9 Exhibit Exhibit E – LBSF Motion to Dismiss #10 Exhibit Exhibit F – LBSF Supporting Declaration 1 #11 Exhibit Exhibit G – LBSF Supporting Declaration 2 #12 Exhibit Exhibit H – Remaining Defendants Memorandum of Law in
Support of Motion to Dismiss #13 Exhibit Exhibit I – Remaining Defendants Supporting Declaration) Adversary Proceeding Case No. 09-01120(JMP) and Related Hearing Transcripts from Other Proceedings as Indicated (Elgidely, Robert) (Entered: 07/31/2009)

29 08/03/2009 59 Civil Cover Sheet from U.S. District Court, Case Number: 0906841 Judge Laura Taylor Swain (related document(s) 55) filed by Clerk’s Office of the U.S.
Bankruptcy Court, S.D.N.Y. (Rouzeau, Anatin) (Entered: 08/03/2009)

30 08/10/2009 60 Opposition Plaintiffs’ Opposition to Defendant Lehman Brothers Special Financing Inc.’s Motion to Dismiss the Complaint (related document(s) 17) filed by Ray A. Mandlekar on behalf of Lai Mei Chan, Siu Lui Ching, Sing Heung, Chun IP, Yin Ying Leung, Jin Liu, Ka Kin Wong. (Attachments: #1 Exhibit 1 #2 Exhibit 2 #3
Exhibit 3 #4 Exhibit 4 #5 Exhibit 5 #6 Exhibit 6 #7 Exhibit 7) (Mandlekar, Ray) (Entered: 08/10/2009)

31 08/10/2009 61 Declaration Opinion of Fidelis Oditah QC filed by Ray A. Mandlekar on behalf of Lai Mei Chan, Siu Lui Ching, Sing Heung, Chun IP, Yin Ying Leung, Jin Liu, Ka Kin Wong. (Mandlekar, Ray) (Entered: 08/10/2009)

32 08/10/2009 62 Declaration Appendix of Foreign Authorities Cited in Opinion of Fidelis Oditah QC filed by Ray A. Mandlekar on behalf of Lai Mei Chan, Siu Lui Ching,
Sing Heung, Chun IP, Yin Ying Leung, Jin Liu, Ka Kin Wong. (Attachments: #1 Tab 1 #2 Tab 2 #3 Tab 3 #4 Tab 4 #5 Tab 5 #6 Tab 6 #7 Tab 7 #8 Tab 8 #9 Tab 9 #10 Tab 10 #11 Tab 11 #12 Tab 12 #13 Tab 13) (Mandlekar, Ray) (Entered: 08/10/2009)

33 08/10/2009 64 Opposition PLAINTIFFS’ CONSOLIDATED OPPOSITION TO (1) DEFENDANT HSBC USA INC.’S MEMORANDUM OF LAW IN SUPPORT OF ITS MOTION TO DIMISS THE CLASS ACTION
COMPLAINT, ABSTAIN OR STAY THE ACTION, DKT. NO. 16, AND (2) MEMORANDUM OF LAW IN SUPPORT OF THE MOTION OF DEFENDANTS HSBC BANK PLC, HSBC BANK (CAYMAN) LIMITED, HSBC HOLDINGS PLC, PACIFIC INTERNATIONAL FINANCE LIMITED, SCOTT AITKEN, CEREITA LAWRENCE, SARAH CRAVEN, JANET CRAWSHAW, AND SYLVIA LEWIS TO DISMISS THE CLASS ACTION COMPLAINT, ABSTAIN, OR STAY THE ADVERSARY PROCEEDING, DKT. NO. 39 filed by Jason C. Davis on behalf of Lai Mei Chan, Siu Lui Adversary Proceeding Case No. 09-01120(JMP) and Related Hearing Transcripts from Other Proceedings as Indicated Ching, Sing Heung, Chun IP, Yin Ying Leung, Jin Liu, Ka Kin Wong. with hearing to be held on 9/24/2009 (check with court for location) (Attachments: #1 Exhibit 1 #2 Exhibit 2 #3 Exhibit 3) (Davis, Jason) (Entered: 08/10/2009)

34 08/28/2009 66 Response to Motion: Lehman Brothers Special Financing Inc.’s Response to Motion to Withdraw Reference of Adversary Proceeding to Bankruptcy Court (related document(s) 5) filed by Richard W. Slack on behalf of Lehman Brothers Special Financing Inc. (Attachments: #1 Exhibit 1 #2 Exhibit 2 #3 Exhibit 3 #4 Exhibit 4 #5 Exhibit 5 #6 Exhibit 6) (Slack, Richard) (Entered: 08/28/2009)

35 08/28/2009 67 Memorandum of Law in Opposition to Plaintiffs’ Motion to Withdraw the Reference of the Adversary Proceeding to the Bankruptcy Court filed by Howard
G. Sloane on behalf of Scott Aitken, Sarah Coombs, Janet Crawshaw, HSBC Bank (Cayman) Limited (f/k/a HSBC Financial Services (Cayman) LTD), HSBC Bank PLC, HSBC Holdings PLC, HSBC USA, INC., Cereita Lawrence, Sylvia Lewis, Pacific international Finance Limited. (Attachments: #1 Appendix Unreported Authorites) (Sloane, Howard) (Entered: 08/28/2009)

36 08/28/2009 68 Declaration of Howard G. Sloane in Opposition to Plaintiffs’ Motion to Withdraw the Reference of the Adversary Proceeding to the Bankruptcy Court filed by Howard G. Sloane on behalf of Scott Aitken, Sarah Coombs, Janet Crawshaw, HSBC Bank (Cayman) Limited (f/k/a HSBC Financial Services (Cayman) LTD), HSBC Bank PLC, HSBC Holdings PLC, HSBC USA, INC., Cereita Lawrence, Sylvia Lewis, Pacific international Finance Limited. (Sloane, Howard) (Entered: 08/28/2009)

37 08/28/2009 69 Motion to Join / Joinder Of Official Committee Of Unsecured Creditors In Defendant Lehman Brothers Special Financing Inc.’s Response To Motion To
Withdraw Reference Of Adversary Proceeding To The Bankruptcy Court (related document(s) 66) filed by Stacey Rappaport on behalf of Official Committee Of Unsecured Creditors. (Attachments: #1 Exhibit Stipulation) (Rappaport, Stacey) (Entered: 08/28/2009) Adversary Proceeding Case No. 09-01120(JMP) and Related Hearing Transcripts from Other Proceedings as Indicated

38 09/15/2009 72 Memorandum of Law in Further Support of the Motion of Defendants HSBC USA Inc., HSBC Bank PLC, HSBC Bank (Cayman) Limited, HSBC Holdings PLC,
Pacific International Finance Limited, Scott Aitken, Cereita Lawrence, Sarah Craven, Janet Crawshaw, and Sylvia Lewis to Dismiss the Class Action Complaint, Abstain, or Stay the Adversary Proceeding filed by Howard G. Sloane on behalf of Scott Aitken, Sarah Coombs, Janet Crawshaw, HSBC Bank (Cayman) Limited (f/k/a HSBC Financial Services (Cayman) LTD), HSBC Bank PLC, HSBC Holdings PLC, HSBC USA, INC., Cereita Lawrence, Sylvia Lewis, Pacific international Finance Limited. (Sloane, Howard)
(Entered: 09/15/2009)

39 09/15/2009 73 Supplemental Affidavit of Song Qun filed by Howard G. Sloane on behalf of Scott Aitken, Sarah Coombs, Janet Crawshaw, HSBC Bank (Cayman) Limited (f/k/a HSBC Financial Services (Cayman) LTD), HSBC Bank PLC, HSBC Holdings PLC, HSBC USA, INC., Cereita Lawrence, Sylvia Lewis, Pacific international Finance Limited. (Sloane, Howard) (Entered: 09/15/2009)

40 09/15/2009 74 Matrix //Appendix of Unreported Authorities filed by Howard G. Sloane on behalf of Scott Aitken, Sarah Coombs, Janet Crawshaw, HSBC Bank (Cayman)
Limited (f/k/a HSBC Financial Services (Cayman) LTD), HSBC Bank PLC, HSBC Holdings PLC, HSBC USA, INC., Cereita Lawrence, Sylvia Lewis, Pacific international Finance Limited. (Sloane, Howard) (Entered: 09/15/2009)

41 09/15/2009 75 Reply to Motion: Reply Memorandum of Law in Further Support of Defendant Lehman Brothers Special Financing Inc.’s Motion to Dismiss the Complaint
(related document(s) 17) filed by Richard W. Slack on behalf of Lehman Brothers Special Financing Inc. (Attachments: #1 Exhibit 1 #2 Exhibit 2 #3 Exhibit 3) (Slack, Richard) (Entered: 09/15/2009)

42 10/15/2009 82 Order of U.S. District Court Judge Laura Taylor Swain signed on 10/14/2009. Plaintiffs’ 55 Motion to Withdraw the Reference of the Adversary Proceeding to the Bankruptcy Court is denied without prejudice to renewal. (Cheng, Ka Kin) (Entered: 10/15/2009) Adversary Proceeding Case No. 09-01120(JMP) and Related Hearing Transcripts from Other Proceedings as Indicated

43 10/28/2009 *23 Transcript of proceedings held on 10/14/09 before Judge Laura Taylor Swain. (ldi) (Entered: 11/02/2009) (*Docket Number in Case No. 09-cv-06841-LTS
(S.D.N.Y.))

44 11/03/2009 88 Transcript regarding Hearing Held on 10/28/09 2:16 pm RE: Motion Filed by HSBC USA, Inc. to Dismiss the Class Action Complaint, Abstain or Stay the Adversary Proceeding; Motion Filed by Lehman Brothers Special Financings Inc. to Dismiss the Complaint; Motion Filed by HSBC Bank (Cayman) Limited, et al., to Dismiss, Abstain or Stay the Adversary Proceeding. (Richards, Beverly) (Entered: 11/04/2009)

45 11/09/2009 89 Letter to Judge Peck filed by Jason C. Davis on behalf of Lai Mei Chan, Siu Lui Ching, Sing Heung, Chun IP, Yin Ying Leung, Jin Liu, Ka Kin Wong. (Davis, Jason) (Entered: 11/09/2009)

46 11/19/2009 *2091 Transcript regarding Hearing Held on 11/18/09 2:03 PM. (Richards, Beverly) (Entered: 11/20/2009) (*Docket Number in Case No. 08-01420-JMP)

47 11/23/2009 90 Order Signed on 11/23/2009 Granting Lehman Brothers Special Financing Inc.’s Motion to Dismiss the Complaint with Prejudice. (Related Doc #17) (Nulty, Lynda) (Entered: 11/23/2009)

48 12/02/2009 91 Notice of Appeal (related document(s) 90) filed by Jason C. Davis on behalf of Lai Mei Chan, Siu Lui Ching, Sing Heung, Chun IP, Yin Ying Leung, Jin Liu, Ka Kin Wong. (Davis, Jason) (Entered: 12/02/2009)

49 12/03/2009 92 Order Signed on 12/3/2009 Granting the Motions of HSBC USA Inc., HSBC Bank plc, HSBC Bank (Cayman) Limited, HSBC Holdings plc, Pacific international Finance Limited, Scott Aitken, Cereita Lawrence, Sarah Crave, Janet Crawshaw and Sylvia Lewis to Dismiss the Complaint with Prejudice. (Related Doc #37) (Nulty, Lynda) (Entered: 12/03/2009)

50 12/07/2009 93 Notice of Appeal (related document(s) 92) filed by Jason C. Davis on behalf of Lai Mei Chan, Siu Lui Ching, Sing Heung, Chun IP, Yin Ying Leung, Jin Liu, Ka Kin Wong. (Davis, Jason) (Entered: 12/07/2009) Adversary Proceeding Case No. 09-01120(JMP) and Related Hearing Transcripts from Other Proceedings as Indicated

51 12/16/2009 94 Statement of Issues Appellants’ Statement of Issues to Be Presented on Appeal and Designation of Contents of the Record filed by Jason C. Davis on behalf of Lai Mei Chan, Siu Lui Ching, Sing Heung, Chun IP, Yin Ying Leung, Jin Liu, Ka Kin Wong. (Davis, Jason) (Entered: 12/16/2009)

52 12/24/2009 96 Counter Designation (appellee) of Items to be Included in Record on Appeal filed by Howard G. Sloane on behalf of Scott Aitken, Sarah Coombs, Janet Crawshaw, HSBC Bank (Cayman) Limited (f/k/a HSBC Financial Services (Cayman) LTD), HSBC Bank PLC, HSBC Holdings PLC, HSBC USA, INC., Cereita Lawrence, Sylvia Lewis, Pacific international Finance Limited. (Sloane, Howard) (Entered: 12/24/2009)

53 01/04/2010 98 Civil Cover Sheet from U.S. District Court, Case Number: 1000017 Judge William H. Pauley III (related document(s) 91) filed by Clerk’s Office of the U.S. Bankruptcy Court, S.D.N.Y.. (Rouzeau, Anantin) (Entered 01/04/2010)

54 01/07/2010 99 Civil Cover Sheet from U.S. District Court, Case Number: 1000096 (related document(s) 93) filed by Clerk’s Office of the U.S. Bankruptcy Court, S.D.N.Y.. (Rouzeau, Anantin) (Entered: 01/07/2010)

55 03/19/2010 101 Order Signed on 3/19/2010 Admitting Scarlett E. Collings to Practice Pro Hac Vice in this Court. (Related Doc #100) (Nulty, Lynda) (Entered:
03/19/2010)

56 08/10/2010 103 Memorandum & Order of U.S. District Court Judge William H. Pauley, III signed on 8/9/2010. The Bankruptcy Court’s dismissal of Counts One and Two
against LBSF is affirmed, and its denial of leave to replead those claims derivatively against LBSF is reversed. The Bankruptcy Court’s denial of leave to
replead Counts One and Two against the Trustee is reversed. The Bankruptcy Court’s dismissal of Count Three is vacated. This action is remanded to the Bankruptcy Court for further proceedings consistent with this Memorandum and Order. (related document(s) 93, 91) (Cheng, Ka Kin) (Entered: 08/10/2010) Adversary Proceeding Case No. 09-01120(JMP) and Related Hearing Transcripts from Other Proceedings as Indicated

57 11/29/2010 104 Amended Complaint against Lehman Brothers Holdings Inc., BNY Corp. Trustee Services Limited, HSBC USA, INC., Lehman Brothers Special Financing
Inc. Filed by Samuel H. Rudman on behalf of Tim Choy Fung, Siu Lui Ching, Ka Kin Wong. (Rudman, Samuel) (Entered: 11/29/2010)

58 12/09/2010 105 Stipulation and Proposed Order filed by David G. Januszewski on behalf of HSBC BANK USA. (Januszewski, David) (Entered: 12/09/2010)

59 01/05/2011 106 So Ordered Stipulation and Order Signed on 1/5/2011 Between the Plaintiffs and Defendants. (related document(s) 105) (Nulty, Lynda) (Entered: 01/05/2011)

60 01/21/2011 107 Stipulation and Proposed Order filed by David G. Januszewski on behalf of HSBC BANK USA. (Januszewski, David) (Entered: 01/21/2011)

61 01/25/2011 108 So Ordered Stipulation and Order Signed on 1/25/2011 Regarding Extensions of Time. (Nulty, Lynda) (Entered: 01/25/2011)

62 01/31/2011 109 Answer to Amended Complaint (Related Doc #104) filed by Eric A Schaffer on behalf of BNY Corp. Trustee Services Limited. (Attachments: #1 Certificate of Service) (Schaffer, Eric) (Entered: 01/31/2011)

63 01/31/2011 110 Motion to Dismiss Adversary Proceeding :/ Defendants Lehman Brothers Special Financing Inc.’s and Lehman Brother Holdings Inc.’s Motion to Dismiss the Amended Class Action and Verified Derivative Complaint (related document(s) 104) filed by Richard W. Slack on behalf of Lehman Brothers Holdings Inc.,
Lehman Brothers Special Financing Inc. Responses due by 3/17/2011, (Attachments: #1 Exhibit A; Part 1#2 Exhibit A; Part 2 #3 Exhibit A; Part 3 #4 Exhibit B #5 Exhibit C #6 Exhibit D) (Slack, Richard) (Entered: 01/31/2011) Adversary Proceeding Case No. 09-01120(JMP) and Related Hearing Transcripts from Other Proceedings as Indicated

64 01/31/2011 111 Motion to Join /Joinder of Official Committee of Unsecured Creditors of Lehman Brothers Holdings Inc., et al. in Defendants Lehman Brothers Special Financing Inc.’s and Lehman Brothers Holdings Inc.’s Motion to Dismiss the Amended Class Action and Verified Derivative Complaint (related document(s)
110) filed by Dennis F. Dunne on behalf of Official Committee Of Unsecured Creditors. (Dunne, Dennis) (Entered: 01/31/2011)

65 01/31/2011 112 Motion to Dismiss Adversary Proceeding //Motion to Dismiss the Amended Class Action and Derivative Complaint filed by David G. Januszewski on behalf of HSBC Bank USA, National Association. (Attachments: #1 Declaration of David Januszewski #2 Memorandum of Law in Support #3 Appendix of Unreported Cases) (Januszewski, David) (Entered: 01/31/2011)

66 01/31/2011 113 Corporate Ownership Statement . filed by David G. Januszewski on behalf of HSBC Bank USA, National Association. (Januszewski, David) (Entered:
01/31/2011)

67 02/01/2011 114 Corporate Ownership Statement filed by Eric A Schaffer on behalf of BNY Corp. Trustee Services Limited. (Attachments: #1 Certificate of Service)
(Schaffer, Eric) (Entered: 02/01/2011)

68 03/17/2011 117 Opposition Plaintiffs’ Opposition to Lehman and HSBC Defendants’ Motions to Dismiss the Amended Class Action and Derivative Complaint (related document(s) 112, 110) filed by Jason C. Davis on behalf of Ka Kin
Wong. (Davis, Jason) (Entered: 03/17/2011)

69 03/17/2011 118 Declaration of Jason C. Davis in Support of Plaintiffs’ Opposition to Lehman and HSBC Defendants’ Motions to Dismiss the Amended Class Action and Derivative Complaint filed by Jason C. Davis on behalf of Ka Kin Wong. (Attachments: #1 Exhibit A#2 Exhibit B#3 Exhibit C#4 Exhibit D#5 Exhibit E#6 Exhibit F#7 Exhibit G) (Davis, Jason) (Entered: 03/17/2011) Adversary Proceeding Case No. 09-01120(JMP) and Related Hearing Transcripts from Other Proceedings as Indicated

70 03/17/2011 119 Declaration Appendix of Foreign Authorities Cited in Plaintiffs’ Opposition to Lehman and HSBC Defendants’ Motions to Dismiss the Amended Class
Action and Derivative Complaint filed by Jason C. Davis on behalf of Ka Kin Wong. (Attachments: #1 Tab 1#2, Tab 2#3, Tab 3#4, Tab 4#5, Tab 5#6, Tab 6#7, Tab 7#8, Tab 8#9, Tab 9#10, Tab 10#11, Tab 11#12, Tab 12#13, Tab 13#14, Tab 14#15, Tab 15#16, Tab 16#17, Tab 17#18, Tab 18#19, Tab 19#20, Tab 20#21, Tab 21#22, Tab 22#23, Tab 23#24, Tab 24#25, Tab 25#26, Tab 26#27, Tab 27) (Davis, Jason) (Entered: 03/17/2011)
Adversary Proceeding Case No. 09-01242(JMP) and Related Hearing Transcripts from Other Proceedings as Indicated

71 05/20/2009 1 Adversary case 09-01242. Complaint against BNY Corporate Trustee Services Limited. Nature(s) of Suit: (91 (Declaratory judgment)) Filed by Lehman Brothers Special Financing Inc. (Miller, Ralph) (Entered: 05/20/2009)

72 06/01/2009 5 Letter to the Honorable James M. Peck filed by Ralph I. Miller on behalf of Lehman Brothers Special Financing Inc. (Miller, Ralph) (Entered: 06/01/2009)

73 06/04/2009 *1174 Transcript regarding Hearing Held on 6/3/09 at 10:04 AM. (Richards, Beverly) Modified on 6/10/2009 (Richards, Beverly). (Entered: 06/05/2009) (*Docket Number in Case No. 08-01420-JMP)

74 06/10/2009 7 Motion to Intervene filed by Robert F. Elgidely on behalf of Ka Kin Wong, Yin Ying Leung, Jin Liu, Chun Ip, Sing Heung, Siu Lui Ching, Lai Mei Chan with
hearing to be held on 7/15/2009 at 10:00 AM at Courtroom 601 (JMP) Responses due by 7/10/2009, (Attachments: #1 Exhibit LBHI Voluntary Petition; #2 Exhibit Proposed Answer; #3 Exhibit Lehman Brothers Asia Release) (Elgidely, Robert) (Entered: 06/10/2009) Adversary Proceeding Case No. 09-01242(JMP) and Related Hearing Transcripts from Other Proceedings as Indicated

75 07/10/2009 22 Omnibus Response to Motion to Intervene in Adversary Proceeding (related document(s) 8, 7, 19) filed by Eric A Schaffer on behalf of BNY Corporate Trustee Services Limited with hearing to be held on 7/15/2009 at 10:00 AM at Courtroom 601 (JMP) (Schaffer, Eric) (Entered: 07/10/2009)

76 07/14/2009 27 Memorandum of Law: Corrected Plaintiff Lehman Brothers Special Financing Inc.’s Memorandum of Law In Opposition to Class Movants’ Intervention Motion (related document(s) 7) filed by Richard W. Slack on behalf of Lehman Brothers Special Financing Inc. (Slack, Richard) (Entered: 07/14/2009)

77 07/14/2009 28 Reply to Motion Movants’ Reply to Plaintiff’s Opposition to Class Movants’ Motion to Intervene (related document(s) 7) filed by Ray A. Mandlekar on
behalf of Lai Mei Chan, Siu Lui Ching, Sing Heung, Chun Ip, Yin Ying Leung, Jin Liu, Ka Kin Wong. (Attachments: #1 Certificate of Service) (Mandlekar, Ray) (Entered: 07/14/2009)

78 07/17/2009 *4440 Transcript regarding Hearing Held on 7/15/09 10:03 AM. (Richards, Beverly) (Entered: 07/17/2009) (*Docket Number in Case No. 08-13555-JMP)

79 07/22/2009 33 Order Signed on 7/22/2009 Denying Motion to Intervene Filed by Ka Kin Wong, Yin Ying Leung, Jin Liu, Chun Ip, Sing Heung, Siu Lui Ching, and Lai Mei
Chan. (Related Doc #7) (Nulty, Lynda) (Entered: 07/22/2009

80 08/12/2009 *4929 Transcript regarding Hearing Held on 8/11/09 10:02 AM. (Richards, Beverly) (Entered: 08/25/2009) (*Docket Number in Case No. 08-13555-JMP)

81 09/17/2009 *5261 Transcript regarding Hearing Held on 9/15/09 10:03 AM. (Richards, Beverly) (Entered: 09/23/2009) (*Docket Number in Case No. 08-13555-JMP)

82 01/25/2010 86 Memorandum Decision Signed on 1/25/2010 Granting Motion for Summary Judgment and Declaring Applicable Payment Priorities. (related document(s)[60], [6]) (Nulty, Lynda). Adversary Proceeding Case No. 09-01242(JMP) and Related Hearing Transcripts from Other Proceedings as Indicated

83 09/23/2010 117 Copy of Order of U.S. District Court Judge Colleen McMahon signed on 9/20/2010 in an M-47 Proceeding. (related document(s)[102]) (Rouzeau, Anatin). 84 12/31/2010 118 Stipulation of Dismissal of All Claims filed by Lori R. Fife on behalf of Lehman Brothers Special Financing Inc. Case No. 08-13555(JMP)

85 06/17/2010 9635 Second Amended Order Signed on 6/17/2010 Implementing Certain Notice and Case Management Procedures.

86 11/24/2010 13009 Motion to Authorize : Debtors Motion Pursuant to Section 105(a) of the Bankruptcy Code and General Order M-390 for Authorization to Implement Alternative Dispute Resolution Procedures for Affirmative Claims of the Debtors Under Derivatives Transactions with Special Purpose Vehicle Counterparties filed by Richard W. Slack on behalf of Lehman Brothers Holdings Inc. with hearing to be held
on 12/15/2010 at 10:00 AM at Courtroom 601 (JMP) Responses due by 12/8/2010, (Slack, Richard).

87 12/02/2010 13172 Affidavit of Service of Eleni Manners of Epiq Bankruptcy Solutions, LLC (related document(s)[13009]) filed by Shai Waisman on behalf of Lehman Brothers Holdings Inc. (Attachments: # (1) Part 2) (Waisman, Shai).
Case No. 08-13555(JMP)

88 12/8/2010 13300 Objection to Motion / Limited Objection of Aviva S.p.A., Aviva Italia Holding S.p.A., Aviva Vita S.p.A., Aviva Life S.p.A., Aviva Italia S.p.A., Aviva Assicurazioni S.p.A. and Aviva Previdenza S.p.A. to Debtors Motion Pursuant to Section 105(a) of the Bankruptcy Code and General Order M-390 for Authorization to Implement Alternative Dispute Resolution Procedures for Affirmative Claims of Debtors under Derivatives Transactions with Special Purpose Vehicle Counterparties (related document(s)[13009]) filed by Mark Sherrill on behalf of Aviva Previdenza S.p.A., Aviva Assicurazioni S.p.A., Aviva Italia S.p.A., Aviva Life S.p.A., Aviva
Vita S.p.A., Aviva S.p.A., Aviva Italia Holding S.p.A.. (Sherrill, Mark).

89 12/8/2010 13305 Objection to Motion Objection of Deutsche Bank Trust Company Americas and Deutsche Bank National Trust Company to Debtors Motion Pursuant to Section 105(a) of the Bankruptcy Code and General Order M-390 for Authorization to Implement Alternative Dispute Resolution Procedures for Affirmative Claims of the
Debtors Under Derivatives Transactions with Special Purpose Vehicle Counterparties (related document(s)[13009]) filed by Christopher M. Desiderio on behalf of DEUTSCHE BANK TRUST COMPANY AMERICAS. (Desiderio, Christopher).

90 12/8/2010 13306 Objection to Motion /Ballyrock ABS CDO 2007-1 Limiteds Limited Objections To Debtors Motion And Proposed Order To Implement ADR Procedures
Concerning Special Purpose Vehicle Counterparties (related document(s)[13009]) filed by Steven J. Fink on behalf of Ballyrock ABS CDO 2007-1 Limited. (Fink,
Steven).
Case No. 08-13555(JMP)

91 12/8/2010 13307 Objection to Motion Objection of U.S. Bank National Association as Trustee to the Debtors Motion Pursuant to Section 105(a) of the Bankruptcy Code and General Order M-390 for Authorization To Implement Alternative Dispute Resolution Procedures For Affirmative Claims of Debtors Under Derivative Contracts With Special Purpose Counterparties (related document(s)[13009]) filed by Ann E. Acker on behalf of U.S. Bank National Association. (Attachments: # (1) Exhibit A# (2) Exhibit B# (3) EXHIBIT C# (4) EXHIBIT D# (5) EXHIBIT E# (6) EXHIBIT F# (7)
EXHIBIT G) (Acker, Ann).

92 12/08/2010 13308 Objection to Motion /OBJECTION OF THE BANK OF NEW YORK MELLON, THE BANK OF NEW YORK MELLON TRUST COMPANY, N.A. AND BNY CORPORATE TRUSTEE SERVICES LIMITED TO DEBTORS MOTION PURSUANT TO SECTION 105(a) OF THE BANKRUPTCY CODE AND
GENERAL ORDER M-390 FOR AUTHORIZATION TO IMPLEMENT ALTERNATIVE DISPUTE RESOLUTION PROCEDURES FOR AFFIRMATIVE CLAIMS OF DEBTORS UNDER DERIVATIVE CONTRACTS WITH SPECIAL PURPOSE VEHICLE COUNTERPARTIES filed by Eric A Schaffer on behalf of The Bank of New York Mellon. with hearing to be held on 12/15/2010 (check with court for location) (Attachments: # (1) Exhibit A) (Schaffer, Eric).

93 12/8/2010 13311 Objection to Motion Limited Objection of Wellington Management Company, LLP to Debtors Motion Pursuant to Section 105(a) of the Bankruptcy Code and
General Order M-390 for Authorization To Implement Alternative Dispute Resolution Procedures For Affirmative Claims of Debtors Under Derivative Contracts With Special Purpose Counterparties (related document(s)[13009]) filed by Mark N. Berman on
behalf of Wellington Management Company, LLP. (Berman, Mark). Case No. 08-13555(JMP)

94 12/08/2010 13315 Objection to Motion Joinder Of HSBC Bank USA, National Association, As Trustee, In Objection Of The Bank Of New York Mellon, The Bank Of New York Mellon Trust Company, N.A. And BNY Corporate Trustee Services Limited To Debtors Motion Pursuant To Section 105(a) Of The Bankruptcy Code And General Order M-390 For Authorization To Implement Alternative Dispute Resolution Procedures For
Affirmative Claims Of Debtors Under Derivative Contracts With Special Purpose Vehicle Counterparties (related document 13308) (related document(s)[13009])
filed by Tina N. Moss on behalf of HSBC Bank USA, National Association. (Moss, Tina).

95 12/08/2010 13323 Objection Joinder of HSBC Bank USA, National Association, as Trustee in Objection of The Bank of New York Mellon, The Bank of New York Mellon
Trust Company, N.A. and BNY Corporate Trustee Services Limited to the Debtors Motion Pursuant to Section 105(A) of the Bankruptcy Code and General Order M-390 for Authorization to Implement Affirmative Claims of Debtors Under Derivatives Transactions with Special Purpose Vehicle Counterparties filed by David M. LeMay on behalf of HSBC Bank USA, National Association. (LeMay, David).

96 12/08/2010 13326 Objection of Credit Agricole Corporate and Investment Bank to Debtors Motion Pursuant to Section 105(a) of the Bankruptcy Code and General Order M-390 for Authorization to Implement Alternative Dispute Resolution Procedures for Affirmative Claims of Debtors Under Derivatives Transactions With Special Purpose Vehicle Counterparties (related document(s)[13009]) filed by Andrew P. Brozman on
behalf of Credit Agricole Corporate and Investment Bank. (Brozman, Andrew).
Case No. 08-13555(JMP)

97 12/09/2010 13343 Objection /Limited Objection of Bank of America, National Association Successor by Merger to LaSalle Bank National Association, Solely in its Capacity as Trustee under Certain Pooling and Servicing Agreements to the Debtors Motion Pursuant to Section 105(a) of the Bankruptcy Code and General Order M-
390 for Authorization to Implement Alternative Dispute Resolution Procedures for Affirmative Claims of the Debtors under Derivatives Transactions with Special
Purpose Vehicle Counterparties (related document(s)[13009]) filed by Michael E. Johnson on behalf of Bank of America, National Association successor by merger to LaSalle Bank National Association, in its capacity as the Libra Trustee. (Johnson, Michael).

98 12/13/2010 13400 Notice of Adjournment of Hearing on Debtors Motion Pursuant to Section 105(a) of the Bankruptcy Code and General Order M-390 for Authorization to Implement Alternative Dispute Resolution Procedures for Affirmative Claims of the Debtors Under Derivatives Transactions with Special Purpose Vehicle Counterparties (related document(s)[13009]) filed by Richard W. Slack on behalf of Lehman Brothers
Holdings Inc.. with hearing to be held on 1/13/2011 at 10:00 AM at Courtroom 601 (JMP) (Slack, Richard).

99 1/06/2011 13822 Objection to Motion /Objection of The Bank of New York Mellon, The Bank of New York Mellon Trust Company, N.A. and BNY Corporate Trustee Services
Limited to Debtors Motion Pursuant to Section 105(A) of the Bankruptcy Code and Rule 9019 of the Federal Rules of Bankruptcy Procedure, for Entry of an Order Clarifying the Scope of the Procedures for the Settlement of Prepetition Derivative Contracts (related document(s)[13638]) filed by Michael J. Venditto on behalf of The Bank of New York Corporate Trustee Services Limited, The Bank of New York Mellon, The Bank of New York Mellon Trust Company, N.A. with hearing to be held on 1/13/2011 (check with court for location) (Attachments: # (1) Certificate of Service) (Venditto, Michael). Case No. 08-13555(JMP)

100 1/06/2011 13823 Objection to Motion Limited Objection Of The Minibond Noteholders To Debtors Motion Pursuant To Section 105(A) Of The Bankruptcy Code And General Order M-390 For Authorization To Implement Alternative Dispute Resolution Procedures For Affirmative Claims Of Debtors Under Derivatives Transactions With Special Purpose Vehicle Counterparties filed by Jason C. Davis on behalf of SIU
LING CHING. (Davis, Jason).

101 1/06/2011 13827 Declaration of Jason C. Davis in Support of Limited Objection of the Minibond Noteholders to Debtors Motion Pursuant to Section 105(A) of the Bankruptcy Code and General Order M-390 for Authorization to Implement Alternative Dispute Resolution Procedures for Affirmative Claims of Debtors Under Derivatives
Transactions with Special Purpose Vehicle Counterparties filed by Jason C. Davis on behalf of KA KIN WONG. with hearing to be held on 1/13/2011 (check with court for location) (Attachments: # (1) Exhibit A# (2) Exhibit B) (Davis, Jason).

102 1/11/2011 13886 Response : Debtors Omnibus Response to Objections to Motion of the Debtors Pursuant to Section 105(a) of the Bankruptcy Code and General Order M-390 for Authorization to Implement Alternative Dispute Resolution Procedures for Affirmative Claims of Debtors Under Derivatives Transactions with Special Purpose Vehicle Counterparties (related document(s)[13009]) filed by Richard W. Slack on
behalf of Lehman Brothers Holdings Inc. (Slack, Richard).

103 2/15/2011 14508 Objection to Motion /Notice of Succession of U.S. Bank to the Objection of Bank of America National Association as Trustee to the Debtors Motion Pursuant to Section 105(a) of the Bankruptcy Code and General Order M-390 for Authorization to Implement Alternative Dispute Resolution Procedures for Affirmative Claims of Debtors Under Derivative Contracts with Special Purpose Counterparties (related document(s)[13009]) filed by Ann E. Acker on behalf of U.S. Bank National Association. (Acker, Ann). Case No. 08-13555(JMP)

104 2/15/2011 14517 Notice of Proposed Order : Notice of Second Revised Order to Debtors Motion Pursuant to Section 105(a) of the Bankruptcy Code and General Order M-390 for Authorization to Implement Alternative Dispute Resolution Procedures for Affirmative Claims of the Debtors Under Derivatives Transactions with Special Purpose Vehicle Counterparties (related document(s)[13009]) filed by Richard W. Slack on behalf of Lehman Brothers Holdings Inc. (Slack, Richard).

105 02//17/2011 14851 Transcript regarding Hearing Held on 02/16/2011 10:05AM RE: Debtor's Motion of the Bank of Nova Scotia for Relief from the Automatic Stay; Debtor's Motion for Authorization and approval of a Settlement and Compromise Among Lehman Brothers Holding Inc., Lehman Commercial Paper Inc. and Swedbank AB, New York Branch; Debtor Lehman Commercial Paper Inc. and Swedbank AB, New York Barnch .et...al. Remote electronic access to the transcript is restricted until 5/18/2011. The transcript may be viewed at the Bankruptcy Court Clerks Office.
[Transcription Service Agency: Veritext Reporting Company.]. (See the Courts Website for contact information for the Transcription Service Agency.). Notice of Intent to Request Redaction Deadline Due By 2/24/2011. Statement of Redaction Request Due By
3/10/2011. Redacted Transcript Submission Due By 3/21/2011. Transcript access will be restricted through 5/18/2011. (Villegas, Carmen) (Entered: 03/08/2011).

106 03/03/2011 14789 Order Signed on 3/3/2011 Regarding Alternative Dispute Resolution Procedures for Affirmative Claims of the Debtors Under Derivatives Transactions with Special Purpose Vehicle Counterparties. Appellate Case No. 1:10-cv-00017-WHP

107 01/04/2010 1 NOTICE OF APPEAL FROM THE BANKRUPTCY COURT TO THE S.D.N.Y. from the Order of Judge James M. Peck dated November 23, 2009. Bankruptcy Court Case Numbers: 09-1120A, 08-B-13555 (JMP). Certified copies of file received.Document filed by Yin
Ying Leung, Lai Mei Chan, Sing Heung, Ka Kin Wong, Siu Lui Ching, Chun Ip, Jin Liu. Appellant Brief due by 1/22/2010.(bkar) (Entered: 01/04/2010)

108 01/04/2010 2 DESIGNATION OF BANKRUPTCY RECORD ON APPEAL re: 1 Bankruptcy Appeal,. Document filed by Appellants Yin Ying Leung, Lai Mei Chan, Sing Heung, Ka Kin Wong, Siu Lui Ching, Chun Ip, Jin Liu. (bkar) (Entered: 01/04/2010)

109 01/04/2010 3 COUNTER DESIGNATION OF BANKRUPTCY RECORD ON APPEAL Document filed by Appellees HSBC USA, Inc., HSBC H oldings plc, HSBC Bank PLC, HSBC Bank (Cayman) Limited, Pacific International Finance Limited, Scott Aitken, Cereita Lawrence, Sarah Coombs, Janet Crawshaw, Sylvia Lewis. (bkar) (Entered: 01/04/2010)

110 01/14/2010 4 STIPULATION AND ORDER, that 1. Plaintiffs- Appellants shall file their opening appellate brief(s) on or by February 3, 2010; 2. Defendants-Appellees shall file their oppositions on or by March 5, 2010; 3. Plaintiffs-Appellants shall file their reply(ies) by April 6, 2010; and, 4. The notice of appeal that is the subject of docket number 10-CV-00096 shall be deemed related to this matter, and the foregoing schedule applies to both 10-CV-00017 and 10-CV-00096. This Court will
hear oral argument on April 23, 2010, at 12:00 p.m. (Signed by Judge William H. Pauley, III on 1/14/10) (pl) (Entered: 01/15/2010)

111 02/03/2010 6 Appellant’s BRIEF. Document filed by Yin Ying Leung, Lai Mei Chan, Sing Heung, Ka Kin Wong, Siu Lui Ching, Chun Ip, Jin Liu. Appellee Brief due by
2/22/2010. (Attachments: #1 Appendix Special Appendix to Plaintiffs-Appellants’ Brief in Support of Appeal From Bankruptcy Court Order Granting HSBC Defendants’ Motion to Dismiss Complaint, #2 Exhibit SA-1 to Special Appendix to Plaintiffs-Appellants’ Brief in Support of Appeal From Bankruptcy Court Order Granting HSBC Defendants’ Motion to Dismiss Appellate Case No. 1:10-cv-00017-WHP Complaint, #3 Exhibit SA-2 Special Appendix to Plaintiffs-Appellants’ Brief in Support of Appeal From Bankruptcy Court Order Granting HSBC Defendants’ Motion to Dismiss Complaint, #4 Exhibit SA-3_Part 1 to Special Appendix to Plaintiffs-Appellants’ Brief in Support of Appeal From Bankruptcy Court Order Granting HSBC Defendants’ Motion to Dismiss Complaint, #5 Exhibit SA-3_Part 2 to Special Appendix to Plaintiffs-Appellants’ Brief in Support of Appeal From Bankruptcy Court Order Granting HSBC Defendants’ Motion to Dismiss Complaint, #6 Exhibit SA-4 to Special Appendix to Plaintiffs-Appellants’ Brief in Support of Appeal From Bankruptcy Court Order Granting HSBC Defendants’ Motion to Dismiss Complaint, #7 Exhibit SA-5 to Special Appendix to Plaintiffs-Appellants’ Brief in Support of Appeal From Bankruptcy Court Order Granting HSBC Defendants’ Motion to Dismiss Complaint, #8 Appendix Appendix of Unreported Authorities, Statutes and Opinion Cited in Plaintiffs-Appellants’ Brief in Support of Appeal from Bankruptcy Court Order Granting HSBC Defendants’ Motion to Dismiss Complaint, #9 Tab 1 to Appendix of Unreported Authorities, Statutes and Opinion Cited in Plaintiffs-Appellants’ Brief in Support of Appeal from Bankruptcy Court Order Granting HSBC Defendants’ Motion to Dismiss Complaint, #10 Tab 2 to Appendix of Unreported Authorities, Statutes and Opinion Cited in Plaintiffs-Appellants’ Brief in Support of Appeal from Bankruptcy Court Order Granting HSBC Defendants’ Motion to Dismiss Complaint, #11 Tab 3 to Appendix of Unreported Authorities, Statutes and Opinion Cited in Plaintiffs- Appellants’ Brief in Support of Appeal from Bankruptcy Court Order Granting HSBC Defendants’ Motion to Dismiss Complaint, #12 Tab 4 to Appendix of Unreported Authorities, Statutes and Opinion Cited in Plaintiffs-Appellants’ Brief in Support of Appeal from Bankruptcy Court Order Granting HSBC Defendants’ Motion to Dismiss Complaint, #13 Tab 5 to Appendix of Unreported Authorities, Statutes and Opinion Cited in Plaintiffs-Appellants’ Brief in Support of Appeal from Bankruptcy Court Order Granting Appellate Case No. 1:10-cv-00017-WHP HSBC Defendants’ Motion to Dismiss Complaint, #14 Tab 6 to Appendix of Unreported Authorities, Statutes and Opinion Cited in Plaintiffs-Appellants’ Brief in Support of Appeal from Bankruptcy Court Order Granting HSBC Defendants’ Motion to Dismiss Complaint, # 15 Tab 7 to Appendix of Unreported Authorities, Statutes and Opinion Cited in Plaintiffs- Appellants’ Brief in Support of Appeal from Bankruptcy Court Order Granting HSBC Defendants’ Motion to Dismiss Complaint, #16 Tab 8 to Appendix of Unreported Authorities, Statutes and Opinion Cited in Plaintiffs-Appellants’ Brief in Support of Appeal from Bankruptcy Court Order Granting HSBC Defendants’ Motion to Dismiss Complaint, #17 Tab 9 to Appendix of Unreported Authorities, Statutes and Opinion Cited in Plaintiffs-Appellants’ Brief in Support of Appeal from Bankruptcy Court Order Granting HSBC Defendants’ Motion to Dismiss Complaint, #18 Tab 10 to Appendix of Unreported Authorities, Statutes and Opinion Cited in Plaintiffs-Appellants’ Brief in Support of Appeal from Bankruptcy Court Order Granting HSBC Defendants’ Motion to Dismiss Complaint, #19 Tab 11 to Appendix of Unreported Authorities, Statutes and Opinion Cited in Plaintiffs- Appellants’ Brief in Support of Appeal from Bankruptcy Court Order Granting HSBC Defendants’ Motion to Dismiss Complaint, #20 Tab 12 to Appendix of Unreported Authorities, Statutes and Opinion Cited in Plaintiffs-Appellants’ Brief in Support of Appeal from Bankruptcy Court Order Granting HSBC Defendants’ Motion to Dismiss Complaint, #21 Tab 13 to Appendix of Unreported Authorities, Statutes and Opinion Cited in Plaintiffs-Appellants’ Brief in Support of Appeal from Bankruptcy Court Order Granting HSBC Defendants’ Motion to Dismiss Complaint, #22 Tab 14 to Appendix of Unreported Authorities, Statutes and Opinion Cited in Plaintiffs-Appellants’ Brief in Support of Appeal from Bankruptcy Court Order Granting HSBC Defendants’ Motion to Dismiss Complaint, #23 Tab 15 to Appendix of Unreported Authorities, Statutes and Opinion Cited in Plaintiffs- Appellants’ Brief in Support of Appeal from Appellate Case No. 1:10-cv-00017-WHP Bankruptcy Court Order Granting HSBC Defendants’ Motion to Dismiss Complaint, #24 Tab 16 Appendix of Unreported Authorities, Statutes and Opinion Cited in Plaintiffs-Appellants’ Brief in Support of Appeal from Bankruptcy Court Order Granting HSBC Defendants’ Motion to Dismiss Complaint, #25 Tab 17 to Appendix of Unreported Authorities, Statutes and Opinion Cited in Plaintiffs-Appellants’ Brief in Support of Appeal from Bankruptcy Court Order Granting HSBC Defendants’ Motion to Dismiss Complaint) (Davis, Jason) (Entered: 02/03/2010)

112 03/05/2010 8 MEMORANDUM OF LAW in Opposition to Appeal from Bankruptcy Court. Document filed by HSBC USA, Inc., HSBC Holdings plc, HSBC Bank PLC, HSBC Bank (Cayman) Limited, Scott Aitken, Cereita Lawrence, Sarah Coombs, Janet Crawshaw, Sylvia Lewis. (Attachments: #1 Appendix Special Appendix to Memo in Opposition, #2 Appendix of Unreported Authorities) (Sloane, Howard) (Entered: 03/05/2010)

113 04/06/2010 10 Appellant’s REPLY BRIEF. Document filed by Yin Ying Leung, Lai Mei Chan, Sing Heung, Ka Kin Wong, Siu Lui Ching, Chun Ip, Jin Liu. (Attachments: #1
Appendix of Exhibits in Support of Plaintiffs- Appellants’ Reply in Support of Appeal From Bankruptcy Court Order Granting HSBC Defendants’ Motion to Dismiss Complaint, #2 Exhibit 1, #3 Exhibit 2) (Davis, Jason) (Entered: 04/06/2010)

114 04/19/2010 12 SCHEDULING ORDER: that the oral argument scheduled for April 23, 2010 at 12:00 p.m. is rescheduled for April 23, 2010 at 2:45 p.m. (Signed by
Judge William H. Pauley, III on 4/19/10) (pl) (Entered: 04/20/2010)

115 05/06/2010 13 TRANSCRIPT of proceedings held on 4/23/10 before Judge William H. Pauley, III. (pl) (Entered: 05/07/2010) Appellate Case No. 1:10-cv-00017-WHP

116 08/09/2010 14 MEMORANDUM & ORDER: For the reasons set forth in this Memorandum & Order, the Bankruptcy Court’s dismissal of Counts One and Two against LBSF is
affirmed, and its denial of leave to replead those claims derivatively against LBSF is reversed. The Bankruptcy Court’s denial of leave to replead Counts One and Two against the Trustee is reversed. The Bankruptcy Court’s dismissal of Count Three is vacated. This action is remanded to the Bankruptcy Court for further proceedings consistent with this Memorandum and Order. (Signed by Judge William H. Pauley, III on 8/9/2010) (tro) (Entered: 08/09/2010) Appellate Case No.: 1:10-cv-00096-WHP

117 01/07/2010 1 NOTICE OF APPEAL FROM THE BANKRUPTCY COURT TO THE S.D.N.Y. from the Order of Judge James M. Peck dated December 3, 2009. Bankruptcy Court Case Numbers: 09-1120A, 08-B-13555 (JMP). Certified copies of file received. Document filed by
Yin Ying Leung, Lai Mei Chan, Sing Heung, Ka Kin Wong, Siu Lui Ching, Chun Ip, Jin Liu. Appellant Brief due by 1/25/2010. (bkar) (Entered: 01/07/2010)

118 01/07/2010 2 DESIGNATION OF BANKRUPTCY RECORD ON APPEAL re: 1 Bankruptcy Appeal,. Document filed by Appellants Yin Ying Leung, Lai Mei Chan, Sing Heung, Ka Kin Wong, Siu Lui Ching, Chun Ip, Jin Liu. (bkar) (Entered: 01/07/2010)

119 01/07/2010 3 COUNTER DESIGNATION OF BANKRUPTCY
RECORD ON APPEAL Document filed by Appellees HSBC USA, Inc., HSBC Holdings plc, HSBC Bank PLC, HSBC Bank (Cayman) Limited, Pacific International Finance Limited, Scott Aitken, Cereita Lawrence, Sarah Coombs, Janet Crawshaw, Sylvia Lewis. (bkar) (Entered: 01/07/2010)
Appellate Case No.: 1:10-cv-00096-WHP

120 01/14/2010 5 STIPULATION AND ORDER, that 1. Plaintiffs- Appellants shall file their opening appellate brief(s) on or by February 3, 2010; 2. Defendants-Appellees shall file their oppositions on or by March 5, 2010; 3. Plaintiffs-Appellants shall file their reply(ies) by April 6, 2010; and, 4. The notice of appeal that is the subject of docket number 10-CV-00096 shall be deemed related to this matter, and the foregoing schedule applies to both 10-CV-00017 and 10-CV-00096. This Court will
hear oral argument on April 23, 2010, at 12:00 p.m. (Signed by Judge William H. Pauley, III on 1/14/10) (pl) (Entered: 01/15/2010)

121 02/03/2010 7 Appellant’s BRIEF. Document filed by Yin Ying Leung, Lai Mei Chan, Sing Heung, Ka Kin Wong, Siu Lui Ching, Chun Ip, Jin Liu. Appellee Brief due by 2/22/2010. (Attachments: #1 Appendix Special Appendix to Plaintiffs-Appellants’ Brief in Support of Appeal From Bankruptcy Court Order Granting Lehman Defendant’s Motion to Dismiss Complaint, #2 Exhibit SA-1 to Special Appendix to Plaintiffs-
Appellants’ Brief in Support of Appeal From Bankruptcy Court Order Granting Lehman Defendant’s Motion to Dismiss Complaint, #3 Exhibit SA-2 to Special Appendix to Plaintiffs-Appellants’ Brief in Support of Appeal From Bankruptcy Court Order
Granting Lehman Defendant’s Motion to Dismiss Complaint, #4 Exhibit SA-3_Part 1 to Special Appendix to Plaintiffs-Appellants’ Brief in Support of Appeal From Bankruptcy Court Order Granting Lehman Defendant’s Motion to Dismiss Complaint, #5
Exhibit SA-3_Part 2 to Special Appendix to Plaintiffs- Appellants’ Brief in Support of Appeal From Bankruptcy Court Order Granting Lehman Defendant’s Motion to Dismiss Complaint, #6 Exhibit SA-4 to Special Appendix to Plaintiffs-Appellants’ Brief in
Support of Appeal From Bankruptcy Court Order Granting Lehman Defendant’s Motion to Dismiss Complaint, #7 Exhibit SA-5 to Special Appendix to Plaintiffs-Appellants’ Brief in Support of Appeal From Bankruptcy Court Order Granting Lehman Defendant’s
Motion to Dismiss Complaint, #8 Exhibit SA-6 to Special Appendix to Plaintiffs-Appellants’ Brief in Appellate Case No.: 1:10-cv-00096-WHP Support of Appeal From Bankruptcy Court Order Granting Lehman Defendant’s Motion to Dismiss Complaint, #9 Appendix Appendix of Unreported Authorities, Statutes and Opinion Cited in Plaintiffs- Appellants’ Brief in Support of Appeal From Bankruptcy Court Order Granting Lehman Defendant’s Motion to Dismiss Complaint, #10 Tab 1 to Appendix of Unreported Authorities, Statutes and Opinion Cited in Plaintiffs-Appellants’ Brief in Support of Appeal From Bankruptcy Court Order Granting Lehman Defendant’s Motion to Dismiss Complaint, #11 Tab 2 to Appendix of Unreported Authorities, Statutes and Opinion Cited in Plaintiffs-Appellants’ Brief in Support of Appeal From Bankruptcy Court Order Granting Lehman Defendant’s Motion to Dismiss Complaint, #12 Tab 3 to Appendix of Unreported Authorities, Statutes and Opinion Cited in Plaintiffs-Appellants’ Brief in Support of Appeal From Bankruptcy Court Order Granting Lehman Defendant’s Motion to Dismiss Complaint, #13 Tab 4 to Appendix of Unreported Authorities, Statutes and Opinion Cited in Plaintiffs- Appellants’ Brief in Support of Appeal From Bankruptcy Court Order Granting Lehman Defendant’s Motion to Dismiss Complaint, #14 Tab 5 to Appendix of Unreported Authorities, Statutes and Opinion Cited in Plaintiffs-Appellants’ Brief in Support of Appeal From Bankruptcy Court Order Granting Lehman Defendant’s Motion to Dismiss Complaint, #15 Tab 6 to Appendix of Unreported Authorities, Statutes and Opinion Cited in Plaintiffs-Appellants’ Brief in Support of Appeal From Bankruptcy Court Order Granting Lehman Defendant’s Motion to Dismiss Complaint, #16 Tab 7 to Appendix of Unreported Authorities, Statutes and Opinion Cited in Plaintiffs-Appellants’ Brief in Support of Appeal From Bankruptcy Court Order Granting Lehman Defendant’s Motion to Dismiss Complaint, #17 Tab 8 to Appendix of Unreported Authorities, Statutes and Opinion Cited in Plaintiffs- Appellants’ Brief in Support of Appeal From Bankruptcy Court Order Granting Lehman Defendant’s Motion to Dismiss Complaint, #18 Tab 9 to Appendix of Unreported Authorities, Statutes and Opinion Cited Appellate Case No.: 1:10-cv-00096-WHP in Plaintiffs-Appellants’ Brief in Support of Appeal From Bankruptcy Court Order Granting Lehman Defendant’s Motion to Dismiss Complaint, #19 Tab 10 to Appendix of Unreported Authorities, Statutes and Opinion Cited in Plaintiffs-Appellants’ Brief in Support of Appeal From Bankruptcy Court Order Granting Lehman Defendant’s Motion to Dismiss Complaint, #20 Tab 11 to Appendix of Unreported Authorities, Statutes and Opinion Cited in Plaintiffs-Appellants’ Brief in Support of Appeal From Bankruptcy Court Order Granting Lehman Defendant’s Motion to Dismiss Complaint, #21 Tab 12 to Appendix of Unreported Authorities, Statutes and Opinion Cited in Plaintiffs- Appellants’ Brief in Support of Appeal From Bankruptcy Court Order Granting Lehman Defendant’s Motion to Dismiss Complaint, #22 Tab 13 to Appendix of Unreported Authorities, Statutes and Opinion Cited in Plaintiffs-Appellants’ Brief in Support of Appeal From Bankruptcy Court Order Granting Lehman Defendant’s Motion to Dismiss Complaint, #23 Tab 14 to Appendix of Unreported Authorities, Statutes and Opinion Cited in Plaintiffs-Appellants’ Brief in Support of Appeal From Bankruptcy Court Order Granting Lehman Defendant’s Motion to Dismiss Complaint) (Davis, Jason) (Entered: 02/03/2010)

122 03/05/2010 9 Appellee’s BRIEF. Document filed by Lehman Brothers Special Financing Inc.. Appellant Reply Brief due by 3/18/2010. (Attachments: #1 Appendix A, #2 Exhibit 1 to Appendix A, #3 Appendix B, #4 Exhibit to Appendix B, #5 Appendix of Cited Authorities, #6 Exhibit to Case Appendix, #7 Exhibit to Case Appendix) (Slack, Richard) (Entered: 03/05/2010)

123 03/05/2010 11 JOINDER to join re: 9 Appellee’s Brief, Joinder of Intervenor Official Committee of Unsecured Creditors to Appellee Lehman Brothers Special Financing Inc.’s Brief on Appeal. Document filed by Official Committee of Unsecured Creditors of Lehman Brothers Holdings Inc., et al. (Liubicic, Robert) (Entered:
03/05/2010) Appellate Case No.: 1:10-cv-00096-WHP

124 04/06/2010 19 Appellant’s REPLY BRIEF. Document filed by Yin Ying Leung, Lai Mei Chan, Sing Heung, Ka Kin Wong, Siu Lui Ching, Chun Ip, Jin Liu. (Attachments: #1
Appendix of Exhibits in Support of Plaintiffs- Appellants’ Reply in Support of Appeal From Bankruptcy Court Order Granting Lehman Defendant’s Motion to Dismiss Complaint, #2 Exhibit 1, #3 Exhibit 2, #4 Appendix Supplemental Appendix of Foreign Authorities in Support of Plaintiffs-Appellants’ Reply in Support of Appeal From Bankruptcy Court Order Granting Lehman Defendant’s Motion to Dismiss Complaint, #5 Tab 1, #6 Tab 2, #7 Tab 3) (Davis, Jason) (Entered: 04/06/2010)

125 04/19/2010 21 SCHEDULING ORDER: that the oral argument scheduled for April 23, 2010 at 12:00 p.m. is rescheduled for April 23, 2010 at 2:45 p.m. (Signed by Judge William H. Pauley, III on 4/19/10) (pl) (Entered: 04/20/2010)

126 09/09/2010 22 MEMORANDUM & ORDER: For the reasons set forth in this Memorandum & Order, the Bankruptcy Court’s dismissal of Counts One and Two against LBSF is affirmed, and its denial of leave to replead those claims derivatively against LBSF is reversed. The Bankruptcy Court’s denial of leave to replead Counts One and Two
against the Trustee is reversed. The Bankruptcy Court’s dismissal of Count Three is vacated. This action is remanded to the Bankruptcy Court for further proceedings consistent with this Memorandum and Order. (Signed by Judge William H. Pauley, III on
8/9/2010) (tro) (Entered: 08/09/2010)