Lehman Brothers Financial SA (LEHNQ)

[cottonisking]

JERSEYHAWG, each of LBHI's TRuPS holders has an interest in one or several of LBHI's TRuPS allowed claims filed by the Bank of New York Mellon as Property Trustee:


"...or in which any JPMorgan Entity or any
affiliates or funds of a JPMorgan Entity has an interest..., and any other
claims that JPMorgan did not assert were covered by LBHI’s August and September
2008 guaranties and security agreements in favor of JPMCB’s subsidiaries and affiliates."


*** LBHI AND JPMCB SETTLEMENT AGREEMENT DATED 2/1/2017 - Docket 54683



“Settled Matters” means any and all Actions between the parties, including
without limitation, any and all Actions relating to the matters, facts and circumstances
described in, or arising from, or related in any way to any of the matters, facts and
circumstances underlying or related to the Actions and CDA Obligations described in
paragraphs C through H of the Background section of this Settlement Agreement, other
than the Unaffected Matters. For the avoidance of doubt, the Settled Matters include,
without limitation, the Tassimo Action, the LBSF Action, the 492nd Omnibus Objection,
the Securities Lending Objection, and the CDA Obligations, but exclude the Unaffected
Matters.



“Unaffected Matters” means claims filed by or on behalf of any JPMorgan Entity
or any affiliates or funds of a JPMorgan Entity, or in which any JPMorgan Entity or any
affiliates or funds of a JPMorgan Entity has an interest, that are not Settled Matters,
including without limitation claims filed by or on behalf of a JPMorgan Entity as agent,
for a customer or for a fund that it manages, claims relating to Canary Wharf, claims held
from time to time by a JPMorgan Entity’s distressed claims trading desk, and any other
claims that JPMorgan did not assert were covered by LBHI’s August and September
2008 guaranties and security agreements in favor of JPMCB’s subsidiaries and affiliates.

For the avoidance of doubt, claims relating to the LBSF Action are not Unaffected
Matters. Lehman reserves all objections and defenses to the Unaffected Matters."

***

"Who are affiliates? "Under Rule 405 of the Securities Act,... whether through the ownership of voting securities, by contract, or otherwise."

*** 08-13555-jmp Doc 24851 Filed 02/01/12 Entered 02/01/12 16:18:12 Main Document ***

"Movants posited that
“affiliates,” especially in the context of a parent level guaranty, must mean corporations who
share controlling ownership and not contractual service advisor or trustee relationships."

***

Under Rule 405 of the Securities Act, an "affiliate" of or person "affiliated" with a specified person shall mean a person that directly, or indirectly through one or more intermediaries, controls or is controlled by, or is under common control with, the person specified.
An individual's status as an affiliate is a fact-specific inquiry which must be determined by considering all relevant facts in accordance with Rule 405. The rule provides that the term "control" (including the terms "controlling," "controlled by" and "under common control with") means the possession, direct or indirect, of the power to direct or cause the direction of management and the policies of a person, whether through the ownership of voting securities, by contract, or otherwise. The SEC has stated that an individual's status as a director, officer, or 10% shareholder is one fact which must be taken into consideration in determining affiliate status (See American Standard, October 11, 1972). In addition, under Section 16(a) of the Exchange Act, every person who is directly or indirectly the owner of more than 10 percent of any class of any equity security that is registered under the Exchange Act, or who is a director or an officer of the issuer of such security, must file statements setting forth the amount of all equity securities of such issuer of which the filing person is a beneficial owner. These individuals usually are considered affiliates."

http://media.mofo.com/files/Uploads/Images/FAQRule144_145.pdf

*** 2/4/2016 to 2/1/2017 for Docket 54683***

Docket 115 in case 11-cv-6760:

"115 ORDER: The Court is in receipt of two letters from non-party Ricky M. Gregory-dated January 27, 2016 and January 29, 2016, and received in chambers on February 1, 2016 and February 2, 2016, respectively-setting forth his views regarding the proposed settlement in this matter. (Doc. Nos. 113, 114.) Since the settlement agreement is currently being reviewed by the Bankruptcy Court (Doc. No. 111), the Court will take no action on these submissions at this time. (Signed by Judge Richard J. Sullivan on 2/4/2016) (mro) (Entered: 02/05/2016)"