Lehman Brothers Financial SA (LEHNQ)

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THIS NOTICE CONTAINS IMPORTANT INFORMATION THAT IS OF INTEREST TO THE REGISTERED AND
BENEFICIAL OWNERS OF THE SUBJECT SECURITIES. IF APPLICABLE, ALL DEPOSITORIES, CUSTODIANS AND
OTHER INTERMEDIARIES RECEIVING THIS NOTICE ARE REQUESTED TO EXPEDITE THE RE-TRANSMITTAL TO
BENEFICIAL OWNERS OF THE SECURITIES IN A TIMELY MANNER.
1
LEHMAN BROTHERS UK CAPITAL FUNDING IV LP (“LP IV”)
EUR 200,000,000 EURO FIXED RATE ENHANCED CAPITAL ADVANTAGED PREFERRED
SECURITIES (“LP IV PREFERRED SECURITIES”)
ISIN XS0282978666
21 September 2023👈️
Liquidation of LB GP No.1 Ltd (“the Company”) and implications for parties interested in the LP IV
Preferred Securities
1 PRELIMINARY INFORMATION
1.1 THIS NOTICE IS IMPORTANT AND REQUIRES YOUR IMMEDIATE ATTENTION.
1.2 If you are in any doubt as to the action you should take, you are recommended to seek
your own financial, legal, or other advice immediately from your stockbroker, bank
manager, solicitor, accountant, or other appropriately authorised independent financial
adviser.
1.3 If you have sold or otherwise transferred your entire (or any part of your) interest in the
LP IV Preferred Securities you should immediately forward this notice to the purchaser
or transferee or to the stockbroker, bank, or other agent through whom the sale or
transfer was effected for transmission to the purchaser or transferee.
1.4 This notice may contain certain information potentially relating to the future outlook for
LP IV and certain information is sourced from third parties. Any statements about the
future outlook for LP IV may be influenced by factors that could cause actual outcomes
and results to be materially different and be out of the Joint Liquidators’ control. As a
result, you should not rely on any forward-looking statements. Any forward-looking
statements included in this notice are made or relayed only as of the date of this notice,
and except as otherwise required by law, the Joint Liquidators undertake no obligation
to test, audit, confirm, publicly update, or revise any such forward-looking statements
to reflect subsequent events, circumstances or otherwise.
1.5 REGARDING SECURITIES IN RELATION TO LP I, LP II, LP III (defined in 2.1 below):
Your particular attention is drawn to the important developments referred to in
paragraphs 4.29 to 4.37 on pages 10 and 11 of this Notice. The Joint Liquidators
request that any questions or comments that you may have in connection with
these developments be sent to us by email by no later than 12 midday (UK time)
on Thursday 5 October 2023. Please send your emails to the email address
shown in paragraph 9.1.2 on page 16 of this Notice.