Lists of Eligible Securities
The Lehman securities covered by the Underwriter Settlement and for which an Authorized Claimant may be entitled to receive a distribution from the Underwriter Net Settlement Fund (the "Eligible Securities") are the following:
| Issue Date | Security (CUSIP) |
|
February 5, 2008 (the "Series J Offering") |
7.95% Non-Cumulative Perpetual Preferred Stock, Series J (the "Series J Shares") (52520W317) |
| July 19, 2007 | 6% Notes Due 2012 (52517P4C2) |
| July 19, 2007 | 6.50% Subordinated Notes Due 2017 (524908R36) |
| July 19, 2007 | 6.875% Subordinated Notes Due 2037 (524908R44) |
| September 26, 2007 | 6.2% Notes Due 2014 (52517P5X5) |
| September 26, 2007 | 7% Notes Due 2027 (52517P5Y3) |
| December 21, 2007 | 6.75% Subordinated Notes Due 2017 (5249087M6) |
| January 22, 2008 | 5.625% Notes Due 2013 (5252M0BZ9) |
| February 5, 2008 | Lehman Notes, Series D (52519FFE6) |
| April 24, 2008 | 6.875% Notes Due 2018 (5252M0FD4) |
| April 29, 2008 | Lehman Notes, Series D (52519FFM8) |
| May 9, 2008 | 7.50% Subordinated Notes Due 2038 (5249087N4) |
The Lehman Securities covered by the Director & Officer Settlement and for which an Authorized Claimant may be entitled to receive a distribution from the Director & Officer Net Settlement Fund (the "Eligible Securities") are the following:
| Issue Date | Security (CUSIP) |
|
June 9, 2008 |
Common Stock (524908100) |
|
February 5, 2008 (the "Series J Offering") |
7.95% Non-Cumulative Perpetual Preferred Stock, Series J (the "Series J Shares") (52520W317) |
|
April 4, 2008 (the "Series P Offering") |
7.25% Non-Cumulative Perpetual Convertible Preferred Stock, Series P (the "Series P Shares") (52523J453) |
|
June 12, 2008 (the "Series Q Offering") |
8.75% Non-Cumulative Mandatory Convertible Preferred Stock, Series Q (the "Series Q Shares") (52520W218) |
| June 15, 2007 | Medium-Term Notes, Series I (52517P2S9) |
| July 19, 2007 | 6% Notes Due 2012 (52517P4C2) |
| July 19, 2007 | 6.50% Subordinated Notes due 2017 (524908R36) |
| July 19, 2007 | 6.875% Subordinated Notes Due 2037 (524908R44) |
| July 31, 2007 | 100% Principal Protected Notes Linked to a Basket Consisting of a Foreign Equity Component and a Currency Component (524908K25) |
| August 1, 2007 | Partial Principal Protection Notes Linked to a Basket of Global Indices (524908J92) |
| August 22, 2007 | Annual Review Notes with Contingent Principal Protection Linked to an Index (52517P4Y4) |
| August 29, 2007 | Medium-Term Notes, Series I (52517P4T5) |
| September 26, 2007 | 6.2% Notes Due 2014 (52517P5X5) |
| September 26, 2007 | 7% Notes Due 2027 (52517P5Y3) |
| December 5, 2007 | Medium-Term Notes, Series I (5252M0AU1) |
| December 7,2007 | Medium-Term Notes, Series I (5252M0AW7) |
| December 21, 2007 | 6.75% Subordinated Notes Due 2017 (5249087M6) |
| December 28, 2007 | Medium-Term Notes, Series I (5252M0AY3) |
| January 22, 2008 | 5.625% Notes due 2013 (5252M0BZ9) |
| January 30, 2008 | Medium -Term Notes, Series I (5252M0BX4) |
| February 5, 2008 | Lehman Notes, Series D (52519FFE6) |
| February 14, 2008 | Medium-Term Notes, Series I Principal Protected Notes Linked to MarQCuS Portfolio A (USD) Index (5252M0DK0) |
| February 20, 2008 | Buffered Return Enhanced Notes Linked to the Financial Select Sector SPDR Fund (5252M0DH7) |
| February 27, 2008 | Medium-Term Notes, Series I (5252M0CQ8) |
| March 13, 2008 | Medium-Term Notes, Series I (5252M0EH6) |
| April 21, 2008 | Medium-Term Notes, Series I (5252M0EY9) |
| April 21,2008 | Medium-Term Notes, Series I (5252M0FA0) |
| April 24, 2008 | 6.875% Notes Due 2018 (5252M0FD4) |
| April 29, 2008 | Lehman Notes, Series D (52519FFM8) |
| May 7, 2008 | Buffered Semi-Annual Review Notes Linked to the Financial Select Sector SPDR Fund (5252M0FR3) |
| May 9, 2008 | 7.50% Subordinated Notes Due 2038 (5249087N4) |
| May 19, 2008 | Medium-Term Notes, Series I (5252M0FH5) |
| June 13, 2008 | Annual Review Notes with Contingent Principal Protection Linked to the S&P 500 Index (5252M0GM3) |
| June 26, 2008 | Medium-Term Notes, Series I (5252M0GN1) |
| March 30,2007 | 100% Principal Protection Notes Linked to a Global Index Basket (52520W564) (524908VP2) |
| March 30, 2007 | Performance Securities with Partial Protection Linked to a Global Index Basket (52520W556) (524908VQ0) |
| April 30, 2007 | 100% Principal Protection Callable Spread Daily Accrual Notes with Interest Linked to the Spread between the 30-year and the 2-year Swap Rates (52517PX63) |
| April 30, 2007 | Performance Securities with Partial Protection Linked to a Global Index Basket (52520W515) |
| May 31, 2007 | 100% Principal Protection Notes Linked to a Currency Basket (52520W440) |
| June 29, 2007 | 100% Principal Protection Callable Spread Daily Accrual Notes with Interest Linked to the Spread between the 30-year and the 2-year Swap Rates (52517P2P5) |
| July 31, 2007 | 100% Principal Protection Callable Spread Daily Accrual Notes with Interest Linked to the Spread between the 30-year and the 2-year Swap Rates (52517P3H2) |
| August 31, 2007 | 100% Principal Protection Notes Linked to an International Index Basket (52522L186) |
| August 31, 2007 | 100% Principal Protection Notes Linked to a Global Index Basket (52522L889) |
| September 28, 2007 | Performance Securities with Partial Protection Linked to a Global Index Basket (52522L244) |
| September 28, 2007 | 100% Principal Protection Callable Spread Daily Accrual Notes with Interest Linked to the Spread between the 30-year and the 2-year Swap Rates (52517P5K3) |
| October 31,2007 | Medium-Term Notes, Series I, 100% Principal Protection Notes linked to an Asian Currency Basket (52520W341) |
| October 31,2007 | 100% Principal Protection Absolute Return Barrier Notes Linked to the S&P 500 Index (52522L293) |
| October 31,2007 | Return Optimization Securities Linked to an Index (52522L319) |
| October 31,2007 | Return Optimization Securities Linked to an Index (52522L335) |
| November 30, 2007 | 100% Principal Protection Notes Linked to an Asian Currency Basket (52520W333) |
| November 30, 2007 | Return Optimization Securities with Partial Protection Linked to the S&P 500 Index (52522L459) |
| December 31, 2007 | Return Optimization Securities with Partial Protection Linked to the S&P 500 Index (52522L491) |
| January 31, 2008 | 100% Principal Protection Callable Spread Daily Accrual Notes with Interest Linked to the Spread between the 30-year and the 2-year Swap Rates (52517P4N8) |
| January 31, 2008 | 100% Principal Protection Notes Linked to an Asian Currency Basket (52520W325) |
| January 31, 2008 | 100% Principal Protection Absolute Return Barrier Notes Linked to the S&P 500 Index (52522L525) |
| February 8, 2008 | Auto-callable Optimization Securities with Contingent Protection Linked to the S&P 500 Financials Index (52522L657) |
| February 29, 2008 | 100% Principal Protection Callable Spread Daily Accrual Notes with Interest Linked to the Spread between the 30-year and the 2-year Swap Rates (5252M0CZ8) |
| February 29, 2008 | Return Optimization Securities with Partial Protection Notes linked to the S&P 500 Index (52522L574) |
| February 29, 2008 | 100% Principal Protection Notes Linked to an Asian Currency Basket (52523J412) |
| February 29, 2008 | 100% Principal Protection Absolute Return Barrier Notes Linked to the Russell 2000 Index (52522L566) |
| March 31, 2008 | Return Optimization Securities with Partial Protection Notes Linked to the S&P 500 Index (52522L806) |
| March 31, 2008 | Return Optimization Securities with Partial Protection Notes Linked to the MSCI EM Index (52522L814) |
| March 31, 2008 | Bearish Auto-callable Optimization Securities with Contingent Protection Linked to the Energy Select Sector SPDR Fund (52522L871) |
| March 31, 2008 | 100% Principal Protection Absolute Return Barrier Notes Linked to the Russell 2000 Index (52522L798) |
| April 23, 2008 | Return Optimization Securities with Partial Protection Linked to a basket of Global Indices (52523J172) |
| May 15, 2008 | Return Optimization Securities with Partial Protection Linked to the S&P 500 Financials Index (52523J206) |
| May 30, 2008 | Return Optimization Securities with Partial Protection Linked to the S&P 500 Financials Index (52523J230) |
| June 30, 2008 | 100% Principal Protection Absolute Return Barrier Notes (52523J248) |
| June 30, 2008 | 100% Principal Protection Absolute Return Barrier Notes (52523J255) |