Spreadsheet: sara_shackleton__36872__Legal Agreements Status
Sheet: Sheet1

Brokerage Agreement Status
Updated | 2001-04-12 00:00:00
PENDING
Date | Type | Company | Broker | Requested by | Legal | Priority | Comments
2000-12-05 00:00:00 | Electronic Trading Agreement | ENA | [NAME], LLC | Vitrella |  | HIGH | Negotiating, version 2 came back from sb
2000-12-05 00:00:00 | Electronic Trading Agreement | ECT Investments | [NAME], LLC | Vitrella |  | HIGH | Negotiating, version 2 came back from sb
2000-12-06 00:00:00 | Electronic Trading Agreement | ENA | Merrill Lynch | Vitrella |  |  | Preparing for Execution
2000-12-06 00:00:00 | Electronic Trading Agreement | ECT Investments | Merrill Lynch | Vitrella |  |  | Preparing for Execution
2001-04-01 00:00:00 | Market Data Access | ECT Investments | Instinet | Greene |  | HIGH | Under Legal Review
2001-04-01 00:00:00 | Executing Broker Agreement | ENA | ISI | Greene |  |  | Under Legal Review
2001-04-01 00:00:00 | Executing Broker Agreement | ECT Investments | ISI | Greene |  |  | Under Legal Review
6/9/200 | Services provider | ECT Investments | ITG Europe | Greene |  |  | Can we piggy-back on US ITG Quantex agreement recently signed? No.  So, CN Preparing Separate Agreement.
1997-03-13 00:00:00 | Executing Broker Agreement | ENA | RBC Dominion Securities Corp | Hickerson |  |  | Comments Sent
1997-03-13 00:00:00 | Executing Broker Agreement | ECT Investments | RBC Dominion Securities Corp | Hickerson |  |  | Comments Sent
 | Prime Broker Agreement | ECI | Morgan Stanley | Kinneman |  | HIGH | Ready for Execution [On Hold]
 | Prime Broker Agreement | ECI | Goldman Sachs | Kinneman |  | HIGH | Ready for Execution [On Hold]
2001-02-12 00:00:00 | Futures Clearing | ENA | JP Morgan Chase Futures agree | Hickerson |  | HIGH | Negotiated (SS)
 | Options [NAME] | ENA | Goldman Sachs |  |  |  | Under review (Get from [NAME])
 | Options [NAME] | ECT Investments | Goldman Sachs |  |  |  | Under review (Get from [NAME])
2001-04-24 00:00:00 | Futures Clearing | ENA | [NAME] | Hickerson | SS | HIGH | Sent to Legal, 4/24/01
2001-04-24 00:00:00 | Futures Clearing | ENA | Morgan Stanley | Hickerson | SS | HIGH | Sent to Legal, 4/25/01
2001-04-24 00:00:00 | Futures Clearing | ENA | Goldman Sachs | Hickerson | SS | HIGH | Sent to Legal, 4/30/01
 | Custody agreement | ENA | Chase Bond Custody Account | Shahi/Adams | SS |  | Negotiating (Sara)
 | Custody agreement | ECT Investments | Chase Bond Custody Account | Shahi/Adams | SS |  | Negotiating (Sara)
2001-04-24 00:00:00 | Executing Broker Agreement | ENA Only | [NAME] |  |  |  | To [NAME]
EXECUTED
2000-06-01 00:00:00 | Executing Broker Agreement | ENA | ING Barrings - Furman Selz |  |  |  | EXECUTED
2000-06-01 00:00:00 | Executing Broker Agreement | ECT Investments | ING Barrings - Furman Selz |  |  |  | EXECUTED
2000-07-10 00:00:00 | Executing Broker Agreement | ENA | Lehman Brothers |  |  |  | EXECUTED
2000-07-10 00:00:00 | Executing Broker Agreement | ECT Investments | Lehman Brothers |  |  |  | EXECUTED
2000-07-13 00:00:00 | Executing Broker Agreement | ENA | Jefferies & Co |  |  |  | EXECUTED
2000-07-13 00:00:00 | Executing Broker Agreement | ECT Investments | Jefferies & Co |  |  |  | EXECUTED
2001-01-10 00:00:00 | Executing Broker Agreement | ECT Investments | ITG | Hickerson |  |  | EXECUTED
 | Executing Broker Agreement | ENA | Salomon Smith Barney Inc |  |  |  | EXECUTED
 | Executing Broker Agreement | ECT Investments | Salomon Smith Barney Inc |  |  |  | EXECUTED
2001-01-09 00:00:00 | Letter of Guaranty | ENA | Bear Stearns | [NAME] |  |  | EXECUTED
2001-01-17 00:00:00 | Stock Loan Agreement | ENA | Bear Stearns | [NAME] |  |  | EXECUTED
 | Electronic Trading Agreement | ECT Investments | JP Morgan |  |  |  | EXECUTED
2000-08-08 00:00:00 | Executing Broker Agreement | ENA | Simmons & Co |  |  |  | EXECUTED
2000-08-08 00:00:00 | Executing Broker Agreement | ECT Investments | Simmons & Co |  |  |  | EXECUTED
2000-08-31 00:00:00 | Executing Broker Agreement | ENA | [NAME] |  |  | HIGH | EXECUTED
2000-08-31 00:00:00 | Executing Broker Agreement | ECT Investments | [NAME] |  |  | HIGH | EXECUTED
2000-09-22 00:00:00 | Executing Broker Agreement | ENA | Deutsche Bank Securities/Frost |  |  |  | EXECUTED
2000-09-22 00:00:00 | Executing Broker Agreement | ENA | Deutsche Bank Securities/Frost |  |  |  | EXECUTED
 | Executing Broker Agreement | ENA | [NAME] |  |  |  | EXECUTED
 | Executing Broker Agreement | ECT Investments | [NAME] |  |  |  | EXECUTED
 | ITG Platform Installation | ECT Investments | NASDAQ | Hickerson |  |  | EXECUTED
 | ITG Platform Installation | ECT Investments | AMEX | Hickerson |  |  | EXECUTED
 | ITG Platform Installation | ECT Investments | NYSE | Hickerson |  |  | EXECUTED
2001-02-01 00:00:00 | Consulting | ENA | Psytech Analytics | Hickerson |  | HIGH | EXECUTED
2001-03-14 00:00:00 | Prime Broker Agreement | ECI | Bear Stearns |  |  | HIGH | EXECUTED
2001-04-05 00:00:00 | 30 Day Trial Use Agreement |  | SNL Datasource | Brogan/Gonzalez |  |  | REVIEWED/APPROVED
 | Executing Broker Agreement | ENA | [NAME], LLC | Vitrella |  | HIGH | EXECUTED
2001-02-13 00:00:00 | On-line trading | ENA | Goldman Sachs | Delage |  |  | [NAME] covered under ENA already
2001-02-13 00:00:00 | On-line trading | ECT Investments | Goldman Sachs | Delage |  |  | [NAME] covered under ENA already
 | Electronic Trading Agreement | ENA | Salomon Smith Barney Inc | Vitrella |  | HIGH | Sent for Execution
 | Electronic Trading Agreement | ECT Investments | Salomon Smith Barney Inc | Vitrella |  | HIGH | Sent for Execution
 | Electronic Trading Agreement | ENA | Bear Stearns | Vitrella |  | HIGH | Sent for Execution
 | Electronic Trading Agreement | ECT Investments | Bear Stearns | Vitrella |  | HIGH | Sent for Execution
2001-03-01 00:00:00 | Executing Broker Agreement | ENA | Goldman Sachs International | Greene |  |  | Sent for execution
 | Executing Broker Agreement | ENA | JP Morgan |  |  |  | Preparing for execution/negotiated
 | Electronic Trading Agreement | ENA | JP Morgan |  |  |  | Preparing for execution/negotiated
 | Executing Broker Agreement | ENA | Merrill Lynch |  |  |  | Sent for execution
2001-02-13 00:00:00 | On-line trading | ENA | UBS TP trader, I-dealer, website | Delage |  |  | Jurgen has in London, extend to DD, [NAME], 1/[PHONE]
2001-02-13 00:00:00 | On-line trading | ECT Investments | UBS TP trader, I-dealer, website | Delage |  |  | Jurgen has in London, extend to DD, [NAME], 1/[PHONE]
04/23/01 | Executing Broker Agreement | ECT Investments | DB [NAME] LLC |  |  |  | To [NAME]
2001-04-25 00:00:00 | Executing Broker Agreement |  | Salomon Smith Barney Inc |  |  |  | To [NAME] via e-mail