Spreadsheet: sara_shackleton__36529__BAS 050701
Sheet: Sheet1

PENDING
Date | Type | Company | Broker | Requested by | Priority | Comments
2001-04-26 00:00:00 | Overseas Securities Lender's Agmt | ECT Investments | Morgan Stanley Securities Ltd | Greene | HIGH | Under Legal Review
2001-04-21 00:00:00 | Executing Broker Agreement | ECT Investments | [NAME] | Greene |  | Sent for Execution
2001-04-21 00:00:00 | Executing Broker Agreement | ENA | [NAME] | Greene |  | Sent for Execution
2000-07-01 00:00:00 | Electronic Trading Agreement | ENA | Trading Edge | [NAME] | HIGH | Sent for Execution
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 | LOW | Under Legal Review
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
2001-03-25 00:00:00 | Prime Broker Agreement | ECI | Goldman Sachs | Kinneman | HIGH | Sent for Execution
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
 | Executing Broker Agreement | ENA | Salomon Smith Barney Inc |  |  | EXECUTED
 | Executing Broker Agreement | ECT Investments | Salomon Smith Barney Inc |  |  | 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  *
2001-01-10 00:00:00 | Executing Broker Agreement | ECT Investments | ITG Quantex | Hickerson |  | EXECUTED  *
 | ITG Quantex Installation | ECT Investments | NASDAQ | Hickerson |  | EXECUTED
 | ITG Quantex Installation | ECT Investments | AMEX | Hickerson |  | EXECUTED
 | ITG Quantex 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 | Letter of Guaranty | ECI | Bear Stearns | Kinnemann/SG |  | EXECUTED
2001-03-14 00:00:00 | Stock Loan Agreement | ECI | Bear Stearns | Kinnemann/SG |  | EXECUTED
2001-03-14 00:00:00 | Prime Broker Agreement | ECI | Bear Stearns | Kinneman | 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
2000-12-05 00:00:00 | Electronic Trading Agreement | ENA | [NAME], LLC | Vitrella | HIGH | EXECUTED  *
2000-12-05 00:00:00 | Electronic Trading Agreement | ECT Investments | [NAME], LLC | Vitrella | HIGH | EXECUTED  *
 | Electronic Trading Agreement | ENA | Salomon Smith Barney Inc | Vitrella | HIGH | EXECUTED  *
 | Electronic Trading Agreement | ECT Investments | Salomon Smith Barney Inc | Vitrella | HIGH | EXECUTED  *
2001-04-25 00:00:00 | Prime Broker Agreement | ECT Investments | Bear Stearns (Replacement) |  |  | EXECUTED  *
2001-04-25 00:00:00 | Prime Broker Agreement | ENA | Bear Stearns (Replacement) |  |  | EXECUTED  *
 | Electronic Trading Agreement | ENA | Bear Stearns | Vitrella | HIGH | EXECUTED  *
 | Electronic Trading Agreement | ECT Investments | Bear Stearns | Vitrella | HIGH | EXECUTED  *
2001-03-01 00:00:00 | Executing Broker Agreement | ENA | Goldman Sachs International | Greene |  | EXECUTED
 | Executing Broker Agreement | ENA | Merrill Lynch | Vitrella |  | EXECUTED
 | Executing Broker Agreement | ENA | JP Morgan |  |  | EXECUTED  *
 | Electronic Trading Agreement | ENA | JP Morgan |  |  | EXECUTED
2001-04-25 00:00:00 | Qualified Investment Buyer Cert. | ENA | CSFB | Hickerson | HIGH | EXECUTED
2001-04-30 00:00:00 | Qualified Investment Buyer Cert. | ENA | Goldman Sachs | Hickerson | HIGH | EXECUTED
2001-03-25 00:00:00 | Prime Broker Agreement | ECI | Morgan Stanley | Kinneman | HIGH | EXECUTED
2001-01-01 00:00:00 | Executing Broker Agreement | [NAME] | Morgan Stanley |  | HIGH | EXECUTED
2001-02-01 00:00:00 | Consulting - Weather Services | ENA | WSI |  | HIGH | EXECUTED
2001-03-01 00:00:00 | Executing Broker Agreement | HEOF | Morgan Stanley |  | HIGH | EXECUTED
2001-04-01 00:00:00 | Executing Broker Agreement | ERAC | Morgan Stanley |  | HIGH | EXECUTED
2001-04-01 00:00:00 | Prime Broker Agreement | ENA | ISI (Bear Stearns) | Greene | HIGH | EXECUTED
2001-04-01 00:00:00 | Prime Broker Agreement | ECT Investments | ISI (Bear Stearns) | Greene | HIGH | EXECUTED
2001-04-12 00:00:00 | Forecast Services Agreement | ENA | Standard & Poors (DRI) | Hickerson | HIGH | EXECUTED
2001-04-26 00:00:00 | Mutual Non-Disclosure Agreement/Electronic Trading Research | ENA | [NAME] | Constantine/Brogan | HIGH | EXECUTED *
2000-06-09 00:00:00 | Services provider/Platform | ECT Investments | ITG Europe | Greene |  | EXECUTED *
* = Highly Negotiated