Spreadsheet: elizabeth_sager__9495__Counterparty Tracking Report
Sheet: Tier 2 Counterparties

 |  |  |  |  | RESPONSES |  |  |  |  |  |  |  |  |  | TRACKING REPORT
 |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  | Assessment  Rating
Parent Company/Subsidiaries | Company Name | Contact Name | Product Group | Date of Letter | Date Response Received | Signed Disclosure Agreement Received | Completed Questionnaire Received | Other Information Received (Describe) | Completed Review of Web site and/or other info. (Yes/No) | Date Site Visit Completed | Rating       Good/ Satisfactory/ Unsatisfactory | EDI Testing Successfully Completed (Yes/No) | Follow-up Required (Yes/No) |  | Written Contact Made to Counterparty | Correspondence Received from Counterparty | [NAME] Received | Personal Contact  completed with Counterparty | Initial Assessment Complete | Good | Satisfactory | Unsatisfactory | EDI Testing Completed Successfully (Pipelines only) | Follow-up Required | Follow-up Completed
 | Affiliated Newspapers Investments, Inc. | [NAME] | Financial - US | 1999-05-12 00:00:00 |  |  |  |  |  |  |  |  |  |  | 1
 | American Re Capital Markets, Inc. | [NAME] | Financial - US | 1999-05-12 00:00:00 | 1999-07-01 00:00:00 |  |  |  | Yes |  | Satisfactory |  |  |  | 1 |  |  | 1 | 1 |  | 1
 | Bank of Montreal | [NAME] | Financial - US | 1999-05-12 00:00:00 | 1999-06-18 00:00:00 | No | No | Letter and [NAME] compliance efforts report | Yes |  | Satisfactory |  |  |  | 1 |  |  | 1 | 1 |  | 1
 | Barclays Bank PLC | [NAME] | Financial - US | 1999-05-12 00:00:00 | 5/24/1999, 6/30/99 | No | Yes | Letter; Letter and report | Yes |  | Satisfactory |  |  |  | 1 |  |  | 1 | 1 |  | 1
 | Bombardier Inc. | [NAME] | Financial - US | 1999-05-12 00:00:00 |  |  |  |  | Yes |  | Satisfactory |  |  |  | 1 |  |  | 1 | 1 |  | 1
 | Goldman, Sachs & Co. | [NAME] | Financial - US | 1999-05-12 00:00:00 | 1999-06-01 00:00:00 | No | No | Letter and web site information | Yes |  | Good |  |  |  | 1 |  |  | 1 | 1 | 1
 | Knight-Ridder, Inc. | [NAME] | Financial - US | 1999-05-12 00:00:00 |  |  |  |  | Yes |  | Satisfactory |  |  |  | 1 |  |  | 1 | 1 |  | 1
 | National Westminster Bank PLC | [NAME] | Financial - US | 1999-05-12 00:00:00 |  |  |  |  | Yes |  | Satisfactory |  |  |  | 1 |  |  | 1 | 1 |  | 1
 | Swiss Re Financial Products Inc. | [NAME] | Financial - US | 1999-05-12 00:00:00 | 1999-06-08 00:00:00 | No | No | Letter and [NAME] group statement | Yes |  | Satisfactory |  |  |  | 1 |  |  | 1 | 1 |  | 1
 | Tembec Inc. | [NAME] | Financial - US | 1999-05-12 00:00:00 | 1999-06-01 00:00:00 | yes | Yes | Letter | Yes |  | Satisfactory |  |  |  | 1 |  |  | 1 | 1 |  | 1
 | The New York Times Company | [NAME] | Financial - US | 1999-05-12 00:00:00 | 1999-06-17 00:00:00 | No | No | Letter and 10-Q excerpt |  |  | Satisfactory |  |  |  | 1 |  |  |  |  |  | 1
 | The Royal Bank of Canada | [NAME] | Financial - US | 1999-05-12 00:00:00 |  |  |  |  | Yes |  | Satisfactory |  |  |  | 1 |  |  | 1 | 1 |  | 1
 | The Times Mirror Company | [NAME] | Financial - US | 1999-05-12 00:00:00 |  |  |  |  |  |  |  |  |  |  | 1
 | Vitol S.A., Inc. | [NAME] | Financial - US | 1999-05-12 00:00:00 |  |  |  |  | Yes |  | Unsatisfactory |  |  |  | 1 |  |  | 1 | 1 |  |  | 1
 |  |  | Financial - US Total
 | Amoco Canada Petroleum Company | [NAME] | Gas - US | 1999-06-23 00:00:00 |  |  |  |  |  |  |  |  |  |  | 1
 | Anson Gas Marketing | [NAME] | Gas - US | 1999-05-28 00:00:00 |  |  |  |  |  |  |  |  |  |  | 1
 | East Tennessee Natural Gas Company | [NAME] | Gas - US | 1999-04-26 00:00:00 | 1999-06-07 00:00:00 | No | No | Letter |  |  |  |  |  |  | 1
 | Exxon Company U.S.A. | [NAME] | Gas - US | 1999-06-03 00:00:00 |  |  |  |  |  |  |  |  |  |  | 1
 | K N Interstate Gas Transmission Co. | [NAME] | Gas - US | 1999-04-26 00:00:00 | 1999-05-10 00:00:00 | Yes |  |  | Yes |  | Satisfactory |  | Yes |  | 1 |  |  | 1 | 1 |  | 1 |  |  | 1
 | Kern River Gas Transmission Company | [NAME] | Gas - US | 1999-04-26 00:00:00 |  |  |  |  | Yes |  | Unsatisfactory |  | Yes |  | 1 |  |  | 1 | 1 |  |  | 1 |  | 1
 | Mississippi River Transmission Corp. | [NAME] | Gas - US | 1999-04-26 00:00:00 |  |  |  |  |  |  |  |  |  |  | 1
 | Mobile Bay Pipeline Company | [NAME] | Gas - US | 1999-04-26 00:00:00 |  |  |  |  |  |  |  |  |  |  | 1
 | Mojave Pipeline Company | [NAME] | Gas - US | 1999-04-26 00:00:00 | 1999-05-26 00:00:00 | No | No | Letter | Yes |  | Satisfactory |  | Yes |  | 1 |  |  | 1 | 1 |  | 1 |  |  | 1
 | National Fuel Gas Supply Corporation | [NAME] | Gas - US | 1999-04-26 00:00:00 | 1999-05-25 00:00:00 | No | No | Letter |  |  |  |  |  |  | 1
 | Nebraska Public Gas Agency | [NAME] | Gas - US | 1999-06-03 00:00:00 | 1999-06-15 00:00:00 | No | No | Letter |  |  |  |  |  |  | 1
 | Northwest Pipeline Corporation | [NAME] | Gas - US | 1999-04-26 00:00:00 |  |  |  |  | Yes |  | Unsatisfactory | Yes | Yes |  | 1 |  |  | 1 | 1 |  |  | 1 | 1 | 1
 | Southern Union Gas Company | [NAME] | Gas - US | 1999-06-06 00:00:00 | 1999-06-17 00:00:00 | No | No | Letter |  |  |  |  |  |  | 1
 | [NAME] | [NAME] | Gas - US | 1999-04-26 00:00:00 | 1999-05-10 00:00:00 | Yes |  |  |  |  |  | Yes |  |  | 1 |  |  |  |  |  |  |  | 1
 |  |  | Gas - US Total
 | American Commercial Barge Line Company LLC | [NAME] | Global Products | 1999-05-05 00:00:00 | 5/24/1999, 6/2/99 | No | No | Letter and disclosure, letter and questionnaire | Yes |  | Good |  |  |  | 1 |  |  | 1 | 1 | 1
 | [NAME], Inc. | [NAME] | Global Products | 1999-07-08 00:00:00 |  |  |  |  |  |  |  |  |  |  | 1
 | B T Shipping (London) Ltd. | [NAME] | Global Products | 1999-04-30 00:00:00 |  |  |  |  |  |  |  |  |  |  | 1
 | Chemcentral Corporation | [NAME] | Global Products | 1999-05-05 00:00:00 | 1999-05-24 00:00:00 | No | No | Letter |  |  |  |  |  |  | 1
 | City of Austin | [NAME] | Global Products | 1999-05-26 00:00:00 |  |  |  |  | Yes |  | Good |  |  |  | 1 |  |  | 1 | 1 | 1
 | Colonial Pipeline Company | [NAME] | Global Products | 1999-05-05 00:00:00 |  |  |  |  | Yes |  | Satisfactory |  | Yes |  | 1 |  |  | 1 | 1 |  | 1 |  |  | 1
 | CSX Transportation | [NAME] | Global Products | 1999-05-05 00:00:00 | 1999-06-23 00:00:00 | No | No | Letter | Yes |  | Good |  | Yes |  | 1 |  |  | 1 | 1 | 1 |  |  |  | 1
 | FirstEnergy Corp. | [NAME] | Global Products | 1999-07-08 00:00:00 |  |  |  |  |  |  |  |  |  |  | 1
 | GE Plastics | [NAME] | Global Products | 1999-05-05 00:00:00 |  |  |  |  | Yes |  | Good |  | Yes |  | 1 |  |  | 1 | 1 | 1 |  |  |  | 1
 | Hollywood Marine Inc. | [NAME] | Global Products | 1999-05-05 00:00:00 |  |  |  |  | Yes |  | Good |  | Yes |  | 1 |  |  | 1 | 1 | 1 |  |  |  | 1
 | Intercontinental Terminals Company | [NAME] | Global Products | 1999-05-05 00:00:00 | 1999-05-12 00:00:00 | No | No | Self-assessment CMA form | Yes |  |  |  |  |  | 1 |  |  | 1 | 1
 | [NAME] Marine | [NAME] | Global Products | 1999-05-05 00:00:00 | 1999-05-19 00:00:00 | No | No | Letter |  |  |  |  |  |  | 1
 | Lake River Corporation | [NAME] | Global Products | 1999-05-05 00:00:00 | 1999-06-01 00:00:00 | No | No | Survey (CMA Form) | Yes |  | Good |  | Yes |  | 1 |  |  | 1 | 1 | 1 |  |  |  | 1
 | Paktank Corporation | [NAME] | Global Products | 1999-05-05 00:00:00 |  |  |  |  | Yes |  | Good |  | Yes |  | 1 |  |  | 1 | 1 | 1
 | PB&S Chemical Company, Inc. | [NAME] | Global Products | 1999-05-05 00:00:00 | 1999-05-24 00:00:00 | No | Yes | Letter |  |  |  |  |  |  | 1
 | Peabody Coal Sales | [NAME] | Global Products | 1999-07-08 00:00:00 |  |  |  |  |  |  |  |  |  |  | 1
 | Puerto Rico Electric Power Authority (PREPA) | [NAME] | Global Products | 1999-06-06 00:00:00 |  |  |  |  |  |  |  |  |  |  | 1
 | Sabic Americas, Inc. | [NAME] | Global Products | 1999-05-05 00:00:00 |  |  |  |  |  |  |  |  |  |  | 1
 | Sovcomflot AKP | [NAME] | Global Products | 1999-04-30 00:00:00 |  |  |  |  |  |  |  |  |  |  | 1
 | Statia Terminals N.V. | [NAME] | Global Products | 1999-05-05 00:00:00 | 1999-06-15 00:00:00 | No | No | Letter |  |  |  |  |  |  | 1
 | Stolt Parcel Tankers Inc. | [NAME] | Global Products | 1999-05-05 00:00:00 |  |  |  |  |  |  |  |  |  |  | 1
 | Trinidad & Tobago Methanol Company | [NAME] | Global Products | 1999-05-05 00:00:00 |  |  |  |  |  |  |  |  |  |  | 1
 | Union Pacific Railroad Company | [NAME] | Global Products | 1999-05-05 00:00:00 | 1999-05-24 00:00:00 | No | No | Letter and disclosure |  |  |  |  |  |  | 1
 |  |  | Global Products Total
 | Central and Southwest Corporation | [NAME] | Power - US | 1999-06-03 00:00:00 | 1999-06-23 00:00:00 | No | No | Letter |  |  |  |  |  |  | 1
 | Central Power and Light Company | [NAME] | Power - US | 1999-06-03 00:00:00 |  |  |  |  |  |  |  |  |  |  | 1
 | City of Glendale | [NAME] | Power - US | 1999-06-03 00:00:00 |  |  |  |  |  |  |  |  |  |  | 1
 | City of Pasadena | [NAME] | Power - US | 1999-06-03 00:00:00 |  |  |  |  |  |  |  |  |  |  | 1
 | Clark Public Utilities | [NAME] | Power - US | 1999-06-23 00:00:00 |  |  |  |  |  |  |  |  |  |  | 1
 | Jacksonville Electric Authority | [NAME] | Power - US | 1999-06-03 00:00:00 | 1999-06-15 00:00:00 | No | No | Letter | Yes |  | Satisfactory |  |  |  | 1 |  |  | 1 | 1 |  | 1
 | Omaha Public Power District | [NAME] | Power - US | 1999-06-03 00:00:00 |  |  |  |  |  |  |  |  |  |  | 1
 | Sacramento Municipal Utility District | [NAME] | Power - US | 1999-06-06 00:00:00 |  |  |  |  |  |  |  |  |  |  | 1
 | The Energy Authority, Inc. | [NAME] | Power - US | 1999-06-06 00:00:00 |  |  |  |  |  |  |  |  |  |  | 1
 | Wisconsin Electric Power Company | [NAME] | Power - US | 1999-06-06 00:00:00 | 1999-06-23 00:00:00 | No | No | Letter | Yes |  | Satisfactory |  |  |  | 1 |  |  | 1 | 1 |  | 1
 |  |  | Power - US Total
 |  |  | Grand Total