Enron Corp. - University of California | Office of The President

1016.2 This claim is brought pursuant to §12(a)2 of the 1933 Act against Deutsche Bank
Securities Inc. fka Deutsche Banc Alex. Brown, CIBC World Markets Corp., CIBC World Markets
plc, Pershing LLC fka Donaldson, Lufkin & Jenrette Securities Corp., Salomon, Salomon
International, Barclays Capital, Inc., Lehman Brothers Inc., Credit Suisse First Boston Corp., Banc
of America Securities LLC, and JPMSI. This claim is also brought pursuant to §15 of the 1933 Act
against Deutsche Bank AG, Credit Suisse First Boston (USA), Inc. fka Donaldson Lufkin & Jenrette,
Inc., CitiGroup, Inc., Barclays PLC, Lehman Brothers Holding, Inc., Bank of America Corp.,
Canadian Imperial Bank of Commerce and J.P. Morgan Chase & Co. Defendants Deutsche Bank
AG, Credit Suisse First Boston (USA), Inc. fka Donaldson Lufkin & Jenrette, Inc., CitiGroup, Inc.,
Barclays PLC, Lehman Brothers Holding, Inc., Bank of America Corp., Canadian Imperial Bank of
Commerce and J.P. Morgan Chase & Co. controlled each of their respective subsidiaries and
affiliates.
1016.3 Plaintiffs assert negligence claims in this Claim for Relief.
1016.4 Plaintiffs or members of the Class purchased the following securities from the
underwriters/initial purchasers identified below.
Date Issuer Security
09/23/99 Osprey Trust
Osprey I, Inc.
11/15/99 Yosemite Securities
Trust I
02/15/00 Yosemite Securities
Co. Ltd.
$1,400,000,000 8.31%
Senior Secured Notes due 03
$750,000,000 8.25% Series
1999-A Linked Enron
Obligations (LEOs) due
11/15/04
£200,000,000 8.75% Series
2000-A Linked Enron
Obligations due 07
- 637 -
Underwriter/
Initial Purchaser
Deutsche Bank,
Donaldson, Lufkin &
Jenrette and Salomon
Salomon
Salomon International
and Barclays Capital