SEC Info  
  Home     Search     My Interests     Help     Sign In     Please Sign In  

Refco Finance Inc, et al. ˇ 8-K ˇ For 9/15/06 ˇ EX-10

Filed On 9/18/06 6:01am ET   ˇ   SEC Files 1-32604, 333-119701, -23   ˇ   Accession Number 1341004-6-2546

  in   Show  and 
  As Of               Filer                 Filing     As/For/On Docs:Pgs              Issuer               Agent

 9/18/06  Refco Finance Inc                 8-K{1,9}    9/15/06    2:87                                     Skadden/FA
          Refco Inc
          Refco Group Ltd/LLC

Current Report   ˇ   Form 8-K
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 8-K         Current Report                                      HTML     21K 
 2: EX-10       Exhibit 10.1 - Plan Support Agreement                 83    239K 


EX-10   ˇ   Exhibit 10.1 - Plan Support Agreement
Exhibit Table of Contents

Page (sequential) | (alphabetic) Top
 
11st Page
"Plan Support Agreement
45Additional Committee
"Additional RCM Claim
"Anticipated Professional Claims
"Bankruptcy Court
"Credit Agreement
"Debtors
46Excess Claims
"FXA Unsecured Claims
"Global Plan
"Indenture
47Lender Settlement Order
"Non-Debtor Affiliates
48Penalty Claims
"Petition Date
"Plan Effective Date
"Rcm
"RCM BAWAG Proceeds
"RCM Projected Number
49RCM Trustee
"RCM Wind Down Reserve
"RGL BAWAG Proceeds
"RGL Plan Committee
50RGL Unsecured Claims
"Rogers Funds
76Participating Parties
EX-101st Page of 83TOCTopPreviousNextBottomJust 1st
Exhibit 10.1 EXECUTION VERSION PLAN SUPPORT AGREEMENT PLAN SUPPORT AGREEMENT (this "Agreement"), dated September 14, 2006, by and among (i) the Official Committee of Unsecured Creditors of Refco Inc., et al. (the "Official Committee"); (ii) the Additional Committee of Unsecured Creditors of Refco Inc., et al. (the "Additional Committee"); (iii) the chapter 11 trustee (the "RCM Trustee") in his capacity as chapter 11 trustee for Refco Capital Markets Ltd. ("RCM"); (iv) Refco Inc. and affiliated debtors in possession (the "Debtors"); (v) non-debtor affiliates of Refco Inc. that are controlled, directly or indirectly, by Refco Inc. (the "Non-Debtor Affiliates"); (vi) each of the individual customers and creditors of RCM that are signatories hereto on or become signatories after the date hereof (the "RCM Creditors"); (vii) each of the individual creditors of the Debtors or Refco, LLC ("LLC") that are signatories hereto on or become signatories after the date hereof (the "Refco Creditors" and, together with the Official Committee, the Additional Committee, the RCM Trustee, the Debtors, the Non-Debtor Affiliates, and the RCM Creditors, the "Parties"); and (viii) solely for purposes of clauses (ii) and (iii) of Section 4, clause (vi) of Section 6 and clause (iii) of Section 7 and for no other purpose, the chapter 7 trustee (the "LLC Trustee") for LLC in his capacity as chapter 7 trustee for LLC; WHEREAS, RCM and the Debtors filed petitions for relief under chapter 11 of the United States Bankruptcy Code (as amended, the "Bankruptcy Code") beginning on October 17, 2005, with the United States Bankruptcy Court for the Southern District of New York (the "Bankruptcy Court"); WHEREAS, the Official Committee was appointed by the United States Trustee in the chapter 11 cases of the Debtors (the "Chapter 11 Cases") on October 28, 2005, and was reconstituted on March 29 and July 21, 2006; WHEREAS, by Order dated April 13, 2006, the Bankruptcy Court appointed Marc S. Kirschner as the RCM Trustee; WHEREAS, on August 3, 2006, the U.S. Trustee filed Notices of Bifurcation of Official Committee of Unsecured Creditors by Further Reconstitution And Amended Appointment, further reconstituting the Official Committee and establishing the Additional Committee; WHEREAS, the RCM Trustee entered into (i) a settlement agreement with certain customers and creditors of RCM dated as of June 29, 2006 (as amended and in effect from time to time, the "RCM Settlement Agreement"); and (ii) a settlement agreement with Rogers Raw Materials Fund, L.P. and Rogers International Raw Materials Fund, L.P. (the "Rogers Funds") dated as of July 20, 2006 (the "Rogers Settlement Joinder," and, together with the RCM Settlement Agreement, the "RCM Settlement"); WHEREAS, the Parties have negotiated that certain "Summary Terms Of Global Chapter 11 Plan for Refco Inc., et al. (the "Global Term Sheet," a copy of which
EX-102nd Page of 83TOC1stPreviousNextBottomJust 2nd
is annexed hereto as Exhibit A) for a proposed global chapter 11 plan for the Debtors and RCM (the "Global Plan"); WHEREAS, the Parties now seek to enter into this Agreement to memorialize their support for the Global Plan, subject to the terms hereof and the Global Term Sheet; NOW THEREFORE, in consideration of the promises and the mutual covenants and agreements set forth herein, the Parties hereby agree as follows: 1. Support of Global Plan. Provided that the terms and conditions of the Plan Documents (as defined below) are consistent with the Global Term Sheet and all other terms and conditions of this Agreement have been satisfied or waived, then: i. the Debtors and the RCM Trustee and, to the extent that the Official Committee, the Additional Committee, or both, elect to do so before the hearing before the Bankruptcy Court on the adequacy of the disclosure statement (the "Disclosure Statement") for the Global Plan, the Official Committee, the Additional Committee, or both, will act as the co-proponents (the "Co-Proponents") of the Global Plan; ii. each Party shall refrain from proposing or supporting any chapter 11 plan for the Debtors other than the Global Plan; and iii. no Party will object to the Global Plan or take any action directly or indirectly inconsistent with the terms and conditions of this Agreement or that would unreasonably delay confirmation or consummation of the Global Plan or approval of the Disclosure Statement. Upon the execution and delivery of this Agreement by the Debtors, the Non-Debtor Affiliates, the Official Committee, the Additional Committee, those RCM Creditors listed on Schedule 1, and the Refco Creditors consisting of D.E. Shaw Laminar Portfolios, L.L.C. and Esopus Creek Advisors LLC (collectively, the "Requisite Parties"), the Co-Proponents will file a copy of this Agreement with the Bankruptcy Court. 2. Preparation and Filing of Global Plan. The Co-Proponents, in consultation with the other Parties, shall pursue the preparation and filing with the Bankruptcy Court of all documents necessary or appropriate for the Global Plan (the "Plan Documents") in a manner that is consistent with the terms and conditions set forth in the Global Term Sheet. 3. Confirmation and Consummation of Global Plan. The Co-Proponents shall use their reasonable best efforts to seek the confirmation and consummation of the Global Plan and its effectiveness in accordance with the terms and conditions set forth in the Global Term Sheet in a manner that satisfies each of the deadlines set forth in the Global Term Sheet and the RCM Settlement (unless such terms, conditions or deadlines are waived, extended or modified in accordance with the Global Term Sheet and the RCM Settlement Agreement, as applicable). 2
EX-103rd Page of 83TOC1stPreviousNextBottomJust 3rd
4. Provisions Concerning the Lenders and the LLC Trustee. Clause (i) of this Section shall be effective immediately upon the execution of this Agreement by the Requisite Parties and those RCM Creditors constituting a Super Majority (as defined in the RCM Settlement Agreement). Clauses (ii) and (iii) of this Section shall be immediately effective upon execution of this Agreement by the LLC Trustee. i. The Parties irrevocably confirm that, if the Order substantially and in all material respects in the form attached hereto as Exhibit B (with such changes thereto that are not materially adverse to the Co-Proponents, the RCM Creditors or the Refco Creditors or are otherwise reasonably acceptable to the Parties, the "Lender Settlement Order"), approving the settlement and compromise pursuant to Rule 9019 of the Bankruptcy Rules of certain controversies and disputes under the Credit Agreement dated as of August 5, 2004, as amended (the "Credit Agreement"), among inter alia certain of the Debtors, Bank of America, N.A. as administrative agent (in its capacity as such, the "Agent") and the lenders (the "Lenders") from time to time party thereto, is entered by the Bankruptcy Court, then the Parties will be irrevocably bound by all of the terms and conditions of the Lender Settlement Order (including, without limitation, the releases of the Agent and the Lenders and related injunctions contained therein), in each case regardless of whether any Global Plan or any other plan or plans are agreed upon or confirmed in the chapter 11 cases of the Debtors or RCM or any of such cases is converted to chapter 7. The Co-Proponents further irrevocably agree, if the Lender Settlement Order is entered, to use their reasonable best efforts to ensure that any plan confirmed in the chapter 11 cases of the Debtors or RCM is a Qualifying Plan (as defined in the Lender Settlement Order). Furthermore, the Parties irrevocably agree not to (A) object to the entry of the Lender Settlement Order or, if the Lender Settlement Order is entered, the provisions set forth in paragraph 10 of the Lender Settlement Order to the extent that those provisions are contained in any plan proposed in the Chapter 11 Cases, or (B) if the Lender Settlement Order is entered, propose any plan in the Chapter 11 Cases that does not contain the provisions of paragraph 10 of the Lender Settlement Order. The obligations of the Parties under this paragraph (i) shall terminate if the Lender Settlement Order ceases to be in effect pursuant to paragraph 16 thereof. ii. The LLC Trustee shall use his reasonable best efforts to file objections, if appropriate, by September 15, 2006, to (A) the ten largest timely-filed claims against LLC excluding claims identified on the Schedule 2 (the "LLC Claims Schedule") attached hereto and (B) any unliquidated timely-filed claims against LLC excluding claims identified on the LLC Claims Schedule. In addition, on or before 10 days after receipt by the LLC Trustee from the RCM Trustee of a list 3
EX-104th Page of 83TOC1stPreviousNextBottomJust 4th
(the "RCM Non-Signatory List") identifying any claims on the LLC Claims Schedule as to which in the RCM Trustee's opinion the LLC Trustee will not be receiving an executed LLC Claim Subordination and Waiver (an "LLC Claim Subordination and Waiver") satisfactory to the LLC Trustee in the form attached hereto as Exhibit C, the LLC Trustee shall use his reasonable best efforts to file objections, if appropriate, to such claims. iii. The LLC Trustee shall use his reasonable best efforts to file, by September 15, 2006, (A) a stipulation allocating the proceeds of the sale of the Debtors' regulated commodity broker businesses if, on or before September 14, 2006, the Co-Proponents and the LLC Trustee have agreed to the stipulation, and (B) a motion to pay the amounts owed to Refco Capital LLC related to loans from Refco Capital LLC to Refco LLC Customers. 5. Conditions. The effectiveness of the remaining provisions of this Agreement shall be subject to the following conditions precedent, all of which shall have occurred on or prior to September 14, 2006: i. this Agreement shall have been executed by the Requisite Parties; ii. the RCM Trustee shall have modified the proposed order (such modification being herein called the "RCM Settlement Order Modification") approving the RCM Settlement Agreement to include the provision set forth on Exhibit D; and iii. subject to the LLC Trustee's right to object to the RCM Settlement as preserved under clause (iii) of Section 7, each of the Parties that filed or joined in an objection with respect to the pending motions for approval of the RCM Settlement shall have rested on the pleadings filed, without oral argument other than in response to questions from the Bankruptcy Court, and without the adducing of evidence, for purposes of the Bankruptcy Court hearing scheduled to commence on September 14, 2006, seeking an order or orders approving the RCM Settlement as contemplated by ss. 14(b)(iv) of the RCM Settlement Agreement (the "Initial Approval Order"). 6. Covenants. The Parties make the following covenants as applicable to them: i. each of the Co-Proponents shall (a) support entry of the order or orders approving the stipulation and motion referred to in clause (iii) of Section 4 and (b) take all reasonable steps necessary to meet the deadlines contemplated by this Agreement and in the Global Term Sheet; 4
EX-105th Page of 83TOC1stPreviousNextBottomJust 5th
ii. each of the Parties negotiating the terms and other provisions of the Plan Documents shall negotiate in good faith; iii. each of the Parties shall forbear from asserting or supporting the assertion by others of inter-company and other claims against other Parties to this Agreement to be resolved as contemplated by the Global Term Sheet, and shall cease all litigation preparation for and prosecution of any such claims and all inter-company and related forensic analysis, except as may be necessary to prepare for the confirmation hearing on the Global Plan; iv. the RCM Trustee and the RCM Creditors shall not amend the RCM Settlement in any manner inconsistent with this Agreement or the Global Term Sheet exclusive of extending deadlines in the RCM Settlement; v. the RCM Trustee shall use his reasonable best efforts to enter into arrangements satisfactory to himself and the LLC Trustee, including the provision of any agreed indemnification, to enable the LLC Trustee to set reserves with respect to any claims filed against LLC by the Rogers Funds, or any of their affiliates, or any entities claiming derivatively or for the same or similar claims (collectively, the "Rogers Claims"), at no more than $75 million (if acceptable to the LLC Trustee) for purposes of facilitating LLC's distributions to the Debtors as contemplated by the Global Term Sheet, subject to the right of the Rogers Funds to challenge any such arrangements as preserved under clause (iii) of Section 7; vi. the LLC Trustee shall use his reasonable best efforts to conclude litigation in the Bankruptcy Court over allowance and amount, if any, of the Rogers Claims against LLC on or prior to October 15, 2006; vii. If at any time the RCM Creditors constitute the Super Majority (as defined in the RCM Settlement Agreement), then, on the earlier to occur of the date of entry of the Lender Settlement Order and one business day prior to the hearing before the Bankruptcy Court seeking an order or orders contemplated by ss.14(c)(ii) of the RCM Settlement Agreement (the "Final Approval Order"), (A) each of the Parties that filed objections with respect to the pending motions for approval of the RCM Settlement will withdraw such objections, (B) each of the Debtors, the Official Committee and the Additional Committee shall support the Final Approval Order other than for any ownership disputes arising out of the Rogers Claims as to securities deposited by the Rogers Funds and (C) each of the Refco Creditors shall not object to such approval; 5
EX-106th Page of 83TOC1stPreviousNextBottomJust 6th
viii. the RCM Trustee shall provide the RCM Non-Signatory List to the LLC Trustee on or prior to September 26, 2006; and ix. the RCM Trustee shall not (a) except with respect to claims for which specific reserves were established in the Initial Order and for any ownership disputes arising out of the Rogers Claims as to securities deposited by the Rogers Funds, commence the hearing before the Bankruptcy Court seeking the Final Approval Order prior to October 3, 2006, or (b) make any distributions to pre-petition creditors or customers of RCM on account of their prepetition claims against RCM prior to December 1, 2006. 7. Other Agreements and Reservations. i. Each RCM Creditor other than the Rogers Funds agrees to execute and deliver to the LLC Trustee an LLC Claim Subordination and Waiver. ii. Each RCM Creditor agrees to (a) elect to receive its pro rata share of the proceeds, contemplated by the Global Term Sheet, of the RCM BAWAG Proceeds (as defined in the Global Term Sheet), and (b) upon tender to it of a certificate or certificates evidencing its interest or interests in the Private Action Trust contemplated by the Global Term Sheet, contribute its private Refco related causes of action to the Private Actions Trust. iii. Nothing contained in this Agreement (a) except as provided in clause (i) of Section 4, prevents any Party from objecting to the exculpation provisions of the Global Plan in favor of any person for the person's acts or omissions during the course of the Debtors' and RCM's bankruptcy cases, (b) imposes any duty on the LLC Trustee to agree to any arrangements to lower the reserves at LLC with respect to the Rogers Claims as contemplated by clause (v) of Section 6, (c) prevents the Rogers Funds from challenging any lowered reserves with respect to the Rogers Claims that may be sought to be established at LLC as contemplated by clause (v) of Section 6, (d) otherwise prejudices the claims or rights of the Rogers Funds with respect to the Rogers Claims, (e) impairs the LLC Trustee's right to object to any aspect of the RCM Settlement or the Global Plan that purports to resolve any of the Rogers Claims against RCM or the RGL Debtors, or purports to allocate any securities or cash (or proceeds thereof) in which the Rogers Funds have asserted an interest, without a release of all claims that the Rogers Funds may assert against LLC or other resolution of the Rogers Claims acceptable to the LLC Trustee or (f) except as provided in clause (vii) of Section 6, impairs the right of any Party who has filed or joined in an objection to the RCM Settlement to appeal from the 6
EX-107th Page of 83TOC1stPreviousNextBottomJust 7th
Initial Approval Order or to maintain its objection or joinder to an objection to any and all orders approving the RCM Settlement. iv. Neither the execution or delivery of this Agreement by any Party nor the occurrence of any Cause (as defined in Section 8) shall constitute any ground to challenge the Initial Approval Order or any other Order or Orders of the Bankruptcy Court approving the RCM Settlement Agreement. 8. Withdrawal. Any Party may, subject to Section 9, withdraw from this Agreement without recourse for Cause (as defined below) effective upon providing written notice thereof to counsel to each of the Debtors, the Official Committee, the Additional Committee and the RCM Trustee, provided that such Cause was not the result of such Party's own act or omission. "Cause" shall mean: i. any covenant or other material term or provision of this Agreement shall have been breached in any material respect by any Party and (A) the breach shall not have been cured within five business days following notice by any Party to all of the other Parties of the breach or (B) within such five-business day period one or more of the Co-Proponents shall not have commenced an action against the breaching Party for specific performance of this Agreement; ii. the action against the breaching party referred to in clause (i)(B) shall be dismissed or shall not be resolved in favor the plaintiff Co-Proponent or Co-Proponents within ten business days after having been commenced; iii. on or prior to September 15, 2006, (A) the Bankruptcy Court shall not have issued the Initial Approval Order, or (B) the Global Plan and Disclosure Statement shall not have been filed with the Bankruptcy Court; iv. on or prior to September 19, 2006, (A) this Agreement shall not have been executed by the Super Majority (as defined in the RCM Settlement Agreement), or (B) the LLC Trustee shall not have received an executed LLC Claim Subordination and Waiver satisfactory to the LLC Trustee, for purposes of facilitating LLC's distributions to the Debtors as contemplated by the Global Term Sheet, from the holders of at least the Super Majority (as defined in the RCM Settlement Agreement but excluding the Rogers Funds for purposes of determining the Super Majority if the Bankruptcy Court has by then approved the Rogers Settlement Joinder); v. on or prior to September 27, 2006, the Lender Settlement Order shall not have been issued by the Bankruptcy Court; 7
EX-108th Page of 83TOC1stPreviousNextBottomJust 8th
vi. on or prior to October 5, 2006, an Order allocating the BAWAG Proceeds (as defined in the Global Term Sheet), as contemplated by the Global Term Sheet, shall not have been issued by the Bankruptcy Court; vii. on or prior to October 16, 2006, (A) the Bankruptcy Court shall not have issued the Final Approval Order other than for those claims for which specific reserves were established under the Initial Approval Order, (B) the "Payment Date" under and as defined in the Lender Settlement Order shall not have occurred, (C) the Disclosure Statement shall not have been approved by the Bankruptcy Court, or (D) the Disclosure Statement, if approved on or prior to October 16, 2006, shall refer to and be accompanied by a plan that is either (1) not consistent with the terms and conditions set forth in the Global Term Sheet, or (2) adds one or more terms that materially reduce the economic return or the timing of the economic return reasonably anticipated by RCM Creditors or the Refco Creditors under the Global Plan; viii. on or prior to December 15, 2006, the Global Plan shall not have been confirmed by the Bankruptcy Court; or ix. on or prior to December 31, 2006, the Effective Date of the Global Plan shall not have occurred. 9. Effect of Withdrawal. In the event of a Party's withdrawal from this Agreement, neither the existence (including any term or provision) of this Agreement, the Global Term Sheet, the Global Plan, the Disclosure Statement, nor any related documents may be deemed, asserted, or construed as an admission or evidence of any issue. The provisions of Section 4 applicable to a withdrawing Party, and any of this Section and Sections 10 through 22 to the extent relating to Section 4, shall survive the Party's withdrawal, but no other rights or obligations of the withdrawing Party shall survive the withdrawal. 10. Remedies; Specific Performance. If a Party breaches any covenant or other term or provision of this Agreement, the Party shall not be liable for money damages. This Agreement, including, without limitation, the Parties' agreement herein to support the Global Plan and to facilitate its confirmation and consummation as provided herein, is intended as a binding commitment enforceable in accordance with its terms. It is understood and agreed by each of the Parties hereto that (i) money damages would not be a sufficient remedy for any breach of this Agreement by any Party and in any event is not a remedy available under this Agreement, (ii) each non-breaching Party shall be entitled to specific performance and injunctive or other equitable relief as a remedy of any such breach, and (iii) the right to withdraw from this Agreement is a cumulative remedy to specific performance so long as such Party has not withdrawn from this Agreement. 8
EX-109th Page of 83TOC1stPreviousNextBottomJust 9th
11. No Solicitation. This Agreement is not and shall not be deemed to be a solicitation for votes in favor of any chapter 11 plan for the Debtors. No votes for any chapter 11 plan shall be solicited except in accordance with the terms and conditions of a disclosure statement that has been approved by the Bankruptcy Court. 12. Further Disposition or Acquisition of Claims. This Agreement shall in no way be construed to preclude any Party from disposing of or acquiring claims against the Debtors, RCM or LLC. However, as a condition to any claim being disposed of, the transferee of the claim shall execute and deliver to the Co-Proponents a writing in form and substance satisfactory to the Co-Proponents to the effect that the transferee is bound by the terms of this Agreement or the disposition shall be void, and any claim acquired by a Party shall automatically be subject to all of the terms of this Agreement. 13. Notices. All notices, requests, elections, and demands under or in connection with this Agreement shall be in writing and shall be delivered by hand, sent by recognized overnight courier, or sent by facsimile or similar electronic means to the party as set forth under its signature hereto, or to such other address or facsimile number as such party shall provide to all other parties hereto in writing, and shall be deemed sent or given hereunder, in the case of personal delivery or delivery by recognized overnight courier, on the date of actual receipt, and in the case of transmission by facsimile or similar electronic means, on the date of actual transmission. 14. Entire Agreement. This Agreement and the Global Plan Term Sheet (the provisions of which are expressly incorporated herein) constitute the entire agreement among the Parties as to the subject matter hereof and supersede all prior and contemporaneous agreements, representations, warranties, and understandings of the parties, whether oral, written, or implied, as to the subject matter hereof. 15. Modification; Waiver. No modification or amendment of this Agreement shall be binding unless executed in writing by (a) the Debtors, (b) the Official Committee, (c) the Additional Committee, (d) the RCM Trustee, (e) the RCM Creditors holding at least 75% in amount of the claims of all RCM Creditors at such date, (f) the Refco Creditors constituting Bondholders (as such term is defined in the Global Term Sheet), holding a majority in amount of the claims of all such Refco Creditors at such date and (g) the Refco Creditors, exclusive of the Indenture Trustee (as such term is defined in the Global Term Sheet) and Bondholders, holding 75% in amount of the claims of all Refco Creditors, exclusive of the Indenture Trustee and Bondholders, at such date. However, (i) the consent of an RCM Creditor or Refco Creditor that holds a claim of a particular class or type is required if the modification or amendment treats the claim in a different manner than a claim that another RCM Creditor or Refco Creditor holds of that class or type, (ii) the consent of the Super Majority (as defined in the RCM Settlement Agreement) is required if the RCM Creditors constitute a Super Majority and the modification or amendment would materially reduce the economic return reasonably anticipated by the RCM Creditors under the Global Plan, and (iii) the consent of the Lenders and the Agent is required to modify or amend clause (i) of Section 4, or any of this Section, Sections 9 through 14 or Sections 16 through 22 to the extent that the Section relates to clause (i) of Section 4. No waiver of any of the provisions 9
EX-1010th Page of 83TOC1stPreviousNextBottomJust 10th
of this Agreement shall be deemed or constitute a waiver of any other provision, whether or not similar, nor shall any waiver constitute a continuing waiver. No waiver shall be binding unless executed in writing by the Party making the waiver. 16. Third-Party Beneficiaries. The Lenders and the Agent are third party beneficiaries of clause (i) of Section 4, and of this Section, Sections 9 through 15 and Sections 17 through 22 to the extent that the Section relates to clause (i) of Section 4, without the consent of the Lenders and the Agent. Except for such rights of the Lenders and the Agent as third party beneficiaries, nothing contained in this Agreement shall confer any rights or remedies under or by reason of this Agreement on any person or entity other than the Parties hereto, nor shall anything in this Agreement relieve or discharge the obligation or liability of any third party to any Party to this Agreement. 17. Successors And Assigns. This Agreement shall be binding upon, and shall inure to the benefit of, each Party hereto and their respective legal representatives, successors, and assigns, including (in the case of any estate representative, any successor representative, whether in chapter 11 or chapter 7 of the Bankruptcy Code). 18. Headings. The descriptive headings of the several sections of this Agreement are inserted for convenience of reference only and do not constitute a part of this agreement. 19. Interpretation. This Agreement is the product of negotiations among the parties, and in the enforcement or interpretation hereof, is to be interpreted in a neutral manner, and any presumption with regard to interpretation for or against any party by reason of that party having drafted or caused to be drafted this Agreement, or any portion hereof, shall not be effective in regard to the interpretation hereof. In case of a conflict between this Agreement and the Global Term Sheet, the Global Term Sheet shall govern; provided, however, that the covenants set forth in Section 6 of this Agreement shall override any inconsistent provision. 20. Counterparts; Fax Signatures. This Agreement may be executed in two or more counterparts, each of which shall be deemed an original, but all of which together shall constitute one and the same instrument. Delivery of an executed counterpart of a signature page by facsimile transmission shall be effective as delivery of a manually executed counterpart. 21. Governing Law. Except to the extent that the Bankruptcy Code or Bankruptcy Rules are applicable, the rights and obligations arising under this Agreement shall be governed by, and construed and enforced in accordance with, the laws of the State of New York applicable to contracts made and performed entirely within such state. 22. Jurisdiction. By its execution and delivery of this Agreement, each of the Parties hereto irrevocably and unconditionally agrees that any legal action, suit, or proceeding against it with respect to any dispute arising under this Agreement or 10
EX-1011th Page of 83TOC1stPreviousNextBottomJust 11th
for recognition or enforcement (including specific performance) of any judgment rendered in any such action, suit or proceeding, shall be brought in the Bankruptcy Court. By its execution and delivery of this Agreement, each of the Parties hereto irrevocably accepts and submits itself to the jurisdiction of the Bankruptcy Court for such purposes and agrees that any such legal action, suit, or proceeding shall constitute a core proceeding within the meaning of 28 U.S.C. ss. 157(b)(2). IN WITNESS WHEREOF, each of the Parties has caused this Agreement to be executed and delivered as of the date first above written. Remainder of Page Left Intentionally Blank 11
EX-1012th Page of 83TOC1stPreviousNextBottomJust 12th
[Enlarge/Download Table] SKADDEN, ARPS, SLATE, MEAGHER Non-Debtor Affiliates of REFCO & FLOM LLP INC. By: /s/ J. Gregory Milmoe ------------------------------ J. Gregory Milmoe (JGM 0919) Sally McDonald Henry (SMH 0839) Four Times Square New York, New York 10036 By: /s/ Harrison J. Goldin (212) 735-3000 ------------------------------- Name: Harrison J. Goldin Attorneys for Refco Inc. and Affiliated Debtors in Possession MARC S. KIRSCHNER, RCM ALBERT TOGUT, LLC TRUSTEE, not TRUSTEE, not individually but in his individually but in his capacity as chapter 7 capacity as chapter 11 trustee of REFCO trustee of REFCO, LLC, solely for CAPITAL MARKETS, LTD. purposes of clauses (ii) and (iii) of Section 4, clause (vi) of Section 6 and clause (iii) of Section 7 and for no other purpose By: /s/ Marc S. Kirschner ------------------------------ By: /s/ Albert Togut, as Trustee ----------------------------- Name: Marc S. Kirschner, Trustee ------------------------------ Name: ---------------------------- MILBANK, TWEED, HADLEY & McCLOY LLP KASOWITZ, BENSON, TORRES & FRIEDMAN LLP By: /s/ Susheel Kirpalani --------------------------------- Luc A. Despins (LD 7543) By: /s/ David S. Rosner Susheel Kirpalani (SK 8926) --------------------------- Dennis C. O'Donnell (DO 3648) David S. Rosner (DR-4214) Andrew M. Leblanc (AL 8935) Andrew K. Glenn (AG-9934) 1 Chase Manhattan Plaza Howard W. Schub (HS-1600) New York, New York 10005-1413 Jeffrey R. Gleit (JG-8710) Tel: (212) 530-5000 Daniel A. Fliman (DF-2236) 1633 Broadway Attorneys for Official Committee of New York, New York 10019 Unsecured Creditors of Refco Inc., et al. Phone: 212-506-1700 Attorneys for Additional Committee of Unsecured Creditors of Refco Inc., et al.
EX-1013th Page of 83TOC1stPreviousNextBottomJust 13th
LOEB & LOEB LLP By: /s/ Walter H. Curchack ----------------------------- Walter H. Curchack (WH-3177) William M. Hawkins (WH-1865) Vadim J. Rubinstein (VR-5896) 345 Park Avenue New York, New York 10154 (212) 407-4000 Attorneys for Wells Fargo Bank, National Association, as Indenture Trustee, solely in its capacity as a member of the Official Committee STROOCK & STROOCK & LAVAN LLP STROOCK & STROOCK & LAVAN LLP By: /s/ Michael J. Sage By: /s/ Michael J. Sage ------------------------ ------------------------------ Michael J. Sage (MS 6998) Michael J. Sage (MS 6998) Gerald C. Bender (GB 5849) Gerald C. Bender (GB 5849) Joseph G. Minias (JM 6530) Joseph G. Minias (JM 6530) 180 Maiden Lane 180 Maiden Lane New York, New York 10038 New York, New York 10038 Telephone: (212) 806-5400 Telephone: (212) 806-5400 Facsimile: (212) 806-6006 Facsimile: (212) 806-6006 Attorneys for D.E. Shaw & Co., LP Attorneys for Esopus Creek Advisors
EX-1014th Page of 83TOC1stPreviousNextBottomJust 14th
CLEARY GOTTLIEB STEEN & HAMILTON LLP By: /s/ Thomas J. Moloney ------------------------- Thomas J. Moloney (TM-9775) Jane Kim One Liberty Plaza New York, New York 10006-1470 (212) 225-2000 Attorneys for Inter Financial Services, Ltd.
EX-1015th Page of 83TOC1stPreviousNextBottomJust 15th
CAPITAL MANAGEMENT SELECT FUND LTD. /s/ Vytenis Rasutis --------------------------- By: Vytenis Rasutis Title: Director Address for notices: DICKSTEIN SHAPIRO LLP Daniel M. Litt (DL-9227; admitted pro hac vice) Paul B. Bran (PB-5659; admitted pro hac vice) 1825 Eye Street, N.W. Washington, DC 20006-5403 Tel: (202) 420-3144 Fax: (202)-420-2201 Attorneys for Capital Management Select Fund Ltd.
EX-1016th Page of 83TOC1stPreviousNextBottomJust 16th
COLE, SCHOTZ, MEISEL, FORMAN & LEONARD, P.A. A Professional Corporation By: /s/ Joshua Angel ---------------------------- Joshua Angel (JA-3288) Laurence May, Esq. (LM-9714) Seth F. Kornbluth, Esq. (SK-4911) 460 Park Avenue New York, NY 10022-1906 (212) 752-8000 Attorneys for Global Management Worldwide Limited; Arbat Equity Arbitrage Fund Limited; Russian Investors Securities Limited; and Garden Ring Fund Limited
EX-1017th Page of 83TOC1stPreviousNextBottomJust 17th
SHUTTS & BOWEN LLP SHUTTS & BOWEN LLP and LARRY I. GLICK, P.C. By: /s/ Robert Fracasso ---------------------------- Robert Fracasso (RF-2538) By: Peter E. Shapiro (PES-4795) ------------------------------ 201 South Biscayne Boulevard As attorneys for Altima Capital 1500 Miami Center Management, Inc. (305) 379-9102 LARRY I. GLICK, P.C. Larry I. Glick (LG-8665) 1305 Franklin Avenue, Suite 180 Garden City, New York 11530 SHUTTS & BOWEN LLP and (516) 739-1111 LARRY I. GLICK, P.C. As attorneys for IDC Financial By: S.A.; Investment & Development ----------------------------- Finance Corp.; Oslo As attorneys for Banco Uno S.A.- International S.A.; Alfredo Panama; Banco Uno S.A.- El Skinner Klee and Alexandra Sol Salvador; Banco Uno, S.A. de Skinner-Klee; Ernesto Ruiz Nicaragua; and Banco Uno S.A.- Sinibaldi; Christian Klose Guatemala Pieters and Aida Margarita Rosales de Klose; Ballery Holdings; and Bilston International Inc. SHUTTS & BOWEN LLP and SHUTTS & BOWEN LLP and LARRY I. GLICK, P.C. LARRY I. GLICK, P.C. By: By: -------------------------------- ----------------------------- As attorneys for Servicios Generales As attorneys for INS-Bancredito Bursatiles, S.A. de C.V. Valores Puesto de Bolsa, S.A.
EX-1018th Page of 83TOC1stPreviousNextBottomJust 18th
HUGHES HUBBARD & REED LLP By: /s/ James W. Giddens ------------------------ James W. Giddens (JG-0235) James B. Kobak, Jr. (JK-1218) Christopher K. Kiplok (CK-5039) Jeffrey S. Margolin (JM-4853) One Battery Park Plaza New York, New York 10004 Telephone: (212) 837-6000 Facsimile: (212) 422-4726 Attorneys for Mrs. Josefina Franco Siller
EX-1019th Page of 83TOC1stPreviousNextBottomJust 19th
KATTEN MUCHIN ROSENMAN LLP By: /s/ Jeff J. Friedman ----------------------------- Jeff J. Friedman (JF-7661) 575 Madison Avenue New York, New York 10022-2585 Telephone: (212) 940-8800 Facsimile: (212) 940-8776 Attorneys for Lyxor/Estlander & Ronnlund Fund Ltd.; Lyxor/Beach Discretionary Fund Ltd.; and Societe Generale S.A.
EX-1020th Page of 83TOC1stPreviousNextBottomJust 20th
CHADBOURNE & PARKE LLP By: /s/ Christy L. Rivera ------------------------- Howard Seife (HS 7995) Christy L. Rivera (CR 8895) 30 Rockefeller Plaza New York, NY 10112 Tel: (212) 408-5100 Fax: (212) 408-5369 Attorneys for Carlos Sevilleja; Cosmorex, Ltd.; and Creative Finance Limited
EX-1021st Page of 83TOC1stPreviousNextBottomJust 21st
FAEGRE & BENSON LLP By: /s/ Stephen M. Mertz -------------------------- Michael B. Fisco (#175341) Stephen M. Mertz (#212131) Abby E. Wilkinson (#0313981) 2200 Wells Fargo Center 90 South Seventh Street Minneapolis, MN 55402-3901 Telephone: (612) 766-7000 Facsimile: (612) 766-1600 Attorneys for Cargill Financial Services Corporation; Cargill Global Funding PLC; Cargill, Incorporated; and Cargill Meat Solutions Corporation (formerly Excel Corporation)
EX-1022nd Page of 83TOC1stPreviousNextBottomJust 22nd
EVEREST ASSET MANAGEMENT INC. /s/ Peter Lamoureux --------------------------- By: Peter Lamoureux Title: President Address for notices: HENDERSON & LYMAN Douglas E. Arend 175 West Jackson Boulevard Suite 240 Chicago, IL 60604 Tel: (312) 986-6960 Fax: (312) 986-6960 Attorneys for Everest Asset Management Inc.
EX-1023rd Page of 83TOC1stPreviousNextBottomJust 23rd
SIDLEY AUSTIN LLP By: /s/ Guy S. Neal ------------------- Guy Neal 1501 K Street, N.W. Washington, D.C. 20005 Tel: (202) 736-8041 Fax: (202) 736-8711 Brian Krakauer One South Dearborn Street Chicago, IL 60603 Tel: (312) 853-7515 Fax: (312) 853-7036 Attorneys for Rogers Raw Materials Fund, L.P. and Rogers International Raw Materials Fund, L.P.
EX-1024th Page of 83TOC1stPreviousNextBottomJust 24th
HOGAN & HARTSON L.L.P. By: /s/ Ira S. Greene ---------------------- Ira S. Greene (IG-2315) Scott A. Golden (SG-6663) 875 Third Avenue New York, NY 10022 Telephone: (212) 918-3000 Facsimile: (212) 918-3100 Attorneys for Premier Bank International N.V. and Banco de Hipotecario de Inversion Turistica de Venezuela as trustee of Fideicomiso Federal Forex Investment
EX-1025th Page of 83TOC1stPreviousNextBottomJust 25th
CHADBOURNE & PARKE LLP By: /s/ Joseph H. Smolinsky --------------------------- Joseph H. Smolinsky (JS-8408) 30 Rockefeller Plaza New York, NY 10112 Tel: (212) 408-5100 Fax: (212) 408-5369 Attorneys for Markwood Investments Ltd.
EX-1026th Page of 83TOC1stPreviousNextBottomJust 26th
EXECUTION VERSION SCHEDULE 1 RCM CREDITORS Inter Financial Services, Ltd. Capital Management Select Fund Ltd. Global Management Worldwide Limited Arbat Equity Arbitrage Fund Limited Russian Investors Securities Limited Garden Ring Fund Limited VR Global Partners, L.P. Paton Holdings Ltd. VR Capital Group Ltd. VR Argentina Recovery Fund, Ltd. Mrs. Josefina Franco Siller Lyxor/Estlander & Ronnlund Fund Ltd. Lyxor/Beach Discretionary Fund Ltd. Societe Generale S.A. Carlos Sevilleja Cosmorex, Ltd. Creative Finance Limited Cargill Financial Services Corporation Cargill Global Funding PLC Cargill, Incorporated Cargill Meat Solutions Corporation (formerly Excel Corporation) Everest Asset Management Inc. Rogers Raw Materials L.P. Rogers International Raw Materials Fund, L.P.
EX-1027th Page of 83TOC1stPreviousNextBottomJust 27th
SCHEDULE 2 LLC CLAIMS SCHEDULE
EX-1028th Page of 83TOC1stPreviousNextBottomJust 28th
[Enlarge/Download Table] RCM Proofs of Claim Chart 1 Refco, LLC Potential RCM Settlement Parties Data as of: August 30, 2006 Claim Creditor Claim Amount Counsel Number -------- ------------ ------- ------ I. RCM Customers ---------------- ------------------------------------------------------------------------------------------------------------------------- 498 MULTI CREDIT BANK INC Chadbourne & Parke ------------------------------------------------------------------------------------------------------------------------- 499 LATIN AMERICA CONSULTING LTD Chadbourne & Parke ------------------------------------------------------------------------------------------------------------------------- 500 ACUROB INVESTMENT AG Chadbourne & Parke ------------------------------------------------------------------------------------------------------------------------- 501 LEBO CAPITAL MANAGEMENT LLC Chadbourne & Parke ------------------------------------------------------------------------------------------------------------------------- 502 KEYWAY INVESTMENTS LTD Chadbourne & Parke ------------------------------------------------------------------------------------------------------------------------- 503 INVESDEX CAPITAL LTD Chadbourne & Parke ------------------------------------------------------------------------------------------------------------------------- 504 INVERSIONES Y VALORES SA Chadbourne & Parke ------------------------------------------------------------------------------------------------------------------------- 505 GOREY FINANCE INC Chadbourne & Parke ------------------------------------------------------------------------------------------------------------------------- 506 GRUPO INTERBOLSA SA Chadbourne & Parke ------------------------------------------------------------------------------------------------------------------------- 507 GLOBAL OARTNERS EMERGING MARKETS SA Chadbourne & Parke ------------------------------------------------------------------------------------------------------------------------- 508 FONDO COMUN CASA DE BOLSA CA Chadbourne & Parke ------------------------------------------------------------------------------------------------------------------------- 509 DUFIL INVESTMENT SA Chadbourne & Parke ------------------------------------------------------------------------------------------------------------------------- 510 DRESDEN DEVELOPMENT INC Chadbourne & Parke ------------------------------------------------------------------------------------------------------------------------- 511 DOVER COMMODITIES CORPORATION Chadbourne & Parke ------------------------------------------------------------------------------------------------------------------------- 512 COSMOREX LTD Chadbourne & Parke ------------------------------------------------------------------------------------------------------------------------- 513 CLAU CORPORATION CLAU CORPORATION OVERSEAS LTD Chadbourne & Parke ------------------------------------------------------------------------------------------------------------------------- 514 BANESCO HOLDING CA (SEE NOTES) Chadbourne & Parke ------------------------------------------------------------------------------------------------------------------------- 515 AFC ALMIRON ALMIRON FIANCE CORPORATION Chadbourne & Parke ------------------------------------------------------------------------------------------------------------------------- 516 ARCADIA HILL INC Chadbourne & Parke ------------------------------------------------------------------------------------------------------------------------- 517 LA PRIMERA CASA DE BOLSA CA (SEE NOTES) Chadbourne & Parke ------------------------------------------------------------------------------------------------------------------------- 518 NBK INVESTMENT LTD Chadbourne & Parke ------------------------------------------------------------------------------------------------------------------------- 519 TWOKAY HOLDING INC Chadbourne & Parke ------------------------------------------------------------------------------------------------------------------------- 520 WISDOM GLOBAL INVESTMENT LTD Chadbourne & Parke ------------------------------------------------------------------------------------------------------------------------- 521 UNION HOLDING COMPANY INC Chadbourne & Parke ------------------------------------------------------------------------------------------------------------------------- 522 TRANS-EUROPA TRANSLATIONS NETWORK LTD Chadbourne & Parke ------------------------------------------------------------------------------------------------------------------------- 523 TOTALBANK CURACAO NV Chadbourne & Parke ------------------------------------------------------------------------------------------------------------------------- 524 BRADLEY C REIFLER Chadbourne & Parke ------------------------------------------------------------------------------------------------------------------------- 525 CARLOS ALBERTO NAGEL MARKOVIC Chadbourne & Parke ------------------------------------------------------------------------------------------------------------------------- 526 MISTYRISE INTERNATIONAL LTD Chadbourne & Parke ------------------------------------------------------------------------------------------------------------------------- 527 MARKWOOD INVESTMENTS LTD Chadbourne & Parke ------------------------------------------------------------------------------------------------------------------------- 528 MULTIPLICAS CASA DE BOLSA Chadbourne & Parke ------------------------------------------------------------------------------------------------------------------------- 529 MULTI CREDIT BANK INC $71,906.00 Chadbourne & Parke ------------------------------------------------------------------------------------------------------------------------- 530 MIURA FINANCIAL SERVICES Chadbourne & Parke ------------------------------------------------------------------------------------------------------------------------- 531 INTERSEC CASA DE BOLSA CA Chadbourne & Parke ------------------------------------------------------------------------------------------------------------------------- 532 JAVIER LOPEZ AND JULIETA JURADO Chadbourne & Parke ------------------------------------------------------------------------------------------------------------------------- 533 ALTERNATIVE INVESTMENTS FUND LTD Chadbourne & Parke ------------------------------------------------------------------------------------------------------------------------- 263 ODYSSEA FUND BV $315,501.13 Halperin Battaglia Raicht, LLP ------------------------------------------------------------------------------------------------------------------------- 264 CHADWICK FOUNDATION $118,545.67 Halperin Battaglia Raicht, LLP ------------------------------------------------------------------------------------------------------------------------- 395 BANCO DE AMERICA CENTRAL SA $5,830,717.66 Hogan & Hartson ------------------------------------------------------------------------------------------------------------------------- 396 BAC INTERNATIONAL BANK INC $10,912,823.78 Hogan & Hartson ------------------------------------------------------------------------------------------------------------------------- 429 SLAYDEN TRADING COMPANY LLC $463,895.09 Jeff J. Friedman, Esq. ------------------------------------------------------------------------------------------------------------------------- 418 DEPOSITORY INC $69,877.93 Josh Angel ------------------------------------------------------------------------------------------------------------------------- 419 NEWCASTLE BUSINESS HOLDING INC $5,328,480.26 Josh Angel ------------------------------------------------------------------------------------------------------------------------- 387 PCMG TRADING PARTNERS XII LP $17,196,802.95 Katten Muchin ------------------------------------------------------------------------------------------------------------------------- 388 LYXOR/BEACH DISCRETIONARY FUND LTD $7,696,965.14 Katten Muchin ------------------------------------------------------------------------------------------------------------------------- 427 KALKHOVEN/PETTIT #2 TRADING PARTNERS LP $10,320,069.44 Katten Muchin ------------------------------------------------------------------------------------------------------------------------- 428 LYXOR/ESTLANDER & RONNLUND FUND LTD $5,029,269.03 Katten Muchin ------------------------------------------------------------------------------------------------------------------------- 426 ABADI & CO SECURITIES $41,288,820.08 Kaye Scholer ------------------------------------------------------------------------------------------------------------------------- 299 FIMEX INTERNATIONAL LIMITED N/A ------------------------------------------------------------------------------------------------------------------------- 316 MIGUEL SAUMA Shutts & Bowen ------------------------------------------------------------------------------------------------------------------------- 317 VICTOR MANUEL HOYOS Shutts & Bowen ------------------------------------------------------------------------------------------------------------------------- 246 IDS MANAGED FUTURES II LP Stephen D. Lerner, Esq. ------------------------------------------------------------------------------------------------------------------------- 490 IDS MANAGED FUND LLC $3,267,928.79 Stephen D. Lerner, Esq. ------------------------------------------------------------------------------------------------------------------------- 493 JWH GLOBAL TRUST $56,544,205.40 Stephen D. Lerner, Esq. ------------------------------------------------------------------------------------------------------------------------- 495 IDS MANAGED FUTURES LP $8,326,047.12 Stephen D. Lerner, Esq. ------------------------------------------------------------------------------------------------------------------------- 410 ROVIDA HOLDINGS LTD $31,004,999.00 White & Case ------------------------------------------------------------------------------------------------------------------------- 411 RR INVESTMENT COMPANY LTD $41,953,550.00 White & Case ------------------------------------------------------------------------------------------------------------------------- 489 REFCO ADVANTAGE MULTI-MANAGER FUND $41,711,139.00 William Sugden, Esq. ------------------------------------------------------------------------------------------------------------------------- 492 TAU 28 FUND LTD $4,238,735.00 William Sugden, Esq. ------------------------------------------------------------------------------------------------------------------------- (cont'd on page 2) Notes ----- PLEASE SEE PAGE 3 FOR NOTES Preliminary work product. Not to be relied upon. Confidential Pagem 1/3
EX-1029th Page of 83TOC1stPreviousNextBottomJust 29th
[Enlarge/Download Table] RCM Proofs of Claim Chart 1 Refco, LLC Potential RCM Settlement Parties Data as of: August 30, 2006 Claim Creditor Claim Amount Counsel Number -------- ------------ ------- ------ -------------------------------------------------------------------------------------------------------------------- 494 REFCO DIVERSIFIED FUTURES FUND $27,328,612.00 William Sugden, Esq. -------------------------------------------------------------------------------------------------------------------- 249 CATAMOUNT DIVERSIFIED MANAGERS FUND II LTD $997,188.68 Arnold & Porter -------------------------------------------------------------------------------------------------------------------- 250 RPM RISK & PORTFOLIO MANAGEMENT AB $33,677.21 Arnold & Porter -------------------------------------------------------------------------------------------------------------------- 287 BAYERISCHE HYPO-UND VEREINSBANK AG $534,570.49 Arnold & Porter -------------------------------------------------------------------------------------------------------------------- 288 EUROPEAN SICAV ALLIANCE-INSULATE $12,996,097.32 Arnold & Porter -------------------------------------------------------------------------------------------------------------------- 291 NIKKO FUTURES FUND $1,355,107.71 Arnold & Porter -------------------------------------------------------------------------------------------------------------------- 294 WINTERBOTHAM TRUST CO LTD $550,735.00 Arnold & Porter -------------------------------------------------------------------------------------------------------------------- 382 DENIZBANK AS $332,743.00 Arnold & Porter -------------------------------------------------------------------------------------------------------------------- 169 COUNTACH INVESTMENTS LTD $72,829.72 Braun & Goldberg -------------------------------------------------------------------------------------------------------------------- 170 COUNTACH INVESTMENTS LTD $117.42 Braun & Goldberg -------------------------------------------------------------------------------------------------------------------- 425 BOLTON INVESTMENT GROUP LP $1,588,736.82 Jeff J. Friedman, Esq. -------------------------------------------------------------------------------------------------------------------- 195 YMC BOND ENHANCED YIELD FUND LTD $2,248,592.40 N/A -------------------------------------------------------------------------------------------------------------------- 248 BOSTON FINANS AS $121,088.94 N/A -------------------------------------------------------------------------------------------------------------------- $339,850,375.18 II. Sphinx ------------ 412 MASONIC MEDICAL RESEARCH LABORATORY $3,600,000.00 N/A 485 TRUSTEES OF MASONIC HALL & ASYLUM FUND AND $34,860,937.00 Bond Schoenick & King PLLC 486 SPHINX MANAGED FUTURES INDEX FUND LP $39,005,537.00 Bond Schoenick & King PLLC Pillsbury Winthrop Shaw Pittman 391 SPHINX MANAGED FUTURES FUND SPC AND EACH Pillsbury Winthrop Shaw Pittman 392 EACH ENTITY LISTED ON EXHIBIT 1 TO ATTACHMENT A Pillsbury Winthrop Shaw Pittman 406 SPHINX MANAGED FUTURES FUND SPC AND SPHINX 4,312,945.43 Pillsbury Winthrop Shaw Pittman 407 SPHINX MANAGED FUTURES FUND ET AL Pillsbury Winthrop Shaw Pittman $ 81,779,419.43 Total $421,629,794.61 ============================================================================== Notes ----- PLEASE SEE PAGE 3 FOR NOTES Preliminary work product. Not to be relied upon. Confidential Pagem 2/3
EX-1030th Page of 83TOC1stPreviousNextBottomJust 30th
[Enlarge/Download Table] RCM Proofs of Claim Chart 2 Refco, LLC Potential RCM Settlement Parties Data as of: August 30, 2006 Claim Creditor Claim Amount Counsel Number -------- ------------ ------- ------ I. Settlement RCM Parties -------------------------- ------------------------------------------------------------------------------------------------------------------------- 466 PATON HOLDINGS LTD Akin Gump ------------------------------------------------------------------------------------------------------------------------- 467 VR ARGENTINA RECOVERY FUND LTD Akin Gump ------------------------------------------------------------------------------------------------------------------------- 468 VR CAPITAL GROUP LTD Akin Gump ------------------------------------------------------------------------------------------------------------------------- 469 VR GLOBAL PARTNERS LP Akin Gump ------------------------------------------------------------------------------------------------------------------------- 383 INTER FINANCIAL SERVICES LTD $154,818,649.00 Cleary Gottlieb Steen & Hamilton, LLP ------------------------------------------------------------------------------------------------------------------------- 267 CAPITAL MANAGEMENT SELECT FUND LTD $116,271,904.69 Dickstein Shapiro, LLP ------------------------------------------------------------------------------------------------------------------------- 393 PREMIER BANK INTERNATIONAL NV $243,696,260.52 Hogan & Hartson, LLP ------------------------------------------------------------------------------------------------------------------------- 394 BANCO DE HIPOTECARIO DE INVERSION TURISTICA $750,808.18 Hogan & Hartson, LLP ------------------------------------------------------------------------------------------------------------------------- 399 HEPTAGON FINANCIAL PLANNERS LTD Holland & Knight ------------------------------------------------------------------------------------------------------------------------- 400 BROOKE FINANCIAL SERVICES LTD Holland & Knight ------------------------------------------------------------------------------------------------------------------------- 401 LATINA SEGUROS Y REASEGUROS SA Holland & Knight ------------------------------------------------------------------------------------------------------------------------- 402 HEPTAGON FINANCIAL SERVICES INC Holland & Knight ------------------------------------------------------------------------------------------------------------------------- 403 SUL AMERICA COMPANIA DE SEGUROS DEL ECUADOR CA Holland & Knight ------------------------------------------------------------------------------------------------------------------------- 404 SUD AMERICA DE SEGUROS CA Holland & Knight ------------------------------------------------------------------------------------------------------------------------- 405 TURISOL CASA DE CAMBIO CA Holland & Knight ------------------------------------------------------------------------------------------------------------------------- 389 RUSSIAN INVESTORS SECURITIES LIMITED $9,920,505.00 Josh Angel ------------------------------------------------------------------------------------------------------------------------- 415 GLOBAL MANAGEMENT WORLDWIDE LIMITED $35,264,313.00 Josh Angel ------------------------------------------------------------------------------------------------------------------------- 416 GARDEN RING FUND LIMITED $9,991,727.09 Josh Angel ------------------------------------------------------------------------------------------------------------------------- 417 ARBAT EQUITY ARBITRAGE FUND LIMITED $19,421,841.00 Josh Angel ------------------------------------------------------------------------------------------------------------------------- 289 CORPOREX INVESTMENTS LLC $331,223.00 N/A Paul Hemsath ------------------------------------------------------------------------------------------------------------------------- 384 RB SECURITIES LIMITED $63,541,275.00 Pillsbury Winthrop Shaw Pittman ------------------------------------------------------------------------------------------------------------------------- 318 ALTIMA CAPITAL MANAGEMENT INC Shutts & Bowen ------------------------------------------------------------------------------------------------------------------------- 319 INS BANCREDITO VALORES PUESTO DE BOLSA SA Shutts & Bowen ------------------------------------------------------------------------------------------------------------------------- 320 SERVICIOS GENERALES BURSATILES SA DE CV Shutts & Bowen ------------------------------------------------------------------------------------------------------------------------- 453 BANCO REFORMADOR SA Shutts & Bowen ------------------------------------------------------------------------------------------------------------------------- 454 TRANSCOM BANK BARBADOS LTD