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United States Bankruptcy Court Central District of California


Name of Debtor (if individual, enter Last, First, Middle): Name of Joint Debtor (Spouse) (Last, First, Middle):

Voluntary Petition

Aletheia Research and Management, Inc.


All Other Names used by the Debtor in the last 8 years
(include married, maiden, and trade names):

All Other Names used by the Joint Debtor in the last 8 years
(include married, maiden, and trade names):

Last four digits of Soc. Sec. or Individual-Taxpayer I.D. (ITIN)/Complete EIN (if more than one, state all):

Last four digits of Soc. Sec. or Individual-Taxpayer I.D. (ITIN)/Complete EIN (if more than one, state all): Street Address of Joint Debtor (No. & Street, City, and State):

95-4647814
Street Address of Debtor (No. & Street, City, and State):

100 Wilshire Blvd. Suite 1900 Santa Monica, CA 90401


County of Residence or of the Principal Place of Business:

ZIP CODE

ZIP CODE County of Residence or of the Principal Place of Business: Mailing Address of Joint Debtor (if different from street
address):

90401-0000

Los Angeles
Mailing Address of Debtor (if different from street address): ZIP CODE Location of Principal Assets of Business Debtor (if different from street address above): Nature of Business Type of Debtor
(Form of Organization) (Check one box.) Individual (includes Joint Debtors) See Exhibit D on page 2 of this form. Corporation (includes LLC and LLP) Partnership Other (If debtor is not one of the above entities, check this box and state type of entity below.) (Check one box.)

ZIP CODE

Chapter of Bankruptcy Code Under Which the Petition is Filed (Check one box)
Chapter 7 Chapter 9 Chapter 11 Chapter 12 Chapter 13 Chapter 15 Petition for Recognition of a Foreign Main Proceeding Chapter 15 Petition for Recognition of a Foreign Nonmain Proceeding

Health Care Business Single Asset Real Estate as defined in 11 U.S.C. 101(51B) Railroad Stockbroker Commodity Broker Clearing Bank Other

Chapter 15 Debtors Country of debtor's center of main interests: Each country in which a foreign proceeding by, regarding, or against debtor is pending:

Tax-Exempt Entity
(Check box, if applicable.) Debtor is a tax-exempt organization under Title 26 of the United States Code (the Internal Revenue Code).

Nature of Debts
(Check one box) Debts are primarily consumer debts, defined in 11 U.S.C. 101(8) as "incurred by an individual primarily for a personal, family, or household purpose." Debts are primarily business debts.

Filing Fee (Check one box.)


Full Filing Fee attached

Check one box:

Chapter 11 Debtors

Debtor is a small business debtor as defined in 11 U.S.C. 101(51D). Debtor is not a small business debtor as defined in 11 U.S.C. 101(51D). Filing Fee to be paid in installments (applicable to individuals only). Must attach signed Check if: application for the court's consideration certifying that the debtor is unable to pay fee Debtor's aggregate noncontingent liquidated debts (excluding debts owed to insiders or except in installments. Rule 1006(b). See Official Form 3A. affiliates) are less than $2,343,300 (amount subject to adjustment on 4/01/13 and every three years thereafter). -----------------------------------------------------Filing Fee waiver requested (applicable to chapter 7 individuals only). Must attach Check all applicable boxes: signed application for the court's consideration. See Official Form 3B. A plan is being filed with this petition. Acceptances of the plan were solicited prepetition from one or more classes of creditors, in accordance with 11 U.S.C. 1126(b).

Statistical/Administrative Information
Debtor estimates that funds will be available for distribution to unsecured creditors. Debtor estimates that, after any exempt property is excluded and administrative expenses paid, there will be no funds available for distribution to unsecured creditors. Estimated Number of Creditors 1-49 50-99 100-199 200-999 1,0005,000 500110,000 10,00125,000 25,00150,000 50,001100,000 OVER 100,000

THIS SPACE IS FOR COURT USE ONLY

Estimated Assets $0 to $50,000 $50,001 to $100,000 $100,001 to $500,001 $500,000 to $1 million $1,000,001 to $10 million $10,000,001 to $50 million $50,000,001 to $100 million $100,000,001 $500,000,001 More than to $500 to $1 billion $1 billion million

Estimated Liabilities $0 to $50,000 $50,001 to $100,000 $100,001 to $500,001 $500,000 to $1 million $1,000,001 to $10 million $10,000,001 to $50 million $50,000,001 to $100 million $100,000,001 $500,000,001 More than to $500 to $1 billion $1 billion million

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B1 (Official Form 1) (12/11)

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Name of Debtor(s):

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Page 2

Voluntary Petition
(This page must be completed and filed in every case) Location Where Filed: Location Where Filed:

Aletheia Research and Management, Inc.


Case Number: Case Number: Date Filed: Date Filed:

All Prior Bankruptcy Cases Filed Within Last 8 Years (If more than two, attach additional sheet.) - None -

Pending Bankruptcy Case Filed by any Spouse, Partner, or Affiliate of this Debtor (If more than one, attach additional sheet.)
Name of Debtor: - None District: Case Number: Relationship: Date Filed: Judge:

Exhibit A

Exhibit B
(To be completed if debtor is an individual whose debts are primarily consumer debts.)

(To be completed if debtor is required to file periodic reports (e.g., forms 10K and 10Q) with the Securities and Exchange Commission pursuant to Section 13 or I, the attorney for the petitioner named in the foregoing petition, declare that I 15(d) of the Securities Exchange Act of 1934 and is requesting relief under have informed the petitioner that [he or she] may proceed under chapter 7, 11, 12, chapter 11.) or 13 of title 11, United States Code, and have explained the relief available under each such chapter. I further certify that I delivered to the debtor the notice required by 11 U.S.C. 342(b). X Exhibit A is attached and made a part of this petition. Signature of Attorney for Debtor(s) (Date)

Exhibit C
Does the debtor own or have possession of any property that poses or is alleged to pose a threat of imminent and identifiable harm to public health or safety? Yes, and Exhibit C is attached and made a part of this petition. No

Exhibit D
(To be completed by every individual debtor. If a joint petition is filed, each spouse must complete and attach a separate Exhibit D.) Exhibit D completed and signed by the debtor is attached and made a part of this petition. If this is a joint petition: Exhibit D also completed and signed by the joint debtor is attached and made a part of this petition.

Information Regarding the Debtor - Venue


(Check any applicable box.) Debtor has been domiciled or has had a residence, principal place of business, or principal assets in this District for 180 days immediately preceding the date of this petition or for a longer part of such 180 days than in any other District. There is a bankruptcy case concerning debtor's affiliate, general partner, or partnership pending in this District. Debtor is a debtor in a foreign proceeding and has its principal place of business or principal assets in the United States in this District, or has no principal place of business or assets in the United States but is a defendant in an action or proceeding [in a federal or state court] in this District, or the interests of the parties will be served in regard to the relief sought in this District.

Certification by a Debtor Who Resides as a Tenant of Residential Property


(Check all applicable boxes.) Landlord has a judgment against the debtor for possession of debtor's residence. (If box checked, complete the following.)

(Name of landlord that obtained judgment) (Address of landlord) Debtor claims that under applicable nonbankruptcy law, there are circumstances under which the debtor would be permitted to cure the entire monetary default that gave rise to the judgment for possession, after the judgment for possession was entered, and Debtor has included in this petition the deposit with the court of any rent that would become due during the 30-day period after the filing of the petition. Debtor certifies that he/she has served the Landlord with this certification. (11 U.S.C. 362(l)).

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ALETHEIA RESEARCH AND MANAGEMENT, INC. MINUTES OF A MEETING OF THE BOARD OF DIRECTORS

Pursuant to notice duly given, the Board of Directors (Board) of Aletheia Research and Management, Inc., a California corporation (the Corporation), held a meeting at approximately 11:00 a.m. on November 9, 2012. Present by telephone were: Peter J. Eichler, Jr., Patricia C. Barnes, and Roger Peikin being all the members of the Board. Also present were Ann Marie Swanson, Chief Compliance Officer of the Corporation, and Brian L. Davidoff of Greenberg Glusker Fields Claman & Machtinger LLP, the Corporations insolvency counsel. Peter J. Eichler, Jr. served as Chairman of the meeting and Ann Marie Swanson was present as acting Secretary to memorialize the minutes of the meeting. Peter J. Eichler, Jr. called the meeting to order at approximately 11:00 am. The Board then discussed the current financial condition of the Corporation, its legal situation, the efforts that the Corporation had made in addressing those issues, the alternative strategies that the Corporation was considering employing to further address those issues. Mr. Peikin stated that he felt he should have received earlier notice of the Companys financial situation. Mr. Eichler stated that every effort was made to address the Corporations financial issues and there was no time to provide the Board a greater notice period. Specifically Mr. Eichler pointed out that the Corporation needs to act immediately to address the matter with the State of California due to the ongoing litigation. Mr. Peikin said that as he was not provided with advance time to assess this matter, that he would likely abstain from any vote taken. Mr. Peikin also questioned why the Board had decreased in number from four to three. Mr. Eichler stated that Mr. Lee had resigned from the Board in August. Mr. Eichler also responded that he believes Mr. Peikin, from the ongoing litigation, has current and sufficient knowledge of the Firms finances. After further discussion, Ms. Barnes motioned to have the Board vote that the Corporation file a voluntary petition (hereinafter the Bankruptcy Petition) in the United States Bankruptcy Court pursuant to chapter 11 of title 11 of the United States Code. Mr. Eichler seconded the motion and the vote carried in favor of the motion two to one and it was: RESOLVED, that Peter J. Eichler, the Chief Executive Officer of the Corporation, be, and hereby is, authorized and directed to execute and deliver all documents necessary to perfect the filing of the Bankruptcy Petition; RESOLVED FURTHER, that Peter J. Eichler be, and hereby is, authorized and directed to appear in any and all bankruptcy proceedings on behalf of the Corporation (hereinafter Bankruptcy Proceedings) and to otherwise do and perform any and all acts

03133-00002/1875866.1

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and deeds, and to execute and deliver all necessary documents on behalf of the Corporation, in connection with the Bankruptcy Proceedings; RESOLVED FURTHER, that all acts, transactions, or agreements undertaken prior to the adoption of these Resolutions by Peter J. Eichler in the name of the Corporation and in connection with the matters herein contained, be, and hereby are, ratified, confirmed and adopted by the Corporation; and There being no further business to come before the meeting, it was adjourned at approximately 11:30.

Ann Marie Swanson, Acting Secretary

1480.089 1014220.3 03133-00002/1875866.1

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B4 (Official Form 4) (12/07)

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United States Bankruptcy Court


Central District of California
In re Aletheia Research and Management, Inc. Debtor(s) Case No. Chapter 11

LIST OF CREDITORS HOLDING 20 LARGEST UNSECURED CLAIMS


Following is the list of the debtor's creditors holding the 20 largest unsecured claims. The list is prepared in accordance with Fed. R. Bankr. P. 1007(d) for filing in this chapter 11 [or chapter 9] case. The list does not include (1) persons who come within the definition of "insider" set forth in 11 U.S.C. 101, or (2) secured creditors unless the value of the collateral is such that the unsecured deficiency places the creditor among the holders of the 20 largest unsecured claims. If a minor child is one of the creditors holding the 20 largest unsecured claims, state the child's initials and the name and address of the child's parent or guardian, such as "A.B., a minor child, by John Doe, guardian." Do not disclose the child's name. See 11 U.S.C. 112; Fed. R. Bankr. P. 1007(m). (1)
Name of creditor and complete mailing address including zip code

(2)
Name, telephone number and complete mailing address, including zip code, of employee, agent, or department of creditor familiar with claim who may be contacted

(3)
Nature of claim (trade debt, bank loan, government contract, etc.)

(4)
Indicate if claim is contingent, unliquidated, disputed, or subject to setoff

(5)
Amount of claim [if secured, also state value of security] 132,287.89

Advent Software, Inc. P.O. Box 823374 Philadelphia, PA 19182-3374 Anthem Blue Cross Po Box 54630 Los Angeles, CA 90054-0630 800-627-8797 Michael Sherman Bingham McCutchen LLP 1601 Cloverfield Blvd #2050N Bingham McCutchen LLP 1601 Cloverfield Blvd #2050N Santa Monica, CA 90404 Santa Monica, CA 90404 310-907-1000 Business & Revenue Operations Div City of Santa Monica City of Santa Monica P.O. Box 2200 P.O. Box 2200 Santa Monica, CA Santa Monica, CA 90407-2200 90407-2200 310-458-8745 David Bunzel David Bunzel David Bunzel 2 Sherbrooke Rd-Rear 2 Sherbrooke Rd-Rear Scarsdale, NY 10583 Scarsdale, NY 10583 917-697-7762 Mary Lowe Douglas Emmett 1998, LLC 100 Wilshire Blvd, Suite 290 Douglas Emmett 1998, LLC 100 Wilshire Blvd, Suite 290 Santa Monica, CA 90401 Santa Monica, CA 90401 310-319-0100 Dr William C Mow Dr William C Mow Dr William C Mow 575 North Rockingham 575 North Rockingham Los Angeles, CA 90049 Los Angeles, CA 90049 310-471-5225 Dr William C Mow Dr William C Mow Dr William C Mow 575 North Rockingham 575 North Rockingham Los Angeles, CA 90049 Los Angeles, CA 90049 310-471-5225 Advent Software, Inc. P.O. Box 823374 Philadelphia, PA 19182-3374 Anthem Blue Cross Po Box 54630 Los Angeles, CA 90054-0630
Software Copyright (c) 1996-2012 CCH INCORPORATED - www.bestcase.com

Medical Insurance

113,392.00

Legal Expenses related to Peikin litigation

Unliquidated Disputed

730,000.00

Business Tax

118,000.00

Revenue Share Note

200,000.00

Amount of Monthly Rent Due

151,724.76

Revenue Share Note

4,000,000.00

Unsecured debt

1,500,000.00

Best Case Bankruptcy

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B4 (Official Form 4) (12/07) - Cont.

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Case No.

Desc

In re

Aletheia Research and Management, Inc.

Debtor(s)

LIST OF CREDITORS HOLDING 20 LARGEST UNSECURED CLAIMS


(Continuation Sheet)
(1)
Name of creditor and complete mailing address including zip code

(2)
Name, telephone number and complete mailing address, including zip code, of employee, agent, or department of creditor familiar with claim who may be contacted

(3)
Nature of claim (trade debt, bank loan, government contract, etc.) 2008 and 2011 Taxes

(4)
Indicate if claim is contingent, unliquidated, disputed, or subject to setoff Disputed

(5)
Amount of claim [if secured, also state value of security] 2,500,000.00

Jill Morris Franchise Tax Board FTB MSA381 Sacramento, CA 95827 916-845-4528 Michael Taitelman Freedman & Taitleman LLP Freedman & Taitleman LLP 1901 Ave of the Stars Suite 1901 Ave of the Stars Suite 500 500 Los Angeles, CA 90067 Los Angeles, CA 90067 310- 201-0005 Lisa Troe FTI Consulting FTI Consulting 633 West 5th Street Suite 633 West 5th Street Suite 1600 1600 Los Angeles, CA 90071-2007 Los Angeles, CA 90071-2007 213-689-1200 Jones Day LLP Jones Day LLP 555 South Flower Streer 15th 555 South Flower Streer 15th Floor Los Angeles, CA 90071 Floor 213-489-3939 Los Angeles, CA 90071 John Lescroart Lescroart Corp, John Lescroart, Lisa Sawyer Lescroart Corp, John Lescroart, Lisa Sawyer 426 D Street 426 D Street Davis, CA 95616 Davis, CA 95616 530-756-7929 Joan Cotkin Nossaman LLP Nossaman LLP 777 South Figuera Street 777 South Figuera Street 34th Floor 34th Floor Los Angeles, CA 90017 Los Angeles, CA 90017 213-612-7800 Harry Davis Proctor Investments Proctor Investments 919 Third Ave 919 Third Ave New York, NY 10022 New York, NY 10022 212-756-2000 R. Patrick Abergel R. Patrick Abergel 1571 San Remo Drive 1571 San Remo Drive Pacific Palisades, CA 90272 Pacific Palisades, CA 90272 Franchise Tax Board FTB MSA381 Sacramento, CA 95827 Robbie Levin 351 High Desert Rd Grand Junction, CO 81503 Robbie Levin Robbie Levin 351 High Desert Rd Grand Junction, CO 81503 435-729-0075 Roger Peikin Roger Peikin 635 14th St Santa Monica, CA 90402

Legal Expenses Related to Proctor Litigation

118,685.72

Consulting Fees related to SEC litigation

225,000.00

Legal Expenses related to Peikin litigation Legal Expenses related to former client investment losses Unliquidated Disputed

340,000.00

320,426.74

Legal Expenses Related to Insurance Litigation Pending Litigation Unliquidated Disputed

120,665.62

16,000,000.00

Legal Expenses related to former client investment losses Revenue Share Note

Unliquidated Disputed

960,000.00

300,000.00

Roger Peikin 635 14th St Santa Monica, CA 90402

Pending Litigation

Unliquidated Disputed

750,000.00

Software Copyright (c) 1996-2012 CCH INCORPORATED - www.bestcase.com

Best Case Bankruptcy

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FOR COURT USE ONLY

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Party Name, Address and Telephone Number (CA State Bar No. If Applicable)

Brian L. Davidoff 1900 Avenue of the Stars Suite 2100 Los Angeles, CA 90067 310-553-3610 CA State Bar Number: 102654

UNITED STATES BANKRUPTCY COURT CENTRAL DISTRICT OF CALIFORNIA


In re: CHAPTER 11

Aletheia Research and Management, Inc.


Debtor.

CASE NUMBER (No Hearing Required)

VENUE DISCLOSURE FORM FOR CORPORATIONS FILING CHAPTER 11 (Required by General Order 97-02)
*Attach additional sheets as necessary and indicate so in each section* 1. Specify the address of the principal office of the Debtor currently on file with the California Secretary of State (from Form S0100, S0200, or S0300):
100 Wilshire Blvd. Suite 1900 Santa Monica, CA 90401

2.

Specify the address of the principal office of the Debtor listed on the Debtor's most recent federal tax return:
100 Wilshire Blvd. Suite 1900 Santa Monica, CA 90401

3.

Disclose the current business address(es) for all corporate officers:


100 Wilshire Blvd. Suite 1900 Santa Monica, CA 90401

4.

Disclose the current business address(es) where the Debtor's books and records are located:
100 Wilshire Blvd. Suite 1900 Santa Monica, CA 90401

5.

List the address(es) where the majority of the Debtor's assets are located based on a book value determination as set forth on the Debtor's most recent balance sheet:
100 Wilshire Blvd. Suite 1900 Santa Monica, CA 90401

6.

Disclose any different address(es) to those listed above within six months prior to the filing of this petition and state the reasons for the change in address(es):
None

Rev. 12/99

This form is required pursuant to General Order 97-02. It has been approved for use by the United States Bankruptcy Court for the Central District of California.

VEN-C

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x a M s A o t i d e r C { 1 k b }

Aletheia Research and Management, Inc. 100 Wilshire Blvd. Suite 1900 Santa Monica, CA 90401 Brian L. Davidoff Greenberg Glusker Fields Claman Machtinger 1900 Avenue of the Stars Suite 2100 Los Angeles, CA 90067 A-1 Courier 1936 14th Street, Suite 100 Santa Monica, CA 90404 A.S.A.P Advisor Services, Inc. 41 East 11th Street, 11th Floor New York, NY 10003 Access Intelligence 4 Choke Cherry Road Rockville, MD 20850 Advent Software 600 Townsend Street San Francisco, CA 94103 Advent Software, Inc. P.O. Box 823374 Philadelphia, PA 19182-3374 Air-Tec 1606 E Carson Street Carson, CA 90745

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Allstate Benefits P.O. Box 678227 Dallas, TX 75267-8227 Alyssa Kennedy 4020 Milaca Place Sherman Oaks, CA 91423 American Heritage Life Insurance 1776 American Heritage Life Drive Jacksonville, FL 32224-6688 AmeriFlex 3000 Internet Blvd, Suite 200 Frisco, TX 75034 AMPCO System Parking 100 Wilshire Blvd Parking Office Suite B1-11 Santa Monica, CA 90401 Andre Agassi Foundation for Education 3883 Howard Hughes Parkway 8th Floor Las Vegas, NV 89169 Ann Marie Swanson 1115 19th Street #8 Santa Monica, CA 90403 Anthem Blue Cross Po Box 54630 Los Angeles, CA 90054-0630

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Anthem Small Group Services P.O. Box 9062 Oxnard, CA 93031-9062 Anthony McKeon 22041 Avenue San Luis Woodland Hills, CA 91364 Arroyo Insurance Services, Inc. 13749 Riverside Drive P.O. Box 55248 Sherman Oaks, CA 91413-0248 Arvin Santos 461 Country Club Crescent Mississauga, ON L5J2P9 Canada Ashland Partners & Co., LLP 525 Bigham Knoll, Suite 200 Jacksonville, OR 97530 Bingham McCutchen LLP 1601 Cloverfield Blvd #2050N Santa Monica, CA 90404 Bloomberg 731 Lexington Ave New York, NY 10022 C-Scape Consulting Corp. P.O. Box 126 Oceanside, NY 11572

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Christa McMullin 21012 Vintage Street Chatsworth, CA 91311 Christine Roper 1639 Old Topanga Canyon Rd. Topanga, CA 90290 City of Santa Monica P.O. Box 2200 Santa Monica, CA 90407-2200 City of Santa Monica - Fire P.O. Box 2200 Santa Monica, CA 90407-2200 Client Server Specialists P.O. Box 1985 Southeastern, PA 19399 Clifton Gunderson LLP 9339 Priority Way West Drive Suite 220 Indianapolis, IN 46240 Clifton Larson Allen 915 Wilshire Blvd Suite 2250 Los Angeles, CA 90017 CNA Insurance (Arroyo) Department LA 21245 Pasadena, CA 91185-1245

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Cogent Communications 1015 31st Street, NW Washington, DC 20007 Continental Casualty Company P.O. Box 946350 Maitland, FL 32794-6350 County of Los Angeles Treasurer 225 North Hill Street Room 122 Los Angeles, CA 90054-0027 CreditSights, Inc. 470 Park Avenue South, 12th Floor New York, NY 10016 David Bunzel 2 Sherbrooke Rd-Rear Scarsdale, NY 10583 Dechert, LLP US Bank Tower 633 West 5th Street, 37th Floor Los Angeles, CA 90071-2013 Delaware Secretary of State Division of Corporate John G Townsend Bldg 401 Federal Street, Suite 4 Dover, DE 19901 Department of the Treasury Internal Revenue Service Ogden, UT 8201-0030

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DirecTV P.O. Box 60036 Los Angeles, CA 90060-0036 DLA Piper LLP 2000 Avenue of the Stars Suite 400 North Tower Los Angeles, CA 90067-4704 Douglas Emmett 1998, LLC 100 Wilshire Blvd, Suite 290 Santa Monica, CA 90401 Dow Jones News Service P.O. Box 4137 New York, NY 10261-4137 Dr William C Mow 575 North Rockingham Los Angeles, CA 90049 Elizabeth Sanders 12935 Sutter Creek Road Sutter Creek, CA 95685 Empire International Ltd 2256 Meadowlands Parkway Secaucus, NJ 07094 Employers Compensation Insurance Co 10375 Professional Circle Reno, NV 89521-4802

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Epiq Systems 501 Kansas Avenue Kansas City, KS 66105 Equinoxe Alternative Investment 10 Glenlake Parkway NE South Tower, Suite 900 Atlanta, GA 30328 Evestment Alliance, LLC 420 Lexington Avenue, Suite 1420 New York, NY 10170 Fair Play P.O. Box 8415 Des Moines, IA 50301-8415 FedEx P.O. Box 7221 Pasadena, CA 91109-7321 Fiserv Inc. P.O. Box 80123 City of Industry, CA 91716-8123 Franchise Tax Board FTB MSA381 Sacramento, CA 95827 Franchise Tax Board State of California P.O. Box 942857 Sacramento, CA 94257-2021

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Freedman & Taitleman LLP 1901 Ave of the Stars Suite 500 Los Angeles, CA 90067 FTI Consulting 633 West 5th Street Suite 1600 Los Angeles, CA 90071-2007 Genevieve Plourde 1033 6th Street Santa Monica, CA 90403 GreatAmerica Leasing Corp P.O. Box 660831 Dallas, TX 75266-0831 Greenberg Traurig, LLP 1840 Century Park East, Suite 1900 Los Angeles, CA 90067 Greenwald, Pauly, Foster & Miller 1299 Ocean Avenue, Suite 400 Santa Monica, CA 90401-1007 Hillary Mow 575 North Rockingham Ave Los Angeles, CA 90049 Holthouse, Carlin & Van Trigt LLP 1801 W Olympic Blvd Pasadena, CA 91199-1404

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Hunter Klarish LLP 1359 Broadway, Suite 2001 New York, NY 10018 Interactive Data P.O. Box 98616 Chicago, IL 60693 Intertrust Corporate Services (Cayman) Limited 87 Mary Street, George Town Grand Cayman Island KY1-900 Investigative Advisory Group 550 South Hope Street, Suite 850 Los Angeles, CA 90071 IPFS Corporation (Arroyo) P.O. Box 100391 Pasadena, CA 91189-0391 Iron Mountain P.O. Box 601002 Pasadena, CA 91189-1002 Iron Mountain 1101 Enterprise Drive Royersford, PA 19468 Jones Day LLP 555 South Flower Streer 15th Floor Los Angeles, CA 90071

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Kahili Reed 616 South Burnside Ave. #406 Los Angeles, CA 90036 Kekst and Company Inc. 437 Madison Avenue New York, NY 10022-7016 LA Networks 15301 Ventura Blvd Building E, Suite 3100 Sherman Oaks, CA 91403 Leggett Jury Research, LLC 225 South Lake Avenue, Suite 300 Pasadena, CA 91101 Lescroart Corp, John Lescroart, Lisa Sawyer 426 D Street Davis, CA 95616 Level(3) 550 South 24th Street W, Suite 103 Billings, MT 59102-6361 Lincoln Benefit Life Company P.O. Box 3582 Akron, OH 44309-3582 Lincoln Benefit Life Company P.O. Box 4243 Woodland Hills, CA 91365-4243

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LiveOffice, LLC 2780 Skypark Drive, Suite 300 Torrance, CA 90505 Mark Scalzo 13351 Cristallina Way Truckee, CA 96161 MassMutual Financial Group 1295 State Street E-405 Springfield, MA 11111 Maximum Security Systems P.O. Box 5607 Sherman Oaks, CA 91413-5607 Mercedes Benz Financial Services 36455 Corporate Drive Farmington, MI 48331 Michael Dunn 16924 W. Sunset Blvd. Pacific Palisades, CA 90272 Michael Laney 858 Galloway Street Pacific Palisades, CA 90272 Moss Adams, LLP 10960 Wilshire Blvd, Suite 1100 Los Angeles, CA 90024

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Nai Li Mow 575 North Rockingham Los Angeles, CA 90049 Nasdaq OMX P.O. Box 8500 Philadelphia, PA 19178-0200 National Corporate Research Ltd 10 East 40th Street, 10th Floor New York, NY 10016 Network Deposition Services, Inc. 1875 Century Park East, Suite 2100 Los Angeles, CA 90067 New York State Unemployment Insurance WA Harriman Campus, Building 12 Albany, NY 12227 New York State Department of Taxation and Finance WA Harriman Campus Albany, NY 01222-7001 New York State Insurance Fund 105 Corporate Park Drive, Suite 200 White Plains, NY 10604-3814 New York State Worker's Compensation Board 328 State Street Schenectady, NY 12305-2318

Case 2:12-bk-47718-BR

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Nossaman LLP 777 South Figuera Street 34th Floor Los Angeles, CA 90017 NYSE Market, Inc. 11 Wall Street New York, NY 10005 Options Clearing Corporation One North Wacker Drive, Suite 500 Chicago, IL 60606 Options Price Reporting Auth. 400 South LaSalle Chicago, IL 60605 Patricia Barnes 7561 Trask Ave Playa Del Rey, CA 90293 Patricia Loncaric 25919 Matel Rd. Valencia, CA 91355 Pensylvania Department of Revenue P.O. Box 280509 Harrisburg, PA 17128-0509 Personal Court Reporters, Inc. 11400 West Olympic Blvd, Suite 140 Los Angeles, CA 90064

Case 2:12-bk-47718-BR

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Peter J. Eichler III 928 Las Lomas Ave Pacific Palisades, CA 90272 Peter J. Eichler Jr. 530 Toyopa Drive Pacific Palisades, CA 90272 Pinnacle Communication Services 730 Fairmont Ave Glendale, CA 91203 Premium Financing Specialists 12424 Wilshire Blvd, Suite 1030 Los Angeles, CA 90025 Priority Mailing Systems, LLC 475 Goddard Street, Suite 150 Irvine, CA 92618 Proctor Investments 919 Third Ave New York, NY 10022 R. Patrick Abergel 1571 San Remo Drive Pacific Palisades, CA 90272 Rina Echavez 12217 Dorothy Street Los Angeles, CA 90049

Case 2:12-bk-47718-BR

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Robbie Levin 351 High Desert Rd Grand Junction, CO 81503 Robert Geis PO Box 1251 Valley Stream, NY 11582 Roger Peikin 635 14th St Santa Monica, CA 90402 Russell Investments NW 6327, P.O. Box 1450 Minneapolis, MN 55485-6327 Servicon Systems, Inc. 3965 Landmark Street Culver City, CA 90232 Simmons & Company 700 Louisiana Suite 1900 Houston, TX 77002 Sprint 5040 Riverside Dr Irving, TX 75039-4307 Staples P.O. Box 83689 Chicago, IL 60696-6389

Case 2:12-bk-47718-BR

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State Street Corporation 2 Avenue de Lafayette LCC6 Boston, MA 02111 Stephen Remboski 7056 Salisbury Road West Hills, CA 91307 Stroock & Stroock & Lavan 2029 Century Park East Los Angeles, CA 90067 SunGard Global Network 2100 Enterprise Ave Geneva, IL 60134 Taylor and Liberman 10866 Wilshire Blvd, Suite 1100 Los Angeles, CA 90024 Telemet America, Inc. 325 First Street Alexandria, VA 22314 Thompson Reuters Po Box 415983 Boston, MA 02241-5983 Time Customer Service, Inc. 3000 University Center Drive Tampa, FL 33612-6408

Case 2:12-bk-47718-BR

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Time Warner Cable P.O. Box 60074 City of Industry, CA 91716-0074 TotalFunds by Hasler P.O. Box 30193 Tampa, FL 33630-3193 Trademark Reg. & Monitoring Office 355 South Grand Ave, Room 2450 Los Angeles, CA 90071-9500 Ultimus Fund Solutions, LLC 225 Pictoria Drive, Suite 450 Cincinnati, OH 45246 Unique Plant Rentals Inc 16415 S Avalon Blvd Gardena, CA 90248 Verizon 500 Technology Drive, Suite 840 Weldon Springs, MO 63304 Verizon California P.O. Box 920041 Dallas, TX 75392-0041 Xerox Corporation P.O. Box 660501 Dallas, TX 75266-0501

Case 2:12-bk-47718-BR

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YTPS Botanicals 6014 W 86th Place Westchester, CA 90045