| Court: | nysd |
| Docket #: | 1:11-cv-06052 |
| Case Name: | In Re: Lehman Brothers Holdings Inc. |
| PACER case #: | 384029 |
| Date filed: | 2011-08-29 |
| Date terminated: | 2012-06-05 |
| Assigned to: | Judge Katherine B. Forrest |
| Case Cause: | 28:0158 Notice of Appeal re Bankruptcy Matter (BA |
| Nature of Suit: | 422 Bankruptcy Appeal (801) |
| Jury Demand: | None |
| Jurisdiction: | Federal Question |
| Represented Party | Attorney & Contact Info |
| Lehman Brothers Holdings Inc. Debtor |
John Frederick Wood |
| Lehman Brothers Holdings Inc. Debtor |
|
| Barclays Capital Inc. Appellant |
Jonathan David Schiller Jonathan M. Shaw |
| Barclays Bank PLC Appellant |
Jonathan David Schiller Jonathan M. Shaw |
| James W. Giddens Cross Appellant as Trustee for the SIPA Liquidation of Lehman Brothers Inc. |
Neil John Oxford Samuel C. McCoubrey , III Seth D. Rothman William R. Maguire William Robert Stein |
| Securities and Exchange Commisison Interested Party |
| Date Filed | Document # | Attachment # | Short Description | Long Description | Upload date | SHA1 hash |
| 2011-08-29 | 1 | 0 | NOTICE OF APPEAL FROM THE BANKRUPTCY COURT TO THE S.D.N.Y. from the Order of Judge James M. Peck dated July 15, 2011. Bankruptcy Court Case Numbers: 08-1420A, 08-B-13555 (JMP). Certified copies of file received.Document filed by Barclays Capital Inc. Appellant Brief due by 9/16/2011. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D)(bkar) (Entered: 08/29/2011) | |||
| 1 | 1 | Exhibit A | 2014-12-15 15:50:27 | ae1636588c98a4395bb4f786c7c70980c089efbf | ||
| 1 | 2 | Exhibit B | ||||
| 1 | 3 | Exhibit C | ||||
| 1 | 4 | Exhibit D | ||||
| 2011-08-29 | 2 | 0 | NOTICE OF BANKRUPTCY CROSS-APPEAL from the Order of Judge James M. Peck dated July 15, 2011. Document filed by James W. Giddens. (bkar) (Entered: 08/29/2011) | |||
| 2011-08-29 | 3 | 0 | DESIGNATION OF BANKRUPTCY RECORD ON APPEAL re: 1 Bankruptcy Appeal,. Document filed by Appellant Barclays Capital Inc. (bkar) (Entered: 08/29/2011) | |||
| 2011-08-29 | 4 | 0 | CROSS APPEAL DESIGNATION OF BANKRUPTCY RECORD ON APPEAL re: 2 Bankruptcy Cross Appeal. Document filed by Cross Appellant James W. Giddens. (Attachments: # 1 STATEMENT OF ISSUES)(bkar) (Entered: 08/29/2011) | |||
| 2011-08-29 | 5 | 0 | COUNTER CROSS APPEAL DESIGNATION OF BANKRUPTCY RECORD ON APPEAL Document filed by Appellants Barclays Bank PLC, Barclays Capital Inc. (bkar) (Entered: 08/29/2011) | |||
| 2011-09-08 | 6 | 0 | NOTICE OF CASE ASSIGNMENT to Judge Richard J. Holwell. Judge Unassigned is no longer assigned to the case. (pgu) (Entered: 09/08/2011) | |||
| 2011-09-13 | 7 | 0 | ENDORSED LETTER addressed to Judge Richard J Howell from Jonathan Schiller dated 9/9/11 re: Request that the listed appeals be consolidated before a single judge and that no opening brief in 11 cv 6052 be due before 10/21/2011. ENDORSEMENT: Extension to 10/21/2011 granted. (Signed by Judge Richard J. Holwell on 9/12/2011) (cd) (Entered: 09/13/2011) | 2011-10-18 16:46:11 | e5884e30f98fea6d8e06212b13384bd891420003 | |
| 2011-10-18 | 8 | 0 | SCHEDULING ORDER CONCERNING BRIEFING DEADLINES AND PAGE LIMITS: IT IS HEREBY ORDERED THAT: 1. Barclays' opening brief in support of its appeals and the Trustee's opening brief on its appeals and cross appeals will be due on October 28, 2011, and will be limited to seventy (70) pages each. 2. Barclays' opposition brief to the Trustee's appeals and cross appeals and the Trustee's opposition brief to Barclays' appeals will be due on December 23, 2011, and will be limited to seventy (70) pages each. 3. Barclays' brief in reply to the Trustee's opposition to the Barclays appeals and the Trustee's brief in reply to Barclays' opposition to the Trustee's appeals and cross appeals will be due on February 10, 2012, and will be limited to thirty-five (35) pages each. (Signed by Judge Richard J. Holwell on 10/17/2011) (lmb) (Entered: 10/19/2011) | |||
| 2011-10-26 | 9 | 0 | MOTION for Jonathan M. Shaw to Appear Pro Hac Vice. Document filed by Barclays Bank PLC, Barclays Capital Inc..(bcu) (pgu). (Entered: 10/26/2011) | |||
| 2011-10-27 | 10 | 0 | MOTION for John F. Wood to Appear Pro Hac Vice. Document filed by Lehman Brothers Holdings Inc..(bcu) (pgu). (Entered: 10/27/2011) | |||
| 2011-10-28 | 11 | 0 | NOTICE OF APPEARANCE by William R. Maguire on behalf of James W. Giddens (Maguire, William) (Entered: 10/28/2011) | |||
| 2011-10-28 | 12 | 0 | NOTICE OF APPEARANCE by Seth D. Rothman on behalf of James W. Giddens (Rothman, Seth) (Entered: 10/28/2011) | |||
| 2011-10-28 | 13 | 0 | NOTICE OF APPEARANCE by William Robert Stein on behalf of James W. Giddens (Stein, William) (Entered: 10/28/2011) | |||
| 2011-10-28 | 14 | 0 | NOTICE OF APPEARANCE by Neil John Oxford on behalf of James W. Giddens (Oxford, Neil) (Entered: 10/28/2011) | |||
| 2011-10-28 | 15 | 0 | RULE 7.1 CORPORATE DISCLOSURE STATEMENT. No Corporate Parent. Document filed by James W. Giddens.(Maguire, William) (Entered: 10/28/2011) | |||
| 2011-10-28 | 16 | 0 | Appellant's BRIEF. Document filed by Barclays Bank PLC, Barclays Capital Inc.. Appellee Brief due by 11/17/2011. (Schiller, Jonathan) (Entered: 10/28/2011) | |||
| 2011-10-28 | 17 | 0 | Cross Appellant's BRIEF. Document filed by James W. Giddens. (Attachments: # 1 Addendum, # 2 Certificate of Service)(Maguire, William) (Entered: 10/28/2011) | |||
| 2011-11-01 | 18 | 0 | RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent BARCLAYS BANK PLC, Corporate Parent Barclays Group US Inc., Corporate Parent Barclays PLC for Barclays Capital Inc.; Corporate Parent Barclays PLC for Barclays Bank PLC. Document filed by Barclays Bank PLC, Barclays Capital Inc..(Schiller, Jonathan) (Entered: 11/01/2011) | |||
| 2011-11-04 | 19 | 0 | ORDER FOR ADMISSION PRO HAC VICE granting 9 Motion for Jonathan M. Shaw to Appear Pro Hac Vice. (Signed by Judge Richard J. Holwell on 11/2/2011) (rjm) (Entered: 11/04/2011) | |||
| 2011-11-04 | 20 | 0 | ENDORSED LETTER addressed to Judge Richard J. Holwell from Jonathan D. Schiller dated 10/26/2011 re: We write on behalf of the parties to provide the Court with an electronic copy of the record on appeal in these cases. The parties also wish to advise the Court that, for the Court's convenience, shortly after filing our opening briefs on October 28, 2011, each party will provide the Court with hard copy volumes containing courtesy copies of the excerpts of record cited in its brief. These excerpts will be considerably shorter than the entire designated record, and should provide the Court with a convenient method for referring to the cited material. ENDORSEMENT: SO ORDERED. (Signed by Judge Richard J. Holwell on 11/2/2011) (djc) (Entered: 11/04/2011) | |||
| 2011-11-15 | 21 | 0 | RECORD ON APPEAL (DVD form). Document filed by Barclays Bank PLC, Barclays Capital Inc. ***Accepted for filing by the Honorable Richard J. Holwell on 11/4/2011, document #20. (mro) (Entered: 11/15/2011) | |||
| 2011-12-20 | 22 | 0 | ORDER FOR ADMISSION PRO HAV VICE granting 10 Motion for John F. Wood to Appear Pro Hac Vice. It is hereby Ordered that John F. Wood is admitted to practice pro hac vice to represent James W. Gidddens, as Trustee for the SIPA Liquidation of Lehman Brothers Inc.(Signed by Judge Richard J. Holwell on 12/19/2011) (mro) (Entered: 12/20/2011) | |||
| 2011-12-22 | 23 | 0 | BRIEF of Statutory Party Securities and Exchange Commission. Document filed by Securities and Exchange Commisison.(Schrage, Patricia) (Entered: 12/22/2011) | |||
| 2011-12-23 | 24 | 0 | Appellee's BRIEF. Document filed by James W. Giddens. Appellant Reply Brief due by 1/6/2012. (Attachments: # 1 Addendum, # 2 Certificate of Service)(Maguire, William) (Entered: 12/23/2011) | |||
| 2011-12-23 | 25 | 0 | Appellant's BRIEF. Document filed by Barclays Bank PLC, Barclays Capital Inc.. Appellee Brief due by 1/12/2012. (Attachments: # 1 Exhibit Exhibit A)(Schiller, Jonathan) (Entered: 12/23/2011) | |||
| 2012-01-30 | 26 | 0 | STIPULATION AND SCHEDULING ORDER: It is hereby Ordered that: Barclays' reply brief, due on February 10, 2012 will be limited to fifty (50) pages. All portions of the Barclays reply brief other than the discussion of the Rule 15c3-3 and SIPA issues (which include the issue of whether Rule 15c3-3 or SIPA prohibits the transfer of $507 million in margin deposits from LBI's OCC accounts) will be briefed in no more than thirty-five (35) pages. (Signed by Judge Richard J. Holwell on 1/27/2012) (mro) (Entered: 01/30/2012) | |||
| 2012-02-09 | 27 | 0 | NOTICE OF CASE REASSIGNMENT to Judge Katherine B. Forrest. Judge Richard J. Holwell is no longer assigned to the case. (sjo) (Entered: 02/09/2012) | |||
| 2012-02-10 | 28 | 0 | Cross Appellant's BRIEF. Document filed by James W. Giddens. (Attachments: # 1 Exhibit 1, # 2 Certificate of Service)(Maguire, William) (Entered: 02/10/2012) | |||
| 2012-02-10 | 29 | 0 | Appellant's REPLY BRIEF. Document filed by Barclays Bank PLC, Barclays Capital Inc.. (Schiller, Jonathan) (Entered: 02/10/2012) | |||
| 2012-02-24 | 30 | 0 | ORDER: Oral Argument set for 4/20/2012 at 02:00 PM in Courtroom 15A, 500 Pearl Street, New York, NY 10007 before Judge Katherine B. Forrest. (Signed by Judge Katherine B. Forrest on 2/24/2012) (ab) (Entered: 02/24/2012) | |||
| 2012-02-24 | 31 | 0 | ORDER: that oral argument on the cross-appeals in the above-captioned matters shall take place on April 20, 2012, and will commence at 2:00 p.m. The parties shall appear in Courtroom 15A, United States Courthouse, 500 Pearl Street, New York, NY 10007. ( Oral Argument set for 4/20/2012 at 02:00 PM in Courtroom 15A, 500 Pearl Street, New York, NY 10007 before Judge Katherine B. Forrest.) (Signed by Judge Katherine B. Forrest on 2/24/2012) (pl) (Entered: 02/24/2012) | |||
| 2012-04-17 | 32 | 0 | ORDER: The Court issues the following guidance to the parties concerning the argument: 1. The parties should assume the Court has read--and has familiarity with--the briefs as well as major aspects of the record, and need not simply recite the arguments in the briefs, or provide detailed factual background. 2.In addition to the other points the parties would like to raise, the Court would like the parties to address the enclosed topics at oral argument. (Signed by Judge Katherine B. Forrest on 4/17/2012) (ft) (Entered: 04/17/2012) | |||
| 2012-04-25 | 33 | 0 | ENDORSED LETTER addressed to Judge Katherine B. Forrest from William R. Maguire dated 4/24/2012 re: counsel writes on behalf of James W. Giddens (the "Trustee"), as trustee for the SIPA liquidation of Lehman Brothers Inc. in response to a question from the Court during the April 20, 2012 oral argument, I undertook to provide case law authority for the proposition that a contract signed by a trustee to transfer assets from a bankruptcy estate outside of the ordinary course of business is unenforceable where the contract has not been approved by the bankruptcy court. ENDORSEMENT: The Clerk of the Court is directed to place this letter on the public docket. (Signed by Judge Katherine B. Forrest on 4/25/2012) (pl) (Entered: 04/26/2012) | |||
| 2012-05-02 | 34 | 0 | TRANSCRIPT of Proceedings re: MOTION held on 4/20/2012 before Judge Katherine B. Forrest. Court Reporter/Transcriber: Thomas Murray, (212) 805-0300. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 5/29/2012. Redacted Transcript Deadline set for 6/7/2012. Release of Transcript Restriction set for 8/3/2012.(McGuirk, Kelly) (Entered: 05/02/2012) | |||
| 2012-05-02 | 35 | 0 | NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a MOTION proceeding held on 4/20/12 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days...(McGuirk, Kelly) (Entered: 05/02/2012) | |||
| 2012-05-02 | 36 | 0 | ENDORSED LETTER addressed to Judge Katherine B Forrest from Jonathan D Schiller dated 5/1/2012 re: Responding briefly to the Trustee's characterizations of the 3 new cases discussed to the Court of 4/24/2012. ENDORSEMENT: The Clerk of the Court is directed to place this letter on the public docket. (Signed by Judge Katherine B. Forrest on 5/2/2012) (cd) (Entered: 05/02/2012) | |||
| 2012-06-05 | 37 | 0 | OPINION & ORDER: #101891 Accordingly, Barclay's appeal is GRANTED IN PART and DENIED IN PART and the Trustee's cross-appeal is DENIED. The Clerk of the Court is directed to close both of the actions at issue in this Opinion--11 Civ. 6052 and 11 Civ. 6053. (Signed by Judge Katherine B. Forrest on 6/5/2012) (tro) Modified on 6/11/2012 (jab). (Entered: 06/05/2012) | |||
| 2012-06-07 | 38 | 0 | NOTICE OF APPEAL from 37 Memorandum & Opinion,. Document filed by James W. Giddens. Filing fee $ 455.00, receipt number 0208-7536359. Form C and Form D are due within 14 days to the Court of Appeals, Second Circuit. (Maguire, William) (Entered: 06/07/2012) | |||
| 2012-06-21 | 39 | 0 | DESIGNATION OF RECORD ON APPEAL re: 38 Notice of Appeal. Document filed by James W. Giddens. (Attachments: # 1 Exhibit 1, # 2 Certificate of Service)(Maguire, William) (Entered: 06/21/2012) | |||
| 2012-07-03 | 40 | 0 | NOTICE OF APPEAL from 37 Memorandum & Opinion,. Document filed by Barclays Bank PLC, Barclays Capital Inc.. Filing fee $ 455.00, receipt number 0208-7614301. Form C and Form D are due within 14 days to the Court of Appeals, Second Circuit. (Hume, Hamish) (Entered: 07/03/2012) | |||
| 2012-07-16 | 41 | 0 | AMENDED OPINION & ORDER: #101891 For the aforementioned reasons, the Bankruptcy Court's February 22, 2011 Opinion is AFFIRMED IN PART and REVERSED IN PART. The Bankruptcy Court's holding that Barclays is not entitled to the 15c3-3 Assets is AFFIRMED; the Bankruptcy Court's finding that Barclays is entitled to the Clearance Box Assets is AFFIRMED; the Bankruptcy Court's holding that Barclays is not entitled to the Margin Assets--and the award of prejudgment interest from Barclays to the Trustee thereon--is REVERSED. Accordingly, Barclay's appeal is GRANTED IN PART and DENIED IN PART and the Trustee's cross-appeal is DENIED. The Clerk of the Court is directed to close both of the actions at issue in this Opinion--11 Civ. 6052 and 11 Civ. 6053. (Signed by Judge Katherine B. Forrest on 7/16/2012) (mro) Modified on 7/23/2012 (jab). (Entered: 07/17/2012) | |||
| 2012-07-16 | 42 | 0 | JUDGMENT that 1. Barclays is entitled to all ofthe "Margin Assets" as defined on page 2 of the Court's Opinion (as revised), except as specifically provided below with respect to the $507 million OCC item, and therefore: a. The Bankruptcy Court's decision holding that Barclays is not entitled to the Margin Assets, and the corresponding portions ofthe Bankruptcy Court's July 15,2011 Order Resolving the Trustee's Motion, its July 15,2011 Order Resolving The Trustee's Adversary Complaint, and its July 15,2011 Order Resolving Barclays' Motion that grant or deny relief based upon the Bankruptcy Court's ruling that Barclay is not entitled to the Margin Assets (found at R.67184-87, R.67327-30, and R.67188-90), are hereby REVERSED; b. The Bankruptcy Court's July 15,2011 Judgment for the Trustee with respect to the Margin Assets (found at R.67370-71), which entered judgment against Barclays in the amount of $2,054,000,000.00, plus ajudgment ofprejudgment interest in the amount of$280,000,000, is hereby REVERSED; c. The Bankruptcy Court is directed to GRANT Barclays' January 29, 2010 Motion to Enforce The Sale Order And To Secure Delivery Of All Undelivered Assets as such motion relates to the Margin Assets, and: (i) to order the Trustee to transfer to Barclays the value as ofthe date ofthis Judgment ofall Margin Assets that are in his possession, including any earnings received on those assets, and including any cash into which any such assets have matured or been converted plus any earnings on that cash, but with such amount reduced by $507 million to reflect the ruling in 3, below; (ii) to order the Trustee to transfer to Barclays the value ofany Margin Assets that may in the future come into the Trustee's possession, which value is to be determined as ofthe date that the Trustee receives those assets, including any earnings received on those assets, and including any cash into which any such assets have matured or been converted plus any earnings on that cash, and to cooperate with Barclays in causing the delivery to Barclays, as soon as practicable, of any and all Margin Assets not yet delivered to Barclays and currently in the possession of third parties, and (iii) to award Barclays additional relief, ifany, as may be appropriate to the extent Barclays is unable to recover any Margin Assets currently in the possession ofthird parties.2. That for the reasons stated in the Court's Opinion ofJune 5, 2012, Barclays is entitled to the Clearance Box Assets as defined in the Bankruptcy Court's February 22, 2011 Opinion, and therefore: a. The Bankruptcy Court's decision holding that Barclays is entitled to the Clearance Box Assets, and the corresponding portions ofthe Bankruptcy Court's July 15,2011 Order Resolving the Trustee's Motion, its July 15,2011 Order Resolving The Trustee's Adversary Complaint, and its July 15,2011 Order Resolving Barclays' Motion that grant or deny relief based upon the Bankruptcy Court's ruling that Barclay is entitled to the Clearance Box Assets (found at R.67184-87, R.67327-30, and R.67188-90), are hereby AFFIRMED; b. The Bankruptcy Court's July 15, 2011 Judgment for Barclays with respect to the Clearance Box Assets (found at R.67429-30), which entered judgment against the Trustee in the amount of $l,lOO,OOO,OOO.OO, is hereby AFFIRMED. 3. That for the reasons stated in the Court's Opinion of June 5, 2012, with respect to the Rule 15c3-3 Assets, as those assets are defined in the Bankruptcy Court's February 22,2011 Opinion: a. The Bankruptcy Court's decision holding that Barclays has only a conditional entitlement to the Rule 15c3-3 Assets, such that it is entitled to the Rule 15c33 Assets only if and to the extent there are remaining assets in the estate after the Trustee is able to pay all allowed customer claims in accordance with SIPA, is AFFIRMED; b. The portions ofthe Bankruptcy Court's July 15,2011 Order Resolving the Trustee's Motion, its July 15,2011 Order Resolving The Trustee's Adversary Complaint, and its July 15,2011 Order Resolving Barclays' Motion that grant or deny relief based upon the Bankruptcy Court's ruling that Barclay has only a conditional entitlement to the $769 million in Rule 15c3-3 Assets (found at R.67184-87, R.67327-30, and R.67188-90), are hereby AFFIRMED, and the Bankruptcy Court is directed to enter similar orders providing that Barclays has the same conditional entitlement to the $507 million portion ofthe Rule 15c3-3 Assets that were held as deposits in LBI's OCC customer account, and that constituted a debit item in the Rule 15c3-3 calculation. 4. The Bankruptcy Court is directed to enter any further orders as may be reasonably necessary or appropriate to implement this Judgment or the rulings in this Court's June 5, 2012 decision. 5. This Judgment is stayed pending resolution ofall appeals from this Judgment, with such stay terminating 30 days after such appeals are finally resolved, and the Trustee is ordered to reserve the amount of $4.6 billion during the period of this stay, and not to distribute or pledge those assets to any other party. In addition, in accordance with 28 U.S.C. ยง 1961, the Trustee shall pay post-judgment interest on the amounts the Trustee is required to transfer to Barclays under this Judgment, measured from the date ofthis Judgment to the date ofpayment (in addition to any post-judgment interest owed on the Judgment in Barclays' favor entered by the District Court and affirmed above). (Signed by Judge Katherine B. Forrest on 7/16/12) (Attachments: # 1 NOTICE OF RIGHT TO APPEAL)(ml) (Entered: 07/17/2012) | |||
| 2012-07-17 | 43 | 0 | AMENDED NOTICE OF APPEAL re: 38 Notice of Appeal, 41 Memorandum & Opinion,,, 42 Judgment,,,,,,,,,,,,,,,,,,,,,,,. Document filed by James W. Giddens. (Maguire, William) (Entered: 07/17/2012) | |||
| 2012-07-19 | 44 | 0 | AMENDED NOTICE OF APPEAL re: 40 Notice of Appeal, 41 Memorandum & Opinion,,, 42 Judgment,,,,,,,,,,,,,,,,,,,,,,,. Document filed by Barclays Bank PLC, Barclays Capital Inc.. (Hume, Hamish) (Entered: 07/19/2012) | |||
| 2012-07-19 | 45 | 0 | TRUE COPY ORDER of USCA as to 43 Amended Notice of Appeal filed by James W. Giddens, 44 Amended Notice of Appeal filed by Barclays Capital Inc., Barclays Bank PLC, 38 Notice of Appeal filed by James W. Giddens, 40 Notice of Appeal, filed by Barclays Capital Inc., Barclays Bank PLC. USCA Case Number 12-2322, 12-2328(L), 12-2657 (xap). IT IS HEREBY ORDERED that the joint motion by the parties for limited remand to the district court, pursuant to FRAP12.1, to allow the District Court to make clerical corrections to its opinion and order and to issue the agreed judgment is GRANTED. This Court retains jurisdiction over the above-referenced matters, and the parties must promptly notify the circuit clerk when the district court has entered the corrected opinion and agreed judgment. Catherine O'Hagan Wolfe, Clerk USCA for the Second Circuit. Certified: 07/18/2012. (nd) (Entered: 07/19/2012) | |||
| 2012-07-19 | 46 | 0 | ORDER of USCA (Certified Copy) as to 43 Amended Notice of Appeal filed by James W. Giddens, 44 Amended Notice of Appeal filed by Barclays Capital Inc., Barclays Bank PLC, 38 Notice of Appeal filed by James W. Giddens, 40 Notice of Appeal, filed by Barclays Capital Inc., Barclays Bank PLC USCA Case Number 12-2322, 12-2328(L), 12-2657 (xap). This appeal was withdrawn subject to reinstatement upon terms agreed to by the parties. Counsel for the appellant has submitted a timely notice of reinstatement. It is hereby ORDERED that the appeal is REINSTATED. Catherine O'Hagan Wolfe, Clerk USCA for the Second Circuit. Certified: 7/18/2012. (nd) (Entered: 07/19/2012) | |||
| 2012-07-31 | 47 | 0 | SECOND DESIGNATION OF RECORD ON APPEAL re: 43 Amended Notice of Appeal, 38 Notice of Appeal. Document filed by James W. Giddens. (Attachments: # 1 Exhibit Certificate of Service)(Maguire, William) (Entered: 07/31/2012) | |||
| 2012-08-01 | 48 | 0 | COUNTER DESIGNATION OF RECORD ON APPEAL re: 43 Amended Notice of Appeal. Document filed by Barclays Bank PLC, Barclays Capital Inc.. (Schiller, Jonathan) (Entered: 08/01/2012) | |||
| 2014-10-01 | 49 | 0 | MOTION to Confirm the Scope of the Court's Amended Opinion and Order and Judgment . Document filed by James W. Giddens.(Maguire, William) (Entered: 10/01/2014) | |||
| 2014-10-01 | 50 | 0 | MEMORANDUM OF LAW in Support re: 49 MOTION to Confirm the Scope of the Court's Amended Opinion and Order and Judgment . . Document filed by James W. Giddens. (Maguire, William) (Entered: 10/01/2014) | |||
| 2014-10-01 | 51 | 0 | DECLARATION of Samuel C. McCoubrey in Support re: 49 MOTION to Confirm the Scope of the Court's Amended Opinion and Order and Judgment .. Document filed by James W. Giddens. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3, # 4 Exhibit 4, # 5 Exhibit 5, # 6 Exhibit 6, # 7 Exhibit 7, # 8 Exhibit 8, # 9 Exhibit 9, # 10 Exhibit 10, # 11 Exhibit 11, # 12 Exhibit 12, # 13 Exhibit 13, # 14 Exhibit 14, # 15 Exhibit 15, # 16 Exhibit 16, # 17 Exhibit 17, # 18 Exhibit 18, # 19 Exhibit 19, # 20 Exhibit 20, # 21 Exhibit 21, # 22 Exhibit 22, # 23 Exhibit 23, # 24 Exhibit 24, # 25 Exhibit 25, # 26 Exhibit 26, # 27 Exhibit 27, # 28 Exhibit 28)(Maguire, William) (Entered: 10/01/2014) | |||
| 2014-10-03 | 52 | 0 | ORDER: On October 1, 2014, the trustee filed a motion to confirm the scope of the Court's Amended Opinion and Order and Judgment. It is hereby ORDERED: 1. An opposition brief is due not later than Monday, October 20, 2014. 2. A reply brief is due not later than Thursday, October 30, 2014. 3. Lead counsel for all parties shall appear for an oral argument on Monday, November 3, 2014 at 10:30 a.m. regarding the motion. The Court has reserved two hours for the argument., ( Responses due by 10/20/2014., Replies due by 10/30/2014.), ( Oral Argument set for 11/3/2014 at 10:30 AM before Judge Katherine B. Forrest.) (Signed by Judge Katherine B. Forrest on 10/3/2014) (lmb) (Entered: 10/03/2014) | |||
| 2014-10-06 | 53 | 0 | JOINT LETTER MOTION for Extension of Time addressed to Judge Katherine B. Forrest from Barclays Capital Inc. dated October 6, 2014. Document filed by Barclays Bank PLC, Barclays Capital Inc..(Schiller, Jonathan) (Entered: 10/06/2014) | |||
| 2014-10-07 | 54 | 0 | ORDER granting 53 Letter Motion for Extension of Time. 1. Oral argument adjourned to 1/16/15 at 12pm - 2pm. Time split evenly (eat lunch before you arrive b/c we won't break.) 2. Briefing schedule adopted as set forth on p.1, 2d. paragraph. Reply due by 12/12/2014. Responses due by 11/21/2014. (Signed by Judge Katherine B. Forrest on 10/7/2014) (lmb) (Entered: 10/07/2014) | |||
| 2014-11-06 | 55 | 0 | MOTION for Leave to File Corrected Memorandum of Law and Declaration Notice Of Trustee's Unopposed Motion For Leave To File A Corrected Memorandum Of Law And Declaration. Document filed by James W. Giddens.(Maguire, William) (Entered: 11/06/2014) | |||
| 2014-11-06 | 56 | 0 | AFFIRMATION of Samuel C. McCoubrey in Support re: 55 MOTION for Leave to File Corrected Memorandum of Law and Declaration Notice Of Trustee's Unopposed Motion For Leave To File A Corrected Memorandum Of Law And Declaration.. Document filed by James W. Giddens. (Attachments: # 1 Exhibit Exhibit A, # 2 Exhibit Exhibit B, # 3 Exhibit Exhibit C)(Maguire, William) (Entered: 11/06/2014) | |||
| 2014-11-06 | 57 | 0 | NOTICE OF APPEARANCE by Robert W. Gaffey on behalf of Lehman Brothers Holdings Inc.. (Gaffey, Robert) (Entered: 11/06/2014) | |||
| 2014-11-06 | 58 | 0 | NOTICE OF APPEARANCE by William J. Hine on behalf of Lehman Brothers Holdings Inc.. (Hine, William) (Entered: 11/06/2014) | |||
| 2014-11-06 | 59 | 0 | RULE 7.1 CORPORATE DISCLOSURE STATEMENT. No Corporate Parent. Document filed by Lehman Brothers Holdings Inc..(Gaffey, Robert) (Entered: 11/06/2014) | |||
| 2014-11-06 | 60 | 0 | MOTION to File Amicus Brief . Document filed by Lehman Brothers Holdings Inc.. (Attachments: # 1 Exhibit A Proposed Amicus Brief)(Gaffey, Robert) (Entered: 11/06/2014) | |||
| 2014-11-06 | 61 | 0 | MEMORANDUM OF LAW in Support re: 60 MOTION to File Amicus Brief . . Document filed by Lehman Brothers Holdings Inc.. (Gaffey, Robert) (Entered: 11/06/2014) | |||
| 2014-11-07 | 62 | 0 | MEMO ENDORSEMENT granting 55 Motion for Leave to File Document. ENDORSEMENT: Motion granted. (Signed by Judge Katherine B. Forrest on 11/7/2014) (lmb) (Entered: 11/07/2014) | |||
| 2014-11-10 | 63 | 0 | LETTER MOTION for Leave to File Excess Pages addressed to Judge Katherine B. Forrest from Barclays Capital Inc. dated November 10, 2014. Document filed by Barclays Bank PLC, Barclays Capital Inc..(Schiller, Jonathan) (Entered: 11/10/2014) | |||
| 2014-11-11 | 64 | 0 | LETTER RESPONSE in Opposition to Motion addressed to Judge Katherine B. Forrest from William R. Maguire dated November 11, 2014 re: 63 LETTER MOTION for Leave to File Excess Pages addressed to Judge Katherine B. Forrest from Barclays Capital Inc. dated November 10, 2014. . Document filed by James W. Giddens. (Maguire, William) (Entered: 11/11/2014) | |||
| 2014-11-12 | 65 | 0 | ORDER granting 60 Motion to File Amicus Brief; granting 63 Letter Motion for Leave to File Excess Pages. Motion for page limit extension to 35 pages granted (the Trustee may have a similar # of pages additional on reply.) Motion by LBHI to file amicus granted. (Signed by Judge Katherine B. Forrest on 11/12/2014) (lmb) (Entered: 11/12/2014) | |||
| 2014-11-13 | 66 | 0 | BRIEF of Amicus Curiae in support of LBI Motion. Document filed by Lehman Brothers Holdings Inc..(Gaffey, Robert) (Entered: 11/13/2014) | |||
| 2014-11-17 | 67 | 0 | MEMORANDUM OF LAW in Support re: 49 MOTION to Confirm the Scope of the Court's Amended Opinion and Order and Judgment . CORRECTED Memorandum of Law in Support. Document filed by James W. Giddens. (Maguire, William) (Entered: 11/17/2014) | |||
| 2014-11-17 | 68 | 0 | DECLARATION of Samuel C. McCoubrey (CORRECTED Declaration) in Support re: 49 MOTION to Confirm the Scope of the Court's Amended Opinion and Order and Judgment .. Document filed by James W. Giddens. (Attachments: # 1 CORRECTED Exhibit 1)(Maguire, William) (Entered: 11/17/2014) | |||
| 2014-11-20 | 69 | 0 | NOTICE OF APPEARANCE by Samuel C. McCoubrey, III on behalf of James W. Giddens. (McCoubrey, Samuel) (Entered: 11/20/2014) | |||
| 2014-11-21 | 70 | 0 | RESPONSE in Opposition to Motion re: 49 MOTION to Confirm the Scope of the Court's Amended Opinion and Order and Judgment . . Document filed by Barclays Bank PLC, Barclays Capital Inc.. (Schiller, Jonathan) (Entered: 11/21/2014) | 2015-01-16 15:42:59 | 6ed0aca866bcc95285a59b7fd42c714cd8caa23b | |
| 2014-11-21 | 71 | 0 | DECLARATION of Tricia Bloomer in Opposition re: 49 MOTION to Confirm the Scope of the Court's Amended Opinion and Order and Judgment .. Document filed by Barclays Bank PLC, Barclays Capital Inc.. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3, # 4 Exhibit 4, # 5 Exhibit 5, # 6 Exhibit 6, # 7 Exhibit 7, # 8 Exhibit 8)(Schiller, Jonathan) (Entered: 11/21/2014) | |||
| 2014-12-12 | 72 | 0 | REPLY MEMORANDUM OF LAW in Support re: 49 MOTION to Confirm the Scope of the Court's Amended Opinion and Order and Judgment . . Document filed by James W. Giddens. (Maguire, William) (Entered: 12/12/2014) | |||
| 2014-12-12 | 73 | 0 | DECLARATION of Samuel C. McCoubrey, Supplemental Declaration in Further Support in Support re: 49 MOTION to Confirm the Scope of the Court's Amended Opinion and Order and Judgment .. Document filed by James W. Giddens. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3 Part A, # 4 Exhibit 3 Part B, # 5 Exhibit 3 Part C)(Maguire, William) (Entered: 12/12/2014) | |||
| 2015-01-13 | 74 | 0 | LETTER addressed to Judge Katherine B. Forrest from Jonathan D. Schiller, Esq. dated 01/13/2015 re: Requesting Permission to Bring Electronic Devices Into Courtroom. Document filed by Barclays Capital Inc..(Schiller, Jonathan) (Entered: 01/13/2015) | |||
| 2015-01-15 | 75 | 0 | ORDER: In connection with tomorrow's oral argument, the Court provides the following questions for the parties to consider. This list of questions is not meant to limit the parties' arguments or alter the manner of presentation, but to suggest several areas of interest to the Court as further set forth in this order. (Signed by Judge Katherine B. Forrest on 1/15/2015) (lmb) (Entered: 01/15/2015) | |||
| 2015-02-02 | 76 | 0 | TRANSCRIPT of Proceedings re: conference held on 1/16/2015 before Judge Katherine B. Forrest. Court Reporter/Transcriber: Carol Ganley, (212) 805-0300. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 2/26/2015. Redacted Transcript Deadline set for 3/9/2015. Release of Transcript Restriction set for 5/7/2015.(McGuirk, Kelly) (Entered: 02/02/2015) | |||
| 2015-02-02 | 77 | 0 | NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a conference proceeding held on 1/16/2015 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days...(McGuirk, Kelly) (Entered: 02/02/2015) | |||
| 2015-03-09 | 78 | 0 | MANDATE of USCA (Certified Copy) as to 43 Amended Notice of Appeal filed by James W. Giddens, 44 Amended Notice of Appeal filed by Barclays Capital Inc., Barclays Bank PLC, 38 Notice of Appeal filed by James W. Giddens, 40 Notice of Appeal, filed by Barclays Capital Inc., Barclays Bank PLC. USCA Case Number 12-2328-bk(L); 12-2657-bk (xap). For the reasons stated in our opinion in In re Lehman Bros. Holdings, Inc., 761 F.3d 303 (2013), the judgment of the district court is AFFIRMED. Catherine O'Hagan Wolfe, Clerk USCA for the Second Circuit. Issued As Mandate: 03/09/2015. (nd) (Entered: 03/09/2015) | |||
| 2015-04-22 | 79 | 0 | OPINION & ORDER re: (49 in 1:11-cv-06052-KBF) MOTION to Confirm the Scope of the Court's Amended Opinion and Order and Judgment, filed by James W. Giddens; (46 in 1:11-cv-06053-KBF) MOTION to Confirm the Scope of the Court's Amended Opinion and Order and Judgment, filed by James W. Giddens. The scope of this Court's Judgment originally set forth on July 16, 2012, as affirmed by the Second Circuit, is clear: Barclays is entitled to all Margin Assets. The Trustee's motion is DENIED. The Clerk of Court is directed to close the motion at ECF No. 49. (Signed by Judge Katherine B. Forrest on 4/22/2015) (kko) (Entered: 04/22/2015) |