Professional Documents
Culture Documents
EXHIBITS
Excerpts from l0-Q filing for the quarterly period ended February 28 2009
Selected press releases issued by Spongetech between April 2007 and December
2007 regarding SA Trading
Selected press releases issued by Spongetech between March 2008 and August
2008
Excerpts from 0-KSB filing for the year ended May 31 2008
Excerpts from 10-Q filing for the quarterly period ended February 28 2009
Excerpts from 0-KSB filing for the year ended May 31 2008
Worldwide Stock transfer agent registrar control book showing Spongetech shares
Olde Monmouth transfer agent registrar control book showing Spongetech shares
Bank account business signature cards for Asset Management Enterprises AlT
Capital and Wesley Equities
Pensley attorney opinion letters dated March 15 2007 April 23 2007 May 18
2007 and June 19 2007
Excerpts from Olde Monmouth transfer agent master transaction journal showing
BB Excerpt from Worldwide Stock transfer agent transfer journal showing issuance
CC Excerpt from Worldwide Stock transfer agent transfer journal showing transfer of
EE Excerpts from Acacia Investors LLC brokerage account statements showing sale
HH Excerpt from Worldwide Stock transfer agent transfer journal showing transfer of
JJ Excerpt from Worldwide Stock transfer agent transfer journal showing issuance
MM Excerpt from Worldwide Stock transfer agent transfer journal showing issuance
of shares to Wesley Equities on June 25 2009 and transfer of those shares from
QQ Excerpt from Worldwide Stock transfer agent transfer journal showing issuance
of shares to AlT Capital on June 25 2009 and transfer of those shares from AlT
29 2009
SS Wire transfer to AlT Capital debit memo from AlT Capital to RM Enterprises
Plaintiff
CV-1O-2031
Defendants
EXHIBIT
Case 1:10-cv-02031-DLI -JMA Document 45-1 Filed 06/18/10 Page 2 of 2
October 2009
IN THE MATTER OF
SPONGETECH DELIVERY SYSTEMS INC
ORDER OF SUSPENSION
OF TRADING
File No 500-1
Systems Inc SpongeTech because questions have arisen regarding the accuracy of
assertions in press releases to investors and in periodic reports filed with the Commission
concerning among other things the amount of sales and customer orders received by
as reported in its fmancial statements In addition SpongeTech has not filed any periodic
reports with the Commission since the period ended February 28 2009
The Commission is of the opinion that the public interest and the protection of
Exchange Act of 1934 that trading in the securities of the above-listed company is
suspended for the period from 930 a.m EDT on October 2009 through 1159 p.m
By the Commission
Elizabeth Murphy
Secretary
Case 1:10-cv-02031-DLI -JMA Document 45-2 Filed 06/18/10 Page 1 of 3
Plaintiff
CV-1O-2031
Defendants
EXHIBIT
Case 1:10-cv-02031-DLI -JMA Document 45-2 Filed 06/18/10 Page 2 of 3
Page of 35
l0-Q v146656_lOq.htm
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington DC 20549
FORM 1O-Q
NI QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15D OF THE SECURITIES EXCHANGE ACT OF 1934
Delaware 54-2077231
rd
43 West 33 Street Suite 600
212 695-7850
Indicate by check mark whether the registrant has filed all reports required to be filed by Section 13 or 15 of the
Securities Exchange Act of 1934 during the past 12 months or for such shorter period that the registrant was required to file
such reports and has been subject to such filing requirements for the past 90 days
YesIXl NoD
Indicate by check mark whether the registrant is large accelerated filer an accelerated filer non-accelerated filer or
smaller reporting company See the definitions of large accelerated filer accelerated filer and smaller reporting
As of April 16 2009 the Company had 722866061 shares of common stock issued and outstanding
1201251/000114420409021409/v 5/5/2010
http//www sec.gov/Archives/edgar/data/ 146656_i Oq.htm
Case 1:10-cv-02031-DLI -JMA Document 45-2 Filed 06/18/10 Page 3 of 213
Page of3S
Additionally prior to the last fiscal year we had historically depended on one customer for almost all of our sales
Specifically in 2003 we sold an aggregate of 183000 sponges to TurtleWax which represented approximately 75% of our
orders These sales to TurtleWax resulted in net sales of approximately S29 1000 during the year ended May
2003 Commencing during the fiscal year ended May 2007 and the six months ended February 28 2008 we
our business and reduced our dependence on one and our sales
significantly developed sales large customer diversified by
We have also historically depended primarily on one manufacturer for the production of our cleaning products Such
manufacturer was H.H Brown Shoe Technologies Inc dlb/a Dicon
Technologies which closed its manufacturing
operations in 2007 In 2007 an investment bought Dicon Technologies from H.H .Brown Shoe Technologies Inc
company
From that time until recently some products were manufactured in China by partners of our manufacturer under an oral
agreement using encapsulation technology instead of technology relating to hydrophilic sponges Currently our products are
being manufactured by Dicon under an oral agreement To handle our growing sales our products are being manufactured by
multiple manufacturers
We may still use China facilities for Pacific Rim distribution South Korea Japan China Thailand Vietnam
etc However there is significant lead time required on products manufactured abroad As result to the extent that we
are unable to obtain products manufactured in the United States there is no assurance that we will be able to maintain
sufficient inventory on hand to fulfill orders which require delivery in short time frames If we are unable to deliver products
During the last two fiscal years we received some essential services at no charge due to certain business relationships
established by our management Had we been charged for all these services these costs would be reflected as expenses in
our financial statements Some of the areas where these services were provided include but are not limited to art work
packaging design and consulting We anticipate that this arrangement will continue at least through the current fiscal
year If and when this arrangement ceases we expect that our costs of doing business will increase
Our business model is to outsource our operations when possible We intend to look to outsource our sales team who will
devote their efforts to promoting and selling our products and fostering relationships with distributors who can assist us with
getting our products on the shelves of large retailers such as Wal-Mart and Costco However there is no guarantee that with
Marketing
We are making strong effort to increase the domestic sales in automotive stores retail stores home improvement stores
convenience stores mass markets catalogs drug chains dollar stores and specialty stores These efforts have resulted in
shipments to CVS Kroger Ace Hardware Bashas Price Chopper Strauss Auto Walgreens and other distributors In
addition we are participating in numerous local and national trade shows throughout the USA to promote our products in
We have developed new TV Spots in HD High Definition mode and for radio spots which began running on March 23
2009 They support our growing domestic retail efforts and provide product information for our Car Care Child Care Home
Care and Pet Care cleaning products We will also continue to seek to promote our products during special events such as the
March Madness NCAA basketball tournament the Westminster Dog Show and to sponsor regional marketing events with
special product offers In addition we expanded our Pet Care product line with the introduction of the Pet Bowl Cleaner
Further in March 2009 we further improved our Spongetech website with better graphics and layout an enhanced investor
Also we have expanded our 2009 sponsorship of MLB professional baseball sports teams by entering into agreements with
the New York Mets New York Yankees and the St Louis Cardinals site of the 2009 MLB All-Star game the terms of
On February 2009 we entered into an advertising agreement with the Queens Ballpark Company QBC to
advertise our cleaning products and for certain advertising rights during all
games including practices or workouts
played by the New York Mets during the term of the Agreement The term of the agreement commenced on the
of the 2009 Baseball Season and on December 31 2011 The Agreement may be terminated by
opening day expires
either if the other materially breaches the representations and warranties contained in the
party party
Agreement ii the Mets permanently relocates to another facility as its primary baseball facility by QBC if
Plaintiff
CV-lO-2031
Defendants
EXHIBIT
Case 1:10-cv-02031-DLI -JMA Document 45-3 Filed 06/18/10 Page 2 of 11
Business Wire
April 30 2007
Spongetech Signs Letter of Intent to Sell 1500000 Biodegradable Car Wash and Car Wax Sponges to South
America
Intent LOl to sell 1500000 Car Wash and Car Wax sponges to exporter SA Trading Group Corp SA Trading
Group is an exporter of automotive products to South America All terms of the LOI are subject to SA Trading
Groups approval of translating the products packaging in Spanish and Portuguese as well as establishing fact
ory in South America within three years The company anticipates distribution and sales of the cutting-edge bio
Steven Moskowitz Chief Financial Officer of Spongetech Delivery Systems stated This is an exciting time for
our company We look forward to finalizing our agreement with SA Trading Group Corp and beginning our
sales and distribution into South America Mr Moskowitz further stated We continue to receive strong global
interest and demand for our biodegradable Car Wash and Car Wax Sponges Our sponges eliminate the use of
bucket and allows customers the ability to wash and wax eight or more cars
The companies specially configured contain an outer contact layer and an inner matrix Within this in
sponges
with minimal pressure the soap or soap and wax are simultaneously applied to the surface When the sponge is
not in use the hydrophilic matrix holds the so that does not leak out of the This no leak system
soap it
sponge
allows each sponge to wash as many as eight cars
For more information please contact Investor Relations at 973 351-3868 for Stephen Taylor or visit the com
pany websi te at www.spongetech.com
Spongetech Delivery Systems is development stage company which designs produces markets and distrib
liquid absorbing foam polyurethane matrices The Companys sponges are specially configured with an outer
contact layer and an inner matrix which is loaded with specially formulated soaps and wax that are released
technology for the development of sponges for other uses including for use with anti-bacterial bath and kitchen
soaps for household uses as well as for use as childrens bath foam sponge
Safe Harbor Statement Under The Private Securities Litigation Reform Act of 1995 The statements in the press
release that relate to the companys expectations with regard to the future impact on the companys results from
new products in development are forward-looking statements within the meaning of the Private Securities Litig
ation Reform Act of 1995 The results anticipated by any or all of these forward-looking statements may not oc
cur Additional risks and uncertainties are set forth in the Companys Annual Report on Form l0-KSB for the
March 31 2006 The Company undertakes no obligation to publicly release the result of any revisions to these
forward-looking statements that may be made to reflect events or circumstances after the date hereof or to re
flect the occurrence of unanticipated events or changes in the Companys plans or expectations MULTIMEDIA
AVAILABLE http//www.businesswire.com/cgi-bin/mmg.cgieid 5389449
973-351-3868 STEPHTAYL9@AOL.COM
PHOTO 94112
INDEX REFERENCES
NEWS SUBJECT Business Management BU42 Sales Marketing IMA51 Contracts Orders
REGION Americas 1AM92 North America 1N039 Latin America ILA15 USA 1US73 New York
Language EN
Steven Moskowitz
Business Wire
June 18 2007
$3000000 line of credit This gives the company the funds it needs for its continuing growth
Steven Moskowitz Chief Financial Officer of Spongetech Delivery Systems stated This gives us the
funding to continue to grow now and set us up for very good break-out year for the company will
have more information in the next couple of days and will give the shareholders more detailed
For more information please contact Investor Relations at 1-877- SPONGE for Bill Young or visit the
containing hydrophilic liquid absorbing foam polyurethane matrices The Companys sponges are
specially configured with an outer contact layer and an inner matrix which is loaded with specially
formulated soaps and wax that are released when the sponge is applied to surface with minimal
pressure The Companys products are currently designed specifically for vehicular cleaning use
However the Company is
exploring the possibility of using its patented technology for the
development of sponges for other uses including for use with anti-bacterial bath and kitchen soaps
for household uses as well as for use as childrens bath foam sponge
Safe Harbor Statement Under The Private Securities Litigation Reform Act of 1995 The statements
in the press release that relate to the companys expectations with regard to the future impact on the
meaning of the Private Securities Litigation Reform Act of 1995 The results anticipated by any or all
of these forward-looking statements may not occur Additional risks and uncertainties are set forth in
theCompanys Annual Report on Form 10-KSB for the year ended December 31 2005 the
Companys Quarterly Report on Form 10-QSB for the first quarter ended March 31 2006 The
Company undertakes no obligation to publicly release the result of any revisions to these forward
looking statements that may be made to reflect events or circumstances after the date hereof or to
reflect the occurrence of unanticipated events or changes in the Companys plans or expectations
CONTACT Spongetech Delivery Systems Inc Investor Relations Bill Young 1-877-776-6438
wayoungs5aol.com
INDEX REFERENCES
NewsRoom
Wesifaw NewsRoom
Business Wire
June 28 2007
Spongetech $3000000 LC Completed to Meet Production Demands Media Campaign Expanded CFO Gives
Company Update
NEW YORK--BUSINESS WIRE--June 28 2007--Spongctech Delivery Systems Inc OTCBB SPNG CFO
Steven Moskowitz announced last week the company has been provided with $3000000 letter of credit The
$3000000 letter of credit is to the SA Trading Company and is assigned to the company to meet production
needs half from Bank of America and half from Banco Popular The timeframe in which it can be it
pulled
down is
September 2007 to September 2008
Spongetech was at the New York City Licensing Show last week and had much interest in the sponge delivery
systems from major companies The Company was able to demonstrate and explain to many of the companies
there that the sponge is the delivery system for any product that can be put into it This makes for very inter
esting time for the company because of having an Environmentally Friendly SpOnge many other companies
can utilize it with their products
The Spongetech summer time media campaign is running as scheduled on all the major carriers and internet
Steven Moskowitz Chief Financial Officer of Spongetech Delivery Systems stated As said last week the
$3000000 gives us the funding to continue to grow now and set us up for very good break-out year for the
company was at the New York City Licensing Show last week with CEO Michael Metter and we were pleased
with the response from the companies Their understanding that this is new delivery system for their product
and is
biodegradable Environmentally was received hit The media campaign
Friendly system as is
going
strong it seems am doing interviews weekly Tuesday did an interview with CEOCFO another new you
tube.com spot and others are due to come out have been asked if we are planning any more Give-Aways
would like the public and especially the shareholder to tell us what Give-Away would you like to see Call
For more information please contact Investor Relations at 1-877- SPONGE for Bill Young or visit the com
pany website at www.spongetech.com
cleaning products for vehicular use utilizing patented technology relating to sponges containing hydrophilic
liquid absorbing foam polyurethane matrices The Companys sponges are specially configured with an outer
contact layer and an inner matrix which is loaded with specially formulated soaps and wax that are released
technology for the development of sponges for other uses including for use with anti-bacterial bath and kitchen
soaps for household uses as well as for use as childrens bath foam sponge
Safe Harbor Statenient Under The Private Securities Litigation Reform Act of 1995 The statements in the
press release that relate to the companys expectations with regard to the future impact on the companys results
from new products in development are forward-looking statements within the meaning of the Private Securities
Litigation Reform Act of 1995 The results anticipated by any or all of these forward-looking statements may
not occur Additional risks and uncertainties are set forth in the Companys Annual Report on Form 0-KSB for
the year ended December 31 2005 the Companys Quarterly Report on Form 0-QSB for the first quarter ended
March 31 2006 The Company undertakes no obligation to publicly release the result of any revisions to these
forward-looking statements that may be made to reflect events or circumstances after the date hereof or to re
flect the occurrence of unanticipated events or changes in the Companys plans or expectations
Investor Relations
wayoung55@aol.com
INDEX REFERENCES
REGION USA IUS73 Americas 1AM92 North America 1NO39 New York 1NE72
Language EN
Friendly Media Campaign Expanded Michael Metter Safe Spongetech Steven Moskowitz North America
Funding
PR Newswire
December 20 2007
SpongelechR Delivery Systems Inc Filled Initial South American Order in September Now Re-order over
$2475000 USD
President of S.A Trading Company States that SpongeTechR has Only Scratch the Surface of the After-
Trading Company who is our distributor for South America We shipped an initial order in September and they
just ordered over 240000 units This total new order comes to $2475500 USD
for expansion and growth in the South American after-market automotive parts industry
In fact Anthony Gonzales the President of this S.A Trading Company recently talked to Mr Moskowitz to
confirm his rather sizable order and to express the fact that he felt SpongeTechR had only scratched the sur
as much as we love our women commented Mr Gonzales and keeping our cars clean is nearly national
past-time for us Our client base which exists of automotive after-market stores and other similar retail
parts
For more information please contact Investor Relations at 1-877- SPONGE for Bill Young or visit the com
pany website at www.spongetech.com
use utilizing patented technology relating to sponges containing hydrophilic liquid absorbing foam polyureth
ane matrices The Companys sponges are specially configured with an outer contact layer and an inner matrix
which is loaded with specially formulated soaps and wax that are released when the sponge is applied to sur
face with minimal pressure The Companys products are currently designed specifically for vehicular cleaning
use However the Company is exploring the possibility of using its patented technology for the development of
sponges for other uses including for use with anti-bacterial bath and kitchen soaps for household uses as well
as for use as childrens child-safe bath foam sponge Each SpongeTechR Delivery System sponge
is
fully
biodegradable and is
designed with their cutting-edge technology and environmentally friendly
Safe Harbor Statement Under The Private Securities Litigation Reform Act of 1995 The statements in the
press release that relate to the companys expectations with regard to the future impact on the companys results
from new products in development are forward-looking statements within the meaning of the Private Securities
Litigation Reform Act of 1995 The results anticipated by any or all of these forward-looking statements may
not occur Additional risks and uncertainties are set forth in the Companys Annual Report on Form 10-KSB for
the year ended December 31 2005 the Companys Quarterly Report on Form 10-QSB for the first quarter ended
March 31 2006 The Company undertakes no obligation to publicly release the result of any revisions to these
flect the occurrence of unanticipated events or changes in the Companys plans or expectations
infospongetech.com
INDEX REFERENCES
AU98
REGION 1BR84
Brazil Americas 1AM92 North America 1N039 Latin America ILA15 USA
1U573 New York 1NE72 South America 1S003
Language EN
PRWIRE 140000
12/20/07
END OF DOCUMENT
Plain tiff
CV-1O-2031
Defendants
EXHIBIT
Case 1:10-cv-02031-DLI -JMA Document 45-4 Filed 06/18/10 Page 2 of 7
VVesttaw NewsRoom
PR Newswire
March 2008
SpongeTech DeIiery Systems Inc Gets $2750000 Re-order from its U.S Asia Distribution Company Inc First
93% sell through in just 25 days They distributed the SpongeTech products to 325 outlets The re-order for 250000
units is scheduled for delivery between August and December 2008 According to Tom Chang CEO of U.S Asia Distri
bution Company Inc there was great acceptance and enthusiasm of the SpongeTech Auto Care Products He expects
Steven Moskowitz COO of SpongeTech commented We are pleased with this re-order as we continue to expand
and grow our Company We are also in the process of testing the SpongeTech Pet Sponge and Puddle Pals in Asia and
hope to see the same acceptance and enthusiasm with these products as well
For more information please contact Investor Relations at 1-877-SPONGE or visit the company website at
www.spongetech.com
ing products for vehicular use utilizing patented technology relating to sponges containing hydrophilic liquid absorbing
foam polyurethane matrices The Companys are specially configured with an outer contact layer and an inner
sponges
matrix which is loaded with specially formulated soaps and wax that are released when the sponge is applied to surface
with minimal pressure The Companys products are currently designed specifically for vehicular cleaning use However
the Company is exploring the possibility of using its patented technology for the development of for other uses
sponges
foam sponge
Safe Harbor Statement Under The Private Securities Litigation Reform Act of 1995 The statements in the press re
lease that relate to the Companys expectations with regard to the future impact on the Companys results from new
products in development are forward-looking statements within the meaning of the Private Securities Litigation Reform
Act of 1995 The results anticipated by any or all of these forward-looking statements may not occur Additional risks
and uncertainties are set forth in the Companys Annual Report on Form 0-KSB for the year ended December 31 2005
the Companys Quarterly Report on Form 0-QSB for the first quarter ended March 31 2006 The Company undertakes
no obligation to publicly release the result of any revisions to these forward-looking statements that may be made to re
flect events or circumstances after the date hereof or to reflect the occurrence of unanticipated events or changes in the
CONTACT Investors Bill Young SpongeTech Delivery Systems Inc 1-877-776-6438 wayoung55ao1.com or
info@spongetech.com
INDEX REFERENCES
REGION USA 1U573 Americas 1AM92 North America 1NO39 New York 1NE72
Language EN
OTHER INDEXING DELIVERY SYSTEMS INC INVESTORS BILL YOUNG SPONGETECH DELIVERY SYS
TEMS INC OTC BULLETIN BOARD SOURCE SPONGETECH DELIVERY SYSTEMS INC SPNG NEWS
SPONGETECH SPONGETECH AUTO CARE SPONGETECH DELIVERY SPONGETECH DELIVERY SYS
TEMS SPONGETECH DELIVERY SYSTEMS INC SPONGETECH PET SPONGE SPONGETECHR TOM TV
US ASIA DISTRIBUTION US ASIA D1STRIBUTION CO US ASIA DISTRIBUTION CO INC Bill Young Puddle
PR Newswire
May 30 2008
SpongeTechR Delivery Systems Inc Receives New Additional Order from Trading for Wal-Mart South America
SpongeTechRs COO Steven Moskowitz said We are proud to have opened the door to Wal-Mart in South Amer
ica and we believe this will be the of orders with our new retail Trading continues to do
first
many major partners
an exceptional job in placing our exciting product line in South America We look forward to continued world-wide
growth
For more information please contact Investor Relations at 1-877- SPONGE-T and/or visit the Companys website at
www.spongetech.com
and markets
SpongeTechR Delivery Systems is development stage company which designs produces unique
line of reusable cleaning products for the automotive aftermarket parts industry These sponge-based products utilize
SpongeTechsR proprietary patent and patent-pending technologies involving hydrophilic liquid absorbing foam
and polyurethane matrices The Companys are specially configured with an outer contact layer and an inner
sponges
matrix the latter of which comes pre-loaded with specially formulated soaps and wax that are released when the sponge
is wetted and applied to surface with minimal The Companys primary product line has been designed spe
pressure
its technology including an anti-bacterial kitchen and bath cleaner as well as unique foaming bath for chil
sponge
dren
Safe Harbor Statement Under The Private Securities Litigation Reform Act of 1995 The statements in the press re
lease that relate to the Companys expectations with regard to the future impact on the Companys results from new
products in development are forward-looking statements within the meaning of the Private Securities Litigation Reform
Act of 1995 The results anticipated by any or all of these forward-looking statements may not occur Additional risks
no obligation to publicly release the result of revisions to these forward-looking statements that may be made to re
any
flect events or circumstances after the date hereof or to reflect the occurrence of unanticipated events or changes in the
INDEX REFERENCES
COMPANY WAL MART STORES INC WAL MART SPONGETECH DELIVERY SYSTEMS INC
NEWS SUBJECT Contracts Orders 1C029 Sales Marketing 1MA5I Business Management 1BU42
REGION South America 1SOO3 North America 1N039 New York INE72 Latin America 1LAI5 Americas
Language EN
OTHER INDEXING ANNOUNCES DELIVERY SYSTEMS DELIVERY SYSTEMS INC MART OTC BULLETIN
BOARD PUDDLE PALS UNCLE NORMANS SPONGES SOURCE
PET SPONGETECH SOUTH AMERICA
SPNGNEWS SPONGETECH SPONGETECHR SPONGETECHR DELIVERY SYSTEMS INC WAL WAL
MART WAL MART SOUTH AMERICA TOTALING Care Kits Steven Moskowitz NEW YORK South America
PR Newswire
August 2008
SpongeTechR Delivery Systems Inc Receives Second Re-order in Excess of $4250000 Patented Sponge Products
from Dubai
SpongeTechR Re-order of 210000 Auto Care Kits Sponges from Dubai and New Order of Test Unit of Our New
Kitchen and Bath Sponges
and it is for 210000 units of our patented Auto Care products and NEW order of 10000 test units of SpongeTechRs
new kitchen and bath sponges which is the companys newest product line in the household cleaning product division
SpongeTechRs COO Steven Moskowitz said We are very pleased with the third and biggest order of 210000 units
The first in November was 11000 units the second was 55000 units in April and now this one What show of positive
response to our products in Dubai This provides us an indication as to the success we will be seeing in the launching of
our new product lines from our other divisions We are confident that our customers will order our other SpongeTechR
products as they come to market SpongeTechR is on its
way to becoming worldwide household brand
For more information please contact Investor Relations at 1-877-SPONGE-T and/or visit the Companys website at
www.spongetech.com
and markets
SpongeTechR Delivery Systems is development stage company which designs produces unique line
of reusable cleaning products for house-hold use These sponge-based products utilize SpongeTechRsR proprietary
patent and patent-pending technologies involving hydrophilic liquid absorbing foam and polyurethane matrices The
Companys sponges are specially configured with an outer contact layer and an inner matrix the latter of which comes
pre-loaded with specially formulated soaps and wax that are released when the sponge gets wet and applied to surface
with minimal pressure The Companys current product line is designed for Car Care and Pet Care however Spon
geTechR is
currently exploring additional applications for its
technology including an anti-bacterial kitchen and bath
Safe Harbor Statement Under The Private Securities Litigation Reform Act of 1995 The statements in the press re
lease that relate to the Companys expectations with regard to the future impact on the Companys results from new
products in development are forward-looking statements within the meaning of the Private Securities Litigation Reform
no obligation to publicly release the result of revisions to these forward-looking statements that may be made to re
any
flect events or circumstances after the date hereof or to reflect the occurrence of unanticipated events or changes in the
CONTACT Bill Young Investor Relations SpongeTechR Delivery Systems Inc 1-877-776-6438
wayoung55aol.com or infospongetech.com
INDEX REFERENCES
NEWS SUBJECT Intellectual Property 11N75 Economics Trade 1EC26 Patents Trademarks 1PA79
REGION United Arab Emirates 1UA66 Arab States 1AR46 Middle East 1M123 Gulf States 1GU47 North
AmericalNO39 New York INE72 Dubai 1DU43 Americas IAM92 USA lUS73
Language EN
OTHER INDEXING
DELIVERY SYSTEMS DELIVERY SYSTEMS INC DUBAL EXPORT IMPORT CO OTC
BULLETIN BOARD SOURCE SPONGETECH SPNG SPONGETECH SPONGETECHR SPONGETECHR
DELIVERY SYSTEMS INC Auto Care Bath Sponges Bill Young Care Pet Care Steven Moskowitz NEW YORK
Dubai Dubal New York
Plaintiff
CV-lO-2031
Defendants
EXHIBIT
Case 1:10-cv-02031-DLI -JMA Document 45-5 Filed 06/18/10 Page 2 of 13 of 64
Page
1OKSB v12532410ksb.htm
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington D.C 20549
Form 0-KSB
Mark One
ANNUAL REPORT UNDER SECTION 13 OR 15d OF THE SECURITIES EXCHANGE ACT OF 1934
TRANSITION REPORT UNDER SECTIONI3 OR 15d OF THE SECURITIES EXCHANGE ACT OF 1934
Delaware 54-2077231
Copies to
Richard Friedman Esq
Sichenzia Ross Friedman Ference LLP
12 months or for such shorter period that the registrant was required to file such reports and has been subject to such
Check if there is no disclosure of delinquent filers in response to Item 405 of Regulation S-B contained in this form and no
disclosure will be contained to the best of registrants knowledge in definitive proxy or information statements incorporated
by reference in Part Ill of this Form l0-KSB or any amendment to this Form l0-KSB
Indicate by check mark whether the registrant is shell company as defined in Rule l2b-2 of the Exchange Act Yes
State issuers revenues for its most recent fiscal year $5633084
The aggregate market value of the voting and non-voting common equity held by non-affiliates computed by reference to the
average bid and asked price of such common equity as of August 28 2008 is $10387731.24
As of August 28 2008 the issuer had 521085873 outstanding shares of Common Stock
We have also developed prototypes of household cleaning products that are infused with anti-bacterial bath and kitchen
soaps The products are being tested by national detergent manufacturer for possible use under its
logo and brand We
cannot predict whether or not the manufacturer will purchase our sponges and if it does whether the product will succeed in
the marketplace
To date we have developed II products using our technology that are currently for sale in the automotive and pet care
markets In addition we are developing appropriate packaging for the products to promote the products in individual
packaging as well as in store display arrangements There are also additional products under development
We are re-examining all the packaging of our Auto Care products and plan to market separate packages for the Car Sponge
Detail/Degreaser Sponge and EliminatorTM Chamois Packaging is also being developed for the Uncle NormansTM Pet
Sponge Line and the Puddle PaI5TM packaging lines In addition efforts are being made to make all of our packaging earth-
friendly We expect to complete these packaging processes to ship in time for end of 2008 and the early 2009
Customers
We have historically depended on one customer for almost all of our sales Specifically in 2003 we sold an aggregate of
183000 sponges to Turtle Wax which represented approximately 75% of our orders These sales to TurtleWax resulted in net
Between June 12004 and the fiscal year ended May 31 2006 we had minimal sales an aggregate of$15768 and instead
During the fiscal year ended May 31 2008 three customers for an aggregate of approximately 70.5% of our sales Our three
largest customers during the fiscal year ended May 31 2008 are SA Trading Company US Asia Trading and Dubai Export
Import Company
We have historically marketed and sold our automotive cleaning and polishing products in the New York region and beyond
through number of methods and channels including through direct sales sales representative organizations through trade
show and through media sponsorship and advertising channels as more fully set forth below Further as more fully
described below we plan to expand our product lines as well as the focus of our marketing and promotion to cleaning
Direct Sales
We initially launched our website www.spongetech.com in Febmary 2004 to sell our vehicular cleaning kit directly to the
public From inception through the fiscal year ended May 31 2008 we sold approximately 2400 kits for aggregate sales
price of approximately $37900 We pay the website hosting company Harbor Enterprises an average of 20% royalty from
the sales price on all Internet sales We have not entered into contract with Harbor Enterprises Either party may terminate
Sales Representatives
We utilize the services of sales representative organizations to assist with our product sales efforts summary of each of
On July 2005 we entered into an oral agreement with Lidel Fitzmaurice Inc sales group that targets sales
from Virginia to Vermont with eleven sales representatives The sales representatives will receive seven 7% of net
sales which they generate and will be paid on the tenth day of the month following the month in which the sales are
To the extent that statements in the report is not strictly historical including statements as to revenue projections business
strategy outlook objectives future milestones plans intentions goals future financial conditions future collaboration
agreements the success of the Companys development events conditioned on stockholder or other approval or otherwise as
to future events such statements are forward-looking All forward-looking statements whether written or oral and whether
made by or on behalf of the company are expressly qualified by the cautionary statements and any other cautionary
statements which may accompany the forward-looking statements and are made pursuant to the safe harbor provisions of the
Private Securities Litigation Reform Act of 1995 The forward-looking statements contained in this annual report are subject
to certain risks and uncertainties that could cause actual results to differ materially from the statements made Other
important factors that could cause actual results to differ materially include the following business conditions and the
amount of growth in the Companys industry and general economy competitive factors ability to attract and retain
personnel the price of the Companys stock and the risk factors set forth from time to time in the Companys SEC reports
including but not limited to its annual report on Form 10-KSB its
quarterly reports on Forms l0-QSB and any reports on
Form 8-K In addition the disclaims any to update or correct any forward-looking statements in all the
company obligation
Companys annual reports and SEC filings to reflect events or circumstances after the date hereof
Overview
We design produce market and distribute cleaning products primarily for vehicular use utilizing patented technology
relating to sponges containing hydrophilie or liquid absorbing foam polyurethane matrices and other technologies Our
products can be pre-loaded with detergents and waxes which are absorbed in the core of the sponge then gradually released
during use We have designed and are conducting additional research and development for products and applications using
hydrophilic technology and other technologies for kitchen and bath health and beauty auto medial and pet use which we
intend to market and sell as part of our product offering There is no assurance that we will successfully be able to market and
sell products for kitchen and bath health and beauty auto medial andlor pet use
certain uncertainties including difficulties complications and delays frequently encountered in connection with
expenses
conducting operations including capital requirements and managements potential underestimation of initial and ongoing
costs Specifically from our inception in 1999 through the fiscal year ended May 31 2003 we had sales of $342019
Between June 12004 and the fiscal year ended May 31 2006 we had minimal sales an aggregate of$l576X and instead
focused on product development For the fiscal year ended May 31 2007 we had sales of $55112 and incurred net losses of
$817217
Additionally we have historically depended on one customer for almost all of our sales Specifically in 2003 we sold an
aggregate of 183000 sponges to Turtle Wax which represented approximately 75% of our orders These sales to Turtle Wax
resulted in net sales of approximately $291000 during the year ended May 31 2003
For the fiscal year ending May 31 2008 we had sales of $5633084 and net income of $1244455 Accordingly during the
fiscal year ended May 31 2008 we have significantly developed our business and sales reduced our dependence on one
large customer and have diversified our sales by adding other accounts While it is
managements cunent expectation that
the significant increase in sales experienced during the fiscal year ended May 31 2008 and the related development of our
business and operations will continue into the next fiscal year no assurance can be given that this will continue or that we
would not incur any setbacks delays or other interruptions of our business or operations
We have historically depended primarily on one manufacturer for the production of our products Such manufacturer was
H.H Brown Shoe Technologies Inc dlb/a Dicon Technologies and closed its manufacturing operations in 2007 In 2007
an investment company bought Dicon Technologies from H.I-I .Brown Shoe Technologies Inc. From that time until recently
some products were manufactured in China by partners of our manufacturer under an oral agreement using encapsulation
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6 of 13
22 of 64
Results of Operations
Revenues
We had sales of $5633084 for the fiscal year ended May 31 2008 as compared to $55112 for the fiscal year ended May 31
2007 an increase of $5577972 Management attributes this increase to the Companys improved marketing campaign
Prior to the fiscal year ended May 2008 we had historically depended on one customer for almost all of our sales
Specifically in 2003 our most recent year of active operations we sold an aggregate of 183000 sponges to TurtleWax
which represented approximately 75% of our orders These sales to TurtleWax resulted in net sales of approximately
$38898 or approximately 70.6% of sales for the fiscal year ended May 31 2007 While the cost of goods sold increased
significantly as result of our substantial increase in sales the percentage of such costs as compared to sales decreased
but should not necessarily be expected to remain at such levels due to the fact that portion of our cost of goods sold
including costs related to warehousing packaging and shipping of products were borne by and not charged back to the
Company privately-held company controlled by the family of our Chief Operating Officer
Operating Expenses
from $833431 for the fiscal year ended May 31 2007 This increase of $1471135 was primarily result of advertising and
promotion expenses $2027727 associated with the Companys increased presence at trade shows as well as the numerous
media advertising and sponsorships projects undertaken during the fiscal year ended May 31 2008 but were offset in
part
$260664 as compared to the year ended May 31 2007 which totaled $829147 The significant decrease in selling general
2007 both in terms of total dollars spent and as percentage of operating expenses should not be expected to remain at such
levels due to the fact that portion of our selling general and administrative expenses including costs related to product and
package design as well as certain consultants were borne by and not charged back to the Company privately-held
company controlled by the family of our Chief Operating Officer This arrangement is not expected to continue during the
Net income the May 31 was $1244455 $817217 for the fiscal
for fiscal year ended 2008 as compared to net loss of year
As of May 31 2008 we had cash of $208709 as compared to $387 at May 31 2007 The increase was due primarily to cash
Our working capital at May 31 2008 was $4919367 as compared to working capital deficiency of $268498 at May 31
2007
For the year ended May 31 2008 cash provided by operating activities was $542315 primarily attributable to our
$1244455 net income offset primarily by the issuance of common stock for consulting fees loan payments of $4243228
For the year ended May 31 2008 net cash used in investing activities was approximately $3 5993 primarily related to
From January of 2008 through June 2008 the Company issued an aggregate of 267154132 shares of common stock to RM
Enterprises International Inc company that is our majority stockholder and which is controlled by our officers and
directors in consideration of the advance to the Company of an aggregate of $4918432.46 by RM Enterprises International
Inc Such shares were issued in tranches at the time of each of the advances of funds to the Company at 40% discount from
the market price on the date of each such advance The average per share issuance price for the shares was $0.0184
12
BALANCE SHEETS
May3I2008 May3l2007
ASSETS
CURRENT ASSETS
Cash and cash equivalents 208709 387
OTHER ASSETS
Intangible assets net 369243 90000
CURRENT LIABILITIES
LONG-TERM LIABILITIES
STOCKHOLDERS EQUITY
Preferred stock $0.00 par value 50000000 shares authorized shares issued and
Common stock $0.00 par value 750000000 shares authorized 365473214 and
46842406 shares issued and outstanding at May 31 2008 and 2007 respectively 365473 46843
F-3
STATEMENTS OF OPERATIONS
May3l2008 May3l2007
Operating Expenses
Total 833431
operating expenses 2304566
F-4
Additional Total
Issuance of common stock for consulting fees 2830000 2830 538170 541000
Net loss for the year ended May 31 2007 817217 817217
Balaace at May 31 2007 46842406 46843 3447356 3652718 158519
Net income for the year ended May 31 2008 1244455 1244455
F-S
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Case 1:10-cv-02031-DLI -JMA Document 45-5 Filed 06/18/10 Page 12 of 13
Page 52 of 64
May3l2008 May3l2007
OPERATING ACTIVITIES
INVESTING ACTIVITIES
FINANCIAL ACTIVITIES
Supplemental Disclosures
Interest 544
Taxes 0$
Non-cash Transactions
F-6
Plaintiff
CV-1O-2031
Defendants
EXHIBIT
Case 1:10-cv-02031-DLI -JMA Document 45-6 Filed 06/18/10 Page 2 of 4
Business Wire
September 2009
SpongeTech Delivery Systems Inc Reports Record Booked Orders of $70 Million during the First Quarter of
FY 10
Business Editors
approximately $29 million in new orders for the month of August compared to Julys orders of approximately
$23.5 million As SpongeTech has matured its sales and distribution channels we can now appreciate
seasonal effect on the demand for our specialized products Our fiscal Ql which occurs between June and Au
gust is typically the timeframe for winter and holiday season pre-orders from retailers The tremendous growth
that the Company is
experiencing this quarter has been partially due to increased commercial demand for out
complete line of medical and household cleaning products from school systems as well as sporting venues We
feel that this demand is
likely in to the high level of awareness surrounding the upcoming flu season in
response
SpongeTechs products are being ordered and reordered by various major national retail outlets including drug
stores warehouse clubs and big box stores and online at www.spongetech.com The
supermarkets membership
Companys Direct Response marketing has also been showing increase return from commercials that
program its
are aired on cable and satellite channels for its Car Care and Pet Care as well as its newest
nationally products
Childrens Bath Sponge The Companys marketing campaign continues to support the retail distribution with its
sports sponsorship portfolio which includes leveraging several NFL teams MLB teams the World Football
The first quarter has been monumental success in the growth phase of our Company commented Michael
Metter CEO of SpongeTech Within the quarter we have had tremendously successful release of our Chil
drens Bath Sponge Product into the marketplace We also remain very confident that we will meet our goal of
having our complete line of products sold in over 100000 retail locations nationwide by the end of this year
Metter continues We are in the process of finalizing our Annual Report for the fiscal year ending May 31
2009 and expect to file the Form 10-K with the SEC shortly We remain focused and committed to building
SpongeTech into globally recognized Company and continue to work towards building shareholder value
ents an exponential increase in orders over QI FY 09 added SpongeTechs COO Steven Moskowitz We be-
lieve that we will continue to see strong giowth within the Company going into the holiday season Our brand
marketing strategy has been successful thus far and we believe we are positioning SpongeTech to become the
For more information please contact Investor Relations at l-877-SPONGE-T and/or visit the Companys web-
site at www.spongetechinc.com
cleaning products for Car Care Child Care Home Care and Pet Care usages These sponge-like products utilize
SpongeTechs proprietary patent and patent-pending technologies involving hydrophilic liquid absorbing
foam polyurethane matrices or other ingredients The Companys products are pre-loaded with specially formu
lated ingredients such as soap conditioner and/or wax that are released when the sponge is soaked and applied
to surface with minimal SpongeTech is exploring additional applications for its technology in the
pressure
health beauty and medical markets SpongeTech Delivery Systems Inc intends to globally brand its products
Under The Private Securities Litigation Reform Act of 1995 The statements in this presentation that relate to
the Companys expectations with regard to the future impact on the Companys results from new products in de
velopment are forward-looking statements within the meaning of the Private Securities Litigation Reform Act of
1995 The results anticipated by any or all of these forward-looking statements may not occur Additional risks
and May 31
uncertainties are set forth in the Companys Annual Report on Form l0-KSB for the year ended
2008 the Companys Quarterly Report on Form lO-QSB for the Third quarter ended February 28 2009 The
Company undertakes no obligation to publicly release the result of any revisions to these forward-looking state
ments that may be made to reflect events or circumstances after the date hereof or to reflect the occurrence of
Investor Relations
-877-776-6438
info@spongetech.com
or
INDEX REFERENCES
Language EN
OTHER INDEXING BATH SPONGE BATH SPONGE PRODUCT CAR CARE COO DELIVERY SYS
TEMS DELIVERY SYSTEMS INC NFL OTCBB PETSSOURCE REPORTS RECORD BOOKED SEC
SMARTER SPONGE SPNG NEWS SPONGETECH SPONGETECH DELIVERY SYSTEMS INC STATE
KEYWORDS Business Editors Child Care Metter Michael Metter Safe Sarah Fisher Racing SpongeTech
Steven Moskowitz North America
KEYWORDS Women Manufacturing Other Manufacturing Automotive New York Other Automotive Re
tail Specialty Other Retail Consumer Family Men Pets
Plaintiff
CV-1O-2031
Defendants
EXHIBIT
Case 1:10-cv-02031-DLI -JMA Document 45-7 Filed 06/18/10 Page 2Page
of 8 of 35
10-Q vI46656_lOq.htm
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington DC 20549
FORM 1O-Q
121
QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15D OF THE SECURITIES EXCHANGE ACT OF 1934
TRANSITION REPORT PURSUANT TO SECTION 13 OR 15D OF THE SECURITIES EXCHANGE ACT OF 1934
Delaware 54-2077231
rd
43 West 33 Street Suite 600
212 695-7850
Indicate by check mark whether the registrant 11 has filed all reports required to be filed by Section 13 or 15 of the
Securities Exchange Act of 1934 during the past 12 months or for such shorter period that the registrant was required to file
such reports and has been subject to such filing requirements for the past 90 days
YesNi NoD
Indicate by check mark whether the registrant is large accelerated filer an accelerated filer non-accelerated filer or
smaller reporting company See the definitions of large accelerated filer accelerated filer and smaller reporting
Indicate by check mark whether the registrant is shell company as defined in Rule 12b-2 of the Exchange Act
YesD NoEl
As of April 16 2009 the Company had 722866061 shares of common stock issued and outstanding
BALANCE SHEETS
Unaudited
ASSETS
CURRENT ASSETS
Cash and cash equivalents 34570 208709
Accounts receivable 14007301 3974810
Inventory 1126765 387531
Deposits on inventory production 2825037
Prepaid advertising and commissions 3479984 637875
OTHER ASSETS
Intangible assets net 277263 369243
CURRENT LIABILITIES
Accounts payable 456929 202562
Accrued expenses 78975 78975
Loan payable-related party 7021
Income taxes payable 1290011 1000
LONG-TERM LIABILITIES
STOCKHOLDERS EQUITY
Preferred stock $0.00 par value 55000000 shares authorized shares issued and
outstanding
Common stock $0.00 par value 1250000000 shares authorized 1249451605
and 365473214 shares issued and outstanding at February 28 2009 and May 31
2008 1249452 365473
Additional paid-in-capital 17929770 7371954
Less Treasury stock at cost 1719390
Retained earnings deficit 2502197 2408263
F-2
STATEMENTS OF OPERATIONS
Unaudited
Operating Expenses
Other-interest
F-3
STATEMENTS OF OPERATIONS
Unaudited
Operating Expenses
Income from operations and before provision for income taxes 2293063 188482
F-4
INVESTING ACTIVITIES
FINANCING ACTIVITIES
Supplemental Disclosures
Interest
Taxes 1289011
F-S
Februaiy 28 2009
Revenue Recognition
Sales and services are recorded when products are delivered to the customers Provision for discounts estimated returns
and allowances and other adjustments are provided for in the same period the related sales are recorded In instances
where products are configured to customer requirements revenue is recorded upon the successful completion of the
Companys final test proccdures For the nine months ended February 28 2009 six customers SA Trading Company
US Asia Trading Dubai Export Import Company Fesco Sales Corp New Century Media and Walgreens accounted for
Advertising and promotion costs are expensed as incurred For the nine months ended February 28 2009 and 2008
advertising and promotion costs totaled $10178479 and 931 300 respectively Prepaid advertising for future sales
aggregated 3.400984 and prepaid commissions for future sales aggregated $79000 as of Februaiy 28 2009
assets
Intangible
Intangible assets consists of infomcrcials and trademark cost aggregating $382867 The estimated uscfui life of three to
five years is being amortized on straight-line basis Amortization expense for the nine months ended February 28 2009 and
2008 was 95430 and $0 respectively Intangible assets net of accumulated amortization was 277263 and 369243 as
New accounting statements issued and adopted by the Company include the following
inJuly 2006 the Financial Accounting Standards Board issued Interpretation No 48 Accounting for Uncertainty in Income
Taxesan Interpretation of FASB Statement No 109 This interpretation clarifies the accounting for uncertainty in income
taxes recognized in companys financial statements and establishes guidelines for recognition and measurement of tax
position taken or expccted to be taken in tax return We have adopted this statement which became effective on January
2007 The Company has riot made any adjustments as result of the of this interpretation
adoption
F-9
February 28 2009
No person holding shares of Class Stock of record may transfer and the Company shall not register the transfer
of such shares of Class Stock as Class Stock whether by sale assignment gift bequest appointment or otherwise
except to permitted transferee as described in the Certificate of Amendment and any attempted transfer of shares not
On July 16 2008 the Company formed six wholly-owned subsidiaries under the laws of the State of
Nevada Spongetech Kitchen Bath Inc Spongetech Health Beauty Inc Spongetech Auto Inc
Spongetech Medical Inc Spongeteeh Pets Inc and Americas Cleaning Company The Company plans to engage
in its
proposed different lines of business through each of the subsidiaries and to hold all intellectual property in its Americas
Effective December 12 2008 the Board of Directors of the Company amended the Companys Certificate of
Incorporation to increase its authorized capital to 1305000000 shares consisting of 1250000000 shares of common stock
par value $0.00 40000000 shares of preferred stock par value $0.00 and 15000000 shares of Class Stock par value
$0.00
Subsequent to the date of the financial statements the Company cancelled an aggregate of 526585544 shares of common
stock The shares originated from the repurchase of common stock of RM Enterprises This reduces the number of
F- 16
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Case 1:10-cv-02031-DLI -JMA Document 45-8 Filed 06/18/10 Page 1 of 4
Plaintiff
CV-1O-2031
Defendants
EXHIBIT
Case 1:10-cv-02031-DLI -JMA Document 45-8 Filed 06/18/10 Page 2 of 4
Search Results Page of3
SEC flO Scorch tho Noxt-Generaflon EDGAR Svztem Company Search Current Page
Filing File/Film
Filings Format Description
Date umber
8-AI2G Documents
Registration of securities 12g 2009-09- 000-53791
Acc-no 0001144204-09-050269 34 Act Size 13 MB 28 091089590
Current report items
5.03 7.01 8.01 and 9.01 2009-09- 333-100925
8-K Documents
Acc-no 0001144204-09-050122 34 Act Size 193 KB 25 091088358
0-Q Documents
Quarterly report 13 or 15d 2009-04- 333-100925
10-0 Documents
Quarterly report 13 or 15d 2009-01- 333-10092E
Acc-no 0001144204-09-002030 34 Act Size MB 14 09527021
10-0 Documents
Quarterly report 13 or 15d 2008-10- 333-100925
Current report items 3.02 5.03 8.01 and 9.01 2008-07- 333-100925
8-K Documents
Acc-no 0001144204-08-042150 34 Act Size MB 28 08972994
http//www.sec.gov/cgi-bin/browse-edgar
Home SerJi the Nxt-Generatior EDGAR System Previois Page Modified 05/21/2009
Plaintiff
CV-IO-2031
Defendants
EXHIBIT
Case 1:10-cv-02031-DLI -JMA Document 45-9 Filed 06/18/10 Page 2 of 14
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
___
WASHINGTON D.C 20549
DIVISION OF
ENFORCEMENT
October 16 2009
TD Bank N.A
Legal Department
1701 Route 70 East
CherryHillNJ 08034
Attn Barbara Biderberg
Dear Ms Biderberg
The enclosed subpoena has been issued pursuant to formal order entered by the United
States Securities and Exchange Commission The subpoena requires TD Bank N.A to appear
through its custodian or records or designee for testimony and to produce documents
Unless otherwise indicated the subpoena requires the production of original materials
For your convenience and at your expense however you may for now satisfy this requirement by
producing copies of the documents specified If you do produce copies you should maintain the
Testimony will not be required at the time stated in the subpoena if the materials are
produced at or before that time will infonn you at later date if testimony is required Please
Charles Davis Jr
Senior Counsel
Division of Enforcement
Please consecutively number and mark each document produced with symbol that
identifies it as being produced by you provide an index that briefly identifies each document
and provide statement whether diligent search has been made for and whether you have
produced all information requested If
any requested document is not produced please submit
list of all such documents that contains the document date brief description the identity of
the authors the identity of all persons who were provided with either the original or copies of
the document or who were informed of its substance and the reason for failing to produce the
document
Case 1:10-cv-02031-DLI -JMA Document 45-9 Filed 06/18/10 Page 3 of 14
have attached Declaration Certifying Records execution of the declaration may allow
the Commission to introduce documents provided by TD Bank N.A in any subsequent judicial
proceeding without requiring the testimony of your custodian of records should the documents
be required at trial
This inquiry is confidential and should not be construed as an indication by the Commis
sion or staff that of law has occurred
any violation
its nor as reflection upon any person entity
or security If you have any questions concerning this matter you may call me at 202-551-4834
Christopher
Associate Director
Enclosures
made at or near the time of the occunence of the matters set forth therein by
or from information transmitted by person with knowledge of those matters
declare under penalty of perjury that the foregoing is true and correct
Executed on 2009
Barbara Biderberg
Case 1:10-cv-02031-DLI -JMA Document 45-9 Filed 06/18/10 Page 5 of 14
Whoever in any mailer within the jurisdiction of any department or agency of the United States knowingly and
willfully falsifies conceals or covers up by any trick scheme or device material fact or makes any false
fictitious or fraudulent statements or representations or makes or uses anyfalse writing or document knowing
the same to contain any false fictitious or fraudulent statement or entry shall be fined under this title or
Testimony
If
your testimony is taken you should be aware of the following
Record Your testimony will be transcribed by reporter you desire to go off the record please
If indicate this to the
Commission employee taking your testimony who will determine whether to grant your request The reporter will not go off
CounseL You have the right to be accompanied represented and advised by counsel of your choice Your counsel may
advise you before during and after your testimony question you briefly at the conclusion of your testimony to clarify any of
the answers you give during testimony and make summary notes during your testimony solely for your use you are If
If
you are not accompanied by counsel please advisethe Commission employee taking yourtestimony whenever during your
testimony you desire to be accompanied represented and advised by counsel Your testimony will be adjourned to afford
You may be represented by counsel who also represents other persons involved in the Commissions investigation This
will assumethat
you and counsel have discussed and resolved all issues concerning possible conflicts of interest The choice
of counsel and the responsibility for that choice is
yours
Tran.scriptAvailabiliiy Rule of the Commissions Rules Relating to Investigations 17 CFR 203.6 states
person who has submiiled documentary evidence or testimony in formal investigative proceeding shall be
payment of the appropriate fees Provided however That in nonpublic formal investigative proceeding the
Commission mayfor good cause deny such request In any event anywitness upon proper identification shall have
the right to inspect the official transcript of the witness own testimony
If
you wish to purchase copy of the transcript of your testimony the reporter will provide you with copy of the appropriate
form Persons requested to supply information voluntarily will be allowed the rights provided by this rule
PerJuy Section 1621 of Title 18 of the United States Code provides as follows
Whoever having taken an oath before competenttribunal officer or person in any case in which law of the
United States authorizes an oath to be administered that he will testify declare depose or certifytruly ... willfully
and contrary to such oath states or subscribes any material mailer which he does not believe to be true.. is
guilty
of perjury and shall except as otherwise expressly provided bylaw be fined underthis title or imprisoned not more
years or both..
than five
SEC 16625-04
Case 1:10-cv-02031-DLI -JMA Document 45-9 Filed 06/18/10 Page 6 of 14
FifthAmendmentand Voluntary Testimony Information you give may be used against you in any federal state local or
foreign administrative civil or criminal proceeding brought by the Commission or any other agency
You may refuse in accordance with the rights guaranteed to you by the Fifth Amendment to the Constitution of the United
Ifyourtestimony is not pursuant to subpoena your appearance to testify is voluntary you need not answer any question and
you may leave whenever you wish Your cooperation is however appreciated
Formal OrderAvailability If the Commission has issued formal order of investigation it will be shown to you during your
Rule 5c of the Commissions Rules on Informal and Other Procedures 17 CFR 202.5c states
Persons who become involved in. investigations may on their own initiative submit written statement to the
Commission setting forth their interests and position in regard to the subject mailer of the investigation Upon
request the staff in its discretion may such persons of the general nature of the investigation
advise including the
indicated violations as they pertain to them and the amount of time that may be available for preparing and
submitting statement priorto the presentation of staff recommendation tothe Commission forthe commencement
of an administrative or injunction proceeding Submissions by interested persons should be forwarded to the
appropriate Division Director Regional Director or District Administrator with copy to the staff members
conducting the investigation and should be clearly referenced to the specific investigation to which they relate In
the event recommendation for the commencement of an enforcement proceeding is presented by the staff any
submissions by interested persons will be forwarded tothe Commission in conjunction with the staff memorandum
The staff of the Commission routinely seeks to introduce submissions made pursuant to Rule 5c as evidence in Commission
enforcement proceedings when the staff deems appropriate
Rule 5f of the Commissions Rules on Informal and Other Procedures 17 CFR 202.5f states
In the course of the Commissions investigations civil lawsuits and administrative proceedings the staff with
appropriate authorization may discuss with persons involved the disposition of such matters by consent by
settlement or in some other manner is It the policy of the Commission however that the disposition of any such
matter may not expressly any or impliedly extend to criminal charges that have been or may be brought against
any such person or any recommendation with respectthereto Accordingly any person involved in an enforcement
matter before the Commission who consents or agrees to consent to any judgment or order does so solelyforthe
purpose of resolving the claims against him in that investigative civil or administrative purpose matter and notforthe
of resolving any criminal charges that have been or might be brought against him This policy reflects the fact that
neitherthe Commission nor its staff has theauthority orresponsibilityforinstituting conducting settling or otherwise
disposing of criminal proceedings That authority and responsibility are vested in the Attorney General and
representatives of the Department of Justice
The Freedom of Information Act U.S.C 552 the FOlK generally provides for disclosure of information to the public Rule
83 of the Commissions Rules on Information and Requests 17 CFR 200.83 provides procedure bywhich person can make
written request that information submitted to the Commission not be disclosed under the FOIA That rule states that no
determination as to the validity of such request will be made until request for disclosure of the information under the FOIA
is received no response to
Accordingly request that information not be disclosed under the FOIA is necessary or will be
disclosure underthe FOIA is received of receipt of yourwritten
given until requestfor you desire an acknowledgment request If
that information not be disclosed underthe FOIA please provide duplicate request together with stamped self-addressed
envelope
Persons Directed to Supplyln formation Pursuantto Subpoena The authority for requiring production of information is setforth
in the subpoena Disclosure ofthe information to the Commission is mandatory subjectto the valid assertion of any legal right
Persons Requestedto Supply Information Voluntarily One or more of the following provisions authorizes the Commission to
solicit the information requested Sections 19 and/or 20 of the Securities Act of 1933 Section 21 of the Securities Exchange
Act of 1934 Section 321 of the Trust Indenture Act of 1939 Section 42 of the Investment Company Act of 1940 Section 209
Case 1:10-cv-02031-DLI -JMA Document 45-9 Filed 06/18/10 Page 7 of 14
of the Investment Advisers Act of 1940 and 17 CFR 202.5 Disclosure of the requested information to the Commission is
the Securities Exchange Act of 1934 the Investment Company Act of 1940 and/orthe Investment Advisers Act of 1940 and
you without just cause fail or refuse to attend and testify or to answer any lawful inquiry or to produce books papers
if
correspondence memoranda and other records in compliance with the subpoena you may befound guilty of misdemeanor
and fined not more than $1000 or imprisoned fora term of not more than one year or both
Persons Requested to Supply/n formation Voluntarily There are no direct sanctions and thus no direct effectsforfailing to provide
has enforcement authority such as rules of securities exchanges and the rules of the Municipal Securities Rulemaking Board
Facts developed may however constitute violations of other laws or rules Information provided may be used in Commission
and other agency enforcement
proceedings Unless the Commission or its staff explicitly
agreesto the contrary
writing you in
should not assume that the Commission or its staff acquiesces in accedes to or concurs or agrees with any position
condition request reservation of right understanding or any other statement that purports or may be deemed to be or to
reflect limitation upon the Commissions receipt use disposition transfer or retention in accordance with applicable law
of information provided
The Commission often makes its files available to other governmental agencies particularly United States Attorneys and state
prosecutors There is likelihood that information supplied by you will be made available to such agencies where appropriate
Whether or not the Commission makes its files available to other governmental agencies is in general confidential matter
Set forth below is list of the routine uses which may be made of the information furnished
To coordinate lawenforcement activities between the SEC and otherfederal state local orforeign law enforcementagencies
securities self-regulatory organizations and foreign securities authorities
By SEC personnel for purposes of investigating possible violations of orto conduct investigations authorized by thefederal
securities laws
Where there is an indication of violation or potential violation of law whether civil criminal or regulatory in nature and
whether arising by general statute or particular program statute or by regulation rule or order issued pursuant thereto the
relevant records in the system of records may be referred to the appropriate agency whetherfederal state or local foreign
governmental authorityorforeign securities authority or securities self-regulatory organization charged with the responsibility
of investigating or prosecuting such violation or charged with enforcing or implementing the statute or rule regulation or order
issued pursuantthereto
In any proceeding where the federal securities laws are in issue or in which the Commission or past or present members
of its staff is
party or otherwise involved in an official capacity
To federal state local or foreign governmental authority or foreign securities authority maintaining civil criminal or other
relevant enforcement information or otherpertinent information such as current licenses necessary to obtain information if
To federal state local or foreign governmental authority or foreign securities authority in response to its request in
In connection with proceedings by the Commission pursuant to Rule 102e of its Rules of Practice 17 CFR 201.102e
Case 1:10-cv-02031-DLI -JMA Document 45-9 Filed 06/18/10 Page 8 of 14
When considered appropriate records in this system may be disclosed to bar association the American Institute of
Certified PublicAccountants state accountancy board or otherfederal state local orforeign licensing or oversightauthority
foreign securities authority or professional association or self-regulatory authority performing similarfunctions for possible
In connection with investigations or disciplinary proceedings by state securities regulatory authority foreign securities
10 As data source for management information for production of summary descriptive statistics and analytical studies in
support of the function for which the records are collected and maintained or for related personnel management functions or
manpower studies and to respond to general requestsfor statistical information without personal identification of individuals
underthe Freedom of Information Actorto locate specific individualsfor personnel research or other personnel management
functions
11 In connection with their regulatory and enforcement responsibilities mandated by the federal securities laws as defined
in Section 3a 47 of the Securities Exchange Actof 1934 15 .S.C 78ca or state orforeign laws regulating 47
securities
or other related matters records may be disclosed to national securities associations that are registered with the Commission
the Municipal Securities Rulemaking Board the Securities Investor Protection Corporation the federal banking authorities
including but not limited to the Board of Governors of the Federal Reserve System the Comptroller of the Currency and the
Federal Deposit Insurance Corporation state securities regulatory or law enforcement agencies or organizations or regulatory
12 To any trustee receiver master special counsel or other individual or entity that is appointed by court of competent
jurisdiction or as result of an agreement between the parties in connection with litigation or administrative proceedings
involving allegations of violations of the federal securities laws as defined in Section 3a 47 of the Securities Exchange Act
of 1934 15 U.S.C 78ca 47 orthe Commissions Rules of Practice 17 CFR 202.100-900 or otherwise where such trustee
receiver master special counsel or other individual or entity is specifically designated to perform particular functions with
respect to or as result of the pending action or proceeding or in connection with the administration and enforcement by
the Commission of the federal securities laws or the Commissions Rules of Practice
13 To any persons during the course of any inquiry or investigation conducted by the Commissions staff or in connection
with civil litigation if the staff has reason to believethatthe person to whom the record is disclosed
may havefurther information
about the matters related therein and those matters appeared to be relevant at the time to the subject matter of the inquiry
14 To any person with whom the Commission contracts to reproduce bytyping photocopy orother means any record within
15 Inclusion in reports published by the Commission pursuant to authority granted in the federal securities laws as defined
17 To any person who is or has agreed to be subject to the Commissions Rules of Conduct 17 CFR 200.735-1 to 735-18
and who assists in the investigation bythe Commission of possible violations of federal securities laws as defined in Section
3a 47 of the Securities Exchange Act of 1934 15 U.S.C 78ca 47 in the preparation or conduct of enforcement actions
brought by the Commissionfor such violations or otherwise in connection with the Commissions enforcement or regulatory
18 Disclosure may be made to Congressional office from the record of an individual in response to an inquiry from the
19 To respond to inquiries from Members of Congress the press and the public which relate to specific matters that the
20 To prepare and publish information relating to violations of thefederal securities laws as provided in 15 U.S.C 78ca 47
as amended
22 To trustee in bankruptcy
Case 1:10-cv-02031-DLI -JMA Document 45-9 Filed 06/18/10 Page 9 of 14
23 To any governmental agency governmental or private collection agent consumer reporting agency or commercial
reporting agency governmental or private employer of debtor or any other person for collection including collection
by administrative offset federal salary offset tax refund offset or administrative wage garnishment of amounts owed as
Small Business Owners The SEC always welcomes comments on how can it heifer assist small businesses If
you have
comments aboutthe SECs enforcewentof the securities laws please contactthe Office of Chief Counsel in the SECs Division
of Enforcement at 202-942-4530 orthe SECs Small Business Ombudsman you would preferto comment
at 202-942-2950 If
to someone outside of the SEC you can contact the Small Business Regulatory Enforcement Ombudsman at httpI/
www.sba.gov/ombudsman ortoll free at888-REG-FAIR The Ombudsmans office receives comments from small businesses
and annually evaluates federal agency enforcement activities fortheir responsiveness tothe special needs of small business
Case 1:10-cv-02031-DLI -JMA Document 45-9 Filed 06/18/10 Page 10 of 14
SUBPOENA
To Custodian of Records
TD Bank N.A
Legal Department
CherryHillNJ 08034
Attn Barbara Biderberg
officers of the Securities and Exchange Commission at the place date and time specified below
YOU MUST TESTIFY before officers of the Securities and Exchange Commission at the
By _________
Chnstopher Conte
Date ______
Associate Director
Division of Enforcement
202 551-4834
am an officer of the Securities and Exchange Commission authorized to issue subpoenas in this
matter The Securities and Exchange Commission has issued formal order authorizing this
NOTICE TO WITNESS If you claim witness fee or mileage submit this subpoena with the claim voucher
Case 1:10-cv-02031-DLI -JMA Document 45-9 Filed 06/18/10 Page 11 of 14
TD Bank N.A
October 16 2009
As used in this request the term document or documents means all records
computer tapes disks compact disks CDs diskettes disk packs and other
storage devices The term documents includes finished versions and drafts
original
Systems Inc and all present and former subsidiaries affiliates predecessors
general and limited partners thereof and any aliases code names or trade or
Communication shall have its general meaning including oral written and
electronic communications
Any shall include all and all shall include any as needed to make the
As used in this
request the terms and and or shall be construed as both
its
scope
As used in this request the singular form of any word includes its plural and
vice versa
If
any of the documents called for are not produced for whatever reason
creators of the document the date that the document was created the
present or last known custodian of the document the subject matter of the
the reason the document is not produced If any document called for is
above information please identify the attorney and the client involved
II Documents To Be Produced
Produce all the following documents within your possession or custody or subject to your
control for the period January 2006 through the present
Documents sufficient to identify all accounts maintained at the Bank in which the
following entities have or had direct or indirect beneficial interest or over which
account statements
any service of the Bank or for whom the Bank is acting or has acted as
The term customer does not include any trust or corporation ii any
partnership that has more than five members or that has as member any
trust or corporation iii any person that holds an account jointly with any
person whose records are otherwise called for by this subpoena nor iv any
other person with respect to any records including cashiers checks money
orders and documents maintained in relation to the issuance thereof not
CERTIFICATE OF COMPLIANCE
WITH THE RIGHT TO FINANCIAL PRIVACY ACT OF 1978
TO TDBankNA
RE Subpoena dated October 16 2009 In the Matter of SpongeTech Delivery Systems Inc
HO- 11156
certifi that the Securities and Exchange Commission has complied with applicable
provisions of the Right to Financial Privacy Act of 1978 12 U.S.C 3401 -22 as to its subpoena
Section 1117c of the Right to Financial Privacy Act of 1978 U.S.C 3417c
provides as follows
disclosure under this title the constitution of any State or any law or regulation of
Christopher Conte
Associate Director
Plaintiff
CV-lO-2031
Defendants
EXHIBIT
Case 1:10-cv-02031-DLI -JMA Document 45-10 Filed 06/18/10 Page 2 of 50
32 CYCLE-Gb
CHECKING NY BUSINESS
ACCOUNT NT.ThIBER
CHECK TRANSACTIONS
SERIAL DATE AMOUNT SERIAL DATE AMOUNT
217 04/02 4291.66 233 04/11 440.36
218 04/08 1035.00 235 04/07 950.00
219 04/10 772.64 236 04/14 4800.00
220 04/10 248.24 237 04/17 5000.00
221 04/09 2260.00 238 04/21 2500.00
222 04/16 319.81 239 04/21 2500.00
223 04/14 239.12 240 04/21 3382.50
224 04/16 65.60 241 04/25 373.02
TDBANK00001 00
Case 1:10-cv-02031-DLI -JMA Document 45-10 Filed 06/18/10 Page 3 of 50
PAGE
32 CYCLE-OlO
POSTAGE5TAfrIP888-434-0055 CA
04/24 CKCD DEBIT 04/24 ERIE 677.02
COMPUTER 814-456-5600 PA
04/25 AC-CPS -CPSMRCHDEP 33.89
04/28 AC AMERICAN EXPRESS SETTLEMENT 57.32
04/28 AC DISCOVER NETWORK-SETTLEMENT 65.74
POSTAGESTAMP8S8-434-005S CA
TDBANK0000I 01
Case 1:10-cv-02031-DLI -JMA Document 45-10 Filed 06/18/10 Page 4 of 50
PAGE
32 CYCLE-OlO
BALANCE BY DATE
03/31 40934.35 04/01 4813.35 04/02 644.95 04/03 31618.65
04/04 6517.59 04/07 24719.71 04/08 23893.13 04/09 19116.43
04/10 22810.08 04/11 2661434 04/14 21405.07 04/16 21009.43
04/17 46066.98 04/18 29536.84 04/21 19813.23 04/22 19839.95
04/23 1135.05- 04/24 27032.29 04/25 23253.83 04/28 20283.57
04/29 16149.54 04/30 78646.94
TDBANK00001 02
Case 1:10-cv-02031-DLI -JMA Document 45-10 Filed 06/18/10 Page 5 of 50
47 CYCLE-OlO
CHECKING NY BUSINESS
ACCOUNT NUMBER ...fl1
CHECK TRANSACTIONS
SERIAL DATE AMOUNT SERIAL DATE AMOUNT
234 05/12 3995.00 521 05/19 25560.00
250 os/ox 5104.09 522 05/27 1800.00
500 05/02 714.00 523 05/28 9949.87
501 05/02 1730.00 524 05/20 297.36
502 05/07 799.66 525 05/23 3240.00
503 05/02 4275.93 528 05/23 800.50
504 os/os 745.13 529 05/27 sooo.OO
505 05/02 18778.52 530 05/27 725.00
TDBANK00001 39
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PAGE
CYCLE-OlO
TDBANK00001 40
Case 1:10-cv-02031-DLI -JMA Document 45-10 Filed 06/18/10 Page 7 of 50
PAGE
n1
47 CYCLE-OlO
SOFTW/5800-446-8848 CA
05/28 CKCD DEBIT 05/27 38 WEST 33 35.00
ST GARGNEW YORK NY
05/28 CKCD DEBIT 05/27 WALGREENS 70.23
1487 FOREST HILLS NY
05/29 CREDIT MEMO 80000.00
05/29 AC-CPS -CPSMRCI-IDEP 446.24
05/29 WIRE TRANSFER FEE002477 15.00
05/29 WIRE TRANSFEROO2477 25000.00
05/29 CKCD DEBIT 05/26 161 20.97
INTERNET INC.877-461-2631 PA
05/29 CKCD DEBIT 05/28 38 WEST 33 25.00
ST GARGNEW YORK NY
05/30 CREDIT MEMO 100000.00
05/30 AC-DISCOVER NETWORK-SETTLEMENT 27.94
05/30 AC-CPS -CPSMRCHDEP 85.49
05/30 DEPOSIT 200000.00
05/30 CKCD DEBIT 05/28 11 20.97
INTERNET INC.877-461-2631 PA
05/30 CKCD DEBIT 05/29 38 WEST 33 25.00
ST GARGNEW YORK NY
05/30 CKCD DEBIT 05/29 USPS 100.00
POSTAGESTANP888-434-00S5 CA
BALANCE BY DATE
04/30 78646.94 os/oi 148604.78 05/02 85531.38 os/os 53390.07
05/os 50114.07 05/07 9314.41 05/08 3817.21 05/09 3838.09
05/12 2161.42- 05/13 117778.58 05/14 95888.52 05/15 188493.52
05/16 157868.52 05/19 93543.52 05/20 9324616 05/21 84834.33
05/22 38045.22 05/23 33793.56 05/27 18301.10 05/28 6839.76
05/29 61270.86 05/30 358838.32
TDBANK0000141
Case 1:10-cv-02031-DLI -JMA Document 45-10 Filed 06/18/10 Page 8 of 50
40 CYCLE-OlO
CHECKING NY BUSINESS
ACCOUNT NUMBER 1__I_
PREVIOUS STATEMENT BALANCE AS OF 05/31/08 358838.32
PLUS 44 DEPOSITS AND OTHER CREDITS 737493.79
LESS 116 CHECKS AND OTHER DEBITS 918810.09
CURRENT STATEMENT BALANCE AS OF 06/30/08 177522.02
NUMBER OF DAYS IN THIS STATEMENT PERIOD 30
CHECK TRANSACTIONS
SERIAL DATE AMOUNT SERIAL DATE AMOUNT
526 06/05 35000.00 569 06/17 165.05
527 06/10 40000.00 570 06/16 1370.00
546 06/06 829.58 571 06/16 6043.00
547 06/04 4377.98 572 06/20 705.78
548 06/05 240.00 573 06/27 4833.55
549 06/05 685 00 574 06/30 3500.00
550 06/06 310.61 575 06/18 8500.00
551 06/06 450.00 576 06/25 1995.00
552 06/09 41575.00 577 06/26 30600.00
553 06/09 200.57 578 06/24 1566.00
554 06/10 403.54 579 06/23 512.30
555 06/16 33085.00 580 06/23 1870.00
556 06/05 10000.00 581 06/26 47.89
557S 06/04 5000.00 582 06/23 60000.00
558 06/06 60000.00 583 06/25 5000.00
559 06/12 30600.00 584 06/26 1249.33
567 06/16 5000.00 588 06/30 690.00
568 06/24 393.54 594 06/30 32225.00
TDBANK00001 74
Case 1:10-cv-02031-DLI -JMA Document 45-10 Filed 06/18/10 Page 9 of 50
PAGE
40 CYCLE-OlO
TDBANK0000175
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PAGE
40 CYCLE-OlO
TDBANK00001 76
Case 1:10-cv-02031-DLI -JMA Document 45-10 Filed 06/18/10 Page 11 of 50
PAGE
40 CYCLE-OlO
BALANCE BY DATE
05/31 358838.32 06/02 234183.52 06/03 234159.78 06/04 534446.63
06/os 488908.40 06/06 325504.84 06/09 278922.92 06/10 238873.24
06/11 208858.24 06/12 178258.24 06/13 177714.42 06/16 102194.28
06/17 90379.79 06/18 82108.79 06/19 54352.64 06/20 143302.96
06/23 154892.26 06/24 152939.21 06/25 146182.57 06/26 314233.30
06/27 217572.52 06/30 177522.02
TDBANK00001 77
Case 1:10-cv-02031-DLI -JMA Document 45-10 Filed 06/18/10 Page 12 of 50
33 CYCLE-OlO
CHECKING NY NOSINESS
ACCOUNT NUMBER
PREVIOUS STATEMENT BALANCE AS OF 06/30/08 177522.02
PLUS 53 DEPOSITS AND OTHER CREDITS 232310.81
LESS 84 CHECKS AND OTHER DEBITS 388521.37
CURRENT STATEMENT BALANCE AS OF 07131/08 21311.46
NUMBER OF DAYS IN THIS STATEMENT PERIOD 31
CHECK TRANSACTIONS
SERIAL DATE AMOUNT SERIAL DATE AMOUNT
585 07/01 22050.00 604S 07/29 446.00
586 07/02 4598.06 605 07/23 1440.00
587 07/16 35000.00 606 07/14 144.22
589 07/01 122.16 607 07/28 490.00
590 07/01 713.89 609 07/28 1200.00
591 07/09 40000.00 612 07/24 2349.62
592 07/03 396.07 613 07/23 105.86
593 07/02 51250.00 614 07/21 573.00
595 07/07 3500.00 616 07/14 2363.40
596 07/07 1345.00 617S 07/18 5000.00
598 07/22 5000.00 618 07/21 2440.00
599 07/15 1163.50 619 07/18 60000.00
600 07/17 850.00 619 07/23 60000.00
601 07/22 749.15 620 07/28 8500.00
602 07/22 20.00 621 07/24 1249.33
6025 07/29 20.00 622 07/29 2750.00
603 07/29 13500.00 623 07/28 5000.00
604 07/22 446.00
SOFTW/S888-246-8848 CA
07/02 AC-CPS -CPSMRCHDEP 667.15
07/02 WIRE TRANSFER FEE000200 15.00
07/02 WIRE TRANSFER000200 8750.00
07/02 AC-DISCOVER NETWORK-SEnLEMENT 3.33
07/02 AC-CREATIVE CASH PL-PREAUTHPMT 25.00
TDBANK00002O8
Case 1:10-cv-02031-DLI -JMA Document 45-10 Filed 06/18/10 Page 13 of 50
PAGE
33 CYCLE-Gb
TDBAN K0000209
Case 1:10-cv-02031-DLI -JMA Document 45-10 Filed 06/18/10 Page 14 of 50
PAGE
33 CYCLE-Gb
TDBANK00002I
Case 1:10-cv-02031-DLI -JMA Document 45-10 Filed 06/18/10 Page 15 of 50
PAGE
IL
CYCLE-OlO
BALANCE BY DATE
06/30 177522.02 07/01 154676.64 07/02 90629.89 07/03 110165.96
07/07 104843.98 07/08 104852.49 07/09 59605.62 07/10 5967540
07/11 54851.46 07/14 52343.84 07/15 51243.84 07/16 13169.95
07/17 17895.66 07/ta 47096.31 07/21 9599.90 07/22 5315.91
07/23 836.40 07/24 32293.33 07/25 32502.57 07/28 1469060
07/29 3249.52- 07/30 5386.46 07/31 21311.46
TDBANK000021
Case 1:10-cv-02031-DLI -JMA Document 45-10 Filed 06/18/10 Page 16 of 50
69 CYCLE- 010
CHECKING NY BUSINESS
ACCOUNT NUMBER
PREVIOUS STATEMENT BALP.NCE As OF 07/31/08 21311.46
PLUS 62 DEPOSITS AND OTHER CREDITS 1.126309.28
LESS 125 CHECKS AND OTHER DEBITS 932069.67
CURRENT STATEMENT BAlANCE AS OF 08/31/08 215551.07
NUMBER OF DAYS IN THIS STATEMENT PERIOD 31
CHECK TRANSACTIONS
SERIAL DATE AMOUNT SERIAL DATE AMOUNT
597 08/04 9200.00 658 08/22 9200.00
608 08/04 14558.00 659 08/22 5000.00
610 co/os 4025.00 660 c8/27 3450.00
611 08/06 4362.24 662 08/25 64.00
626 08/04 49325.00 663 08/25 960.00
629 08/07 2750.00 664 08/21 6899.77
630 08/05 405.04 665 08/22 500.00
631 08/07 1300.00 666 08/21 3224.46
632 08/04 4937.98 667 08/20 3277.75
633 08/04 2540.00 669 08/18 595.00
634 08/05 50.89 670 08/18 402.45
635 08/04 1105.86 671 08/21 71.94
636 08/04 3323.00 672 08/22 850.00
637 08/05 2720.70 673 08/29 8500.00
638 08/04 747.28 674 08/20 44775.00
639 08/06 1708.03 675 08/22 295.00
640 08/08 40000.00 676 08/22 471.83
641 08/04 514.00 678 08/27 3008S.00
642 08/07 850.00 679 08/14 25000.00
643 08/07 768.43 680 08/20 25000.00
644 os/is 932.03 682 08/21 10000.00
645 os/os 8580.00 683 08/18 16750.00
646 os/il 182.49 685 08/28 5000.00
647 08/07 1314.05 686 08/25 125000.00
648 08/11 196.45 687 08/21 1249.33
649 os/os isoo.oo 688 08/25 18000.00
650 08/21 35000.00 689 08/26 5000.00
651 08/07 1190.00 690 08/26 698.98
652 08/08 749.15 691 08/27 3130.00
653 08/07 1297.69 693 08/29 13500.00
654 08/21 295.00 694 08/28 414.00
655 08/20 197.48 696 08/29 25000.00
656S 08/12 5000.00
TDBANK0000239
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69 CYCLE-OlO
TDBANK000024O
Case 1:10-cv-02031-DLI -JMA Document 45-10 Filed 06/18/10 Page 18 of 50
PAGE
I---
69 CYCLE-010
TDBAN K000024
Case 1:10-cv-02031-DLI -JMA Document 45-10 Filed 06/18/10 Page 19 of 50
PAGE
69 CYCLE-OlO
TDBAN K0000242
Case 1:10-cv-02031-DLI -JMA Document 45-10 Filed 06/18/10 Page 20 of 50
PAGE
69 CYCLE-OlO
BALANCE BY DATE
07/31 21311.46 08/01 286644.36 08/04 125303.62 08/05 108128.36
08/06 92650.30 08/07 63828.62 08/08 13251.98 08/11 13072.40
08/12 8249.33 08/13 8406.11 08/14 54898.37 08/15 113918.55
08/18 194370.03 08/19 124574.90 08/20 198847.20 08/21 141920.52
08/22 222124.68 08/25 76441.21 08/26 120886.57 08/27 82668.96
08/28 62124.39 08/29 215551.07
TDBAN K0000243
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70 CYCLE-OlO
CHECKING NY BUSINESS
ACCOUNT NUNBER
PREVIOUS STATEMENT BALANCE AS OF 08/31/08 215551.07
PLUS 69 DEPOSITS AND OTHER CREDITS 681739.44
LESS 128 CHECKS AND OTHER DEBITS 872203.41
CURRENT STATEMENT BALANCE AS OF 09/30/08 25087.10
NUNBER OF DAYS IN THIS STATEMENT PERIOD 30
CHECK TRANSACTIONS
SERIAL DATE AMOUNT SERIAL DATE AMOUNT
677 09/02 2094.89 728 09/17 1100.00
681 09/05 21000.00 729 09/17 36.00
684 09/03 13500.00 730 09/17 110.00
692 09/02 844.00 731 09/17 1270.00
695 09/04 1526.83 732 09/26 1105.86
697 09/02 1105.86 733 09/18 125.00
TDBANK0000285
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70 CYCLE-010
TDBAN K0000286
Case 1:10-cv-02031-DLI -JMA Document 45-10 Filed 06/18/10 Page 23 of 50
PAGE
70 CYCLE-OlO
TDBAN K0000287
Case 1:10-cv-02031-DLI -JMA Document 45-10 Filed 06/18/10 Page 24 of 50
PAGE
70 CYCLE-dO
BALANCE BY DATE
08/31 215551.07 09/02 99925.63 09/03 90101.41 09/04 46154.72
09/05 138074.25 09/08 67696.41 09/09 15055.33 09/10 17156.68
09/11 12565.28- 09/12 31020.55 09/15 48083.16 09/16 8579.95
09/17 43998.84 09/18 43699.04 09/19 30068.66 09/22 28871.60
09/23 36.076.96 09/24 22.811.54 09/25 36.132.19 09/26 78.853.30
TDBAN K0000288
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70 CYCLE-OlO
BALANCE BY DATE
09/29 80725.16 09/30 25087.10
TDBAN K0000289
Case 1:10-cv-02031-DLI -JMA Document 45-10 Filed 06/18/10 Page 26 of 50
35 CYCLE-OlO
CHECKING NY BUSINESS
ACCOUNT NUMBER
PREVIOUS STATEMENT BALANCE AS OF 09/30/08 25087.10
PLUS 44 DEPOSITS AND OTHER CREDITS 240065.51
LESS 97 CHECKS AND OTHER DEBITS 237419.97
CURRENT STATEMENT BALANCE AS OF 10/31/08 27732.64
NUMBER OF DAYS IN THIS STATEMENT PERIOD 31
CHECK TRANSACTIONS
SERIAL DATE AMOUNT SERIAL DATE AMOUNT
661 io/oi 998.11 781 10/10 130.72
743 10/02 25000.00 782 10/10 2452.21
749 10/08 850.00 783 10/14 654.14
755 10/03 8500.00 784 10/14 1200.00
762 10/01 7.95 785 10/14 18000.00
767 10/07 752.96 786 10/21 1019.46
768 0/07 2750.00 787 10/27 7066.65
770 10/07 5000.00 788 10/22 46.25
771 10/03 4689.96 789 10/24 1466.21
772 10/06 876.57 793 10/21 4116.07
773S 10/06 5000.00 794 10/29 5000.00
774 10/03 13500.00 797 10/28 1157.15
775 10/03 3793.13 799 10/30 5000.00
776 10/09 3850.00 801 10/31 960.00
TDBAN K0000339
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PAGE
35 CYCLE-OlO
33RNEW YORK NY
10/08 CKCD DEBIT 10/07 USFS 240.00
POSTAGESTAMP888-434-0055 CA
10/08 CKCD DEBIT 10/os ADOBE 502.81
SYSTEMS 1NC888-724-4508 WA
10/09 AC-CPS -CPSMRCHDEP 74.71
O353FLUSHING NY
10/09 CKCD DEBIT 10/os WKI 360.00
CTCORPORATION 800-624-0909 NY
io/io CREDIT MEMO 10000.00
10/10 AC-HABBORENTERPRISE-PAYMENTS 161.76
POSTAGESTAMP8SE-434-0o55 CA
10/14 CREDIT MEMO 3000.00
10/14 AC AMERCAN EXPRESS-SETTLEMENT 104.16
0O1061AA.COM/AA RESTX
10/14 CKCD DEBIT io/io KOSHER 25.00
DELIGHT NEW YORK NY
10/14 CKCD DEBIT 10/09 AIRTRANAIR 131.00
33200SATLANTA GA
10/14 CKCD DEBIT 10/09 205.50
SOUTHWESTAIRS26 87 6DALLAS TX
10/14 CKCD DEBIT 10/10 KOSHER 219.81
DELIGHT NEW YORK NY
TDBANK000034O
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PAGE
u-i
35 CYCLE-010
TDBAN K000034
Case 1:10-cv-02031-DLI -JMA Document 45-10 Filed 06/18/10 Page 29 of 50
PAGE
-S
35 CYCLE-OlO
BALANCE BY DATE
09/30 25087.10 io/oi 23761.09 10/02 73622.23 10/03 84242.87
10/06 77290.82 10/07 23771.39 10/08 27143.68 10/09 22935.71
10/10 29836.76 10/14 5534.34 io/is 5954.22 10/16 22730.10
10/17 22769.72 10/20 22896.19 10/21 17933 76 10/22 17469.01
10/23 15869.14 10/24 25208.93 10/27 17110.45 10/28 14845.35
10/29 10020.45 10/30 33923.60 10/31 27732.64
TDBAN K0000342
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42 CYCLE 010
CHECKING NY BUSINESS
ACCOUNT NUMBER
PREVIOUS STATEMENT BALANCE AS OF 10/31/08 27732.64
PLUS 39 DEPOSITS AND OTHER CREDITS 279872.03
LESS 112 CHECKS AND OTHER DEBITS 298388.77
LESS CYCLE SERVICE CHARGE 25.00
CURRENT STATEMENT BALANCE AS OF 11/30/08 9190.90
NUMBER OF DAYS IN THIS STATEMENT PERIOD 30
CHECK TRANSACTIONS
SERIAL DATE AMOUNT SERIAL OATE AMOUNT
790 11/26 30085.00 821 11/06 2080.00
792 11/10 500.00 822 11/14 9000.00
796 11/04 520.00 823 11/12 9000.00
798 11/04 931.84 824 11/12 9000.00
800 11/03 862.97 825 11/19 9000.00
803 li/os 7697 90 826 11/12 20000.00
804 11/03 655.00 827 11/13 5168.16
805 11/04 20.27 828 11/12 13179.96
807 11/03 65.80 830 11/12 2500.00
808 11/10 13500.00 832 11/26 2354.55
809 11/04 349.32 833 11/14 1258.02
810 11/03 650.78 834 11/13 1000.00
812 li/os 8500.00 835 11/17 1161.15
813 11/03 1337.59 836 il/is 6370.00
814 11/14 20000.00 837 li/is 4438.00
816 li/is 2325.00 841 11/24 4770.18
817 11/04 4525.29 843 11/18 2500.00
818 li/os 10000.00 844 11/18 12500.00
819 11/25 218.00 845 11/21 590.00
820 11/13 650.00 849 11/28 4241.96
42 CYCLE-OlO
TDBAN K0000365
Case 1:10-cv-02031-DLI -JMA Document 45-10 Filed 06/18/10 Page 32 of 50
PAGE
42 CYCLE-OlO
TDBAN K0000366
Case 1:10-cv-02031-DLI -JMA Document 45-10 Filed 06/18/10 Page 33 of 50
PAGE
42 CYCLE-OlO
SOFTW/S888-246-8848 CA
11/20 CKCD DEBIT 11/26 NYSDDSCORPS 55.00
518-4738262 NY
11/28 CKCD DEBIT 11/26 1SHOPPINGCAR 59.00
COW 705-792-1961 FL
11/28 CKCD DEBIT 11/26 KOSHER 191.77
DELIGHT NEW YORK NY
11/28 CKCD DEBIT 11/25 KOSHER 202.77
DELIGHT NEW YORK NY
11/30 CYCLE SERVICE CHARGE 25.00
BALANCE BY DATE
10/31 27732.64 11/03 21043.02 ii/04 14648.80 u/os 12025.75-
11/06 9394.29 11/07 89293.30 11/10 73836.72 11/12 56488.65
11/13 49503.34 11/14 16943.51 ii/17 48847.02 li/is 9955.47
11/19 760.86 11/20 15800.85 11/21 95.23- ii/24 31111.79
11/25 3884.69 11/26 29606.23- 11/28 9215.90 il/30 9190.90
58 CYCLE-ala
CHECKING NY BUSINESS
ACCOUNT NUMBER 1L
PREVIOUS STATEMENT BALANCE AS OF 11/30/08 9190.90
PLUS 74 DEPOSITS AMID OTHER CREDITS 502038.87
LESS 132 CHECKS AND OTHER DEBITS 476629.34
CURRENT STATEMENT BALANCE AS OF 12/31/08 34600.43
NUMBER OF DAYS IN THIS STATEMENT PERIOD 31
CHECK TRANSACTIONS
SERIAL DATE AMOUNT SERIAL DATE AMOUNT
791 12/15 2650.00 878 12/18 1500.00
848 12/01 2000.00 880 12/10 5684.00
850 12/01 4000.00 881 12/11 1700.00
851 12/01 1116.24 882 12/17 6000.00
852 12/03 5871.00 884 12/16 600.00
853 12/02 7500.00 885 12/22 2000.00
854 12/16 2028.47 887 12/19 2160.00
855 12/08 706.03 888 12/18 2457.50
857 12/22 4250.00 889 12/22 600.00
858 12/18 3000.00 890 12/19 1211.96
859 12/08 1204.50 891 12/23 4000.00
860 12/18 8039.00 892 12/24 2460.00
861 12/08 237.00 893 12/22 1400.00
863 12/08 1263.95 894 12/29 1021.55
864 12/18 671.93 895 12/26 6900.00
865 12/09 11.67 896 12/26 4850.00
866 12/12 3530.00 897 12/24 588.14
867 12/08 442.68 898 12/22 967.62
868 12/17 2172.63 899 12/26 6900.00
869 12/10 724.00 900 12/23 5000.00
871 12/23 4580.00 901 12/24 10000.00
872 12/24 36000.00 902 12/29 3000 00
873 12/12 8500.00 903 12/31 730.00
874 12/05 11000.00 904 12/26 6800.00
875 12/05 7500.00 906 12/30 1600.00
876 12/16 7279.96 32840569 12/16 6200.00
877 12/17 600.00
TDBANK000039I
Case 1:10-cv-02031-DLI -JMA Document 45-10 Filed 06/18/10 Page 35 of 50
PAGE
58 CYCLE-OlO
TDBANK0000392
Case 1:10-cv-02031-DLI -JMA Document 45-10 Filed 06/18/10 Page 36 of 50
PAGE
58 CYCLE-OlO
TDBAN K0000393
Case 1:10-cv-02031-DLI -JMA Document 45-10 Filed 06/18/10 Page 37 of 50
PAGE
58 CYCLE-OlO
TDBAN K0000394
Case 1:10-cv-02031-DLI -JMA Document 45-10 Filed 06/18/10 Page 38 of 50
PAGE
L__
58 CYCLE 010
BALANCE BY DATE
11/30 9190.90 12/01 35334.41 12/02 11360.38 12/03 21952.34
12/04 20129.02 12/05 16627.49 12/08 14090.99 12/09 19625.03
12/10 12408.88 12/11 10466.52 12/12 19899.77 12/15 6478.38
12/16 52767.25 12/17 48370.33 12/18 32864.36 12/19 59232.35
12/22 58186.30 12/23 82742.48 12/24 54550.35 12/26 27799.35
12/29 9096.45 12/30 92546.49 12/31 34600.43
TDBAN K0000395
Case 1:10-cv-02031-DLI -JMA Document 45-10 Filed 06/18/10 Page 39 of 50
-St
36 CYCLE-OlO
CHECKING NY BUSINESS
ACCOUNT NUMBER
PREVIOUS STATEMENT BALANCE AS OF 12/31/08 34600.43
PLUS 36 DEPOSITS AND OTHER CREDITS 572997.48
LESS 101 CHECKS AND OTHER DEBITS 603089.40
TESS CYCLE SERVICE CHARGE 25.00
CURRENT STATEMENT BALANCE AS OF 01/31/09 4483.51
NUMBER OF DAYS IN THIS STATEMENT PERIOD 31
CHECK TRANSACTIONS
SERIAL DATE AMOUNT SERIAL DATE AMOUNT
862 01/06 3793.36 921 01/20 66250.00
070 01/os 65.00 922 01/16 12076.26
883 01/02 500.00 923 01/12 706.29
886 01/07 9971.38 924 01/21 110000.00
908 oi/os 37203.50 925 01/20 200.00
909 01/02 23743.24 926 01/20 3970.66
910 01/07 625.00 928 01/27 8500.00
911 01/07 4845.60 929 01/21 2513.33
912 01/12 1594.20 930 01/23 744.08
913 01/09 42401.50 931 01/30 3250.00
914 01/13 9313.28 932 01/21 2050.00
915 01/20 2000.00 933 01/29 5115.00
916 01/12 2407.95 934 01/28 5000.00
917 01/os 5000.00 935 01/29 620.00
919 01/21 17180.00 936 01/28 5000.00
920 01/07 640.00 937 01/30 9150.00
36 CYCLE- 010
TDBAN K0000447
Case 1:10-cv-02031-DLI -JMA Document 45-10 Filed 06/18/10 Page 41 of 50
PAGE
36 CYCLE-OlO
TDBANK0000448
Case 1:10-cv-02031-DLI -JMA Document 45-10 Filed 06/18/10 Page 42 of 50
PAGE
36 CYCLE 010
BALANCE BY DATE
12/31 34600.43 01/02 68975.33 01/os 45564.78 01/06 40535.04
01/07 59240.56 oi/oa 58005.56 01/09 15206.11 01/12 64787.33
01/13 55274.05 01/14 56927.78 01/15 106707.68 01/16 187105.82
01/20 82426.70 01/21 51435.03- 01/22 524.87 01/23 34885.44
01/26 34856.34 01/27 553.11- 01/28 33123.55 01/29 17779.25
01/30 4508.51 01/31 4483.51
TDBANK0000449
Case 1:10-cv-02031-DLI -JMA Document 45-10 Filed 06/18/10 Page 43 of 50
39 CYCLE-OlO
CHECKING NY BUSINESS
ACCOUNT NUMBER
PREVIOUS STATEMENT BALANCE AS OF 01/31/09 4483.51
PLUS 66 DEPOSITS AND OTHER CREDITS 382868.67
LESS 107 CHECKS AND OTHER DEBITS 367818.34
LESS CYCLE SERVICE CHARGE 25.00
CURRENT STATEMENT BALANCE AS OF 02/28/09 19508.84
NUMBER OF DAYS IN THIS STATEMENT PERIOD 28
CHECK TRANSACTIONS
SERIAL DATE AMOUNT SERIAL DATE AMOUNT
938 02/17 15000.00 960 02/25 2200.00
939 02/06 2373.42 961 02/26 743.50
940 02/09 2208.77 962 02/25 957.60
941 02/06 1272.99 965 02/27 105.50
942 02/13 379.55 967 02/25 347.93
945S 02/06 5000.00 968 02/25 150.00
946 02/04 6065.52 974 02/06 10000.00
947 02/10 2000.00 975 02/20 12500.00
948 02/06 93.32 976 02/06 9500.00
949 02/04 500.00 977 02/17 5000.00
950 02/10 9313.28 978 02/17 10000.00
951 02/09 18489.05 979 02/17 941.54
952 02/06 730.00 980 02/20 828.65
953 02/11 1500.00 981 02/23 600.00
954 02/13 1225.00 983 02/25 16200.00
955 02/23 12500.00 989 02/25 5000.00
956 02/12 4900.00 990 02/27 5000.00
957 02/12 1161.15 991 02/27 5460.00
959 02/26 1234.66
39 CYCLE-OlO
800 6463517 CA
02/06 CKCD DEBIT 02/06 ERIE 843.43
COMPUTER 814-456-5600 PA
02/06 CKCD DEBIT 02/04 HARBOR 1000.00
ENTERPRISES973-9457989 NJ
02/09 CREDIT MEMO 10000.00
02/09 AC-CPS -CPSMRCHDEP 7.99
TDBAN K0000483
Case 1:10-cv-02031-DLI -JMA Document 45-10 Filed 06/18/10 Page 45 of 50
PAGE
39 CYCLE-O1O
39 CTCLE-010
SUITES ORLANDO FL
930030613831MEMPHIS TN
02/23 DEPOSIT 10000.00
02/23 OVERDRAFT FEE 70.00
02/23 CKCD DEBIT 02/20 AUDIO 1388.88
VISUAL972-2415444 TX
BALANCE BY DATE
01/31 4483.51 02/02 2390.18 02/03 32003.02 02/04 1310.61
02/05 28401.68 02/06 5488.32- 02/09 12508.67- 02/10 8925.35-
02/11 3512.59 02/12 2510.32- 02/13 3337.11 02/17 8351.07-
02/18 1176.22 02/19 12993.27 02/20 4293.94- 02/23 11679.43-
02/24 18250.57 02/25 6636.02- 02/26 8092.19 02/27 19533.84
02/28 19.508.84
TDBAN K0000485
Case 1:10-cv-02031-DLI -JMA Document 45-10 Filed 06/18/10 Page 47 of 50
38 CYCLE-OlO
CHECKING NY BUSINESS
ACCOUNT NUMBER
PREVIOUS STATEMENT BALANCE AS OF 02/28/09 19508.84
PLUS 41 DEPOSITS AND OTHER CREDITS 397672.83
LESS 100 CHECKS AND OTHER DEBITS 426626.37
LESS CYCLE SERVICE CHARGE 25.00
CURRENT STATEMENT BALANCE AS OF 03/31/09 9469.70-
NUNBER OF DAYS IN THIS STATEMENT PERIOD 31
CHECK TRANSACTIONS
SERIAL DATE AMOUNT SERIAL DATE AMOUNT
966S 03/04 21.21 1013 03/19 36000.00
969 03/03 2400.00 1015 03/19 21889.53
972 03/02 1832.09 1017 03/27 2675.00
982 03/04 250.00 1018 03/27 5005.00
984 03/02 248.63 1020 03/19 16599.00
937 03/03 225 00 1021 03/26 924.76
988 03/02 1000.00 1022 03/31 9313.28
992 03/03 1500.00 1023 03/30 6000.00
993 03/02 649.90 1024 03/30 247.50
994 03/04 6154.23 1026 03/30 886.22
995 03/05 2859.29 1027 03/27 12000.00
996 03/05 5000.00 1028 03/30 525.00
998 03/04 600.00 1029 03/27 5000.00
999 03/06 1218.35 1031 03/30 5000.00
1000 03/16 40000.00 1032 03/30 635.44
1001 03/11 37203.50 1033 03/30 23868.00
1010 03/18 12000.00 1035 03/27 248.00
1011 03/17 605.00 9999 03/16 337.76
1012 03/26 10000.00
TDBAN K0000530
Case 1:10-cv-02031-DLI -JMA Document 45-10 Filed 06/18/10 Page 48 of 50
PAGE
38 CYCLE-OlO
TDBANK0000531
Case 1:10-cv-02031-DLI -JMA Document 45-10 Filed 06/18/10 Page 49 of 50
PAGE
38 CYCIE-01
TDBANK0000532
Case 1:10-cv-02031-DLI -JMA Document 45-10 Filed 06/18/10 Page 50 of 50
PAGP
38 CYCLE-OlO
BALANCE BY DATE
02/28 19508.84 03/02 14049.16 03/03 19389.22 03/04 37821.81
03/05 6415.14 03/06 4247.06 03/09 10627.05 03/10 7076.97
03/11 30369.63- 03/12 269337 03/13 7721.26 03/16 38444.78-
03/17 14452.83 03/18 24120.70 03/19 54678.73- 03/20 2379.27
03/23 20340.50 03/24 20356.40 03/25 19160.15 03/26 8235.39
03/27 23071.56- 03/30 3652272- 03/31 9469.70
TDBANK0000533
Case 1:10-cv-02031-DLI -JMA Document 45-11 Filed 06/18/10 Page 1 of 44
68 CYCLE- 010
CHECEING NY BUSINESS
ACCOUNT NUMBER
PREVIOUS STATEMENT BALANCE AS OF 03/31/09 9469.70-
PLUS 66 DEPOSITS AND OTHER CREDITS 1415725.63
LESS 113 CHECES AND OTHER DERITS 1364827.46
LESS CYCLE SERVICE CHARGE 25.00
CURRENT STATEMENT BALANCE AS OF 04/30/09 41403.47
NUMBER OF DAYS IN THIS STATEMENT PERIOD 30
CHECE TRANSACTIONS
SERIAL DATE AMOUNT SERIAL DATE AMOUNT
1004 04/08 125.00 lOGOS 04/14 3020.35
1005 04/09 4250.00 1061 04/09 20000.00
1006 04/09 442.02 1062 04/10 50.00
1007 04/07 3000.00 1063 04/07 5816.01
1009 04/01 4076.62 1064 04/20 12588.29
1016 04/02 4618.38 1065 04/08 695-00
1019 04/01 2165.09 1066 04/15 15000.00
1030 04/10 34385.00 1067 04/09 100000.00
1034 04/02 1995.00 1067S 04/22 100000.00
1036 04/06 21400.00 1068 04/16 18971.86
1037 04/07 814.07 1069 04/23 2633.51
1038 04/01 225.00 1070 04/16 100000.00
1039 04/06 6132.30 1071 04/22 80000.00
1040 04/08 74194.68 1072 04/27 3100.00
1041 04/07 33170.00 1073 04/20 1276.34
1042 04/03 83640.00 1074 04/22 1530.00
1043 04/02 45422.92 1075 04/27 1304.95
1044 04/03 6092.13 1076 04/20 910.54
1045 04/06 5000.00 1078 04/27 6801.64
1047 04/20 629.46 1079 04/21 7500.00
1048 04/09 223.40 1080S 04/22 10000.00
1049 04/17 870.38 1081 04/28 628.87
1050 04/13 551.54 1082 04/27 10000.00
1051 04/14 6400.00 1083 04/27 11596.63
1052 04/09 1178.74 1084 04/27 3440.00
1053 04/08 1439.64 1085 04/27 9170.00
1054 04/13 16752.43 1086 04/28 73.00
1054S 04/14 16752.43 1087 04/27 1100.00
1055 04/09 428.02 1088 04/28 6040.60
1056 04/09 1636.15 1090 04/24 22278.60
1057 04/07 60.59 1092 04/23 200.00
1058 04/09 2646.49 1095 04/27 19689.35
1059 04/13 2195.33 1098 04/29 1916.16
1059S 04/14 2195.33 1099 04/24 465.00
1060 04/13 3020.35 1101 04/24 2535.98
TDBAN K0000572
Case 1:10-cv-02031-DLI -JMA Document 45-11 Filed 06/18/10 Page 2 of 44
PAGE
68 CYCLE-OlO
TDBAN K0000573
Case 1:10-cv-02031-DLI -JMA Document 45-11 Filed 06/18/10 Page 3 of 44
PAGE
68 CYCLE-OlO
TDBAN K0000574
Case 1:10-cv-02031-DLI -JMA Document 45-11 Filed 06/18/10 Page 4 of 44
PAGE
68 CYCLE-Gb
BALANCE BY DATE
03/31 9469.70- 04/01 94184.92 04/02 8011.60 04/03 98297.22
04/06 9964.42 04/07 433.65 04/08 43939.47 04/09 13205.55
04/10 21184.49- 04/13 221.90 04/14 3355.10 04/15 18866.58
04/16 18105.28- 04/17 131151.02 04/20 120731.39 04/21 113513.71
04/22 22529.74- 04/23 60132.93 04/24 18742.41 04/27 54550.21
04/28 58383.97 04/29 39514.63 04/30 41403.47
TDBAN K0000575
Case 1:10-cv-02031-DLI -JMA Document 45-11 Filed 06/18/10 Page 5 of 44
42 CYCLE-OlO
CHECKING NY BUSINESS
ACCOUNT NUMBER
PREVIOUS STATEMENT BALANCE AS OF 04/30/09 41403.47
PLUS 87 DEPOSITS AND OTHER CREDITS 1616544.03
LESS 107 CHECKS AND OTHER DEBITS 1444729.26
LESS CYCLE SERVICE CHARGE 25.00
CURRENT STATEMENT BALANCE AS OF 05/31/09 213193.24
NUMBER OF DAYS IN THIS STATEMENT PERIOD 31
CHECK TRANSACTIONS
SERIAL DATE AMOUNT SERIAL DATE AMOUNT
1089 os/oi 4000.00 1123 05/04 3904.45
1093 05/04 36000.00 1124 05/05 5000.00
1093S 05/11 36000.00 1125 05/15 66250.00
1103 05/01 925.00 1125 05/19 66250.00
1105 os/os 3306.29 1126 05/12 85000.00
1106 05/05 627.37 1128 05/20 500.00
1107 cs/os 900.00 1140 0s/21 41667.00
1108 05/04 599.76 1141 05/29 368.47
1109 05/04 1004.16 1145 05/29 312.00
nio os/os ioo.oo 1147 05/26 1526.00
1111 05/13 1000.00 1148 05/27 13228.00
1112 cs/os 56.06 1151 os/is 387.00
1113 cs/os 374.66 1152 os/is ioooo.oo
1115 cs/os 348.00 1152S os/ia ioooo.oo
1116 cs/os 4142.95 1153 05/21 100000.00
1117 os/o 100000.00 1154 05/26 209.00
1117S 05/08 100000.00 1155 os/ia 6503.00
1118 os/oi 100000.00 1156 05/27 1882.00
11185 os/os 100000.00 1157 05/21 25686.81
1119 cs/oi 13646.00 1158 05/26 4095.00
1120 05/04 3500.00 1159 05/26 3100.00
1121 05/04 5000.00 1160 os/27 46000.00
1122 cs/os 6148.46
TDBAN K0000628
Case 1:10-cv-02031-DLI -JMA Document 45-11 Filed 06/18/10 Page 6 of 44
PAGE
42 CYCLE-OlO
TDBAN K0000629
Case 1:10-cv-02031-DLI -JMA Document 45-11 Filed 06/18/10 Page 7 of 44
PAGE
1_
42 CYCLE-Ole
TDBAN K0000630
Case 1:10-cv-02031-DLI -JMA Document 45-11 Filed 06/18/10 Page 8 of 44
PAGE
44 CYCLE-OlD
BALANCE BY DATE
04/30 41403.47 os/oi 22148.66 05/04 6219.12 os/os 40787.62
05/os 24777.43 05/07 54668.97 05/08 147646.64- os/li 13479.35-
05/12 19868.03 05/13 19871.41 05/14 7756.52 os/is 6057.69
05/18 217.69 05/19 28301.33- 05/20 308581.46 05/21 48369.77
05/22 177320.42 05/26 170049.70 05/27 222061.86 05/28 214107.66
05/29 213218.24 05/31 213193.24
TDBAN K000063
Case 1:10-cv-02031-DLI -JMA Document 45-11 Filed 06/18/10 Page 9 of 44
117 CYCLE-OlO
CHECKING NY BUSINESS
ACCOUNT NUMBER 7925760121
PREVIOUS STATEMENT BALANCE AS OF 05/31/09 213193.24
PLUS 100 DEPOSITS AND OTHER CREDITS 2224933.05
LESS 207 CHECKS AND OTHER uIBITS 2245897.32
CURRENT STATEMENT BALANCE AS OF 06/30/09 192228.97
NUMBER OF DAYS IN THIS STATEMENT PERIOD 30
CHECK TRANSACTIONS
SERIAL DATE AMOUNT SERIAL DATE AMOUNT
1130 06/03 748.11 1202 06/10 059.60
1131 06/08 4250.00 1203 06/15 3636.53
1132 06/01 1276.34 1204 06/15 5502.34
1134 06/01 6762.00 1205 06/17 36000.00
1135 06/02 259.72 1206 06/iS 5776.17
1136 06/03 7709.80 1207 06/12 276330.00
1137 06/08 3766.23 1208 06/16 18312.00
1138 06/01 5580.00 1209S 06/16 6.95
1139 06/01 1600.00 1210 06/16 15000.00
1142 06/30 410.65 1211 06/17 6058.44
1143 06/03 3749.25 1212 06/23 195.07
1146 06/02 673.79 1213 06/12 144.50
1149 06/02 1016.50 1214 06/15 140.88
TDBANK0000674
Case 1:10-cv-02031-DLI -JMA Document 45-11 Filed 06/18/10 Page 10 of 44
PAGE
117 CYCLE-010
CHECK TRANSACTIONS
SERIAL DATE AMOUNT SERIAL DATE AMOUNT
1268 06/29 108.38 1316 06/26 2643.00
1298 06/30 1750.00 1319 06/29 113.67
1302 06/29 13125.00 1320 06/29 21250.00
1303 06/30 37500.00 1321 06/30 38500.09
1305 06/24 484.40 1322 06/29 866.10
1308 06/30 3492.42 100000 06/17 226.02
1312 06/29 2901.75 100001 06/15 226.02
1313 06/29 1525.86 100003 06/23 226.03
1314 06/29 41667.00 100005 06/29 226.02
1315 06/29 638.64
TDBAN K0000675
Case 1:10-cv-02031-DLI -JMA Document 45-11 Filed 06/18/10 Page 11 of 44
PAGE
117 CYCLE-OlO
117 CYCLE-OlO
TDBAN K0000677
Case 1:10-cv-02031-DLI -JMA Document 45-11 Filed 06/18/10 Page 13 of 44
PAGE
-r
117 CYCLE-OlO
TDBAN K0000678
Case 1:10-cv-02031-DLI -JMA Document 45-11 Filed 06/18/10 Page 14 of 44
PAGE
117 CYCLE-OlO
BALANCE BY DATE
05/31 213193.24 06/01 198607.19 06/02 253279.22 06/03 400894.26
06/04 392378.49 06/05 540171.38 06/08 507580.63 06/09 475195.01
06/10 419859.06 os/li 415312.53 06/12 173689.85 06/15 159037.29
06/16 260387.97 06/17 212704.81 06/18 170100.95 06/19 67974.30
06/22 400791.37 06/23 401168.48 06/24 643953.73 06/25 636135.48
06/26 619186.38 06/29 382226.47 06/30 192228.97
TDBAN K0000679
Case 1:10-cv-02031-DLI -JMA Document 45-11 Filed 06/18/10 Page 15 of 44
144 CYCLE-OlO
CHECKING NY BUSINESS
ACCOUNT NUMBER _J
PREVIOUS STATEMENT BALANCE AS OF 06/30/09 192228.97
PLUS 102 DEPOSITS AND OTHER CREDITS 9174932.51
LESS 242 CHECKS AND OTHER DEBITS 8457289.57
LESS CYCLE SERVICE CHARGE 25.00
CURRENT STATEMENT BALANCE AS OF 07/31/09 909846.91
NUMBER OF DAYS IN THIS STATEMENT PERIOD 31
CHECK TRANSACTIONS
SERIAL DATE AMOUNT SERIAL DATE AMOUNT
1242 07/02 6500.00 1327 07/13 21775.00
1247 07/03 2500.00 1328 07/13 45050.00
1251 07/06 61999.00 1329 07/07 36000.00
1253 07/03 32500.00 1330 07/09 301591.00
1254 07/01 78125.00 1331 07/16 100000.00
1260 07/02 36410.73 1332 07/13 18312.00
1261 07/03 2510.00 1333 07/14 10000.00
1266 07/01 3000.00 1334 07/14 727.00
1267 07/15 5000.00 1335 07/08 325.13
1269 07/10 2250.00 1336 07/14 5951.42
1270 07/03 21.90 1343 07/22 9921.19
1271 07/06 2570.63 1344 07/22 33475.00
1273 07/01 845.33 1345 07/17 3500.00
1274 07/07 12415.72 1346 07/14 3000.00
l27 07/15 23000.00 1347 07/13 36586.55
1276 07/03 5000.00 1348 07/is 2145.79
1277 07/07 237.12 1349 07/22 1348.35
1278 07/10 510.40 1353 07/21 713.24
12/9 01/14 3521.72 1354 07/31 13125.00
1280 07/17 177.71 1355 07/30 3375.00
1281 07/is 155808.00 1356 07/23 212.80
1283 07/28 3820.00 13S8S 07/23 233.06
1284 07/14 500.23 1359 07/20 7025.00
128S 07/08 8716.06 1360 07/23 2860.92
1286 07/14 2500.00 1361 07/22 24313.38
1287 07/is 430.00 1362 07/22 70025.00
1288 07/10 174.00 1364 07/20 231675.00
1289 07/15 270.03 1366 07/21 919.64
1290 07/iS 506.59 1367 07/23 11367.13
1291 07/09 3150.00 1369 07/22 2145.00
1292 07/10 200.00 1371 07/22 1260.59
1293 07/13 42500.00 1373 07/28 2000.00
1294 07/14 41667.00 1374 07/21 947.68
1295 07/13 438.43 1376 07/22 46664.00
1296 07/13 1433.39 1377 07/21 37730.00
1297 07/15 493.92 1378 07/20 5665.14
1299 07/01 1200.00 1379 07/22 1627.19
1300 07/03 104.22 1380 07/17 13970.00
1301S 07/02 3725.22 1381 07/20 5104.46
1304 07/06 26000.00 1382 07/23 698.93
1306 07/01 50000.00 1383 07/30 569.91
1307 07/01 2300.00 1384 07/20 26614.30
1309 07/02 2524.42 1385 07/20 1180.08
1311 07/07 80.00 1386 07/20 3000.00
1317 07/01 11464.18 1387 07/21 340.23
1323 07/15 1350.40 1388 07/20 195.08
1325 07/13 1904.24 1389 07/20 25000.00
1326 01/08 108.32 1390 07/22 1.388.93
TDBAN K0000737
Case 1:10-cv-02031-DLI -JMA Document 45-11 Filed 06/18/10 Page 16 of 44
PAGE
144 CYCLE-OlO
CHECK TRANSACTIONS
SERIAL DATE AMOUNT SERIAL DATE AMOUNT
1391 07/22 3000.00 1415 07/31 16655.07
1392 07/27 7500.00 1420 07/30 21.90
1393 07/28 1088.22 1430 07/31 4268.89
1394 07/27 26428.66 1435 07/31 31650.00
1396 07/22 476.84 1441 07/31 5390.67
1397 07/28 3793.13 1446 07/31 78125.00
1398 07/24 4655.80 1453S 07/30 31362.59
1399 07/30 1995.00 1454 07/31 3000.00
1400S 07/29 5104.46 1455 07/31 3000.00
14015 07/31 267.60 1457 07/31 3105.00
1402 07/28 1100.00 1461 07/31 103.95
1403 07/27 3008.30 100002 07/06 226.03
1405 07/31 16655.07 100004 07/06 226.02
1406 07/30 3617.46 100006 07/06 226.03
1407 07/29 15000.00 100007 07/03 226.03
1408 07/31 237.12 100008 07/15 226.02
1411 07/27 3000.00 100009 07/14 226.02
1412 07/27 3000.00 100010 07/24 226.03
1413 07/28 346240.00 100011 07/23 226.03
1414 07/31 4900.00 100013 07/28 226.02
TDBAN K0000738
Case 1:10-cv-02031-DLI -JMA Document 45-11 Filed 06/18/10 Page 17 of 44
PAGE
144 CYCLE-OlO
TDBANK0000739
Case 1:10-cv-02031-DLI -JMA Document 45-11 Filed 06/18/10 Page 18 of 44
PAGE
144 CYCLE-OlO
TDBAN K0000740
Case 1:10-cv-02031-DLI -JMA Document 45-11 Filed 06/18/10 Page 19 of 44
PAGE
144 CYCLE-OlO
TDBAN K000074
Case 1:10-cv-02031-DLI -JMA Document 45-11 Filed 06/18/10 Page 20 of 44
PAGE
144 CYCLE-OlO
BALANCE BY DATE
06/30 192228.97 07/01 37015.75 07/02 188146.75 07/03 132621.90
07/06 40074.38 07/07 442312.75 07/08 4/2634.58 07/09 409795.60
07/10 316406.04 07/13 48747.20- 07/14 299056.21 07/15 134415.93-
07/16 66810.06 07/17 287208.36 07/20 330641.60 07/21 293684.40
07/22 98262.47 07/23 578669.65 07/24 563705.00 07/27 471938.32
07/28 715126.66 07/29 591011.19 07/30 505541.03 07/31 909846.91
141 CYCLE-OlD
CHECKING NY BUSINESS
ACCOUNT NUMBER
PREVIOUS STATEMENT BALANCE AS OF 07/31/09 909846.91
PLUS 89 DEPOSITS AND OTHER CREDITS 4510108.24
LESS 223 CEECKS AND OTHER DEBITS 3788898.77
CURRENT STATEMENT BALANCE AS OF 08/31/09 1631056.38
NUMBER OF DAYS IN THIS STATEMENT PERIOD 31
CHECK TRANSACTIONS
SKRIAL DATE AMOUNT SERIAL DATE AMOUNT
1337 08/03 42500.00 1464 08/11 340.34
1338 08/12 15000.00 1465 08/12 1953.00
1339 08/03 43750.00 1466 08/11 2208.45
1341 08/11 47500.00 1469 08/05 1901.23
1350 08/03 47737.50 1470 08/12 12613.79
1351 08/06 32500.00 1471 08/12 25000.00
1352 08/11 66250.00 1472 08/06 9661.63
1357 08/10 31250.00 1473 08/07 3750.00
1368 08/06 3500.00 1474 08/06 3000.00
1370 08/06 13750.00 1475 08/13 69286.00
1372 08/05 50000.00 1476 08/12 341.38
1375 08103 83333.33 1477 08/10 19250.68
1395 08/10 6240.50 14785 08/13 70.58
1404 08/31 180.00 1479 08/10 1085.00
1409 08/10 1227.20 1480S 08/10 200.00
1417 08/03 66428.00 1481 08/27 100000.00
1418 08/03 100000.00 1482 08/10 43.94
1421 08/28 153999.00 1483 08/12 179.46
1422 08/03 1100.00 1484 08/21 177.85
1423 08/03 3014.34 1485 08/10 176.26
1424 08/03 21250.00 1486 08/13 2140.52
1425 08/03 144.00 1487 08/10 3390.17
1427 08/07 9541.87 1488 08/18 65.70
1428 08/03 135.00 1489 08/13 3000.00
1429 08/11 47500.00 1490 08/12 1531.17
1431 08/04 4000.00 1491 08/07 1901.24
1432 08/03 15000.00 1492 08/10 6000.00
1433S 08/03 579.00 1493 08/10 1355.60
1434 08/03 20378.75 1494 08/il 386126.00
1436 08/05 9222.73 1498 08/14 2525.90
1437 08/03 1565.00 1499 08/10 3000.00
1438 08/27 552.00 1500 08/10 43.34
1439 08/04 22100.00 1501 08/21 658.49
1440 08/05 909.14 1502 08/19 1147.00
1442 08/06 2430.53 1504S 08/19 35.55
1443 08/03 981.00 1507 08/31 78125.00
1444 08/03 4307.75 1508 08/20 2853.26
1445 08/03 2153.58 1513 08/18 62.71
1447 08/31 3500.00 1514 os/is 2604.73
1448 08/05 37500.00 1516 08/26 2507.36
1449 08/os 41667.00 1518 08/19 2000.00
1450 08/05 42500.00 1519 08/21 488.74
1451 08/14 25000.00 1523 08/18 2343.75
1452 08/03 9000.00 1524 08/17 23750.00
1458 08/11 12173.15 1525 08/17 11153.14
1459 08/03 1759.99 1527 08/18 1913.00
1460 08/03 822.00 1528 08/17 119.99
1462 08/10 1042.50 1530 08/21 45.17
1463 08/12 2.560.15 1531 08/25 844.00
TDBAN K0000828
Case 1:10-cv-02031-DLI -JMA Document 45-11 Filed 06/18/10 Page 22 of 44
PAGE
TDBAN K0000829
Case 1:10-cv-02031-DLI -JMA Document 45-11 Filed 06/18/10 Page 23 of 44
PAGE
141 CYCLE-OlO
TDBAN K0000830
Case 1:10-cv-02031-DLI -JMA Document 45-11 Filed 06/18/10 Page 24 of 44
PAGE
141 CYCLE-OlO
TDBAN K000083
Case 1:10-cv-02031-DLI -JMA Document 45-11 Filed 06/18/10 Page 25 of 44
PAGE
141 CYCLE-OlO
TDBANK0000832
Case 1:10-cv-02031-DLI -JMA Document 45-11 Filed 06/18/10 Page 26 of 44
PACE
BALANCE BY DATE
07/31 909846.91 08/03 445740.82 08/04 422035.33 08/05 238038.48
08/06 415365.71 08/07 394196.97 08/10 319867.82 08/11 300620.04
08/12 239391.13 08/13 196555.60 08/14 358998.46 08/17 322666.63
08/18 272058.56 08/19 126121.85 08/20 723535.33 08/21 781147.80
08/24 728435.05 08/25 1433975.14 08/26 548652.94 08/27 443777.03
08/28 1183942.81 08/il 1631056.38
TDBAN K0000833
Case 1:10-cv-02031-DLI -JMA Document 45-11 Filed 06/18/10 Page 27 of 44
Rank
Ameriras Most Convenient Bank STATEMENT OF ACCOUNT
43 WEST 33RD STREET SUITE 600 Statement Period Sep01 2009-Sep 302009
Business Analysis
ACCOUNT SUMMARY
Statement Balance as of 09/01 1631056.38
Plus Ill Deposits and Other Credits 2458758.29
ACCOUNT ACTIVITY
Transactions by Date
DATE DEsCRIPTION DEBIT CREDIT BALANCE
CPS CPSMRCHDEP
9/I ACH DEPOSIT 919.12 1633306.05
CPS CPSMRCI-IDEP
CPS CPSMRCHDEP
9/I CKCDDEBIT 31.00 1636706.90
TDBANK00009O2
Case 1:10-cv-02031-DLI -JMA Document 45-11 Filed 06/18/10 Page 28 of 44
--
Subtract see-vices ctsargms shown
any
List below the amount of deposits
on thus statement
add any interest earned if you have Rubtotal by adding lines and 55N-nk
an interest-bearing account
oH
add any auteeaatic deposit or
withdrawals that do not on
appear
overdraft line of ored.it
Review
thus
all
statement
withdrawals
and check
shown
then
en
uP
this
withdrawals
statement
and
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enter
the
on Line to____
in your account v.p
DEPOSITS NOT DOLLARS CENTS WfHIDRAWAIS NOT DOLLARS CENTS WFfNOEAWAIS NOT DOLLARS CENTS
-totS --..-
Total Dejsoaplx
WdbdtawSt
-- .----
FOR CONSUMER ACCOUNTS ONLY IN CASE OF ERRORS OR FORCONSUMER LOAN ACCOUNTS ONLY BILLING RIGHTS
QUESTIONS ABOUT YOUR ELECTRONIC FUNDS TRANSFERS SUMMARY
If eu need nfereaiiee about as etnnuniu 1usd osesfeyursf roe believe then is an nrer Is sac of Enne as Qeegiaeodihuso Yew Bill
yeoo tall aisle seal P0 Boo Ill laussase Mdoeu4ldl1377 suseen possible
1D BaeluN Deposit Opeososs DsptF O.B ax 1377L ewisrunM also We muu bar no usa aulslerthsi darn true the REST us
snly6S seslyne bill
04243.1377 eheb the suns se psublwu appesod Yssuai suleptnis us huduse so evIl eel lrasdaou
We oust beau bonsai en also then siorc5bll udredar days shoe sue scsi the mi yuuo ughls Is possokise gise en Is fellonbig iefnssiue
you
suunser upon which the seeur ui psables Eni appat Wlrss coesauseg the Bests
Ynir same eidascouus suebos
please enplaes as clearly yes sat nbc you behest thees as issue why sun TIre daller aanael ef the ssqroued eon
iefneenmes unsaid Please ioutsdr
Deeusibn the osr aid enpba yes ear sehyynu hdieoe three rest smnr
Ysr cane anducousni ssehur If unu sesdsnee ufeessrms desorihe the inn yea easesais abed
paver io
ehllgalnl repay the Inst efyerhrll thai we eel in oueeesr Whitens mveegaie ywn
WIves aeebal Back nay mt end us yur voettel sues sets
ssalasg iiqairsthe thapos qumison sue oasees reppe yeses deheqiwel ertate my in the anneal yes
Wa will inossligalo your conplane ad will rouser asgess penspdy If we late sun Iso
PINANCE CNAROES.Althesgh the Bait seen the Dally Bdvesee werhed Ia okalale
than lee 1151 buenos dais to do the sue will end year eceunl fur the aaseael
Told slcrnl cndilsd by the Bent is sos this year mill be mopedtry the Bned in thn uuedaue tad the helasee ha bees is fet the fsaaos
aocsasi sdwnll Ind Tuuer4ssra
lenient Rcsseae Sen-irs md Sun tao authissen The aseell rube eepsnsdsull be
oheage nshrplydeAionge Daly Balsson seen thu Ogs in Pond times the Daly
sspened npealaly 10 iou by the units
Periodic Rae as toed as
the Aorrat Suaisaayroaim ass the nelaf the saieasesl
cyulo dice drs dreg the ala halasoe by the eeiihr ef Dges is she Rilliag Cpele Ttiadaly
balaieo Ic the bateau fnlhe doe lire sdoaon has bees edded ad pavnrris so osedlu
hare bess eabnesd pIsces nest asic cPus adyasueren thel nighr heoseousosd the
day Three ieee uereoperiaddcaisg rhnh oe ease ehage avursi Frssiice uhage
TDBAN K0000903
Case 1:10-cv-02031-DLI -JMA Document 45-11 Filed 06/18/10 Page 29 of 44
Bank
Americas Most Convenient Bank STATEMENT OF ACCOUNT
Cust Ref
Primary Account
ACCOUNT ACTIVITY
Transactions Date
by continued
DATE DESCRIPTION DEBIT CREDIT BALANCE
CPS CPSMRCI-IDEP
CPS CPSMRCHDEP
TDBAN K0000904
Case 1:10-cv-02031-DLI -JMA Document 45-11 Filed 06/18/10 Page 30 of 44
Bank
Americas Most Convenient Bank
STATEMENT OF ACCOUNT
ACCOUNT ACTIVITY
CPS CPSMRCHDEP
9/4 ACII DEBIT 6502.90 1026738.56
ADPTX/FINCLSVCADP-TAX
9/4 ACM DEBIT 15832.63 1010905.93
KANKIERJ1T514CJNSLRED WWWTDBANXCOM
TDBAN K0000905
Case 1:10-cv-02031-DLI -JMA Document 45-11 Filed 06/18/10 Page 31 of 44
Bank
Americas Most Convenient Bank
STATEMENT OF ACCOUNT
CustRcf 1150
Primary Account 7....
ACCOUNT ACTIVITY
CPS CPSMRCHDEP
9/8 ACM DEPOSIT 2315.92 954477.72
RAPID DEPOSIT
TDBANK00009O6
Case 1:10-cv-02031-DLI -JMA Document 45-11 Filed 06/18/10 Page 32 of 44
Bank
Americas Most Convenient Bank
STATEMENT OF ACCOUNT
CustRef
Primary Account
ACCOUNT ACTIVITY
CPS CPSMRCHDEP
9/9 ACH DEPOSIT 683.26 940545.39
CPS CPSMRCHDEP
9/9 ACH DEPOSIT 844.66 941390.05
CPS CFSMRCHDEP
9/9 ACH DEPOSIT 1335.45 942725.50
CPS CPSMRCHDEP
9/9 CKCD DEBIT 48.74 942676.76
TDBAN K0000907
Case 1:10-cv-02031-DLI -JMA Document 45-11 Filed 06/18/10 Page 33 of 44
Bank
Americas Most Convenient Bank STATEMENT OF ACCOUNT
CustRefft
Primary Account
ACCOUNT ACTIVITY
Transactions Date
by continued
DATE DESCRIPTION DEBIT CREDIT BALANCE
CPS CPSMRCHDEP
9/11 ACH DEBIT 15528.42 695583.03
ADP TX/FENCL SVC ADP TAX
9/11 Check 1664 1294.13 694288.90
CPS CPSMRCHDEP
9/14 CKCD CREDIT 274.04 1265812.68
TDBAN K0000908
Case 1:10-cv-02031-DLI -JMA Document 45-11 Filed 06/18/10 Page 34 of 44
Bank
Americas Most Convenient Bank
STATEMENT ACCOUNT
ACCOUNT ACTIVITY
TDBANK00009O9
Case 1:10-cv-02031-DLI -JMA Document 45-11 Filed 06/18/10 Page 35 of 44
Bank
Americas Most Convenient Sank
STATEMENT OF ACCOUNT
CustRef
Primary Account
ACCOUNT ACTIVITY
CIS CPSMRCHDEP
9/15 ACt-I DEPOSIT 474.88 1005976.26
CIS CPSMRCHDEP
9/15 ACH DEPOSIT 704.43 1006680.69
CPS CPSMRCHDEP
9/15 DEPOSIT 734.40 1007415.09
RAPID DEPOSIT
CPS CPSMRCHDEP
9/16 XCII DEBIT 107.40 766041.17
CIS CPSMRCI-IDEP
RAPID DEPOSFI
TDBANK000091
Case 1:10-cv-02031-DLI -JMA Document 45-11 Filed 06/18/10 Page 36 of 44
Bank
Americas Most Convenient Bffl1k
STATEMENT OF ACCOUNT
CustRef
Primary Account
ACCOUNT ACTIVITY
RAPID DEPOSIT
CPS CPSMRCHDEP
9/LB ACH DEBIT 6928.33 1284919.05
TDBANK000091
Case 1:10-cv-02031-DLI -JMA Document 45-11 Filed 06/18/10 Page 37 of 44
Bank
Americas Most Convenient Bank
STATEMENT OF ACCOUNT
ACCOUNT ACTIVITY
CPS CPSMRCI-IDEP
CPS CPSMRCHDEP
9/21 CKCD DEBIT 72.00 1078858.21
092109 CKCD DEBIT
09117 INDIANA CONVENTIONINDIANAPOLIS IN
TDBANK00009I
Case 1:10-cv-02031-DLI -JMA Document 45-11 Filed 06/18/10 Page 38 of 44
Bank
Americas Most Convenient Bflk OF
STATEMENT ACCOUNT
Cost Ref
Primary Account
ACCOUNT ACTIVITY
CPS CPSMRCHDEP
9/22 ACH DEPOSIT 352.52 890155.67
CPS CPSMRCHDEP
9/22 ACH DEPOSIT 499.21 890.65488
CPS CPSMRCHDEP
9/22 Cheek 1643 83333.34 807321.54
CPS CPSMRCHDEP
9/23 ACH DEBIT 105.60 561770.55
CPS CPSMRCI-IDEP
RAPID DEPOSIT
TDBANK000091
Case 1:10-cv-02031-DLI -JMA Document 45-11 Filed 06/18/10 Page 39 of 44
Bank
Americas Most Convenient Bank
STATEMENT OF ACCOUNT
Primaiy Account
ACCOUNT ACTIVITY
Transactions Date
by continued
DATE DESCRIPTION DEBIT CREDTF BALANCE
CPS CPSMRCHDEP
9/25 ACH DEPOSIT 1751.17 758965.98
ADP TXIFINCL SVC ADP TAX
9/25 WIRE TRANSFER OUTGOING 86620.55 672345.43
WIRE TRANSFER000I 97
TDBANK000091
Case 1:10-cv-02031-DLI -JMA Document 45-11 Filed 06/18/10 Page 40 of 44
Bank
Americas Most Convenient Bank
STATEMENT OF ACCOUNT
CustRef J.L
Primary Account
ACCOUNT ACTIVITY
ATTMSI2O4IIO73O3MNY 8003310500 GA
9/28 DEBIT CARD PURCHASE 19.00 -74523.46
TDBANK000091
Case 1:10-cv-02031-DLI -JMA Document 45-11 Filed 06/18/10 Page 41 of 44
Bank
America Most Convenient Banr
STATEMENT OF ACCOUNT
CusrRef
Primary Account
ACCOUNT ACTIVITY
OVERDRAFT RET
OVERDRAFT RET
TDBANK0000QI
Case 1:10-cv-02031-DLI -JMA Document 45-11 Filed 06/18/10 Page 42 of 44
Bank
Americas Most Convenient Bank
STATEMENT OF ACCOUNT
SPONGETECI-1 16 of 18
DELIVERY SYSTEM INC Page
Statement Period Sep 01 2009-Sep 30 2009
Cust Ref .T
PrimEly Account
ACCOUNT ACTIVITY
Checks Paid No hecks ISO Indicates break in seul sequence or check peacessed electronically and listed under Electronic Payments
TDBANK000091
Case 1:10-cv-02031-DLI -JMA Document 45-11 Filed 06/18/10 Page 43 of 44
Bank
Americas Most Convenient Bank
STATEMENT OF ACCOUNT
CustRef .1
Primaiy Account
ACCOUNT ACTIVITY
TDBANK00009I
Case 1:10-cv-02031-DLI -JMA Document 45-11 Filed 06/18/10 Page 44 of 44
Bank
Amerkas Most Convenient Bank
STATEMENT OF ACCOUNT
CustRef
Primary Account
ACCOUNT ACTIVITY
Checks Paid continued indicates break in serial sequence or check processed electronically nod listed under Electronic Payments
TDBANK000091
Case 1:10-cv-02031-DLI -JMA Document 45-12 Filed 06/18/10 Page 1 of 3
Plaintiff
CV-1O-2031
Defendants
EXHIBIT
Case 1:10-cv-02031-DLI -JMA Document 45-12 Filed 06/18/10 Page 2 of 3
Page of
Reporting SSNTflN
XA-V4/S
STEVEN MOSKOWJTZ President of RM
ENTERPRISES INTERNATIONAL LTD
DPFS Vet O0.S4.t00flV8.52.I0o3 Copt Hariand flnanclai Sotuiion inc 1996 2004 All RJgMa Reserved NY bE- L100325
TDBANK0001 087
Case 1:10-cv-02031-DLI -JMA Document 45-12 Filed 06/18/10 Page 3 of 3
Page of
The following information may be used to further identify individuals for telephone
instructions large transactions or if signature varies MMNMothers Maiden Name
Mailing
ID MMN
Name 85W
Street
Mailing
Phone
Job
DOS
ID MMN
Important Under penalties of perjury certify that the number shown above Is the
exempt from backup withholding or because the Corporation has not been notified by
the IRS that the Corporation is subject to backup withholding as result of failure to
TDBANK0001 088
Case 1:10-cv-02031-DLI -JMA Document 45-13 Filed 06/18/10 Page 1 of 4
Plaintiff
CV-IO-2031
Defendants
EXHIBIT
Case 1:10-cv-02031-DLI -JMA Document 45-13 Filed 06/18/10 Page 2 of 4 of
Page 64
1OKSB v12532410ksb.htm
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington D.C 20549
Form I0-KSB
Mark One
ANNUAL REPORT UNDER SECTION 13 OR 15d OF THE SECURITIES EXCHANGE ACT OF 1934
LI TRANSITION REPORT UNDER SECTION 13 OR 15d OF THE SECURITIES EXCHANGE ACT OF 1934
Delaware 54-207723
Copies to
12 months or for such shorter period that the registrant was required to file such reports and has been subject to such
Check if there is no disclosure of delinquent filers in response to Item 405 of Regulation S-B contained in this form and no
disclosure will be contained to the best of registrants knowledge in definitive or information statements incorporated
proxy
by reference in Part III of this Form l0-KSB or any amendment to this Form l0-KSB
Our working capital at May 31 2008 was $4919367 as compared to working capital deficiency of $268498 at May 31
2007
For the year ended May 31 2008 cash provided by operating activities was $542315 primarily attributable to our
$1244455 net income offset primarily by the issuance of common stock for consulting fees loan payments of $4243228
For the year ended May 31 2008 net cash used in investing activities was approximately $315993 primarily related to
From January of 2008 through June 2008 the Company issued an aggregate of 267154132 shares of common stock to RM
Enterprises International Inc company that is our majority stockholder and which is controlled by our officers and
directors in consideration of the advance to the Company of an aggregate of $4918432.46 by RM Enterprises International
Inc Such shares were issued in tranches at the time of each of the advances of funds to the Company at 40% discount from
the market price on the date of each such advance The average per share issuance price for the shares was $0.0 184
12
All financial information required by this Item is attached hereto at the end of this report
Item Changes In and Disagreements With Accountants on Accounting and Financial Disclosure
Not applicable
EVALUATION OF DISCLOSURE CONTROLS AND PROCEDURES As of the date of this report the Companys
management carried out an evaluation under the supervision of the Companys Chief Executive Officer and the Chief
Financial Officer of the effectiveness of our disclosure controls and procedures pursuant to the Securities and Exchange Act
Rule l3a-15e and 15d-lSe under the Exchange Act Based upon that evaluation the Chief Executive Officer and Chief
Financial Officer that our disclosure controls and procedures are effective to ensure that the information required to be
disclosed by us in the reports that we file or submit under the Exchange Act is recorded processed summarized and
reported within the time periods specified in the Commissions rules and forms and ii is accumulated and communicated to
our management including our chief executive officer and chief financial officer to allow timely decisions on required
disclosure
CHANGES IN INTERNAL CONTROLS There were no changes in intemal controls or in other factors that could affect
these controls during the period covered by this report that has materially affected or is reasonably likely to materially affect
None
PART III
Item Directors Executive Officers Promoters and Control Persons Compliance With Section 16a of the
Exchange Act
The following table sets forth certain information regarding our current Executive Officers Directors and Key Employees
Director 5/2001
Plaintiff
CV-1O-2031
Defendants
EXHIBIT
Case 1:10-cv-02031-DLI -JMA Document 45-14 Filed 06/18/10 Page 2 of 26
68 CYCLE-OlO
CHECKING NY BUSINESS
ACCOUNT NUMBER
PREVIOUS STATEMENT BALANCE AS
OF 03/31/09 9469.70-
PLUS 66 DEPOSITS AND OThER CREDITS 1415725.63
LESS 113 CHECKS AN OTHER DEBITS 1364827.46
LESS CYCLE SERVICE CHARGE 25.00
CURRENT STATEMENT BALANCE AS OF 04/30/09 41403.47
NUMBER OF DAYS IN THIS STATEMENT PERIOD 30
CHECK TRANSACTIONS
SERIAL DATE AMOUNT SERIAL DATE AMOUNT
1004 04/08 125.00 lOGOS 04/14 3020.35
1005 04/09 4250.00 1061 04/09 20000.00
1006 04/09 442.02 1062 04/10 50.00
1007 04/07 3000.00 1063 04/07 5816.01
1009 04/01 4076.62 1064 04/20 12588.29
1016 04/02 4618.38 1065 04/08 695.00
1019 04/01 2165.09 1066 04/15 15000.00
1030 04/10 34385.00 1067 04/09 100000.00
1034 04/02 1995.00 1067S 04/22 100000.00
1036 04/06 21400.00 1068 04/16 18971.86
1037 04/07 814.07 1069 04/23 2633.51
1038 04/01 225.00 1070 04/16 100000.00
1039 04/06 6132.30 1071 04/22 80000.00
1040 04/08 74194.68 1072 04/27 3100.00
1041 04/07 33170.00 1073 04/20 1276.34
1042 04/03 83640.00 1074 04/22 1530.00
1043 04/02 45422.92 1075 04/27 1304.95
1044 04/03 6092.13 1076 04/20 910.54
1045 04/06 5000.00 1078 04/27 6801.64
1047 04/20 629.46 1079 04/21 7500.00
1048 04/09 223.40 10805 04/22 10000.00
1049 04/17 870.38 1081 04/28 628.87
1050 04/13 551.54 1082 04/27 10000.00
1051 04/14 6400.00 1083 04/27 11596.63
1052 04/09 1178.74 1084 04/27 3440.00
1053 04/08 1439.64 1085 04/27 9170.00
1054 04/13 16752.43 1086 04/28 73.00
1054S 04/14 16752.43 1087 04/27 1100.00
1055 04/09 428.02 1088 04/28 6040.60
1056 04/09 1636.15 1090 04/24 22278.60
1057 04/07 60.59 1092 04/23 200.00
1058 04/09 2646.49 1095 04/27 19689.35
1059 04/13 2195.33 1098 04/29 1916.16
1059S 04/14 2195.33 1099 04/24 465.00
1060 04/13 3020.35 1101 04/24 2535.98
TDBAN K0000572
Case 1:10-cv-02031-DLI -JMA Document 45-14 Filed 06/18/10 Page 3 of 26
PAGE
68 CYCLE-OlO
TDBAN K0000573
Case 1:10-cv-02031-DLI -JMA Document 45-14 Filed 06/18/10 Page 4 of 26
PAGE
68 CYCLE-OlO
INTERNET INC.877-461-2631 PA
04/27 CKCD DEBIT 04/23 AMERICAN Al 15.00
001260ST LOUIS MO
04/27 CKCD DEBIT 04/25 1SHOPPINGCAR 59.00
T.COM 705-792-1961 FL
04/27 CKCD DEBIT 04/25 ERIE 845.19
COMPUTER 814-456-5600 PA
04/28 AC-AMERICAN EXPRESS-SETTLEMENT 20.23
04/28 AC DISCOVER NETWORK-SETTLEMENT 40.93
04/28 AC-CPS -CPSMRCHDEP 150.29
04/28 DEPOSIT 19288.60
04/28 AC-FIRST EQUITY -PHONE PYMT 8923.82
04/29 AC-CPS -CPSMRCMDEP 1096.82
04/29 WIRE TRANSFEROO1674 18000.00
04/29 CKCD DEBIT 04/27 HARBOR 50.00
ENTERPRISES973-9457989 NJ
04/30 AC-DISCOVER NETWORK-SETTLEMENT 78.90
04/30 AC CPS -CPSMRCHDEP 676.99
04/30 DEPOSIT 1162.90
TDBAN K0000574
Case 1:10-cv-02031-DLI -JMA Document 45-14 Filed 06/18/10 Page 5 of 26
PAGE
68 CYCLE-OlO
CHECKING ACCOUNTTRANSACTIONS
DATE DESCRIPTION DEBITS CREDITS
04/30 CYCLE SERVICE CHARGE 25.00
BALANCE BY DATE
03/31 946970- 04/01 94184.92 04/02 8011.60 04/03 98297.22
04/06 9964.42 04/07 433.65 04/08 43939.47 04/09 13205.55
04/10 21184.49- 04/13 22190 04/14 3355.10 04/15 18866.58
04/16 1810528- 04/17 131151.02 04/20 120731.39 04/21 113513.71
04/22 22529.74 04/23 60132.93 04/24 18742.41 04127 54550.21
04/28 58383.97 04/29 39514.63 04/30 41403.47
TDBAN K0000575
Case 1:10-cv-02031-DLI -JMA Document 45-14 Filed 06/18/10 Page 6 of 26
NO
sQ04Lt6_
BRANCH
J3j
CUSTOMER NAME 3JJAJ.LC.1
Please Print
ACOT 2AOQQJO21
58 1031 PM 04/02/ag
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TDBAN K0000595
Case 1:10-cv-02031-DLI -JMA Document 45-14 Filed 06/18/10 Page 7 of 26
ACCI oO
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5flfjpfl ft 0402Q9
Checklus OEos1t $100 000 .00
TDBAN K0000596
Case 1:10-cv-02031-DLI -JMA Document 45-14 Filed 06/18/10 Page 8 of 26
APPROVED
cA 0209
DATE
BY
ACCT
2L4vC.oc
97 1I53 Ni 0402i03
Cbeck ins Lii thdraua
TDBAN K0000598
Case 1:10-cv-02031-DLI -JMA Document 45-14 Filed 06/18/10 Page 9 of 26
ACCt 1QjQc.oo
201 PH ft 04/03439
Checking Deposit I950O0.00
136 37TH 5TH 453
TDBAN K0000600
Case 1:10-cv-02031-DLI -JMA Document 45-14 Filed 06/18/10 Page 10 of 26
BRANCH NO fib
CUS TOM ER NAME
If 4i5ifJ
ENTERD APPROVED
JDATE4_
ACCI Iooo.oO
15 311 Pfl 04e03/U3 61
TDBANK00006O1
Case 1:10-cv-02031-DLI -JMA Document 45-14 Filed 06/18/10 Page 11 of 26
AGOT
____
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TDBAN K0000602
Case 1:10-cv-02031-DLI -JMA Document 45-14 Filed 06/18/10 Page 12 of 26
ACCI lodooo.ca
701 P11 C4Q609 ii
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Check rs DEP51 6JUUU.UU
136 37TH t. 5TH in
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TDBAN K0000605
Case 1:10-cv-02031-DLI -JMA Document 45-14 Filed 06/18/10 Page 13 of 26
ENTERED
BY
/1
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DATE
_______
/1 6oO 0o
ACCT
C21
TJ 2.1
so
Account jJ.L. J1T Check Amount 100000.00 Date Presented 04-08-2009
TDBAN K0000607
Case 1:10-cv-02031-DLI -JMA Document 45-14 Filed 06/18/10 Page 14 of 26
.1
19879889
SPL 071 7852060 031201360
AERIL 06 2009 3156352 D022 D3 P14 70 RFHII hR
C14/OD/2009 CNESPY KLLNJ
N3450.OO
TOTE HUNDRED FIFTY DOLLARS AND ZEDO CENTS
SEONSETEOS EOJVERY SYSTEN nrc ENd OnEAMEI
8151352
1HnCHEDI
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EGHIAWN IWDIAWWE IHHIUEWPWWEW4 Nut IAOINNWWN FE4UMNHENINHICTCH5IL
TDBANK00006O8
Case 1:10-cv-02031-DLI -JMA Document 45-14 Filed 06/18/10 Page 15 of 26
Zr
Checkine
1209 PM
Depcsit
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$22000.00
136 37TH 5TH 453
TDBAN K0000609
Case 1:10-cv-02031-DLI -JMA Document 45-14 Filed 06/18/10 Page 16 of 26
BRANCH
CUSTOMER NAME
kti
SI.my
Please Print
ENTERED APPROVED
23 OCu-
ACCT
2U5
ChEcking
Ph
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ti U4siC9 ri1
ciuiiu.CU
J36 37TH 514
TDBANK000061
Case 1:10-cv-02031-DLI -JMA Document 45-14 Filed 06/18/10 Page 17 of 26
DEMAND CREDIT
TD Bank N.A
WE CREDIT YOUR ACCOUNT FOR THE REASON NDICATED BELOW AMOUNT In
owkth thbSi
.j 4cni
Peae Print
3oUOO .oO
..-jri 04
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AccountS Check
so
Amount
23
30000.00 Date Presented 04-15-2009
TDBANK000061
Case 1:10-cv-02031-DLI -JMA Document 45-14 Filed 06/18/10 Page 18 of 26
ACCt
42S PM 04/16t9
30006
Checkins Deposit $30.000 .00
S.
TDBANK000061
Case 1:10-cv-02031-DLI -JMA Document 45-14 Filed 06/18/10 Page 19 of 26
ENTERED APPROVED
BY
pvi JDAT%//o5_
ACCt ttL0000.o
902Pfl 0.jUi09
Checkile Deposit 140 0O0 .00
TDBANK000061
Case 1:10-cv-02031-DLI -JMA Document 45-14 Filed 06/18/10 Page 20 of 26
WE
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CREDIT YOUR ACCOUNT FOR THE REASON INDICATED BELOW AMOUNT
BRANCH NO t.ti6 AZ 9c
Mc CUSTOM ER NAME
Please Print
APPROVED
OA7
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ACCt Al
117 439 PM fl 84/17109 12
Checklits Daos1t $1th1000.0Q
136371H51H 453
TDBANK000061
Case 1:10-cv-02031-DLI -JMA Document 45-14 Filed 06/18/10 Page 21 of 26
BRANCH NO
JL
CUSTOMER FlAME Spj4 oJ_
Please Print
sAPPROtJl3 DATE
TERED
/2/cc 3ttoo.o
ACOt
6O2FfI 0420Cj9
30 OO
____
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TDBANK000061
Case 1:10-cv-02031-DLI -JMA Document 45-14 Filed 06/18/10 Page 22 of 26
BflANCI4 NO
CUSTOMER NAME
-I 15131
ENTERED
ACCt
131 539 Pfl 04/2109 79257
65OOOr
Checkins 0eos1t $55000.00
so 23
Accoun Check Amount 55000.00 Date Presented 04-22-2009
TDBANK000061
Case 1:10-cv-02031-DLI -JMA Document 45-14 Filed 06/18/10 Page 23 of 26
ACCT It
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57 All ft U423O9 12
TDBANK000061
Case 1:10-cv-02031-DLI -JMA Document 45-14 Filed 06/18/10 Page 24 of 26
15000 00
AGCt
124 FIt 04/23/09
ChEckins Deposit $75000.00
CEo 23
TDBAN K0000620
Case 1:10-cv-02031-DLI -JMA Document 45-14 Filed 06/18/10 Page 25 of 26
tQihpjaaj
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CUSTOMERNAMEeQ
00
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ENTERED
BY JAPPROVED JOA
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39 3t34 PU It 04/27/09
Checkins Deposit $100000 .00
136 3TH 5Th 453
41
TDBANK0000623
Case 1:10-cv-02031-DLI -JMA Document 45-14 Filed 06/18/10 Page 26 of 26
Bank CNECXBIOIMONEYUAREnAccwIn
59051541041$
SEPO2ITSICEEE
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9753299S20 531 29 359
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AccounL.....IlL..S Check
-- -________
Amount 19288.60
Date Presented 04-28-2009
OF
aIn1n141n.eLosJl.N2aIooc.Iss4NRnasj.nIg.njNss.....
0812382050 5.00052
38102980
--
PAY ONE THOUSAND SIXTY 001 158 0990 Coins
AccounScheck30782965Amount1o60.Oo
Date Presented 04-28-2009
9E
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0455000
046000p
14 43
_____
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TDBAN K0000625
Case 1:10-cv-02031-DLI -JMA Document 45-15 Filed 06/18/10 Page 1 of 51
Plaintiff
CV-1O-203I
Defendants
EXHIBIT
Case 1:10-cv-02031-DLI -JMA Document 45-15 Filed 06/18/10 Page 2 of 51
CHECKING NY BUSINESS
ACCOUNT NUMBER
PREVIOUS STATEMENT BALANCE AS OF 06/30/09 192228.97
PLUS 102 DEPOSITS AND OTHER CREDITS 9174932.51
LESS 242 CHECKS AND OTEER DEBITS 8457289.57
LESS CYCLE SERVICE CHARGE 25.00
CURRENT STATEMENT BALANCE AS OF 07/31/09 909846.91
NUMBER OF DAYS IN THIS STATEMENT PERIOD 31
CHECK TRANSACTIONS
SERIAL DATE AMOUNT SERIAL DATE AMOUNT
1242 07/02 6500.00 1327 07/13 21775.00
1.247 07/03 2500.00 1328 07/13 45050.00
1251 07/06 61999.00 1329 07/07 36000.00
1253 07/03 32500.00 1330 07/09 301591.00
1254 07/01 78125.00 1331 07/16 100000.00
1260 07/02 36410 73 1332 07/13 18312.00
1261 07/03 2510.00 1333 07/14 10000.00
1266 07/01 3000.00 1334 07/14 727.00
1267 07/15 5000.00 1335 07/08 325.13
1269 07/10 2250.00 1336 07/14 5951.42
1270 07/03 21.90 1343 07/22 .9921.19
1271 07/06 2570.63 1344 07/22 33475.00
1273 07/01 845.33 1345 07/17 3500.00
1274 07/07 12415.72 1346 07/14 3000.00
1275 07/15 23000.00 1347 07/13 36586.55
1276 07/03 500000 1348 07/15 2145.79
1277 07/07 237.12 1349 07/22 1348.35
1278 07/10 510.40 1353 07/21 713.24
1279 07/14 3527.72 1354 07/31 13125.00
1280 07/17 177.71 1355 07/30 3375.00
1281 07/15 155808.00 1356 07/23 212.80
1283 07/28 3820.00 1358S 07/23 23306
1284 07/14 500.23 1359 07/20 7025.00
1285 07/08 8716.06 1360 07/23 2860.92
1286 07/14 2500.00 1361 07/22 24313.38
1287 07/15 430.00 1362 07/22 70025.00
1288 07/10 174.00 1364 07/20 23167500
1289 07/15 270.03 1366 07/21 919.54
1290 07/15 506.59 1367 07/23 11367.13
1291 07/09 3150.00 1369 07/22 2145.00
1292 07/10 200.00 1371 07/22 1260.59
1293 07/13 42500.00 1373 07/28 2000.00
1294 07/14 41667.00 1374 07/21 947.68
1295 07/13 438.43 1376 07/22 46664.00
1296 07/13 1433.39 1377 07/21 37730.00
1297 07/15 493.92 1378 07/20 5665.14
1299 07/01 1200.00 1379 07/22 1627.19
1300 07/03 104.22 1380 07/17 13970.00
1301S 07/02 3725.22 1381 07/20 5104.46
1304 07/06 26000.00 1382 07/23 698.93
1306 07/01 50000.00 1383 07/30 569.91
1307 07/01 2300.00 1384 07/20 26614.30
1309 07/02 2524.42 1385 07/20 1180.08
1311 07/07 80.00 1386 07/20 3000.00
1317 07/01 11464.18 1387 07/21 340.23
1323 07/15 1350.40 1388 07/20 195.08
1325 07/13 1904.24 1389 07/20 25000.00
1326 07/08 108.32 1390 07/22 1.388.93
Case 1:10-cv-02031-DLI -JMA Document 45-15 Filed 06/18/10 Page 3 of 51
PAGE
144 CYCLE-ala
CHECK TRANSACTIONS
SERIAL DATE AMOUNT SERIAL DATE AMOUNT
1391 07/22 3000.00 1415 07/3 16655.07
1392 07/27 7500.00 1420 07/3 21.90
1393 07/28 1008.22 1430 07/3 4268.89
1394 07/27 26428.66 1435 07/3 31 650.00
1396 07/22 476.84 1441 07/31 5390.67
1397 07/28 3793.13 144 07/31 78 125.00
1398 07/24 4655.80 14 53S 07/3 31362.59
1399 07/30 1995.00 1454 07/31 3000.00
1400S 07/29 5104.46 1455 07/3 3000.00
14015 07/31 267.60 14 57 07/31 3105.00
1402 07/20 1100.00 14 61 07/3 103.95
1403 07/27 3008.30 100 02 07/06 226.03
1405 07/31 16655.07 100 04 07/0 226.02
1406 07/30 3617.46 1000 07/0 226.03
1407 07/29 15000.00 100007 07/03 226.03
1408 07/31 237.12 100008 07/15 226.02
1411 07/27 3000.00 100009 07/14 226.02
1412 07/27 3000.00 100010 07/24 226.03
1413 07/28 346240.00 100011 07/23 226.03
1414 07/31 4900.00 10 00 13 07/2 226.02
144 CYCLE-OlO
144 CYCLE-OlO
144 CYCLE-OlO
DALANCE BY DATE
06/30 192228.97 07/01 37015-75 07/02 188146.75 07/03 132621.90
07/06 40074.38 07/07 442312.75 07/08 472634.58 07/09 409795.60
07/10 316406.04 07/13 48747.20- 07/14 299056.21 07/15 134415.93-
07/16 66810.06 07/17 287208.36 07/20 330641.60 07/21 293684.40
07/22 98262.47 07/23 578669.65 07/24 563705.00 07/27 471938.32
07/28 715126.66 07/29 591011.19 07/30 505541.03 07/31 909846.91
Case 1:10-cv-02031-DLI -JMA Document 45-15 Filed 06/18/10 Page 8 of 51
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Date Presented 07-14-2009
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Case 1:10-cv-02031-DLI -JMA Document 45-15 1327
Filed 06/18/10 Page 15 of 51
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07-09-2009
Spoi.gnth
Case
8Ss1:10-cv-02031-DLI
D.4NsIy
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lnawwtAai8n Inc
1331
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Check 1355 Amount 3375.00
Date
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Case 1:10-cv-02031-DLI -JMA Document 45-15 .1381
Filed 06/18/10 Page 18 of 51
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Newark NJ 07183-007
/000700 2500/
I2SwVc%1r10XI
7/10/0009
07111
CI/ccI/cdo ac 231.G75.00
TwoEundredThr0v-OneTh25JsandSIoE1urdrcdSovsnttFveand00/1Jj.fl
CNeIMeaUC -2L/.C
SI
LT7O0I
/008115SO0
--
Account Check 1364 Amount 231675.00
Date Presented 07-20-2009
SPOOM lboTht KY 11
low 133MLM$0041l25I 1388
Jfl
bAYloollo
ooccooc ryr -9l9.s4
KttN.nL.c..tc4J1m
1M
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l4l7AcexJ
dv
tT
Accounts Check 1366 Amount 919.54
Date Presented 07-21-2009
Case 1:10-cv-02031-DLI
ysa55fl 6Lk5l -JMA
459 Document 45-15 _790t
Filed 06/18/10 Page 19 of 51
SPOll0flftDs4ySmsmc2x9fl msast1stanaeou 1367
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tlneapos 091880 9121
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Swag 029 5jan10
AoYoYc NY lOst
7/100009
1017007527
FAT TO ThE 07222009
1259.09
0905805 .Coluato 531000040 P5W-PHOL.A
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815100 LEOnTI lisA O260C2794
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14 Wont 5150 Sbxnl l60fl5
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tins
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Account Al _.__.
Check 1371 Amount 1260.59
Date Presented 07-22-2009
r..9w2t.FnQ 16653.07
/000 L5c0/
1406
SpongfldiDuRvsqsysknwiic TDRAS.I17OMLJOU1ON
loweonda.sowsw EtEE 14
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0053 037 P0 0530
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WTC 0555729910 TO
94 9099
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99.29109001379. Hirofp4 Ninloy
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99.8400 CO4iodlooo
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.------
TTTrTTTTCI7
1TT_1Etiim
Accounts Check 1446 Amount 78125.00
Date Presented 07-31-2009
.993972699
57/9979909
9977734979929306
1721990001.7071 of vo
431
41t2 You 011 the 19011
2402698 T111
02 072909 02000059 L.32903
072909 201
_10afln08t0S01oued98i. 1000
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1454
3090.90
Fb9mroJPM6652eom84rns1STh ....
Entiloloco U.C
1490931
DEMAND CREDIT
ID Bank N.A
WE CREDIT YOUR ACCOUNT FOR THE REASON INDICATED BELOW AMOUNT In
5f044 6r ac
NO
BRANCH
CUSTOMERNftJE
03 cj
CM
fDATE7/z/ o9
2-171 9bOf
mm
P1 G/C2iC9
______
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136 TH 5TH 453
so 31u$J 36
5t
BRANCH NO
CM
CUSTOMERNAME o-oo
CM
1-eLrIsI cc
ACCT
est Dot.co
ti a.4 437Q/C9
kI br pd.%
r4 5141 453
324111
PAY
S.S2
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sPOEdOflUCAT owvWT 5YSTThW 071
Wi
5000 SAD TWITTER WAW 07 TIp RAW ADO AT AT TORI TO ltD 7101 wocnC KATT011A1U
TAlC ATOATAI
Amount 4225.52
Date Presented 07-08-2009
EiAAso OIECSOETE
VESLORl10 MIDDLE ARAIWC WAREHOUSE
T1j5 CHECKNO uj.c.iid
o6/E9/jUHE11.i DISTRIBUTOR INC
75 FORTUNE BLED
Sowrtign
RDLFOTD TAAE501IEISEITS 7777
SON4ASDSAA
1741 Ii Till 531747 5411 HITlER ISIS ITV our SAN R//54 007 411
jj
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MV 10107
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7023682
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07-O6-
Cclp.Vadot
3510
CIMWtmI
s.a
1flQ47A8 SPL
9026
0713602670
81 P9 10
031301350
BANK HA
CVSPHAIWCY.HC 07/00/2009 CHERR HILL NJ
1ovsmtn.wocrn 0355
73069
ThIrrvrfure thouor4fony sewn and 481100 Doilew
$PONGETEcHPUNERY3YSTEM SIN
------_-------._-_..1
SI
DO
ACCt
UUB RU tl 07/U909
____2oqOOD
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LreckLnB DePosit $312DOOOThU
13G 37TH 5TH 453
DATE.1J
5035 53 P4 70 SANS NA
i_Ill 07/09/2009 CHESPY H3LLNJ
____ LESSt
1111117 -JL
135 37131 532
occioo
Cz
Bank CHEOIONGA000tINT 32837491
WITHDRAWAL I1CKET
--
NAME tEiitC.iotes 07/09/2009 CHERRY HILLNJ
fl
fl
AEt
1351
Ockns
07/09/a LJIIij
Ilitbdraual
-I-Ut
BRANCH NO
CUSTOMER NAME
4IbI
ENTERED jIF\ APPROVED DATE
BY
ACCt
IIrIBAUtI 07/09/09
$1 rr
00 oo 00 .00
Checki rig Lilt hdrawa si 1coo1ooo.d
136 37TH 5TH 453
cso uvUS
Account Check Amount 1000000.00 Date Presented 07-09-2009
1.SRL 02296471Q.tL.r031201350
P015 El P0 ID Th2IHX NR
07/09/2009 CHERRY HILLNJ
Case 1:10-cv-02031-DLI -JMA Document 45-15 Filed 06/18/10 Page 29 of 51
ID Bank NA DEMAND CREDIT
WECREDIT VOU9 ACCO% FO THE REASON INDICATED BELOW AMOUNT
jq IuT
Lu 4r ii 4jUSTOMER
NAME SeoP114 lease Print
1thtiiiij
ENTERED APPROVED
BY
JBY Jt0
DATE9
ACCt
1q5OOb.oD
ul43A11U 07 10/03
Checkins Deposit $1 5UUU .00
so 23we
Account Check Amount 175000.00 Date Presented 07-10-2009
03120i360
P024 P4
BA 711 BAJtX NA
07/10/2009 CHEPPY HILLNJ
Case 1:10-cv-02031-DLI -JMA Document 45-15 Filed 06/18/10 Page 30 of 51
NO
Itt
4i
BRANCH
k/wet
IJVI CUSTOMERNAME SfriqeIcc4
Please Prinl
ENTERED
BY j2 PROVEO4
DATE
2/ 3/
I-
ACCI
qpooocl
120 5ISfll 07/13/09
Deposit
138 37TH 5TH
t-
Case 1:10-cv-02031-DLI -JMA Document 45-15 Filed 06/18/10 Page 31 of 51
BRANCH NO
ty Prai Pr
CUSTOMER NAME
FiJt131
BY
ACCI lv
112PM 07/13/09
Checkins Deposit $140000O.0U
136 37TH 5TH 453
so 23O L3
AccountJ......%L___.J Check Amount 1400000.00 Date Presented 07-13-2009
PAY
INC
SPONUPTECH DMJVOEY SYSTEMS
43 TEDDY 33RD DTRDET
pie iM w..i
-7
IT
BRANCH NO
CUSTOMER NAME 5w
zoo ow
4k
sPIease Print oo
APPROVED DATE
ENTERED4c Xc/oC
so 23O
Account Check Amount 200000.00 Date Presented 07-14-2009
ACCt /t
Z5oooo
59 1105 F41 $1 07/14/03
flieckins Deposit 2500O0.0D
135 37TH 5TH 453
MRIJ.MORR RECOUNT
S.E NV
CR1050
EIIECASS CREERDATE flI1U4Itt DEER HILLS HARD WARE INC 0453
DN1550E44ADWARE
45303 04 /NS/N 41535 URUNO BlVD
HsSEa DERN
41544
M044524 SF05
53.143 NOD
2h
DELIVERS DISTEND
DPOWDETECN
STREET
SUITE WOO
33.DD
El fl
nRtNz1kS
SEVENTY TWO AND RI/TOT DOLLARS
72D1
t.VO8ro
SPONSETEYR DELIVERY OYSTERS
USA
ACCI
29 1249 P11
Ch2ckir tjithdraual
07/14/09 -t
___
$4000a-0o
AC
136 37TH 5TH 33
IdIYIcI4nsuI.n.r10e..IJjg.ro
_vj.itp______
%VZP
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t2ES ME 04210
10/13/220
20000
10TEO DAYS
Two Thoewod Hue Hundred Niooty Two POt/bOA Md 67 Coot
VOID 02
______________
Account lIT Check 234369 Amount 2992.67
Date Presented 07-15-2009
--.----
-flmun CI
01 rsson bore
C0P.PCRMOCN r5r00420000wi
000EDCO/WACY -cQ
IC050IinWoooodae
INC
/1 02090
20
Two moo und OW/GO Do/ton
Chouooord /oooedsowolyooo m.0co7
PAY TO THE
SPONGEThH DELiVERY SYSTEMS INC
O2TO
12001000
Cr091
iiiiiiriiu
Account IF Check 7033336 Amount 2772.00
Date Presented 07-15-2009
Case 1:10-cv-02031-DLI -JMA Document 45-15 Filed 06/18/10 Page 39 of 51
AOCT scvd.cO
35 1129 U/16i09
Checkjn5 DEPosit 5OOOO .09
-C
CUSTOMER NAME
APPROVED
BY
ACCI
O7/16U3
/b 000.oO
eckins Deposit
126 37TH 5TH 453
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cfll
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29 2009 2077121
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$96.00
5002IDSTRC2T
BRANCH NO
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Please Print
APPROVED
Jay jr-I
ACCt
t_Q__2ooosc
1i33A Ii 07/17/09 -_J1
Checkins Deposit 3OODiJ.uu
136 37Th 51-I 453
113491
r5
Date Check No Amount
-n
MEW TORE NT 10001
F7
Pt
Ocx
ACCE
127 PH 072O09
____toq
ChEckic9 Daposit $4POD00 .09
325275
SuITE EDO
00W YORE NY 10001
ISO 001011 REShoOT HAS 015101101 051011051 00 114 12011 000 01 00 042010 IWO 51404 010110 HIt tIO0h1
oas 41
0555
55405100
5ooOCHI.1
53/300 5LI5ES
FSFTYSIS ONE 3656.00
SIX 0090000
000 T000SASE
iiIlI
005SVEEY SYSTEMS
Nt
sroSOET005
43 WEST 3300 STREET
51
10510
0000005 SUITE 60S
TORE 005 10005
140W
USA
No 904783327
Shod
CORK-MARK MI D.CO4TIJ4EIff 50.933
213
01500111 Tool 054
rMOE0M4C50450942E O.k
49%
0c410 415
6040 TARUELLR0001
St SanBor0100 CA 04051
SWCUSEJYSIUSIO
DATE 2009.07-11 YNGU0DWWF0WI0
AMOUNT 594.00
SP0NOErECH
43 WEST S2ROST
DELIVERY
600
SYS
JI
rq
NEW YORKNY 101M1
ACCT /t
50h000
453
11 gij CUSTOMERNAME
btLvcnj
ACCt
$- 4ooooooc
.12
6Qu
so 23_- QUO .oo
JNI
ltp
--
Account Check 30807419 Amount 3230.04
Date Presented 07-30-2009
320870
.. 1.
r0
10 I@.0
1fl0p NA
521 0723005600 035205350
_________ IKE va PAY 0OILANS 0059 25 p9 RD 89100 RIA
ICENTS1
07i30ia009 CHERRY HLL.HJ
41030 07 27 2009 411t41.102.02
119 91118111 8011000 NIT 0010800111000100000 III ml iooo oaR II 0140010.90 5011 018110010109 TIC 0000101011
I-
ACCt OOU.O
44 FVI fl
iTheckins Derostt
13-6 37TH 5TH 4c
Plaintiff
CV-lO-2031
Defendants
EXHIBIT
Case 1:10-cv-02031-DLI -JMA Document 45-16 Filed 06/18/10 Page 2 of 2
Page of
spectst wisrnucnoNs
350 5TH AVENUE SUITE 2204 NEW YORK NY
10118-
Each of the authorized Individuals certify that they have aS required authority to act with respect to this accounts and end severally eesto
lointly
indemnify and hold Financial tnstitution harmless from and against any
loss or damage arising from such authority or lack thereot Financial tnthon has
no responsibility or duty to assure or verify that Authorized individuals have or are acting within the authority given them by the authorizing doaeeent or that
such authorizing document is genuine or valid even If Financial Institution has seen or retained copy of such document
The Authorized individuals and to the terms set the Deposit Account Agreement Disclosure
signing agrees cindy severally if
multiple signers forth in emil
the Time Certificate of Deposit or Conilemation of Time Deposit Agreement if applicable the Rate and Fee schedule The Put Avatability Pay
Disclosure and the Etecbcnic Funds Transfer Agreement and Disclosure it appticabie as amended by the Financial tasbuiibon fran tone to tEat Each of
the Authorized tndividusls signing also acknowledge that the Financial institution provided at least one copy of these deposit account dooimettt
SSPifflht
TlPh/BACKtiPWrTHllOtOtNG Repetltng
Important Under penalties of perjury certify that the number shown above Is my correct taxpayer Identification
number am U.S person Including U.S resident alien and that check appropriate box
am not subject to backup withholding because am exempt from backup withholding or because have not been nIled by
the IRS that am subject to backup withholding as result of failure to report all interest or dividends or because the IRS has
Aatmvudsnr.nnz
4d
fi
Soc Sec No
lo/OLf$
Aeeted stesenri
Address
Telephone
Soc Sec No
Date of Bth
IDJDL
TDBAN K0000007
Case 1:10-cv-02031-DLI -JMA Document 45-17 Filed 06/18/10 Page 1 of 3
Plain tiff
CV-IO-203I
Defendants
EXHIBIT
Case 1:10-cv-02031-DLI -JMA Document 45-17 Filed 06/18/10 Page 2 of 3
REGISTRAR CONTROL
Effective 03/24/2010
4039 4020 ENTERPRISES ONT LTD 10000000 4208 DOS Posted 07/15/2009
1150 ASSET NANADENENT ENTERPRISES INC 5000000 4361 DOS Posted 08/14/2009
Effective 03/24/2010
4156 ENTERPRISES INT LTD 10000 000 4364 OIS Posted 08/14/2009
4157 ENTFRPRISES INT LTD 5000000 4364 OIS Posted 08/14/2009
4341 ASSET NANAGENENT ENTERPRISES INC 16500000 4542 OIS Posted 09/23/2009
4347 ASSET NANAGENENT ENTERPRISES INC 5000000 4544 OTS Posted 09/23/2009
4i48 ASSET NANAGENENT ENTERPRISES INC 7500000 4544 OIS Posted 09/23/2009
4349 ASSET NANAGENENT ENTERPRISES INC 10000000 4544 OIS Posted 09/23/2009
415Q ASSET NANAGENENT ENTERPRISES INC 15000000 4544 OIS Posted 09/23/2009
4400 ASSET NANAGENENT ENTERPRISES INC 12900000 4612 OIS Posted 10/13/2009
Nt change 1033368744
Plaintiff
CV-1O-2031
Defendants
EXHIBIT
Case 1:10-cv-02031-DLI -JMA Document 45-18 Filed 06/18/10 Page 2 of 9
i_._
DATE DESCRIPTION ADJUST ISSUED AVAILABLE
Page
Case 1:10-cv-02031-DLI -JMA Document 45-18 Filed 06/18/10 Page 3 of 9
IssuedTR72251 241610170
03/11/08 5500000
FR 158389830
Page
Case 1:10-cv-02031-DLI -JMA Document 45-18 Filed 06/18/10 Page 4 of 9
Page
Case 1:10-cv-02031-DLI -JMA Document 45-18 Filed 06/18/10 Page 5 of 9
10/16/08 IssuedTR76030
5250000I 134864127
81s13s873
10/16/08 Issued TR 76042 11500000 826635873 123364127
Page
Case 1:10-cv-02031-DLI -JMA Document 45-18 Filed 06/18/10 Page 6 of 9
Page
Case 1:10-cv-02031-DLI -JMA Document 45-18 Filed 06/18/10 Page 7 of 9
03/12/09
4lssued TR 78009 IR 20000000 1289451605 210548395
Page
Case 1:10-cv-02031-DLI -JMA Document 45-18 Filed 06/18/10 Page 8 of 9
1F
04/03/09 CAN TR78337A 1498416461 1583539
775000
04/03/09 Issued TR78338 1500000 149991646d 83539j
Page
Case 1:10-cv-02031-DLI -JMA Document 45-18 Filed 06/18/10 Page 9 of 9
IssuedTR79118A 1966616206
06/03/09 10000000 33383794
06/05/09 TERMINATION
NewAgentWORLDWIDESTKTRANS
201820-2008
Blank certs 03811 thru 04000 sent to new TA
Page
Case 1:10-cv-02031-DLI -JMA Document 45-19 Filed 06/18/10 Page 1 of 5
Plaintiff
CV-lO-2031
Defendants
EXHIBIT
Case 1:10-cv-02031-DLI -JMA Document 45-19 Filed 06/18/10 Page 2 of 5
PR Newswire
February 2009
NEW YORK Feb In the news release SpongeTechR Delivery Systems Inc OTC Bulletin Board SPNG Retires
an Additional 30 Million Shares to Companys Treasury issued earlier today by SpongeTechR Delivery Systems Inc
over PR Newswire we are advised by the company that in the second paragraph 230 million shares should be 260
million shares as originally issued inadvertently Complete corrected release follows
from RM Enterprises this week which reduces RM Enterprises holding of SpongelechRs restricted common shares
Rl44 to approximately 480000000 shares of stock This leaves the companys shares issued and outstanding at ap
proximately 700000000
SpongelechR Delivery Systems Inc CEO Michael Metter said Since we began our efforts we have retired approx
imately 260 million shares to treasury decreasing the issued and outstanding by approximately 29% This should be
very positive statement to our investors shareholders and the public market that we are growing and here to stay
For more information please contact Investor Relations at -877-SPONGE-T and/or visit the Companys website at
www.spongetech.com
products for household use These sponge-based products utilize SpongelechRs proprietary patent and patent
pending technologies involving hydrophilic liquid absorbing foam and polyurethane matrices The Companys sponges
are specially configured with an outer contact layer and an inner matrix the latter of which comes pre-loaded with
spe
cially formulated soaps and wax that are released when the is wetted and applied to surface with minimal pres
sponge
sure The Companys current product line is designed for Car Care and Pet Care however SpongeTechR is currently
Under The Private Securities Litigation Reform Act of 1995 The statements in this presentation that relate to the Com
panys expectations with regard to the future impact on the Companys results from new products in development are for
ward-looking statements within the meaning of the Private Securities Litigation Reform Act of 1995 The results anticip
ated by any or all of these forward-looking statements may not occur Additional risks and uncertainties are set forth in
the Companys Annual Report on Form 0-KSB for the year ended May 31 2008 the Companys Quarterly Report on
Form 0-QSB for the first quarter ended August 31 2008 The Company undertakes no obligation to publicly release the
result of any revisions to these forward-looking statements that may be made to reflect events or circumstances after the
date hereof or to reflect the occurrence of unanticipated events or changes in the Companys plans or expectations
SpongeTechR Delivery Systems Inc Retires an Additional 30 Million Shares to Companys Treasury
from RM Enterprises this week which reduces RM Enterprises holding of SpongeTechRs restricted common shares
RI 44 to approximately 480000000 shares of stock This leaves the companys shares issued and outstanding at ap
proximately 700000000
SpongeTechR Delivery Systems Inc CEO Michael Metter said Since we began our efforts we have retired approx
imately 230 million shares to treasury decreasing the issued and outstanding by approximately 29% This should be
statement to our and the market that we are growing and here to stay
very positive investors shareholders public
For more information please contact Investor Relations at -877-SPONGE-T and/or visit the Companys website at
www.spongetech.com
products for household use These sponge-based products utilize SpongeTechRs proprietary patent and patent-
pending technologies involving hydrophilic liquid absorbing foam and polyurethane matrices The Companys sponges
are specially configured with an outer contact layer and an inner matrix the latter of which comes pre-loaded with spe
cially formulated soaps and wax that are released when the sponge is wetted and applied to surface with minimal pres
sure The Companys current product line is designed for Car Care and Pet Care however SpongeTechR is currently
exploring additional applications for its technology including an anti-bacterial kitchen and bath cleaner as well as
Under The Private Securities Litigation Reform Act of 1995 The statements in this presentation that relate to the Com
panys expectations with regard to the future impact on the Companys results from new products in development are for
ward-looking statements within the meaning of the Private Securities Litigation Reform Act of 1995 The results anticip
ated by any or all of these forward-looking statements may not occur Additional risks and uncertainties are set forth in
the Companys Annual Report on Form 10-KS for the year ended May 31 2008 the Companys Quarterly Report on
result of any revisions to these forward-looking statements that may be made to reflect events or circumstances after the
date hereof or to reflect the occurrence of unanticipated events or changes in the Companys plans or expectations
CONTACT Investor Relations Bill Young of SpongeTechR Delivery Systems Inc 1-877-776-6438
wayoung55aol.com or infospongetech.com
INDEX REFERENCES
REGION North America 1NO39 New York 1NE72 Americas IAM92 USA 1US73
Language EN
Plaintiff
CV-1O-2031
Defendants
EXHIBIT
MASTER TRANSACTION JOURNAL
Spongetech From thru Termination
Inception 12/9/02 6/5/09
TR DATE LAST1 FIRST1 LAST FIRST ST CL PRE CERT CANC-SH PRE ISSUE-SH CERT
PORTFOLIO INC
Case 1:10-cv-02031-DLI -JMA Document 45-20
CONSULTING INC
CONSULTING INC
CONSULTING INC
Filed 06/18/10 Page 2 of 100
74
MASTER TRANSACTION JOURNAL
Spongetech From Inception 12/9/02 thru Termination 6/5/09
TR DATE LAST1 FIRST1 LAST FIRST ST CL PRE CERT CANC 8SH PRE ISSUE SH CERT
Total
769507 769507
INC
ToIaI 527528
527528
CONSULTING INC
COMPANY
Total
SSO000 sSo000
INTERNATIONAL
LTD
INTERNATIONAL
LTD
Total 12000000
SERVICES INC
Filed 06/18/10 Page 3 of 100
75
MASTER TRANSACTION JOURNAL
Spongetech From Inception 12/9/02 thru Termination 6/5/09
TR DATE LAST1 FIRST1 LAST FIRST 6- ST CL PRE CERT CANC-SHl PRE ISSUE-SH CERT
INVESTORS LLC
INC
SERVICES
INC
INC
INC
INC
PORTFOLIO LTD
PORTFOLIO LTD
76
MASTER TRANSACTION JOURNAL
From thru Termination
Spongetech Inception 12/9/02 6/5/09
TR DATE LAST1 LAST FIRST 4- ST CL PRE CERT CANC-SH PRE ISSUE-SH CERT
FIRST1
INT LTD
SERVICES INC
INC
INVESTORS LLC
77
MASTER TRANSACTION JOURNAL
From 12/9/02 thru Termination 6/5/09
Spongetech Inception
TR DATE LAST1 FIRST1 LAST FIRST ST CL PRE CERT CANC-SH PRE ISSUE-SH CERT
INTERNATIONAL
LTD
PORTFOLIO INC
PORTFOLIO LTD
INVESTORS LLC
CONSULTING INC
CONSULTING INC
CONSULTING INC
ASSET
MANAGEMENT
SERVICES INC
78
MASTER TRANSACTION JOURNAL
Spongetech From Inception 12/9/02 thru Termination 6/5/09
TR DATE LAST1 FIRST1 LAST FIRST ST CL PRE CERT CANC-SH PRE ISSUE-SH CERT
INVESTORS LLC
INVESTORS LLC
79
MASTER TRANSACTION JOURNAL
Spongetech From Inception 12/9/02 thru Termination 6/5/09
TR DATE LAST1 FIRST1 LAST FIRST -8 ST CL PRE CERT CANC-SW PRE ISSUE-SH CERT
COMPANY
INTERNATIONAL
LTD
Total 7500000
INVESTORS LLC
INVESTMENTS
INTERNATIONAL
LTD
INVESTORS LLC
Filed 06/18/10 Page 8 of 100
80
MASTER TRANSACTION JOURNAL
Spongetech From Inception 12/9/02 thru Termination 6/5/09
TR DATE LASTI FIRST1 LAST FIRST ST CL PRE CERT CANC-SHI PRE ISSUE-SH CERT
MCKINLEY
SECURITIES INC
SERVICES
Case 1:10-cv-02031-DLI -JMA Document 45-20
81
MASTER TRANSACTION JOURNAL
From Inception thru Termination
Spongetech 12/9/02 6/5/09
INVESTORS LLC
MCKINLEY
SECURITIES INC
INVESTORS LLC
INTERNATIONAL
LTD
IHTERNATIONAL
LTD
82
MASTER TRANSACTION JOURNAL
From thru Termination
Spongetech Inception 12/9/02 6/5/09
TR DATE LAST1 FIRST1 LAST FIRST ST CL PRE CERT CANC-S/-I PRE ISSUE-SH CERT
INTERNATIONAL
LTD
Total 8000000
SERVICES INC
70189 11/09/2007 HARROCN MAURICE TOD TO NARROCH DOROTHY SUEJ TO 1835 75492
STA TOD
RULES
STA TOD
RULES
CLEARINO INC
INVESTORS LLC
INC
83
MASTER TRANSACTION JOURNAL
thru Termination
Sk From
Spongetech Inception 12/9/02 6/5/09
TR DATE LAST1 FIRST1 LAST FIRST ST CL PRE CERT CANC-SHt FRE ISSUE-SH CERT
INC
INVESTORS LLC
INVESTORS LLC
Case 1:10-cv-02031-DLI -JMA Document 45-20
VAN
Total
5233651 5233681
INTERNATIONAL
LTD
Total 62S0000
84
MASTER TRANSACTION JOURNAL
Spongetech From Inception 12/9/02 thru Termination 6/5/09
TR DATE LAST1 FIRST1 -8 LAST FIRST 8- ST CL PRE CERT CANC-SH PRE ISSUE-SH CERT
FINANCIAL
Case 1:10-cv-02031-DLI -JMA Document 45-20
SERVICES LLC
INVESTORS LLC
INVESTORS LLC
CONSULTING INC
11/23/2007 1985
Filed 06/18/10 Page 13 of 100
85
MASTER TRANSACTION JOURNAL
From thru Termination
Spongetech Inception 12/9/02 6/5/09
TRE DATE LAST1 FIRST1 LAST FIRST ST CL PRE CERT CANC-SHl PRE ISSIJE-SH CERT
INC
SERVICES INC
I- 1914
70398 11/27/2007 TEPFEK ANDREW 00000
INTERNATIONAL
LTD
Case 1:10-cv-02031-DLI -JMA Document 45-20
Total 8000000
INTERNATIONAL
LTD
ADVISORS LLC
86
MASTER TRANSACTION JOURNAL
Spongetech From Inception 12/9/02 thru Termination 6/5/09
TR DATE FIRST1 -F- LAST FIRST ST CL PEE CERT CANC-SHI PEE ISSUE-SH CERT
LAST1
INC
INVESTORS LLC
MCKINLEY
SECURITIES INC
INVESTORS LLC
INVESTORS LLC
INC
INTERNATIONAL
LTD
Total 7000000
Filed 06/18/10 Page 15 of 100
87
MASTER TRANSACTION JOURNAL
Spongetech From Inception 12/9/02 thru Termination 6/5/09
TR DATE LAST1 FIRST1 LAST FIRST ST CL PRE CERT CANC-SH PRE ISSUE-SH CERT
INTERNATIONAL
INC
MCKINLEY
SECURITIES INC
HARRIMAN CO
88
MASTER TRANSACTION JOURNAL
From thru Termination
Spongetech Inception 12/9/02 6/5/09
TR DATE LAST1 FIRST1 8- LAST FIRST ST CL PRE CERT CANC-SH PRE ISSUE-SH CERT
INTERNATIONAL
LTD
Total 4300000
LTD
PORTFOLIO tNC
INVESTMENTS INC
89
MASTER TRANSACTION JOURNAL
Spongetech From thru Termination
Inception 12/9/02 6/5/09
TR DATE LAST1 FIRST1 LAST FIRST ST CL FRE CERT CANC-SHt FRE ISSUE-SH CERT
INTERNATIONAL
LTD
Total 8000000
Filed 06/18/10 Page 18 of 100
90
MASTER TRANSACTION JOURNAL
From thru Termination
Spongetech inception 12/9/02 6/5/09
TR DATE LAST FIRST -4 ST CL PRE CERT CANC 51-I PRE ISSUE-SH CERT
LAST1 FIRST1
INTERNATIONAL
LTD
INVESTORS LLC
INVESTORS LLC
INVESTORS LLC
INC
INTERNATIONAL
LTD
Tolal 750000
91
MASTER TRANSACTION JOURNAL
Spongetech From Inception 12/9/02 thru Termination 6/5/09
TRE DATE LAST1 FIRST1 LAST FIRST ST CL PRE CERT CANC-SH PRO ISSUE-SH CERT
MCKINLEY
SECURITIES INC
HARRIMAN CO
HARRIMAN CO
SERVICES INC
12/20/2007 2062
Filed 06/18/10 Page 20 of 100
CEDE CO 431522
92
MASTER TRANSACTION JOURNAL
Spongetech From Inception 12/9/02 thru Termination 6/5/09
TR DATE LAST1 FIRST1 LAST FIRST ST CL PRE CERT CANC-SR PRE ISSUE-SH CERTS
INTERNATIONAL
LTD
Total 2500000
SERVICES INC
Case 1:10-cv-02031-DLI -JMA Document 45-20
INT LTD
Total 700000
INVESTORS LLC
INVESTORS LLC
93
MASTER TRANSACTION JOURNAL
Spongetech From Inception thru Termination
12/9/02 6/5/09
TR DATE LAST1 FIRST1 LAST FIRST ST CL PRE CERTE CANC-SH PRE ISSUE4SH CERT
HARRIMAN CO
INTERNATIONAL
LTD
Total 700000
INVESTORS LLC
INVFSTORS LLC
94
MASTER TRANSACTION JOURNAL
Spongetech From 12/9/02 thru Termination 6/5/09
Inception
TR DATE LAST1 FIRST1 LAST FIRST ST CL PRE CERT CANC-SH PRE ISSUE-SH CERT
SERVICES INC
INVESTMENTS L.P
INVESTDRS LLC
95
MASTER TRANSACTION JOURNAL
From thru Termination
Spongetech Inception 12/9/02 6/5/09
TRE DATE LAST1 FIRST1 LAST FIRST ST CL PRE CERT CANC-SI-II PRE ISSUE SH CERT
INVESTORS LLC
INTERNATIONAL
LTD
Case 1:10-cv-02031-DLI -JMA Document 45-20
Total 4000000
INTERNATIONAL
LTD
Filed 06/18/10 Page 24 of 100
96
MASTER TRANSACTION JOURNAL
Spongetech From Inception 12/9/02 thru Termination 6/5/09
TR DATE LAST1 FIRST1 LAST FIRST ST CL PRE CERT CANC-SN PRE ISSUE-SH CERT
Total 4000000
INTERNATIONAL
LTD
Total 4850000
INVESTORS LLC
97
MASTER TRANSACTION JOURNAL
Spongetech From Inception 12/9/02 thru Termination 6/5/09
TR DATE LAST1 FIRST1 LAST FIRST ST CL PRE CERT CANC-SH PRE ISSUE SH CERT
SERVICES INC
INTERNATIONAL
Case 1:10-cv-02031-DLI -JMA Document 45-20
LTD
Total 700000
INVESTORS LLC
INVESTORS LLC
SERVICES INC
Filed 06/18/10 Page 26 of 100
98
MASTER TRANSACTION JOURNAL
Spongetech From 12/9/02 thru Termination 6/5/09
nception
TRE DATE LAST1 FIRST1 LAST FIRST ST CL PRE CERTE CANC-SH PRE ISSUE-SSH CERT
INTERNATIONAL
LTD
Total 3700000
CONSULTING INC
CONSULTING INC
CONSULTING INC
Case 1:10-cv-02031-DLI -JMA Document 45-20
CONSULTING INC
PARTNERS LLC
INVESTORS LLC
INVESTORS LLC
99
MASTER TRANSACTION JOURNAL
From Inception 12/9/02 thru Termination 6/5/09
Spongetech
4000000 2125
714SS 01/29/2008 ENTERPRISES
INTERNATIONAL
LTD
Total 4000000
INTERNATIONAL
LTD
4000000 4000000
Tolal
PARTNERS LLC
CO INC
3S0000 2132
01/30/2006 CEDE CO
4500000 2133
01/30/2006 CEDE CO
4850000 4850000
Tolal
INTERNATIONAL
LTD
FRIEDMAN
LLP
Filed 06/18/10 Page 28 of 100
FERENCE
100
MASTER TRANSACTION JOURNAL
Spongetech From Inception 12/9/02 thru Termination 6/5/09
TR DATE LAST1 FIRST1 LAST FIRST ST CL PRE CERT CANC-SHl PRE ISSUE-SH CERT
Total S97667E
INTERNATIONAL
LTD
Total
25928044
INVESTORS LLC
INVESTORS LLC
Case 1:10-cv-02031-DLI -JMA Document 45-20
INVESTORS LLC
INVESTMENTS INC
PORTFOLIO INC
PORTFOLIO LTD
Filed 06/18/10 Page 29 of 100
101
MASTER TRANSACTION JOURNAL
Spongetech From Inception 12/9/02 thru Termination 6/5/09
TR DATE LAST1 LAST FIRST ST CL PRE CERT CANC-SH PRE ISSUE ESH CERTE
FIRST1
SERVICES INC
CO
102
MASTER TRANSACTION JOURNAL
From thru Termination
Spongetech Inception 12/9/02 6/5/09
TR DATE LAST1 FIRST1 LAST FIRST ST CL PRE CERT CANC-SH PRO ISSUE-SH CERT
INTERNATIONAL
LTD
Total 5700000
INVESTORS LLC
INVESTORS LLC
INTERNATIONAL
LTD
INVESTORS LLC
INVESTORS LLC
103
MASTER TRANSACTION JOURNAL
Spongetech From Inception 12/9/02 thru Termination 6/5/09
TR DATE LAST1 FIRST1 1/ LAST FIRST ST CL PRE CERT CANC-SH PRE ISSUE-SH CERT
INTERNATIONAL
LTD
Total 3500000
INTERNATIONAL
LTD
Total 3000000
LTD
LLC
SERVIUCES INC
104
MASTER TRANSACTION JOURNAL
Spongetech From Inception thru Termination
12/9/02 6/5/09
TR DATE LAST1 FIRST1 LAST FIRST ST CL PRE CERT CANC-SR PRE ISSUE-SH CERT
INTERNATIONAL
LTD
Total
3750000
Tolal 1050000
INVESTORS LLC
Tolal 8.000000
105
MASTER TRANSACTION JOURNAL
Spongetech From Inception 12/9/02 thru Termination 6/5/09
TR DATE LAST1 FIRST1 LAST FIRST ST CL PRE CERT CANC-SR PRE ISSUE-SH CERT
HARRIMAN CO
Total 2.000000
INVESTMENTS NC
SERVICES INC
SECURITIES INC
INTERNATIONAL
LTD
Filed 06/18/10 Page 34 of 100
106
MASTER TRANSACTION JOURNAL
Spongetech From Inception 12/9/02 thru Termination 6/5/09
TR DATE LAST1 FIRST1 LAST FIRST 8- ST CL PRE CERT CANC-SH1 PRE ISSUE-SH CERTI
Total 1000000
INVESTORS LLC
INVESTORS LLC
SERVICES INC
INTERNATIONAL
LTD
Total 2500000
SERVICES
Filed 06/18/10 Page 35 of 100
107
MASTER TRANSACTION JOURNAL
Spongetech From Inception 12/9/02 thru Termination 6/5/09
TR DATE LAST1 .4 LAST FIRST ST CL PRE CERT CANC SH PRE ISSUE-SH CERT
FIRST1
INTERNATIONAL
LTD
Total 1000.000
INVESTORS LLC
INVESTORS LLC
Case 1:10-cv-02031-DLI -JMA Document 45-20
INTERNATIONAL
LTD
108
MASTER TRANSACTION JOURNAL
From thru Termination 6/5/09
Spongetech Inception 12/9/02
TR DATE LAST1 FIRST1 LAST FIRST ST CL PRE CERT CANC-SH PRE ISSUE-SH CERT
3250000 2219
03/07/2008 CEDE CD
INVESTORS LLC
4025000 2220
03/07/2008 CEDE CD
137500 2221
03/07/2008 CEDE CO
787500 2222
03/07/2008 SELECTIVE
CONSULTING INC
SERVICES INC
2188 525000
03/07/2008 ACACIA
INVESTORS LLC
427S000 2223
03/07/2008 CEDE CD
Filed 06/18/10 Page 37 of 100
109
MASTER TRANSACTION JOURNAL
Spongetech From Inception 12/9/02 thru Termination 6/5/09
TR DATE LAST1 FIRST1 9- LAST FIRST -9 ST CL PRE CERT CANC-SH PRE ISSUE SH CERT
INT LTD
Total 30213044
LLC
MARKETING LLC
MARKETING INC
MCKINLEY
SECURITIES INC
BRUCE
Case 1:10-cv-02031-DLI -JMA Document 45-20
INVESTMENTS INC
PORTFOLIO INC
PORTFOLIO LTD
110
MASTER TRANSACTION JOURNAL
Spongetech From Inception 12/9/02 thru Termination 6/5/09
TR DATE LAST1 FIRST1 4- LAST FIRST ST CL PRE CERT CANC-SHt PRE ISSUE-SH CERT
INTERNATIONAL
LTD
Total 5900000
INTERNATIONAL
LTD
Total 5500000
CONSULTING INC
CONSULTING INC
CONSULTING INC
Case 1:10-cv-02031-DLI -JMA Document 45-20
INVESTORS LLC
INVESTORS LLC
111
MASTER TRANSACTION JOURNAL
From Inception thru Termination
Spongetech 12/9/02 6/5/09
TR DATE LAST1 FIRST1 -P LAST FIRST ST CL PRE CERT CANC-SFF PRE ISSUE 511 CERT
INVESTORS LLC
SERVICES INC
INTERNATIONAL
LTD
Tolal 4000000
MAZUMA CORP
INTERNATIONAL
LTD
Total 13500000
INVESTORS LLC
Filed 06/18/10 Page 40 of 100
112
MASTER TRANSACTION JOURNAL
Spongetech From Inception 12/9/02 thru Termination 6/5/09
TR DATE LAST1 FIRST1 LAST FIRST ST CL PRE CERT CANC-SC PRE ISSUE-SH CERT
INVESTORS LLC
INVESTMENTS
72389 03/17/2008 HARROCH MAURICE TOD TO HARROCH DOROTHY SUBJ TO 19S0 40000
STATOD
RULES
CLEARING INC
Case 1:10-cv-02031-DLI -JMA Document 45-20
113
MASTER TRANSACTION JOURNAL
Spongetech From Inception 12/9/02 thru Termination 6/5/09
IRS DATE LAST1 FIRST1 LAST FIRST 9- ST CL PRE CERT CANC-5H1 PRE ISSUE fiSH CERTS
INVESTMENTS
HARRIMAN CO
SECURITIES INC
SERVICES INC
Filed 06/18/10 Page 42 of 100
114
MASTER TRANSACTION JOURNAL
From Inception thru Termination
Spongetech 12/9/02 6/5/09
INTERNATIONAL
LTD
Total 1000000
INVESTORS LLC
INVESTORS LLC
INTERNATIONAL
LTD
Total 12063044
Filed 06/18/10 Page 43 of 100
115
MASTER TRANSACTION JOURNAL
Spongetech From nception 12/9/02 thru Termination 6/5/09
TR DATE LAST1 FIRST1 6- LAST FIRST ST CL PRE CERT CANC-SHI PRE ISSUE-SH CERT
MARKETING INC
INVESTMENTS INC
HARRIMAN CO
HARRIMAN CO
INTERNALIONAL
LTD
TutdI 3OSO000
116
MASTER TRANSACTION JOURNAL
Spongetech From Inception 12/9/02 thru Termination 6/5/09
TR DATE LAST1 FIRST1 LAST FIRST ST CL PRE CERT CANC-St-F PRE ISSUE-SH CERT//
INTERNATIONAL
LTD
ToIal 11000000
LTD
INVESTORS LLC
INTERNAT/ONAL
LTD
Total 7000000
117
MASTER TRANSACTION JOURNAL
Spongetech From Inception 12/9/02 thru Termination 6/5/09
TRE DATE LAST1 FIRST1 LAST FIRST ST CL PRE CERT CANC SHI PRE ISSUE SH CERT
SERVICES INC
INVESTORS LLC
118
MASTER TRANSACTION JOURNAL
Spongetech From Inception 12/9/02 thru Termination 6/5/09
TR DATE LAST1 FIRST1 -5 LAST FIRST ST CL PRE CERT CANC-Sl-F PRE ISSUE-S/-I CERT
2308 500000
INVESTDRS LLC
119
MASTER TRANSACTION JOURNAL
Spongetech From Inception 12/9/02 thru Termination 6/5/09
TR DATE LAST1 FIRST1 LAST FIRST -8- ST CL PRE CERT CANC-SHI PRE ISSUE SH CERTE
CAPITAL
CORPORATION
TRUST
INT LTD
Total 25400000
Case 1:10-cv-02031-DLI -JMA Document 45-20
INVESTMENTS INC
INVESTMENTS INC
PORTFOLIO INC
ASSET
MANAGEMENT
Filed 06/18/10 Page 48 of 100
120
MASTER TRANSACTION JOURNAL
Spongetech From Inception 12/9/02 thru Termination 6/5/09
TR DATE LAST1 FIRST1 LAST FIRST ST CL PRE CERT CANC-SHI PRE ISSUE-SH CERT
RADIO
tNT LTD
INT LTD
Total 5700000
INT LTD
Total 10000000
121
MASTER TRANSACTION JOURNAL
From thru Termination
Spongetech Inception 12/9/02 6/5/09
TRE DATE LAST1 FIRST1 LAST FIRST ST CL PRE CERT CANC SH PRE ISSUE-SH CERTE
INTERNATIONAL
LTD
Total 14550000
122
MASTER TRANSACTION JOURNAL
Spongetech From Inception 12/9/02 thru Termination 6/5/09
TR DATE LAST1 FIRST1 LAST FIRST ST CL PRE CERT CANC-SHl PRE ISSUE SH CERT
Total
605000 605000
Total
9600000
05/07/2006 AHAVA
2000000 2364
INVESTMENTS
Total
9600000 9.600000
Total
10.100000 10100000
05/08/2006 CEDE CO
5000000 2370
Total
5000000 5000000
05/06/2008 CEDE CO
37500 2371
Total
137500 137500
Filed 06/18/10 Page 51 of 100
123
MASTER TRANSACTION JOURNAL
Spongetech From Inception 12/9/02 thru Termination 6/5/09
TR DATE LAST1 FIRST1 -9- LAST FIRST 9- ST CL PRE CERT CANC4SH PRE ISSUE-SH CERT
HARRIMAN CO
ASSET
MANGEMENT
HARRIMAN CO
INTERNATIONAL
LTD
Total 1500000
05/09/2008 2378
Case 1:10-cv-02031-DLI -JMA Document 45-20
INTERNATIONAL
LTD
Total 5000000
124
MASTER TRANSACTION JOURNAL
Spongetech From Inception 1219/02 thru Termination 6/5/09
TR DATE LAST1 FIRST1 LAST FIRST ST CL PRE CERT CANC SH PRE ISSUE-SH CERT
SERVICES INC
125
MASTER TRANSACTION JOURNAL
Spongetech From Inception 12/9/02 thru Termination 6/5/09
TR DATE LAST1 FIRST1 LAST FIRST ST CL PRE CERTS CANC-SH PRE ISSUE-SH CERT
__________
HARRIMAN CD
HARRIMAN CD
MARKETING LLC
Total 500000
HARRIMAN CD
126
MASTER TRANSACTION JOURNAL
Spongetech From Inception 12/9/02 thru Termination 6/5/09
TR DATE LAST1 FIRST1 LAST FIRST -6 ST CL PRE CERT CANC-SHt PRE ISSUE-SH CERT
INTERNATIONAL
LTD
Tolal 20000000
INVESTMENTS
INVESTMENTS INC
INVESTMENTS INC
INVESTMENTS INC
INVESTMENTS INC
Filed 06/18/10 Page 55 of 100
127
MASTER TRANSACTION JOURNAL
From thru Termination 6/5/09
Spongetech Inception 12/9/02
TR DATE LAST1 FIRST1 LAST FIRST ST CL PRE CERT CANC-SHl PRE ISSUE-SH CERT
INTERNATIONAL
LTD
Total 5462659
CD INC
Total 2000000
128
MASTER TRANSACTION JOURNAL
Spongetech From Inception 12/9/02 thru Termination 6/5/09
HARRIMAN CO
HARRIMAN CO
Case 1:10-cv-02031-DLI -JMA Document 45-20
CUSTODIAN
129
MASTER TRANSACTION JOURNAL
Spongetech From Inception 12/9/02 thru Termination 6/5/09
TR DATE LAST1 LAST FIRST ST CL PRE CERT CANC-SHl ARE ISSUE-SH CERT
FIRST1
INGEBRIOT
HARRIMAN CO
Case 1:10-cv-02031-DLI -JMA Document 45-20
INTERNATIONAL
LTD
Total 7000000
130
MASTER TRANSACTION JOURNAL
From thru Termination
Spongetech Inception 12/9/02 6/5/09
TR DATE LAST1 FIRST1 LAST FIRST ST CL PRE CERT CANC-SH PRE ISSUE-SH CERT
ASSOCIATES LP
5/5/97
STEVEN
MIN DAY
MOSKO WIT
TRUST
INTERNATIONAL
LTD
Filed 06/18/10 Page 59 of 100
131
MASTER TRANSACTION JOURNAL
Spongetech From Inception 12/9/02 thru Termination 6/5/09
TR DATE LASTl FIRST1 6- LAST FIRST -6- ST CL PRE CERT CANC SH PRE ISSUE-SH CERT
Total 6350000
ASSOCIATES LP
INTERNATIONAL
LTD
Tolal 5000000
US
132
MASTER TRANSACTION JOURNAL
Spongetech From Inception 12/9/02 thru Termination 6/5/09
TR DATE LAST1 FIRST1 LAST FIRST ST CL PRE CERTS CANC-SF-I PRE ISSUE-SH CERT
INTERNATIONAL
LTD
Tolal 5750000
INTERNATIONAL
LTD
INTERNATIONAL
LTD
INTERNATIONAL
LTD
INTERNATIONAL
LTD
Case 1:10-cv-02031-DLI -JMA Document 45-20
INTERNATIONAL
LTD
Total 37130000
INVESTMENTS
Filed 06/18/10 Page 61 of 100
133
MASTER TRANSACTION JOURNAL
Spongetech From Inception 12/9/02 thru Termination 6/5/09
TR DATE LAST1 FIRST1 LAST FIRST ST CL PRE CERN CANC-SH PRE ISSUE-SH CERT
PORTFOLIO INC
INTERNATIONAL
LTD
ToIaI 6500000
CAPITAL LLC
SERVICES INC
Filed 06/18/10 Page 62 of 100
134
MASTER TRANSACTION JOURNAL
Spongetech From Inception 12/9/02 thru Termination 6/5/09
SERVICES INC
Tolal
8000000
0705 SANDY
ToIaI
R000000 8000000
135
MASTER TRANSACTION JOURNAL
From thru Termination 6/5/09
Spongetech Inception 1219/02
TR DATE FIRST1 LAST FIRST -- ST CL PRE CERT CANC-SH PRE ISSUE-SH CERT
LAST1
Total 5000000
74916 08/05/2008 PENSON FINANCIAL FBO GOLDEN KEY LLC 2492 250000
VIA WORLDTRADE
DTC 0234
8500000 2500
74917 08/06/2008 ENTERPRISES
INTERNATIONAL
LTD
Case 1:10-cv-02031-DLI -JMA Document 45-20
Total 8500000
2500 8500000
74922 08/06/2008 RM ENTERPRISES
INTERNATIONAL
LTD
INTERNATIONAL
LTD
500000 2504
08/06/2006 CEDE CD
Filed 06/18/10 Page 64 of 100
136
MASTER TRANSACTION JOURNAL
Spongetech From 12/9/02 thru Termination 6/5/09
Inception
TR DATE LAST1 FIRST1 LAST FIRST ST CL PRE CERT CANC-SH PRE ISSUE-SH CERT
74932 E8/EE/2008 RIDGE CLEARING FBO MERDINGER STANLEY AC1 25E2 4OEO000
DTCE158
74933 E8/EE/2008 TRADE DTC FBO YOUNG WILLIAM ACI.11 2495 240EE00
0355
INTL LTD
Total soooooo
137
MASTER TRANSACTION JOURNAL
Spongetech From Inception 12/9/02 thru Termination 6/5/09
TR DATE LAST1 FIRST1 LAST FIRST ST CL PRE CERT CANC-//SH PRE ISSUE-SH CERT
CO 4275000
138
MASTER TRANSACTION JOURNAL
Spongetech From Inception 12/9/02 thru Termination 6/5/09
IRS DATE LAST1 FIRST1 -5 LAST FIRST ST CL PRE CERT CANC-SH PRE ISSUE-S/-I CERT
2115
Filed 06/18/10 Page 67 of 100
139
MASTER TRANSACTION JOURNAL
From Inception 12/9/02 thru Termination 6/5/09
Spongetech
I- i838
08/07/2008 CEDE CO 4u0u0
08/07/2008 1916
Filed 06/18/10 Page 68 of 100
CEDE CO 250000
140
MASTER TRANSACTION JOURNAL
Spongetech From Inception 12/9/02 thru Termination 6/5/09
TR DATE LAST1 FIRST1 -8 LAST FIRST ST CL PRE CERT CANC SH PRE ISSUE-SH CERT
08/07/2008 2105
Filed 06/18/10 Page 69 of 100
CEDE CO 81522
141
MASTER TRANSACTION JOURNAL
Spongetech From 12/9/02 thru Termination 6/5/09
Inception
2500000 2514
08/07/2008 CEDE CO
74951 08/07/2008 RIDGE CLEARING P50 NEW CENTURY AC._ 2503 4000000
DTC 01 58 CAPITAL
CONSULTANTS
74993 08/11/2006 PENSON DTC 0234 P50 CSH ADVISORS AC 2496 2500000
Case 1:10-cv-02031-DLI -JMA Document 45-20
CD 2500000 2518
08/11/2008 CEDE
CO 2498 2000000
08/12/2008 CEDE
CO 2518 2500000
08/12/2008 CEDE
SERVICES INC
142
MASTER TRANSACTION JOURNAL
Spongetech From Inception 12/9/02 thru Termination 6/5/09
TR DATE LAST1 FIRST1 LAST FIRST ST CL PRE CERT CANC4SH PRE ISSUE4SH CERT
DARYL
INTERNATIONAL
LTD
Total 3050000
143
MASTER TRANSACTJON JOURNAL
Spongetech From Inception 12/9/02 thru Termination 6/5/09
TR DATE LAST1 FIRST1 LAST FIRST ST CL PRE CERT CANC SH PRE ISSUE-SH CERT
HARRIMAN CD
INTERNATIONAL
LTD
Total 4000000
Case 1:10-cv-02031-DLI -JMA Document 45-20
CDRP
144
MASTER TRANSACTION JOURNAL
Spongetech From 12/9/02 thru Termination 6/5/09
Inception
TR DATE LAST1 FIRST1 LAST FIRST 8- ST CL PRE CERT CANC-SH PRE ISSUE-S/-I CERT
NARRIMAN CD
HARRIMAN Co
FED
tNT LTD
INTERNATIONAL
LTD
Filed 06/18/10 Page 73 of 100
145
MASTER TRANSACTION JOURNAL
Spongetech From Inception thru Termination
12/9/02 6/5/09
TR DATE LAST1 FIRST1 LAST FIRST 4- ST CL PRE CERT CANC-SRl PRE ISSUE-SH CERT
Total 4000000
INTERNATIONAL
LTD
Total 4000000
75124 08118/2008 RIDGE CLEARING FED MAZUMA HOLDING ACCOUNT 2546 4000000
DTC015E CORP
Total 3200000
146
MASTER TRANSACTION JOURNAL
Spongetech From Inception 12/9/02 thru Termination 6/5/09
DTC 0234
DTC 0234
DTC 0234
INT LTD
DTC 0234
147
MASTER TRANSACTION JOURNAL
Spongetech From Inception 12/9/02 thru Termination 6/5/09
TR DATE -6- LAST FIRST -6 ST CL PRE CERT CANC-SH PRE ISSUE-SH CERT
LAST1 FIRST1
INT LTD
DTC 0234
148
MASTER TRANSACTION JOURNAL
Spongetech From Inception 12/9/02 thru Termination 6/5/09
TR DATE LAST1 FIRST1 LAST FIRST 8- ST CL PRE CERT CANC 5/-IL PRE ISSUE-SH CERT
INTERNATIONAL
LTD
Total 8000000
INTERNATIONAL
LTD
Total 5750000
INVESTORS LLC
149
MASTER TRANSACTION JOURNAL
Spongetech From Inception 12/9/02 thru Termination 6/5/09
TR DATE LAST1 FIRST1 6- LAST FIRST 11 ST CL PRE CERT CANC-SH PRE ISSUE SH CERT
75230 08/25/2008 ACACIA A/Ct_ RIDGE CLEARING DTC 0158 2572 4000000
INVESTORS LLC
HARRIMAN CO
HARRIMAN CO
INTERNATIONAL
Filed 06/18/10 Page 78 of 100
LTD
150
MASTER TRANSACTION JOURNAL
Spongetech From Inception 12/9/02 thru Termination 6/5/09
TR DATE LAST1 FIRST1 LAST FIRST -- ST CL PRE CERTE CANC SH PRE ISSUE-SH CERT
Total 1900000
0812912009 ROMERD RICHARD ACT WILSON DAVIS DTC 0283 1250000 2580
SDLUTIDNS
LIMITED INC
FINANCIAL
LI
Total 1900000 1900000
75260 08/26/2008 RDMERD RICHARD NC NOBLE TRADING DTC 0234 2573 1750000
75261 08/29/2008 RDMERD RICHARD ACT WILSON DAVIS DTC 0283 2580 1250.000
75262 08/26/2008 BURNS DENNY ACT DC SECURITIES DTC 0234 2585 100000
75283 08/26/2008 ROMERD MICHAEL ACT SECURITIES DTC 0234 2583 150000
LIMITED INC
151
MASTER TRANSACTION JOURNAL
Spongetech From Inception 12/9/02 thru Termination 6/5/09
TR DATE LAST1 FIRST1 -t LAST FIRST -4 ST CL FRE CERT CANC-SH PRE ISSUE-SF-I CERT
INTERNATIONAL
LTD
Total 8000000
152
MASTER TRANSACTION JOURNAL
From Inception thru Termination 6/5/09
Spongetech 12/9/02
TR DATE LAST1 FIRST1 LAST FIRST ST CL PRE CERT CANC4tSH PRE ISSUE SH CERT
ACCOUNT
ACCOUNTS
72100189
DARYL
INT LTD
Total 3500000
DTC 0234
DTC 0283
153
MASTER TRANSACTION JOURNAL
Spongetech From Inception 12/9/02 thru Termination 6/5/09
TR DATE LAST1 FIRST1 LAST FIRST ST CL PRE CERT CANC-SH PRE ISSUE-SH CERT
INC ACT
DTC 0234
DTC 0234
INTERNATIONAL
LTD
Filed 06/18/10 Page 82 of 100
154
MASTER TRANSACTION JOURNAL
Spongetech From Inception thru Termination
12/9/02 6/5/09
TR DATE LAST1 FIRST1 LAST FIRST ST CL PRE CERTS CANC 5W PRE ISSUE-SH CERT
Total 9000000
LTD
AC/i 0234
ACOOUNT
ACCOUNT
155
MASTER TRANSACTION JOURNAL
Spongetech From Inception 12/9/02 thru Termination 6/5/09
TR DATE LAST1 FIRST1 -8 LAST FIRST ST CL PRE CERT CANC-SHl PRE ISSUE-SH CERT
INTERNATIONAL
LTD
Total 5000000
INTERNATIONAL
LTD
INTERNATIONAL
LTD
Total 26100000
156
MASTER TRANSACTION JOURNAL
Spongetech From Inception 12/9/02 thru Termination 6/5/09
TR DATE LAST1 8- LAST FIRST ST CL PRE CERT CANC-SI-0 PRE ISSUESH CERT
FIRST1
INVESTMENTS INC
INVESTMENTS
S.A
PORTFOLIO INC
INTERNATIONAL
LTD
Case 1:10-cv-02031-DLI -JMA Document 45-20
Total 6000000
157
MASTER TRANSACTION JOURNAL
Spongetech From Inception 12/9/02 thru Termination 6/5/09
TR DATE LAST1 FIRST1 LAST FIRST ST CL PRE CERT CANC-SHl PRE ISSUE-SH CERT
OS
INT LTD
Total 10000000
7S444 09/08/2008 MAZUMA CORP ACCOUN RIDGE CLEARING 9TC 01S8 26S0 10000000
INT LTD
TnIal 22500000
158
MASTER TRANSACTION JOURNAL
Spongetech From nception 12/9/02 thru Termination 6/5/09
TR DATE LAST1 FIRST1 LAST FIRST ST CL FRE CERT CANC-SH PRE ISSUE-SH CERTE
OTC-0234
75451 09/08/2008 ROMERO RICHARD ACT NOBLE TRADING DTC -0234 2656 1500000
18138545
INTERNATIONAL
LTD
Total 11000000
INTERNATIONAL
LTD
INVESTORS LLC
TRADING.COM
Filed 06/18/10 Page 87 of 100
159
MASTER TRANSACTION JOURNAL
Spongetech From Inception 12/9/02 thru Termination 6/5/09
TR DATE LAST1 FIRST1 LAST FIRST ST CL PRE CERD CANC-SH PRE ISSUE SH CERT
75484a 09/10/2008 ROMERO MIKE ACCOUNT DC SECURITIES DTC 0234 250000 26E7
SOLUTIONS
LIMITED INC
FINANCIAL
75490 09/10/2008 HELLER ACT SUSAN ETRADE DTC 0385 2657 1000000
ACCOUNT
It DTC 0234
160
MASTER TRANSACTION JOURNAL
Spongetech From Inception thru Termination
12/9/02 6/5/09
TR DATE LAST1 FIRST1 LAST FIRST ST CL PRE CERT CANC-SI-E PRE ISSUE-SH CERT
161
MASTER TRANSACTION JOURNAL
Spongetech From Inception 12/9/02 thru Termination 6/5/09
INTERNATIONAL
LTD
ToIaI 4000000
75559 09/12/2008 RIDGE CLEARING DTC 01S8 ACACIA COUNT 2685 4000000
INVESTORS Jj
INTERNATIONAL
LTD
Tolal 6000000
162
MASTER TRANSACTION JOURNAL
From inception thru Termination 6/5/09
Spongetech 12/9/02
755E9A O9/15/200E MAZUMA CORP ACCOUNT RIDOE CLEARINO DTC 015E 5000000 2689
-u
09/15/2008 DIGNEY TIMOTHY ACCT DTC 0385 1000.000 2690
75573 09/15/2006 MAZUMA CORP ACCOUN RIDGE CLEARING DTC 0158 2EE9 5000000
INTERNATIONAL
LTD
Total 4000000
ill 670450
Total 1670450
INTERNATIONAL
LTD
Filed 06/18/10 Page 91 of 100
163
MASTER TRANSACTION JOURNAL
Spongetech From Inception 12/9/02 thru Termination 6/5/09
TR DATE LAST1 FIRST1 LAST FIRST ST CL PRE CERT CANC-SH PRE ISSUE-SH CERT
Total SE50000
Total
5650000 5650000
75624 09/17/2008 WILSON DAVIS FEO DTC 0283 ROMERO RICHARD ACCT 2697 2000000
LIMITED INC
164
MASTER TRANSACTION JOURNAL
Spongetech From Inception 12/9/02 thru Termination 6/5/09
TR DATE LAST1 FIRST1 LAST FIRST ST CL PRE CERTE CANC-SHI PRE ISSUE-SH CERT
Total
2400000 2400000
75628 09/1712008 DC SECURITIES DTC 0234 ROMERD MICHAEL ACCT 2701 400000
FED
Total
650000 650.000
INTERNATIONAL
LTD
Total
14000000
DTC 0158
75635 09/18/2008 RIDGE CLEARING DTC 0158 ACADIA ACCT 2710 4000000
AND INVESTORS LLC
DUTSOURCING
SOLUTIONS FED
Total
4000000 4000000
165
MASTER TRANSACTION JOURNAL
Spongetech From Inception 12/9/02 thru Termination 6/5/09
TR DATE LAST1 FIRST1 LAST FIRST ST CL PRE CERT CANC-SH PRE ISSUE-SH CERT
INT LTD
Total 4000000
INVESTORS
lNL LTD
INL LTD
Total 10000000
166
MASTER TRANSACTION JOURNAL
From Inception 12/9/02 thru Termination 6/5/09
Spongetech
MCKINLEY
SECURITIES INC
INTERNATIONAL
LTD
INTERNATIONAL
LTD
Total 5050000
SOLUTIONS
LIMITED INC
167
MASTER TRANSACTION JOURNAL
From Inception thru Termination
Spongetech 12/9/02 6/5/09
TR DATE LAST1 FIRST1 LAST FIRST ST CL PRE CERT CANC SH PRE ISSUE-SH CERT
INTERNATIONAL
LTD
Total 30000000
INT LTD
75696 09/23/2008 ROMERO RICHARD ACCT WILSON DAVIS DTC 0283 2727 1000000
Filed 06/18/10 Page 96 of 100
168
MASTER TRANSACTION JOURNAL
Spongetech From thru Termination
Inception 12/9/02 6/5/09
TR DATE LAST1 FIRST1 LAST FIRST ST CL PRE CERT CANC-SH FRE ISSUE-SH CERT
LIMITED INC
CO 150000
INTERNATIONAL
LTD
INTERNATIONAL
LTD
Total 9000000
Filed 06/18/10 Page 97 of 100
169
MASTER TRANSACTION JOURNAL
From thru Termination 6/5/09
Spongetech Inception 12/9/02
INVESTORS LLC
75715 09/24/2008 ACACIA ACCOUNT RIDGE CLEARING DTC 0158 27E6 4000000
INVESTORS LLC
09/24/2006 MAZUMA CORP ACCOUNT RIDGE CLEARING DTC 0158 27E7 5000000
CO 5000000 2769
09/24/2008 CEDE
4000000 2770
75741 09/28/2008 ENTERPRISES
INTERNATIONAL
LTD
Total 4000000
4000000 2771
09/26/2008 RIDGE CLEARING ACACIA
AND INVESTORS LLC
OUTSOURCINO ACCOUNT
PB0
INTERNATIONAL
LTD
Total 10000000
170
MASTER TRANSACTION JOURNAL
Spongetech From Inception 12/9/02 thru Termination 6/5/09
TR DATE LAST1 FIRST1 LAST FIRST ST CL FRE CERT CANC-SH FRE ISSUE-SH CERT
__________
OUTSOURCINO ACCOUNT
SOLUTIONS FEO
DTC 0158
HARRIMAN CO
171
MASTER TRANSACTION JOURNAL
From thru Termination 6/5/09
Spongetech Inception 12/9/02
SERVICES INC
CO 2772 56237045
09/30/2008 CEDE
57907045 2780
09/30/2008 CEDE CO
INVESTMENTS
Case 1:10-cv-02031-DLI -JMA Document 45-20
1000000 2781
09/30/2008 CEDE CO
CO 58207045 2782
10/01/2008 CEDE
2778 3200000
75828 10/02/2008 EROWN BROTHERS
HARRIMAN CO
58527045 2783
10/02/2006 CEDE CO
Filed 06/18/10 Page 100 of 100
172
MASTER TRANSACTION JOURNAL
Spongetech From Inception 12/9/02 thru Termination 6/5/09
TR DATE LAST1 FIRST1 LAST FIRST ST CL PRE CERT CANC-SHl PRE ISSUE-SH CERT
INTERNATIONAL
LTD
Total 12000000
FEODTC01E4
173
MASTER TRANSACTION JOURNAL
From thru Termination
Spongetech Inception 12/9/02 6/5/09
TR DATE LAST1 FIRST1 LAST FIRST ST CL PRE CERT CANC-SH PRE ISSUE-SH CERT
CO INC
SECURITY
INTERNATIONAL
LTD
Total 6000000
10/08/2008 HOPE CAPITAL INC ACCOUNT RIDGE CLEARING DTC 0158 6000000 2801
174
MASTER TRANSACTION JOURNAL
From thru Termination
Spongetech Inception 12/9/02 6/5/09
TR DATE LAST1 FIRST1 LAST FIRST ST CL PRE CERT CANC-SH PRE ISSUE-SH CERT
75923 10/08/2008 HOPE CAPITAL INC ACCOUNTS RIDGE CLEARING DTC 0158 2801 8000000
INTERNATIONAL
LTD
DTC 0385
DTC0385
10/14/2008 CSN ADVISORS INC ACCOUNTS PENSON DTC 0234 10000000 2814
CAPITAL SECURITIES
CONSULTANTS INC
Filed 06/18/10 Page 3 of 100
175
MASTER TRANSACTION JOURNAL
Spongetech From Inception 12/9/02 thru Termination 6/5/09
TR DATE LAST1 FIRST1 LAST FIRST -9- ST CL PRE CERT CANC-SH PRE ISSUE-SH CERT
INTERNATIONAL
LTD
INTERNATIONAL
LTD
INTERNATIONAL
LTD
Total E0000000
45110003
176
MASTER TRANSACTION JOURNAL
From Inception 12/9/02 thru Termination 6/5/09
Spongetech
INTERNATIONAL
LTD
Total 5250000
TRADING.CDM INC
FED DTC 0234
50000 2838
Case 1:10-cv-02031-DLI -JMA Document 45-21
10/16/2008 ENTERPRISES
INTERNATIONAL
LTD
5250000 5250000
Total
30000000 2823
10/16/2008 CEDE CO
INTERNATIDNAL
LTD
total 11500000
LTD
177
MASTER TRANSACTION JOURNAL
Spongetech From Inception 12/9/02 thru Termination 6/5/09
TR DATE LAST1 FIRST1 LAST FIRST ST CL PRE CERT CANC-SH PRE ISSUE-SH CERT
INVESTMENT
178
MASTER TRANSACTION JOURNAL
From Inception thru Termination
Spongetech 12/9/02 6/5/09
TR DATE LAST1 FIRST1 LAST FIRST ST CL PRE CERT CANC-SH PRE ISSUE-SH CERT
INTERNATIONAL
LTD
Tolal 23000000
INTERNATIONAL
LTD
10/20/2006 CEDE CO
Filed 06/18/10 Page 7 of 100
5000000 2851
179
MASTER TRANSACTION JOURNAL
Spongetech From Inception 12/9/02 thru Termination 6/5/09
TR DATE LAST1 FIRST1 LAST FIRST ST CL PRE CERT CANC-SHl PRE ISSUE SH CERT
INTERNATIONAL
LTD
Total 5000000
76078 10/20/2008 RIDGE CLEARING DTC 0158 ACACIA ACCT 2854 5000000
AND INVESTORS LLC
OUTSOURCING
SOLUTIONS
ASSOCIATES CO
LPA
180
MASTER TRANSACTION JOURNAL
Spongetech From Inception 12/9/02 thru Termination 6/5/09
TR DATE LAST1 FIRST1 LAST FIRST ST CL PRE CERT CANC-SH PRE ISSUE SH CERT
10/24/2008 CEDE CO
68927573 2862
Total
10/24/2008 CEDE CO
68827573 2863
Total
89.275732 89275732
10/28/2008 CEDE CO
240000 2865
Total
240000 240000
10/28/2008 CEDE CO
69027573 2866
Total
Case 1:10-cv-02031-DLI -JMA Document 45-21
i90275732 90275732
10/28/2008 CEDE CO
68977573 2867
Total
i90275732 90275732
Total
10000000
181
MASTER TRANSACTION JOURNAL
Spongetech From Inception 1219/02 thru Termination 6/5/09
TR DATE LAST1 FIRST1 LAST FIRST ST CL PRE CERT CANC-SH PRE ISSUE-SH CERT
INTERNATIONAL
LTD
Total 2500000
LTD
0385
SERVICES INC
FRIEDMAN
Filed 06/18/10 Page 10 of 100
FERENCE LLP
182
MASTER TRANSACTION JOURNAL
From Inception thru Termination
Spongetech 12/9/02 6/5/09
TR DATE LAST1 FIRST1 LAST FIRST -8 ST CL PRE CERT CANC-SH PRO ISSUE-SH CERT
Total 12253436
Total 9500000
CORP
LLC
183
MASTER TRANSACTION JOURNAL
Spongetech From Inception thru Termination
12/9/02 6/5/09
Total
500000 500000
11104/2008 CEDE CO
E9941573 2889
Total
06515732 06515732
11/04/2008 WILCO
1000000 2893
Total
1000000 1000000
Total
21075000 21075000
11/06/2008 CEDE CO
68966573 2899
Filed 06/18/10 Page 12 of 100
184
MASTER TRANSACTION JOURNAL
From Inception 12/9/02 thru Termination 6/5/09
Spongetech
DATE LAST FIRST ST CL PRE CERT CANC ShE PRE ISSUE-SH CERT
TR LAST1 FIRST1
IN VESTMENT
SERVICES INC
INTERNATIONAL
LTD
Total 5000000
INTERNATIONAL
LTD
Filed 06/18/10 Page 13 of 100
185
MASTER TRANSACTION JOURNAL
Spongetech From Inception 12/9/02 thru Termination 6/5/09
TR DATE LAST1 FIRST1 LAST FIRST 8- ST CL PRE CERT CANC SH PRE ISSUE-SH CERT
78358 11/07/2006 TRADE P80 DTC DIGNEY ACCT TIMOTHY 2874 1000000
0385
0385 ACCT
INTERNATIONAL
LTD
Total 5400000
LTD
CEDECO 5000000
186
MASTER TRANSACTION JOURNAL
From thru Termination
Spongetech Inception 12/9/02 6/5/09
TR DATE LAST1 FIRST1 LAST FIRST ST CL PRE CERT CANC 4SH PRE ISSUE-SH CERTS
LYNN
INTERNATIONAL
LTD
Total 23333340
187
MASTER TRANSACTION JOURNAL
Spongetech From Inception 12/9/02 thru Termination 6/5/09
TR DATE LAST1 FIRST1 LAST FIRST -6 ST CL PRE CERT CANC-SHI PRE ISSUE-SH CERTE
ASSET
MANAGEMENT
PORTFOLIO
LLC
INTERNATIONAL
LTD
Total 5500000
11/13/2008 HOPE CAPITAL INC ACCT RIDGE CLEARING DTC 0158 5500000 2929
188
MASTER TRANSACTION JOURNAL
Spongetech From Inception thru Termination
12/9/02 6/5/09
TR DATE LAST1 FIRST1 LAST FIRST ST CL PRE CERT CANC-S/-lI PRE ISSIJE-SH CERT
DANFORTH
LLC
INTERNATIONAL
LTD
Total 7500000
Case 1:10-cv-02031-DLI -JMA Document 45-21
189
MASTER TRANSACTION JOURNAL
Spongetech From Inception 12/9/02 thru Termination 6/5/09
TR DATE LAST1 FIRST1 LAST FIRST ST CL PRE CERT CANC4SH PRE ISSUE-SH CERT
ALLEN
AN
LA VAN
11/24/2006 2946
Filed 06/18/10 Page 18 of 100
190
MASTER TRANSACTION JOURNAL
From 12/9/02 thru Termination 6/5/09
Spongetech Inception
INTERNATIONAL
LTD
Total 8000000
AZUCARADAS CR FINANCIAL
SA SERVICES INC
CLEARING
fl CLEARING DTC
0365
INTERNATIONAL
LTD
Total 6500000
191
MASTER TRANSACTION JOURNAL
Spongetech From Inception 12/9/02 thru Termination 6/5/09
TR DATE LAST1 FIRST1 LAST FIRST ST CL PRE CERT CANC 5/fl PRE ISSUE SH CERT
DTC N0234
INTERNATIONAL
LTD
Total 6850000
385-00659
Case 1:10-cv-02031-DLI -JMA Document 45-21
192
MASTER TRANSACTION JOURNAL
Spongetech From Inception 12/9/02 thru Termination 6/5/09
12/04/2008 HOPE CAPITAL INC ACCTS RIDGE CLEARING DTC0156 4500000 2963
Total
5000000 5000000
Total
110000
Total
4500000 4500000
CODE 40
Total
4338923 4338923
12/04/2008 CEDE CO
1250000 2969
Filed 06/18/10 Page 21 of 100
193
MASTER TRANSACTION JOURNAL
From Inception thru Termination
Spongetech 12/9/02 6/5/09
TR DATE LAST1 FIRST1 -- LAST FIRST ST CL PRE CERT CANC4SH PRE ISSUE4SH CERT
76731 12/06/2008 HELLER SUSAN ACCT ETRADE DTC 0385 2967 1500000
-L
SONS INC
12/12/2005 HOPF CAPITAL INC ACCT RIDGE CLEARING DTC0158 4000000 2978
194
MASTER TRANSACTION JOURNAL
Spongetech From Inception 12/9/02 thru Termination 6/5/09
TR DATE FIRST1 LAST FIRST ST CL PRE CERT CANC-SHI PEE ISSUE-SH CERT
LAST1
INTERNATIONAL
ENTERPRISES
INTERNATIONAL
195
MASTER TRANSACTION JOURNAL
Spongetech From Inception 12/9/02 thru Termination 6/5/09
TR DATE LAST1 FIRST1 LAST FIRST ST CL PRO CERT CANC-SH PRE ISSUE-SH CERT
INTL LTD
CORP
Case 1:10-cv-02031-DLI -JMA Document 45-21
196
MASTER TRANSACTION JOURNAL
Spongetech From Inception 12/9/02 thru Termination 6/5/09
TR DATE LAST1 FIRST1 9- LAST FIRST ST CL PRE CERT CANC-SHI PRE ISSUE SH CERTS
INTERNATIONAL
LTD
Total 5000000
INTERNATIONAL
LTD
Total 9250000
INC
INC
INC
INC
INC
INC
INC
INC
Filed 06/18/10 Page 25 of 100
197
MASTER TRANSACTION JOURNAL
Spongetech From Inception 12/9/02 thru Termination 6/5/09
TR DATE LAST1 FIRST1 LAST FIRST ST CL PEE CERT CANC-SH PEE ISSUE-SH CERT
INC
INC
INC
INC
INC
INC
INC
INC
INC
INC
INC
INC
Case 1:10-cv-02031-DLI -JMA Document 45-21
INC
INC
INC
INC
INC
INC
INC
INC
Filed 06/18/10 Page 26 of 100
198
MASTER TRANSACTION JOURNAL
From thru Termination
Spongetech Inception 12/9/02 6/5/09
TR DATE LAST1 LAST FIRST ST CL PRE CERT CANC SH PRE ISSUE-SH CERT
FIRST1
INC
INC
INC
INC
INC
INC
INC
INC
INC
INC
199
MASTER TRANSACTION JOURNAL
Spongetech From Inception 12/9/02 thru Termination 6/5/09
INC
INC
200
MASTER TRANSACTION JOURNAL
Spongetech From Inception 12/9/02 thru Termination 6/5/09
ToIaI
9250000 9250000
Total
5000000
12/17/2008 ACACIA ..
RIDGE 0158 5000000 3038
INVESTORS LLC
Total
146031898 148031898
201
MASTER TRANSACTION JOURNAL
Spongetech From Inception 12/9/0 thru Termination 6/5/09
TR DATE LAST1 FIRST1 LAST FIRST ST CL PRE CERT CANC4SH PRE ISSUE-ESH CERT
INTERNATIONAL
LTD
ToIaI 5000000
TRUST
202
MASTER TRANSACTION JOURNAL
Spongetech From Inception 12/9/02 thru Termination 6/5/09
TR DATE LAST1 FIRST1 8- LAST FIRST ST CL PRE CERT CANC-SH1 PRE ISSUE-SH CERT
INTERNATIONAL
LTD
Total S000000
INVESTORS LLC
SONS
SONS
SONS
INTERNATIONAL
LTD
Total 10250000
SECURITIES DTC
8072
Filed 06/18/10 Page 31 of 100
203
MASTER TRANSACTION JOURNAL
Spongetech From Inception 12/9/02 thru Termination 6/5/09
TR DATE LAST1 FIRST1 LAST FIRST ST CL PRE CERT CANC-SH PRE ISSIJE-SI-I CERT
INTERNATIONAL
LTD
Total 21600000
CAPITAL LLC
INTERNATIONAL
LTD
INTERNATIONAL
LTD
INTERNATIONAL
LTD
Filed 06/18/10 Page 32 of 100
204
MASTER TRANSACTION JOURNAL
Spongetech From Inception 12/9/02 thru Termination 6/5/09
TR DATE LAST1 FIRST1 LAST FIRST ST CL PRE CERT CANC-SH PRE ISSUE SH CERT
Total 7833333
INTERNATIONAL
LTD
Total 12500000
INVESTMENTS
INTERNATIONAL
LTD
Filed 06/18/10 Page 33 of 100
205
MASTER TRANSACTION JOURNAL
Spongetech From Inception 12/9/02 thru Termination 6/5/09
TRE DATE LAST1 PIRST1 LAST FIRST ST CL PRE CERT CANC SH PRE ISSUE-SH CERT
INTERNATIONAL
LTD
Total 7000000
0365
ELISABETH
3086
Filed 06/18/10 Page 34 of 100
206
MASTER TRANSACTION JOURNAL
Spongetech From Inception 12/9/02 thru Termination 6/5/09
TR DATE LAST1 FIRST1 4- LAST FIRST ST CL FRE CERT CANC-SSI-Ii PRE ISSUE-SI-I CERT
CO CUST FBO
SONS
SONS
SONS
Case 1:10-cv-02031-DLI -JMA Document 45-21
ft
12/29/2008 LOUIS GEORGE 4000000 3096
ASSOCIATES CO
LPA
207
MASTER TRANSACTION JOURNAL
From Inception thru Termination
Spongetech 12/9/02 6/5/09
TR DATE LAST1 FIRST1 LAST FIRST ST CL PRE CERT CANC SHI PRE ISSUE-SH CERT
AN
INTERNATIONAL
LTD
INTERNATIONAL
LTD
Tolal 20000000
CODE 40
208
MASTER TRANSACTION JOURNAL
Spongetech From thru Termination
Inception 12/9/02 6/5/09
TR DATE LAST1 FIRST1 1/ LAST FIRST ST CL PRE CERT CANC-ESI-Il FRE ISSUE-SH CERTE
Total
20000000 20000000
Total
172802654 172802654
Total
5000000 5000.000
Total
15500000
Case 1:10-cv-02031-DLI -JMA Document 45-21
Total
issooooo 15500000
Total
sooooo 500000
Filed 06/18/10 Page 37 of 100
209
MASTER TRANSACTION JOURNAL
Spongetech From Inception 12/9/02 thru Termination 6/5/09
210
MASTER TRANSACTION JOURNAL
Spongetech From Inception 12/9/02 thru Termination 6/5/09
TR DATE LAST1 LAST FIRST ST CL PRE CERT CANC-SH PRE ISSUE-SH CERT
FIRST1
BYRD
DARYL
CLEARING INC
GLOBAL
SECU RITES
INTERNATIONAL
LTD
INTERNATIONAL
LTD
Total 13000000
211
MASTER TRANSACTION JOURNAL
From Inception 12/9/02 thru Termination 6/5/09
Spongetech
TR DATE LAST1 FIRST1 -8 LAST FIRST ST CL PRE CERT CANC SH PRE ISSUE-SH CERT
AZUCARADAS CR FINANCIAL
SA SERVICES INC
INTERNATIONAL
LTD
Total E500000
INTERNATIONAL
LTD
SECURITIES
212
MASTER TRANSACTION JOURNAL
Spongetech From Inception thru Termination
12/9/02 6/5/09
TR DATE LAST FIRST 1fr ST CL PRE CERT CANC-SHI PRE ISSUE-SH CERT
LAST1 FIRST1
INTERNATIONAL
LTD
INTERNATIONAL
LTD
Total 20000000
213
MASTER TRANSACTION JOURNAL
From thru Termination
Spongetech Inception 12/9/02 6/5/09
TR DATE LAST1 FIRST1 6- LAST FIRST ST CL PRE CERT CANC-SH PRE ISSUE-SH CERT
INTERNATIONAL
LTD
Total 5000000
NI 3161
77123A 01/07/2009 ENTERPRISES 5000000
INTERNATIONAL
LTD
SAACCT
214
MASTER TRANSACTION JOURNAL
Spongetech From thru Termination
Inception 12/9/02 6/5/09
TR DATE LAST1 FIRST1 LAST FIRST -6- ST CL PRE CERT CANC-SNl PRE ISSUE-SH CERT
INTERNATIONAL
LTD
INTERNATIONAL
LTD
Total 6500000
INTERNATIONAL
LTD
215
MASTER TRANSACTION JOURNAL
Spongetech From thru Termination
Inception 12/9/02 6/5/09
TR DATE LAST1 FIRST1 LAST FIRST ST CL PRE CERT CANC-SH PEE ISSUE SH CERT
INTERNATIONAL
LTD
Tolal 5000000
ASSOC INC
ASSOC INC
01/12/2009 LEVIN SUSAN NUNT SIRA RAYMOND JAMES CUST 185000 3177
ASSOC INC
SONS
SONS
SONS
Tolal
3500000 3500000
216
MASTER TRANSACTION JOURNAL
Spongetech From Inception 12/9/02 thru Termination 6/5/09
TR DATE LAST1 FIRST1 LAST FIRST -8-- ST CL PRE CERT CANC4SH PRE ISSUE-SH CERT
Total
5000000 5.000000
INTERNATIONAL
LTD
INTERNATIONAL
LTD
Total 30S00000
SECURITIES
217
MASTER TRANSACTION JOURNAL
Spongetech From Inception 12/9/02 thru Termination 6/5/09
TR DATE LAST1 FIR5T1 -8 LAST FIRST ST CL PRE CERT CANC 51-I PRE ISSUE SH CERT
Total
5000000 5000000
Total
8500000 8500000
CD 5000000
INTERNATIONAL
LTD
218
MASTER TRANSACTION JOURNAL
Spongetech From Inception 12/9/02 thru Termination 6/5/09
TR DATE FIRST1 LAST FIRST ST CL PRE CERT CANC-SR PRE ISSUE SH CERT
LAST1
Total 20000000
SECURITIES
INTERNATIONAL
LTD
INTERNATIONAL
LTD
Filed 06/18/10 Page 47 of 100
219
MASTER TRANSACTION JOURNAL
Spongetech From Inception 12/9/02 thru Termination 6/5/09
TR DATE LAST1 FIRST1 8- LAST FIRST ST CL PRE CERT CANCSH PRE ISSUE-SH CERTS
Total 10100000
INVESTMENTS
INVESTMENTS
PORTFOLIO LTD
INTERNATIONAL
LTD
Case 1:10-cv-02031-DLI -JMA Document 45-21
Tolal 750000
INTERNATIONAL
LTD
Filed 06/18/10 Page 48 of 100
220
MASTER TRANSACTION JOURNAL
Spongetech From Inception 12/9/02 thru Termination 6/5/09
IRE DATE LAST1 FIRST1j LAST FIRST ST CL PRE CERT CANC-SI-L PRE ISSUE-//SN CERT
Total 5000000
537
INTERNATIONAL
LTD
Total Sf00000
221
MASTER TRANSACTION JOURNAL
From thru Termination
Spongetech Inception 12/9/02 6/5/09
TR DATE LAST1 FIRST1 LAST FIRST ST CL PRE CERT CANC-SH PRE ISSUE-SH CERT
CAPITAL CDRP
SETH SHAW
Total 5000000
INTERNATIONAL
LTD
Total 5000000
222
MASTER TRANSACTION JOURNAL
Spongetech From Inception 12/9/02 thru Termination 6/5/09
TR DATE LAST1 FIRST1 LAST FIRST ST CL PRE CERT CANC 5H1 PRE ISSUE-SF-I CERT
537
Tolal 7.000000
SECURITIES
Case 1:10-cv-02031-DLI -JMA Document 45-21
INTERNATIONAL
LTD
Total 5000000
INVESTORS
223
MASTER TRANSACTION JOURNAL
From Inception thru Termination
Spongetech 12/9/02 6/5/09
Total 3.265050
INTERNATIONAL
LTD
INTERNATIONAL
LTD
Total 10000000
INVESTORS LLC
INTERNATIONAL
LTD
Filed 06/18/10 Page 52 of 100
224
MASTER TRANSACTION JOURNAL
Spongetech From thru Termination
Inception 12/9/02 6/5/09
TR DATE LAST1 FIRST1 -9 LAST FIRST ST CL PRE CERT CANC-SH PRE ISSUE-fiSH CERT
Total 5000000
INTERNATIONAL
LTD
INVESTORS AND
OUTSOURCING
SOLUTIONS
LLC
LLC
LLC
LLC
Filed 06/18/10 Page 53 of 100
225
MASTER TRANSACTION JOURNAL
From Inception thru Termination
Spongetech 12/9/02 6/5/09
TR DATE LAST1 FIRST1 LAST FIRST 8- ST CL PRO CERT CANC-SHl PRO ISSUE-SH CERTO
LLC
LLC
LLC
LLC
LLC
LLC
INTERNATIONAL
LTD
Total 5000000
SONS INC
SONS INC
226
MASTER TRANSACTION JOURNAL
Spongetech From Inception 12/9/02 thru Termination 6/5/09
TR DATE LAST1 FIRST1 LAST FIRST ST CL PRE CERTS CANC-SHI PRE ISSUE-SH CERTS
INTERNATIONAL
INC
LLC
227
MASTER TRANSACTION JOURNAL
Spongetech From Inception 12/9/02 thru Termination 6/5/09
TR DATE LAST1 FIRST1 LAST FIRST ST CL PRE CERT CANC-SH PRE ISSUE-SH CERT
INTERNATIONAL
LTD
Total 34561996
INTERNATIONAL
LTD
Total 5000000
INVESTORS
Case 1:10-cv-02031-DLI -JMA Document 45-21
INTERNATIONAL
LTD
INTERNATIONAL
LTD
Total 20000000
Filed 06/18/10 Page 56 of 100
228
MASTER TRANSACTION JOURNAL
From Inception thru Termination
Spongetech 12/9/02 6/5/09
TR DATE LAST1 4- LAST FIRST ST CL PRE CERT CANC-SH PRE ISSUE-SH CERT
FIRST1
AND INC
OUTSOURCING
SOLUTIONS FEO
DTC 0158
0234 GLOEAL
SECURITIES INC
77498 02/02/2009 HOPE CAPITAL 3850 0659 RIDGE 0158 3288 10000000
Case 1:10-cv-02031-DLI -JMA Document 45-21
INTERNATIONAL
LTD
Tolal 5000000
229
MASTER TRANSACTION JOURNAL
Spongetech From Inception 12/9/02 thru Termination 6/5/09
TR DATE LAST1 FIRST/i LAST FIRST 9- ST CL PRE CERT CANC 5EV FRE ISSUE SH CERT
SERVICES INC
544
230
MASTER TRANSACTION JOURNAL
Spongetech From Inception 12/9/02 thru Termination 6/5/09
TR DATE LAST1 FIRST1 LAST FIRST -4- ST CL PRE CERT CANC-SH PRE ISSLIE-SH CERT
Total
156221541 156221541
Total
4000000
Total
4000000 4000000
Total
4000000 4000000
231
MASTER TRANSACTION JOURNAL
Spongetech From Inception 12/9/02 thru Termination 6/5/09
ToIaI 45.303.997
INTERNATIONAL
LTD
INTERNATIONAL
LTD
Total 17500000
INTERNATIONAL
LTD
GLOBAL FINANCIAL
Case 1:10-cv-02031-DLI -JMA Document 45-21
SECURITIES INC
CORP
5000000 3315
02104/2009 CEDE CO
S000000 5000000
Total
232
MASTER TRANSACTION JOURNAL
From thru Termination
Spongetech Inception 12/9/02 6/5/09
TRE DATE LAST FIRST ST CL PRE CERTE CANC-SH PRE ISSUE SH CERT
LAST1 FIRST1
INTERNATIDNAL
LTD
INTERNATIONAL
LTD
Total 12000000
GLOBAL
INTERNATIONAL
LTD
INTERNATIONAL
LTD
Total 4500000
Filed 06/18/10 Page 61 of 100
233
Spongetech From Inception thru
MASTER TRANSACTION JOURNAL
12/9/02 Termination 6/5/09
TR DATE LAST1 FIRST1 LAST FIRST ST CL PRE CERT CANC45/-I1 PRE ISSUE-SH CERT
77582a 02/06/2009
ENTERPRISES
INTERNATIONAL 3324 3000000
LTD
02/06/2009
ENTERPRISES
INTERNATIONAL 3325 1500000
LTD
3000000 3329
Tolal
4500000 4500000
77565 02/06/2009 CEDE CO
330E 4000000
02/06/2009 CEDE CO
3305 20917544
02/06/2009 CEDE CO
3315 5000000
02/06/2009 CEDE CO
3317 6000000
02/06/2009 A.G EDWARDS
SONS INC 3266 280000
02/06/2009 CEDE CO
3323 6000000
02/06/2009 CEDE CO
3322 5000000
02/06/2009 CEDE CO
3316 4000000
02/06/2009 NEW CENTURY
CAPITAL 2864
1000000
CONSULTANTS INC
02/06/2009 CEDE CO
Case 1:10-cv-02031-DLI -JMA Document 45-21
53197544 3326
ToIaI
53197544 53197544
77592 02/06/2009 HOPE CAPITAL
rfl531S1 ALPINE 8072
3321 6000000
02/06/2009 CEDE CO
6000000 3330
Total
6000000 6000000
77594 02/06/2009 NUMARK CAPITAL
..41JlYJ1Jfl ALPINE 8072
3313 500000
02/06/2009 CEDE CO
500000 3331
Total
500000 500000
77607 02/09/2009 ENTERPRISES
INTERNATIONAL 2000000 3332
LTD
ToIaI
2000.000
Filed 06/18/10 Page 62 of 100
234
MASTER TRANSACTION JOURNAL
From Inception 12/9/02 thru Termination 6/5/09
Spongetech
INTERNATIONAL
LTD
INTERNATIONAL
LTD
Tolal 9900000
Case 1:10-cv-02031-DLI -JMA Document 45-21
INTL LTD
11127142 11127142
Tolal
5000000 3339
02/10/2009 LAZAUSKUS FRANK
Filed 06/18/10 Page 63 of 100
235
MASTER TRANSACTION JOURNAL
Spongetech From Inception 12/9/02 thru Termination 6/5/09
TR DATE LAST1 FIRST1 11 LAST FIRST -6 ST CL PRE CERT CANC-SH PRE ISSUE-SH CERT
SERVICES INC
INTERNATIONAL
LTD
INC
Case 1:10-cv-02031-DLI -JMA Document 45-21
INC
INC
Filed 06/18/10 Page 64 of 100
236
MASTER TRANSACTION JOURNAL
Spongetech From Inception 12/9/02 thru Termination 6/5/09
INC
INTERNATIONAL
LTD
INDUSTRIES INC
INDUSTRIES INC
INTERNATIONAL
Filed 06/18/10 Page 65 of 100
237
MASTER TRANSACTION JOURNAL
Spongetech From Inception 12/9/02 thru Termination 6/5/09
TRE DATE LAST1 FIRST1 LAST FIRST ST CL PRE CERT CANC-SH PRE ISSUE-SH CERTE
INTERNATIONAL
INTERNATIONAL
INTERNATIONAL
INTERNATIONAL
INC
INC
INTERNATIONAL
INC
Ct 3342 6000000
07/17/2009 CEDE CO
238
MASTER TRANSACTION JOURNAL
Spongetech From Inception 12/9/02 thru Termination 6/5/09
TR DATE LAST1 FIRST1 -4 LAST FIRST -4- ST CL PRE CERT CANC-SH PRE ISSUE-SH CERT//
MANAGEMENT LLC
INTERNATIONAL
INC
3379
Filed 06/18/10 Page 67 of 100
239
MASTER TRANSACTION JOURNAL
Spongetech From Inception 12/9/02 thru Termination 6/5/09
Total 34500000
tNTER NATIONAL
LTD
INTERNATIONAL
LTD
Total 11000000
NIVESTORS LLC
240
MASTER TRANSACTION JOURNAL
Spongetech From Inception 12/9/02 thru Termination 6/5/09
TR DATE LAST1 FIRST1 LAST FIRST ST CL PRE CERT CANC-5H PRE ISSUE SH CERT
INTERNATIONAL
LTD
INTERNATIONAL
LTD
Total 11000000
804 BROTHERS
INTERNATIONAL
Filed 06/18/10 Page 69 of 100
LTD
241
MASTER TRANSACTION JOURNAL
Spongetech From Inception 12/9/02 thru Termination 6/5/09
TR DATE LAST1 FIRST1 LAST FIRST ST CL PRE CERT CANC SH PRE ISSUE-SH CERTS
Total 2000000
WATLEY
777E6 02/19/2009 VAL HENRY ...... -...-E PENSON AB 0234 339E 2000000
WATLEY
INTERNATIONAL
LTD
Total 6000000
INTERNATIONAL
LTD
Filed 06/18/10 Page 70 of 100
242
MASTER TRANSACTION JOURNAL
Spongetech From Inception 12/9/02 thru Termination 6/5/09
TR DATE LAST1 FIRST1 LAST FIRST 6- ST CL PRE CERT CANC-SH PRE ISSUE-SH CERT
Total 4000000
LLC
LLC
5/5/97
STEVEN
MINDAY
5/5/97
STEVEN
MINDAY
243
MASTER TRANSACTION JOURNAL
Spongetech From Inception 12/9/02 thru Termination 6/5/09
TR DATE LAST1 FIRST1 LAST FIRST -- ST CL PRE CERT CANC-SH PRE ISSUE4SH CERT
STEVEN
MIN DAY
SECURITIES CORP
5/6/97
STEVEN
MINDAY
MOSKO WIT
TRUST
244
MASTER TRANSACTION JOURNAL
Spongetech From Inception thru Termination 6/5/09
12/9/02
TR DATE LAST1 FIRST1 LAST FIRST -- ST CL PRE CERT CANC SHI PRE ISSUE-SR CERT
245
MASTER TRANSACTION JOURNAL
Spongetech From Inception 12/9/02 thru Termination 6/5/09
TR DATE LAST1 FIRST1 LAST FIRST 8- ST CL PRO CERT CANC-SH PRE ISSUE-SH CERT
INTERNATIONAL
LTD
Total 10000000
Total 15000000
INTERNATIONAL
LTD
Total 5000000
INTERNATIONAL
LTD
INTERNATIONAL
LTD
Filed 06/18/10 Page 74 of 100
246
MASTER TRANSACTION JOURNAL
Spongetech From Inception 12/9/02 thru Termination 6/5/09
TR DATE LAST1 FIRST1 LAST FIRST -8- ST CL PRE CERT CANC SH PRE ISSUE-SH CERT
Total 20000000
INVESTORS OUTSOURCING
OLUTIONS
INTERNATIONAL
LTD
Total 20000000
MENENDEZ
247
MASTER TRANSACTION JOURNAL
Spongetech From thru Termination
Inception 12/9/02 6/5/09
TR DATE LAST1 FIRST1 -// LAST FIRST ST CL PRE CERT CANC-SH PRE ISSUE SH CERT
INTERNATIONAL
LTD
ToIaI
2500000
LLC 685
INTERNATIONAL
LTD
Tolal 11000000
INTERNATIONAL
LTD
PENSON 11000000
AZUCARADAD CR FINANCIAL
SA SERVICES INC
TRADING/
PEN SO
FINANCIAL
J1n PENSON
FINANCIAL
248
MASTER TRANSACTION JOURNAL
From Inception 12/9/02 thru Termination 6/5/09
Spongetech
TR DATE LAST1 FIRST1 LAST FIRST ST CL PRE CERT CANC-SH PRE ISSUE4SI-l CERT
PENSON
FINANCIAL
INTERNATIONAL
LTD
Total 7260000
INTERNATIONAL
LTD
INTERNATIONAL
LTD
Total 31000000
GROSSMAN
TRADING
CAPITAL SECURITIES
CONSULTANTS INC
INTERNATIONAL
LTD
Total 10000000
249
MASTER TRANSACTION JOURNAL
Spongetech From Inception 12/9/02 thru Termination 6/5/09
TR DATE LAST1 LAST FIRST ST CL PRE CERT CANC SF6 PRE ISSUE-SH CERT
FIRST1
INTERNATIONAL
LTD
Total 10000000
78048 03/13/2009 CSH ADVISORS INC t1JIIJ PENSON 0234 3464 12000000
78050 03/1 3/2009 UPTICK CAPITAL JTDL9-JI PERSHING 0443 3450 2500000
LLC
MAOUNTAIN
ENTERPRISES INC
Filed 06/18/10 Page 78 of 100
250
MASTER TRANSACTION JOURNAL
Spongetech From Inception 12/9/02 thru Termination 6/5/09
TR DATE LAST1 FIRST1 LAST FIRST ST CL PRE CERT CANC SH PRE ISSUE SH CERT
INTL INC
Tolal 31500000
INVESTMENTS INC
INTL LTD
Total 10000000
INTL LTD
251
MASTER TRANSACTION JOURNAL
From Inception 12/9/02 thru Termination 6/5/09
Spongetech
INTERNATIONAL
LTD
Total 500000
10000000 3490
78077 03/17/2009 ENTERPRISES
INTERNATIONAL
LTD
Total 10000000
INTERNATIONAL
LTD
INTERNATIONAL
Case 1:10-cv-02031-DLI -JMA Document 45-21
LTD
INTERNATIONAL
LTD
Total 15175000
3493 5175000
78079a 03/17/2009 ENTERPRISES
INTERNATIONAL
LTD
3492 10000000
03/17/2009 ENTERPRISES
INTERNATIONAL
LTD
3498
Filed 06/18/10 Page 80 of 100
252
MASTER TRANSACTION JOURNAL
Spongetech From Inception 12/9/02 thru Termination 6/5/09
TR DATE LAST1 FIRST1 LAST FIRST ST CL PRE CERT CANC-SHl PRE ISSUE-SH CERT
INVESTMENTS LLC
TP
SW FINANCIAL
FEO SECURITIES
CLEARING
253
MASTER TRANSACTION JOURNAL
Spongetech From 12/9/02 thai Termination 6/5/09
Inception
TR DATE LAST1 FIRST1 -F- LAST FIRST ST CL PRE CERT CANC ShL PRE ISSUE fiSH CERT
INTERNATIONAL
LTD
Total 14000000
INVESTMENTS INC
INTERNATIONAL
LTD
Total 10000000
CO INC
254
MASTER TRANSACTION JOURNAL
Spongetech From Inception 12/9/02 thru Termination 6/5/09
TR DATE LAST FIRST ST CL PRE CERT CANC SFE PRE ISSUE-SH CERT//
LAST1 FIRST1
10000000 3522
78129 03/20/2009 RM ENTERPRISES
INTERNATIONAL
LTD
Total 10000000
FINANCIAL
SERVICES LLC
INTERNATIONAL
LTD
Total 8500000
2000000 3537
03/20/2009 TARGET tR PENSON
255
MASTER TRANSACTION JOURNAL
Spongetech From Inception 12/9/02 thru Termination 6/5/09
TR DATE LAST1 FIRST1 LAST FIRST ST CL FRE CERT CANC-SI-L PRO ISSUE-SH CERT
DARYL
DARYL
DARYL
DARYL
ASSOCIATES
INTL LTD
Total 10000000
Filed 06/18/10 Page 84 of 100
256
MASTER TRANSACTION JOURNAL
Spongetech From Inception 12/9/02 thru Termination 6/5/09
TR DATE LASTi FIRST1 LAST FIRST ST CL FRE CERT CANC-SI-t PRE ISSUE-SH CERT
SERVICES
INVESTMENTS LLC
INTERNATIONAL
LTD
Total 10000000
257
MASTER TRANSACTION JOURNAL
Spongetech From Inception 12/9/02 thru Termination 6/5/09
TRE DATE LAST1 8- LAST FIRST ST CL PRE CERT CANC SH PRE ISSLJE-SH CERT
FIRST1
INTERNATIONAL
LTD
Total 3900000
Total 5000000
DUTSOURCING
SOLUTIONS P60
258
MASTER TRANSACTION JOURNAL
Spongetech From 12/9/02 thru Termination 6/5/09
Inception
TR DATE LAST1 FIRST1 LAST FIRST ST CL PRE CERT CANC-SH PRE ISSUE-SH CERT
259
MASTER TRANSACTION JOURNAL
Spongetech From Inception 12/9/02 thru Termination 6/5/09
TR DATE LAST1 FIRST1 -8 LAST FIRST ST CL PRE CERTE CANC-ESH PRE ISSUE-SH CERT
FINANCIAL
INTERNATIONAL
LTD
ToIaI 10000000
INTERNATIONAL
LTD
Tolal 2500000
MANAGEMENT
ENTERFRISES
260
MASTER TRANSACTION JOURNAL
From thru Termination
Spongetech Inception 12/9/02 6/5/09
TR DATE LAST1 FIRST1 LAST FIRST ST CL PRE CERT CANC-SW PRE ISSUE SN CERT
Total 20000000
INTERNATIONAL
LTD
Total 2000000
Ira FBO
INTERNATIONAL
LTD
Total 5000000
3S79
Filed 06/18/10 Page 89 of 100
261
MASTER TRANSACTION JOURNAL
Spongetech From Inception thru Termination
12/9/02 6/5/09
TR DATE LAST1 FIRST1 LAST FIRST ST CL PRE CERT CANC 51-F PRE ISSUE 51-I CERT
Total
85144
Tolal 775000
Total 1500000
JJJ TRADING/PENSON
TRADING/PENSON
DTC234
262
MASTER TRANSACTION JOURNAL
From thru Termination
Spongetech Inception 12/9/02 6/5/09
TR DATE LAST1/ FIRST1/ LAST FIRST ST CL PRE CERT CANC-SH PRE ISSUE.SH CERT
LLC
LLC
263
MASTER TRANSACTION JOURNAL
Spongetech From Inception 12/9/02 thru Termination 6/5/09
CD RICHARDM
264
MASTER TRANSACTION JOURNAL
From Inception thru Termination
Spongetech 12/9/02 6/5/09
TR DATE LAST1 FIRST1 6- LAST FIRST 1fr ST CL PRE CERT CANC-SH PRE ISSUE-SH CERT
INTERNATIONAL
LTD
INTERNATIONAL
LTD
Total 46000000
INVESTMENTS INC
INVESTMENTS
INVESTMENTS LLC
INTERNATIONAL
LTD
INTERNATIONAL
LTD
INTERNATIONAL
LTD
Total 45000000
265
MASTER TRANSACTION JOURNAL
Spongetech From Inception 12/9/02 thru Termination 6/5/09
TR DATE LAST1 FIRST/i LAST FIRST ST CL FRE CERT CANC-SH FRE ISSUE-SH CERTB
INVESTORS LLC
GLOBAL FINANCIAL
SECURITIES
INTERNATIONAL
LTD
INTERNATIONAL
LTD
Tolal B950000
LTD
CORP SECURITIES
TRADING/PENSON
TRADING/ PENSON
SECURITIES/PENS
ON
SECURITIES/PENS
ON
266
MASTER TRANSACTION JOURNAL
Spongetech From Inception 12/9/02 thru Termination 6/5/09
TR DATE LAST1 FIRST1 LAST FIRST ST CL PRE CERT CANC 511 PRE ISSUE-SH CERT
INTERNATIONAL
LTD
Total 10000000
BART
267
MASTER TRANSACTION JOURNAL
Spongetech From Inception 12/9/02 thru Termination 6/5/09
TR DATE LAST1 FIRST1 LAST FIRST ST CL PRE CERT CANC-SHl PRE ISSUE SH CERTE
INTERNATIONAL
LTD
Total 10000000
INC
Filed 06/18/10 Page 96 of 100
268
MASTER TRANSACTION JOURNAL
From thru Termination
Spongetech Inception 12/9/02 6/5/09
IRE DATE LAST1 FIRST1 LAST FIRST ST CL PRE CERT CANC-SH PRE ISSUE-SH CERT
LLC
INTERNATIONAL
LTD
Tolal 10000000
INTERNATIONAL
LTD
Filed 06/18/10 Page 97 of 100
269
MASTER TRANSACTION JOURNAL
From Inception 12/9/02 thru Termination 6/5/09
Spongetech
10450000 3842
75493 04/17/2009 ENTERPRISES
INTERNATIONAL
LTD
INTERNATIONAL
LTD
ToIaI 12000000
INTERNATIONAL
LTD
INTERNATIONAL
LTD
PORTFOLIO
CORPORATION
Case 1:10-cv-02031-DLI -JMA Document 45-21
LLC
RM 12000000 3644
78496 04/17/2009 ENTERPRISES
INTERNATIONAL
LTD
RM 4000000 3645
04/17/2009 ENTERPRISES
INTERNATIONAL
LTD
ToIaI 16000000
270
MASTER TRANSACTION JOURNAL
From thru Termination
Spongetech nception 12/9/02 6/5/09
TR DATE LAST1 FIRST1 LAST FIRST --- ST CL PRE CERT CANC4SH PRE ISSUE-SH CERT
HERNANDEZ BROTHERS
HARRIMAN
HERNANDEZ
Total 8728130
INTERNATIONAL
LTD
Case 1:10-cv-02031-DLI -JMA Document 45-21
Total 2000000
RJ
271
MASTER TRANSACTION JOURNAL
From Inception thru Termination
Spongetech 12/9/02 6/5/09
TR DATE LAST1 FIRST1 LAST FIRST ST CL PRE CERT CANC SI-E PRE ISSUE-fiSH CERT
PENSON
TRADING/PENSON
FENSON
FENSON
PENSON
INTERNATIONAL
LTD
Total 9500000
CAPITAL
Case 1:10-cv-02031-DLI -JMA Document 45-21
CORPORATION
INTERNATIONAL
LTD
Total 10000000
78S17 04/20/2009 OVERY MARK 1I1L.... FENSON NOBLE 0234 3664 1.500.000
TRADING
272
MASTER TRANSACTION JOURNAL
Spongetech From Inception thru Termination
12/9/02 6/5/09
TR DATE LAST1 FIRST1 LAST FIRST ST CL PRE CERT CANC-SH PRE ISSUE-SH CERT
273
MASTER TRANSACTION JOURNAL
Spongetech From Inception 12/9/02 thru Termination 6/5/09
TR DATE LAST1 FIRSTl -4- LAST FIRST ST CL PRE CERT CANC-SH PRE ISSUE-SH CERTS
INTERNATIONAL
LTD
Total 10000000
INTERNATIONAL
LTD
Tolal 2000000
LTD
INTERNATIONAL
LTD
Total 2000000
274
MASTER TRANSACTION JOURNAL
Spongetech From nception 12/9/02 thru Termination 6/5/09
TR DATE LAST1 FIRST1 LAST FIRST ST CL PRE CERT CANC SHl FRE ISSUE SH CERTS
CORP SECURITIES
INTERNATIONAL
LTD
Total 10000000
275
MASTER TRANSACTION JOURNAL
Spongetech From Inception 12/9/02 thru Termination 6/5/09
CAPITAL
CORPORATION
LLC
276
MASTER TRANSACTION JOURNAL
Spongetech From Inception 12/9/02 thru Termination 6/5/09
TR DATE LAST1 LAST FIRST -4 ST CL PRE CERT CANC-SHl PRE ISSUE-/SH CERT
FIRST1
Total
250uuuo 2500OoO
Total
40000000 40000000
Total 1.000000
LTD
277
MASTER TRANSACTION JOURNAL
Spongetech From Inception 12/9/02 thru Termination 6/5/09
IRE DATE LAST1 FIRST1 LAST FIRST ST CL PRE CERT CANC4SI-F PRE ISSUE-SH CERT
Total 2000000
278
MASTER TRANSACTION JOURNAL
Spongetech From Inception 12/9/02 thru Termination 6/5/09
TR DATE LAST1 FIRST1 LAST FIRST ST CL FRE CERT CANC-SH PRE ISSUE-SH CERT
INTERNATIONAL
LTD
Total 3172125
CO INC
279
MASTER TRANSACTION JOURNAL
Spongetech From Inception 12/9/02 thru Termination 6/5/09
TR DATE LASTi FIRST1 LAST FIRST -/1 ST CL PRE CERT CANC-Si-I PRE ISSUE SH CERT
INTERNATIONAL
LTD
INTERNATIONAL
LTD
Total 3250000
INTERNATIONAL
LTD
Filed 06/18/10 Page 8 of 17
280
MASTER TRANSACTION JOURNAL
From thru Termination
Spongetech Inception 12/9/02 6/5/09
TR DATE LAST1 FIRST1 LAST FIRST ST CL PRE CERT CANC-5H PRE ISSUE SH CERT
INTERNATIONAL
LTD
INTERNATIONAL
LTD
Total 27400000
FINANCIAL
SERVICES
INTERNATIONAL
LTD
INTERNATIONAL
LTD
ToIal 25000000
-r
05/1 9/2009 CEDE CD 4000000 3742
Filed 06/18/10 Page 9 of 17
281
MASTER TRANSACTION JOURNAL
Spongetech From Inception thru Termination
12/9/02 6/5/09
TR DATE LAST1 FIRST1 LAST FIRST ST CL PRE CERT CANC-SH PRE ISSUE-SH CERT
ToIal 10000000
10000000
SECURITIES/PENS
ON FINANCIAL
SECURITIES/PENS
ON FINANCIAL
SECURITIES/PENS
Case 1:10-cv-02031-DLI -JMA Document 45-22
ON FINANCIAL
MANAGEMENT SPENCER
EDWARDS
282
MASTER TRANSACTION JOURNAL
Spongetech From Inception 12/9/02 thru Termination 6/5/09
TR DATE LAST1 FIRST1 LAST FIRST ST CL PRE CERT CANC-SH PRE ISSUE-SH CERT
Total
isoooooo 1S000000
283
MASTER TRANSACTION JOURNAL
Spongetech From Inception 12/9/02 thru Termination 6/5/09
TR DATE LAST1 FIRST1 8- LAST FIRST ST CL PRE CERT CANC-ESH PRE ISSUE SH CERT
INTERNATIONAL
LTD
INTERNATIONAL
LTD
INTERNATIONAL
LTD
Tolal 51000000
CORPORATION
CORPORATION
Case 1:10-cv-02031-DLI -JMA Document 45-22
INTERNATIONAL
LTD
Filed 06/18/10 Page 12 of 17
284
MASTER TRANSACTION JOURNAL
Spongetech From Inception 12/9/02 thru Termination 6/5/09
TR DATE FIRST1 LAST FIRST 4- ST CL PRE CERT CANC-SF-II PRE ISSUE SH CERT
LAST1
Total E000000
INTERNATIONAL
LTD
INTERNATIONAL
LTD
INTERNATIONAL
LTD
Filed 06/18/10 Page 13 of 17
285
MASTER TRANSACTION JOURNAL
Spongetech From thru Termination 6/5/09
Inception 12/9/02
TR DATE LAST1 FIRST1 LAST FIRST ST CL PRE CERT CANC-SH PRE ISSUE-SH CERT
INTERNATIONAL
LTD
Total 33500000
CAPITAL CORP
ENTERPRISES LLC
286
MASTER TRANSACTION JOURNAL
Spongetech From Inception 12/9/02 thru Termination 6/5/09
TR DATE LAST1 FIRST1 LAST FIRST ST CL PRE CERTS CANC-SH PRE ISSUE-SH CERT
INTERNATIONAL
LTD
Total 10000000
INTERNATIONAL
LTD
Total 5000000
76953 05/21/2009 HOPE CAPITAL INC rUIft._ RIDGE 0156 3795 5000000
Filed 06/18/10 Page 15 of 17
287
MASTER TRANSACTION JOURNAL
From thru Termination
Spongetech Inception 12/9/02 6/5/09
TR DATE LAST1 FIRST1 LAST FIRST ST CL PRE CERT CANC-SI-F PRE ISSUE-SH CERT
Total 1000000
CAPITAL
CORPORATION
288
MASTER TRANSACTION JOURNAL
Spongetech From Inception 12/9/02 thru Termination 6/5/09
TR DATE LAST1 LAST FIRST 6- ST CL PRE CERT CANC-St-lI PRE ISSUE-SH CERT
FIRST1
SECURITIES INC
Total 10000000
289
Case 1:10-cv-02031-DLI -JMA Document 45-23 Filed 06/18/10 Page 1 of 26
Plaintiff
CV-1O-2031
Defendants
EXHIBIT
Case 1:10-cv-02031-DLI -JMA Document 45-23 Filed 06/18/10 Page 2 of 26
REGISTRAR CONTROL
Effective 12/10/2009
1038 ROBIN FAMILY IRRECOVERABLE STOCK 2000000 3940 LOD Posted 06/08/2009
1045 ROBIN FAMILY IRRECOVERABLE STOCK 2791000 3940 tOO Posted 06/08/2009
1047 ROBIN FAMILY IRRECOVERABLE STOCK 2120000 3940 tOO Posted 06/08/2009
1076 STEVEN MIND MOSKOWITZ TRUST 1000000 3940 LOD Posted 06/08/2009
1394 SEPNDRA CAPITAL MANAGEMENT INC 250000 3940 LOD Posted 06/08/2009
Effective 12/10/2005
1744 KAHN MANAGEMENT CONSUtTING LLC 94064 3940 too Posted 06/08/2009
1752 RICHARD NEWMAN IRAHOI NEWMAN JT 18813 3940 too Posted 06/08/2009
Effective 12/10/2009
2049 KEITN MANGARTIGONNA NANGART JT TEN 25000 3940 LOG Posted 06/08/2009
2331 RUBIN FAMILY IRRECOVERABLE STOCK 466667 3940 LOG Posted 06/08/2009
2429 CGM IRA CUSTOGIAKILUCILLE ELLER 104724 3940 LOG Posted 06/08/2009
2943 GALE PICKELMAN JRIN SCNAEFF PICK 1983000 3940 LOG Posted 06/08/2009
3044 MEISSMAN MOSKOMITZ TTEESf STE 1553333 3940 LOG Posted 06/08/2009
3109 GALE PICKELMAN JRIM SCNAEFF PICK 1017000 3940 LOG Posted 06/08/2009
Effective 12/10/2009
3592 CHARtES SCNNAB CO CUSTIFBO RICHA 705000 3940 too Posted 06/08/2009
Effective 12/10/2009
3789 GREEN EAGLE CAPITAt CORP 2000000 3940 too Posted 06/08/2009
3806 PENSON FINANCIAL SERVICES INC 10000000 3940 too Posted 06/08/2009
3808 CNARLES NORGAN SECORITIES INC 5000000 3940 too Posted 06/08/2009
Effective 12/10/2009
3806 PENSON FINANCIAL SERVICES INC 10000000 3989 TRA Posted 06/15/2009
3626 BRIAN MOOTEN IJENNIFER NUTCNI 20000 3994 TRA Posted 06/15/2009
3834 PENSON FINANCIAL SERVICES INC 10000000 4008 TRA Posted 06/17/2009
3840 PERSON FINANCIAL SERVICES INC 1000000 4035 TRA Posted 06/19/2009
Effective 12/10/2009
3789 GREEN EAGLE CAPITAL CORP 2000000 4059 TRA Posted 06/23/2009
3834 PENSON FINANCIAL SERVICES INC 10000000 4059 TRA Posted 06/23/2009
3860 RIGOR CLEARING OOTSOORCING SOLOT 5000000 4066 TEA Posted 06/24/2009
557-i FIRsT uLEARINu LLc leuou Quo 4usl TEA Posted ee/25/2uOs
Effective 12/10/2009
3882 EQUITY MARKETS ADVISORY INC 1800000 4088 TRA Posted 06/25/2009
3891 EQUITY MARKETS ADVISORY INC 10000000 4090 TEA Posted 06/25/2009
3897 DOUBLE MASTER FUND L.P 22000000 4096 TEA Posted 06/25/2009
3840 PENSON FINANCIAL SERVICES INC 1000000 4106 TEA Posted 06/26/2009
7904 ENTERPRISES INT LTD 1R000 001 4117 OIl PnctRrl 06/29/2009
3906 COBBLE CREEK CONSULTING INC 22150000 4108 TEA Posted 06/29/2009
Effective 12/10/2009
3860 RIDGE CLEARING OUTSOURCIND SOLUT 5000000 4120 TRA Posted 06/30/2009
3921 PENSON FINANCIAL SERVICES INC 1000000 4174 TEA Posted 06/30/2009
3923 PENSON FINANCIAL SERVICES CANADA 21000000 4127 TEA Posted 07/01/2009
3897 DOUBLE MASTER FUND L.P 22000000 4138 TEA Posted 07/02/2009
3924 RIDGE CLEARING OUTSOUECING SOLUT 21500000 4132 TEA Posted 07/02/2009
3918 3919 CANACCURD CAPITAL CURPUEATIUN 17000000 4169 TEA Posted 07/08/2009
Effective 12/11/2119
3953 GREEN EAGLE CAPITAL CORP 3000000 4166 TRA Posted 07/08/2009
3954 JANELLE AQUILINA MARIE NAVARRA 100000 4166 TRA Posted 07/08/2009
396D OASIS MEALS WORLDWIDE INC 1000000 4167 TRA Posted 07/08/2009
3882 EQUITY MARKETS ADVISORY INC 1800000 4178 TRA Posted 07/09/2009
3891 EQUITY MARKETS ADVISORY INC 10000000 4178 TRA Posted 07/09/2009
3924 RIDGE CTEARTN1I I7UTRI7URCTNG SI7TUT 21500000 4178 TRA Boded 07/09/2009
3906 COBBLE CREEK CONSULTING INC 22150000 4189 TRA Posted 07/10/2009
3923 PENSON FINANCIAL SERVICES CANADA 21000000 4189 TRA Posted 07/10/2009
Effective 12/10/2009
3994 3995 CAROLINA MENENDEZ NERNANDEZ 2000000 4184 TEA Posted 07/10/2009
4019 4020 ENTERPRISES 1ST LTD 10000000 4208 OIS Posted 07/15/2009
3808 CNARLES MORGAN SECURITIES INC 5000000 4213 TEA Posted 07/16/2009
Effective 12/10/2009
4027 AAR ACCOUNTS FAMILY LIMITED PAETNE 500000 4213 TEA Posted 07/06/2009
4030 JUNE QUACEENBUSH IAUDEEY QUACEENB 2000000 4213 TEA Postod 07/16/2009
4043 4044 FIRST CLEARING LLC 500000 4224 TEA Posted 07/20/2009
4052 PENSON FINANCIAt SERVICES INC 2000000 4240 TEA Posted 07/22/2009
4033 CNAELES MORGAN SECURITIES INC 10000000 4246 TEA Posted 07/23/2009
4056 PENSON FINANCIAL SERVICES INC 10000000 4246 TEA Posted 07/23/2009
Effective 12/10/2009
2331 RUBIN FAO4ILY IRRECOVERABLE STOCK 466667 4252 TRA Posted 07/24/2009
4077 FOX HOLLOW NARKETING INC 1500000 4264 TEA Posted 07/27/2009
4052 PENSOH FINANCIAL SERVICES INC 2000000 4267 TEA Posted 07/28/2009
3953 GREEN EAGLE CAPITAL CORP 3000000 4276 TEA Posted 07/29/2009
4056 PENSON FINANCIAL SERVICES INC 10000000 4271 TEA Posted 07/29/2009
4087 PENSON FINANCIAL SERVICES INC 3000000 4276 TEA Posted 07/29/2009
4088 PERSON FINANCIAL SERVICES INC 1000000 4277 TEA Posted 07/29/2009
4089 PERSON FINANCIAL SERVICES INC 1000000 4278 TEA Posted 07/29/2009
4090 RIDGE CLEARING OUTSOURCING SOLUT 5000000 4279 TEA Posted 07/29/2009
4092 CONG TOL005 AVROM YITZCON 1000000 4282 TEA Posted 07/29/2009
Effective 12/10/2009
4087 PERSON FINANCIAL SERVICES INC 3000000 4303 IRA Posted 08/04/2009
4088 4089 PERSON FINANCIAL SERVICES INC 1000000 4303 IRA Posted 08/04/2009
4090 RIDGE CLEARING OUTSOURCING SOLUT 5000000 4303 IRA Posted 08/04/2009
4115 PERSON FINANCIAL SERVICES INC 6000000 4307 IRA Posted 08/04/2009
4126 PERSON FINANCIAL SERVICES INC 3000000 4308 IRA Posted 08/04/2009
REGISTRAR CONTROL
Effective 12/10/2009
4140 NENSON FINANCIAL SERVICES INC 500000 4350 TRA Nested 08/12/2009
4144 NENSON FINANCIAL SERVICES INC 6000000 4357 TRA Nested 08/13/2009
4149 LOS IENNA ASSET MANAGEMENT LTD 500000 4360 TNA Nested 08/14/2009
4150 ASSET MANAGEMENT ENTENNNISES INC 5000000 4361 OIS Nested 08/14/2009
Effective 1211012009
4030 JONN QUACKENBUSN IAUDREY QUACRENB 2000000 4373 TRA Posted 08/17/2009
416i DOUBLE MASTER FUND L.P 4000000 4367 TRA Posted 08/17/2009
4092 CONG TOLDOS AVRON YITZCON 1000000 4381 TRA Posted 08/18/2009
4138 PENSON FINANCIAL SERVtCES INC 2000000 4380 TRA Posted 08/18/2009
4140 PENSON FINANCIAL SERVICES INC 500000 4380 TRA Posted 08/18/2009
4150 ASSET MANAGEMENT ENTERPRISES INC 5000000 4383 TRA Posted 08/18/2009
Effective 12/10/2009
4144 PENSON FINANCIAL SERVICES INC 6000000 4385 TRA Posted 08/19/2009
4702 ASSET MANAGEMENT ENTERPRISES INC 5000000 4392 OIS Posted 08/19/2009
4202 ASSET NANAGENENT ENTERPRISES INC 5000000 4400 TRA Posted 08/21/2009
4212 SOLOMON CAPITAL 401K TRUST 5000000 4399 TRA Postod 08/21/2009
421 EQUITY MARKETS ADVISORY INC 5000000 4402 TRA Posted 08/21/2009
Effect ye 12/10/2009
4212 SOLOMON CAPITAL 401K TRUST 5000000 4414 TRA Posted 08/25/2009
4241 GREEN EAGLE CAPITAL CORP 5000000 4428 TRA Posted 08/26/2009
4244 ETRADE CLEARING LLCIFSO MYRON MEl 10000000 4432 TRA Posted 08/27/2009
4245 PEHSON FINANCIAL SERVICES INC 3200000 4433 TRA Posted 08/27/2009
4027 AAR ACCOUNTS FAMILY LIMITED PARTNE 500000 4438 TRA Posted 08/28/2009
Effective 12/10/2009
4266 RIDGE CLEARING OOTSOURCING SOLDT 6000000 4449 IRA Posted 09/01/2009
4245 PERSON FINANCIAL SERVICES INC 3200000 4456 IRA PosLed 09/02/2009
4769 PERSON FINANCIAL SERVICES INC 3000000 4455 IRA Posted 09/02/2009
3960 OASIS MEALS WORLDWIDE INC 1000000 4460 IRA PosLed 09/03/2009
1724 PETER MONTALBANO MICHELLE WONTALBA 62709 4473 IRA Posted 09/04/2009
Effective 12/10/2009
4291 PETER WONTALEANO NICNELLE WONTALBA 62709 4473 TEA Posted 09/04/2009
4266 EIDGE CLEARING OOTSOOECING SOLOT 6000000 4482 TEA Posted 09/08/2009
4294 PENSON FINANCIAL SERVICES INC 1300000 4487 TEA Posted 09/09/2009
4269 PENSON FINANCIAL SERVICES INC 3000000 4494 TEA Posted 09/10/2009
4295 PENSON FINANCIAL SERV CES INC 2000000 4493 TEA Posted 09/10/2009
4244 ETEADE CLEAEING LLCFBO MYRON WEI 10000000 4498 TEA Posted 09/11/2009
4297 PENSON FINANCIAL SERVICES INC 1000000 4496 TEA Posted 09/11/2009
Effective 12/10/2009
4291 PETER MONTALBAND MICNELLE MONTALRA 62709 4504 TRA Posted 09/15/2009
4294 PERSON FINANCIAL SERVICES INC 1300000 4504 TRA Posted 09/15/2009
4161 DOUBLE MASTER FUND L.P 4000000 4505 TRA Posted 09/16/2009
4211 EQUITY MARKETS ADVISORY INC 5000000 4507 TRA Posted 09/16/2009
4295 PENSON FINANCIAL SERVICES INC 2000000 4506 TRA Posted 09/16/2009
4149 LUSIERNA ASSET MANAGEMENT LTD 500000 4511 TRA Posted 09/17/2009
4297 PENSON FINANCIAL SERVICES INC 1000000 4511 TRA Posted 09/17/2009
4241 GREEN EAGLE CAPITAL CORP 5000000 4522 TRA Posted 09/22/2009
Effective 12/10/2009
4341 ASSET MANAGEMENT ENTERPRISES INC 18500000 4542 GIS Posted 99/23/2009
4345 4346 KNAL SHMIEL TZVI DSPINKA 500000 4543 TRA Pested 09/23/2009
4347 ASSET MANAGEMENT ENTERPRISES INC 5000000 4544 OIS Posted 09/23/2009
4348 ASSET MANAGEMENT ENTERPRISES INC 7500000 4544 OIS Posted 09/23/2009
4349 ASSET MANAGEMENT ENTERPRISES INC 10000000 4544 GIS Posted 09/23/2009
4350 ASSET MANAGEMENT ENTERPRISES INC 15000000 4544 GIS Pested 09/23/2009
4356 ASSET MANAGEMENT ENTERPRISES INC 18500000 4548 GIS Posted 09/24/2009
4341 ASSET MANAGEMENT ENTERPRISES INC 18500000 4552 TRA Posted 09/25/2009
4347 ASSET MANAGEMENT ENTERPRISES INC 5000000 4557 TRA Posted 09/25/2009
4348 ASSET MANAGEMENT ENTERPRISES INC 7500000 4555 TRA Posted 09/25/2009
4349 ASSET MANAGEMENT ENTERPRISES INC 10000000 4558 TRA Posted 09/25/2009
4350 ASSET MANAGEMENT ENTERPRISES INC 15000000 4556 TRA Posted 09/25/2009
4371 SOLOMON CAPITAL 401K TRUST 4%500090 4555 TWA Posted 09/25/2009
4379 SOLOMUN CAPITAL 401K TRUST 5000000 4561 TWA Posted 09/25/2009
Effective 12/10/2009
4356 ASSET MANAGEMENT ENTERPRISES INC 18500000 4573 TNA Posted 09/29/2009
4383 ENTERPRISES INT LTD 1D 000 000 4571 GIS Posted 09/29/2009
4388 SOLOMON CAPITAL 401K TRUST 6999990 4573 TRA Posted 09/29/2009
43/1 SOLOMON CAPITAL 401K TRUST 4500000 4574 TEA Posted 09/30/2009
4396 PERSON FINANCIAL SENVICES INC 200000 4580 TRA Posted 10/01/2009
4397 ENTERPRISES IHT LTD 32500 OOD 4589 GIS Posted 10/05/2009
4398 SAND STONE INVESTMEHT PANTHERS 18500000 4600 TRA Posted 10/08/2009
44DD ASSET MANAGEMENT EHTENPNISES INC 12900000 4612 UIS Posted 10/13/2009
44D4 PETER MOHTALBAHO MICHELLE MONTALBA 618269 4623 TEA Posted 10/15/2009
4379 SOLOMON CAPITAL 401K TNUST 5000000 4639 TEA Posted 10/21/2009
2943 DALE PICKELMAH JNIM SCHAEFF PICK 1983000 4663 TEA Posted 10/26/2009
31D9 DALE PICKELMAN JNIM SCHAEFF PICK 1017000 4663 TEA Posted 10/26/2006
Effective 12/10/2009
4398 SAND STONE INVESTNENT PARTNERS 18500000 4741 TRA Posted 11/09/2009
4345 4346 KNAL SNNIEL TZVI DSPINKA 500000 4766 TRA Posted 11/13/2009
4388 SOLONON CAPITAL 401K TRUST 6000000 4766 TRA Posted 11/13/2009
4396 PENSON FINANCIAL SERVICES INC 200000 4766 TRA Posted 11/13/2009
Effective 1211112009
4443 4444 PIKE CAPITAL PARTNERS 9000000 4798 TEA Posted 11/19/2009
4449 SDLDNDN CAPITAL 401K TRUST 5000000 4823 TEA Posted 11/24/2009
4452 SAND STDNE INVESTMENT PARTNERS 18500000 4862 TEA Posted 12/03/2009
4457 440 PIKE CAPITAL PAETNEES OP 5000000 4805 TEA Pat0d 12/04/200
4465 SULUNUN CAPITAL 401K TRUST 4895276 4885 TEA Posted 12/08/2009
Plaintiff
CV-1O-2031
Defendants
EXHIBIT
Case 1:10-cv-02031-DLI -JMA Document 45-24 Filed 06/18/10 Page 2 of 4
Page of
APR-09200BWEO 10 iooiiooa
fiE Commrece Bank 5th ave Fnx16T965it-
5i Mrnopahnor
Learnt CA
zC b8o
4/3 1Q flint irtsmuctlu$s
tr /ol
PhDfl Ntnnbar or Signaturos Roquirod
Cue Dl the authocictid lndlnkhaia csnvly maclacy Man at raq4r.d aepeaty Ia act wIth InDuct tIlls ata.adta and jointly and sasraty apron Ia
tidotnnffy and Mid Fhumctsi lnatmidan hannlantrarn and oQahiel Ion or damapa analog 5mm auth aatlnathy an laSt marsaf FhindoI Iranuipar hap
any
In rasponslaltly amity In annum rcaanly thai JthotzS ktdaldunljy hanaara sting whnln suthorllrgtvnn mom Iry tie aIllhI4tthU document or that
such auttertdng documnat ir ganulno erwold aan Finandat tanlialSon jimp eisner ralaIrlie
Clench dricumall
copy
Diednaunu and the macironic an mnandad by jnanc5a Intlullan 1mm thre lime Coot of
Fiesta TmanalarAprasrnsnt ann Dladeaura tltapIoualaJ II-.a
the jiuthatad Indlaldualta alpnlnp nina aclomn4edpe mat ma Financial InatItnIlun pwaskd at tonal ann copyalthaaodanadt
aaontdooenanla
Important Under penalties or parunj certiFy that the numburthown aiaova tsmy correct tatpayar ldantltldatlon
t1
backup withholding notbaati
Far IrmiruSana toe JrflenlaI Revenue snMco Fecot 1t9.that Jo ablo thu financial lnsilhhtlan
___ji
taiStene
Soc5.cNo
DaIaotfihrttm
IDleLdI
Ndanpsbaa ais..aa.tus..4
Mdrees
Tatnphona
Soc 5s Na
OnlraoFDblll
IDiot_Il
TDBANK0001 620
Case 1:10-cv-02031-DLI -JMA Document 45-24 Filed 06/18/10 Page 3 of 4
Page of
EPE INSTRUC11ONS
43W 33RD ST STE 600 NEW YORK NY 10001-
Each of the authorized individuals certify that have all required to act with to this accounts and jointly and severally
they authority reapect
agree to Indemnify and hold Bank harmless from and against any loss or damage artstng from such authority or lack thereof Bantc has no
responsibility or duty to assure or verify that Authorized individuals have or are acting within the authority given them by the authorizing
amended by BantC from time to time Bath of the Autnoflzed Individuals signing also acknowledge that Bank- provided at least one of these deposit
copy
account doojmonta
I/We acknowledge and undemtand that TI Banknorih or Commerce Bank are trade names of TI Bank NA tWa further acknowledge and understand that
for FOIC insumnca purposes myleur deposits are not separately insured from any other deposits Me may have at TO Banknorth or Commerce Bank
Important Under penalties of perjury certify that the number shown above ts my correct taxpayer identificaltor
number tam U.S person Including U.S resident alien and that check appropriate box
tam not suttjecttobackuwilfihofdthg because am miitmpt fratn backup withholding or beau lrhve not b.Viiilled
the IRS thatlam subjeptto backup withholding asa result of failure to report
all ntere or dividends or because the iRS hM
notified me that lam nb longer subject to backup.withhoiding
.1
tam subject to backup withhoidin l__
ktwtdsfrreant
EISENBERG rei
PrintName Pft Name
Mdress
Tnlephone
Soc Sec No
J- Date of Birth
fD/OL
Address
Telephone
Soc Sec No
Dateof Birth
iOlOL
TDBANK0001 490
Page of Case 1:10-cv-02031-DLI -JMA Document 45-24 Filed 06/18/10 Page 4 of 4
sPECIAL IN5TRUCnONs
43W 33RD ST SUiTE 600 NEW YORK NY 10001-
Each of the authorized individuals certify that they have all required authority to act with respect to this accounts and jointly and severally
agree to indemnify and hold Bank harmless from and against any toss or damage arising from such authority or lack thereof BanW has no
responsibility or duty to assure or verify that Authorized individuals have or are within the them
acting authority given by the authorizing
document or that such authorizing document is genuine or valid even if tank has seen or retained copy of such document
The Authorized and to the terms set the Account Rules and Disclosure as
individuals signing agrees jointly severally if multiple signers forth in Deposit
amended by i3anlr from tme to time Each of tha AuthorIzed lndividuats signing also acknowledge that tank provided at least one copy of these deposit
account documents
I/We acknowledge and understand that TO Baeknerth or Commerce Bank are trade names of TO Bank I/We hirther acknowledge pad understand that
for FOlD insurance purposes my/our deposits are not separataty insured from any other deposits I/we may have at TO Bankaolh or Commerce Bank
Important Under penalties of perjury certify that the number shown above is roy correct taxpayer Identification
number am U.S person tnctudtng U.S resident alters and that check appropriate box
IZI am not subjed to backup Withholding tuae ath exempt frbm backupwiifholding or because havenot beenndtilted by ll
the IRS that am subject to backup withholding as result of failure to report all tnterest or dividends or because the IRS has
iarhsubjecttabackupwtthholding
For instmction- seetnternai Revenue Seivice FormW-9 that is available at the tirianciat Institution 4.- 4U-
AteSd Peratn
Address
Telephone
Soc Sec.No
Date of Birth
ioiot ii
Aemled eqete4
Address
Telephone
Soc Sec No
Date of Birth
ID/DL
TDBANK0001 563
Case 1:10-cv-02031-DLI -JMA Document 45-25 Filed 06/18/10 Page 1 of 17
Plaintiff
CV-lO-2031
Defendants
EXHIBIT
Case 1:10-cv-02031-DLI -JMA Document 45-25 Filed 06/18/10 Page 2 of 17
JOEL PENSLEY
at Law
March 15 2007
Ladies/Gentlemen
RM
respect pursuant
In connection with the opinion expressed below have examined and considered such corporate
records certificates and other statements of corporate officers of EM and Spongetech and matters of law
The opinions expressed herein are subject to the fotlowi.ng assumptions limitations qualification
and cxccptions
have assumed the genuineness of all signatures the authenticity of all documents
submitted to me as originals the conformity with originals of all documents submitted to
me as copies the authenticity of certificates of public officials and the due authorization
As to my opinion regarding the valid existence and good standing of RM and Spongetech
have relied solely upon certificates of officers of RM and Spongetech
investigation to determine the existence or absence of any fact and no inference as to my knowledge of
the existence or absence of any fact should be drawn from my representation of RM and Spongetechor
RM and Spongetech are corporations validly existing and in good standing under the laws of the
State of Delawate and are duly qualified as foreign corporations to do business and is in good standing in
each jurisdiction in which the nature of the business conducted by it makes such qualification necessary
and in which the failure to so qualify would have material adverse effect on the business operations
financial condition or results of operations taken as whole Material Adverse Effect
OM02030
Case 1:10-cv-02031-DLI -JMA Document 45-25 Filed 06/18/10 Page 3 of 17
RM has the requisite corporate power and authority to spin them off ratably to its
stockholders
the issuance and delivery of the shares by the Spongetech and the spinning off of
The tiadability of the spun-off shares is addressed by Staff Legal Bulletin No published by the
Securities and Exchange Commission Division of Corporation Finance on September 16 1997 the
Bulletin
The Bulletin defines spin-off as the situation where parent company distributes shares of
The Bulletin states that the subsidiary Spongetech does not have to register spin-off under the
the parent shareholders do not provide consideration for the spun-off shares
the spin-off is
pro-rata to the parent shareholders
the parent provides adequate information about the spin-off and the subsidiary to its shareholders
if the parent spins-off restricted securities it has held those securities for at least two years
Adequate information
If the subsidiary is
reporting company the parent may provide less information about the spin
off to its shareholders than if the subsidiary were nonreporting In this situation the parent provides
the subsidiary has been subject to the Exchange Act reporting requirements for at least 90 days
the parent gives its shareholders information about the ratio it used to compute the number of
shares distributed for each share held how it will treat fractional shares and the spin-offs
which match three of the valid business purposes as set forth in the Bulletin These include the
following
providing employees of each business stock-based incentives linked solely to his or her
employer
enhancing access to financing by allowing the financial community to focus separately on each
business
Management has informed me that RM has held the commoo stock of Spongetech for period of
at least two years notice containing the terms and conditions of the distribution will be distributed to
all RM stockholders
OM-02031
Case 1:10-cv-02031-DLI -JMA Document 45-25 Filed 06/18/10 Page 4 of 17
Under the eiicuuistances am of the opinion that certificates representing the shares of the
Spongetech common stock may be spun-off ratably to the stockholders of kM and may be issued
This opinion is furnished as of the date hereof and assume no obligation to update this opinion
or to advise you of any events circumstances or developments that occur or are otherwise brought to my
attention subsequent to the date hereof This opinion is furnished to you solely for your benefit in
JocI Pensley
OM 02032
Case 1:10-cv-02031-DLI -JMA Document 45-25 Filed 06/18/10 Page 5 of 17
Joel Pensley
250000 shares
lrvirigton 07111
Torrance CA 90501
20000 shares
OM 02033
Case 1:10-cv-02031-DLI -JMA Document 45-25 Filed 06/18/10 Page 6 of 17
JOEL PENSLEY
Attorney at Law
April 23 2007
Ladies/Gentlemen
This opinion is written with respect to the issuance of certificates without legends pursuant to
In connection with the opinion expressed below have examined and considered such corporate
records certificates and other statements of corporate officers of RiM and Spongetech and matters of law
The opinions expressed herein are subject to the following assumptions limitations qualification
and exceptions
have assumed the genuineness ot all signatures the authenticity of all documents
submitted to mc as originals the conformity with originals of all documents submitted to
me as copies the authenticity of certificates of public officials and the due authorization
bi As to my opinion regarding the valid existence and good standing of RM and Spongetech
Except to the extent expressly set forth herein have not undertaken any independent
investigation to determine the existence or absence of any fact and no inference as to my knowledge of
the existence or absence of any fact should be drawn from my representation of RM and Spongetechor
RM and Spongetech are corporations validly existing and in good standing tinder the laws of the
State of Delaware and are duly qualified as foreign corporations to do business and is in good standing in
each jurisdiction in which the nature of the business conducted by it makes such qualification necessary
and in which the failure to so qualify would have material adverse effect on the business operations
OM -01614
Case 1:10-cv-02031-DLI -JMA Document 45-25 Filed 06/18/10 Page 7 of 17
RM has the requisite corporate power and authority to spin them off ratably to its
stockholders
the issuance and delivery of the shares by the Spongetech and the spinning off of
The tradability of the spun-off shares is addressed by Staff Legal Bulletin No published by the
Securities and Exchange Commission Division of Corporation Finance on September 16 1997 the
Bulletin
The Bulletin defines spin-off as the situation where parent distributes shares of
company
subsidiary to the parent companys shareholders
The Bulletin states that the subsidiary Spongetech does not have to register spin-off under the
the do
parent shareholders not provide consideration for the spun-off shares
the parent provides adequate information about the spin-off and the subsidiary to its shareholders
the parent has valid business purpose for the spin-off and
if the parent spins-off restricted securities it has held those securities for at least two years
Adequate Information
If the subsidiary is reporting company the less information about thc spin
parcnt may provide
off to its shareholders than if the subsidiary were nonreporting In this situation the parent provides
the subsidiary hes bccn subject to the Exchange Act reporting requirements for at least 90 days
the parent shareholders information about the used compute the number of
its ratio to
gives it
shares distributed for each share held how it will treat fractional shares and the spin-oils
which match three of the valid business as set forth in the Bulletin These include the
purposes
following
providing employees of each business stock-based incentives linked solely to his or her
employer
enhancing access to financing by allowing the financial community to focus separately on each
business
OM -01615
Case 1:10-cv-02031-DLI -JMA Document 45-25 Filed 06/18/10 Page 8 of 17
Management has informed me that RM has held the common stock of Spongetech for period of
at least two years notice containing the teEms and conditions of the distribution will be distributed to
all RM stockholders
Under the circumstances am of the opinion that certificates representing the shares of the
Spongetech common stock may be spun-off ratably to the stockholders of RM and may be issued
This opinion is furnished as of the date hereof and assume no obligation to this
update opinion
or to advise you of any events circumstances or developments that occur or are otherwise
brought to my
attention subsequent to the date hereof This opinion is fumished to for benefit in
you solely your
connection with the transactions by the documents and not be
contemplated may used circulated
quoted or otherwise referred to or relied upon by any other person other than broker deal which is
selling the securities in market transactions or the transfer agent of Spongetechs securitiS This opinion
is expressly limited to the matters set forth above and render no opinion whetherby implication or
Joel Pensley
OM-01616
Case 1:10-cv-02031-DLI -JMA Document 45-25 Filed 06/18/10 Page 9 of 17
JOEL PENSLEY
May 18 2007
Ladies/Gentlemen
This opinion is written with respect to the issuance of certificates without legends to Joel Pens ley
Michael and Donna French William
Young and Flo Weinberg Inc as stated in letter dated May 15
2007 of RM Enterprises International Ltd pursuant to spin-off to the stockholders of RM Enterprises
International Inc NMRM of Spongetech Delivery Systems Inc Spongetech held by RM for period
in excess of two years is
nonreporting private company and Spongetech is
reporting public
company This opinion is written in order for Olde Monmouth Stock Transfer Co Inc to issue
certificates in the names and in the number of shares as provided by RM in the above-cited letter
without legends
In connection with the opinion expressed below have examined and considered such corporate
records certificates and other statements of corporate officers of RM and Spongetech and matters of law
The opinions expressed herein are subject to the following assumptions limitations qualification
and exceptions
have assumed the genuineness of all signatures the aulhenticity of all documents
submitted tome as originals the conformity with originals of all documents submitted to
me as copies the authenticity of certificates of public officials and the due authorization
As to my opinion regarding the valid existence and good standing of N.M and Spongetech
have relied solely upon certificates of officers of RM and Spongetech
Except to the extent expressly set forth herein have not undertaken any independent
investigation to determine the existence or absence of any fact and no inference as to my knowledge of
the existence or absence of any fact should be drawn from my representation of RM and Spongetechor
Based upon the foregoing and subject to the assumptions limitations qualifications and
N.M and Spongetech are corporations validly existing and in good standing under the laws of the
Stale of Delaware and are duly qualified as foreign corporations to do business and is in good standing in
each jurisdiction in which the nature of the business conducted by it makes such qualification necessary
and in which the failure to so quaIif would have material adverse effect on the business operations
g3
OM -01333
Case 1:10-cv-02031-DLI -JMA Document 45-25 Filed 06/18/10 Page 10 of 17
Spongetech had the requisite corporate power and authority to issue the shares and
KM has the requisite corporate power and authority to spin them off ratably to its
stockholders
the issuance and delivery of the shares by the Spongetech and the spinning off of
The tradability of the spun-off shares is addressed by Staff Legal Bulletin No published by the
Securities and Exchange Commission Division of Corporation Finance on September 16 1997 the
Bulletin
The Bulletin defines as the situation wherc parent distributes shares of
spin-off company
subsidiary to the parent companys shareholders
The Bulletin states that the subsidiary Spongetech does not have to register spin-off under the
the parent shareholders do not provide consideration for the spun-off shares
the parent has valid business purpose for the spin-off and
if the parent spins-off restricted securities it has held those securities for at least two years
Adequate information
If the subsidiary is reporting company the parent may provide less infonnation about the spin
off to its shareholders than if the subsidiary were nonreporting In this situation the parent provides
the subsidiary has been subject to the Exchange Act reporting requirements for at least 90 days
the parent gives its shareholders information about the ratio it used to compute the number of
shares distributed for each share held how it will treat fractional shares and the spin-off
following
providing employees of each business stock-based incentives linked solely to his or her
employer
enhancing access to financing by allowing the financial community to focus separately on each
business
OM -01334
Case 1:10-cv-02031-DLI -JMA Document 45-25 Filed 06/18/10 Page 11 of 17
Management has informed me that P.M has held the common stock of Spongetech for period of
at least two years notice containing the terms and conditions of the distribution Will be distributed to
all RM stockholders
Under the circumstances am of the opinion that certificates representing the shares of the
Spongetech common stock may be spun-oft ratably to the stockholders of RM and may be issued
This opinion is ftiraished as of the date hereof and assume no obligation to update this opinion
or to advise you of aay events circumstances or developments that occur or are otherwise brought to my
attention subsequent to the date hereof This opinion is furnished to you solely for your benefit in
quoted or otherwise referred to or relied upon by any other person other than broker deal which is
selling the securities in market transactions or the tmnsfer agent of Spongetechs securities This opinion
is expressly limited to the matters set forth above and render no opinion whether by implication or
Joel Pensley
OM-01335
Case 1:10-cv-02031-DLI -JMA Document 45-25 Filed 06/18/10 Page 12 of 17
5/15/07
Mr Christopher Troster
200Memorial Parkway
Atlantic Highlands New Jersey 07716
Hello Chris
Please issue stock to these people with the no legend free trading
As discussed have included the corporate resolution copy of legal opinion which you
should have COMING FROM JOEL PENSLEY Please bill spongetech for this
tram
10000 shares
236SMAINS1REET
SALT LAKE CITY UT 84101
801-415-0513
OM-01326
Case 1:10-cv-02031-DLI -JMA Document 45-25 Filed 06/18/10 Page 13 of 17
___
William Young
Please send all COPIES OF cert back to the Office should have balance left
41 6500000
Enterprises tnt Ltd
Ave Suite 2204
Steven Moskowitz
CFO
OM01327
Case 1:10-cv-02031-DLI -JMA Document 45-25 Filed 06/18/10 Page 14 of 17
JOEL PENSLEY
Law
June 19 2007
Ladies/Gentlemen
RM
respect legends pursuant
Systems Inc Spongetech held by RM for period in excess of two years RN is nonreporting
provided by RM to Joel Pensley Mazuma Corp and Flo Weinberg inc pursuant to tbe list attached to
In connection with the opinion expressed below have examined and considered such corporate
records certificates and other statements of corporate officers of Rlvl and Spongetech and matters of law
The opinions expressed herein are subject to the following assumptions limitations qualification
and exceptions
have assumed the genuineness of all signatures the authenticity of all documents
submitted to me as originals the conformity with originals of all documents submitted to
me as copies the authenticity of certificates of public officials and the due authorization
As to my opinion regarding the valid existence and good standing of RN and Spongetech
have relied solely upon certificates of officcrs of RN and Spongetech
Except to the extent expressly set forth herein have not undertaken any independent
KM and Spongetech are corporations validly existing and in good standing under the laws of the
State of Delaware and are duly qualified as foreign oorporations to do business and is in good standing in
each jurisdiction in which the nature of the business conducted by it makes such qualification necessary
and in which the failure to so qualify would have material adverse effect on the business operations
OM 00750
Case 1:10-cv-02031-DLI -JMA Document 45-25 Filed 06/18/10 Page 15 of 17
Spongetech had the requisite corporate power and authority to issue the shares and RM
has the requisite corporate power and authority to spin them off ratably to its
stockholders
the issuance and delivery of the shares by the Spongetech and the spinning off of those
The tradability of the spun-off shares is addressed by Staff Legal Bulletin No published by the
Securities and Exchange Commission Division of Corporation Finance on September 16 1997 the
Bulletin
The Bulletin defines spin-off as the situation where parent company distributes shares of
The Bulletin states that the subsidiary Spongeteeh does not have to register spin-off under the
the parent shareholders do not provide consideration for the spun-off shares
the to the
spin-off is pro-i-ala parent shareholders
the parent provides adequate information about the spin-off and the subsidiary to its shareholders
the parent has valid business purpose for the spin-off and
if the parent spins-off restricted securities it has held those securities for at least two years
Adequate information
If the subsidiary is
reporting company the parent may provide less information about the spin
off to its shareholders than if the subsidiary were nonreporting in this situation the parent provides
the subsidiary has been subject to the Exchange Act reporting requirements for at least 90 days
the parent gives its shareholders information about the ratio it used to compute the number of
shares distributed for each share held how it will treat fractional shares and the spin-off
tax
expected consequences
which match three of the valid business purposes as set forth in the Bulletin These include the
following
providing employees of each business stock-based incentives linked solely to his or her
employer
enhancing access to financing by allowing the financial community to focus separately on each
busines
Managcmcnt has informed mc that RN has hcld the conmion stock of Spongetech for period of
at least two years notice containing the terms and conditions of the distribution will be distributed to
all RN stockholders
OM-00751
Case 1:10-cv-02031-DLI -JMA Document 45-25 Filed 06/18/10 Page 16 of 17
Undei the cirLumstances am of the opinion that certificates representing the shares of the
Spongetech common stock may be spun-off ratably to the stockholders of RN and may be issued
This opinion is flirnished as of the date hereof and assume no obligation to update this opinion
or to advise you of any events circumstances or developments that occur or are otherwise brought to my
attention subsequent to the date hereof This opinion is fbrnished to you solely for your benefit in
connection with the transactions contemplated by the documents and may not be used circulated
quoted or otherwise refened to or relied upon by any other person other than broker deal which is
selling the securities in market transactions or the transfer agent of Spongetechs securities This opinion
is
expressly limited to the matters set forth above and render no opinion whether by implication or
OM-00752
Case 1:10-cv-02031-DLI -JMA Document 45-25 Filed 06/18/10 Page 17 of 17
Tat LTD
Entnises
3505 Ave Suite 2204
6/18/07
Mr Christopher Treater
200Memorial Parkway
Atlantic Highlands New Jersey 07716
Hello Chris
Please issue stock to these people with The no legend free trading
As discussed have included the corporate resolution copy of legal opinion which you
should have COMING FROM JOEL PENSLEY Please bill spongetech for this
transaction
Joel Pensley
50000 shares
___________________
PLEA SE OVER NIGHT TO THEM SHOULD HAVE ADDRESS ON FILE Great Neck Long island
Please send all COPIES OF cert back to thed Office should have balance left
4000000
TYfEEierpnses Int Ltd
cc\
350 Sm Ave Suite 2204
NewYorkNY 10118
Thank you
Steven Moskowit2
pC
CFO
OM 00747
Case 1:10-cv-02031-DLI -JMA Document 45-26 Filed 06/18/10 Page 1 of 9
Plaintiff
CV-1O-2031
Defendants
EXHIBIT
MASTER TRANSACTION JOURNAL
Spongetech From Inception 12/9/02 thru Termination 6/5/09
TR DATE LAST1 FIRST1 LAST FIRST ST CL PRE CERTS CANC-SH PRE ISSUE-SH CERT
TR DATE LAST1 FIRST1 LAST FIRST 6- ST CL PRE CERT CANC-I/SHt PRE ISSUE SH CERTE
SECURITIES INC
SECURITIES INC
SECURITIES CORP
SECURITIES CORP
SECURITIES CORP
SECURITIES CORP
SECURITIES CORP
SECURITIES CORP
SECURITIES CORP
SECURITIES CORP
SECURITIES
Case 1:10-cv-02031-DLI -JMA Document 45-26
CORP
SECURITIES CORP
SECURITIES CORP
MCKINLEY
SECURITIES INC
30
MASTER TRANSACTION JOURNAL
Spongetech From Inception 12/9/02 thru Termination 6/5/09
TR DATE LAST1 FIRST1 LAST FIRST ST CL PRE CERTS CANC4SH PRE ISSUE-ESH CERT
03/16/2007 AN
ENTERPRISES LLC 140000 1418
03/18/2007 D6R
30000 1421
MANAGEMENT INC
03/16/2007 MONTEREY
75000 1424
GRAPHICS
03/16/2007 WALLSTREET
228000 1426
03/16/2007 ENTERPRISES
8250000 1432
INT LTD
200000 1433
Tolal
12000000 12000000
Tolal
8000 8000
ToIaI
25000 25000
Filed 06/18/10 Page 4 of 9
31
MASTER TRANSACTION JOURNAL
Spongetech From Inception 12/9/02 thru Termination 6/5/09
LLC
SECURITIES CORP
SECURITIES CORP
SECURITIES CORP
SECURITIES CORP
SECURITIES CORP
SECURITIES CORP
PIERCE FENNER
SMITH
INCORPORATED
SECURITIES CORP
SECURITIES CORP
SERVICES INC
NT LTD
45
MASTER TRANSACTION JOURNAL
From Inception 12/9/02 thru Termination
Spongetech 6/5/09
TR DATE LAST1 FIRST1 LAST FIRST 8- ST CL PRE CERN CANC-SH1 PRE ISSUE-SH CERT
INVESTOR
SERVICES
FINANCIAL
SERVICES LLC
CO
CO
CO
OUTSOURCING
OUTSOURCING
OUTSOURCING
OUTSOURCING
Filed 06/18/10 Page 6 of 9
OUTSOURCING
46
MASTER TRANSACTION JOURNAL
From thru Termination 6/5/09
Spongetech Inception 12/9/02
TR DATE LAST1 FIRST1 LAST FIRST ST CL PRE CERT CANC SHl PRE ISSUE-SH CERT
LLC
SECURITIES CORP
54
MASTER TRANSACTION JOURNAL
From Inception thru Termination 6/5/09
Spongetech 12/9/02
INC
INT LTD
8000 1683
06/22/2007 CEDE CO
RAUSCHER INC
55
MASTER TRANSACTION JOURNAL
Spongetech From Inception 12/9/02 thru Termination 6/5/09
TR DATE LAST1 FIRST1 LAST FIRST // ST CL PRE CERT CANCSF-Il PRE ISSUE-SH CERT
INT LTD
SERVICES INC
LLC
69
Case 1:10-cv-02031-DLI -JMA Document 45-27 Filed 06/18/10 Page 1 of 7
Plaintiff
CV-1O-2031
Defendants
EXHIBIT
Case 1:10-cv-02031-DLI -JMA Document 45-27 Filed 06/18/10 Page 2 of 7
mt LTD
Enterises
350 5T Ave Suite 2204
New YorkNY 10118
3/15107
Mr Christopher Troster
Hello Chris
Please issue stock to these people with the no legend free trading
As discussed have included the corporate resolution And copy of legal opinion which
Joel Pensley
250000 shares
.1
Mazuma Corp
20 Marshall street
Ervington 0711
LLC Shares
gf Enterprises 140000
OM 02028
Case 1:10-cv-02031-DLI -JMA Document 45-27 Filed 06/18/10 Page 3 of 7
Olp
370 Amapola Ave 104 370 Amapola Ave 104
Torrance CA 90501 Torrance CA 90501
104
ol 37OAmapolaAvenueSuite
torrance CA 90501
Please send all certs back to Office should have balance left 8500000
Enterprises mt Ltd
350 11I Ave Suite 2204 the\/4
2I
NewYorkNYIOll8 LL0
Thank you
-- Pc
Jo
Steven Moskowitz
cc c-U-
CFO
OM 02029
Case 1:10-cv-02031-DLI -JMA Document 45-27 Filed 06/18/10 Page 4 of 7
JOEL PENSLEY
Attorney
March 15 2007
Ladies/Gentlemen
This opinion is written with respect to the issuance of certificates without legends pursuant to
Systems Inc Spongetech held by RM for period in excess of two years is nonreporting
private company and Spongetech is reporting public company This opinion is written in order for Olde
Monmouth Stock Transfer Co Inc to issue certificates in the names and in the number of shares as
In connection with the opinion expressed below have examined and considered such corporate
records certificates and other statements of corporate officers of RM and Spongetech and matters of law
as have deemed appropriate as basis for my opinions set forth below
The opinions expressed herein are subject to the following assumptions limitations qualification
and cxccptions
have assumed the genuineness of all signatures the authenticity of all documents
submitted to me as originals the conformity with originals of all documents submitted to
me as copies the authenticity of certificates of public officials and the due authorization
As to my opinion regarding the valid existence and good standing of RM and Spongetech
have relied solely upon certificates of officers of kM and Spongetech
Except to the extent expressly set forth herein have not undertaken any independent
investigation to determine the existence or absence of any fact and no inference as to my knowledge of
the existence or absence of any fact should be drawn from my representation of RM and Spongetechor
RM and Spongetech are corporations validly existing and in good standing under the laws of the
State of Delaware and are duly qualified as foreign to do business and is in good standing in
corporations
each in which the nature of the business conducted makes such
jurisdiction by ii
qualification necessary
and in which the failure to so qualify would have material adverse effect on the business operations
financial condition or results of operations taken as whole Material Adverse Effect
OM 02030
Case 1:10-cv-02031-DLI -JMA Document 45-27 Filed 06/18/10 Page 5 of 7
the issuance and delivery of the shares by the Spongetech and the spinning off of
The tiadability of the spun-off shares is addressed by Staff Legal Bulletin No published by the
Securities and Exchange Commission Division of Corporation Finance on September 16 1997 the
Bulletin
The Bulletin defines spin-off as the situation where parent company distributes shares of
the shareholders
subsidiary to parent companys
The Bulletin states that the subsidiary Spongetcch does not have to register spin-off under the
the parent shareholders do not provide consideration for the spun-off shares
the parent provides adequate information about the spin-off and the subsidiary to its shareholders
the parent has valid business purpose for the spin-off and
if the parent spins-off restricted securities it has held those securities for at least two years
Adequate Infonnation
If the subsidiary is reporting company the parent may provide less information about the spin
off to its shareholders than if the subsidiary were uonrepomting In this situation the parent provides
the subsidiary has been subject to the Exchange Act reporting requirements for at least 90 days
the parent gives its shareholders information about the ratio it used to compute the number of
shares distributed for each share held how it will treat fractional shares and the spin-off
tax
expected consequences
which match three of the valid business purposes as set forth in the Bulletin These include the
following
providing employees of each business stock-based incentives linked solely to his or her
employer
enhancing access to fmancing by allowing the financial community to focus separately on each
business
Management has informed me that RM has held the common stock of Spongetech for period of
at least two years notice containing the terms and conditions of the distribution will be distributed to
all RM stockholders
OM 02031
Case 1:10-cv-02031-DLI -JMA Document 45-27 Filed 06/18/10 Page 6 of 7
Under the circumstances am of the opinion that certificates representing the shares of the
Spongetech common stock may be spun-off ratably to the stockholders of RM and may be issued
This opinion is furnished as of the date hereof and assunle no obligation to update this opinion
or to advise you of any events circumstances or developments that occur or are otherwise brought to my
attention subsequent to the date hereof This opinion is furnished to you solely for your benefit in
connection with the transactions contemplated by the documents and may not be used circulated
quoted or otherwise referred to or relied upon by any other person other than broker deal which is
selling the securities in market transactions or the transfer agent of Spongeteehs securities This opinion
is
expressly limited to the matters set forth above and render no opinion whether by implication or
Joel Pensley
OM-02032
Case 1:10-cv-02031-DLI -JMA Document 45-27 Filed 06/18/10 Page 7 of 7
250000 shares
lrvington 07111
U-
370 Amapola Ave 104 370 Amapola Ave 104
Torrance CA 90501 Torrance CA 90501
Torrance CA 90501
20.000 shares
OM 02033
Case 1:10-cv-02031-DLI -JMA Document 45-28 Filed 06/18/10 Page 1 of 11
Plaintiff
CV-1O-2031
Defendants
EXHIBTT
April 2007 April 30 2007
99 Wall Street 6th Floor
PAGE OF 27 ..bcL
New York NY 10005
ACCOUNT NUMBER 9-13 _U ARBIE CO Ph 212-269-7271
Financial Services
btrrqnnR-N.vSO.Mnua.uWC
MAZUMA CORP
ATIN CURT KRAMER
BWNFQNP
36SHHFHT13PPO
Your Registered Representative
LYNN GOODMAN .i.i .1.1 I.I.JI .il..i 1.1
212 269-7271
BLOOMINGTON MN 55425-2563
pro ln.2ss.nn
Filed 06/18/10 Page 2 of 11
no 54.255 cv
Account Carried by
Services Lie
See Reverse Side For Tax Information This statement shall he conclusive it not to in
Important objected
Mcmbur New Ycrk Stuck tcc
Exchange
within tnn Errors and omissions Please address all oommunicshons to the tirm and not to individuals
writing days nncepted
vv Water Street Nern York NY on
Address changes or other material on account should be directed to the office account Kindly
changes your semicing your
mention yoer account number ThIs statement should be retained for income tax purposes
ER.ASD.M05B.SeC
MAZUMA CORP
ATIN CURT KRAMER
00.00
SOLD CEMTREX INC 810000 .00312 2467.16
04/12/07
UNSOLICITED
CUSIP 1513DG105
CUSIP 19O57V103
CUSIP 455775108
CUSIP 5073ON1D1
Case 1:10-cv-02031-DLI -JMA Document 45-28
CUSIP 699O1X1D2
CUSIP 746223205
UNSOLICITED
CUSIP 849109103
CUSIP 15130G105
CUSIP 19057V1O3
\EMBER..ASDM0RB.SIPC
MAZUMA CORP
ATIN CURT KRAMER
CUSIP 699O1X102
UNSOLICITED
CUSIP 746223205
UNSOLICITED
CUSIP 830704102
INC
Case 1:10-cv-02031-DLI -JMA Document 45-28
UNSOLICITED
CUSIP 1513OG105
UNSOLICITED
CUSIP 19O57V1O3
SOLD 04/18/07 COUON WESTERN MINING INC 628761DO .00019 11696.27 24000
UNSOLICITED
CUSIP 221737109
CUSIP 29669E100
Filed 06/18/10 Page 4 of 11
NADAl1C0-15
MAZUMA CORP
ATIN CURT KRAMER
SOLD 04/18/07 LEGAL ACCESS TECHNOLOGIES INC 25000 .00317 64.24 15.00
NEW
UNSOLICITED
cU5IP 62464H2O1
SOLD 04/18/07 LAIDLAW ENERGY GROUP INC 2823000 .00078 2146.90 4500
UNSOLICITED
CUSIP 50730N1O1
CENTER INC
UNSOLICITED
CUSIP 63644U1O3
UNSOLICITED
CUSIP 830704102
INC
UNSOLICITED
CUSIP 849109103
CUSIP 151300106
SOLD 04/19/07 CO1TON WESTERN MINING INC 138700000 .000127 17249.63 35500
UNSOLICITED
CUSIP 221737109
TECHNOLOGY CORP
UNSOLICITED
CUSIP 29669E100
Filed 06/18/10 Page 5 of 11
MAZUMA CORP
AUN CURT KRAMER
SOLD 04/19/07 LEGAL ACCESS TECHNOLOGIES INC 200000 .00317 578.99 46.00
NEW
UNSOLICITED
CUSIP 52464H201
CUSIP 5O730N101
CENTER INC
UNSOLICITED
CUSIP 63644U103
UNSOLICITED
CUSIP 74428R109
INC
UNSOLICITED
CUSIP 849109103
CUSIP 15130G105
SOLD 04/20/07 CO1TON WESTERN MINING INC 78625000 .00014 10777.33 220.00
UNSOLICITED
CUSIP 221737109
Filed 06/18/10 Page 6 of 11
\IFM000.XASDMORR.OIPC
MAZUMA CORP
ATIN CURT KRAMER
UNSOLICITED
CUSIPt 744288109
CUSIP 830704102
UNSOLICITED
CUSIP 151300105
CUSIP 221737109
Case 1:10-cv-02031-DLI -JMA Document 45-28
CUSIP 52464H201
CENTER INC
UNSOLICFItD
CUSIP 63644U103
UNSOLICITED
CUSIP 830704102
INC
UNSOLICITED
CUSIP 849109103
UNSOLICITED
CUSIP 151300105
MEM000-400-\ISRe-1Ipc
MAZUMA CORP
ATIN CURT KRAMER
CENTER INC
uNSOLICITED
CUSIP63644U103
COM
UNSOLICITED
CUSIP 741556103
UNSOLICITED
CUSIP 74428R109
UNSOLICITED
CUSIP 630704102
INC
UNSOLICITED
CUSIP 849109103
UNSOLICITED
CUSIP 1S13001OS
SOLD 04/26/07 CO1TON WESTERN MINING INC 1125000 .00019 158.74 4500
UNSOLICITED
CUSIP 221737109
CENTER INC
UNSOLICITED
CUSIP 63644U103
Filed 06/18/10 Page 8 of 11
l0ERNA5DMSRBSHC
MAZUMA CORP
ATIN CURT KRAMER
COM
UNSOLICITED
CUSIP 741556103
UNSOLICITED
CUSIP 74428R109
CORPORATION
UNSOLICITED
CUSIP 73933J107
INC
UNSOLICITED
CUSIP 849109103
UNSOLICITED
CUSIP 151300105
SOLD 04/27/07 CO1TON WESTERN MINING INC 5.000000 .00014 644.98 4500
UNSOLICITED
CUSIP 221737109
SOLD 04/27/07 LEGAL ACCESS TECHNOLOGIES INC 146.700 .00389 515.65 45.00
NEW
UNSOLICITED
CUSIP 52464H201
CENifER INC
UNSOLICITED
Filed 06/18/10 Page 9 of 11
CUSIP 63644U103
MAZUMA CORP
ATIN CURT KRAMER
BWNFQNP
365HHFHT13PPO
I-
Your Registered Representative
212 269-7271
Balance
_______Debit
Total Portfolio Equity $451638.71 $552273.28
0.011%
PTO 14nlnnn
TO
Filed 06/18/10 Page 10 of 11
43.9ev on
Account Carried by
Services Inc
See Reverse Side For Tax Information This statement shall be conclusive if net to in
Important objected
Membnr Num Yvrk Stuck tnc
Exchange
within ten Errors and omissions Please address all communications to the firm and not to individuals
writing days necepted
Saptc Address or other material on account should be directed to the office accoent Kindly
5S \\intur Stinet Ncv York NY 1004t
changes changes your servicing your
mention your account number This statement should be retained Eor income tax purposes
%IEMBER.NSOAISSB.SWC
MAZUMA CORP
ATIN CURT KRAMER
CUSIP 849109103
CUSIP 455778108
CUSIP 151300105
CENTER INC
CUSIP 63644U103
Filed 06/18/10 Page 11 of 11
Plaintiff
CV-lO-2031
Defendants
EXHIBIT
Case 1:10-cv-02031-DLI -JMA Document 45-29 Filed 06/18/10 Page 2 of 17
Page
n7
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
In the Matter of
File No HO 1115
SPONGETECH DELIVERY SYSTEMS INC
Washington D.C
202 4679200
Case 1:10-cv-02031-DLI -JMA Document 45-29 Filed 06/18/10 Page 3 of 17
Page 53
subsidiary
That is correct
10 connection
12 is correct
15 or
21 Yes was
25 around there
Case 1:10-cv-02031-DLI -JMA Document 45-29 Filed 06/18/10 Page 4 of 17
Page 54
Okay so around --
Approximately yes
Okay then --
11 documentation
13 No
15 No no
17 Yes
19 Spongetech
22 Spongetech yes
24 written agreement
25 That is correct
Case 1:10-cv-02031-DLI -JMA Document 45-29 Filed 06/18/10 Page 5 of 17
Page 55
Moskowitz
it
10 What is Astec
14 end of the day would see whether was happy or not It was
20 would have to check but may have had some shares in the
24 2007
Page 79
14 avoid
16 Yes
18 securities
21 did
Page 80
11 restrictive legend
13 Steve had not affiliate people who owned stock and he might
18 from
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Shares or dollars
No dollars dollars
Outofthe-
Out of the shares
2007
10 That is correct
12 how many shares you received in the time frame between 1999
13 and 2007
16 dont know
17 Is it possible
Page 218
Thats correct
Yes
11 Yes
13 The list
17 correct
Page 219
How
mean there are many ways that company can just issue me
15 end
17 BY MS VON ECKARTSBERG
19 Yes
25 No didnt --
Case 1:10-cv-02031-DLI -JMA Document 45-29 Filed 06/18/10 Page 11 of 17
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-- ownership was
transactions when was working with the gate and the answer
ownership
Actually no didnt
10 Securities Inc
11 Yes
15 No
17 No dont
18 Do you have any idea where it is located
19 No
22 RM
23 was told to date yes
24 By Steven Moskowitz
25 Yes
Case 1:10-cv-02031-DLI -JMA Document 45-29 Filed 06/18/10 Page 12 of 17
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In writing
No
In front of anyone
No
previously correct
Yes we have
15 rata distribution
16 No dont
17 Taylor Capital do you know what that is
18 dont know
20 have we not
21 Yes
24 Testaverde
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would you think that they could be that Flo Weinberg could
10 that
11 No dont know
22 transfer
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No dont
Novanet Media
No
Monterey Graphics
No
Lawrence Palmer
No
No dont
10 Did you do anything to determine whether or not
17 No did not
20 at that time
21 No dont
22 Were you ever majority shareholder
23 Absolutely not
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Wait minute
Theyre identical
No
No
12 Absolutely no it is not
13 Is it or is it not
14 No it is not
17 Oh no Im sorry
23 parent yes
25 Yes
Case 1:10-cv-02031-DLI -JMA Document 45-29 Filed 06/18/10 Page 16 of 17
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But you didnt raise that when you read staff legal
That is correct
Page 279
No
He is not my lawyer
No
No
12 Brothers
13 No
14 Cody DeBarge
15 No
19 Carla Hohenhouse
20 No
21 Jae Wang
22 No
23 Sorry thank you Let me just ask you did you ever
25 No