Rule 26 Initial Disclosures
UNITED STATES DISTRICT COURT
SOUTHERN DISTRICT OF NEW YORK
______________________________
NOREX PETROLEUM LIMITED No. 02 Civ. 1499 (LTS)(KNF)
Plaintiff
v.
ACCESS INDUSTRIES, INC.;
Et. al.
Defendants.
______________________________
PLAINTIFF’S RULE 26(a)(1) INITIAL DISCLOSURES
I. INDIVIDUALS LIKELY TO HAVE DISCOVERABLE INFORMATION
THAT MAY BE USED TO SUPPORT NOREX’S CLAIMS:
Plaintiff’s initial disclosure is made without the benefit of any discovery and prior to Defendants’ answers. Plaintiff reserves the right to amend its disclosures to add additional witnesses.
A. Individuals Associated With Plaintiff
1. Phillip Murray
Norex Petroleum Limited
#530 734 7th Avenue SW
Calgary, Alberta T2P P38
Information includes: full knowledge of dispute
2. Alex Rotzang
Norex Petroleum Limited
#530 734 7th Avenue SW
Calgary, Alberta T2P P38
Information includes: full knowledge of dispute
B. Individuals and Entities Affiliated with Defendants
1. Joseph Bakaleynik
730 5th Avenue, 20th Floor
New York, NY 10019
Information includes: full knowledge of dispute and specific relevant conduct of OAO Tyumen Oil Company.
2. Alan Bigman
730th Fifth Avenue, Suite 1906
New York, NY, 10019 USA
Information includes: full knowledge of dispute and specific relevant conduct of entities such as Novy Petroleum Finance Ltd and OAO Tyumen Oil Company.
3. Leonard Blavatnik
1009 Park Avenue, Apt 5A
New York, NY 10028
Information includes: full knowledge of dispute from 1997 to date
4. Gillian Norah Caine
8th Prospect Hill, Douglas,
Isle of Man, IM1 1EJ
Information includes: full knowledge of role of Slush Fund entities in dispute and money laundering activities of entities such as Inverforth Properties Limited, Aston Trustees Limited (f/k/a Aston Corporate Management Limited), Aston Corporate Trustees Limited, Banstead Enterprises Limited, Lamport Trading Limited, Redhill Properties Limited, Ringford Investments Limited, Ringford Shipping Limited, Sandwell Enterprises Limited, Wasdale Limited and Watford Limited.
5. Philip Mark Croshaw
The Avenue
Sark,
Channel Islands
Information includes: full knowledge of role of Crown and Slush Fund entities in dispute and money laundering and tax evasion activities of Crown Trade Limited, Inverforth Properties Limited, Lamport Trading Limited, Redhill Properties Limited, Sandwell Enterprises Limited, Wasdale Limited and Watford Limited.
6. Susan Christine Cubbon
8th Prospect Hill, Douglas,
Isle of Man, IM1 1EJ
Information includes: full knowledge of role of Crown and Slush Fund entities in dispute and money laundering activities of entities such as Inverforth Properties Limited, Aston Trustees Limited (FKA Aston Corporate Management Limited), Aston Corporate Trustees Limited, Banstead Enterprises Limited, Lamport Trading Limited, Redhill Properties Limited, Ringford Investments Limited, Ringford Shipping Limited, Sandwell Enterprises Limited, Wasdale Limited and Watford Limited.
7. Simon Peter Elmont
Le Fregondee,
Sark, Chanell Islands
Information includes: full knowledge of role of Slush Fund entities in dispute and money laundering activities of entities such as Banstead Enterprises Limited, Crown Trade Limited, Inverforth Properties Limited, Lamport Trading Limited, Redhill Properties Limited, Sandwell Enterprises Limited, Wasdale Limited and Watford Limited.
8. Mikhail Fridman
Alfa Group
107078 Moscow,
Mashi Poryvaevoy Str., 9, “G”, Russia
Information includes: full knowledge of dispute and relevant conduct of Alfa-related entities, including OAO Alfa-Bank; Alfa Finance Holdings, SA; Alfa Group Consortium; and OAO Tyumen Oil Company.
9. David Gould
400 Route d-Esch
L-1471
Luxembourg
Information includes: Facts pertaining to involvement of Alfa Finance Holdings, S.A. in money laundering and tax evasion activities.
10. James William Grassik
La Closette, Sark,
Chanell Islands,
GY9 0SB
Information includes: full knowledge of role of Slush Fund entities in dispute and money laundering activities of entities such as Banstead Enterprises Limited, Crown Trade Limited, Inverforth Properties Limited, Lamport Trading Limited, Redhill Properties Limited, Wasdale Limited and Watford Limited.
11. David Kenneth Griffin
97 Cronk Liauyt, Tromode Park, Douglas,
Isle of Man, IM2 5LR
Information includes: full knowledge of role of Slush Fund entities in dispute and money laundering activities of entities such as Aston Trustees Limited (fka Aston Corporate Management Limited), Aston Corporate Trustees Limited, Banstead Enterprises Limited, Lamport Trading Limited, Sandwell Enterprises Limited and Watford Limited.
12. James Harmon
United States
Information includes: History of TNK’s efforts to obtain loan guarantees from Ex-Im Bank, investigations of Chernogorneft bankruptcy in connection with same and current use of proceeds guaranteed by Ex-Im Bank.
13. Linda Jean Howe
179, Woodhouse Road,
London,
N12 9NN, United Kingdom
Information includes: full knowledge of role of Crown entities in dispute and money laundering and tax evasion activities of Crown Commodities Ltd.
14. John Irving
United Kingdom
Information includes: full knowledge of role of Crown and Slush Fund entities in dispute and money laundering and tax evasion activities of Crown Commodities Ltd, Crown Resources, A.G. and Crown Trade and Finance Limited.
15. German Khan
c/o OOO Alfa-Eco
21 Ul. Novy Arbat,
Moscow GSP-2 119992, Russia
Information includes: full knowledge of dispute and relevant conduct of OOO Alfa-Eco and Tyumen Oil Company.
16. Alexander Knaster
c/o Alfa Finance Holdings, S.A.
400 Route d-Esch
L-1471
Luxembourg
Information includes: full knowledge of facts pertaining to involvement of Alfa Finance Holdings, S.A. and various Alfa and Crown companies in money laundering and tax evasion activities.
17. Alfred Reingoldovich Kokh
Montes Auri
ul. Tverskaya 16/2, 6th Floor,
Moscow 10309, Russia
Information includes: full knowledge of dispute from 1997 to date including privatization of TNK and role of Novy Petroleum Finance Ltd.
18. Simon Kukes
106 Central Park South, # 4A
New York, NY 10019
Information includes: full knowledge of dispute from 1998 to date and specific relevant conduct of OAO Tyumen Oil Company; knowledge of facts pertaining to relevant conduct of LT Enterprise, Inc.
19. Alexey Kuzmichev
14 Little Adelphi,
John Adam Street,
London, SW2
Information includes: full knowledge of dispute and relevant conduct of Crown and Slush Fund entities, including money laundering and tax evasion activities from 1994 to the present, and conduct of Alfa Finance Holdings, SA, Crown Resources A.G., Crown Trade and Finance Limited (director), Eastmount Properties Ltd, Lamport Trading Limited and Futura.
20. Joseph Louis Daniel Moss
17 Lime Tree Lodge
Montagu Gardens, Gibraltar
Information includes: full knowledge of role of Slush Fund entities and various Crown companies in dispute and money laundering activities of Banstead Enterprises Limited, Beechville Trading Limited, Crown Group Investments SA, Crown Lux Holdings, Crown Trade and Finance Limited, CTF Holdings Ltd., Fairfax Services Limited, Inverforth Properties Limited, Redhill Properties Limited and Wasdale Limited.
21. Oleg Nam
Nizhnevartovsk, Russia
Information includes: Full knowledge of dispute, including witness intimidation, corruption of Russian court proceedings and illegal takeover of Yugraneft.
22. Pavel Nazarian
1203 Eurotowers,
Gibraltar
Information includes: full knowledge of role of Slush Fund entities in dispute and money laundering activities of entities such as Banstead Enterprises Limited, Inverforth Properties Limited, Redhill Properties Limited and Wasdale Limited.
23. Peter Nesti
Seefeldstrasse 75, 8008,
Zurich, Switzerland
Information includes: full knowledge of role of Crown entities in dispute and money laundering and tax evasion activities of Crown Resources, A.G.
24. Dmitry Plouzhnikov
Timberscombe, 8 Linersh Wood, Bramley,
25 Surrey, GU5 OEE, UK
Information includes: full knowledge of role of Crown and Slush Fund entities in dispute and money laundering and tax evasion activities of Crown Commodities Ltd., CTF Holdings Limited, Novy Petroleum Finance Limited, Redhill Properties Limited and Watford Limited.
25. Vladimir Plouzhnikov
c/o Crown Resources AG
33 Cavendish Square
London
W1M 9HF
United Kingdom
Information includes: Full knowledge of role of Crown entities in dispute and money laundering and tax evasion activities of Crown Trade and Finance Limited, CTF Holdings Limited, Lamport Trading Limited and Eastmount Properties Limited.
26. Bogdanus Bonus Prana
LT Enterprise, Inc.
250 Saffrey Square
Nassau
Bahamas
Information includes: Knowledge of facts pertaining to relevant conduct of LT Enterprise, Inc.
27. Paul Rodzianko
Access Industries, Inc.
730 5th Avenue, 20th Floor
New York, NY 10019
Information includes: Knowledge of facts pertaining to relevant conduct of Access Industries, Inc.
28. Christian Rosenow
Eigenheimstr. 29, 8700 Kusnacht
Liechtenstein
Information includes: Knowledge of facts pertaining to role of Crown Finance Foundation and other Crown entities in entities and money laundering and tax evasion activities.
29. Cristopher Andrew Sayer
c/o Crown Resources AG
33 Cavendish Square
London
W1M 9HF
United Kingdom
Information include: full knowledge of role of various Crown companies in dispute and money laundering activities of Crown Commodities Limited
30. Dr. Norbert Seeger
Rechtsanwalt, Vaduz
Liechtenstein
Information includes: Knowledge of facts pertaining to role of Crown Finance Foundation and other Crown entities in money laundering and tax evasion activities.
31. Elliot Spitz
14 Green Lane
London, NW4 2NN, UK
Information includes: full knowledge of role of Crown and Slush Fund entities in dispute and money laundering and tax evasion activities of Crown Commodities Ltd, Crown Resources, A.G. and Crown Trade and Finance Limited.
32. Alexander Tolchinsky
c/o Alfa Finance Holdings, S.A.
400 Route d-Esch
L-1471
Luxembourg
Information includes: Facts pertaining to involvement of Alfa Finance Holdings, S.A. in money laundering and tax evasion activities.
33. Victor Vekselberg
111 West 67th Street, Apt 30A
New York, NY 10023
Information includes: full knowledge of dispute and relevant conduct of AS Naftaco Industrial Partners Limited, Renova Inc., ZAO Renova and OAO Tyumen Oil Company.
34. John Whitehead
United Kingdom
Information includes: full knowledge of role of Crown and Slush Fund entities in dispute and money laundering and tax evasion activities of Crown Commodities Ltd, Crown Resources, A.G. and Crown Trade and Finance Limited.
35. Paul Joseph Williams
La Colombier, Sark, Channel Islands,
UK, GY 9 OSF
Information includes: knowledge of dispute and relevant conduct of Alfa Finance Holdings, SA from at least 1999 to date.
36. Franz Wolf
211, Portland House,
Glacis Road, Gibraltar
Information includes: full knowledge of role of Crown entities in dispute and money laundering and tax evasion activities of CTF Holdings Ltd.
C. Third-Party Witnesses
1. Dr. Samuel M. Bennett
BP p.l.c.
1 St James's Square
London
SW1Y 4PD
Information includes: Full knowledge of manner in which TNK and other Alfa-related entities illegally acquired an interest in various subsidiaries of Sidanko and harmed American and other Western investors thereby.
2. David Chalmers
Custodian of Records
Bayoil (USA), Inc.
909 Texas St., Ste. 202
Houston, TX 77002
Information includes: Knowledge of facts and documents pertaining to the international tax evasion and money laundering schemes.
3. Howard Chase
BP Amoco
Washington, DC
Information includes: Full knowledge of manner in which TNK and other Alfa-related entities illegally acquired an interest in various subsidiaries of Sidanko and harmed American and other Western investors thereby.
4. Alistair Graham
BP p.l.c.
1 St James's Square
London
SW1Y 4PD
Information includes: Full knowledge of manner in which TNK and other Alfa-related entities illegally acquired an interest in various subsidiaries of Sidanko and harmed American and other Western investors thereby.
5. Nikolay Gulidov
Arbat, 35, office 627
Moscow 121835
Information includes: full knowledge of facts pertaining to forgery of corporate documents.
6. Jim Housman
Larnaca, Cyprus
Information includes: Knowledge of facts pertaining to armed takeover of Yugraneft Base in the Malo-Chernogor Oil Field.
7. Lyudmilla Kondrashina
Arbat, 35, office 627
Moscow 121835
Information includes: full knowledge of dispute
8. Vladimir Mekler
World Trade Center, entrance 3 (Mercury), room 1805
Krasnopresnenskaya nab., 12
123610, Moscow, Russia
Information includes: Knowledge of facts pertaining to the June 28, 2001 Yugraneft shareholder meeting.
9. Lyle Nelson
Halliburton Energy Services
10200 Bellaire Blvd
Houston, TX 77072
Information includes: Knowledge of facts pertaining to armed takeover of Yugraneft’s Malo Chernogor base and efforts to force Yugraneft employees to enter employment contracts with TNK.
10. Zinaida Pushkarenko
Nizhnevstovsk
Tyumen Region, Russia
Information includes: Knowledge of facts pertaining to attempted bribery, threats of violence against her person and orchestration of criminal charges against Kondrashina.
11. Alexander Radov
Yugraneft Corporation
Arbat, 35, office 627
Moscow 121835
Information includes: Knowledge facts pertaining to witness tampering and intimidation.
12. Phil Rogers
Canada
Information includes: Knowledge of facts pertaining to armed takeover of Yugraneft’s Malo Chernogor base and efforts to force Yugraneft employees to enter employment contracts with TNK.
13. Robert Shepard
BP Amoco
535 Madison Avenue
New York, NY 10022
Information includes: Full knowledge of manner in which TNK and other Alfa-related entities illegally acquired an interest in various subsidiaries of Sidanko and harmed American and other Western investors thereby.
14. Byron Sprawls
Halliburton Energy Services
10200 Bellaire Blvd
Houston, TX 77072
Information includes: Knowledge of facts pertaining to armed takeover of Yugraneft’s Malo Chernogor base and efforts to force Yugraneft employees to enter employment contracts with TNK.
15. Lory Sultanov
Canada
Information includes: Knowledge of facts pertaining to armed takeover of Yugraneft’s corporate office in Nizhnevartovsk on June 29, 2002, including acts of intimidation, destruction of evidence and cutting off of all means of communication.
16. Alexey Timoshkin
Law Firm Mir, Moscow
Information includes: Knowledge of facts pertaining to witness tampering and intimidation.
17. Custodian of Records
ABN Amro Bank, New York (an affiliate of ABN Amro North America, Inc.)
500 Park Avenue
New York, NY 10022
Information includes: Transactions and money laundering activities of Slush Fund entities and specific involving LT Enterprise Limited, Crown Trade and Finance Ltd. and Flora-Moskva Bank.
18. Custodian of Records
Bank of New York
1 Wall Street
New York, NY 10286
Information includes: Records pertaining to damage to use holders of ADRs of Chernogorneft as a result of the corrupt bankruptcy and subsequent stripping of assets of Chernogorneft.
19. Custodian of Records
Chase Manhattan
One Pennsylvania Plaza
New York, NY 10001
Information includes: Knowledge of documents pertaining to TNK’s use of Ex-Im Bank loans and objections to same by U.S. State Department
20. Custodian of Records
Commerzbank, AG
2 World Financial Center, Fl 33
New York, NY 10281-1008
Information includes: Knowledge of documents pertaining to TNK’s use of Ex-Im Bank loans and objections to same by U.S. State Department
21. General Counsel
Depository Trust & Clearing Corporation
55 Water Street
New York, New York 10041
Information includes: Records pertaining to damage to use holders of ADRs of Chernogorneft as a result of the corrupt bankruptcy and subsequent stripping of assets of Chernogorneft.
22. Custodian of Records
Deutsche Bank AG (fka Bankers Trust of New York )
31 West 52nd Street
29th Floor
New York, NY 10019-6160
Information includes: Transactions and money laundering activities of Slush Fund entities and specific transactions involving LT Enterprise Limited, Crown Trade and Finance Ltd. and foreign correspondent banks, such as Lateko Bank and Flora-Moskva Bank.
23. Custodian of Records
National Westminster Bank (aka “NatWest”)
101 Park Avenue
New York, NY 10178
Information includes: Financial Transactions and money laundering activities of Sandwell Enterprises and Eastmount Properties Limited.
24. Custodian of Records, Responsible Auditors
Pricewaterhouse Coopers, LLC
1301 Avenue Of The Americas
New York, NY 10019
Information includes: Knowledge of accounting treatment of transactions related to case and relationships among Slush Fund entities and Alfa Group Consortium, including treatment of LT Enterprises as a “related party” for financial reporting purposes.
25. Custodian of Records, Director
Simpson, Spence & Young
46 Southfield Avenue
Three Stamford Landing
Suite 100
Stamford, CT 06902
Information includes: Knowledge of facts and documents pertaining to fraudulent payment of “address commissions” to Slush Fund companies.
26. Custodiam of Records
TotalFinaElf Services, Inc.
444 Madison avenue - 42nd floor
New York - NY 10022
Information includes: Knowledge of documents pertaining to TNK’s use of Ex-Im Bank loans and objections to same by U.S. State Department; knowledge of facts and documents pertaining to the international tax evasion and money laundering schemes.
27. Directors and Custodian of Records
TPT Ltd.
Cayman Islands
Information includes: Full knowledge of manner in which TNK and other Alfa-related entities illegally acquired an interest in various subsidiaries of Sidanko and harmed American and other Western investors thereby.
II. CATEGORIES AND LOCATION OF DOCUMENTS:
1. Documents related to formation of Yugraneft, including, but not limited to, copies of agreements, corporate documents, correspondence and facsimiles.
2. Documents related to corrupt TNK privatization, including, but not limited to, copies of agreements, government decrees, court pleadings and decisions, correspondence, reports, and facsimiles. <
3. Documents related to corrupt Russian bankruptcies including, but not limited to, copies of agreements, court pleadings and decisions, correspondence, and facsimiles.
4. Documents related to Blocking of the Ex-Im Loan Guarantees to TNK, including, but not limited to, copies of correspondence, agreements, facsimiles and e-mails.
5. Documents related to the disputes over oil owed to Yugraneft, including, but not limited to, copies of agreements, court pleadings and decisions, correspondence and facsimiles.
6. Documents related to takeover of Yugraneft by TNK and/or its affiliates, including, but not limited to, corporate documents, court pleadings and decisions, correspondence and facsimiles.
7. Documents related to stripping of Yugraneft assets, including, but not limited to, bank account documents, promissory notes, correspondence and facsimiles.
8. Documents related to criminal proceedings brought in Russia against Kondrashina, Norex, and its executives.
9. Documents relating to the existence and operations of various Slush Fund companies, including, but not limited to, corporate documents, invoices, correspondence, facsimiles and e-mails.
10. Documents relating to the money laundering and tax evasion activities of the defendants (including existence and operation of various Slush Fund companies), including, but not limited to, corporate documents, invoices, correspondence, and various e-mails.
11. Documents related to the action brought by Yugraneft in Russia after commencement of this action against Norex including court pleadings and decisions.
All of the aforesaid documents are located at the Norex Petroleum Limited document repositories at the following addresses:
#530 734 7th Avenue SW
Calgary, Alberta, T2P 3P6
Nicolaou Pentadromos Centre
Office 908, Block A
P.O. Box 123
Limassol, Cyprus
Arbat, 35 Office 627
Moscow 121835
III. COMPUTATION OF DAMAGES
Norex has suffered damages, as follows:
(1) The value of its shares in Yugraneft, which would be equal to 97% the value of the assets (i.e. physical plant, offices, equipment, oil reserves, accounts receivable) less liabilities of Yugraneft. The approximate value of the major assets of Yugraneft were the following:
· Cash & Investments $40.4 million
· Malo-Chernogorneft Oil field $85.3 million
· Eastern oil field $76 million
· Chernogorneft Oil Debt
Principal $11.2 million
Interest $170.6 million to $1,457 million
· NNG Oil Debt
Principal $16.3 million
Interest $12.4 million to $18.6 million
· Drilling service business $22.2 million
· ESP Supply business $ 5.2 million
· Oil Field Service business $ 38.4 million
Total: $478 million to $1,770.6 million
Note: Interest on the oil debt is calculated at the applicable Russian statutory interest rate compounded annually (minimum) and monthly (maximum)
(2) Approximately $18.7 million in accounts receivable and lost profits related to the management and supply contract between Norex and Yugraneft which was breached when Defendants took control of Yugraneft.
(3) Approximately $3.3 million in legal fees incurred in attempting to preserve Norex’s interest in Yugraneft through prosecution or defense of actions in various courts.
Total damages: $500 million to $1,792.6 million
IV. INSURANCE
Plaintiff, at this time, is not aware of any insurance agreement under which any persons carrying on an insurance business may be liable to satisfy all or part of a judgment which may be entered in favor of Plaintiff or to indemnify or reimburse Defendants for payments to satisfy the judgment.
Dated: October 14, 2002 By:________________________________
Bruce S. Marks
David A. Niles
MARKS & SOKOLOV, LLC
1835 Market Street, 28th Floor
Philadelphia, PA 19103
(215) 569-8901
Harris N. Cogan
BLANK ROME TENZER GREENBLATT
405 Lexington Avenue
New York, NY 10174
(212) 885-5000
ATTORNEYS FOR PLAINTIFF
NOREX PETROLEUM LIMITED