EXHIBIT 2.1
CONFIDENTIAL
ASSET PURCHASE AGREEMENT
BY AND BETWEEN
UNITED STATES FILTER CORPORATION,
U.S. FILTER DISTRIBUTION GROUP, INC.
AND
BLUE ACQUISITION CORP.
dated
SEPTEMBER 12, 2002
TABLE OF CONTENTS
Page
----
ARTICLE I DEFINITIONS; CONSTRUCTION ................................. 1
1.1 Definitions .............................................. 1
1.2 Construction ............................................. 9
ARTICLE II THE TRANSACTION .......................................... lO
2.1 Sale and Purchase of Assets .............................. lO
2.2 Retained Assets .......................................... l0
2.3 Assumption of Obligations ................................ 11
2.4 Retained Obligations ..................................... 12
2.5 Purchase Price ........................................... 13
2.6 Closing .................................................. 13
2.7 Payment .................................................. 14
2.8 Purchase Price Adjustment ................................ 14
2.9 Procedures for Calculating and Paying the Purchase Price
Adjustment ............................................... 14
2.10 Allocation of Purchase Price ............................. 16
ARTICLE III REPRESENTATIONS AND WARRANTIES OF DISTRIBUTION .......... 16
3.1 Organization and Authority ............................... 16
3.2 Authorization; Enforceability ............................ 17
3.3 Title to Purchased Assets ................................ 17
3.4 No Violation of Laws or Agreements; Consents ............. 17
3.5 Financial Statements ..................................... 18
3.6 No Changes ............................................... 18
3.7 Taxes .................................................... 19
3.8 Rights in Assets ......................................... 21
3.9 No Pending Litigation .................................... 21
3.10 Compliance With Law; Permits ............................. 22
3.11 Labor Matters ............................................ 22
3.12 Intellectual Property Rights ............................. 22
3.13 Employees; Employee Related Agreements and Plans; ERISA .. 24
3.14 Environmental Matters .................................... 27
3.15 Intentionally Omitted .................................... 28
3.16 Material Contracts ....................................... 28
3.17 Intentionally Omitted .................................... 28
3.18 Insurance ................................................ 28
3.19 Absence of Undisclosed Liabilities ....................... 29
3.20 Disclaimer of Warranties ................................. 29
ARTICLE IV REPRESENTATIONS AND WARRANTIES OF USF .................... 29
4.1 Organization and Authority ............................... 29
4.2 Authorization; Enforceability ............................ 29
4.3 No Violation of Laws or Agreements; Consents ............. 30
i
4.4 Brokers, Finders, Etc. ................................... 30
4.5 Disclaimer of Warranties ................................. 30
ARTICLE V REPRESENTATIONS AND WARRANTIES OF BUYER ................... 31
5.1 Organization ............................................. 31
5.2 Authorization; Enforceability ............................ 31
5.3 No Violation of Laws; Consents; Creditors ................ 31
5.4 No Pending Litigation or Proceedings ..................... 31
5.5 Brokers, Finders, Etc .................................... 32
5.6 Financial Ability ........................................ 32
ARTICLE VI ACTIONS PRIOR TO CLOSING DATE ............................ 32
6.1 Access to Information .................................... 32
6.2 Notifications ............................................ 33
6.3 Consents of Third Parties ................................ 33
6.4 Filings Under the HSR Act ................................ 33
6.5 Operations Prior to Closing Date ......................... 34
6.6 Negotiations ............................................. 35
6.7 Guaranty and Surety Obligations .......................... 35
6.8 Termination of Receivables Purchase Facility ............. 36
6.9 Financial and Banking Information ........................ 36
6.10 Financing ................................................ 36
ARTICLE VII ADDITIONAL AGREEMENTS ................................... 36
7.1 Use of Names ............................................. 36
7.2 Tax Matters .............................................. 37
7.3 Employees and Employee Benefit Plans ..................... 38
7.4 Multiemployer Plan ....................................... 42
7.5 No Public Announcement ................................... 44
7.6 Expenses ................................................. 44
7.7 Books and Records ........................................ 44
7.8 Solvency ................................................. 45
7.9 Policy Claims ............................................ 45
7.10 Non-Competition and Non-Solicitation ..................... 45
7.11 American Express ......................................... 47
ARTICLE VIII CONDITIONS TO CLOSING; TERMINATION ..................... 47
8.1 Conditions Precedent to Obligation of Buyer .............. 47
8.2 Conditions Precedent to Obligation of USF and Distribution 49
8.3 Termination .............................................. 49
ARTICLE IX INDEMNIFICATION .......................................... 50
9.1 Survival of Representations and Warranties ............... 50
9.2 General Indemnification .................................. 50
9.3 Procedures ............................................... 53
9.4 Consequential Damages .................................... 54
9.5 Sole Remedy .............................................. 54
ii
ARTICLE X MISCELLANEOUS ............................................. 54
10.1 Further Assurances ....................................... 54
10.2 Notices .................................................. 55
10.3 Assignment; Governing Law ................................ 56
10.4 Amendment and Waiver ..................................... 58
10.5 Entire Agreement; No Third Party Beneficiaries ........... 58
10.6 Nature of Representations and Warranties ................. 58
10.7 Severability ............................................. 58
10.8 Counterparts ............................................. 58
10.9 Purchase Price Adjustment Arbitration .................... 59
iii
LIST OF SCHEDULES AND EXHIBITS
Schedule 1.1A - Accounting Protocol
Schedule 1.1P - Permitted Encumbrances
Schedule 1.1Q - Pro Forma EBITDA
Schedule 2.2 - Lockboxes
Schedule 2.10 - Purchase Price Allocation
Schedule 3.1 - Organization
Schedule 3.5 - Financial Statements
Schedule 3.6 - Absence of Changes
Schedule 3.7(b) - Taxes: Liabilities
Schedule 3.7(c) - Taxes: Accruals
Schedule 3.7(d) - Taxes: Audits/Examinations
Schedule 3.7(e) - Taxes: Agreements
Schedule 3.7(f) - Taxes: Consolidated Returns
Schedule 3.7(g) - Taxes: Tax Return Jurisdictions
Schedule 3.8(a) - Owned Real Property
Schedule 3.8(b) - Leased Real Property
Schedule 3.8(c) - Personal Property
Schedule 3.8(d) - Shared Facilities
Schedule 3.8(e) - Adequacy of Assets
Schedule 3.9 - Litigation
Schedule 3.10 - Compliance With Law; Permits
Schedule 3.11 - Labor Matters
Schedule 3.12(a)(i) - Intellectual Property Assets: Marks and Fictional Names
Schedule 3.12(a)(ii) - Intellectual Property Assets: Patents
Schedule 3.12(a)(iii) - Intellectual Property Assets: Copyrights
Schedule 3.12(a)(iv) Intellectual Property Assets: Internet Domain Names
Schedule 3.12(b)(i) - Rights in Intellectual Property: Generally
Schedule 3.12(b)(ii) - Rights in Intellectual Property: Patents
Schedule 3.12(b)(iii) - Rights in Intellectual Property: Marks
Schedule 3.12(b)(iv) - Rights in Intellectual Property: Intellectual Property Licenses
Schedule 3.13(a) - Employee Benefit Plans
Schedule 3.13(b) - Status of Plans
Schedule 3.13(c)(iii) - Post-Employment or Retiree Benefits
Schedule 3.13(c)(vi) - Actual and Contingent Liabilities
Schedule 3.13(d) - Contributions
Schedule 3.13(h) - Employees
Schedule 3.13(i) - Agreements and Plans
Schedule 3.13(j) - Multiemployer Plans
Schedule 3.14 - Environmental Matters
Schedule 3.16 - Material Contracts
Schedule 3.18 - Insurance
Schedule 3.19 - Undisclosed Liabilities
Schedule 4.4 - Brokers, Finders of USF
iv
Schedule 5.5 - Brokers, Finders of Buyer
Schedule 6.3 - Material Consents
Schedule 6.5 - Operations Prior to Closing Date
Schedule 6.7 - Guaranty and Surety Obligations
Schedule 7.6 - Accountants Fees and Expenses
Schedule 7.10 - Non-Solicitation
Exhibit A - Commitment Letters
Exhibit B - Guaranty of Vivendi Environnement, S.A.
Exhibit C - Terms of Service Level Agreement
v
EXECUTION ORIGINAL
THIS ASSET PURCHASE AGREEMENT (the "AGREEMENT"), dated as of the 12th
day of September, 2002, is by and among UNITED STATES FILTER CORPORATION, a
Delaware corporation ("USF'), U.S. FILTER DISTRIBUTION GROUP, INC., a Georgia
corporation ("DISTRIBUTION"), and BLUE ACQUISITION CORP., a Delaware corporation
("BUYER").
WITNESSETH:
On the terms and subject to the conditions set forth in this Agreement,
Distribution desires to sell and transfer to Buyer, and Buyer desires to
purchase and assume from Distribution, substantially all of the assets and
substantially all of the liabilities of Distribution.
NOW, THEREFORE, in consideration of the representations, warranties,
covenants and agreements contained herein, USF, Distribution and Buyer, each
intending to be legally bound hereby, agree as set forth below.
ARTICLE I
DEFINITIONS; CONSTRUCTION
1.1 DEFINITIONS. As used in this Agreement, the following terms have
the meanings specified in this Section 1.1.
"AAA" means the American Arbitration Association.
"ACCOUNT TRANSFER DATE" has the meaning given that term in Section 7.3.
"ACCOUNTING MEDIATOR" has the meaning given that term in Section 2.9.
"ACCOUNTING PROTOCOL" means the items set forth on Schedule 1.1A.
"ACQUIRED BUSINESS" has the meaning given that term in Section 7.10.
"ADJUSTED PURCHASE PRICE" has the meaning given that term in Section
9.2.
"AFFECTED EMPLOYEES" has the meaning given that term in Section 7.3.
"AFFILIATE" means, with respect to any Person, any other Person that,
directly or indirectly, through one or more intermediaries, controls, is
controlled by or is under common control with such Person. As used in this
definition, "control," "controlled by" and "under common control with" shall
mean possession, directly or indirectly, of power to direct or cause the
direction of management or policies (whether through ownership of securities or
partnership interests or other ownership interests, by contract or otherwise).
"AFFILIATED GROUP" has the meaning given that term in Section 3.7.
"AGREEMENT" means this Asset Purchase Agreement, as it may be amended
from time to time.
"ANTITRUST DIVISION" means the Antitrust Division of the United States
Department of Justice.
"ASBESTOS LIABILITIES" shall mean any claim, demand, Loss, or
Litigation arising from or based on the presence or alleged presence of asbestos
or asbestos-containing materials in any product or item manufactured, sold, or
distributed at any time by Distribution or any of Distribution's Subsidiaries or
predecessors, including any claim, demand, Loss, or Litigation relating to any
personal or bodily injury or illness associated with exposure or alleged
exposure to asbestos or asbestos-containing materials manufactured, sold or
distributed by Distribution or any of Distribution's Subsidiaries or
predecessors whether or not; (i) set forth in any Schedule or (ii) disclosed to
or known by Buyer prior to the date of this AGREEMENT.
"ASSUMED OBLIGATIONS" has the meaning given that term in Section 2.3.
"ASSUMED TAX MATTERS" has the meaning given that term in Section 7.2.
"ASSUMED TAXES" has the meaning given that term in Section 2.3
"BALANCE SHEET" has the meaning given that term in Section 3.5.
"BALANCE SHEET DATE" has the meaning given that term in Section 3.5.
"BUSINESS" means the business of Distribution as conducted on the date
hereof, which, as of the date hereof, is the sale and distribution of waterworks
products for building and rehabilitating water and wastewater infrastructure.
"BUSINESS DAY" means each Monday, Tuesday, Wednesday, Thursday and
Friday that is not a day on which banking institutions in New York, New York are
authorized or obligated by law or executive order to close.
"BUYER" has the meaning given that term in the introductory paragraph
of this Agreement.
"BUYER BENEFIT PROGRAMS" has the meaning given that term in Section
7.3.
"BUYER INDEMNIFIED PARTIES" means Buyer and its officers and directors
and any Affiliate of Buyer and such Affiliate's officers and directors.
"BUYER RABBI TRUST" has the meaning given that term in Section 7.3.
"BUYER'S 401(k) PLAN" has the meaning given that term in Section 7.3.
"CENTRAL STATES FUND" has the meaning given that term in Section 7.4.
"CERCLA" has the meaning given that term in the definition of
"Environmental Law."
2
"CLOSING" has the meaning given that term in Section 2.6.
"CLOSING DATE" has the meaning given that term in Section 2.6.
"CLOSING DATE BALANCE SHEET" has the meaning given that term in
Section 2.9.
"CLOSING DATE WORKING CAPITAL" means, as of the Closing Date, current
assets of Distribution less current liabilities of Distribution, where current
assets means net accounts receivable, net inventory, xxxxx cash held at
operating locations of Distribution and items included in the line item "other
current assets" in the Financial Statements (in each case, to the extent
acquired pursuant to the terms hereof) and current liabilities means accounts
payable, items included in the line item "accrued compensation and benefits" in
the Financial Statements, items included in the line item "other accrued
expenses" in the Financial Statements and any Taxes accrued on the Closing Date
Balance Sheet (in each case, to the extent assumed by Buyer pursuant to the
terms hereof); provided, however, that Closing Date Working Capital shall not
include any current assets (including cash) reflected on the Closing Date
Balance Sheet and received in connection with any sale, lease or other
disposition of assets of Distribution after the Balance Sheet Date (other than
inventory in the ordinary course of business) or any condemnation or
expropriation or other taking of any assets of Distribution by any Governmental
Body.
"COBRA" has the meaning given that term in Section 3.13.
"CODE" means the United States Internal Revenue Code of 1986, as
amended from time to time, and the applicable rulings and regulations
thereunder.
"COMMITMENT LETTERS" means the commitment letters dated as of the date
hereof and attached as Exhibit A.
"CONTRACT" and "CONTRACTS" means any written agreement, note, letter of
credit, indenture, financial instrument, lease or license to which Distribution
is a party or by which it is bound, excluding purchase orders issued OR received
by Distribution in the ordinary course of business.
"DEBT OBLIGATIONS" shall mean any Contract evidencing an obligation for
borrowed money, purchase money indebtedness, any capitalized lease obligation,
any obligation properly classified as funded indebtedness under GAAP, or any
guarantee given by any Person in respect of any of the foregoing obligations of
any other Person (other than the endorsement of negotiable instruments for
deposit or collection in the ordinary course of business).
"DEFERRED COMPENSATION PLAN" has the meaning given that term in
Section 7.3.
"DEFERRED COMPENSATION PLAN TRANSFER AMOUNT" has the meaning given that
term in Section 7.3.
"DISTRIBUTION" has the meaning given that term in the introductory
paragraph of this Agreement.
3
"DISTRIBUTION CONTROLLED GROUP" has the meaning given that term in
Section 7.4.
"DISTRIBUTION'S KNOWLEDGE" means the present actual knowledge of Xxxxxx
Xxxxx (as to all matters), Xxxxxxx Xxxxxxxx (as to all matters), Xxxxxx Xxxx (as
to all matters), Xxx Xxxxxxx (as to the matters which are the subject of the
representations and warranties in Section 3.13 only), Xxxxx Xxxxxxxxxx (as to
the matters which are the subject of the representations and warranties in
Section 3.7 only), Xxxx Xxxxx (as to the matters which are the subject of the
representations and warranties in Section 3.12 only) and Xxxx Xxxx (as to the
matters which are the subject of the representations and warranties in Section
3.14 only), in each case after reviewing (both prior to signing this Agreement
and prior to delivering the certificate described in Section 8.1) this Agreement
(including the representations and warranties herein) with each of the following
persons: Xxxxx Xxxxxxx, Xxxxxxxx Xxxxxxxxx, Xxxxx Xxxxxx and Xxxxxx Xxxxx.
"EMPLOYEE LEASING AGREEMENT" means the Employee Leasing Agreement by
and among USF, Distribution and Buyer.
"ENCUMBRANCE" means any mortgage, deed of trust, pledge, security
interest, claim, easement, lien, charge, option, restriction on transfer,
conditional sale or other title retention agreement, defect in title or other
restriction of a similar kind.
"ENVIRONMENTAL LAW" means Laws and common law, in each case as amended
and whenever in effect prior to the Closing Date, relating to (a) pollution or
the protection or restoration of the environment (including air, water and land)
or natural resources; and (b) the generation, manufacture, processing, use,
handling, treatment, storage, disposal, release, distribution and transportation
of any hazardous or toxic chemicals, materials or substances, or any solid,
gaseous or liquid wastes, including the Clean Air Act, 42 U.S.C. ss.7401 et
seq., the Resource Conservation and Recovery Act, 42 U.S.C. ss.6901 et seq., the
Federal Water Pollution Control Act, as amended by the Clean Water Act, 33
U.S.C. ss.1251 et seq., the Comprehensive Environmental Response, Compensation,
and Liability Act, as amended by the Superfund Amendments and Reauthorization
Act ("CERCLA"), 42 U.S.C. ss.9601 et seq., the Toxic Substances Control Act, 15
U.S.C. ss.2601 et seq., the Oil Pollution Act of 1990,33 U.S.C. ss.2701 et.
seq., the Emergency Planning and Community Right to Know Act, 42 U.S.C. ss.1101
et seq., and the Hazardous Materials Transportation Act, 49 U.S.C. ss.1501 et
seq.
"ERISA" means the United States Employee Retirement Income Security Act
of 1974, as amended, and the applicable rulings and regulations thereunder.
"EXPENSES" means any and all reasonable expenses incurred in connection
with defending any claim, action, suit or proceeding incident to any matter
indemnified against hereunder (including court filing fees, court costs,
arbitration fees or costs, witness fees and reasonable fees and disbursements of
legal counsel, investigators, expert witnesses, accountants and other
professionals).
"FINANCIAL STATEMENTS" has the meaning given that term in Section 3.5.
"FTC" means the United States Federal Trade Commission.
4
"GAAP" means United States generally accepted accounting principles in
effect for the relevant time period.
"GOVERNING DOCUMENTS" means, with respect to any Person who is not a
natural Person. the certificate or articles of incorporation, bylaws, deed of
trust, formation or governing agreement and other charter documents or
organizational or governing documents or instruments of such Person.
"GOVERNMENTAL BODY" means any court or government (federal, state or
local) or any political subdivision thereof, including without limitation, any
department, commission, board, bureau, agency or other regulatory,
administrative or governmental authority or instrumentality.
"GRUPO XXXXX" has the meaning given that term in Section 3.1.
"HAZARDOUS MATERIALS" means any chemicals, materials or substances
classified or regulated as "hazardous substances," "hazardous wastes,"
"hazardous materials," "extremely hazardous wastes, " "restricted hazardous
substances," or "toxic substances" or words of similar meaning or effect under
any applicable Environmental Law.
"HSR ACT" means the Xxxx-Xxxxx-Xxxxxx Antitrust Improvements Act of 1976,
as amended, and the rules and regulations promulgated thereunder.
"INCOME TAX" (and, with correlative meaning, "Income Taxes") means any Tax
on net or gross income, profits or receipts, together with any interest or
penalties, imposed by any Governmental Body.
"INDEMNIFIED PARTY" has the meaning given that term in Section 9.3.
"INDEMNIFYING PARTY" has the meaning given that term in Section 9.3.
"INTELLECTUAL PROPERTY ASSETS" has the meaning given that term in Section
3.12.
"IRS" means the United States Internal Revenue Service.
"LAW" means any applicable statute, law, ordinance, rule, regulation,
order, judgment or decree enacted, adopted, issued or promulgated by any
Governmental Body.
"LEASED REAL PROPERTY" has the meaning given that term in Section 3.8(b).
"LIABILITIES" means, with respect to any Person, all debts, Debt
Obligations, liabilities and obligations of such Person of any nature or kind
whatsoever, whether due or to become due, accrued, fixed, absolute, matured,
determined, determinable, xxxxxx, inchoate, or contingent, whether or not
incurred directly by such Person or by any predecessor of such Person, and
whether or not arising out of any act, omission, transaction, circumstance, sale
of goods or service or otherwise.
5
"LITIGATION" means any action, suit, arbitration or proceeding of any
nature or kind whatsoever, whether civil, criminal or administrative, at law or
in equity, by or before any Governmental Body or arbitrator.
"LOSSES" means, without duplication, any and all losses, costs,
obligations, liabilities, settlement payments, fines, penalties, damages,
Expenses or other charges.
"MARKS" has the meaning given that term in Section 3.12.
"MATERIAL ADVERSE EFFECT" means a material adverse effect on the assets,
business, results of operations, or financial condition of Distribution taken as
a whole, other than changes (i) relating to generally applicable economic
conditions or (ii) resulting from the announcement by USF or Distribution of the
intention to sell the assets of Distribution.
"MULTIEMPLOYER PLAN" means a multiemployer plan within the meaning of
Section 4001 of ERISA.
"NON-COMPETE PERIOD" has the meaning given that term in Section 7.10.
"OBJECTIONS" has the meaning given that term in Section 2.9.
"OPERATIVE PERIOD" means (i) the period from and after the date which is
the later of (x) August 23, 1996 (being the date on which USF acquired
Distribution), and (y) to the extent a representation or warranty relates to any
company, business or asset acquired by Distribution after August 23, 1996, the
date upon which such company, business or asset was acquired by Distribution;
and (ii) any period specifically referred to in a representation or warranty.
"OWNED REAL PROPERTY" has the meaning given that term in Section 3.8.
"PARTY" means each of USF, Distribution and Buyer.
"PATENTS" has the meaning given that term in Section 3.12.
"PBGC" has the meaning given that term in Section 7.4.
"PERMITS" has the meaning given that term in Section 3.10.
"PERMITTED ENCUMBRANCES" means (a) liens for Taxes and other governmental
charges and assessments that are (i) not yet due and payable, or (ii) being
contested in good faith, (b) liens of landlords and liens of carriers,
warehousemen, mechanics, materialmen and repairmen and other similar liens
arising in the ordinary course of business for sums not yet due and payable, (c)
liens securing obligations reflected in the balance sheet as of June 30,2002
included in the Financial Statements, (d) other liens on, or imperfections of
title with respect to, property that are not material in amount or do not
materially detract from the value of or materially impair the existing use of
the property affected by such lien or imperfection, and (e) Encumbrances set
forth on Schedule l.lP.
6
"PERSON" means and includes a natural person, a corporation, an
association, a partnership, a limited liability company, a trust, a joint
venture, an unincorporated organization or a Governmental Body.
"POLICIES" has the meaning given that term in Section 3.18.
"PRE-CLOSING PERIOD" has the meaning given that term in Section 3.7.
"PROCEEDINGS" has the meaning given that term in Section 9.2.
"PRODUCT CLAIMS" has the meaning given that term in Section 2.3.
"PRO FORMA EBITDA OF DISTRIBUTION" means, for a specified period, net
income before income taxes, interest expense, depreciation and amortization of
Distribution, as such amounts are determined in accordance with GAAP and
applicable rules and regulations under the Securities Act, as adjusted (i) to
the extent permitted by Article XI of Regulation S-X under the Securities Act to
reflect (a) the consummation of the transactions contemplated by this Agreement,
(b) the acquisition of Utility Piping Systems, Inc. consummated in March 2002
and (c) such other matters as may be appropriate pursuant to Article XI of
Regulation S-X, and (ii) to reflect such other charges due to the standalone
nature of Distribution as are set forth on Schedule 1.1 Q.
"PROHIBITED ACTIVITY" has the meaning given that term in Section 7.10.
"PURCHASE PRICE" has the meaning given that term in Section 2.5.
"PURCHASE PRICE ADJUSTMENT" has the meaning given that term in
Section 2.8.
"PURCHASED ASSETS" has the meaning given that term in Section 2.1
"RECEIVABLES CORPORATION" has the meaning given that term in Section 3.1.
"RECEIVABLES PURCHASE FACILITY" means the contractual arrangement whereby
Distribution sells its trade accounts receivable to Receivables Corporation and
Receivables Corporation in turn sells such receivables to a third party, as
primarily evidenced by (i) the Purchase and Sale Agreement dated as of December
19, 2001 between Distribution and Receivables Corporation, and (ii) the
Receivables Purchase Agreement dated as of December 19, 2001 among Receivables
Corporation, Distribution, Xxxxxx Capital Corporation and Societe Generale.
"RECOVERABLE LOSS" means any Losses arising out of any single act,
omission, event or circumstance (or series of related acts, omissions, events or
circumstances) if, when aggregated, such Losses exceed $50,000 (and if such
amount of Losses are incurred the entire amount of such Losses shall be a
Recoverable Loss); provided, however, that in calculating the amount of
Recoverable Losses for breach of a representation or warranty contained in
Article III or Article IV, no effect shall be given to any qualifications
contained therein as to materiality, including the phrases "material," "in all
material respects" and "Material Adverse Effect," and provided
7
further that Recoverable Losses with respect to Losses arising from or related
to Assumed Obligations, Retained Obligations or breaches of covenants and
agreements in this Agreement shall mean all Losses (whether or not in excess of
$50,000).
"REFERENCE RATE" means the U.S. prime rate published in the Wall Street
Journal on the Closing Date, plus 125 basis points.
"RELATED AGREEMENTS" means the Employee Leasing Agreement and a Service
Level Agreement between USF and Buyer with respect to network and email services
with the terms reflected in Exhibit C.
"RELATED PARTY" means (i) any Affiliate of a Party or (ii) any officer or
director of a Party or of any Person identified in clause (i) preceding.
"RESERVED NAMES" has the meaning given that term in Section 7.1.
"RETAINED ASSETS" has the meaning given that term in Section 2.2.
"RETAINED OBLIGATIONS" has the meaning given that term in Section 2.4.
"RETAINED TAXES" has the meaning given that term in Section 2.4.
"SECURITIES ACT" shall mean the Securities Act of 1933, as amended.
"SELLER INDEMNIFIED PARTIES" means each of USF and Distribution and their
respective directors and officers, and any Affiliate of USF or Distribution and
such Affiliate's officers and directors.
"STRADDLE PERIOD" means any taxable year or period beginning before and
ending after the Closing Date.
"SUBSIDIARY" means any corporation, partnership, joint venture or other
entity of which any Person owns, directly or indirectly, more than 50% of the
outstanding voting securities or equity interests.
"TAX" (and, with correlative meaning, "TAXES" and "TAXABLE") means taxes
of any kind, levies or other like assessments, customs, duties, imposts, charges
or fees, including income, gross receipts, ad valorem, value added, excise, real
or personal property, asset, sales, use, license, payroll, transaction, capital,
net worth and franchise taxes, estimated taxes, withholding, employment, social
security, workers compensation, utility, severance, production, unemployment
compensation, occupation, premium, windfall profits, transfer and gains taxes or
other governmental taxes imposed by or payable to any Governmental Body and any
taxes imposed on a member of a combined, consolidated, unitary, affiliated or
similar tax group for federal, state, local or foreign tax purposes by reason of
Treasury Regulation Section 1.1502-6 or otherwise and including any interest and
penalties imposed with respect thereto.
8
"TAX RETURN" means any return, declaration, form, report, claim for
refund, or information return or statement relating to any Tax, including any
schedule or attachment thereto, and including any amendment thereof.
"TERRITORY" has the meaning given that term in Section 7.10.
"TRANSFERRED ASSETS" has the meaning given that term in Section 7.3.
"TRANSITION PERIOD" has the meaning given that term in the Employee
Leasing Agreement.
"USF" has the meaning given that term in the introductory paragraph of
this Agreement.
"USF 401(k) PLAN" means the United States Filter Corporation Retirement
Savings Plan.
"USF EMPLOYEE BENEFIT PLAN" means any (i) "employee benefit plan," within
the meaning of Section 3(3) of ERISA, or (ii) stock option, stock purchase,
restricted stock, VEBA, profit sharing, pension, retirement, deferred
compensation, medical, life, disability, accident, salary continuation, sick
pay, sick leave, supplemental retirement and unemployment benefit plans or
programs (whether or not insured), that has been established, maintained,
sponsored or contributed to by USF or any United States Subsidiary of USF, for
the benefit of any active, retired or former employee or director of
Distribution; provided, that "USF Employee Benefit Plan" shall not include any
Vivendi Employee Benefit Plan or any Multiemployer Plan.
"USF RABBI TRUST" has the meaning given that term in Section 7.3.
"VIVENDI EMPLOYEE BENEFIT PLAN" means any of the plans identified as such
on Schedule 3.13(a).
"VNAO" means Vivendi North America Operations, Inc., a Delaware
corporation and the sole stockholder of USF.
"WARN ACT" means the Federal Workers' Adjustment and Retraining
Notification Act, and the rules and regulations promulgated thereunder.
1.2 CONSTRUCTION.
(a) Unless the context otherwise requires, as used in this
Agreement: (i) an accounting term not otherwise defined herein has the meaning
ascribed to it in accordance with GAAP; (ii) "or" is not exclusive; (iii)
"including" and its variants mean "including, without limitation" and its
variants; (iv) words defined in the singular have the parallel meaning in the
plural and vice versa; (v) references to "written" or "in writing" include in
visual electronic form; (vi) words of one gender shall be construed to apply to
each gender; (vii) the terms "hereof", "herein", "hereby", "hereto", and
derivative or similar words refer to this entire Agreement, including the
Schedules and Exhibits hereto; and (viii) the terms "Article", "Section",
"Exhibit" and "Schedule" refer to the specified Article, Section, Exhibit, or
Schedule of or to this Agreement.
9
(b) A reference to any Person includes such Person's successors and
permitted assigns.
(c) Any reference to "days" means calendar days unless Business Days
are expressly specified.
(d) The Schedules and Exhibits to this Agreement are incorporated
herein by reference and made a part hereof for all purposes.
(e) Any references to "dollars" or "$" means dollars of the United
States of America.
(f) USF, Distribution and Buyer, each represented by legal counsel,
have each participated in the negotiation and drafting of this Agreement. If an
ambiguity or question of intent or interpretation should arise, this Agreement
shall be construed as if drafted jointly by the Parties, and no presumption or
burden of proof shall arise favoring or burdening a Party by virtue of the
authorship of any of the provisions of this Agreement.
ARTICLE II
THE TRANSACTION
2.1 SALE AND PURCHASE OF ASSETS. Upon the terms and subject to the
conditions of this Agreement and in consideration of the Purchase Price, at the
Closing, Distribution shall sell, assign, transfer and deliver to Buyer, and
Buyer shall purchase and take delivery from Distribution of, all of
Distribution's right, title and interest in and to its properties, business as a
going concern, goodwill and assets of every kind, nature and description,
existing on the Closing Date, whether real, personal or mixed, tangible or
intangible, in electronic form or otherwise, except those assets specifically
excluded pursuant to Section 2.2, free and clear of any and all Encumbrances
except Permitted Encumbrances (collectively, the "PURCHASED ASSETS").
2.2 RETAINED ASSETS. Distribution shall retain, and the Purchased Assets
shall not include, the following assets (collectively, the "RETAINED ASSETS"):
(a) the consideration to be delivered to Distribution pursuant to
this Agreement;
(b) the other rights of Distribution hereunder (including, as a
matter of clarification, those of USF) or under Related Agreements;
(c) the outstanding capital stock, minute books, stock books and
seals of Distribution and each of its Subsidiaries;
(d) all claims, choses in action, causes of action and judgments
with respect to any Retained Obligation;
10
(e) all cash other than xxxxx cash held at operating locations of
Distribution, cash in banks, cash equivalents, bank and mutual fund accounts,
deposits, investments, securities and safe deposit boxes of Distribution;
provided, however, the physical lockboxes listed on Schedule 2.2 are a Purchased
Asset, but for the avoidance of doubt all cash, checks or other assets in such
physical lockboxes prior to the Closing Date are Retained Assets;
(f) all of the policies of insurance of Distribution (including, as
a matter of clarification, those of USF) with respect to the products,
properties, assets, operations and Business of Distribution, including any
policies of insurance maintained for purposes of providing benefits such as
workers' compensation and employers' liability coverage (except for claims under
such insurance policies to the extent such claims are covered by the procedures
specified in Section 7.9);
(g) except as set forth in Sections 7.3(h), 7.3(i), 7.3(j) and
7.3(k) all assets related to any USF Employee Benefit Plan or Vivendi Employee
Benefit Plan;
(h) the pieces of ground, together with the buildings and
improvements thereon, and all easements, rights and privileges appurtenant
thereto, for the real property located at the corner of Texas and Xxxxxxx
Streets, Thomasville, Georgia and for the real property commonly known as 0000
Xxxxxxx Xxxxxx, Xxxxxxxxxxx, Xxxxxxx;
(i) the Thomasville, Georgia hangar facility and the related
personal property and leases for real and personal property associated
therewith;
(j) all of the rights of Distribution under the Contracts related to
the Receivables Purchase Facility;
(k) in accordance with Section 7.1, all of the Reserved Names;
(1) all of the rights of Distribution under the Contracts related to
the disposition of its former Subsidiary, Fife Industrial Pipe Company; and
(m) for the avoidance of doubt only, the AS400 of USF located in the
data center of Distribution in Thomasville, Georgia.
2.3 ASSUMPTION OF OBLIGATIONS. Except for the Retained Obligations set
forth in Section 2.4 and except as otherwise specifically set forth in this
Agreement, at the Closing Buyer shall assume and agree to perform, pay or
discharge, when due, to the extent not theretofore performed, paid or
discharged, all of the Liabilities of Distribution, existing on or before the
Closing Date or arising out of any transactions entered into, or any state of
facts existing, on or prior to the Closing Date (collectively, the "ASSUMED
OBLIGATIONS") pursuant to an assignment and assumption agreement in form and
substance reasonably satisfactory to Distribution and Buyer. The Assumed
Obligations shall include Liabilities:
(a) arising from claims against Distribution or its predecessors in
respect of defective products allegedly sold or distributed by Distribution or
its predecessors prior to or on the Closing Date, except for Asbestos
Liabilities ("PRODUCT CLAIMS");
11
(b) arising from claims against Distribution or its predecessors
made in respect of Contracts included in the Assumed Obligations;
(c) for Taxes, other than Income Taxes, franchise Taxes and payroll
Taxes (collectively "ASSUMED TAXES");
(d) for post-retirement medical and dental insurance benefits
assumed by Distribution upon the acquisition of Xxxxxxx Supply Company to the
extent provided to Affected Employees;
(e) for obligations of Buyer pursuant to Section 7.3; and
(f) for withdrawal liability associated with the Central States
Southeast and Southwest Areas Pension Fund that arises as a result of
Distribution's termination of contributions to such fund as a result of the
consummation of the transactions contemplated by this Agreement.
2.4 RETAINED OBLIGATIONS. Distribution shall retain and Buyer shall not
assume or in any way undertake to pay, perform, satisfy or discharge Liabilities
(collectively, the "RETAINED OBLIGATIONS"):
(a) arising out of any transaction or obligation incurred by
Distribution on or after the Closing Date;
(b) for or in connection with any dividends, distributions, or
redemptions with respect to any security of Distribution or its Subsidiaries;
(c) for the operations, activities and Liabilities of the
Subsidiaries of Distribution, including Grupo Xxxxx;
(d) except as set forth in Section 7.6, for expenses and fees
incident to or arising out of the negotiation, preparation, approval or
authorization of this Agreement and the consummation of the transactions
contemplated hereby, including all legal and accounting fees and all brokers or
finders fees or commissions payable by Distribution (including, as a matter of
clarification, those by USF);
(e) for any Asbestos Liabilities;
(f) for the Installment Note dated June 3, 1996 in the principal
amount of $1,759,738 executed by Distribution (successor to Pacific Water Works
Supply Co., Inc.) in favor of Xxxxxx X. Xxxxxxx, with a maturity date of June
1,2006;
(g) for Income Taxes, franchise Taxes and payroll Taxes of
Distribution (collectively, "RETAINED TAXES");
(h) for any liabilities, obligations, benefits, premiums,
contributions or amounts payable under any USF Employee Benefit Plan or any
Vivendi Employee Benefit Plan,
12
the administration thereof or any distributions or benefits due thereunder
(other than vacation, sick leave and other accrued paid time off and other
amounts payable by Buyer as an Assumed Obligation);
(i) for payments in respect of covered medical and dental claims
consistent with the provisions of Section 7.3(d), and long-term disability
benefits consistent with the provisions of Section 7.3(f);
(j) for the obligations of Distribution under the Contracts related
to the disposition of its former Subsidiary, Fife Industrial Pipe Company;
(k) for all workers compensation claims made by any current or
former employees of Distribution with respect to conditions or occurrences
arising before the Closing Date;
(1) which are eligible for insurance coverage (and USF and
Distribution covenant to use commercially reasonable efforts to pursue such
coverage) under USF's or Distribution's general liability, automobile and all
other Policies covering occurrences arising prior to the Closing Date (provided,
however, the amount of deductibles with respect to such Policies for claims made
in connection with such Liabilities are not a Retained Obligation), and for the
avoidance of doubt to the extent any such Liability is not eligible for
coverage, then such Liability shall be an Assumed Obligation and shall be
subject to Section 7.9;
(m) for obligations of Distribution under the Contracts related to
the Receivables Purchase Facility;
(n) for all obligations related to the Retained Assets;
(o) for post retirement medical and dental insurance benefits
assumed by Distribution upon the acquisition of Xxxxxxx Supply Company, to the
extent provided to former Distribution employees; and
(p) for the obligations and matters related to the Xxxxxx Utilities,
Inc. litigation set forth on Schedule 3.9.
2.5 PURCHASE PRICE. The aggregate purchase price for the Purchased Assets
shall be $620 million (the "PURCHASE PRICE"), as such price may be adjusted in
accordance with the provisions hereof, including Section 2.8, plus the
assumption of the Assumed Obligations.
2.6 CLOSING. Unless this Agreement shall have been terminated and the
transactions contemplated hereby shall have been abandoned pursuant to Section
8.3, and subject to the satisfaction or waiver of all of the conditions set
forth in Article VIII, the closing of the purchase and sale of the Purchased
Assets and assumption of the Assumed Obligations (the "CLOSING") shall take
place at 10:00 A.M., Atlanta, Georgia time, at the offices of Xxxxxxxxxx Xxxxxx
& Xxxxxxx LLP, 000 Xxxxxxxxx Xxxxxx, X.X., Xxxxxxx, Xxxxxxx 00000, as soon as
practicable, but in any event within three (3) Business Days after the last of
the conditions set forth in Article VIII hereof is satisfied or waived, other
than those conditions that by their nature are to be satisfied at
13
the Closing, but subject to the fulfillment or waiver of those conditions, or at
such other date, time or place as the Parties shall agree in writing and shall
be effective as of 12:01 a.m. on such date (the "CLOSING DATE").
2.7 PAYMENT. Upon the terms and subject to the conditions of this
Agreement, at the Closing, Buyer shall pay the Purchase Price by (a) wire
transfer of immediately available funds in the amount of $620 million to an
account designated by Distribution, and (b) the assumption of the Assumed
Obligations.
2.8 PURCHASE PRICE ADJUSTMENT. After the Closing, the Purchase Price shall
be adjusted by an amount (the "PURCHASE PRICE ADJUSTMENT") determined in
accordance with this Section 2.8 and Section 2.9. The Purchase Price Adjustment
(whether positive or negative) shall be equal to the Closing Date Working
Capital minus $140 million.
2.9 PROCEDURES FOR CALCULATING AND PAYING THE PURCHASE PRICE ADJUSTMENT.
(a) CALCULATION. As soon as practicable after the Closing Date but
in no event later than the 90th day after the Closing Date, Buyer shall prepare
or cause to be prepared, and shall deliver to Distribution (i) a balance sheet
of Distribution as of the Closing Date (the "CLOSING DATE BALANCE SHEET"), and
(ii) a calculation of the Closing Date Working Capital. The Closing Date Balance
Sheet shall be prepared in accordance with GAAP, consistently applied, subject
to the modifications and limitations set forth in the Accounting Protocol and
the method of allocation and accrual of Taxes set forth in Section 3.7(c). Buyer
shall thereafter provide to Distribution such supporting work papers or other
supporting information as may be reasonably requested by Distribution. If
Distribution shall have any objections to Buyer's calculation of the Closing
Date Working Capital, including whether Buyer has applied GAAP consistent with
the past practices of Distribution and in accordance with the Accounting
Protocol in the preparation of the Closing Date Balance Sheet, Distribution
shall notify Buyer in writing no later than thirty (30) days after delivery of
the Closing Date Working Capital calculation setting forth with reasonable
specificity its objections (the "OBJECTIONS"). Thereafter, Buyer and
Distribution shall endeavor in good faith, for a period not to exceed 21 days
from the date of delivery of such notice, to resolve the Objections.
(b) DISPUTE RESOLUTION. If at the end of the 21 day period there are
any unresolved Objections, Distribution and Buyer shall submit the calculation
and resolution of such unresolved Objections to an independent public accounting
firm of recognized national standing in the United States that they agree upon
in writing; provided, however, that any issues concerning legal interpretation
of the meaning of any provision of this Agreement as it relates to the
determination of the Closing Date Working Capital, including the Accounting
Protocol, shall be resolved exclusively in accordance with the arbitration
provisions set forth in Section 10.9. If Buyer and Distribution have not agreed
on an independent public accounting firm by the end of the 21 day period
referred to above, such firm shall be selected by lot from those independent
public accounting firms of recognized national standing in the United States
that are willing to act and, if there are no such independent public accounting
firms, from the willing independent public accounting firms of recognized
regional standing in the region in which either Buyer or Distribution has its
corporate headquarters (the independent public accounting firm selected
14
pursuant to the foregoing procedures, the "ACCOUNTING MEDIATOR"). The Accounting
Mediator shall be instructed to resolve the Objections and such resolution shall
be (i) set forth in writing and signed by the Accounting Mediator, (ii)
delivered to Buyer and Distribution as soon as practicable after the Objections
are submitted to the Accounting Mediator but not later than the 30th day after
such submission, (iii) made in accordance with this Agreement and (iv)
conclusive and binding on the Parties on the date of delivery of such
resolution. The Accounting Mediator shall only be authorized on any one issue to
decide in favor of and choose the position of Buyer or Distribution or to decide
upon a compromise position between the ranges presented by Buyer and
Distribution to the Accounting Mediator. The Accounting Mediator shall base its
decision solely upon the presentations of Buyer and Distribution to the
Accounting Mediator at a hearing held before the Accounting Mediator and upon
any materials made available by Buyer and Distribution and not upon independent
review. If the foregoing procedure does not result in the selection of an
Accounting Mediator or if the Accounting Mediator does not or is unwilling to
resolve all of the Objections on or before the expiration of 30 days from the
date of submission of the Objections, either Buyer or Distribution shall be
entitled to apply for arbitration in accordance with the provisions set forth in
Section 10.9.
(c) AMOUNT. Subject to the limitation imposed by Section 2.9(d), if
the Purchase Price Adjustment as finally determined (whether by agreement of
Buyer and Distribution, lapse of time or resolution of the Objections) is
positive, Buyer shall pay to Distribution the amount of the Purchase Price
Adjustment plus interest from the Closing Date to the date of payment, inclusive
of each such date, at the Reference Rate. If the Purchase Price Adjustment as
finally determined is negative, Distribution shall pay to Buyer the amount of
the Purchase Price Adjustment plus interest for the period and at the rate
described in the preceding sentence.
(d) LIMITATION. Notwithstanding any of the provisions of this
Section 2.9 to the contrary, if the Purchase Price Adjustment (excluding
interest) as calculated pursuant to this Section 2.9, as finally determined, is
less than $500,000 (whether a positive value owed to Distribution or a negative
value owed to Buyer), then no Purchase Price Adjustment shall be paid.
(e) PAYMENT. Payment of the Purchase Price Adjustment plus accrued
interest shall be made by Buyer or Distribution, as the case may be, to the
other Party in United States Dollars by wire transfer of immediately available
funds to the wire transfer address of such other Party on the fifth Business Day
following the date on which the period for Objections has expired or, if any
Objections are asserted, on the fifth Business Day following the date on which
the procedures for resolution of the Objections in this Section 2.9 have been
completed; provided, however, that any portion of the Purchase Price Adjustment
that is not the subject of an Objection shall be paid on the fifth Business Day
following the date on which Distribution presents its Objections to Buyer,
regardless of the pendency of any Objections. The wire transfer address for such
payment shall be designated by Buyer or Distribution as the case may be, by
notice to the other Party on or before the second Business Day prior to the date
for payment set forth above.
15
(f) EFFECT ON REPRESENTATIONS AND WARRANTIES. Any amount that is
included in preparing the Closing Date Balance Sheet and taken into account in
computing the Purchase Price Adjustment shall not form the basis for a claim for
breach of any representation or warranty under this Agreement.
2.10 ALLOCATION OF PURCHASE PRICE. Buyer and Distribution shall mutually
agree on the allocation of the Purchase Price (which, for purposes of this
Section 2.10, shall include any Assumed Obligations properly treated as
consideration within the meaning of Section 1060 of the Code) among the
Purchased Assets, which shall be mutually adjusted by Buyer and Distribution as
necessary to conform with the principles of Section 1060 of the Code. Buyer and
Distribution shall use reasonable good faith efforts to mutually agree upon such
allocation prior to the Closing Date, but in any event shall mutually agree upon
such allocation within ninety (90) days following the Closing Date. Such
agreed-upon allocation shall be set forth on Schedule 2.10, which shall then
become a part of this Agreement. To the extent a Purchase Price Adjustment
occurs or any indemnification claim is paid, Buyer and Distribution shall use
reasonable good faith efforts to promptly mutually agree upon the appropriate
adjustments to the allocations set forth on Schedule 2.10, and such modified
allocations shall then be the allocations that Buyer and Distribution shall use.
Unless there exists a good faith disagreement about the allocations set forth on
Schedule 2.10, Buyer and Distribution shall report the federal, state and local
income and other Tax consequences of the purchase and sale contemplated hereby
in a manner consistent with such allocation, as modified, and shall not take any
position inconsistent therewith upon examination of any Tax Return, in any
refund claim, in any Litigation or otherwise.
ARTICLE III
REPRESENTATIONS AND WARRANTIES OF DISTRIBUTION
As an inducement to Buyer to enter into this Agreement and to consummate
the transactions contemplated hereby, Distribution and USF (with respect to
Section 3.13 only) represents and warrants to Buyer as follows (provided,
however, that all representations and warranties of Distribution and USF in this
Article III are made only with respect to the Operative Period).
3.1 ORGANIZATION AND AUTHORITY. Distribution is a corporation duly
organized, validly existing and in good standing under the Laws of the State of
Georgia and has all corporate power and authority to own, operate or lease its
properties and carry on its business as now conducted. Distribution has all
corporate power and authority to enter into this Agreement and each Related
Agreement to which it is a party and to perform its obligations hereunder and
thereunder. Distribution is duly qualified to do business and is in good
standing in each jurisdiction in which the character of the properties owned,
operated or leased by it or the nature of the activities conducted by it make
such qualification and good standing necessary, except where the failure to be
so qualified or in good standing would not have a Material Adverse Effect.
Schedule 3.1 sets forth a list of all jurisdictions where the character of the
properties owned, operated or leased by Distribution or the nature of the
activities conducted by Distribution make such qualification and good standing
necessary. Distribution has two
16
Subsidiaries, U.S. Filter Receivables Corporation, a Delaware corporation
("RECEIVABLES CORPORATION") and Grupo de Tratamiento de Aguas Xxxxx, X.X. de
C.V., a Mexican company ("GRUPO XXXXX"). Schedule 3.1 sets forth all of the
issued and outstanding capital stock of each of the Subsidiaries of
Distribution. Grupo Xxxxx is an inactive company and none of the assets used in
the Business are held or utilized by Grupo Xxxxx.
3.2 AUTHORIZATION; ENFORCEABILITY. This Agreement and each Related
Agreement to which Distribution is a party has been duly executed and delivered
by and constitutes the legal, valid and binding obligation of Distribution,
enforceable against it in accordance with its terms, except as such
enforceability may be limited by applicable bankruptcy, insolvency,
reorganization, fraudulent conveyance, moratorium and other Laws of general
application relating to or affecting creditors' rights and to general equity
principles. The execution and delivery of this Agreement and each Related
Agreement to which Distribution is a party and the consummation of the
transactions contemplated hereby and thereby have been duly and validly
authorized by all necessary corporate proceedings on the part of Distribution.
3.3 TITLE TO PURCHASED ASSETS. Upon delivery of the Purchased Assets
hereunder, Buyer will acquire title thereto, free and clear of any and all
Encumbrances, except Permitted Encumbrances.
3.4 NO VIOLATION OF LAWS OR AGREEMENTS; CONSENTS.
(a) NO VIOLATION OF LAWS OR AGREEMENTS. Except as set forth on
Schedule 6.3, neither the execution and delivery by Distribution of this
Agreement and each Related Agreement to which Distribution is a party, the
consummation of the transactions contemplated hereby or thereby, nor the
compliance with or fulfillment of the terms, conditions or provisions hereof or
thereof by Distribution:
(i) violates any provision of the Governing Documents of
Distribution or;
(ii) conflicts with, breaches, constitutes a default or an
event of default under any of the terms of, results in the termination of,
accelerates the maturity of or creates any Encumbrance on any asset or property
of Distribution under, any lease, license, indenture, mortgage or any other
Contract to which Distribution is a party or by which any of its assets may be
bound or affected, the result of which would have a Material Adverse Effect; or
(iii) subject to the making of the filings required under the
HSR Act, violates any Law to which Distribution is subject or by which any asset
of Distribution is bound or affected, the result of which would have a Material
Adverse Effect.
(b) CONSENTS. Other than filings required in compliance with the
provisions of the HSR Act, and such consents, approvals, authorizations,
registrations or filings the failure of which to obtain or make would not have a
Material Adverse Effect, and except as set forth on Schedule 6.3, no consent,
approval or authorization of, or registration or filing with, any Person is
required in connection with the execution or delivery by Distribution of this
Agreement or any
17
Related Agreement to which Distribution is a party or the consummation by
Distribution of the transactions contemplated hereby or thereby.
3.5 FINANCIAL STATEMENTS. The audited consolidated balance sheets as of
December 31, 200l and December 31, 2000, the unaudited consolidated balance
sheet as of June 30, 2002, and the audited consolidated income statements and
statements of cash flows for the years ended December 31, 2001 and December 31,
2000 and the nine-month period ended December 31, 1999, for Distribution
(collectively, the "FINANCIAL STATEMENTS") have been delivered to Buyer and are
attached hereto as Schedule 3.5. The Financial Statements (i) have been prepared
in accordance with GAAP on a consistent basis throughout the indicated period,
except that net long term receivables due from USF are classified as
shareholders equity and except that the Financial Statements do not reflect a
pushdown of goodwill related to the acquisition of USF by Vivendi S.A., and (ii)
present fairly in all material respects the financial condition and results of
operation of Distribution at the dates and for the relevant periods indicated,
subject in the case of unaudited Financial Statements to normal year-end
adjustments and to the omission of footnotes. The audited consolidated balance
sheet of Distribution as of December 31, 200l included in the Financial
Statements shall be referred to herein as the "BALANCE SHEET," and December 31,
2001 shall be referred to herein as the "BALANCE SHEET DATE."
3.6 NO CHANGES. Except as set forth on Schedule 3.6 or as contemplated by
this Agreement, since the Balance Sheet Date Distribution has conducted the
Business only in the ordinary course and there has not been:
(i) any change in the assets, business, results of operations
or financial condition of Distribution which constitutes or has had,
individually or in the aggregate with other such changes, a Material Adverse
Effect;
(ii) any damage or destruction to or physical loss of any
asset of Distribution, whether or not covered by insurance, that has had,
individually or in the aggregate with any other such damage, destruction or
loss, a Material Adverse Effect;
(iii) any material increase in the salary, wage, commission or
bonus payable by Distribution to any employee of Distribution whose total
compensation as of the Balance Sheet Date exceeded $150,000 annually, except in
the ordinary course of business and consistent with past business practices;
(iv) any material change in any method of accounting, other
than as required by GAAP;
(v) any sale, lease or other disposition of any material
assets of Distribution (other than inventory in the ordinary course of business)
other than for fair value, or any condemnation or expropriation or other taking
of any assets of Distribution by any Governmental Body;
(vi) any issuance, sale or disposition of capital stock or any
other securities or grant of any options, warrants or other rights to subscribe
for or purchase any capital stock or any other securities of Distribution;
18
(vii) any declaration or payment of any dividend or
distribution with respect to the capital stock of Distribution or any
redemption, purchase or acquisition of the capital stock of Distribution;
(viii) any write-offs, write-downs or write-ups of the value
of any of the inventory or other assets of Distribution outside the ordinary
course of business;
(ix) any mortgage or pledge of any material assets of
Distribution, except for Permitted Encumbrances arising in the ordinary course
of business;
(x) any creation or assumption of any Debt Obligation for
borrowed money, except for Debt Obligations incurred in the ordinary course of
business or pursuant to Contracts disclosed ON Schedule 3.16 or entered into in
the ordinary course of business;
(xi) any guarantee by Distribution of any liability (whether
directly, contingently or otherwise) for the obligations of any other Person,
except in the ordinary course of business and except for the endorsement of
negotiable instruments by Distribution in the ordinary course of business; or
(xii) any agreement or commitment to do any of the foregoing.
3.7 TAXES.
(a) AFFILIATED GROUP. Distribution is a member of an "affiliated
group" (the "AFFILIATED GROUP") within the meaning of Section 1504(a) of the
Code, and VNAO is the "common parent" of the Affiliated Group.
(b) LIABILITIES. Except as set forth in Schedule 3.7(b), each member
of the Affiliated Group, has:
(i) duly and timely filed with the appropriate federal, state,
local or other taxing authorities all material Tax Returns for which
Distribution could have liability for Taxes and that were required to be filed
by it, and all such Tax Returns were true, correct and complete in all respects,
and
(ii) duly and timely paid all Taxes shown to be due and
payable on such Tax Returns with respect to Distribution.
Any Tax Return or Taxes for which an extension to file or pay has been obtained
will be deemed to be timely if filed and paid (along with any interest or
penalties with respect to such Taxes) by the date provided by any such
extension.
(c) PAYMENT OR ACCRUAL OF TAXES. Except as set forth on Schedule
3.7(c) and except for Income Taxes, franchise Taxes and payroll Taxes, (i) all
Taxes of Distribution for all Tax periods ending on or prior to the Closing Date
and (ii) all Taxes of Distribution for the portion of any Straddle Period ending
on and including the Closing Date (each such year or period or portion thereof
ending on or before the Closing Date, a "PRE-CLOSING PERIOD"), have
19
been paid or accrued on the Balance Sheet (or will be accrued on the Closing
Date Balance Sheet). For purposes of determining the proper accrual by
Distribution for ad valorem property or similar Taxes for the portion of any
Straddle Period ending on and including the Closing Date, the Taxes for the
Straddle Period shall be apportioned between the portion of the Straddle Period
ending on and including the Closing Date and the portion of the Straddle Period
beginning after the Closing Date on a daily basis; provided, however, that if
the transactions contemplated by this Agreement result in the reassessment of
the value of any of the Purchased Assets for property Tax purposes, or the
imposition of any property Taxes at a rate which is different than the rate that
would have been imposed if such transactions had not occurred, then (x) the
portion of such property Taxes for the portion of the Straddle Period ending on
and including the Closing Date shall be determined on a daily basis, using the
assessed value and Tax rate that would have applied had such transactions not
occurred, and (y) the portion of such property Taxes for the portion of such
Straddle Period beginning after the Closing Date shall be the total property
Taxes for the Straddle Period minus the amount described in clause (x) of this
sentence. For purposes of determining the proper accrual by Distribution of all
Taxes not set forth in the immediately preceding sentence such accrual shall be
based on the deemed closing of Distribution's books as of the Closing Date.
(d) AUDITS; EXAMINATIONS. Except as set forth on Schedule 3.7(d):
(i) (A) no audit or other examination of Taxes is currently
pending with respect to the Affiliated Group which audit or examination would
materially adversely affect the Tax liability of Distribution; and (B) no such
audit or examination has been conducted with respect to which there is any
outstanding Tax liability; and
(ii) No member of the Affiliated Group has received any
written notice of any Tax deficiency outstanding, proposed or assessed against
it which Distribution could be held liable; and
(iii) as of the Closing Date, no statute of limitations will
remain open as a result of its having been waived or extended with respect to
the payment or collection of Taxes of the Affiliated Group.
(e) AGREEMENTS. Except as set forth on Schedule 3.7(e), there are no
tax sharing, allocation, indemnification or similar agreements in effect as
between Distribution and any other Person (except for customary agreements to
indemnify lenders or security holders in respect of Taxes).
(f) CONSOLIDATED RETURNS. Except with respect to the Affiliated
Group or as set forth on Schedule 3.7(f), Distribution has not been included in
any "consolidated," "unitary," "combined" or similar Tax Return provided for
under any Law with respect to Taxes for which Distribution may be liable for any
taxable period for which the statute of limitations has not expired.
20
(g) MISCELLANEOUS.
(i) Distribution is not a "foreign person" within the meaning
of Section 1445 of the Code; and
(ii) Schedule 3.7(g) lists each jurisdiction in which
Distribution is filing Tax Returns.
3.8 RIGHTS IN ASSETS.
(a) OWNED REAL PROPERTY. Schedule 3.8(a) sets forth a complete and
accurate list of all real property owned as of the date hereof by Distribution
(the "OWNED REAL PROPERTY"). Except as set forth on Schedule 3.8(a),
Distribution has title to its Owned Real Property, free and clear of all
Encumbrances, except for Permitted Encumbrances. No Owned Real Property or
portion thereof is subject to any pending or, to Distribution's Knowledge,
threatened condemnation proceeding by any Governmental Body.
(b) LEASES OF REAL PROPERTY. Schedule 3.8(b) sets forth a complete
and accurate list of all leases of real property to which Distribution is a
party on the date hereof or by which Distribution is presently bound (whether as
lessee or lessor) and which provides for annual base rent in excess of $50,000
(collectively, the "LEASED REAL PROPERTY"). Except as set forth on Schedule
3.8(b), Distribution is in possession of the real property covered under each
lease set forth on Schedule 3.8(b) for which it is the lessee. Each lease with
respect to Leased Real Property is in full force and effect and constitutes a
valid and binding obligation of Distribution. No Leased Real Property or portion
thereof is subject to any pending or, to Distribution's Knowledge, threatened
condemnation proceeding by any Governmental Body.
(c) PERSONAL PROPERTY. Except as set forth on Schedule 3.8(c),
Distribution owns or holds under valid leases all material plant, machinery,
equipment and other tangible personal property used for the conduct of its
Business, subject to no Encumbrances other than Permitted Encumbrances.
(d) SHARED FACILITIES. Except as set forth on Schedule 3.8(d), there
is no office or other facility shared by Distribution and USF or any of USF's
Affiliates.
(e) ADEQUACY OF ASSETS. Except as set forth on Schedule 3.8(e), the
Purchased Assets constitute all of the assets necessary to operate the Business
after the Closing Date in substantially the same manner as the Business is
presently conducted; provided, however, Distribution makes no representation as
to the adequacy of the working capital of Distribution which is delivered at
Closing.
3.9 NO PENDING LITIGATION. Except as set forth on Schedule 3.9, no
Litigation is pending or, to Distribution's Knowledge, threatened against
Distribution, with respect to which there is a reasonable likelihood of a Loss
not covered by insurance, which would, individually or in the aggregate, have a
Material Adverse Effect.
21
3.10 COMPLIANCE WITH LAW; PERMITS.
(a) COMPLIANCE WITH LAW. Except as set forth on Schedule 3.10,
Distribution is in compliance with all applicable Laws except to the extent that
any noncompliance would not, individually or in the aggregate, have a Material
Adverse Effect.
(b) PERMITS. Except as set forth on Schedule 3.10, Distribution
owns, holds or possesses all governmental licenses and permits (collectively,
"PERMITS") that are required under applicable Laws to entitle it to own or
lease, operate and use its assets and to carry on and conduct the Business as
currently conducted by it, except for any Permit the absence of which would not
have a Material Adverse Effect, and all such Permits are valid and in full force
and effect, except for those the failure of which to be valid and in full force
and effect would not have a Material Adverse Effect.
3.11 LABOR MATTERS. Except as set forth on Schedule 3.13(b), Distribution
is in compliance with all Laws applicable to it respecting employment and labor
and employment practices, leased employees, terms and conditions of employment
and wages and hours, equal employment opportunity and collective bargaining,
except where the failure to be in compliance would not have a Material Adverse
Effect. Except as set forth on Schedule 3.11, there is no collective bargaining
agreement which is binding on Distribution and, to Distribution's Knowledge,
there is no union organizing effort underway, pending or threatened with respect
to the employees of Distribution. There are no strikes, slowdowns or work
stoppages pending between Distribution and any of its employees. Distribution
has not engaged in any unfair labor practices as defined in the National Labor
Relations Act and there is no unfair labor practice charge or complaint against
Distribution pending or, to Distribution's Knowledge, threatened before the
National Relations Board or any similar state agency.
3.12 INTELLECTUAL PROPERTY RIGHTS.
(a) INTELLECTUAL PROPERTY ASSETS. For purposes of this Agreement,
"INTELLECTUAL PROPERTY ASSETS" means:
(i) all trademarks and service marks which are registered or
have applications to register pending that are owned by Distribution, all of
which are set forth on Schedule 3.12(a)(i) (collectively, "MARKS") and, subject
to the provisions of Section 7.1, the corporate name of Distribution and all
fictional business names and trading names currently used by Distribution set
forth on Schedule 3.12(a)(i);
(ii) all issued patents and patent applications owned by
Distribution, all of which are set forth on Schedule 3.12(a)(ii) (collectively,
"PATENTS");
(iii) all registered copyrights in both published works and
unpublished works (including any applications appurtenant thereto) owned by
Distribution, all of which are set forth on Schedule 3.12(a)(iii); and
(iv) subject to the provisions of Section 7.1, all Internet
domain names owned by Distribution, all of which are set forth on Schedule
3.12(a)(iv).
22
(b) RIGHTS IN INTELLECTUAL PROPERTY.
(i) In General. Except as set forth on Schedule 3.12(b)(i):
A. Distribution is the owner of all right, title and
interest in the Intellectual Property Assets, free and clear of all Encumbrances
(other than Permitted Encumbrances).
B. To Distribution's Knowledge, Distribution has not
received any demand, claim or notice from any Person with respect to the
Intellectual Property Assets which challenges the validity of any material
Intellectual Property Asset.
(ii) Patents. Except as set forth on Schedule 3.12(b)(ii):
A. No Patent owned by Distribution is involved in any
interference, reissue or reexamination proceeding.
B. To Distribution's Knowledge, no Patent is being
infringed or threatened to be infringed.
(iii) Marks. Except as set forth on Schedule 3.12(b)(iii):
A. All Marks that have been registered with the United
States Patent and Trademark Office are currently in material compliance with all
formal legal requirements (including the timely post-registration filing of
affidavits of use and renewal applications).
B. No Xxxx is involved in any opposition or cancellation
proceeding, and, to Distribution's Knowledge, no such action is threatened with
the respect to any of the Marks.
C. To Distribution's Knowledge, no Xxxx is being
infringed or threatened to be infringed. To Distribution's Knowledge, none of
the Marks infringes or is alleged to infringe any trade name, trademark, or
service xxxx of any third party.
(iv) Intellectual Property Licenses. Distribution is the
licensee under the license agreements set forth on Schedule 3.12(b)(iv), which
are all of the licenses under which Distribution is a licensee of intellectual
property, except for (A) any license implied by the sale of a product, (B)
perpetual, paid up licenses for software programs with an individual value of
less than $10,000 per license, and (C) licenses relating to other immaterial
intellectual property rights, and there are no outstanding or, to Distribution's
Knowledge, threatened disputes with respect to any such licenses. Except as set
forth on Schedule 3.12(b)(iv), Distribution has not granted a license to use any
Intellectual Property Asset.
23
3.13 EMPLOYEES: EMPLOYEE RELATED AGREEMENTS AND PLANS: ERISA.
(a) LIST OF PLANS. Set forth on Schedule 3.13(a) is an
accurate and complete list of all USF Employee Benefit Plans and all Vivendi
Employee Benefit Plans. Distribution has no liabilities under any "employee
benefit plan" (within the meaning of Section 3(3) of ERISA) other than those
listed on Schedule 3.13(a).
(b) STATUS OF PLANS.
(i) Except as set forth on Schedule 3.13(b), each USF
Employee Benefit Plan (including any related trust) complies in form and has
been maintained and operated in accordance with the requirements of all
applicable Laws, including ERISA and the Code, and each USF Employee Benefit
Plan (in each case, including any related trust) has been maintained and
operated in substantial compliance with its terms. Except as set forth on
Schedule 3.13(b), no complete or partial termination (described in Section
41l(d)(3) of the Code) of any USF Employee Benefit Plan has occurred or is
expected to occur. No USF Employee Benefit Plan is a plan described in Section
4063(a) of ERISA.
(ii) Except as disclosed on Schedule 3.13(b), the
Vivendi Employee Benefit Plans are the only plans maintained by Vivendi
Environment S.A. or Vivendi Universal S.A. which benefit employees of
Distribution and none of such plans is subject to ERISA. Except for payroll tax
obligations which may arise upon exercise of certain Vivendi Employee Benefit
Plans, Distribution has no obligations in respect of, or any unfunded
liabilities pursuant to, any Vivendi Employee Benefit Plan.
(c) LIABILITIES.
(i) No USF Employee Benefit Plan is subject to Title IV
of ERISA or Section 412 of the Code.
(ii) Each USF Employee Benefit Plan which is a "group
health plan" (as such term is defined in Section 5000(b)(l) of the Code or
Section 607(l) of ERISA) has been administered and operated in substantial
compliance with the applicable requirements of Part 6 of Subtitle B of Title I
of ERISA and Section 4980B of the Code ("COBRA"), and Distribution is not
subject to any liability, including additional contributions, fines, taxes,
penalties or Loss of tax deduction as a result of the administration and
operation of any such USF Employee Benefit Plan. No USF Employee Benefit Plan
which is such a group health plan is a "multiple employer welfare arrangement,"
within the meaning of Section 3(40) of ERISA. Each USF Employee Benefit Plan
that is intended to meet the requirements of Section 125 of the Code meets such
requirements in all material respects, and each program of benefits for which
employee contributions are provided pursuant to elections under any USF Employee
Benefit Plan meets the requirements of the Code applicable thereto.
(iii) Except as set forth on Schedule 3.13(c)(iii), no
USF Employee Benefit Plan (whether qualified or non-qualified under Section
401(a) of the Code) provides for post-employment or retiree health, life
insurance and/or other welfare benefits, and Distribution
24
has no obligation under any USF Employee Benefit Plan to provide any such
benefits to any retired or former employees or active employees following such
employees' retirement or termination of service except as required by COBRA or
any similar state law. Distribution has no unfunded liabilities pursuant to any
USF Employee Benefit Plan that is not intended to be qualified under Section
401(a) of the Code.
(iv) Distribution has not incurred any liability or
civil penalty under Section 409, 502(i) or 502(1) of ERISA or liability for any
tax or excise tax arising under Chapter 43 or Section 6652 of the Code with
respect to any USF Employee Benefit Plan and no event has occurred and no
condition or circumstance exists that could reasonably be expected to give rise
to any such liability with respect to any USF Employee Benefit Plan.
(v) There are no actions, suits or claims pending or,
to Distribution's Knowledge, threatened against or with respect to any USF
Employee Benefit Plan or the assets of any such plan (other than routine claims
for benefits and appeals of denied routine claims), and no civil or criminal
action brought pursuant to the provisions of Title I, Subtitle B, Part 5 of
ERISA is pending or, to Distribution's Knowledge, threatened against
Distribution or, to Distribution's Knowledge, any fiduciary of any USF Employee
Benefit Plan with respect to any USF Employee Benefit Plan. USF has not received
any written notice that any USF Employee Benefit Plan or any fiduciary thereof
is presently the direct or indirect subject of an audit, investigation or
examination by any governmental or quasi-governmental agency.
(vi) Except as shown on Schedule 3.13(c)(vi),
Distribution has no liabilities (actual or contingent) with respect to any USF
Employee Benefit Plan.
(d) CONTRIBUTIONS. Except as set forth on Schedule 3.13(d),
(i) USF and Distribution have, in respect of the United States Filter
Corporation Retirement Savings Plan, and (ii) Distribution has in respect to all
other USF Employee Benefit Plans, made full and timely payment of all amounts
required to be paid by it as contributions or premiums.
(e) TAX QUALIFICATION. Each USF Employee Benefit Plan intended
to be qualified under Section 401(a) of the Code, as currently in effect, is the
subject of a favorable determination letter issued by the Internal Revenue
Service and the remedial amendment period described in Section 401(b) of the
Code applicable to any amendment of any such USF Employee Benefit Plan adopted
after the date of such letter has not expired. Each trust established in
connection with any USF Employee Benefit Plan which is intended to be exempt
from federal income taxation under Section 501(a) of the Code, as currently in
effect, is the subject of a favorable determination letter issued by the
Internal Revenue Service and the remedial amendment period described in Section
401(b) of the Code applicable to any amendment of any such USF Employee Benefit
Plan adopted after the date of such letter has not expired. Since the date of
each most recent determination letter referred to in this paragraph (e), no
event has occurred and no condition or circumstance exists that has resulted or
is reasonably likely to result in the revocation of any such determination
letter or that is reasonably likely to adversely affect the qualified status of
any such USF Employee Benefit Plan or the exempt status of any such trust.
25
(f) TRANSACTIONS. Neither USF, Distribution nor any of their
respective directors, officers or employees or, to Distribution's Knowledge,
other Persons who participate in the operation of any USF Employee Benefit Plan
or related trust or funding vehicle, has engaged in any transaction with
respect to any USF Employee Benefit Plan, or breached any applicable fiduciary
responsibilities or obligations under Title I of ERISA that would subject any of
them to a tax, penalty or liability for prohibited transactions or breach of any
obligations under ERISA or the Code or would result in any claim being made
under, by or on behalf of any such USF Employee Benefit Plan by any party with
standing to make such claim.
(g) DOCUMENTS. True and complete copies of the United States
Filter Corporation Retirement Savings Plan, all amendments to such plan, the
most recent IRS determination letter, obtained with respect to such plan, the
trust agreement applicable to such plan, the most recent annual report on Form
5500 for such plan, and the United States Filter Corporation Section 125
Flexible Benefit Plan have previously been provided to Buyer.
(h) EMPLOYEES.
(i) To Distribution's Knowledge, Schedule 3.13(h) sets
forth a list of all employees of Distribution with annual base cash compensation
in excess of $150,000 as of the Balance Sheet Date, their annual base salaries
and their job titles.
(ii) During the last two (2) years, Distribution has not
effectuated (A) a "plant closing" (as defined in the WARN Act) affecting any
site of employment or one or more facilities or operating units within any site
of employment or facility of Distribution; or (B) a "mass layoff" (as defined
in the WARN Act) affecting any site of employment or facility of Distribution,
except in material compliance with the requirements of the WARN Act.
(i) AGREEMENTS AND PLANS. Except as described in Schedule
3.13(a) or Schedule 3.13(i), Distribution is not a party to or bound by any
written:
(i) plan or agreement with any employee that cannot be
unilaterally terminated with notice of 90 or fewer days without liability to
Distribution or that entitles the employee to receive any salary continuation or
severance payment (in excess of USF's or Distribution's standard severance
policy) or retain any specified position with Distribution;
(ii) agreement with any officer or director (other than
employment agreements disclosed in response to clause (i) or excluded from the
scope of clause (i)) of Distribution;
(iii) stock option, stock purchase, bonus or other
incentive plan or agreement; or
(iv) agreement which requires Distribution to make any
payment to any officer, director or employee of Distribution as a result of the
transactions contemplated by this Agreement, including any "change in control"
provisions or agreements.
26
(j) NO MULTIEMPLOYER PLANS; WITHDRAWAL LIABILITY. Schedule
3.13(j) sets forth each Multiemployer Plan in which Distribution participates in
and the estimated withdrawal liability provided by the plan's administrator
based upon a 2002 plan year withdrawal. Except as set forth on Schedule 3.13(j),
Distribution does not contribute, nor is it obligated to contribute. to any
Multiemployer Plan and Distribution has not contributed, or had an obligation to
contribute, to any such plan during the six-year period ending on the Closing
Date.
3.14 ENVIRONMENTAL MATTERS. Except as provided on Schedule 3.14:
(a) COMPLIANCE. During the Operative Period and, to
Distribution's Knowledge, from January 1, 1992 to the beginning of the Operative
Period, Distribution has complied and is in compliance with all applicable
Environmental Laws (including Permits required under Environmental Laws), except
where the failure to so operate in compliance would not have a Material Adverse
Effect.
(b) CLAIMS. There are no pending or, to Distribution's
Knowledge, threatened actions, suits, claims or proceedings by or before any
Governmental Body directed against Distribution that pertain to (i) any
obligations or liabilities under any applicable Environmental Law; or (ii)
violations of any Environmental Law.
(c) PERMITS. All Permits required to be obtained or filed by
Distribution under all Environmental Laws in connection with the Business have
been duly obtained or filed and are in full force and effect.
(d) NOTICE. Distribution (i) has not received written notice
of any material violation of, or any currently outstanding material liability or
obligation under, any Environmental Law or that any existing Permit that was
obtained under any Environmental Law is to be revoked or suspended by any
Governmental Body; or (ii) is not currently operating or required to be
operating under, or subject to any outstanding compliance order, decree or
agreement, any consent decree, order or agreement, or corrective action decree,
order or agreement issued or entered into under, or pertaining to matters
regulated by, any Environmental Law.
(e) STORAGE TANKS. Distribution does not own or operate any
underground storage tanks other than those disclosed on Schedule 3.14 and no
such underground tanks are in material violation of any Environmental Law.
(f) LISTED PROPERTIES. None of the Owned Property is listed on
the National Priorities List pursuant to CERCLA, or to Distribution's Knowledge
on an equivalent state list of sites required to be investigated or cleaned up
under an Environmental Law.
(g) HAZARDOUS MATERIALS. During the Operative Period and, to
Distribution's Knowledge, from January 1, 1992 to the beginning of the Operative
Period, (i) no Person has treated, stored, disposed of, transported to, or
released any Hazardous Materials on, under or from any Owned Real Property or
any Leased Real Property, except in material compliance with Environmental Laws
applicable to such property and (ii) neither Distribution nor any of its
predecessors has treated, stored, disposed of, arranged for or permitted the
disposal of,
27
transported, handled, or released any Hazardous Materials, or owned or operated
any property or facility (and no such property or facility is contaminated by
any Hazardous Materials), so as to give rise to material liabilities or
obligations to Distribution or Buyer pursuant to Environmental Laws.
(h) REQUIRED NOTICE OR CONSENT. No notice or other filing,
consent or approval is required under any Environmental Law as a prerequisite to
the transfer of the Purchased Assets to Buyer.
(i) DISCLOSURE OF ENVIRONMENTAL DOCUMENTS. To Distribution's
Knowledge, Distribution has provided to Buyer access to all material
environmental audits and reports relating to the current and former operations
and facilities of Distribution, which are in the possession of Distribution or
USF.
3.15 INTENTIONALLY OMITTED.
3.16 MATERIAL CONTRACTS. Schedule 3.16 sets forth a list of all
currently active Contracts of Distribution in the following categories: (a) each
partnership, limited liability company or joint venture agreement, (b) each
Contract (i) under which Distribution has created, incurred, assumed or
guaranteed Debt Obligations or (ii) whereby Distribution has an obligation to
make an investment in or loan to any Person, (c) each Contract (or group of
related Contracts between identical parties) that commits Distribution to
purchase a minimum of $500,000 of goods and/or services on an annual basis, (d)
each Contract (or group of related Contracts between identical parties) that
commits Distribution to sell a minimum of $500,OOO of goods and/or services on
an annual basis, (e) each Contract containing covenants restricting or limiting
the freedom of Distribution to engage in any line of business, other than (x)
sales agency or distributor agreements which limit the territorial rights of
Distribution with respect to specific products or product lines; and (y)
confidentiality agreements in respect of business combination or acquisition
inquiries; or (f) each Contract between Distribution and USF or its
Subsidiaries, other than purchase orders entered into on market terms. Except as
set forth on Schedule 3.16, (1) each such Contract is (A) a valid and binding
obligation of Distribution and (B) to Distribution's Knowledge, a valid and
binding obligation of each other party thereto, and (2)(A) Distribution is not
in material breach thereof or material default thereunder (and to Distribution's
Knowledge no event or circumstance has occurred that, with notice or lapse of
time or both, would constitute an event of default) and (B) to Distribution's
Knowledge, no other party to any such Contract is in material breach thereof or
material default thereunder.
3.17 INTENTIONALLY OMITTED.
3.18 INSURANCE.
(a) POLICIES. Schedule 3.18 sets forth a list of the policies
of insurance currently maintained by USF or Distribution with respect to the
products, properties, assets, operations and Business of Distribution (including
any policies of insurance maintained for purposes of providing benefits such as
workers' compensation and employers' liability coverage) (collectively, the
"POLICIES"). All such Policies are in full force and effect. All premiums due on
28
such Policies have been paid and no notice of cancellation or termination or
intent to cancel has been received by USF or Distribution with respect to such
Policies.
(b) CLAIMS. Schedule 3.18 sets forth a list of all pending
claims (including with respect to insurance obtained but not currently
maintained) and the claims history for Distribution for the preceding five (5)
years (including with respect to insurance obtained but not currently
maintained).
3.19 ABSENCE OF UNDISCLOSED LIABILITIES. Except as set forth on
Schedule 3.19, there exist no liabilities, whether absolute or contingent, of
Distribution which would be required to be reflected, reserved for or disclosed
in a consolidated balance sheet of Distribution prepared as of the date of this
Agreement in accordance with GAAP and consistent with the Balance Sheet, other
than (i) liabilities that are reflected, reserved for or disclosed in the
Financial Statements, (ii) liabilities incurred in the ordinary course of
business since the Balance Sheet Date, (iii) liabilities, the incurrence of
which is not proscribed by Section 6.5 or which are reflected in Schedule 6.5,
incurred from the date of this Agreement until the Closing Date, (iv)
liabilities for Income Taxes and franchise Taxes which are the responsibility of
USF pursuant to Section 7.2, or (v) liabilities for items disclosed on the
Schedules by Distribution hereto which on their face a reasonable person would
ascertain as liabilities or contingent liabilities.
3.20 DISCLAIMER OF WARRANTIES. EXCEPT AS TO THOSE MATTERS EXPRESSLY
COVERED BY THE REPRESENTATIONS AND WARRANTIES IN THIS AGREEMENT, DISTRIBUTION
DISCLAIMS ALL OTHER WARRANTIES, REPRESENTATIONS AND GUARANTIES, WHETHER EXPRESS
OR IMPLIED.
ARTICLE IV
REPRESENTATIONS AND WARRANTIES OF USF
As an inducement to Buyer to enter into this Agreement and to
consummate the transactions contemplated hereby, USF represents and warrants to
Buyer as follows.
4.1 ORGANIZATION AND AUTHORITY. USF is a corporation duly organized,
validly existing and in good standing under the Laws of the State of Delaware
and has all corporate power and authority to own, operate or lease its
properties and carry on its business as now conducted. USF has all corporate
power and authority to enter into this Agreement and each Related Agreement to
which USF is a party and to perform its obligations hereunder and thereunder.
Distribution is a wholly owned Subsidiary of USF.
4.2 AUTHORIZATION; ENFORCEABILITY. This Agreement and each Related
Agreement to which USF is a party has been duly executed and delivered by and
constitutes the legal, valid and binding obligation of USF, enforceable against
it in accordance with its terms, except as such enforceability may be limited by
applicable bankruptcy, insolvency, reorganization, fraudulent conveyance,
moratorium and other Laws of general application relating to or affecting
creditors' rights and to general equity principles. The execution and delivery
of this Agreement and each Related Agreement to which USF is a party and the
consummation of the transactions
29
contemplated hereby and thereby have been duly and validly authorized by all
necessary corporate proceedings on the part of USF.
4.3 NO VIOLATION OF LAWS OR AGREEMENTS; CONSENTS.
(a) NO VIOLATION OF LAWS OR AGREEMENTS. Neither the execution
and delivery by USF of this Agreement and each Related Agreement to which USF is
a party the consummation of the transactions contemplated hereby and thereby,
nor the compliance with or fulfillment of the terms, conditions or provisions
hereof and thereof by USF:
(i) violates any provision of the Governing Documents of
USF or;
(ii) conflicts with, breaches, constitutes a default or
an event of default under any of the terms of, results in the termination of,
accelerates the maturity of or creates any Encumbrance on any asset or property
of USF under, any lease, license, indenture, mortgage or any other contract to
which USF is a party or by which any of its assets may be bound or affected, the
result of which would have a Material Adverse Effect; or
(iii) subject to the making of the filings required
under the HSR Act, violates any Law to which USF is subject or by which any
asset of USF is bound or affected, the result of which would have a Material
Adverse Effect.
(b) CONSENTS. Other than filings required in compliance with
the provisions of the HSR Act, and such consents, approvals, authorizations,
registrations or filings the failure of which to obtain or make would not have a
Material Adverse Effect, and except as set forth on Schedule 6.3, no consent,
approval or authorization of, or registration or filing with, any Person is
required in connection with the execution or delivery by USF of this Agreement
and any Related Agreement to which USF is a party or the consummation by USF of
the transactions contemplated hereby or thereby.
4.4 BROKERS, FINDERS, ETC. Except as set forth on Schedule 4.4, neither
USF nor any Affiliate of USF has employed, nor is any of them subject to any
valid claim of liability or obligation to, any broker, finder, consultant or
other intermediary in connection with the transactions contemplated by this
Agreement who might be entitled to a fee or commission in connection therewith.
USF is solely responsible for any payment, fee or commission that may be due to
the parties listed on Schedule 4.4 in connection with the transactions
contemplated hereby.
4.5 DISCLAIMER OF WARRANTIES. EXCEPT AS TO THOSE MATTERS EXPRESSLY
COVERED BY THE REPRESENTATIONS AND WARRANTIES IN SECTION 3.13 AND THIS ARTICLE
IV, USF DISCLAIMS ALL OTHER WARRANTIES, REPRESENTATIONS AND GUARANTIES, WHETHER
EXPRESS OR IMPLIED.
30
ARTICLE V
REPRESENTATIONS AND WARRANTIES OF BUYER
As an inducement to USF and Distribution to enter into this
Agreement and consummate the transactions contemplated hereby, Buyer represents
and warrants to USF and Distribution, as follows:
5.1 ORGANIZATION. Buyer is a corporation validly existing and in good
standing under the Laws of its state of incorporation, and has the corporate
power and authority to own, operate or lease its properties, carry on its
business, enter into this Agreement and each Related Agreement to which Buyer is
a party and perform its obligations hereunder and thereunder.
5.2 AUTHORIZATION; ENFORCEABILITY. The execution and delivery of this
Agreement and each Related Agreement to which Buyer is a party and the
consummation of the transactions contemplated hereby and thereunder have been
duly and validly authorized by all necessary corporate proceedings on the part
of Buyer and constitute the legal, valid and binding obligations of Buyer,
enforceable against it in accordance with its terms, except as such
enforceability may be limited by applicable bankruptcy, insolvency,
reorganization, fraudulent conveyance, moratorium and other Laws of general
application relating to or affecting creditors' rights and to general equity
principles.
5.3 NO VIOLATION OF LAWS; CONSENTS; CREDITORS. Neither the execution
and delivery of this Agreement and each Related Agreement to which Buyer is a
party the consummation of the transactions contemplated hereby and thereunder
nor the compliance with or fulfillment of the terms, conditions or provisions
hereof and thereof by Buyer will: (i) violate any provision of the Governing
Documents of Buyer, or (ii) subject to the making of the filing required under
the HSR Act, violate any Law to which Buyer is subject or by which any of its
assets may be bound or affected the result of which would have a material
adverse effect on the financial condition, operation or business of the Buyer or
on the ability of Buyer to fulfill its obligations under this Agreement. Except
for the expiration of any applicable waiting periods under the HSR Act, no
consent, approval or authorization of, or registration or filing with, any
Person is required in connection with the execution or delivery by Buyer of this
Agreement or any Related Agreement to which Buyer is a party or the consummation
by Buyer of the transactions contemplated hereby or thereby, except for such
consents, approvals, authorizations, registrations or filings, the failure of
which to obtain or make would not have a material adverse effect on the
financial condition, operation or business of Buyer or on the ability of Buyer
to fulfill its obligations under this Agreement. Except for Liabilities in
connection with the transactions contemplated herein and by documents referred
to herein, including the Commitment Letters, Buyer has no creditors or
Liabilities.
5.4 NO PENDING LITIGATION OR PROCEEDINGS. No Litigation is pending
against or affecting or, to the knowledge of Buyer, threatened against Buyer in
connection with any of the transactions contemplated by this Agreement. There is
presently no outstanding judgment, decree or order of any Governmental Body
against or affecting Buyer in connection with the transactions contemplated by
this Agreement.
31
5.5 BROKERS. FINDERS. ETC. Except as set forth on Schedule 5.5, neither
Buyer nor any of its Affiliates has employed, nor is any of them subject to any
valid claim of liability or obligation to, any broker, finder, consultant or
other intermediary in connection with the transactions contemplated by this
Agreement who might be entitled to a fee or commission in connection therewith.
Buyer is solely responsible for any payment, fee or commission that may be due
to the parties listed on Schedule 5.5 in connection with the transactions
contemplated hereby.
5.6 FINANCIAL ABILITY. Complete and correct copies of the Commitment
Letters are attached as Exhibit A and the funding commitments thereunder are in
amounts sufficient to enable Buyer to consummate the transactions contemplated
by this Agreement.
ARTICLE VI
ACTIONS PRIOR TO CLOSING DATE
Distribution and Buyer covenant and agree to take the following actions
between the date hereof and the Closing Date:
6.1 ACCESS TO INFORMATION
(a) ACCESS BY BUYER. USF and Distribution shall permit the
officers, employees and authorized representatives of Buyer (including
investment bankers, independent public accountants, representatives of financing
sources and attorneys) to have reasonable access during normal business hours
upon reasonable advance notice to the offices, properties and senior managers of
Distribution and USF employees (if in possession of information related to the
Business of Distribution), and the business and financial records of
Distribution and USF (if related to the Business of Distribution) (to the extent
that they are not trade secrets or otherwise competitively sensitive), to the
extent Buyer shall reasonably deem necessary or desirable in connection with the
transactions contemplated hereby, and shall furnish to Buyer or its authorized
representatives such additional information concerning Distribution as shall be
reasonably requested; provided, however, that:
(i) Neither USF nor Distribution shall be required to
violate any obligation of confidentiality to which USF or Distribution is
subject in discharging its obligations pursuant to this Section 6.1; and
(ii) Such investigation shall be conducted in such a
manner as not to interfere unreasonably with the operations of USF or any of its
Subsidiaries, including Distribution.
(b) NOTICE OF BREACH. If in the course of any investigation,
Buyer discovers any breach of any representation or warranty contained in this
Agreement, or any circumstance or condition that upon Closing would constitute a
breach of a representation, warranty or covenant, Buyer covenants that it will
promptly inform Distribution in writing of the nature of such breach, provided
that no such notice shall constitute a waiver of such breach.
32
6.2 NOTIFICATIONS. Distribution and Buyer shall promptly notify the
other in writing of any action, suit, proceeding or investigation that shall be
instituted or threatened against such Party to restrain, prohibit or otherwise
challenge the legality of any transaction contemplated by this Agreement.
Distribution and Buyer shall promptly notify the other in writing of any action,
suit, proceeding or investigation that may be threatened or asserted in writing,
brought or commenced against Distribution or Buyer, as the case may be, that
would have been listed in Schedule 3.9 or disclosed under Section 5.4, as the
case may be, if such action, suit, proceeding or investigation had arisen prior
to the date hereof.
6.3 CONSENTS OF THIRD PARTIES. Distribution and Buyer shall each use
commercially reasonable efforts to secure, before the Closing Date, in form and
substance reasonably satisfactory to each other, any consent, approval or waiver
required to be obtained from any Person with respect to any Contract to which
Distribution is a party and which Distribution and Buyer have identified on
Schedule 6.3. If such consent, approval or waiver cannot be obtained,
Distribution shall cooperate in any commercially reasonable arrangement designed
to obtain for the Buyer the material benefits, privileges and obligations of the
applicable Contract. Notwithstanding any other provision of this Section to the
contrary, no Party shall have any obligation to offer or pay any consideration
in order to obtain any such consent, approval or waiver.
6.4 FILINGS UNDER THE HSR ACT.
(a) GENERAL. The Parties acknowledge that the transactions
contemplated by this Agreement require filings with the FTC and the Antitrust
Division under the HSR Act.
(b) CONSENTS: APPROVALS. Distribution and Buyer shall each use
its reasonable best efforts to obtain and to cooperate with each other in order
to obtain all consents, waivers, approvals, authorizations or orders and to make
all filings (including the filings under the HSR Act and all other filings with
Governmental Bodies) lawfully required to be obtained from or filed with all
applicable Governmental Bodies in connection with the authorization, execution
and delivery of this Agreement by the Parties and the consummation by them of
the transactions contemplated hereby. Distribution and Buyer shall (i) file or
cause to be filed, as promptly as practicable but in no event later than the
seventh Business Day after the execution and delivery of this Agreement, with
the FTC and the Antitrust Division, all reports and other documents required to
be filed under the HSR Act concerning the transactions contemplated hereby and
(ii) promptly comply with or cause to be complied with any requests by the FTC
and the Antitrust Division for additional information concerning such
transactions, in each case so that the waiting period applicable to this
Agreement and the transactions contemplated hereby shall expire as soon as
practicable after the execution and delivery of this Agreement. Distribution and
Buyer shall each furnish to the other all information about such Party or its
Affiliates required to be included in any application or other filing to be made
by such other Party pursuant to the rules and regulations of any Governmental
Body in connection with the transactions contemplated by this Agreement. In
furtherance and not in limitation of the agreements of the Parties contained in
this Section 6.4, Distribution and Buyer shall each use its reasonable best
efforts to resolve such objections if any, as may be asserted by a Governmental
Body or other Person with respect to the transactions contemplated hereby under
any applicable
33
Law. In connection with the foregoing, if any administrative or judicial action
or proceeding, including any proceeding by a private party, is instituted (or
threatened to be instituted) challenging any transaction contemplated by this
Agreement as violative of any applicable Law, each of Distribution and Buyer
shall cooperate in all respects with the other and use its respective reasonable
best efforts to contest and resist any such action or proceeding and to have
vacated, lifted, reversed or overturned any decree, judgment, injunction or
other order, whether temporary, preliminary or permanent, that is in effect and
that prohibits, prevents or restricts consummation of the transactions
contemplated by this Agreement.
6.5 OPERATIONS PRIOR TO CLOSING DATE.
(a) PROHIBITIONS. Except (x) as set forth on Schedule 6.5, (y)
as otherwise contemplated by this Agreement or (z) with the consent of Buyer
(which consent will not be unreasonably withheld or delayed), from and after the
date of this Agreement until the Closing Date, Distribution shall:
(i) operate the Business in the ordinary course in
accordance with past practices and in material compliance with all Laws;
(ii) not grant any bonus to any employee or implement
any material change in the rates of salaries or compensation of the employees of
Distribution, except in accordance with any Contracts in effect on the date
hereof or regularly scheduled periodic increases and bonuses consistent with
prior practices;
(iii) not institute any material change in any
profit-sharing, bonus, incentive, deferred compensation, insurance, pension,
retirement, medical, hospital, disability, welfare or other employee benefit
plan with respect to the employees of Distribution, except as may be required to
comply with Law or Contracts in effect on the date hereof and except in
connection with modifications made to any USF Employee Benefit Plan or Vivendi
Employee Benefit Plan;
(iv) not amend the Governing Documents of Distribution
or enter into any merger, consolidation, restructuring, recapitalization,
reorganization or share exchange agreement or adopt resolutions providing
therefor;
(v) not sell, pledge, dispose of or encumber any assets
of Distribution (except for (A) sales of inventory in the ordinary course of
business and in a manner consistent with past practices, (B) dispositions of
obsolete or worthless assets, and (C) sales of immaterial assets for fair value
not in excess of $1,000,000 in the aggregate);
(vi) not (A) issue, sell, split, combine, reclassify,
pledge, dispose of or encumber, or authorize the issuance, sale, pledge,
disposition or encumbrance of, any shares of capital stock of any class, or any
options, warrants, convertible securities or other rights of any kind to acquire
any shares of capital stock, or any other ownership interest in Distribution;
(B) repurchase, redeem or otherwise acquire any securities of Distribution; or
(C) adopt a plan of complete or partial liquidation or resolutions providing for
or authorizing a liquidation or dissolution of Distribution;
34
(vii) not take any action to change accounting policies
or procedures (including accounting, bookkeeping, and operating procedures with
respect to revenue recognition, payments of accounts payable and collection of
accounts receivable) except as required by a change in GAAP occurring after the
date hereof;
(viii) not pay, discharge or satisfy any claims or
liabilities (absolute, accrued, asserted or unasserted, contingent or otherwise)
of Distribution in excess of $1,000,000 in the aggregate, other than the
payment, discharge or satisfaction of liabilities in the ordinary course of
business and consistent with past practices;
(ix) not acquire, by merger or consolidating with, or by
purchasing any portion of the equity interests or assets of, or by any other
manner, any business or any Person; and
(x) except in the ordinary course of business,
consistent with past practice, not incur any indebtedness for borrowed money or
assume, guarantee, endorse or otherwise become responsible for the obligations
of any other Person or make any loans or advances to any Person.
(b) NO AGREEMENTS. Neither USF nor Distribution shall enter
into any agreement to do any of the actions prohibited by Sections 6.5(a)(i)
through (a)(x).
6.6 NEGOTIATIONS. Until the Closing or until this Agreement is
terminated, USF and Distribution and their respective officers, directors,
employees, agents, Affiliates and advisors shall deal exclusively with Buyer,
and shall not solicit or enter into any discussions or negotiations with,
furnish or cause to be furnished any information concerning the Business to or
enter into an agreement with any Person (other than Buyer, its employees,
agents, advisors, authorized representatives or other Persons designated by
Buyer), in each case in connection with any proposed acquisition of the Business
by any Person other than Buyer, including any direct or indirect acquisition or
purchase of assets or any equity interests of Distribution or any
recapitalization, merger, consolidation, business combination, or similar
transaction involving the Business or Distribution.
6.7 GUARANTY AND SURETY OBLIGATIONS. Schedule 6.7 sets forth a list of
all guaranties, letters of credit and surety bonds outstanding as of the date of
this Agreement issued for the benefit of Distribution. Such Schedule will be
supplemented as required from time to time prior to the Closing Date. Buyer
shall use commercially reasonable efforts to obtain at its own cost and expense
the release of any and all such surety bonds for which the underlying project is
not complete, guaranties or letters of credit which are listed on Schedule 6.7
as of the date hereof or added to Schedule 6.7 after the date hereof. In the
event Buyer has not obtained the release of any such surety bonds, guaranties or
letters of credit by the Closing Date, then Buyer shall deliver a letter of
credit reasonably acceptable to USF in an amount equal to twenty-five percent
(25%) of the cost to complete under any surety bonds and twenty-five percent
(25%) of the amount outstanding under any guaranties and letters of credit. Such
letter of credit delivered to USF shall remain in place until Buyer obtains the
release of all such surety bonds, guaranties and letters of credit. Distribution
shall use good faith efforts to promptly inform
35
Buyer before guaranties, letters of credit and surety bonds are issued in
support of Distribution's obligations following the date of this Agreement and
shall promptly notify Buyer after such guaranties, letters of credit and surety
bonds have been so issued. USF and Distribution shall use commercially
reasonable efforts to cooperate with Buyer in facilitating Buyer's completing
its obligations hereunder.
6.8 TERMINATION OF RECEIVABLES PURCHASE FACILITY. Prior to the Closing,
Distribution shall cause the Receivables Purchase Facility to be terminated.
Upon termination of the Receivables Purchase Facility, Distribution will be
placed in substantially the same position with respect to its ownership and
control of its then outstanding trade accounts receivable that it would have
been in had it never entered into the Receivables Purchase Facility.
6.9 FINANCIAL AND BANKING INFORMATION. Buyer shall provide to
Distribution on a confidential basis all such information as is reasonably
requested by Distribution to evidence Buyer's ability to finance and consummate
the transactions contemplated by this Agreement.
6.10 FINANCING. Buyer shall use its commercially reasonable efforts,
taking into account the size and nature of the transactions contemplated herein,
to perform and comply with all obligations and conditions required by the
Commitment Letters to be performed or satisfied by Buyer prior to, at and as of
the Closing Date. Distribution will direct its accountants and other third
parties necessary to consummate the financing contemplated by the Commitment
Letters to cooperate with Buyer.
ARTICLE VII
ADDITIONAL AGREEMENTS
7.1 USE OF NAMES.
(a) TRADE NAMES, TRADEMARKS AND DOMAIN NAMES. Notwithstanding
any provision of Section 3.12 to the contrary, Distribution is not conveying any
ownership rights to Buyer for, or licensing Buyer to use, any of the trade
names, trademarks, service marks, service names, assumed names, brand names or
Internet domain names of USF or any of its Affiliates, including the rights to
the name "USF," "U.S. Filter," "US Filter," "USFilter," "United States Filter
Corp.," "United States Filter Corporation" or any derivation or variation
thereof or any corporate name which includes any of the foregoing names (all
such names together the "RESERVED NAMES") and after the Closing Buyer shall:
(i) promptly (but in no event later than 90 days after
the Closing) destroy all stocks of written, printed or other graphic materials
in its possession or control that use or embody any names or marks of USF or any
of its Affiliates, including the Reserved Names or modify such materials to
remove or cover over any such names or marks; and
(ii) promptly (but in no event later than 30 days after
the Closing) remove or cause to be removed any links from any of Distribution's
websites on the World Wide Web to any website maintained by or on behalf of USF
or its Affiliates (other than Distribution)
36
and cease the use of any metatags utilizing any Reserved Name or any confusingly
similar word or phrase to direct traffic to a website not owned by the owner of
the Reserved Names.
(b) CORPORATE NAMES. It is expressly understood and agreed by
the Parties that Buyer shall not undertake any business using, or otherwise act
in, the Reserved Names following the Closing Date.
(c) ADDITIONAL REMEDIES. If Buyer violates any of its
obligations under this Section 7.1, Distribution may proceed against it law or
in equity for such damages or other relief as a court may deem appropriate.
Buyer acknowledges that a violation of this Section 7.1 may cause USF and its
Subsidiaries irreparable harm which may not be adequately compensated for by
money damages. Buyer therefore agrees that in the event of any actual or
threatened violation of this Section 7.1, Distribution shall be entitled, in
addition to other remedies that it may have, to a temporary restraining order
and to preliminary and final injunctive relief against Buyer to prevent any
violations of this Section 7.1, without the necessity of posting a bond.
7.2 TAX MATTERS.
(a) TAX RETURNS.
(i) USF shall have the exclusive authority and
obligation on behalf of Distribution to prepare, execute and timely file, or
cause to be prepared, executed and timely filed, all Tax Returns with respect to
Retained Taxes.
(ii) Buyer shall have the exclusive authority and
obligation to prepare and timely file, or cause to be prepared and timely filed,
all Tax Returns which are due after the Closing Date with respect to Assumed
Taxes. Any Tax Return prepared by Buyer with respect to a Pre-Closing Period
shall be prepared by treating items on such Tax Return in a manner consistent
with the prior practices and positions of Distribution unless such treatment is
no longer permitted by applicable Law. With respect to any such Tax Return which
includes a Pre-Closing Period for which Distribution may be required to
indemnify Buyer under Article IX as a result of a breach of a representation or
warranty, Buyer shall provide Distribution with a draft copy of such Tax Return
and an opportunity to review and comment on such Tax Return at least thirty (30)
days prior to the date for filing such Tax Return. Distribution shall not be
obligated to provide any indemnification for Taxes with respect to any
Pre-Closing Period if Buyer fails to provide Distribution with such opportunity
to review and comment on a Tax Return prior to its filing to the extent that
Distribution is actually prejudiced with respect thereto. Buyer shall in good
faith take into account such comments in its preparation of such Tax Returns.
(b) TAX AUDITS. Distribution shall promptly notify Buyer upon
receipt by Distribution or any of its Affiliates of notice of any pending or
threatened Tax audits, examinations, notices of deficiency or other adjustments,
assessments or redeterminations relating to Assumed Taxes ("ASSUMED TAX
MATTERS"). Buyer shall have responsibility for handling, and shall have the
right to control, contest, resolve and defend against, any Assumed Tax Matters;
provided, however, that with respect to any Assumed Tax Matter for which
Distribution may be required to indemnify Buyer under Article IX as a result of
a breach of a representation or warranty, (A) Buyer shall keep Distribution
informed with respect to the
37
commencement, status and nature of such Assumed Tax Matter and (B) neither Buyer
nor any of its Affiliates shall agree to any deficiency, adjustment, assessment
or redetermination, or enter into any settlement of or otherwise compromise any
such Assumed Tax Matter, without the prior written consent of Distribution,
which consent shall not be unreasonably withheld or delayed.
(c) POWERS OF ATTORNEY. Distribution shall execute and provide
to Buyer such powers of attorney or other forms of authorization as may be
necessary in order for Buyer to perform its obligations under Sections
7.2(a)(ii) or 7.2(b).
(d) ASSISTANCE AND COOPERATION. After the Closing Date, each
of USF and Buyer shall (and shall cause their respective Affiliates, including
Distribution, to):
(i) assist the other Party in preparing any Tax Returns
which such other Party is responsible for preparing and filing in accordance
with Section 7.2(a); provided, however, the obligation of USF and its Affiliates
shall only extend to the date which is two (2) years following the date on which
the Tax Returns are due for the relevant Straddle Period;
(ii) upon reasonable notice and without undue
interruption to the business of such Party or Distribution, provide access
during normal business hours to the books and records of such Party relating to
the Taxes of Distribution prior to the Closing Date and for the Straddle Period;
and
(iii) furnish the other with copies of all
correspondence received from any taxing authority in connection with any Tax
matter or information request with respect to any taxable period for which the
other may have a liability.
(e) Distribution shall deliver to Buyer at the Closing a
certificate complying with the Code and Treasury Regulations, in form and
substance satisfactory to Buyer, duly executed and acknowledged, certifying that
the transactions contemplated hereby are exempt from withholding under Section
1445 of the Code.
7.3 EMPLOYEES AND EMPLOYEE BENEFIT PLANS.
(a) LEASING OF AFFECTED EMPLOYEES. Pursuant to the terms of
the Employee Leasing Agreement, Distribution shall continue to employ employees
of Distribution following the Closing Date through the last day of the
Transition Period. The obligations of Distribution and Buyer pursuant to this
Section 7.3 shall be subject to the terms and conditions of the Employee Leasing
Agreement.
(b) NOTICE TO EMPLOYEES. Effective as of the end of the day
immediately preceding the last day of the Transition Period, Distribution shall
terminate the employment of all employees who are then employed by Distribution
("AFFECTED EMPLOYEES"). Effective as of the day immediately following the last
day of the Transition Period, Buyer shall make offers of employment to all
Affected Employees which shall include paying Affected Employees who are hired
by Buyer the same salary or hourly rate of pay as was paid to such Affected
Employees by Distribution as of the last day of the Transition Period and
permitting Affected Employees who are hired by Buyer to participate in all Buyer
Benefit Programs as of the day immediately following the
38
last day of the Transition Period. Subject to the provisions of this Section
7.3, on or prior to the last day of the Transition Period, Buyer and
Distribution shall jointly give notice to all Affected Employees that all
benefits previously provided to the Affected employees under the USF Employee
Benefit Plans are discontinued as of the conclusion of the Transition Period
with respect to such Affected Employees and will be replaced by the employee
benefit plans of the Buyer (the "BUYER BENEFIT PROGRAMS") for Affected Employees
who are hired by Buyer, The Buyer Benefit Programs shall be reasonably
comparable to the USF Employee Benefit Plans as Previously provided to Affected
Employees. Such notice shall also inform the Affected Employees of the effect of
the transaction contemplated by this Agreement on the Vivendi Employee Benefit
Plans. Subject to the provisions of this Section 7.3, Buyer may amend or
terminate the Buyer Benefit Programs at any time for any reason.
(c) CREDIT FOR PRIOR SERVICE. Buyer agrees that the Affected
Employees who are hired by Buyer shall be credited with their length of service
with Distribution and USF and its Subsidiaries under the policies of the Buyer
and for all purposes under the Buyer Benefit Programs (other than for purposes
of benefit accrual under a pension plan as defined in Section 3(2) of ERISA and
early retirement subsidies under a defined benefit plan as defined in Section
3(35) of ERISA) after the Transition Period.
(d) VACATION: SICK LEAVE. Buyer shall take responsibility for
and cause to be paid in the normal course of business the vacation pay of all
Affected Employees who are hired by Buyer for all days of vacation to which each
such employee was entitled under USF's or Distribution's vacation pay policy as
of the last day of the Transition Period. For purposes of computing eligibility
for, and the amount of, vacation or holiday pay of Affected Employees who are
hired by Buyer, employment of such employees by Distribution or USF or any of
its Subsidiaries as of the conclusion of the Transition Period shall be taken
into account to the same extent as if it had been employment by Buyer. Buyer
shall credit all Affected Employees who are hired by Buyer with all days of
accrued sick leave to which such employees were entitled as of the last day of
the Transition Period under USF's or Distribution's sick leave policy as of the
last day of the Transition Period.
(e) MEDICAL AND DENTAL CLAIMS. USF or Distribution shall be
responsible for all liabilities and the payment of all covered medical and
dental claims or expenses actually incurred by any employee of Distribution (or
covered dependent of any employee of Distribution) (i) prior to the Closing Date
and (ii) during a continuous period of hospitalization which commences prior to
the Closing Date and ends after the Closing Date, and in each such case, Buyer
shall not assume nor shall Buyer be responsible for any liability with respect
to such claims or expenses. The rights and obligations of USF, Distribution and
Buyer with respect to covered medical and dental claims or expenses actually
incurred by any employee of Distribution (or covered dependent of any employee
of Distribution) on or after the Closing Date and through the last day of the
Transition Period shall be as set forth in the Employee Leasing Agreement.
Neither USF nor Distribution shall have any responsibility for any liability or
the payment of any covered medical and dental claims or expenses actually
incurred by any Affected Employee (or covered dependent of any Affected
Employee) after the last day of the Transition Period.
39
(f) COBRA. USF or Distribution shall be responsible for
providing any employee of Distribution whose "qualifying event" within the
meaning of COBRA occurs prior to the Closing Date (and such employee's
"qualified beneficiaries" within the meaning of COBRA) and for providing any
"qualified beneficiaries" of such employee whose "qualifying event" occurs prior
to the Closing Date with COBRA continuation coverage. The rights and obligations
of USF, Distribution and Buyer with respect to COBRA for any employee of
Distribution whose qualifying event occurs on or after the Closing Date and on
or before the last day of the Transition Period (and such employee's qualified
beneficiaries) and for providing any qualified beneficiaries of such employee
whose qualifying event occurs on or after the Closing Date on or before the last
day of the Transition Period shall be as set forth in the Employee Leasing
Agreement. Neither USF nor Distribution shall have any responsibility with
respect to COBRA for any Affected Employee whose qualifying event occurs after
the last day of the Transition Period (and such Affected Employee's qualified
beneficiaries) or for any qualified beneficiaries of such Affected Employee
whose qualifying event occurs after the last day of the Transition Period.
(g) DISABILITY. Distribution shall be responsible for any
long-term disability benefits for any employee of Distribution who becomes
disabled (within the meaning of the applicable disability policy) prior to the
Closing Date including any long-term disability benefits for any such employee
who had qualified for short-term disability benefits prior to the Closing Date
and who subsequently qualifies for long-term disability benefits as a
consequence of the same injury or disability. Subject to the terms of the
Employee Leasing Agreement, Buyer shall be responsible for short-term disability
benefits for those employees of Distribution or Affected Employees who became or
become disabled prior to, on or after the Closing Date, and, except as set forth
in the preceding sentence, long-term disability benefits.
(h) WARN ACT. Buyer shall be responsible for all liabilities
or obligations under the WARN Act resulting from Buyer's actions following the
Transition Period.
(i) TRANSFER FROM THE USF 401(k) PLAN. As of a date (the
"ACCOUNT TRANSFER DATE") as soon as practicable after the last day of the
Transition Period, USF shall cause to be transferred from the USF 401(k) Plan to
the 401(k) plan sponsored by the Buyer (the "BUYER'S 401(k) PLAN") cash or
property acceptable to Buyer in an amount equal to the aggregate balances of all
Affected Employees who are participants in the USF 401(k) Plan as of such
Account Transfer Date, including actual investment earnings or losses through
the Account Transfer Date (the "TRANSFERRED ASSETS"), except (x) all promissory
notes reflecting participant loans to Affected Employees outstanding as of such
Account Transfer Date shall be transferred in kind and (y) any amounts as to
which withdrawal requests have been duly submitted prior to such transfer shall
be paid by the USF 401(k) Plan to Affected Employees in accordance with ERISA
and the Code and the terms of the USF 401(k) Plan. As of the Account Transfer
Date, Buyer shall assume all liabilities applicable to Affected Employees under
the USF 401(k) Plan to pay benefits, consistent with the terms of the USF 401(k)
Plan, equal to the amount transferred. In the event any Affected Employee has a
qualified domestic relations order pending or approved in the USF 401(k) Plan at
the time of transfer, all documentation concerning such qualified domestic
relations order shall be assigned to the Buyer's 401(k) Plan. USF and the Buyer
agree to cooperate fully with respect to any governmental filings, including but
not limited to the filing
40
of any Internal Revenue Service Form 5310A reporting obligations, information
and procedures necessary to effect the transactions contemplated by this Section
7.3(i). Pending the transfer of the Transferred Assets, the accounts of the
Affected Employees shall remain in the trust fund for the USF 401(k) Plan and
USF shall cause the trustee of the USF 401(k) Plan to pay any current benefits
or make any distributions to Affected Employees, including such benefits as may
be payable to Affected Employees on account of termination of employment with
Distribution, as they become due. USF and Buyer agree to provide each other with
such records and information as they may reasonably request relating to their
respective obligations under this Section 7.3 or the administration of the USF
401(k) Plan or the Buyer 401(k) Plan.
(j) USF FLEXIBLE BENEFIT PLAN. If the last day of the
Transition Period occurs prior to December 31, 2002, the Buyer shall
immediately thereafter adopt a cafeteria plan under Section 125 of the Code and
under such plan shall honor claims by Affected Employees with respect to
deferrals made by such Affected Employees during the 2002 plan year under the
United States Filter Corporation Section 125 Flexible Benefit Plan; provided,
however, that as soon as reasonably practicable after such date, USF shall
transfer to Buyer all amounts that USF has received in respect of such
deferrals, net of any amounts previously paid out by USF to Affected Employees
with respect to eligible medical and dependent care expenses incurred in the
2002 plan year.
(k) USF MANAGEMENT DEFERRED COMPENSATION PLAN. Effective as of
the day immediately following the last day of the Transition Period, Buyer shall
establish an employee benefit plan for the benefit of those Affected Employees
who participate in the USF Management Deferred Compensation Plan (the "DEFERRED
COMPENSATION PLAN") AS of the last day of the Transition Period pursuant to
which Buyer shall assume the obligations of USF under the Deferred Compensation
Plan as of the last day of the Transition Period with respect to such Affected
Employees and shall establish a rabbi trust (as defined in Internal Revenue
Service Revenue Procedure 92-64, 1992-2 C.B. 422) (the "BUYER RABBI TRUST") to
fund benefits under such plan. As a condition of Buyer's assuming such
obligations, and subject to receipt by USF of the Deferred Compensation Plan
Transfer Amount (as defined below), USF shall cause the trustee of the rabbi
trust established in connection with the USF Deferred Compensation Plan (the
"USF RABBI TRUST") to transfer to the trustee of the Buyer Rabbi Trust assets
equal to Distribution's liability under the Deferred Compensation Plan to such
Affected Employees as of the last day of the Transition Period. USF's obligation
to cause the transfer of such assets shall be subject to the prior receipt by
USF of cash equal to the aggregate amount of all compensation withheld by
Distribution in respect of the Deferred Compensation Plan from such Affected
Employees on or before the last day of the Transition Period that has not been
forwarded to USF (the "DEFERRED COMPENSATION PLAN TRANSFER AMOUNT"). As of the
last day of the Transition Period, Buyer shall have no liabilities with respect
to the Deferred Compensation Plan except to provide benefits equal to
liabilities assumed by Buyer pursuant to this Section 7.3(k). Buyer acknowledges
that the assets to be transferred from the USF Rabbi Trust to the Buyer's Rabbi
Trust pursuant to this Section 7.3(k) may consist of insurance policies on the
lives of the Affected Employees. To the extent that the cash surrender value of
such insurance policies is less than the obligations assumed by Buyer under this
Section 7.3(k), USF shall pay sufficient additional amounts to the Buyer Rabbi
Trust as are required to make the amount of the assets & transferred equal to
the amount of the obligations assumed. To the extent that the cash surrender
41
value of such insurance policies is greater than the obligations assumed by
Buyer under this Section 7.3(k) Buyer shall pay to USF such amount as shall be
necessary to make the amount of the assets transferred equal to the amount of
the obligations assumed.
7.4 MULTIEMPLOYER PLAN. Distribution contributes to the Central
States Southeast and Southwest Areas Pension Fund (the "CENTRAL STATES FUND").
The parties hereto acknowledge that the transactions contemplated by this
Agreement would cause a complete withdrawal by Distribution and the controlled
group (within the meaning of Section 3(14)(A) of ERISA) of which Distribution is
a member (the "DISTRIBUTION CONTROLLED GROUP") from the Central States Fund and
could, therefore, result in the imposition of withdrawal liability against the
Distribution Controlled Group in accordance with Section 4203 of ERISA. The
parties hereby intend to forestall the imposition of withdrawal liability
against the Distribution Controlled Group by complying with Section 4204 of
ERISA, as follows:
(i) Effective as of the Closing, Buyer shall assume an
obligation to contribute to the Central States Fund with respect to the
Business for substantially the same number of contribution base units
(within the meaning of Section 4001(a)(l) of ERISA) for which the
Distribution Controlled Group had an obligation to contribute as of the
Closing.
(ii) Buyer shall provide to the Central States Fund, for a
period of five plan years commencing with the first plan year beginning
after the Closing, a bond issued by a corporate surety company that is
an acceptable surety for purposes of Section 412 of ERISA, or an amount
held in escrow by a bank or similar financial institution satisfactory
to the Central States Fund, in an amount equal to the greater of (A)
the average annual contribution required to be made by the Distribution
Controlled Group with respect to the Business for the three plan years
preceding the plan year in which the sale of the assets of the Business
hereunder occurs, or (B) the annual contribution that the Distribution
Controlled Group was required to make with respect to the Business for
the last plan year before the plan year in which the sale of the
Purchased Assets. Notwithstanding the foregoing, (i) the foregoing bond
or escrow shall not be required if Buyer can demonstrate to the
satisfaction of the Central States Fund that the exception to the bond
or escrow requirement described in Pension Benefit guaranty Corporation
("PBGC") Regulation Section 4204.12 or 4204.13 applies and (ii) the
foregoing bond or escrow shall not be required or may be terminated
prior to expiration of the five plan year period described above if
Buyer can obtain a variance from the Central States Fund or the PBGC in
accordance with PBGC Regulation Section 4204.11.
(iii) The bond or escrow described in Section 7.4(ii), if any,
shall be paid to the Central States Fund if Buyer withdraws from the
Central States Fund, or fails to make a contribution to the Central
States Fund when due, at any time during the first five plan years
beginning after the Closing.
(iv) If Buyer withdraws from the Central States Fund in a
complete withdrawal (within the meaning of Section 4203 of ERISA), or a
partial withdrawal (within the meaning of Section 4205 of ERISA), with
respect to the Business during the
42
five plan year period described in Section 7.4(ii), each member of the
Distribution Controlled Group, including USF and Distribution, shall be
secondarily liable for any withdrawal liability that the Distribution
Controlled Group would have had with respect to the Central States Fund
(but for this Section 7.4 and Section 4204 of ERISA) if the withdrawal
liability of Buyer with respect to the Central States Fund is not paid.
Accordingly, if Buyer withdraws from the Central States Fund before the
last day of such five plan year period, and fails to make any
withdrawal liability payment when due, then Distribution shall pay to
the Central States Fund an amount equal to the payment which would have
been due from the Distribution Controlled Group but for this Section
7.4 and Section 4204 of ERISA.
(v) If all, or substantially all, of the Distribution
Controlled Group's assets are distributed subsequent to the Closing and
before the end of the five plan year period described in Section
7.4(ii), or if the Distribution Controlled Group is liquidated during
such period, then Distribution shall provide a bond or amount in escrow
equal to the present value of the withdrawal liability the Distribution
Controlled Group would have had but for this Section 7.4 and Section
4204 of ERISA. If only a portion of the Distribution Controlled Group's
assets are distributed during such period, then a bond or escrow shall
be required, in accordance with regulations prescribed by the PBGC, in
a manner consistent with the preceding sentence.
(vi) The liability of the Party furnishing a bond or escrow
under this Section 7.4 shall be reduced upon payment of the bond or
escrow to the Central States Fund, by the amount thereof.
(vii) Any withdrawal liability of Buyer with respect to the
Central States Fund shall be determined as if Buyer had been required
to contribute to the Central States Fund, in the plan year in which the
Closing occurs and the four plan years preceding the Closing the amount
that the Distribution Controlled Group was required to contribute for
such five plan years.
(viii) Buyer shall indemnify USF, Distribution and each member
of the Distribution Controlled Group, and any Related Party, for any
losses or expenses (including without limitation reasonable attorney's
fees and expenses) which USF, Distribution or any member of the
Distribution Controlled Group may incur (A) as a result of Buyer's
complete or partial withdrawal from the Central States Fund, including
any liability pursuant to Section 7.4(iv), or (B) with respect to any
bond or escrow that may be required pursuant to Section 7.4(v).
(ix) Notwithstanding any other provision of this Agreement,
the provisions of this Section 7.4 shall survive the Closing.
(x) This Section 7.4 shall be interpreted in a manner
consistent with the intention of the Parties that Section 4204 of ERISA
shall apply to any withdrawal by the Distribution Controlled Group from
the Central States Fund that may result from the transactions
contemplated by this Agreement. The Parties shall cooperate with each
other to the extent reasonably necessary to effectuate the foregoing
intent and to Secure
43
the acknowledgement by the Central States Fund of the applicability of
Section 4204 of ERISA to any such withdrawal or the availability of any
variance or exemption described in PBGC Regulation Sections
4204.11, 4204.12 or 4204.13.
7.5 NO PUBLIC ANNOUNCEMENT. Neither Buyer, nor Distribution, nor their
respective Affiliates shall, without the written approval of the other Parties
(which approval shall not be unreasonably withheld), make any press release or
other public announcement concerning the transactions contemplated by this
Agreement, except as and to the extent that any such Person shall be so
obligated by Law, in which case the other Parties to this Agreement shall be
advised and the Parties shall use their best efforts to cause a mutually
agreeable release or announcement to be issued; provided, however, that the
foregoing shall not preclude communications or disclosures necessary to
implement the provisions of this Agreement or to comply with applicable
accounting and disclosure obligations of any Governmental Body or the rules of
any stock exchange (but to the extent practicable, each Party shall be given an
opportunity to provide comment to any such communication or disclosure).
7.6 EXPENSES. Except as otherwise specifically provided in this
Agreement, each Party will pay all costs and expenses incident to its
negotiation and preparation of this Agreement and to its performance and
compliance with all agreements and conditions contained herein on its part to be
performed or complied with, including the fees, expenses and disbursements of
its counsel, investment banker and independent public accountants and the filing
fees payable in connection with each Party's respective filing required by the
HSR Act (provided, however, that Buyer shall pay (i) all fees and expenses of
accountants in excess of $72,000 for the matters set forth on Schedule 7.6
incurred by USF or Distribution in order to meet the conditions of the
Commitment Letters, and (ii) upon prior notice and approval (which approval will
not be unreasonably withheld) the other incremental fees and expenses of
accountants and the fees and expenses of other third parties, incurred by
Distribution or USF in order to meet the conditions of the Commitment Letters).
All transfer taxes, costs and expenses, including the costs of surveys,
environmental studies and title insurance, incurred in connection with the
transfer of the Purchased Assets shall be paid by Buyer.
7.7 BOOKS AND RECORDS. From and after the Closing Date, each of
Distribution and Buyer shall maintain copies of all books and records retained
by Distribution, on the one hand, or acquired by Buyer as part of the Purchased
Assets, on the other hand, and shall not destroy any of such books and records
for a period of seven (7) years following the Closing Date without first
allowing the other Party, at such other Party's expense, to make copies of the
same. During that seven year period, Distribution and Buyer shall (i) grant to
the other Party and such other Party's representatives reasonable cooperation,
access and staff assistance at all reasonable times and upon reasonable notice
to all such books and records (including workpapers and correspondence with
taxing authorities) that are not otherwise protected by legal privilege, (ii)
afford the other Party and its representatives the right, at such other Party's
expense, to take extracts therefrom and to make copies thereof, and (iii)
provide the other Party access to employees, all to the extent reasonably
necessary or appropriate for general business purposes, including the
preparation of Tax returns and the handling of Tax audits, disputes and
litigation.
44
The granting of access to books, records, information and personnel pursuant to
this Section 7.7 shall at all times be made on a confidential basis.
7.8 SOLVENCY. Except as otherwise expressly provided for herein or as
expressly consented to in writing by Buyer, for a period of ten (10) years
following the Closing Date, Distribution shall, and USF shall cause Distribution
to:
(a) maintain the corporate existence of Distribution and not
voluntarily liquidate or dissolve Distribution; and
(b) ensure that Distribution shall have funds sufficient to
enable it to pay its debts, obligations and other liabilities, including the
Retained Obligations and its indemnification obligations hereunder, as and when
they become due.
7.9 POLICY CLAIMS. In the event of a claim with respect to the
Purchased Assets or Assumed Obligations arising from an occurrence on or prior
to the Closing Date for which Buyer believes coverage may be available under a
Policy, Buyer shall provide Distribution with prompt notice of such claim and,
subject to the terms of the applicable Policy, shall be entitled to pursue such
claim under the Policy. USF and Distribution shall use reasonable commercial
efforts (and shall use additional efforts to the extent all costs and expenses
associated with such additional efforts are paid or reimbursed by Buyer) to
cooperate with Buyer in connection with submitting such claim under an
applicable Policy and in pursuing coverage of such claim under such Policy and
USF and Distribution shall promptly remit any insurance proceeds received (net
of any third party expenses incurred) with respect to such claim to Buyer.
7.10 NON-COMPETITION AND NON-SOLICITATION.
(a) AGREEMENT NOT TO COMPETE. Except as provided in Section
7.1(c), USF agrees that during the Non-Compete Period, it shall not, and shall
cause each of its Subsidiaries (so long as they remain Subsidiaries of USF) not
to, engage in a Prohibited Activity anywhere in the Territory.
(b) DEFINITIONS. For purposes of this Section 7.10, the
following terms shall have the meaning set forth below:
"NON-COMPETE PERIOD" means the period from the Closing Date
until twenty-four (24) months after the Closing Date.
"PROHIBITED ACTIVITY" means the purchase and resale to
contractors and end-users of pipes, fittings, valves, meters,
hydrants, and other components to build or repair water and
wastewater collection and distribution systems.
"TERRITORY" means the United States of America.
(c) PERMITTED ACTIVITIES. Notwithstanding any other provision
of this Section 7.10 to the contrary, during the Non-Compete Period the Parties
agree that USF and each
45
Subsidiary of USF may at any time engage in any or all of the following
activities anywhere in the Territory:
(i) directly or indirectly acquire, including by way of
a purchase of assets or securities or by way of merger or consolidation, any
Person or business (such Person or business, an "ACQUIRED BUSINESS") engaged in
any Prohibited Activity, if less than fifteen percent (15%) of the consolidated
gross revenues of such Acquired Business during the last completed fiscal year
of such Acquired Business prior to such acquisition were derived from any
Prohibited Activity. USF or any Subsidiary of USF may conduct such Prohibited
Activity through such Acquired Business without limitation or restriction and
without regard to the provisions of this Agreement;
(ii) directly or indirectly acquire, including by way of
a purchase of assets or securities or by way of merger or consolidation, any
Acquired Business even if fifteen percent (15%) or more of the consolidated
gross revenues of such Acquired Business during the last completed fiscal year
of such Acquired Business prior to such acquisition were derived from any
Prohibited Activity; provided that, in such event, USF shall use (or cause the
Subsidiary of USF that acquired such Acquired Business to use) its commercially
reasonable efforts during the Non-Compete Period to dispose (in whole or in
part) of all or some business units of such Acquired Business that is then
engaged in such Prohibited Activity as soon as practicable after the
consummation of such acquisition, so that less than fifteen percent (15%) of the
consolidated gross revenues of such Acquired Business during the fiscal year of
such Acquired Business in which such acquisition occurred and thereafter during
the Non-Compete Period will be derived from such Prohibited Activity;
(iii) form, join, enter into or participate in any
partnerships, joint ventures, consortia and other relationships (including,
without limitation, as a subcontractor to, or pursuant to a subcontract with, a
provider engaged in any Prohibited Activity) which engage in any Prohibited
Activity, so long as the goods or services contributed by USF or any of its
Subsidiaries to any such partnership, joint venture, consortium or other
relationship do not require USF or any such Subsidiary to directly engage in
such Prohibited Activity;
(iv) perform under the terms of any contract or bid
proposal entered into or made in the ordinary course of business by USF or its
Subsidiaries on or prior to the date of this Agreement; and
(v) purchase and resale of pipes, fittings, valves,
meters, hydrants, and other components in connection with or ancillary to the
design, construction, erection, installation, repair, rehabilitation, operation
or maintenance by USF of municipal, industrial or commercial water or wastewater
collection, treatment, distribution or disposal equipment, facilities or
systems.
(d) REMEDY. If USF or any of its Subsidiaries violates any of
their obligations under this Section 7.10, Buyer and any of its Affiliates may
proceed against any of them in law or in equity for such damages or other relief
as a court may deem appropriate. USF acknowledges that a violation of this
Section 7.10 may cause Buyer or any of its Affiliates irreparable harm which may
not be adequately compensated for by money damages. USF
46
therefore agrees that in the event of any actual or threatened violation of this
Section 7.10, Buyer and any of its Affiliates shall be entitled, in addition to
other remedies that they may have, to a temporary restraining order and to
preliminary and final injunctive relief against USF and any of its Subsidiaries
to prevent any violations of this Section 7.10.
(e) NON-SOLICITATION OF EMPLOYEES. For a period of twenty-four
(24) months after the Closing Date, USF and its Subsidiaries will not, directly
or indirectly, (i) induce or attempt to induce any employee listed on Schedule
7.10 to leave the employ of Buyer, or (ii) employ or otherwise engage as an
employee, independent contractor or otherwise, any employee listed on Schedule
7.10.
7.11 AMERICAN EXPRESS. Buyer shall use commercially reasonable efforts
to effectuate a transfer or replacement prior to the Closing Date of the
American Express credit cards held by Affected Employees from the existing USF
or Distribution account to an account of Buyer. If Buyer is unable to complete
such transfer or replacement prior to the Closing Date Buyer shall continue to
use commercially reasonable efforts to complete such transfer or replacement as
promptly as possible. Following Closing and prior to the EARLIER of December 31,
2002 and the date of the completed transfer or replacement, USF shall permit the
Affected Employees to continue to use the existing American Express cards,
provided that Buyer shall reimburse USF for all amounts attributable to charges
made by Affected Employees made following the Closing Date. Buyer will indemnify
and hold harmless USF and Distribution from any and all Losses suffered by USF
or Distribution relating to such charges and related fees on such American
Express cards for periods following the Closing Date.
ARTICLE VIII
CONDITIONS TO CLOSING; TERMINATION
8.1 CONDITIONS PRECEDENT TO OBLIGATION OF BUYER. The obligation of
Buyer to proceed with the Closing under this Agreement is subject to the
fulfillment prior to or at the Closing of the following conditions, any one or
more of which may be waived in whole or in part by Buyer acting in its sole
discretion:
(a) BRINGDOWN OF REPRESENTATIONS AND WARRANTIES: COVENANTS.
Each of the representations and warranties of Distribution and USF contained in
this Agreement shall be true and correct in all material respects on and as of
the Closing Date, except to the extent that ANY REPRESENTATION and warranty
relates to an earlier date, in which case such representation and warranty shall
be true and correct as of such earlier date and except that any representations
and warranties which by their terms are qualified by materiality (including the
phrases "material," "in all material respects" and "Material Adverse Effect")
shall be true and correct in all respects as so qualified. Each of USF and
Distribution shall have performed in all material respects each of their
respective covenants and complied in all material respects with each of the
provisions required by this Agreement to be performed or complied with by each
of USF and Distribution at or before the Closing. Buyer shall have received a
certificate of an executive officer of each of USF and Distribution dated as of
the Closing Date, certifying as to the foregoing matters.
47
(b) ORDERS. No Statute, regulation or order of any
Governmental Body shall be in effect that restrains or prohibits the
transactions contemplated hereby.
(c) CONSENTS. Distribution or Buyer shall have received the
consents or other approvals referred to in Section 6.3.
(d) ANTITRUST. All waiting periods applicable to the
consummation of the Share Transfer under the HSR Act shall have expired or been
terminated.
(e) INSTRUMENTS OF TRANSFER. Distribution shall have
acknowledged and delivered to Buyer such instruments of transfer of the
Purchased Assets as shall be required to vest in Buyer all of Distribution's
right, title and interest in and to the Purchased Assets.
(f) CERTIFIED RESOLUTIONS. Each of USF and Distribution shall
have delivered to Buyer a certified copy of resolutions of its respective board
of directors approving this Agreement and the transactions contemplated hereby.
(g) OPINION OF COUNSEL TO DISTRIBUTION. Buyer shall have
received an opinion dated the Closing Date from Xxxxxxxxxx Xxxxxx & Xxxxxxx LLP,
counsel to Distribution, in form and substance reasonably satisfactory to the
Buyer (and Buyer shall reasonably agree to a portion of such opinion being
delivered by USF's internal legal counsel).
(h) RELATED AGREEMENTS. USF and Distribution each shall have
executed and delivered to Buyer the Related Agreements to which each of USF and
Distribution is a party.
(i) FINANCING. Buyer shall have received not less than an
aggregate of $450 million in proceeds from debt financing on substantially the
terms and conditions set forth in the Commitment Letters.
(j) CERTIFICATION. KPMG shall have delivered a letter, based
upon their having performed specified procedures with respect to the calculation
of Pro Forma EBITDA of Distribution for the 12 month period ended as of the last
day of the most recently completed calendar quarter prior to the Closing Date
for which financial statements of Distribution were furnished to Buyer in
connection with the debt financing contemplated by the Commitment Letters (which
procedures may include agreeing specified components of Pro Forma EBITDA of
Distribution to the books and records of Distribution, confirming that the types
of adjustments REFLECTED in Pro Forma EBITDA of Distribution are in accordance
with the provisions of Article XI of Regulation S-X under the Securities Act,
and recomputing Pro Forma EBITDA of Distribution); provided, that in the event
such 12 month period ends as of June 30, 2002, such letter shall be to the
effect that Pro Forma EBITDA of Distribution was $90.1 million or greater.
(k) GUARANTY. USF shall have delivered to Buyer the Guaranty
of Vivendi Environnement, S.A. substantially in the form of Exhibit B, together
with an opinion of the general counsel of Vivendi Environnement, S.A. reasonably
acceptable to Buyer.
48
8.2 CONDITIONS PRECEDENT TO OBLIGATION OF USF AND DISTRIBUTION. The
obligation of USF and Distribution to proceed with the Closing under this
Agreement is subject to the fulfillment prior to or at closing of the following
conditions, any one or more of which may be waived in whole or in part by USF
and Distribution acting in their sole discretion:
(a) BRINGDOWN OF REPRESENTATIONS AND WARRANTIES; COVENANTS.
Each of the representations and warranties of Buyer contained in this Agreement
shall be true and correct in all material respects on and as of the Closing
Date, except to the extent that any representation and warranty relates to an
earlier date, in which case such representation and warranty shall be true and
correct in all material respects as of such earlier date and except that any
representations and warranties which by their terms are qualified by materiality
(including the phases "material," "in all material respects" and "Material
Adverse Effect") shall be true and correct in all respects as so qualified.
Buyer shall have delivered the Purchase Price and performed in all material
respects each of the covenants and complied in all material respects with each
of the provisions required by this Agreement to be performed or complied with by
it at or before the Closing. USF and Distribution shall have received a
certificate of an executive officer of Buyer dated as of the Closing Date,
certifying as to the foregoing matters.
(b) ORDERS. No statute, regulation or order of any
Governmental Body shall be in effect that restrains or prohibits the
transactions contemplated hereby.
(c) ANTITRUST. All waiting periods applicable to the
consummation of the Share Transfer under the HSR Act shall have expired or been
terminated.
(d) ASSUMPTION OF ASSUMED OBLIGATIONS. Buyer shall have
acknowledged and delivered to Distribution such instruments of transfer relating
to the Assumed Obligations as shall be necessary for Buyer to assume all of the
Assumed Obligations.
(e) OPINION OF COUNSEL TO BUYER. Distribution shall have
received an opinion dated the Closing Date from O'Melveny & Xxxxx LLP, counsel
to Buyer, in form and substance reasonably satisfactory to Distribution.
(f) RELATED AGREEMENTS. Buyer shall have executed and
delivered to USF and Distribution the Related Agreements to which Buyer is a
party.
8.3 TERMINATION.
(a) TERMINATION OF AGREEMENT. This Agreement may be terminated
at any time prior to the Closing by: (i) mutual consent of Buyer and
Distribution; (ii) Buyer, if any of the conditions specified in Section 8.1
hereof shall not have been fulfilled by March 31, 2003 and shall not have been
waived by Buyer; (iii) Distribution, if any of the conditions specified in
Section 8.2 hereof shall not have been fulfilled by March 31, 2003 and shall not
have been waived by Distribution; or (iv) by either Distribution or Buyer if a
Governmental Body shall have issued a nonappealable final order, decree or
ruling or taken any other nonappealable final action having the effect of
permanently restraining, enjoining or otherwise prohibiting the transfer of the
Purchased Assets and assumption of the Assumed Obligations. If this Agreement is
validly terminated pursuant to this Section 8.3(a), this Agreement will
thereafter be null and
49
void, and there will be no liability or obligation on the part of USF,
Distribution or Buyer (or any Related Parties of any of them) except as provided
in Section 8.3(b) or Section 8.3(c) and except that Section 7.5 and Section 7.6
shall survive any such termination.
(b) REMEDIES. In the event of termination of this Agreement
pursuant to clause (i) or clause (iv) of the preceding Section 8.3(a), no Party
shall be liable to another Party for any breach hereof. In the event of
termination of this Agreement by either Buyer or Distribution pursuant to clause
(ii) or (iii) of the preceding Section 8.3(a), Distribution and USF, on a joint
and several basis, on the one hand, and Buyer, on the other hand, shall be
liable to the other for any breach hereof by such Party, which breach led to
such termination. Subject to the limitations in Section 9.4, Buyer and
Distribution shall be entitled to seek any remedy to which such Party may be
entitled at law or in equity in the event of such termination, which remedies
shall include injunctive relief and specific performance.
(c) LIMITATIONS. Notwithstanding the foregoing, in the event
that this Agreement is terminated by one Party pursuant to clause (ii) or (iii)
of the first sentence of subsection (a) solely as a result of a failure by
another Party to satisfy a condition set forth in Article VIII, which condition
did not constitute a representation or warranty or a covenant of such other
Party and which failure could not have been reasonably anticipated by such other
Party and was beyond the reasonable control of such other Party, then no Party
shall have any remedy against the other Parties in connection with such
termination.
ARTICLE IX
INDEMNIFICATION
9.1 SURVIVAL OF REPRESENTATIONS AND WARRANTIES. Subject to the
provisions of this Article IX, the representations and warranties of
Distribution contained in Article III, of USF contained in Section 3.13 and
Article IV, and of the Buyer contained in Article V shall survive for a period
of eighteen (18) months after the Closing Date and no claims shall be made by
any Indemnified Party (as hereinafter defined) under this Section 9.1
thereafter. Notwithstanding the foregoing, (a) any such representation or
warranty as to which a claim relating thereto is asserted in writing (which
states with specificity the basis therefor) in accordance with Section 9.3
during such survival period shall, with respect only to such claim, continue in
force and effect beyond such survival period pending resolution of such claim,
(b) the representations and warranties of Distribution set forth in Sections 3.3
shall survive forever, (c) the representations and warranties of Distribution
set forth in Section 3.7 shall survive until the expiration of the relevant
statute of limitations, (d) the representations and warranties of Distribution
set forth in Section 3.14 shall survive until the third anniversary of the
Closing Date; (e) the representations and warranties of USF set forth in Section
4.4 shall survive forever, and (f) the representations and warranties of Buyer
set forth in Section 5.5 shall survive forever.
9.2 GENERAL INDEMNIFICATION. If the transactions contemplated hereby
occur at the Closing, subject to the provisions of Section 9.1:
(a) INDEMNIFICATION BY USF AND DISTRIBUTION. USF and
Distribution each hereby agree, from and after the Closing, to jointly and
severally indemnify and hold harmless
50
the Buyer Indemnified Parties against any Recoverable Losses that such Buyer
Indemnified Parties shall actually incur, to the extent that such Recoverable
Losses (or claims, actions, suits or proceedings in respect thereof and any
appeals therefrom ("PROCEEDINGS")):
(i) arise out of any breach of any representation or
warranty made in Article III or Article IV;
(ii) arise out of any failure to perform any covenant
made herein by USF or Distribution; and
(iii) arise from or related to Retained Obligations.
(b) INDEMNIFICATION BY BUYER. Buyer hereby agrees, from and
after the Closing, to indemnify and hold harmless the Seller Indemnified Parties
against any Recoverable Losses that such Seller Indemnified Parties shall
actually incur, to the extent that such Recoverable Losses (or Proceedings in
respect thereof):
(i) arise out of any breach of any representation or
warranty made in Article V;
(ii) arise out of any failure to perform any covenant
made herein by Buyer; and
(iii) arise from or related to Assumed Obligations;
provided, however, that Buyer shall not be required to indemnify the Seller
Indemnified Parties for any Assumed Taxes for which USF is required to indemnify
Buyer as a result of a breach of Section 3.7.
(c) LIMITATIONS
(i) Notwithstanding the foregoing provisions of Sections
9.2(a) and 9.2(b), an Indemnifying Party shall not have any liability to an
Indemnified Party under Section 9.2(a)(i) or Section 9.2(b)(i) unless and until
the aggregate amount of all Recoverable Losses incurred by such Indemnified
Party exceeds 1% of the Purchase Price as adjusted by any Purchase Price
Adjustment (the "ADJUSTED PURCHASE PRICE"), in which event only the amount in
excess of 1% of the Adjusted Purchase Price shall be recoverable; and the
aggregate liability of an Indemnifying Party under Section 9.2(a)(i) or under
Section 9.2(b)(i) shall not exceed 10% of the Adjusted Purchase Price; provided,
however, that the limitations set forth in this sentence shall not apply with
respect to USF's and Distribution's liability to the Buyer Indemnified Parties
for breaches of Section 3.3 or Section 4.4, shall not apply with respect to
Buyer's liability to the Seller Indemnified Parties for breach of Section 5.5 or
Section 5.6, and for the avoidance of doubt shall not apply to the liability of
Buyer or Distribution, as applicable, to pay the amount of the Purchase Price
Adjustment pursuant to the terms of Section 2.5 hereof and any amounts paid with
respect to the matters addressed in this proviso shall not be included in
determining whether the limitations in this sentence (the 1% and 10%
calculations) have been reached. All indemnity payments made under this Article
IX shall be treated as adjustments to the Purchase Price. For the purposes of
determining the amount of Losses incurred by an Indemnified Party in accordance
with this Article IX, such Losses shall be offset by the amount of any Income
Tax
51
benefit actually realized by the Indemnified Party with respect thereto. For the
avoidance of doubt, the limitations set forth in this paragraph shall not apply
to indemnification under clauses (ii) or (iii) of Section 9.2(a) or clause (ii)
or (iii) of Section 9.2(b).
(ii) USF and Distribution shall not be liable for any
Losses resulting from a breach of any of the representations, warranties and
covenants set forth in Article III or Article IV of this Agreement or any of the
covenants set forth in Article VII of this Agreement to the extent that:
(1) the liability for such breach occurs or is
increased as a result of the adoption or imposition of any Law
not in force at the date of this Agreement or as a result of
any retroactive increase in rates of taxation imposed after
the Closing Date;
(2) the Losses would not have arisen but for a change
in accounting policy or practice of the Buyer after the
Closing; or
(3) Buyer has failed to first use commercially
reasonable efforts to recover any Losses from insurers under
any Policies or other third parties with respect to any
contractual rights to indemnification, reimbursement, offset
or recovery against such third parties existing as of the
Closing Date. Any amounts (net of enforcement costs and
deductibles) received from such insurers or such other third
parties shall reduce the amount of Losses for purposes of
determining the amount of USF's and Distribution's indemnity
obligation under this Article IX. If received after an
indemnification payment has been made by USF or Distribution
under this Article IX, any amounts recovered from insurers or
other third parties shall be paid to the Indemnifying Party up
to the amount paid by the Indemnifying Party, plus interest on
such amount, calculated at the Reference Rate, from the date
paid by the Indemnifying Party to the date of payment to the
Indemnifying Party, inclusive; provided, however, that under
no circumstances shall the Buyer Indemnified Parties be
required to pay the Indemnifying Party an amount which exceeds
the amount recovered from the insurer or third party, as the
case may be. At the time of receiving an indemnification
payment from USF or Distribution, Buyer shall assign to USF
its right to any available remedy against insurers under any
Policies or against third parties in each case, with respect
to the claim for which an indemnification payment has been
made and up to the amount of such indemnification payment.
(d) WAIVER OF CONDITIONS. Notwithstanding anything to the
contrary in this Agreement, to the extent that Distribution or Buyer waives in
writing satisfaction of one or more of the conditions set forth in Section 8.1
or Section 8.2, which conditions were not satisfied due to the occurrence of one
or more events, conditions or circumstances that was specifically disclosed in
writing (including by inclusion on a Schedule hereto) to Distribution or Buyer,
respectively, prior to the Closing, the disclosing Party shall not be liable for
any losses resulting from such matter or matters to the extent so disclosed.
(e) INDEMNIFICATION BY BUYER. Notwithstanding any term in this
Agreement to the contrary, to the fullest extent permitted by Law, Buyer hereby
agrees, from and after the
52
Closing, to indemnify and hold harmless the Seller Indemnified Parties against
any Losses incurred by the Seller Indemnified Parties to the extent that such
Losses arise out of or are based upon the ownership of the Purchased Assets and
operation of the Business from and after the Closing Date where the events
giving rise to the Losses first arise or occur on or after the Closing Date.
This indemnification shall be in addition to the indemnification provisions
provided in Section 9.2(b) and shall not be subject to the thresholds,
deductibles and other limitations set forth in Section 9.2(c).
9.3 PROCEDURES.
(a) NOTICE OF CLAIM. Promptly after receipt by a Buyer
Indemnified Party or a Seller Indemnified Party (AN "INDEMNIFIED PARTY") under
SECTION 9.2 of Notice of a Recoverable Loss or the commencement of any
Proceeding with respect to which it believes it is entitled to be indemnified
under this Agreement, the Indemnified Party shall, if a claim in respect thereto
is to be made against USF or Distribution, on the one hand, or Buyer on the
other hand (the "INDEMNIFYING PARTY") under this Article, notify the
Indemnifying Party in writing of the commencement thereof; provided however,
that the omission to notify the Indemnifying Party shall not relieve the
Indemnifying Party from any liability that the Indemnifying Party may have to
the Indemnified Party to the extent that the Indemnifying Party is not
prejudiced by such omission.
(b) SETTLEMENT: COMPROMISE. An Indemnifying Party will not,
without the prior written consent of the Indemnified Party (which consent shall
not be unreasonably withheld or delayed), settle or compromise or consent to the
entry of any judgment with respect to any pending or threatened Proceeding
unless such settlement, compromise or consent includes an unconditional release
of the Indemnified Party from all liability arising out of such Proceeding. An
Indemnified Party will not, without the prior written consent of the
Indemnifying Party, settle or compromise or consent to the entry of any judgment
with respect to any pending or threatened Proceeding.
(c) PROCEDURE. If a Proceeding shall be brought against an
Indemnified Party and it shall notify the Indemnifying Party thereof in
accordance with subsection (a) of this Section 9.3, the Indemnifying Party shall
be entitled to assume the legal defense thereof. The Indemnified Party shall
have the right to employ separate counsel in any such action and participate in
the defense thereof, but the fees and expenses of such counsel shall be at the
expense of the Indemnified Party unless (i) the employment of such counsel shall
have been specifically authorized in writing by the Indemnifying Party, (ii) the
Indemnifying Party shall have failed to assume the defense of such action or
(iii) the named parties to any such Proceeding (including any impleaded parties)
include both the Indemnified Party and the Indemnifying Party, and the
Indemnified Party shall have been advised by such counsel that there is a
conflict for counsel in representing both the Indemnifying Party and the
Indemnified Party. In any such case, the Indemnifying Party shall not, in
connection with any one action or separate but substantially similar or related
actions in the same jurisdiction arising out of the same general allegations or
circumstances, be liable for the fees and expenses of more than one separate
firm of attorneys (in addition to any local counsel) for the Indemnified Party.
Except as aforesaid,
53
after notice from the Indemnifying Party to the Indemnified Party of its
election to assume the defense of such claim or such action, the Indemnifying
Xxxxx shall not be liable to the Indemnified Party under this Section for any
attorneys' fees or other expenses (except reasonable costs of investigation)
subsequently incurred by the Indemnified Party in connection with the defense
thereof. To the extent of any inconsistency between the provisions of this
Section 9.3(c) and Section 7.2(b), the provisions of Section 7.2(b) shall
control with respect to matters covered by Section 7.2(b).
(d) RESOLUTION OF DISPUTES. In the case of an alleged
Recoverable Loss which is disputed by the Indemnifying Party, the Parties shall
attempt in good faith to resolve their differences for a period of 60 days and,
if the Parties are unable to resolve their differences within such period, the
Indemnified Party may submit the matter to judicial proceedings (unless an
alternate dispute resolution procedure is specified in this Agreement with
respect to such dispute).
9.4 CONSEQUENTIAL DAMAGES. Except to the extent any damages are
actually paid to a third party, no Party shall be liable to any other Party for
claims for punitive, special, exemplary or consequential damages, including
damages for loss of profits, loss of use or revenue, or losses by reason of cost
of capital, arising out of or relating to this Agreement or the transactions
contemplated hereby, regardless of whether a claim is based on contract, tort
(INCLUDING NEGLIGENCE), strict liability, violation of any applicable deceptive
trade practices act or similar Law or any other legal or equitable principle,
and each Party releases the other Parties from liability for any such damages;
provided, however, that the foregoing provisions shall not prevent Buyer from
seeking damages based upon a multiple of EBITDA of Distribution in the event of
a breach of the representations and warranties contained in Section 3.5. No
Party shall be entitled to rescission of this Agreement as a result of breach of
any other Party's representations, warranties, covenants or agreements, or for
any other matter set forth herein.
9.5 SOLE REMEDY. Except as provided in Section 7.1(c), from and after
the Closing the provisions of this Article IX shall be the sole and exclusive
remedy of each Party for claims for monetary damages arising from or related to
(i) any breach of a Party's representations or warranties contained in this
Agreement, (ii) any breach of a Party's covenants or other agreements contained
in this Agreement, or (iii) any other matters relating to this Agreement other
than claims for fraud. The Buyer Indemnified Parties and Seller Indemnified
Parties are the only Persons entitled to exercise any remedy provided by this
Article IX.
ARTICLE X
MISCELLANEOUS
10.1 FURTHER ASSURANCES. Distribution shall, at any time and from time
to time on and after the Closing Date, upon request by Buyer and without further
consideration, take or cause to be taken such actions and execute, acknowledge
and deliver, or cause to be executed, acknowledged and delivered, such
instruments, documents, transfers and conveyances as may be required for the
conveying, transferring, assigning and delivering of the Purchased Assets to
Buyer. Effective as of the Closing, Distribution and USF hereby constitute and
appoint the
54
Buyer and its successors and assigns the true and lawful attorney of
Distribution with full power of substitution, in the name of the Buyer or the
name of Distribution and/or USF, on behalf of and for the benefit of the Buyer
solely (a) to collect all Purchased Assets, (b) to endorse, without recourse,
checks, notes and other instruments in connection with the Business and
attributable to the Purchased Assets and (c) to do all such reasonable acts and
things with respect to the Purchased Assets as the Buyer may deem advisable,
subject to the consent of Distribution, which consent shall not be unreasonably
withheld. Distribution and USF agree that the foregoing powers are coupled with
an interest and shall be irrevocable by Distribution and USF directly or
indirectly by the dissolution of Distribution or USF or in any other manner. The
Buyer shall retain for its own account any amounts collected pursuant to the
foregoing powers and Distribution and USF shall promptly pay to the Buyer any
amounts received by Distribution and USF after the Closing with respect to the
Purchased Assets. Buyer shall hold USF and Distribution harmless from and
against any Losses resulting from Buyer's exercise of the power granted in this
Section. For the avoidance of doubt, USF and Distribution shall not be deemed to
have a Loss solely as a result of Buyer's collection or endorsement of any
Purchased Asset or for actions taken by Buyer in connection with the Purchased
Assets to the extent consented to by Distribution.
10.2 NOTICES. All notices and other communications given or made
pursuant to this Agreement shall be in writing and shall be deemed to have been
duly given or made (i) the second Business Day after the date of mailing, if
delivered by registered or certified mail, postage prepaid; (ii) upon delivery,
if sent by hand delivery; (iii) upon delivery, if sent by prepaid courier, with
a record of receipt; or (iv) the next day after the date of dispatch, if sent by
facsimile, telecopy or e-mail (with a copy simultaneously sent by registered or
certified mail, postage prepaid, return receipt requested or by prepaid
courier), to the Patties at the following addresses:
(i) if to Buyer, to:
Blue Acquisition Corp.
c/o X.X. Xxxxxx Partners, LLC
0000 Xxxxxx xx xxx Xxxxxxxx
Xxx Xxxx, Xxx Xxxx 00000-0000
Attention: Official Notices Clerk
FBO: Xxxxxxx X. Xxxxxx
Fax: (000) 000-0000
E-mail: xxxxxxx.x.xxxxxx@xxxxxxxxxxxxxxxx.xxx
and
c/o Xxxxxx X. Xxx Partners
00 Xxxxx Xxxxxx
Xxxxxx, Xxxxxxxxxxxxx
Attention: Xxxx Xxxxxxxx
Fax: (000) 000-0000
E-Mail: xxxxxxxxx@xxxxx.xxx
55
with a required copy to:
O'Melveny & Xxxxx LLP 00 Xxxxxxxxxxx Xxxxx Xxx Xxxx,
Xxx Xxxx 00000 Attention: Xxxxxxx X. Xxxxxxx Fax (2
12) 408-2420 E-Mail: xxxxxxxx@xxx.xxx
(ii) if to Distribution or USF, to:
United States Filter Corporation 00-000 Xxxx Xxxxxx
Xxxx Xxxxxx, Xxxxxxxxxx 922 11 Attention: General
Counsel Fax: (000) 000-0000 E-Mail:
xxxxxxxxx@xxxxxxxx.xxx
With a required copy to:
Xxxxxxxxxx Xxxxxx & Xxxxxxx LLP 000 Xxxxxxxxx Xxxxxx
XX Xxxxxxx, Xxxxxxx 00000 Attention: Xxxx X.
Xxxxxxxxx Fax: (000) 000-0000 E-Mail:
xxxxxxxxxxx@xxxxxx.xxx
A Party may change the address to which notice to it, or copies
thereof, shall be addressed by giving notice thereof to the other Parties in
conformity with the foregoing.
10.3 ASSIGNMENT: GOVERNMENT LAW.
(a) ASSIGNMENT. This Agreement and all the rights and powers
granted hereby shall bind and inure to the benefit of the Parties and their
respective permitted successors and assigns. This Agreement and the rights,
interests and obligations hereunder may not be assigned by a Party without the
written consent of the other Parties; provided, however, that Buyer may, without
the prior written consent of Distribution and USF, assign any of its rights and
interests to (i) any lender OR financial institution providing financing for the
transactions contemplated hereby, or (ii) any third-party who subsequently
purchases substantially all of the then existing assets of the Business in a
single transaction (or series of related transactions); provided, however, that
Buyer must promptly notify Distribution of such assignment; and provided,
further, no such assignment shall relieve Buyer of its obligations hereunder. A
merger or sale of stock of Buyer shall not be deemed to be an assignment by
operation of law. Any attempted assignment in violation of this Section 10.3(a)
shall be null and void.
56
(b) GOVERNING LAW. This Agreement shall be governed by and
construed in accordance with the Laws of the State of Delaware without regard to
its conflict of laws doctrines.
(c) CONSENT TO JURISDICTION; SERVICE OF PROCESS. Each of the
Parties hereby irrevocably acknowledges and consents that any legal action or
proceeding brought with respect to any of the obligations arising under or
relating to this Agreement shall be brought in the courts of the State
of Delaware, or if it has or can acquire jurisdiction, in the United States
District Court for the District of Delaware, as the Party bringing such action
or proceeding may elect, and each of the Parties hereby irrevocably submits to
and accepts with regard to any such action or proceeding, for itself and in
respect of its property, generally and unconditionally, the jurisdiction of the
aforesaid courts. Each Party hereby further irrevocably waives any claim that
any such courts lack jurisdiction over such Party, and agrees not to plead or
claim, in any legal action or proceeding with respect to this Agreement or the
transactions contemplated hereby brought in any of the aforesaid courts, that
any such court lacks jurisdiction over such Party. Each Party irrevocably
consents to the service of process in any such action or proceeding by the
mailing of copies thereof by registered or certified mail, postage prepaid, to
such Party, at its address for notices set forth in Section 10.2 of this
Agreement, such service to become effective ten (10) days after such mailing.
Each Party hereby irrevocably waives any objection to such service of process
and further irrevocably waives and agrees not to plead or claim in any action or
proceeding commenced hereunder or under any other documents contemplated hereby
that service of process was in any way invalid or ineffective. Subject to
Section 10.3(d) of this Agreement, the foregoing shall not limit the rights of a
Party to serve process in any other manner permitted by law. The foregoing
consents to jurisdiction shall not constitute general consents to service of
process for any purpose except as provided above and shall not be deemed to
confer rights on any Person other than the Parties to this Agreement.
(d) WAIVERS. Each of the Parties hereby waives any right it
may have under the laws of any jurisdiction to commence by publication any legal
action or proceeding with respect to this Agreement. To the fullest extent
permitted by applicable Law, each of the Parties hereby irrevocably waives the
objection which it may now or hereafter have to the laying of the venue of any
suit, action or proceeding arising out of or relating to this Agreement in any
of the courts referred to in Section 10.3(c) of this Agreement and hereby
further irrevocably waives and agrees not to plead or claim that any such court
is not a convenient forum for any such suit, action or proceeding.
(e) ENFORCEMENT. The Parties agree that any judgment obtained
by a Party or its permitted successors or assigns in any action, suit or
proceeding referred to above may, in the discretion of such Party (or its
permitted successors or assigns), be enforced in any jurisdiction, to the extent
permitted by applicable Law.
(f) DEEMED ACCEPTANCE. Each Related Party of Buyer or
Distribution, as the case may be, seeking the benefit of Article IX of this
Agreement shall be deemed to have accepted and agreed to the provisions of this
Section 10.3 as a condition to obtaining any benefits under Article IX as if
such Person was one of the Parties named herein.
57
10.4 AMENDMENT AND WAIVER. To be effective, any amendment or waiver
under this Agreement must be in writing and be signed by the Party against whom
enforcement of the same is sought. Neither the failure of a Party to exercise
any right, power or remedy provided under this Agreement or to insist upon
compliance by the other Parties with its obligations hereunder, nor any custom
or practice of the Parties at variance with the terms hereof shall constitute a
waiver by such Party of its right to exercise any such right, power or remedy or
to demand such compliance.
10.5 ENTIRE AGREEMENT; NO THIRD PARTY BENEFICIARIES. This Agreement,
the confidentiality agreement entered into by the Parties in connection with the
transactions contemplated hereby, the Related Agreements and the Schedules and
Exhibits set forth all of the promises, covenants, agreements, conditions and
undertakings between the Parties with respect to the subject matter hereof, and
supersede all prior or contemporaneous agreements and understandings,
negotiations, inducements or conditions, express or implied, oral or written.
This Agreement is not intended to confer upon any Person other than the Parties
any rights or remedies hereunder, except the provisions of ARTICLE IX to the
extent they relate to Buyer Indemnified Parties or Seller Indemnified Parties
and except as provided in Section 10.3.
10.6 NATURE OF REPRESENTATIONS AND WARRANTIES. Buyer acknowledges
that (i) neither Distribution, USF nor any of their Affiliates has made any
representation or warranty, express or implied, beyond those expressly given in
this Agreement, including as to the accuracy or completeness of any memoranda,
charts, summaries or schedules relating to Distribution or the Business and
previously made available to Buyer or any of its Affiliates by Distribution, USF
or any of their Affiliates or any other information (including the Confidential
Memorandum prepared by Xxxxxxx, Xxxxx & Co. with respect to Distribution) which
is not included in this Agreement or the Schedules hereto and (ii) neither
Distribution, USF nor any of their Affiliates will have or be subject to any
Liability to Buyer or any of its Affiliates resulting from the distribution of
any such information to, or use of any such information by, Buyer or any of its
Affiliates.
10.7 SEVERABILITY. If any term or other provision of this Agreement is
held by a court of competent jurisdiction to be invalid, illegal or incapable of
being enforced under any rule of Law in any particular respect or under any
particular circumstances, such term or provision shall nevertheless remain in
full force and effect in all other respects and under all other circumstances,
and all other terms, conditions and provisions of this Agreement shall
nevertheless remain in full force and effect so long as the economic or legal
substance of the transactions contemplated hereby is not affected in any manner
materially adverse to a Party. Upon such determination that any term or other
provision is invalid, illegal or incapable of being enforced, the Parties shall
negotiate in good faith to modify this Agreement so as to effect the original
intent of the Parties as closely as possible in an acceptable manner to the end
that the transactions contemplated hereby are fulfilled to the fullest extent
possible.
10.8 COUNTERPARTS. This Agreement may be executed in two or more
counterparts, each of which shall be deemed an original but all of which
together shall be deemed one and the same instrument.
58
10.9 PURCHASE PRICE ADJUSTMENT ARBITRATION. If(i) an Objection is not
Resolved as set forth in Section 2.9(b) or (ii) if the Parties dispute the
interpretation of any provision of this Agreement as it Relates to the
determination of the Closing Date Working Capital pursuant to the terms of
Section 2.9, and a Party applies for arbitration pursuant to this Section 10.9,
the Objection or disagreement will be resolved, or the disputed provision will
be interpreted, by binding arbitration; provided, that the foregoing shall not
preclude equitable or other judicial relief to enforce the provisions of this
Agreement or to preserve the status quo pending resolution of such Objection,
disagreement or disputed provision. Subject to the provisions of this Section,
Distribution and Buyer will agree upon the rules of the arbitration prior to the
arbitration and based upon the nature of the Objection or the dispute. To the
extent that the Parties cannot agree on the rules of the arbitration, then the
Commercial Arbitration Rules of the AAA in effect on the date hereof as modified
by this Agreement, will apply. As a minimum set of rules in the arbitration, the
Parties agree as follows:
(a) The arbitration will be held before a single arbitrator
appointed jointly by the Parties or, failing agreement on the arbitrator within
ten (10) days after delivery of a notice of intention to arbitrate, by the AAA
in Chicago, Illinois. The arbitration will be held in Chicago, Illinois.
(b) The Party initiating arbitration will deliver to the other
Party notice of its intention to arbitrate. The notice will contain a statement
setting forth in reasonable detail the nature of the Objection or the provision
of the Agreement in dispute, the amount involved, if any, and the remedy sought.
The other Parties will file an answering statement within ten (10) days of the
notice which will contain a statement setting forth in reasonable detail each
other Party's responses to the Objection or the provision of the Agreement in
dispute. If no answer is given by the other Parties within the stated time, the
Objection or disagreement will be assumed to be denied. Failure by the other
Parties to provide an answer will not operate to delay the arbitration.
(c) Unless the Parties to the arbitration agree otherwise, no
discovery will take place except as provided in this subsection. Not less than
forty-five (45) days before the date of the hearing, each Party shall provide to
the other Parties, copies of all exhibits, affidavits and other evidence it
intends to submit at the hearing, along with the identification of any witnesses
to be called and a summary of anticipated testimony. Based on a review of the
information provided, and not less than thirty (30) days before the date of the
hearing, each Party will provide to the other Party, copies of any additional
exhibits, affidavits and other evidence it intends to submit at the hearing,
along with the identification of any additional witnesses to be called and a
summary of anticipated testimony. The arbitrator will be authorized to resolve
any disputes concerning the exchange of information.
(d) The arbitration hearing will take place over no more than
five (5) Business Days, beginning not more than ninety (90) days after the date
of the notice of arbitration.
(e) The arbitrator will deliver his or her decision in writing
within ten (10) Business Days after the completion of the arbitration hearing.
59
(f) The arbitrator will specify the basis for his or her
decision, the resolution of the Objection or dispute and a breakdown of any
amounts awarded, if any, and the basis of any other remedy. The arbitrator's
decision will be considered a final and binding resolution of the Objection or
dispute, will not be subject to appeal and may be entered as an order in any
court of competent jurisdiction in the United States. Each Party agrees to
submit to the jurisdiction of any such court for purposes of the enforcement of
any such order. With respect to matters subject to arbitration pursuant to this
Section 10.9, no Party will xxx the other Parties except for enforcement of the
arbitrator's decision if the other Parties are not performing in accordance with
the arbitrator's decision. The provisions of this Agreement will be binding on
the arbitrator.
(g) Any arbitration proceeding hereunder will be conducted on
a confidential basis. The arbitrator's discretion to fashion remedies hereunder
will be no broader than the legal and equitable remedies available to a court.
The costs and fees of the arbitration, but not the preparation and attorneys'
fees of the other Parties, shall be borne by the non-prevailing Party, provided
that Buyer and Distribution shall each pay one half of any fees and expenses
required by the AAA in advance of the rendering of an award, and if one Party
fails to pay its share of such fees and expenses, the other Party may pay the
same and shall be entitled to have such amount entered with interest as part of
the award in the event the paying Party is the prevailing Party.
[Remainder of this page intentionally left blank.]
60
IN WITNESS WHEREOF, the Parties have executed this Agreement as of the
day and year first above written.
BLUE ACQUISITION CORP.
By: /s/ Xxxxxxx Xxxxxx
-------------------------------------
Name: Xxxxxxx Xxxxxx
-----------------------------------
Title:
----------------------------------
U.S. FILTER DISTRIBUTION GROUP, INC.
By: /s/ Xxxxxxx X. Xxxxxxxx
-------------------------------------
Name: Xxxxxxx X. Xxxxxxxx
-----------------------------------
Title: Vice President
----------------------------------
UNITED STATES FILTER CORPORATION
By: /s/ Xxxxxxx X. Xxxxxxxx
-------------------------------------
Name: Xxxxxxx X. Xxxxxxxx
-----------------------------------
Title: Executive Vice President
----------------------------------
61
EXECUTION ORIGINAL
DISCLOSURE SCHEDULES
--------------------------------------------------------------------------------
ASSET PURCHASE AGREEMENT
BY AND BETWEEN
UNITED STATES FILTER CORPORATION,
U.S. FILTER DISTRIBUTION GROUP, INC.
AND
BLUE ACQUISITION CORP.
DATED
SEPTEMBER 12, 2002
THESE SCHEDULES ARE AN INTEGRAL PART OF THE ABOVE-REFERENCED STOCK PURCHASE
AGREEMENT (THE "AGREEMENT"), ARE INCORPORATED THEREIN BY REFERENCE AND ARE NOT
INTENDED TO BE INDEPENDENT FROM THE AGREEMENT.
UNLESS DEFINED OTHERWISE IN THESE SCHEDULES, CAPITALIZED TERMS USED HEREIN HAVE
THE MEANINGS GIVEN TO THEM IN THE AGREEMENT. HEADINGS AND ITALICIZED LANGUAGE
INCLUDED HEREIN ARE INCLUDED SOLELY FOR EASE OF REFERENCE AND SHALL NOT IN ANY
WAY LIMIT THE DISCLOSURES CONTAINED HEREIN.
DISCLOSURE OF A MATTER THAT IS NOT REQUIRED TO BE MADE DOES NOT REQUIRE
DISCLOSURE OF ANY SIMILAR MATTERS NOT REQUIRED TO BE DISCLOSED.
DISCLOSURE OF ANY ITEM ON ANY OF THE SCHEDULES SHALL NOT CONSTITUTE AN ADMISSION
THAT SUCH ITEM IS MATERIAL OR REQUIRED TO BE DISCLOSED.
THE INFORMATION CONTAINED HEREIN SHALL NOT BE DEEMED TO BE AN ADMISSION BY ANY
PARTY HERETO TO ANY THIRD PARTY OF ANY MATTER WHATSOEVER, INCLUDING, WITHOUT
LIMITATION, ANY VIOLATION OF LAW OR BREACH OF ANY AGREEMENT.
THE INCLUSION IN THESE SCHEDULES OF ANY MATTER OR DOCUMENT SHALL NOT IMPLY ANY
REPRESENTATION, WARRANTY OR UNDERTAKING NOT EXPRESSLY GIVEN IN THE AGREEMENT NOR
SHALL SUCH DISCLOSURE BE TAKEN AS EXTENDING THE SCOPE OF ANY OF THE
REPRESENTATIONS OR WARRANTIES.
Page 2
LIST OF SCHEDULES AND EXHIBITS
Schedule x.xX - Accounting Protocol
Schedule l.lP - Permitted Encumbrances
Schedule l.lQ - Pro Forma EBITDA
Schedule 2.2 - Lockboxes
Schedule 2.10 - Purchase Price Allocation
Schedule 3.1 - Organization
Schedule 3.5 - Financial Statements
Schedule 3.6 - Absence of Changes
Schedule 3.7(b) - Taxes: Liabilities
Schedule 3.7(c) - Taxes: Accrual
Schedule 3.7(d) - Taxes: Audits/Examinations
Schedule 3.7(e) - Taxes: Agreements
Schedule 3.7(f) - Taxes: Consolidated Returns
Schedule 3.7(g) - Taxes: Tax Return Jurisdictions
Schedule 3.8(a) - Owned Real Property
Schedule 3.8(b) - Leased Real Property
Schedule 3.8(c) - Personal Property
Schedule 3.8(d) - Shared Facilities
Schedule 3.8(e) - Adequacy of Assets
Schedule 3.9 - Litigation
Schedule 3.10 - Compliance With Law; Permits
Schedule 3.11 Labor Matters
Schedule 3.12(a)(i) - Intellectual Property Assets: Marks and Fictional Names
Schedule 3.12(a)(ii) - Intellectual Property Assets: Patents
Schedule 3.12(a)(iii) - Intellectual Property Assets: Copyrights
Schedule 3.12(a)(iv) Intellectual Property Assets: Internet Domain Names
Schedule 3.12(b)(i) - Rights in Intellectual Property: Generally
Schedule 3.12(b)(ii) - Rights in Intellectual Property: Patents
Schedule 3.12(b)(iii) - Rights in Intellectual Property: Marks
Schedule 3.12(b)(iv) - Rights in Intellectual Property: Intellectual Property Licenses
Schedule 3.13(a) - Employee Benefit Plans
Schedule 3.13(b) - Status of Plans
Schedule 3.13(c)(iii) - Post-Employment or Retiree Benefits
Schedule 3.13(c)(vi) - Actual and Contingent Liabilities
Schedule 3.13(d) - Contributions
Schedule 3.13(h) - Employees
Schedule 3.13(i) - Agreements and Plans
Schedule 3.13(i) - Multiemployer Plans
Schedule 3.14 - Environmental Matters
Schedule 3.16 - Material Contracts
Schedule 3.18 - Insurance
Schedule 3.19 - Undisclosed Liabilities
Schedule 4.4 - Brokers, Finders of USF
Schedule 5.5 - Brokers, Finders of Buyer
Page 3
Schedule 6.3 - Material Consents
Schedule 6.5 - Operations Prior to Closing Date
Schedule 6.7 - Guaranty and Surety Obligations
Schedule 7.6 - Accountants Fees and Expenses
Schedule 7.10 - Non-Solicitation
LIST OF EXHIBITS
Exhibit A - Commitment Letters
Exhibit B - Guaranty of Vivendi Environnement, S.A.
Exhibit C - Terns of Service Level Agreement
LIST OF APPENDICES
Appendix A - Financial Statements
Appendix B - Withdrawal Liability
Appendix C - Insurance Policies
Xxxxxxxx X-0 - Insurance Claims: AIG General Liability
Appendix D-2 - Insurance Claims: AIG Automobile
Appendix D-3 - Insurance Claims: Travelers Automobile
Appendix D-4 - Insurance Claims: USF Self-Managed Automobile
Xxxxxxxx X-0 - Insurance Claims: Asbestos
Xxxxxxxx X-0 - Workers' Compensation Claims: Travelers Insurance
Appendix D-7 - Workers' Compensation Claims: Argonaut Insurance
Appendix E-1 - Surety Obligations: Construction and Supply
Appendix E-2 - Surety Obligations: Other
Page 4
SCHEDULE 1.1A
ACCOUNTING PROTOCOL
The Closing Date Balance Sheet will be prepared in conformity with the
terms of this Schedule 1.1A.
1. The Closing Date Balance Sheet will be prepared in accordance with
GAAP, applied on a consistent basis and using the same accounting policies,
principles, methodologies and practices as were used in preparing the Financial
Statements (except that the Closing Date Balance Sheet will not include certain
footnotes required to comply with the requirements of GAAP), including:
calculation of reserves for excess and obsolete inventory, dead stock and
estimates of inventory shrinkage; calculation of allowance for doubtful
accounts; estimates of useful lives and residual values; accruals for vacation,
management and employee bonus awards, and insurance deductibles (including
workers' compensation); all other management estimates and assumptions relating
to the reporting of assets and liabilities in the Balance Sheet; and recognition
of revenue and expense items.
2. All account balances related to intercompany payables or
receivables (amounts owed by or to Distribution to or from USF and its
Subsidiaries), however denominated, will be eliminated by adjustments to
stockholders' equity of Distribution, except for amounts owed by or to USF and
its Subsidiaries in respect of the sale and purchase of goods and/or services in
the ordinary course of business.
3. Liabilities related to Retained Taxes will be excluded from the
Closing Date Balance Sheet.
4. The Closing Date Balance Sheet will not reflect any pushdown of
goodwill resulting from the acquisition of United States Filter Corporation by
Vivendi, S.A.
5. The Closing Date Balance Sheet will not include any assessment of
non-current asset impairment not already considered and recorded in the Balance
Sheet.
6. The Closing Date Balance Sheet will not include any increases in
the carrying value of assets from the Balance Sheet Date other than those
arising from transactions in the ordinary course of business.
7. All asset sales and transfers referred to in Schedule 3.6 and
Schedule 5.5 will be effected through an adjustment to stockholders' equity.
8. The Closing Date Balance Sheet will reflect only those transactions
and developments which took place since the Balance Sheet Date.
Page 5
SCHEDULE 1.1P
PERMITTED ENCUMBRANCES
SECURED PARTY PROPERTY JURISDICTION FILING TYPE FILING DATE FILING NO.
ENCUMBERED
Lease Plan U.S.A., Inc. 2 Toyota Forklifts FL SOS UCC-1 5/9/1995 950000094087
1 JCB Rough Terraini FO AMEND 2/21/1997 970000043014
1 Xxxxxx Trailer CONT 1/26/2000 200000022894
IBM Credit Corporation IBM Computer Equipment GA; Xxxxxx Cty UCC-1 3/13/97 007-97-001863
10/8/97 007-97-007213
10/31/97 007-97-007756
11/18/97 007-97-008176
12/15/97 007-97-008835
10/7/98 007-97-008313
11/10/98 007-98-009235
12/2/98 007-98-010097
3/14/00 007-2000-002931
4/18/00 007-2000-004322
Xxxxx Fargo Financial Leasing Norstar Phone System GA; Xxxxxx Cty UCC-1 4/26/02 007-2002-004427
Lease Plan U.S.A., Inc. 2 Toyota Forklifts GA; Xxxx Cty UCC-1 5/9/95 033-1995-05458
1 JCB Rough Terraini FO AMEND 2/24/97 033-1997-02738
1 Xxxxxx Trailer AMEND 2/24/97 94-11428
000-0000-00000
CONT 2/3/00 033-2000-01612
PARTIAL RLS 8/6/01 033-2001-09686
JCB Rough Terrain FO
Xxxxxx Trailer
Xxxxxx Capital Corporation Receivables Purchase Facility GA; Xxxxxx Cty UCC-1 12/20/01 060-2001-19857
Lease Plan U.S.A., Inc. 1 Toyota Forklift GA; Xxxxxx Cty UCC-1 7/23/96 136-1996-1349
AMEND 2/24/97 136-1997-0344
CONT 7/23/01 136-2001-1140
UCC-1 7/23/96 136-1996-1350
Page 6
SECURED PARTY PROPERTY JURISDICTION FILING TYPE FILING DATE FILING NO.
ENCUMBERED
AMEND 2/24/97 136-1977-0345
CONT 7/23/01 136-2001-1141
AT&T Credit Corp. DefinityPhone System GA; Xxxxxx Cty UCC-1 3/17/97 136-1997-0538
Lease Plan U.S.A., Inc. 2 Toyota Forklifts NC SOS UCC-1 5/8/95 1222885
1 JCB Rough Terraini FO AMEND 2/24/97 001432242
1 Xxxxxx Trailer CONT 2/11/00 20000015416
Springs Leasing Corporation Copier MC; Mecklenburg UCC-1 11/12/99 10884
Cty
Lease Plan U.S.A., Inc. 2 Toyota Forklifts NC; Wake Cty UCC-1 5/8/95 95-11638
1 JCB Rough Terraini FO AMEND 2/24/97 95-11638
1 Xxxxxx Trailer CONT 1/28/00 00-584
Page 7
SCHEDULE l.lQ
PRO FORMA EBITDA
Amount
----------
Audit & Tax $400,000
Incremental Legal $150,000
National Contract Rate Increases $80,000
Benefits Exp & Administration $400,000
Property & Casualty Insurance $0
Real Estate Mgmt $0
Cash & Risk Mgmt $0
----------
$1,030,000
==========
Page 8
SCHEDULE 2.2
LOCKBOXES
P.O. BOX #503660
STL LBX
X.X. XXX #000000
Xxxxxxx LBX
X.X. XXX #000000
XXXXXX XXX
X.X. XXX #00000
XX XXX
X.X. XXX #00000
XX XXX
X.X. XXX #00000
XX LBX
X.X. XXX #00000
XXXXXXX LBX
X.X. XXX #00000
XXXXXXX LBX
Page 9
SCHEDULE 2.10
PURCHASE PRICE ALLOCATION
To be agreed upon by Buyer and Distribution.
Page 10
SCHEDULE 3.1
ORGANIZATION
1. Jurisdictions of Good Standing:
Alabama Louisiana Oregon
Arizona Maryland Pennsylvania
Arkansas Massachusetts Puerto Rico
California Michigan Rhode Island
Colorado Minnesota South Carolina
Connecticut Mississippi South Dakota
Delaware Missouri Tennessee
District of Columbia Nebraska Texas
Florida Nevada Utah
Idaho New Jersey Vermont
Illinois New Mexico Virginia
Indiana New York Washington
Iowa North Carolina West Virginia
Kansas North Dakota Wisconsin
Kentucky Oklahoma
2. Issued and outstanding capital stock of Distribution Subsidiaries:
U.S. Filter Receivables Grupo de Tratamiento de Aguas Xxxxx
Corporation S.A. de C.V.
Total authorized 1,000 common shares 10,000 common shares
shares
Par value no par value MexCY 5 (nominal per share value)
Shareholders - 1,000 common shares held - 9,999 shares held by Xxxxx Water &
by Distribution Group Waste Industries, Inc.
- 1 share held by The Xxxxxxx
Company
Page 11
SCHEDULE 3.5
FINANCIAL STATEMENTS
The Financial Statements are attached hereto as Appendix A.
Page 12
SCHEDULE 3.6
ABSENCE OF CHANGES
1. In April and May 2002, Distribution sold certain nonoperating land and
improvements located in Spokane, Washington and Greenwood, Indiana.
2. In January 2002, Distribution (as successor of Xxxxx Water and Waste)
transferred to USF the Xxxxx Water and Waste Industries, Inc. Supplemental
Retirement Plan for Certain Officers, Plan Nos. 1 and 2, along with such plans'
liabilities and assets.
3. Pursuant to the Receivables Purchase Facility, Distribution is continuously
in the process of selling its receivables with the proceeds from such sales
being transferred to USF.
4. In the first quarter of 2002, Distribution recorded a charge for the
impairment of goodwill applicable to intangible assets related to the adoption
of SFAS Nos. 141 and 142.
5. See also Schedule 6.5.
Page 13
SCHEDULE 3.7(b)
TAXES: LIABILITIES
USF received an extension from the Internal Revenue Service to file its federal
tax return for the period ending December 31.2001. USF expects to file the
return by September 15,2002. 15,2002.
Page 14
SCHEDULE 3.7(c)
TAXES: ACCRUAL
No disclosures.
Page 15
SCHEDULE 3.7(d)
TAXES: AUDIT/EXAMINATIONS
1. USF was notified by the Internal Revenue Service in December 2001 of an audit
for the 3/1999 (old fiscal year) and 4/1999 (Vivendi short period return) fiscal
years. The audit began on or about May 15, 2002 and is currently ongoing. The
field work likely will not be completed until June 2003, and adjustments will
follow. In addition, XXXX was notified by the Internal Revenue Service in June
2002 of an audit for the fiscal year ended 12/3l/99.
2 . The State of Michigan notified Distribution in February 2002 of its decision
to conduct a sales and use tax audit of Distribution and advised Distribution on
August 29, 2002 that the audit is for the period of September 1998 through July
2002.
Page 16
SCHEDULE 3.7(e)
TAXES: AGREEMENTS
Distribution has indemnification obligations for Taxes to ISCO Industries, LLC,
pursuant to the Stock Purchase Agreement between Distribution and ISCO dated
December 20,2000, regarding the sale of Fife Industrial Pipe Company to ISCO.
Page 17
SCHEDULE 3.7(F)
TAXES: CONSOLIDATED RETURNS
No disclosure made.
Page 18
SCHEDULE 3.7(g)
TAXES: TAX RETURN JURISDICTIONS
Alabama Kentucky Oklahoma
Arizona Louisiana Oregon
Arkansas Maryland Pennsylvania
California Massachusetts Rhode Island
Colorado Michigan South Carolina
Connecticut Minnesota Tennessee
Delaware Mississippi Texas
Florida Missouri Utah
Georgia Nebraska Vermont
Idaho New Jersey Virginia
Illinois New Mexico West Virginia
Indiana New York Wisconsin
Iowa North Carolina
Kansas Ohio
Page 19
SCHEDULE 3.8(a)
OWNED REAL PROPERTY
Owner Address
Distribution (successor to Waterpro Supplies 0000 Xxxxxx Xxxxx
Xxxxxxxxxxx) Xxxxxx, Xxxxxxxx 00000
Distribution (successor to Xxxxx Water & Waste 3333 Old Winter Garden Road
Industries, Inc.) Xxxxxxx, Xxxxxxx 00000
Distribution (successor to The Utility Supply 0000 Xxxx 00xx Xxxxxx
Group, Inc.) Riviera Beach, Florida
Distribution (successor to Xxxxx Water & Waste 7532 Malta Lane
Industries, Inc.) Xxxxx, Xxxxxxx 00000
Distribution (successor to Xxxxx Water & Waste 2 111 Moon Station Drive
Industries, Inc.) Xxxxxxxx, Xxxxxxx 00000
Distribution (successor to Xxxxx Water & Waste 0000 Xxxxxxx Xxxxxx
Industries, Inc.) Xxxxxxxxxxx, Xxxxxxx 00000
Distribution 0000 X. Xxxxxxx Xxx
Xxxxx Xxxxx, Xxxxx 00000
Distribution 0000 Xxxxxxxxxx Xxxxx
Xxxxxxxx Xxxxx 00000
Distribution (successor to U.S. Filter Distribution 0000 Xxxxx Xxxx
Acquisition Corporation) Belvidere, Illinois 6 1008
Distribution (successor to US. Filter Distribution 00 Xxxxxxxxx Xxxxxxxxxx Xxxxx
Acquisition Corporation) Xxxxxxx Xxxx, Xxxxxxxx 00000
Distribution (successor to U.S. Filter Distribution 00000 Xxxxx Xxxxxx Xxxxxxx, Xxxx 0
Acquisition Corporation) Xxxx Xxxxx, Xxxxxxxx 00000
Distribution (successor to U.S. Filter Distribution 00000 Xxxxx 00xx Xxxxxx
Xxxxxxxxxxx Corporation) Xxxxxx, Xxxxxxxx 00000
Distribution (successor to U.S. Filter Distribution 000 Xxxxx Xxxxxxxx Xxxx
Acquisition Corporation) Xxxxxxxxxx, Xxxxxxxx 00000
Distribution (successor to U.S. Filter Distribution 1680 Expo Lane
Acquisition Corporation) Xxxxxxxxxxxx, Xxxxxxx 00000
Distribution (successor to U.S. Filter Distribution 0000 Xxxxxxxxxxx Xxxx
Xxxxxxxxxxx Corporation) Xxxxxxxxx, Xxxxxxx 00000
Distribution (successor to U.S. Filter Distribution 00000 Xxxxxx Xxxx Xxxx
Xxxxxxxxxxx Corporation) Xxxxxx, Xxxxxx 00000
Distribution (successor to The Utility Supply 0000 Xxxxxx Xxxxxx
Group, Inc.) Xxxxxx, Xxxxxxxxx 00000
Distribution (successor to U.S. Filter Distribution 000 Xxx Xxxx Xxxx.
Xxxxxxxxxxx Xxxxxxxxxxx) Xxxxxxxx, Xxxxxxxx 00000
Distribution (successor to U.S. Filter Distribution 000 Xxxx Xxxx
Xxxxxxxxxxx Xxxxxxxxxxx) X'Xxxxxx, Xxxxxxxx 00000
Page 20
Owner Address
Distribution (successor to U.S. Filter Distribution 00000 Xxxxxxxx Xxxx
Acquisition Corporation) Xx. Xxxxx. Xxxxxxxx 00000
Distribution (successor to U.S. Filter Distribution 0000 Xxxxxx Xxxxxx Drive
Acquisition Corporation) Xx. Xxxxx, Xxxxxxxx 00000
Distribution (successor to US. Filter Distribution 0000 Xxx Xxxxxxxxxxx Xxxx
Acquisition Corporation) Xx. Xxxxx, Xxxxxxxx 00000
Distribution (successor to Ashland Municipal 0000 Xxxx Xxxx
Xxxxxxxx Xx.) Xxxxxxx, Xxxx 00000
Distribution (successor to Pacific Water Works 0000 X.X. XxXxxx Xxxx
Supply Co, Inc.) Xxxx Xxxxxx, Xxxxxx 00000
Distribution (successor to X.X. Xxxxxxxxx Pipe and 00000 Xxxxx Xxxxxxx 00
SUPPlY Company) Xxxxxxxx Xxxx, Xxxxxxxxxxxx 00000
Distribution (successor to X.X. Xxxxxxxxx Pipe and Xxx 000, Xxxxxxxx Xxxx
Supply Company) Xxx Xxxx, Xxxxxxxxxxxx 00000
Distribution (successor to X.X. Xxxxxxxxx Pipe and Xxx 000X, Xxxxx 00
Supply Company) Xxxxxx, Xxxxxxxxxxxx 00000
Distribution (successor to Xxxxx Water & Waste 1307 Galway Street
Industries, Inc.) Xxxxxxxxx, Xxxxxxxxx 00000
Distribution (successor to The Utility Supply 0000 Xxxxxx Xxxx
Group, Inc.) Xxxxxx, Xxxxx 00000
Distribution (successor to The Utility Supply 0000 Xxxxxxx Xxxx
Group, Inc.) Xxx Xxxxxxx, Xxxxx 00000
Distribution 0000 Xxxx Xxxxx, X. X.
Xxxxxxx, Xxxxxxxxxx 00000
Distribution (successor to Pacific Water Works 000 Xxxxxx Xxxxxx X.X.
Supply Co., Inc.) Xxxxxxxx, Xxxxxxxxxx 00000
Distribution (successor to Pacific Water Works) 0000 000xx X.X.
Xxxxxxxxxxx, Xxxxxxxxxx 00000
Distribution (successor to Waterpro Supplies 00000 Xxxx Xxxxxx Xxxxx
Xxxxxxxxxxx) Xxx Xxxxxx, Xxxxxxxxx 00000
Page 21
SCHEDULE 3.8(b)
LEASES OF REAL PROPERTY
COMMENCEMENT
LESSOR LESSEE ADDRESS DATE
Xxxxxxxx Development LC Distribution * Xxxx 0, 0, 0 Xxxxxx Xxxxx 01-Apr-02
Commerce Park
Gilbert, Arizona
Xxxx and Xxxxxx Xxxxxx Distribution 0000 Xxxxxxxx Xx. 00-00-00
Xxxxxxxx, Xxxxxxx
Xxxxxxxx Development LLC Distribution * 0000 X. Xxxxxxx Xxxxxx 0x-Xxx-00
Xxxxxxxx, Xxxxxxx
Xxxxx X. and Xxxxxxx Xxxxxx Distribution * 0000 X. Xxxxx Xxxxx 00-Xxx-00
Xxxxxx, Xxxxxxx
Xxxxxxx Xxxxx Distribution 22578 Interstate 30 00-Xxx-00
Xxxxxx, Xxxxxxxx
Xxxxxx Family Partners L.P Distribution * 000 Xxxxx Xxxx Xxxxxx 00-Xxx-00
Xxxxxx, Xxxxxxxxxx
American Salvage, Inc. Distribution * 000 Xxxxx Xxxx 00-Xxxx-00
Xxxxxxxxx, Xxxxxxxxxx
Xxxxxxx Investments Distribution 0000 Xxxx Xxxx Xxx. 0x-Xxx-00
Xxxxxx, Xxxxxxxxxx
Xxxxxx XxXxxxx Family Trust Distribution * 000-000 Xxxxxx Xx. 00-Xxxx-00
Xxxxx Xxxxx, Xxxxxxxxxx
Catellus Development Distribution 0000 Xxxxxxxx Xxxxxxxxx 0x-Xxx-00
Xxxxxx, Xxxxxxxxxx
General Motors Distribution * 0000 00xx Xxxxxx 00-Xxx-00
Xxxxxx, Xxxxxxxx
X.X. Xxxxx, Xx. Distribution 00 Xxxxxxxx Xxx 00-Xxx-00
Xxxxxx, Xxxxxxxx
Xxxxxx Associates Distribution 61 Artisan Drive 22-Mar-99
Smyrna, Delaware
Xxxxxx and Xxxxx Xxxxxxxx Distribution 0000 Xxxxxx Xxx. 00-Xxx-00
Xxxx Xxxxx, Xxxxxxx
MLA Filter Distribution 0000 Xxxxxxxxxx Xxx. 13-Apr-01
Ft. Xxxxxx, Florida
Gibraltar Development Distribution * 00000 Xxxxxxxxxxxx Xxx. 01-Jun-89
Jacksonville, Florida
CJB of Ft. Lauderdale Distribution 0000 XX 00xx Xxx. 0x-Xxx-00
Xxxxxxx Xxxx, Xxxxxxx
Xxxxxx Xxxxxxxx Distribution 000 XX 00xx Xxx. 00-Xxx-00
Xxxxx, Xxxxxxx
K. R. August Distribution 0000 Xxxxxxxx Xxx 0x-Xxx-00
Xxxxxx, Xxxxxxx
Page 22
COMMENCEMENT
LESSOR LESSEE ADDRESS DATE
Xxxxxxxx Realty Company as Distribution 000 Xxxxx Xxxxxxxx Xxxxx 01-Feb-90
agent for Beneficiaries of Xxxx- Carol Stream, Illinois
Xxxxxx Bank, as Trustee
BTP Building Distribution 0000 Xxxxxxx Xxxxx 00-Xxx-00
Xxxxxxxxxxx, Xxxxxxx
Xxxxxx Restaurant Group Distribution XX 00 Xxxxx & X.X. 00 00-Xxx-00
Xxxxxx, Xxxxxxx
M-B Venture Partnership Distribution 00000 Xxxxxx Xx. 00-Xxx-00
Xx. Xxxx, Xxxxxxx
Gateway Partners Distribution 0000 Xxxxxxx Xxxxx 0x-Xxx-00
Xxxxxx, Xxxx
Xxxxx and Xxxxxx Xxxxx Distribution 0000 Xxxxx Xxxxx Xxxx 0x-Xxx-00
Xxxxxxx Xxxx, Xxxxxxxxx
HIC Associates Distribution 0000 Xxxxx Xx. 0x-Xxx-00
Xxxxxxxx, Xxxxxxxx
00 Xxxx Xxxx Assoc. Distribution 00 Xxxx Xxxx 00-Xxx-00
Xxxxxxxxx, Xxxxxxxxxxxxx
Seven Stars Investments Distribution * 0000 Xxxxxx-Xxxxx Xxxx Xxxx 0-Xxx-00
Xxxxxx Xxxxxxxx, Xxxxxxxx
Mill City Development Distribution 00000 Xxxx 00xx Xxxxxx 0l-Jan-84
Company Eden Prairie, Minnesota
Xxxxx Xxxxxx Distribution 00000 00xx Xxxxxx, XX 0x-Xxx-00
Xxxxxx, Xxxxxxxxx
Mid-Continent Dev. Distribution 00000 X. 00xx 0x-Xxx-00
Xxxxxxxxxxxx, Xxxxxxxx
Xxxxxx Xxxxxxxxx Distribution * 0000 Xxxxx Xx. 0x-Xxx-00
X. Xxx Xxxxx, Xxxxxx
P.P. Investments, Ltd. Distribution 0000 0xx Xxxxxx 0x-Xxx-00
Xxxxxxxxxxx, Xxx Xxxxxx
Sweeten Creek Realty Distribution 0000 Xxxxxxx Xxxxx Xx. 0x-Xxx-00
Xxxxxxxxx, Xxxxx Xxxxxxxx
X. X. Xxxxx Distribution 0000 Xxxxxxxxxx Xx. 00-Xxx-00
Xxxxxxxxx, Xxxxx Xxxxxxxx
X.X. Hobby, Jr. Distribution * 000 Xxxxxxxxxxxxx Xxxxx 18-Aug-95
Morrisville, North Carolina
REA Investment Partners Distribution 000 Xxxxxxxx Xxxx 00-Xxx-00
Xxxxxxxxx, Xxxxx Xxxxxxxx
HSP-1, LLC Distribution 000 Xxxxxxxx Xxxxx 00-Xxx-00
Xxxxxxxxxx, Xxxxx Xxxxxxxx
Xxxxxx Xxxxxx Distribution 0000 Xxxx 000xx Xxxxxx 0x-Xxx-00
Xxxxxxxx, Xxxx
Xxxxx Property Co. Distribution * 000 X. Xxxxx Xx. 00-Xxx-00
Xxxxxx, Xxxx
Page 23
COMMENCEMENT
LESSOR LESSEE ADDRESS DATE
FTTM L.P. Distribution 00000 XX Xxxxxx Xxxx 00-Xxx-00
Xxxxxxxxx, Xxxxxx
JKL Enterprises Distribution 000 X. Xxxxxxx Xxxx 15-Jan-92
Plymouth Meeting, Pennsylvania
MMR Properties Distribution 000 Xxxxxx Xx. 01-Nov-00
Conway, South Carolina
Xxx Xxxxxxxx and Xxxx Xxxx Distribution 0000 Xxx Xxxxxxx 00 00-Xxx-00
Xxxxxxx, Xxxxxxxxx
Xxxxxxx Xxxxxxxx Trust Distribution 0000-X Xxxxx Xxxx 00-Xxx-00
Xxxxxx, Xxxxx
Xxxxxxx X. Xxxxxx and Xxxxxxxx Distribution 0000 Xxxxxxxxx Xxxx 15-May-91
X. Xxxxxx as Trustees of the Houston, Texas
Xxxxxx Family Trust, and
Xxxxxxxx X. Xxxxxx,
individually
Kings Brothers Partnership Distribution 000 Xxxxx Xxxxx Xxxxxx 00-Xxx-00
XxXxxxx, Xxxxx
Xxx XxXxxxxx Distribution 0000 Xxxxx Xx. 0x-Xxx-00
Xxx Xxxxxxx, Xxxxx
X.X. Xxxxxx Distribution 0000 X. Xxxx 000 0x-Xxx-00
Xxxxx, Xxxxx
K-Twelve, Ltd. Distribution 000 Xxxxxxx 0 Xxxx, Xxxxx 000 0x-Xxx-00
Xxxx, Xxxxx
X.Xxxxx Distribution * 0000 Xxxxxxxx Xxx. 00-Xxx-00
Xxxx, Xxxxx
Wallco LLC Distribution 0000 X. 0000 Xxxxx Xx. 0x-Xxx-00
Xxxxx, Xxxx
BLSS Investments, LC Distribution 8380 S. 4052 West 01-Aug-96
West Jordan, Utah
X. X. Xxxxx, Xx. Distribution 0000 Xxxxx Xxx. 10-Jan-91
Chesapeake, Virginia
X. X. Xxxxx, Xx. Distribution 0000 Xxxxx Xxx. 00-Xxx-00
Xxxxxxxx, Xxxxxxxx
Xxxxxxx Investments, LLC Distribution * 00000 Xxxxxxx Xxxxxx #000 00-Xxx-00
Xxxxxxxx, Xxxxxxxx
XX Xxxx. LLC Distribution * 0000-X X.X. 000xx Xxxxxx 00-Xxx-00
Xxxxxxxxx, Xxxxxxxxxx
Page 24
SCHEDULE 3.8(c)
PERSONAL PROPERTY
1. All vehicles held pursuant to a Master Equipment Lease Agreement between
Vivendi Water Transport, Inc. and Automotive Rentals, dated 08/14/2000.
2. All vehicles held pursuant to a Vehicle Lease Service Agreement between
Vivendi Water Transport, Inc. and Penske Truck Leasing, dated 12/10/1999.
3. All vehicles held pursuant to a Truck Lease and Service Agreement between
Vivendi Water Transport and Ryder Truck Rental, Inc., dated 09/07/1998.
4. All vehicles held pursuant to a Fleet Services Lease Agreement,
TruckXpress(TM) Agreement, and Master Truck Lease (and Supplements)
between Vivendi Water Transport, Inc. and Associates Fleet Services,
each dated 04/14/2000.
Page 25
SCHEDULE 3.8(d)
SHARED FACILITIES
- 00000 Xxxxxxxxxx 00, Xxxxxx, Xxxxxxxx 00000
Sublease expires concurrently with the lease on March 31, 2005.
Sublease space is approximately 4,500 square feet (1,500 SF office, 3,000 SF
warehouse)
Sublease rent is $1,965 per month full service gross.
Subtenant is U.S. Filter/Ionpure Inc.
Sublease agreement on file.
- 0000 Xxxx 0000 Xxxxx, Xxxx Xxxxxx, Xxxx 00000
Lease expires July 31, 2003.
Sublease is a month-to-month and can be terminated by either party with 60 days
notice.
Space is 150 SF of office and 300 SF warehouse.
Sublease rent is $250 per month gross.
Subtenant is U.S. Filter/Ionpure Inc.
Sublease agreement on file.
- 0000 Xxxxx Xxxxx, Xxxxxxxxxx, Xxxxx Xxxxxxxx
Sublease expires concurrently with the lease on March 31, 2005
Sublease space is a desk in the wrhs. and a pad in the yard for a 20,000 gal.
tank with ingress/egress
Sublease rent is $500 per month gross.
Subtenant is U.S. Filter Recovery Services (Mid-Atlantic), Inc.
Sublease agreement on file.
- 0000 Xxxxx Xxxxx, Xxxxxxx, Xxxxxxxxxx 00000
Lease expires November 30, 2002.
Sublease base rent is $1,000 per month plus real estate taxes in an amount of
$1,150 per year.
Sublease space is two offices of 225 SF each plus use of common areas.
Subtenant is Western Farms
No written sublease agreement.*
- 0000X. Xxxx Xxxxxx, Xxxxx 000, Xxxxxx, Xxxxxxxxxx 00000
Lease expires April 30, 2003.
Rent is $250 per month.
Space is approximately 400 SF of warehouse.
Subtenant is U.S. Filter/Ionpure Inc.
No written sublease agreement.*
Page 26
- 0000 XX 00xx Xxxxxx, Xxxxxxx Xxxx, Xxxxxxx 00000
Lease expires April 30, 2004
Rent is $250 per month.
Space is approximately 100 SF of office.
Subtenant is Capital Equipment Group-Xxx Xxx.
No written sublease agreement.*
- 000 Xxxxxxxxx Xxxx, Xxxxx, Xxxxxxx 00000
Lease expires June 30, 2004.
Sublease rent is $500 per month.
Space is a total of approximately 600 SF with one office and warehouse space for
storage of filters.
Subtenant is U.S. Filter/Ionpure Inc.
No written sublease agreement.*
- 1820 Building, Thomasville, Georgia
Subtenant is Davco.
No written sublease agreement.*
Rent is currently $16,500 per month (includes services provided and employees)
subject to change.
- Service Level Agreement for U.S. Filter Wastewater Group at Thomasville,
Georgia providing for a term until June 30, 2003, with a six-month renewal
option, and providing for Distribution to house and provide certain support
services for the Wastewater Group AS/400 server and to cover the Wastewater
Group AS/400 under Distribution's disaster recovery contract with SunGard
Recovery Services, for a monthly fee of $2,500.
* Written subleases that reflect the terms of the existing oral agreement are
being prepared.
Page 27
SCHEDULE 3.8(e)
ADEQUACY OF ASSETS
1. USF and its Affiliates provide services to Distribution that will not be
available following the Closing, except as otherwise provided in the Related
Agreements. The principal services are:
- Employee benefits management (third party costs are charged back)
- Intellectual property administration (third party costs are charged
back)
- Information technology support (third party costs are charged back)
- Real estate management (third party costs are charged back)
- Payroll services (costs charged back)
- Tax preparation (U.S. federal and state returns)
- Risk management and global insurance coverage (premiums charged back)
- Environmental, health and safety audit, support and database services
(third party costs are charged back)
- Certain treasury services
- For certain vehicles where Distribution is not the lessee of the
vehicles (see Schedule 3.8(c)), fleet management services
- Long-distance services (third party costs are charged back)
- Legal services (charged an allocation through Q1 2002 and third party
costs are also charged back)
2. Distribution owns vehicles which operate under the Department of
Transportation number of Vivendi Water Transport, a USF Subsidiary.
Distribution also operates vehicles in more than one state utilizing IRP
plates issued by the State of Indiana to Vivendi Water Transport.
3. Several agreements are in place between USF and third party vendors whereby
Distribution receives a benefit from volume purchasing power, including:
- Federal Express;
- United Parcel Service;
- Nova (credit card processor);
- Cass (freight xxxx processing);
- CDW (computer equipment and software purchases);
- Travel discounts with certain airlines and car rental agencies; and
- Long distance telephone services.
- AT&T Wireless
- Nextel Wireless
- Cintas
Page 28
SCHEDULE 3.9
LITIGATION
1. S.D. Xxxxxxx & Sons. Inc. v. U.S. Filter Distribution Group, Inc., filed
08/20/01
Claimant: S.D. Xxxxxxx & Sons, Inc.
Amount in dispute: $754,054
Summary: Contract case arising out of allegedly defective pipe used
by Plaintiff in construction. Diamond Plastics
manufactured the pipe and Distribution distributed the
pipe to plaintiff. Plaintiff alleges breach of contract
and breach of express and implied warranties by
Distribution. Distribution has filed an answer. A
counterclaim and third party complaint against Diamond
Plastics have also been filed by Distribution. Diamond
Plastics filed its answer and a Motion for Summary
Judgment. All motions are pending.
2. Xxxxxx-Western Contractors. Ltd. v. U.S. Filter Distribution Group, Inc.,
filed 06/20/01
Claimant: Xxxxxx-Western Contractors, Ltd.
Amount in dispute: $3,000,000
Summary: Contracts case. Plaintiff filed a Complaint in California
state court alleging that Distribution supplied it with
defective PVC pipe on the Otay Water District project.
Plaintiff was the general contractor on the project, which
has experienced leaks in the piping system. Plaintiff
alleges that it has thus far spent over $3,000,000 to
replace the allegedly defective pipe. Distribution's
tender to the pipe manufacturer and third party defendant,
X-X Manufacturing, was rejected, although X-X is presently
cooperating with the defense and entered a joint defense
agreement with Distribution. Distribution and X-X have
jointly retained experts. Inspection of damaged pipe is
ongoing. Early indications are that the alleged defects
were the result of installation errors by Xxxxxx-Western.
3. U.S. Filter Distribution Group, Inc. v. Boulder Excavating, Inc., et al.,
filed 09/10/01
Claimant: Distribution
Amount in dispute: $248,000
Summary: This action is a collection suit arising out of a
contract/credit agreement dated December 9, 1985 relating
to the Virgin Valley Water District 24" Water Line
Improvement Project wherein Distribution agreed to provide
certain materials to defendant Boulder Excavating on
credit. On about October 25, 2001, defendants tiled a
counterclaim against Distribution alleging that
Distribution did not provide materials manufactured by
Xxxxxxx and Singer as agreed upon in their contract and
therefore, Distribution breached the contract allegedly
causing more than $400,000 in damages to defendant
Boulder. Currently, Distribution is awaiting proposed
budget and a status letter from defense counsel. The
counterclaim appears to be frivolous. Distribution has
served the
Page 29
bonding company. Therefore, defendant's solvency should
not be a concern. Plaintiffs counsel has filed a motion to
withdraw for non-payment of fees.
4. Xxxxxx Utilities. Inc. v. US. Filter Distribution Grout. Inc., filed
08/09102
Claimant: Xxxxxx Utilities, Inc.
Amount in dispute: $652,482
Summary: Voidable preference claim in Bankruptcy Court. A North
Carolina-based customer of Distribution, which is now in
Chapter 11 bankruptcy, claims that Distribution received
voidable preference payments totaling $652.482.39 within
90 days of the filing of the Bankruptcy Petition.
Distribution has two promising defenses: (1) a partial
"new value" defense totaling at least $400,000. based on
new goods and services provided to plaintiff after the
alleged preferential payments; and (2) a potential
complete defense based on the fact that Distribution
reframed from exercising lien or bonding rights in its
continuing dealings with plaintiff. Distribution's Answer
is due September 23, 2002.
5. Xxxxxx Plumbing v. U.S. Filter Distribution Group, Inc.
Claimant: Bankruptcy trustee for Xxxxxx Plumbing
Amount in dispute: $81,629.83
Summary: Voidable preference claim in Bankruptcy Court. The Chapter
7 bankruptcy trustee of a former North Carolina-based
customer of Distribution claims that Distribution received
voidable preference payments totaling $81,629.83 within 90
days of the tiling of the Bankruptcy Petition.
Distribution intends to assert one or more promising
partial or complete defenses.
6. Estate of Xxxxxxx X. Xxxxxx v. USF Distributing. Harrier Construction.
Xxxxxx Xxxxxx. et al.
Claimant: Estate of Xxxxxxx X. Xxxxxx
Amount in dispute: $1,000,000
Summary: Wrongful death action in U.S. District Court, Fresno, CA
alleging Distribution negligently loaded pipe onto a
truck. Plaintiff decedent was killed attempting to unload
the pipe after transporting it to Utah. Plaintiffs estate
seeks recovery in the amount of $1.0 million. Distribution
has not yet been served, but has been advised by counsel
that service is imminent. Liability is very questionable.
Defense counsel plans to tender the defense of this matter
to RAM Trucking. General liability insurance is fully
defending without reservation, and defense is fully funded
by carrier. Distribution has a $250,000 indemnity
deductible.
7. Resources Companies. Distribution received a letter dated April 4, 2002 from
a competing distributor in the Chicago, Illinois area who alleged Distribution
was engaged in anticompetitive activities. Counsel for Distribution reviewed the
allegations and concluded that
Page 30
there were no violations, and subsequently rejected Resource Companies' claims
by letter dated April 16,2002.
8. Detroit Water Team. Distribution was notified by letter dated June 20, 2002
of a potential future subrogation claim arising out of the failure of an
underground water pipe manufactured by XXXX Water Systems Co. and supplied by
Distribution to the Detroit Water Team ("DWT"). Detroit Water Team's expert has
conceded that the pipe distributed by Distribution Group was not the cause of
damage. This matter will likely be terminated in the near future as to
Distribution, without any defense counsel costs or liability for Distribution.
9. See Schedule 3.18.
Page 31
SCHEDULE 3.10
COMPLIANCE WITH LAW: PERMITS
See paragraph 2 of Schedule 3.8(e).
Page 32
SCHEDULE 3.11
LABOR MATTERS
COLLECTIVE BARGAINING AGREEMENTS
1. Collective bargaining agreement between U.S. Filter and International
Brotherhood of Teamsters, Local Union 247 dated July 30, 1999 for the
period July 31, 1999 through July 30, 2004 covers all union employees
at the Novi and Shelby Township, Michigan facilities.
2. Collective bargaining agreement between U.S. Filter and Teamsters,
Chauffeurs and Helpers Local Union No. 525 Affiliated with the
International Brotherhood of Teamsters dated December 1, 1997 for the
period December 1, 1997 through November 30, 2003 covers all union
employees at the Granite City, Illinois facility.
Page 33
SCHEDULE 3.12(a)(i)
INTELLECTUAL PROPERTY ASSETS:
MARKS AND FICTIONAL NAMES
Trademarks
POWERSCOPE - Common law xxxx - unregistered service xxxx
Xxxx 34
SCHEDULE 3.12(a)(ii)
INTELLECTUAL PROPERTY ASSETS: PATENTS
U.S. Patent No. 5,074,526 - Issue date 12/24/91
Title: In-line fluid control valve with apparatus for and method of installation
in an existing Fluid conduit
Page 35
SCHEDULE 3.12(a)(iii)
INTELLECTUAL PROPERTY ASSETS: COPYRIGHTS
WATER CITY poster design
POWERSCOPE
Page 36
SCHEDULE 3.12(a)(iv)
INTELLECTUAL PROPERTY ASSETS:
INTERNET DOMAIN NAMES
xxx.xxxxxxxxxxxxx.xxx
Page 37
SCHEDULE 3.12(b)(i)
RIGHTS IN INTELLECTUAL PROPERTY:
GENERALLY
No disclosure made.
Page 38
SCHEDULE 3.12(b)(ii)
RIGHTS IN INTELLECTUAL PROPERTY:
PATENTS
No disclosure made.
Page 39
SCHEDULE 3.12(b)(iii)
RIGHTS IN INTELLECTUAL PROPERTY:
MARKS
No disclosure made.
Page 40
SCHEDULE 3.12(b)(iv)
RIGHTS IN INTELLECTUAL PROPERTY: INTELLECTUAL PROPERTY
LICENSES
A. As Licensor.
Romac License Agreement dated May 15, 1989 by and between Distribution
(successor to Meter Services & Service Sales, Inc.), as Licensor, and Romac
Industries, Inc., as Licensee.
B. As Licensee.
1. Software License Agreement, Software Maintenance Agreement and
Consulting Services Agreement, each dated January 1, 1997 and related upgrades
dated January 27, 2000 and March 30, 2001, by and between Distribution, as
Licensee, and Mincron SBC Corporation, as Licensor.
2. Certain operating systems and licensed programs for AS/400s.
3. WebCommerce software for customer interface to Minron system
licensed from Minron SBC Corporation.
4. Trusted Link EDI software for AS/400 licensed from Peregrine
E-Markets.
5. Get2Connect License Agreement for distribution of EDI documents
licensed from Peregrine E-Markets.
6. Report2Web secure report server software licensed from Redwood
Software.
7. TrackIt software tracking system licensed from Blue Ocean Software.
8. FAS 2000 fixed asset tracking software licensed from Best Software.
Page 41
SCHEDULE 3.13(a)
EMPLOYEE BENEFIT PLANS
USF EMPLOYEE BENEFIT PLANS
- United States Filter Corporation Retirement Savings Plan
- United States Filter Corporation Welfare and Fringe Benefit Plans
- Group Health insurance (including medical, dental, vision and employee
assistance plan)
- International Travelers Medical
- Flexible Benefit Plan (Internal Revenue Code Section 125
Cafeteria Plan)
- Group Term Life Insurance and Accidental Death and Dismemberment
- Business Travel Accident
- Short-Term Disability
- Group Long-Term Disability
- Voluntary Long-Term Disability
- Voluntary Accidental Death and Dismemberment
- Voluntary Term Life Insurance
- Voluntary Universal Life Insurance
- Voluntary Group Home and Auto
- Voluntary Legal Services
- Vacation Policy
- Sick Day Policy
- Holiday Policy
- Education Assistance Policy
- Severance Plan
- Adoption Benefit
- 000 Xxxxxxx Xxxxxxx Xxxx
- Xxxxxx Xxxxxx Filter Corporation Management Deferred Compensation Plan
VIVENDI EMPLOYEE BENEFIT PLANS
- Vivendi 10 Stock Option Grant Program
- Vivendi Pegasus Share Incentive Plan
- Vivendi Universal Employee Stock Option Plan May 1999
- Vivendi Universal Employee Stock Option Plan May 2000
- Vivendi Environnement Employee Stock Option Plan February 2001
Page 42
SCHEDULE 3.13(b)
XXXXXX XX XXXXX
Xx Xxxxxxx 00, 0000, Xxxxxx Xxxxxx Filter Corporation filed an application for a
compliance statement under the Internal Revenue Service's Voluntary Compliance
Resolution Program with respect to a failure to make required matching
contributions under the United States Filter Corporation Retirement Savings Plan
for the 1994 through 1998 plan years. The Internal Revenue Service issued a
compliance statement August 29, 2002, conditioned upon United States Filter
Corporation making the true-up correction contributions within 150 days after
issuance of the compliance statement. United States Filter Corporation fully
expects to make such true-up correction contributions within that timeframe.
Page 43
SCHEDULE 3.13(c)(iii)
POST-EMPLOYMENT OR RETIREE BENEFITS
Distribution has agreed to maintain a post-retirement medical and dental
insurance benefit program for several former Xxxxxxx Supply Company employees
whose combined age and years of service totaled at least 75 at the date of the
Xxxxxxx Supply acquisition, Upon their retirement from Distribution, these
eligible employees may elect (for themselves and their spouses) to continue to
be covered by Distribution's group medical and dental insurance programs until
age 65, provided they continue to pay Distribution the applicable COBRA cost (as
annually adjusted) of such coverage for so long as they elect to participate.
Six individuals (retired employees and/or their spouses) ranging in age from 57
to 64 are currently participating. In addition, there are two current employees
who will be eligible to elect such coverage upon their retirement from
Distribution. The ages of these two current employees and their spouses range
from 55 to 64.
Page 44
SCHEDULE 3.13(c)(vi)
ACTUAL AND CONTINGENT LIABILITIES
1. See also Schedule 3.13(d).
2. See disclosures relating to severance pay on Schedule 3.13(i).
3. Distribution has certain company contribution obligations for (i) its share
of insurance premiums with respect to USF Employee Benefit Plans in which
employees participate and (ii) certain payroll taxes.
4. Distribution has certain matching obligations under the United States Filter
Corporation Retirement Savings Plan that it is required to remit to USF on a
regular basis.
5. Distribution has certain true-up matching obligations under the United
States Filter Corporation Retirement Savings Plan with respect to a failure to
make required matching contributions for the 1994 through 1998 plan years. The
estimated obligation, as of June 24, 2002, is: $58,469.57 for 1997; and
$77.111.08 for 1998. Distribution has no obligations for plan years 1994-1996.
6. Distribution is required to remit to the trustee of the USF Management
Deferred Compensation Plan all amounts due in respect of payroll withholding
from their participating employees in accordance with the terms of the plan.
Page 45
SCHEDULE 3.13(d)
CONTRIBUTIONS
In the ordinary course of business, Distribution will withhold from its
employees' pay the employees' (i) share of insurance premiums with respect to
USF Employee Benefit Plans in which such employees participate, (ii)
contributions under the United States Filter Corporation Retirement Savings
Plan, (iii) contributions under the USF Flexible Benefit Plan. (iv)
contributions to the USF Management Deferred Compensation Plan, and (v) payroll
withholding taxes. These amounts are remitted on a regular basis to USF, which
administers such plans and remits appropriate payroll withholding taxes.
Distribution has certain company contribution obligations for (i) its share of
insurance premiums with respect to USF Employee Benefit Plans in which employees
participate and (ii) certain payroll taxes.
In addition, Distribution has certain matching obligations under the United
States Filter Corporation Retirement Savings Plan that it is required to remit
to USF on a regular basis. These obligations will continue to accrue and be
discharged in the ordinary course.
On January 12, 0000, Xxxxxx Xxxxxx Filter Corporation filed an application for a
compliance statement under the Internal Revenue Service's Voluntary Compliance
Resolution Program with respect to a failure to make required matching
contributions under the United States Filter Corporation Retirement Savings Plan
for the 1994 through 1998 plan years. The Internal Revenue Service issued a
compliance statement August 29, 2002, conditioned upon United States Filter
Corporation making the true-up correction contributions within 150 days after
issuance of the compliance statement. United States Filter Corporation fully
expects to make such true-up correction contributions within that timeframe.
Page 46
SCHEDULE 3.13(b)
EMPLOYEES
(i) List of employees with base cash compensation in excess of $150,000:
NAME BASE SALARY
---- -----------
Xxxxxxx, Xxxxx X. $175,032
Xxxxxxx, Xxxxx X. $350,012
Xxxxxx, Xxxxxx $153,660
Xxx, Xxxxx $169,000
Xxxxxx, Xxxx X. $152,256
Xxxxxxxxx, Xxxxxxxx $170,352
(ii) Plant closings and mass layoffs.
No disclosure made.
Page 47
SCHEDULE 3.13(i)
AGREEMENTS AND PLANS
(i) Agreements re: termination with notice period of 90 days or more
Employment Agreement between USF and Xxxxx X. Xxxxxxx, Xx. dated April 22, 1999,
as assigned by USF to Distribution as of May 31, 2002.
Each of the following employees has an Employment Security Agreement dated April
18, 2002 under which s/he will receive defined severance benefits if s/he is
terminated under conditions enumerated in such agreements.
Xxx Xxxxxxx
Xxx Xxxx
Xxxxx Xxxxxxx
Xxxxx Xxxxxx
Xxxx Xxxxx
Xx Xxxxxx
Xxxx Xxxxxx
Xxxx Xxxxx
Xxxx Xxxxxxxx
Xxxxxxxx Xxxxxxxxx
Xxx Xxxxxx
Xxxxx Xxxx
Xxxxxx Xxxxxxxx
In accordance with a letter dated Xxxxx 0, 0000, Xxxxxx Xxxx has an arrangement
for salary continuation.
(ii) Agreements with any officer or director not already in (i) above:
None to disclose.
(iii) Stock option, stock purchase, bonus or other incentive plan or
agreement
- Bonuses have been accrued and/or paid in the ordinary course of
business in relation to 2002. All bonuses in relation to 2001
and prior years have been accrued on the Balance Sheet or paid.
- Sales representatives are eligible for a year end bonus and
monthly commissions.
- Operations Managers are eligible for a monthly commission on
achievement tied to branch contributed profit.
- District/Branch Managers are eligible for a year end bonus and
monthly commission based on achievement tied to branch
contributed profit and return on investment.
- Regional Vice Presidents are eligible for quarterly commissions
based on achievement tied to regional operating profit and are
eligible for a year end bonus under the executive bonus plan
(See below).
Page 48
- Certain product specialists and department managers are
eligible for a year end bonus tied to written performance
objectives.
- Non-commissioned employees are eligible to participate in a
branch incentive pool based on branch financial results.
- Sales Agent Agreement between Distribution and Xxxxxx Xxxxxxx,
dated January 1, 2001.
- Sales Agent Agreement between Distribution and Xxxx X. Xxxxxx,
dated October 22, 1999.
- Sales Agent Agreement between Distribution and Xxx Xxxxx, dated
November 1, 2000.
- Sales Agent Agreement between Distribution and Xxxxx Xxxxx,
dated January 1, 1998.
Each of the following employees is eligible to participate in an Executive Bonus
Plan under which s/he can earn a quarterly bonus equal up to 1/5th of his/her
respective target incentive (defined as a percentage of base salary). Bonus
amount is based upon achieved quarterly EBITA relative to budgeted quarterly
EBITA. Participants can earn an additional bonus equal to l/5th of his/her
respective target incentive based on achieved EBITA relative to budgeted EBITA
for the full calendar year.
Xxx Xxxxxxx
Xxx Xxxx
Xxxxx Xxxxxxx
Xxxxx Xxxxxx
Xxxx Xxxxx
Xx Xxxxxx
Xxxx Xxxxxx
Xxxx Xxxxx
Xxxx Xxxxxxxx
Xxxxxxxx Xxxxxxxxx
Xxx Xxxxxx
Xxxxx Xxxx
Xxxxxx Xxxxxxxx
(iv) Agreements requiring Distribution to pay any officer, director or
employee. No disclosure made.
Page 49
SCHEDULE 3.13(j)
MULTIEMPLOYER PLANS
The collective bargaining agreement with the International Brotherhood of
Teamsters, Local Union 247, in Novi, Michigan, requires Distribution to pay into
the Central States, Southeast and Southwest Areas Pension Fund. A letter
regarding Distribution's withdrawal liability with respect to this collective
bargaining agreement is attached as Appendix B.
Page 50
SCHEDULE 3.14
ENVIRONMENTAL MATTERS
A. COMPLIANCE:
1. Denver. Colorado. ENSR Phase I site assessment report dated April
2002 noted the following regulatory issues which have been
resolved as set forth below:
a. Fluorescent bulbs, which contain mercury vapor, were being
disposed of in the trash dumpster inconsistent with
Colorado's Universal Waste Regulations (1007 CCR Section
273.13(e)). Used bulbs are now being stored and disposed
of in compliance with applicable regulations.
b. Trucks were being washed with caustic cleaners and the waste
water from these cleanings was being allowed to discharge
into the city street and enter the storm water collection
system, without appropriate safeguards and a Colorado NPDES
minimal discharge permit (Regulation 61, Colorado Permit
System Regulations). Facility has discontinued the practice,
eliminating the need to secure a permit.
2. McAllen. Texas. ENSR Phase I site assessment report dated April
2002 noted the following regulatory issues which have been
resolved as set forth below:
a. Outside sandblasting operations require registration and
written site approval pursuant to the Texas Natural Resources
Conservation Commission Exemptions from Permitting Chapter
106, Subchapter T. The Facility has filed for an exemption
with the TNRCC (with no response expected or required back
from the TNRCC).
b. Written site approval is required for outside painting under
the TNRCC Exemptions from Permitting Chapter 06, Subchapter
S, Surface Coating. The Facility has filed for an exemption
with the TNRCC (with no response expected or required back
from the TNRCC).
c. A Texas Pollutant Discharge Elimination System permit is
required for the oil/water separator discharge to the ground.
The Facility has rerouted discharge to the City's sewer
system and received written notice from the City that no
permit to discharge into the City's sewer system is required.
B. CLAIMS:
No disclosure made.
C. PERMITS:
No disclosure made.
Page 51
D. NOTICE OF REVOCATION OF PERMITS:
No disclosure made.
E. STORAGE TANKS:
No disclosure made.
F. LISTED PROPERTIES (ON THE NATIONAL PRIORITIES LIST):
No disclosure made.
G. HAZARDOUS MATERIALS:
1. Thomasville, Georgia. A letter loom the Georgia Department of Natural
Resources dated September 5, 2000 was received concluding that no further action
is required for contamination resulting from release from underground storage
tanks, which were removed prior to 1990.
2. Olathe, Kansas. ENSR Phase I Site Assessment Report dated April 2002 noted
the presence of an on-site septic system, in use at the facility since the
construction date of the facility in the early 1980s. Prior to 1998, pipe
fabrication was conducted in the warehouse building; this generated waste
toluene. Two floor drains in the warehouse reportedly discharge into the septic
system, although there is no evidence to indicate that any releases have
actually taken place.
H. REQUIRED NOTICE OR CONSENT:
No disclosure made.
Page 52
SCHEDULE 3.16
MATERIAL CONTRACTS
(A) PARTNERSHIP, LIMITED LIABILITY COMPANY OR JOINT VENTURE AGREEMENTS
No disclosure made
(b) (i) Contract re: indebtedness for borrowed money
Other Party Agreement Date
----------- --------- ----
Distribution (successor Xxxxxx X. Xxxxxxx Installment Note June 3, 1996
to Pacific Water Works)
(II) CONTRACTS WHEREBY DISTRIBUTION WOULD, OR WOULD HAVE ANY OBLIGATION
TO, MAKE AN INVESTMENT IN OR LOAN TO ANY PERSON
No disclosure made
(C) CONTRACTS FOR THE SALE OF GOODS AND/OR SERVICES INVOLVING
TOTAL ANNUAL PAYMENTS IN EXCESS OF $500,000
OTHER PARTY AGREEMENT DATE
Neenah Foundry Company Consignment Agreement November 22, 2000
North American Pipe Corporation Distributor Agreement May 11, 2001
Badger Meter, Inc. Distributor Resale Supply Agreement May 18, 1998
Invensys Metering Systems Distributorship Agreements Various
Xxxxxxx Co. Distribution Agreements Various
(D) CONTRACTS FOR THE SALE OF GOODS AND/OR SERVICES INVOLVING
TOTAL ANNUAL REVENUES IN EXCESS OF $500,000
OTHER PARTY AGREEMENT DATE
City of Corona Bid No. 02-06 July 11,2001
Xxxxxxxxx City RFP No. 105-01 *02 January 9, 2002 (bid)
"Backflow Assembly Test & Repair" April 1, 2002 (PO)
Las Vegas Valley Water Bid No. 4803-00 Renewed 06/30/01 thru 06/30/02
3/4" Stamped Copper Tubing
Denver Xxxxx Xxxx. Xxxxxxxx Xx. 00000X 07/1/00
Renewed 07/01/02 thru 06/30/2002
City of Berwyn Water Meter Agreement May 5, 1999
Xxxxx Plumbing Company Subcontract (to Berwyn Water Meter April 30, 1999
Agreement)
Village of Forest Park Water Meter Agreement 01/09/00
Professional Meters, Inc. Subcontract (to Forest Park Water 01/18/01
Meter Agreement)
Alliant/Wise Power Blanket Order GO002992 05/24/01
City of Houston Plastic Meter Boxes Contract SC-R- 05/22/01-05/30/04
0000-000-00000
City of Houston Water Meter R/P Contract 05/15/02
SC-R4515-031-13401
Page 00
XxXxxx X. Xxxxxxxxxx Xxxxxxxx Xx. 0000-00 Renewed April 1, 2002 thru May 31, 2003
Xxxxxxx City Water & Bid for Contract I -- Manholes and 11/21/01
Sewerage Authority Contract II -- Polyvinylchloride
Profile Sewer Pipe
City of Apopka Contract No. 99-157 Renewed February 1, 2002 thru
January 31, 2003
Orange County Government 1. Contract #Y1-1011A 1. Renewed for June 5, 2002 thru June 4, 2003
Water Meter Boxes, Lot I
2. Contract #Y9-1011 Water Pipes, 2. September 22, 1999 thru 09/21/02
Valves & Fittings
Indian River County IRC Bid #6010 Utilities Supplies Renewed from 10/01/01 thru 09/30/02.
Utility Department & Materials Up for rebid as of 9/30/02 and such new
contract has not yet been awarded.
Ft. Xxxxxx Utility Authority Bid No. 5140 (Piggyback Indian River 06/11/01. 06/05/01 thru 09/30/01
County Bid No. 6010) with annual renewals through 09/30/05
Knoxville Utilities Board Purchase Order 6752 Renewed 07/01/01 thru 06/30/02
City of Camden Contract and Agreement (for cold 03/05/01
water meters)
Cleveland, City of Contract No. 58750 01/29/02 (1 yr)
Xxxxxxxx Xx. 00000 11/09/01 (2 yrs)
Borough of Edinboro Bid for new meter re-setters 11/20/01
The Village of Lagrange Water Meter Agreement 10/24/01
Park
Professional Meters Inc. Subcontract to Village of Lagrange 10/24/01
Park Water Meter Agreement
Chanhassen Utility Contract 10/19/01
Department
FSC Sales & Service Inc Purchase Agreement 173-001A 07/10/01
Xxxxxxx Bros Corp-Bartow- Contract #8141217 02/14/01 (PO)
Farmland Job
Brandbury Xxxxx Construction Purchase Order Job No. 3999 11/15/00 (PO)
Bid ID: 418291
Albuquerque Underground Purchase Order No. 201015-01 03/08/02
(E) CONTRACTS (OTHER THAN SALES AGENCY OR DISTRIBUTOR AGREEMENTS)
CONTAINING COVENANTS MATERIALLY RESTRICTING LINE OF BUSINESS
Noncompetition Agreement dated January 1, 2001 between Distribution and ISCO
Industries, LLC. The agreement restricts, among other matters, Distribution from
the following activities: the business of fabrication, distribution or sale of
HDPE pipe for any use except municipal markets in Florida, Georgia, North
Carolina and South Carolina for five (5) years commencing January 1,2001.
Page 54
(F) CONTRACTS BETWEEN DISTRIBUTION AND USF OR ITS SUBSIDIARIES OTHER
THAN PURCHASE ORDERS ENTERED INTO ON MARKET TERMS.
No disclosure.
Page 55
SCHEDULE 3.18
INSURANCE
1. Policies: Refer to Appendix C attached hereto, which lists insurance policies
and coverage limits.
2. Claims: Refer to the following appendicies attached hereto, for pending
claims and claims history:
Xxxxxxxx X-0 - Insurance Claims: AIG General Liability
Appendix D-2 - Insurance Claims: AIG Automobile
Appendix D-3 - Insurance Claims: Travelers Automobile
Appendix D-4 - Insurance Claims: USF Self-Managed Automobile
Xxxxxxxx X-0 - Insurance Claims: Asbestos
Xxxxxxxx X-0 - Workers' Compensation Claims: Travelers Insurance
Appendix D-7 - Workers' Compensation Claims: Argonaut Insurance
56
SCHEDULE 3.19
UNDISCLOSED LIABILITIES
No disclosure.
57
SCHEDULE 4.4
BROKERS, FINDERS OF USF
USF has retained the services of Xxxxxxx Sachs in respect of the transaction
contemplated by the Agreement.
58
SCHEDULE 5.5
BROKERS, FINDERS OF BUYER
No disclosure made.
59
SCHEDULE 6.3
MATERIAL CONSENTS
The following Real Property Leases:
Xxxxxxx (Phoenix), AZ /
Tolleson (Phoenix), AZ /
Denver , CO /
Morrisville (Raleigh), NC /
Corona, CA /
Santa Clara, CA /
Shelby Township, MI /
Waco, TX /
Vancouver, WA /
Jacksonville, FL /
North Las Vegas NV /
Sterling, VA /
Escondido CA /
Tucson, AZ /
Monroe, OH /
Page 60
SCHEDULE 6.5
OPERATIONS PRIOR TO CLOSING DATE
1. The Receivables Purchase Facility may be terminated prior to Closing.
2. Pursuant to the Receivables Purchase Facility, Distribution is
continuously in the process of selling its trade accounts receivable
with the proceeds from such sales being transferred to USF.
3. To the extent necessary to eliminate intercompany net receivables due
from USF to Distribution (excluding trade payables due to and from USF
and its Subsidiaries in respect of the sale and purchase of goods
and/or services in the ordinary course of business), Distribution will
declare a dividend in the amount of such net receivables (net
receivables due from USF are categorized on the Balance Sheet as
shareholder's equity).
Page 61
SCHEDULE 6.7
GUARANTY AND SURETY OBLIGATIONS
PRIMARY
GUARANTOR OBLIGOR BENEFICIARY AMOUNT OF GUARANTY DATE OF GUARANTY
---------------------------------------------------------------------------------------------------------------
United States Distribution Catellus Amounts due pursuant 08/29/1997,
Filter Corporation Development to lease on Vernon, CA renewed
Corporation property 10/02/2000
---------------------------------------------------------------------------------------------------------------
United States Distribution R.E.A. Amounts due pursuant to 09/09/1997
Filter Corporation Investment lease on Pineville, NC
Partners and property
General Partnership
---------------------------------------------------------------------------------------------------------------
United States Distribution Triple Net Amounts due pursuant to 02/26/1998
Filter Corporation Investments VI, L.P. lease on Whitehall, PA
property
---------------------------------------------------------------------------------------------------------------
Vivendi Water, Distribution Xxxxxx Capital Performance Guaranty for 12/19/2001
S.A. Corporation, performance under the
Societe Generale Receivables Purchase
and each Program Facility
Support Provider,
Affected Person
and Indemnified Party
---------------------------------------------------------------------------------------------------------------
United States Distribution Employers Letter of Credit
Filter Corporation (Xxxxx Water Reinsurance Corp. No. 291 through
and Waste) Commercial Bank,
Thomasville, GA $250,000
---------------------------------------------------------------------------------------------------------------
Vivendi Water, Vivendi Water Automotive Rentals, Amounts due pursuant 08-14-2000
S.A. Transport, Inc. Inc. to the Master Equipment
Lease Agreement dated
08-14-2000
---------------------------------------------------------------------------------------------------------------
Refer to Appendix E-l attached hereto, which lists surety obligations with
respect to construction and supply bonds.
Refer to Appendix E-2 attached hereto, which lists other surety obligations.
Page 62
SCHEDULE 7.6
ACCOUNTANTS FEES AND EXPENSES
1. Review of unaudited financial statements for the six months ended June 30,
2002, in accordance with SFAS 71.
2. Reissuance of the audited Financial Statements to comply with Regulation
S-X, including the push-down of goodwill resulting from Vivendi's
acquisition of USF in April 1999 and related purchase accounting entries.
3. Implementation of SFAS 142, and review of related impairment charges to be
recorded in the six months ended June 30,2002.
4. Review of Offering Memorandums.
5. Review of pro forma financial information included in the Offering
Memorandum, as well as preliminary procedures applied to pro forma
adjustments related to EBITDA.
6. Procedures related to comfort letter issuance and down-to-date procedures.
7. Consultations related to the foregoing items.
Page 63
SCHEDULE 7.10
NON-SOLICITATION
1. Xxxxxxxx, Xxxxxx X. 51. Brush, Xxxxxx X. 100. Xxxxx, Xxx X. 149. Xxxxx, Xxxxxxx X.
2. Xxxxx, Xxxxxx X. 52. Xxxxxx, Xxxx X. 101. Xxxxxxxx, Xxxxxxx X. 150. Xxxx, Xxx
3. Xxxxxx, Xxxxxx X. 53. Xxxxxx, Xxxxx X. 102. Xxxxx, Xxxx 151. Xxxxxxx, Xxxxx X.
4. Xxxxxx, Xxxxxx X. 54. Xxxx, Xxxxxx 103. Xxxxxxx, Xxxxx X. 152. Xxxxxxx, Xxxxxx X.
5. Xxxxxxx, Xxxxx X. 55. Xxxxxxxx, Xxxxxxx X. 104. Eidelsburger, Xxxxxx 153. Xxxxxxx, Xxxxx X.
6. Xxxxxxxx, Xxxxx X. 56. Xxxxxx, Xxxxxxx X. 105. Xxxxxxxxxxxx, Xxxxx 154. Xxxxxx, Xxxxxxx X.
7. Xxxxxxxx, Xxxxx X. 57. Xxxxxxxx, Xxxx X. 106. Xxxxxxxx, Xxxxx X. 155. Xxxxxx, Xxxxxxxx X.
8. Xxxxxxxx, Xxxxxx X. 58. Xxxxx, Xxxxxx X. 107. Xxxxx, Xxxxxxx X. 156. Xxxxx, Xxxxx X.
9. Xxxxxxxx, Xxxxxx X. 59. Xxxx, Xxxxxxx X. 108. Xxxxxxxxx, Xxx X. 157. Xxxxxx, Xxxxx X.
10. Xxxxxxxxx, Xxxxx X. 60. Xxxxxxx, Xxxxx X. 109. Xxxxx, Xxxxxx X. 158. Xxxxxx, Xxxxx X.
11. Amip, Xxxxxx X. 61. Xxxxxx, Xxxxxxx X. 110. Xxxxxxx Xxxxxxx J. 159. Xxxxx, Xxxxxxx
12. Xxxxxxx, Xxxx X. 62. Xxxxxxxx, Xxx X. 111. Ewe, Xxxx X. 160. Xxxxxxx, Xxxxxxx X.
13. Xxxxx, Xxx 63. Xxxxxxx, Xxxx 112. Xxxxxx, Xxxxxx X. 161. Xxxxxx, Xxxxxx X.
14. Xxxxxxxxx, Xxxxx X. 64. Chartaway, Xxx X. 113. Xxxxxxxx, Xxxxxx X. 162. Xxxxxxxx, Xxxxx
15. Xxxxx, Xxxx X. 65. Chess, Xxxx X. 114. Xxxxx, Xxxxx X. 163. Xxxxxxx, Xxxxxxx
16. Xxxxxxx, Xxxx X. 66. Xxxxx, Xxxxxx X. 115. Xxxxxxx, Xxxx X. 164. Xxxxxxx, Xxxxx X.
17. Xxxxxx, Xxxx X. 67. Christmas, Xxxxxxx 116. Xxxxxxx, Xxxxxx X. 165. Xxxxxxx, Xxxxxxx X.
18. Xxxxxx, Xxxx X. 68. Xxxxxxxxx, Xxxxxx X. 117. Xxxxxx, Xxxxxxx X. 166. Xxxxxxxx, Xxxxx X.
19. Xxxxx, X. X. 69. Xxxxxxx, Xxxxx 118. Xxxxxxx, Xxxxxx X. 167. Xxxxxxx, Xxxxx X.
20. Xxxxxxx, Xxxxxxx X. 70. Xxxxx, Xxxxxxx 119. Xxxxxx, Xxxxxx X. 168. Xxxxxxx, Xx X.
21. Xxxxxxx, Xxxxxx 71. Glingenpeel, Xxxxxxx X. 120. Xxxx, Xxxxxx X. 169. Xxxxxxxx, Xxxxx X.
22. Xxxxxxx, Xxxxxxx X. 72. Xxxxxx, Xxxxx X. 121. Xxxxx, Xxxxxx X. 170. Xxxxxxxx, Xxxxxx X.
23. Xxxxx, Xxxxx X. 73. Xxxxxx, Xxxxxxx X. 122. Xxxxxx, Xxx 171. Joy, Xxxxxxx X.
24. Xxxxxx, Xxxxxxx X. 74. Xxxx, Xxxxxxx X. 123. Xxxxx, Xxxxxxx X. 172. Joynet, Xxxxxxx
25. Xxxxxxxx, Xxxxxxxx X. 75. Xxxxxxx, Xxxxx X. 124. Xxxx, X.X. 173. Xxxx, Xxxxx X.
26. Xxxxx, Xxxxxx 76. Xxxxxx, Xxxxx X. 125. Xxxxxxxxx, Xxx 174. Xxxxxxxx, Xxx X.
27. Xxxxxxxx, Xxxx X. 77. Converse, Xxxx X. 126. Xxxxxx, Xxxxxxx X. 175. Xxxxxx, Xxxx X.
28. Xxxxxx, Xxxxx 78. Xxxxxxx, Xxx X. 127. Xxxxxxx, Xxxxxx X. 176. Xxxxx, Xxxxxx X.
29. Xxxxx, Xxxxxx 79. Xxxxxx, Xxxxx X. 128. Xxxxx, Xxxxxx X. 177. Xxxxxx, Xxxxx X.
30. Xxxxxx, Xxxxxx X. 80. Xxxxxx, Xxxxx X. 129. Xxxxxx, Xxxxxxx 178. Xxxxx, Xxxxxx X.
31. Xxxxx, Xxxxx 81. Xxxxxxxx, Xxxxxxxx X. 130. Xxxx, Xxxxx X. 179. Xxxx, Xxxxxxx X.
32. Xxxxxx, Xxxx X. 82. Xxxxxxxx, Xxxx 131. Xxxx, Xxxxxxx X. 180. Xxxxxxx, Xxxxx X.
33. Boys, Xxxxxxxx X. 83. Xxxxx, Xxx 132. Xxxxxxx, Xxxx X. 181. Xxxxxxx, Xxxxxxx X.
34. Xxxxxxxx Xxxx I. 84. Xxxx, Xxxxxxx X. 133. Xxxxxx, Xxxxxxx 182. Xxxxxxx, Xxxxxx X.
35. Xxxxxxxx,Xxxxxxx 85. Xxxxxxx, Xxxxxxx X. 134. Xxxx, Xxxxxx X. 183. Xxxx, Xxxxx
36. Brain, Xxxx X. 86. Xxxx, Xxxxxxx X. 135. Xxxxxxx, Xxxxxxx X. 184. Xxxx, Xxxx
37. Xxxxx, Xxxxxxx X. 87. Dallavilla, Xxxxxxx X. 136. Xxxxxxx, Xxxxx X. 185. Xxxxxxx, Xxxx X.
38. Xxxxxxx, Xxxxx 88. Xxxxx, Xxxxxxx X. 137. Xxxxx, Xxxxx X. 186. Xxxxxx, Xxxx X.
39. Xxxxxxxx, Xxxx X. 89. Xxxxx, Xxxxx X. 138. Xxxxx, Xxxxxx X. 187. Klenk, Albert M.
40. Brinkman, John D. 90. Davis, Ronald L. 139. Hayes, William A. 188. Knight, Jim
41. Britt, Richard 91. Davis, Vernon L. 140. Heddleston, Eric J. 189. Kothmann, John R.
42. Brooks, Stephen J. 92. Davis, William B. 141. Heil, Robert E. 190. Kovacs, Henry
43. Brouillette, Jeffrey F. 93. Davis, William H. 142. Henke, Matthew J. 191. Kupish, David W.
44. Brown, Craig D. 94. D'Eroole, Dale 143. Hester, Michael R. 192. Lahr, Vaughn E.
45. Brown, Daniel K. 95. Devlin, Joseph 144. Hicks, Douglas L. 193. Lambros, Christopher L.
46. Brown, Pete J. 96. Dexter, Jeffrey M. 145. Hickson, Robin G.
47. Brown, Richard D. 97. Dibattista, Michael 146. Hilgedick, Donald W.
48. Brown, Wallace R. 98. Dohn, Robert A. 147. Hobbs, Robert K.
49. Bruce, John S. 99. Doud, Kevin E. 148. Hoffman, Robert W.
50. Brunton, James L.
Page 64
194. Langton, Charles H. 239. Murphy, Rose 284. Roncska, Lynn 329. Strickland, Jerry G.
195. Larson, David L. 240. Nelson, Michael 285. Rowland, James P. 330. Stuckey, Scott M.
196. Lawrence, Keith 241. Nelson, Russell 286. Saare, Glenn 331. Sullivan, Thomas M.
197. Lee, Danny R. 242. Nichols, Tracy L. 287. Sanders, Phillip M. 332. Sullivan, William L.
198. Lee, Donald W. 243. Nicholson, Francis B. 288. Sandigo, Alexander 333. Switzer, Douglas
199. Lee, Larry W. 244. Norman, Hurshel C. 289. Sands, John B. 334. Sykes, Kenny M.
200. Lemoine, Keith 245. Obertyniuk, Jeffrey M. 290. Santi, Andrew J. 335. Taylor, Wayne
201. Lillard, Eric T. 246. Olson, Jack D. 291. Saunders, Anthony M. 336. Teter, Don L.
202. Lillard, Michael E. 247. Owen, Harold 292. Schaller, John R. 337. Theetge, Mark A.
203. Lopez, Alfredo A. 248. Parker, Charles B. 293. Scherer, Wade A. 338. Thom, Paul A.
204. Lopez, Antonio 249. Parker, Ken 294. Scott, Monty 339. Thomas, Dwayne E.
205. Luck Dennis H. 250. Peipert, Francis S. 295. Scott, Randy H. 340. Thomas, Jason S.
206. Lydum, Michael R. 251. Perry, David A. 296. Seichepine, Tim 341. Thompson, J.M.
207. Macaulay, Earl H. 252. Phillips, Michael J. 297. Shal, Theodore S. 342. Thompson, Robert S.
208. Maczko, Edward 253. Plotke, Gerald J. 298. Shaw, David P. 343. Tippett, Keith W.
209. Mannecke, William A. 254. Pluim, William J. 299. Shay, Samuel M. 344. Torres, Ralph
210. Markle, Korey W. 255. Pool, Christopher B. 300. Sheehan, Jeffrey M. 345. Townsend, Steve
211. Marro, James 256. Pope, Gary D. 301. Sherrard, Thomas W. 346. Traynham, William L.
212. Marshall, Jeffrey L. 257. Porubcansky, Stephen J. 302. Shields, Clifford 347. Tribble, William A.
213. Martin, Daniel B. 258. Pratt, Dave M. 303. Shireman, Larry D. 348. Van Norman, Peter
214. Matthews, Daniel P. 259. Price, Clifton 304. Shoenberger, Roger C. 349. Walker, Joe L.
215. May, Daryl S. 260. Procter, Joseph P. 305. Shuford, Maurice J. 350. Warren, Dean H.
216. Mays, Warren C. 261. Provin, S.S. 306. Skaggs, Eric P. 351. Waters, Gregory T.
217. McBroom, Daniel B. 262. Putze, Victor B. 307. Skinner, Matthew R. 352. Webb, Jerry L.
218. McCarthy, John T. 263. Quasius, Michael R. 308. Slaughter, Mechelle 353. Webster, Sherran L.
219. McCormick, Edward W. 264. Rabroker, Gerald 309. Smith, Alton T. 354. Weese, Marvin J.
220. McDowell, Robert E. 265. Raehl, Daniel 310. Smith, Chris A. 355. Wegner, Douglas R.
221. McElwain, Alan C. 266. Rafferty, E.T. 311. Smith, George M. 356. Welchons, Irving B.
222. McGrettigan, Kevin F. 267. Ralph, Chris M. 312. Smith, Henry J. 357. Wells, Terry L.
223. McGinnis, Kevin P. 268. Ray, Timothy E. 313. Smith, Mark J. 358. Whalls, Thomas L.
224. McGlinchey, John F. 269. Ray, Todd P. 314. Smith, Rex J. 359. White, John W.
225. McKnight, Dean A. 270. Redman, Michael J. 315. Smith, Scott J. 360. Williams, Keith C.
226. McLaughlin, Charles R. 271. Reed, Perry L. 316. Smoot, Chris M. 361. Williams, William T.
227. McLaughlin, Joe L. 272. Reeves, James 317. Solley, James 362. Wilson, Randall D.
228. McRee, Bobby 273. Reichhold, Kevin J. 318. Sombrio, Jack S. 363. Winchester, John J.
229. Metzner, Michael A. 274. Renteria, Ricardo 319. Spencer, Craig C. 364. Wood, John D.
230. Milam, Tony M. 275. Repp, Stephen M. 320. Spencer, Johnny L. 365. Woods, Timothy A.
231. Miller, Glenn 276. Reynolds, Randall L. 321. Stanart, Ronnie L. 366. Young, Carl B.
232. Miller, John L. 277. Richter, Christopher P. 322. Stefanacci, Mark 367. Young, Keith L.
233. Miller, Russell B. 278. Ricketson, Jimmy E. 323. Steinbach, Garry M. 368. Zappola, Charles S.
234. Miltonberger, L.T. 279. Ridgeway, Eugene S. 324. Stepanek, James P. 369. Zappola, Peter C.
235. Moore, Robert J. 280. Riemenschneider, Guy 325. Stephens, Anthony W. 370. Zuck, John H.
236. Moore, Thomas D. 281. Roberts, John W. 326. Stephenson, Brian
237. Morton, Jack E. 282. Roberts, Michael A. 327. Stewart, Larry K.
238. Murfitt, Steven J. 283. Rogers, Joseph E. 328. Straschewski, Robert M.
Page 65
APPENDIX A
FINANCIAL STATEMENTS
As of
6/30/02
Current Assets:
Cash and cash equivalents 10,635,807
Trade accounts receivable, net 201,075,607
Inventories, net 102,769,852
Deferred income taxes 0
Other current assets 1,161,237
Total current assets 315,642,503
Property and equipment, net (a) 17,962,147
Goodwill, net 77,365,306
Other assets, net 53,871
Total assets 411,013,627
Current Liabilities:
Trade accounts payable (b) 142,926,342
Current installments of long-term debt 215,920
Accrued compensation and benefits 14,268,919
Other accrued expenses 4,968,228
Total current liabilities 162,381,409
Long-term debt, excluding current installments 521,543
Deferred income taxes 0
Total liabilities 162,902,952
Net consolidated equity(c) 246,110,865
Total liabilities and net equity 411,013,827
(a) Includes assets to be adjusted: non-operating Thomasville, GA property
$14,555 and Learjet $4,447,567.
(b) Includes Bank of Boston outstanding checks.
(c) Includes reduction for intercompany adjustment of $236,861,461 and
$112,208,050 which are sums USF extracted from Distribution.
U.S. FILTER DISTRIBUTION GROUP, INC.
AND SUBSIDIARY
Consolidated Financial Statements
As of December 31, 2001 and 2000 and for the Years Ended
December 31, 2001 and 2000 and for the Nine Month Period
Ended December 31, 1999
(With Independent Auditors' Report Thereon)
U.S. FILTER DISTRIBUTION GROUP, INC.
AND SUBSIDIARY
Table of Contents
PAGE
Independent Auditors' Report 1
Consolidated Balance Sheets 2
Consolidated Statements of Income and Net Consolidated Equity 3
Consolidated Statements of Cash Flows 4
Notes to Consolidated Financial Statements 5
INDEPENDENT AUDITORS' REPORT
The Stockholder
United States Filter Corporation:
We have audited the accompanying consolidated balance sheets of U.S. Filter
Distribution Group, Inc. and subsidiary (the Group), a wholly owned subsidiary
of United States Filter Corporation, as of December 31, 2001 and 2000, and the
related consolidated statements of income and net consolidated equity, and cash
flows for the years ended December 31, 2001 and 2000 and for the nine month
period ended December 31, 1999. These consolidated financial statements are the
responsibility of the Group's management. Our responsibility is to express an
opinion on these consolidated financial statements based on our audits.
We conducted our audits in accordance with auditing standards generally accepted
in the United States of America. Those standards require that we plan and
perform the audit to obtain reasonable assurance about whether the consolidated
financial statements are free of material misstatement. An audit includes
examining, on a test basis, evidence supporting the amounts and disclosures in
the financial statements. An audit also includes assessing the accounting
principles used and significant estimates made by management, as well as
evaluating the overall financial statement presentation. We believe that our
audits provide a reasonable basis for our opinion.
In our opinion, the consolidated financial statements referred to above present
fairly, in all material respects, the financial position of U.S. Filter
Distribution Group, Inc. and subsidiary as of December 31, 2001 and 2000, and
the results of their operations and their cash flows for the years ended
December 31, 2001 and 2000 and the nine month period ended December 31, 1999 in
conformity with accounting principles generally accepted in the United States of
America.
/s/ KPMG LLP
April 12, 2002
U.S. FILTER DISTRIBUTION GROUP, INC.
AND SUBSIDIARY
Consolidated Balance Sheets
December 31, 2001 and 2000
(In thousands)
2001 2000
ASSETS
Current assets:
Cash and cash equivalents $13,288 $9,253
Trade accounts receivable, less allowance for
doubtful accounts of $3,941 in 2001 and $3,800
in 2000 (note 11) 15,779 166,114
Inventories, less reserves of $2,830 in 2001 and
$3,782 in 2000 77,628 84,771
Deferred income taxes 4,377 5,940
Other current assets 1,668 274
-------- -------
Total current assets 112,740 266,352
Property and equipment, net 19,443 22,524
Goodwill, less accumulated amortization of $4,879
in 2001 and $3,055 in 2000 64,356 66,101
Other assets, at cost, less accumulated amortization
of $22 in 2001 and $14 in 2000 4,356 4,368
-------- -------
$200,895 359,345
======== =======
LIABILITIES AND NET CONSOLIDATED EQUITY
Current liabilities:
Trade accounts payable 100,688 101,119
Current installments of long-term debt 238 1,390
Accrued compensation and benefits 19,257 19,467
Other accrued expenses 7,839 8,652
-------- -------
Total current liabilities 128,022 130,628
Long-term debt, excluding current installments 614 786
Deferred income taxes 4,281 3,997
-------- -------
Total liabilities 132,917 135,411
Net consolidated equity 67,978 223,934
Commitments and contingencies
-------- -------
$200,895 359,345
======== =======
See accompanying notes to consolidated financial statements.
2
U.S. FILTER DISTRIBUTION GROUP, INC.
AND SUBSIDIARY
Consolidated Statements of Income and Net Consolidated Equity
For the Years Ended December 31, 2001 and 2000
and the Nine Month Period Ended December 31, 1999
(In thousands)
2001 2000 1999
---------- --------- -------
Net sales $1,120,330 1,173,323 896,783
Cost of goods sold 880,569 936,502 719,710
---------- --------- -------
Gross profit 239,761 236,821 177,073
Operating expenses:
Selling, general and administrative 153,034 151,488 113,022
---------- --------- -------
Income before depreciation and amortization 86,727 85,333 64,051
---------- --------- -------
Depreciation 3,586 3,582 2,606
Amortization 1,804 1,876 1,501
---------- --------- -------
Operating income 81,337 79,875 59,944
Other income (expense):
Stock option redemption (note 8) -- -- (15,214)
Interest expense (79) (86) (139)
Other (8) 178 905
---------- --------- -------
Income before income taxes 81,250 79,967 45,496
Income taxes 31,924 31,237 18,039
---------- --------- -------
Net income 49,326 48,730 27,457
Net consolidated equity at beginning of year 223,934 255,997 209,094
Net activity with US Filter (205,282) (80,793) 19,446
---------- --------- -------
Net consolidated equity at end of year $ 67,978 223,934 255,997
========== ========= =======
See accompanying notes to consolidated financial statements.
3
U.S. FILTER DISTRIBUTION GROUP, INC.
AND SUBSIDIARY
Consolidated Statements of Cash Flows
For the Years Ended December 31, 2001 and 2000
and the Nine Month Period ended December 31, 1999
(In thousands)
2001 2000 1999
---- ---- ----
Cash flows from operating activities:
Net income $ 49,326 48,730 27,457
Adjustments to reconcile income to net cash
provided by (used in) operating activities:
Deferred income taxes 1,846 1,449 1,342
Depreciation and amortization 5,390 5,458 4,107
Gain (loss) on disposal of equipment 10 (176) (824)
Provision for doubtful accounts 1,239 670 1,101
Changes in operating assets and liabilities:
Trade accounts receivable 149,199 13,019 (33,139)
Inventory 6,662 5,922 (4,000)
Other current assets (1,394) 175 317
Other assets 3 155 --
Accounts payable and accrued expenses (1,403) 8,326 (7,727)
--------- -------- --------
Net cash provided by (used in)
operating activities 210,878 83,728 (11,366)
--------- -------- --------
Cash flows from investing activities:
Capital expenditures (1,415) (3,273) (2,085)
Acquisitions (2,700) -- (6,068)
Proceeds from sale of a portion of FIFE division 3,650 -- --
Proceeds from sales of property and equipment 228 678 1,155
--------- -------- --------
Net cash used in investing activities (237) (2,595) (6,998)
--------- -------- --------
Cash flows from financing activities:
Proceeds from long-term debt -- 136 --
Principal payments on long-term debt (1,324) (968) (1,595)
Net activity with US Filter (205,282) (80,793) 17,851
--------- -------- --------
Net cash provided by (used in)
financing activities (206,606) (81,625) 17,851
--------- -------- --------
Net increase (decrease) in cash
and cash equivalents 4,035 (492) (513)
Cash and cash equivalents at beginning of year 9,253 9,745 10,258
--------- -------- --------
Cash and cash equivalents at end of year 13,288 9,253 9,745
========= ======== ========
Cash paid for interest $ 90 172 191
========= ======== ========
Cash paid for income taxes through US Filter $ 31,924 31,237 18,039
========= ======== ========
See accompanying notes to consolidated financial statements.
4
U.S. FILTER DISTRIBUTION GROUP, INC.
AND SUBSIDIARY
Notes to Consolidated Financial Statements
December 31, 2001 and 2000
(1) Summary of Significant Accounting Policies and Practices
(a) Description of Business
U.S. Filter Distribution Group, Inc. ("USFDG") is a wholly owned
subsidiary of United States Filter Corporation ("US Filter"). US
Filter is a wholly owned subsidiary of Vivendi Environment
("Vivendi"). USFDG is a wholesale distributor of water and sewer
construction materials including pipe, valves, fittings, hydrants, and
water meters. USFDG has 137 locations operating in 35 states.
Principal customers served are in the contractor and municipal
markets.
(b) Principles of Consolidation and Basis of Presentation
The consolidated financial statements include the financial statements
of USFDG and its wholly owned subsidiary, United States Filter
Receivables Corporation ("USFRC"), collectively (the "Group"). USFRC
was incorporated in 2001 in the state of Delaware. All significant
intercompany balances and transactions have been eliminated in
consolidation.
The Group's consolidated financial statements include the assets,
liabilities, and goodwill resulting from US Filter's acquisition that
created the Group as well as the Group's subsequent acquisitions. The
Group's consolidated financial statements do not include any purchase
accounting adjustments that may have resulted from the 1999
acquisition of US Filter by Vivendi.
(c) Cash Equivalents
For purposes of the statements of cash flows, the Group considers all
highly liquid investments with original maturities of three months or
less to be cash equivalents.
(d) Inventories
Inventories are stated at the lower of cost or market. Cost is
determined using the weighted average method for all inventories.
(e) Property and Equipment
Property and equipment are stated at cost. Depreciation on property
and equipment is calculated on the straight-line method over the
estimated useful lives of the assets as follows:
Buildings and improvements 5 to 30 years
Office furniture, fixtures and equipment 3 to 5 years
Transportation equipment 1 to 5 years
Machinery and equipment 5 years
Maintenance and repair costs are charged to expense as incurred.
5 (Continued)
U.S. FILTER DISTRIBUTION GROUP, INC.
AND SUBSIDIARY
Notes to Consolidated Financial Statements
December 31, 2001 and 2000
(f) Goodwill
Goodwill, which represents the excess of purchase price over fair value of
net assets acquired, is amortized on a straight-line basis over the
expected periods to be benefited, generally 40 years. The Group assesses
the recoverability of this intangible asset by determining whether the
amortization of the asset balance over its remaining life can be recovered
through undiscounted future operating cash flows of the acquired operation.
The amount of asset impairment, if any, is measured based on projected
discounted future operating cash flows using a discount rate reflecting the
Group's average cost of funds. The assessment of the recoverability of the
assets will be impacted if estimated future operating cash flows are not
achieved.
(g) Other Assets
Other assets consist principally of cash surrender value of life insurance
contracts, net of policy loans.
(h) Advertising
Advertising costs are expensed as incurred. Advertising costs amounted to
$1.0 million, $1.1 million and $1.1 million for the years ended December
31, 2001 and 2000 and for the nine-month period ended December 31, 1999,
respectively.
(i) Income Taxes
Income taxes are accounted for under the asset and liability method.
Deferred tax assets and liabilities are recognized for the future tax
consequences attributable to differences between the financial statement
carrying amounts of existing assets and liabilities and their respective
tax bases and operating loss and tax credit carryforwards. Deferred tax
assets and liabilities are measured using enacted tax rates expected to
apply to taxable income in the years in which those temporary differences
are expected to be recovered or settled. The effect on deferred tax assets
and liabilities of a change in tax rates is recognized in income in the
period that includes the enactment date. The Group files as part of US
Filter's consolidated Federal income tax return. US Filter has implemented
certain tax planning strategies and the related impact is not reflected in
these separate financial statements of the Group. For the purpose of the
consolidated financial statements presented herein, the Group provided for
income taxes as if it were a separate filing taxable entity.
(j) Use of Estimates
Management of the Group has made a number of estimates and assumptions
relating to the reporting of assets and liabilities and the disclosure of
contingent assets and liabilities to prepare these consolidated financial
statements in conformity with accounting principles generally accepted in
the United States of America. Actual results could differ from those
estimates.
6 (Continued)
U.S. FILTER DISTRIBUTION GROUP, INC.
AND SUBSIDIARY
Notes to Consolidated Financial Statements
December 31, 2001 and 2000
(k) IMPAIRMENT OF LONG-LIVED ASSETS AND LONG-LIVED ASSETS TO BE DISPOSED OF
The Group accounts for long-lived assets in accordance with the provisions
of Statement of Financial Accounting Standards ("SFAS") No. 121, Accounting
for the Impairment of Long-Lived Assets and for Long-Lived Assets to Be
Disposed Of. This Statement requires that long-lived assets and certain
identifiable intangibles be reviewed for impairment whenever events or
changes in circumstances indicate that the carrying amount of an asset may
not be recoverable. Recoverability of assets to be held and used is
measured by a comparison of the carrying amount of an asset to future net
cash flows expected to be generated by the asset. If such assets are
considered to be impaired, the impairment to be recognized is measured by
the amount by which the carrying amount of the assets exceeds the fair
value of the assets. Assets to be disposed of are reported at the lower of
the carrying amount or fair value less costs to sell.
(l) REVENUE RECOGNITION
The Group recognizes revenue on sales when products are shipped and the
customer takes ownership and assumes risk of loss.
Shipping and handling costs incurred are included as a component of cost of
goods sold.
(m) RECENTLY ISSUED ACCOUNTING STANDARDS
In June 2001, the Financial Accounting Standards Board ("FASB") issued SFAS
No. 141, Business Combinations, ("SFAS No. 141") and SFAS No. 142, Goodwill
and Other Intangible Assets ("SFAS No. 142"). SFAS No. 141 requires that
the purchase method of accounting be used for all business combinations.
SFAS No. 141 specifies criteria that intangible assets acquired in a
business combination must meet to be recognized and reported separately
from goodwill. SFAS No. 142 will require that goodwill and intangible
assets with indefinite useful lives no longer be amortized, but instead
tested for impairment at least annually in accordance with the provisions
of SFAS No. 142. SFAS No. 142 also requires that intangible assets with
estimable useful lives be amortized over their respective estimated useful
lives to their estimated residual values, and reviewed for impairment in
accordance with SFAS No. 121 and subsequently, SFAS No. 144, Accounting for
the Impairment or Disposal of Long-Lived Assets ("SFAS No. 144") after its
adoption.
The Group adopted the provisions of SFAS No. 141 as of July 1, 2001, and
SFAS No. 142 is effective January 1, 2002. Goodwill and intangible assets
acquired in business combinations completed before July 1, 2001 continued
to be amortized and tested for impairment prior to the full adoption of
SFAS No. 142.
7 (Continued)
U.S. FILTER DISTRIBUTION GROUP, INC.
AND SUBSIDIARY
Notes to Consolidated Financial Statements
December 31, 2001 and 2000
Upon adoption of SFAS No. 142, the Group is required to evaluate its existing
intangible assets and goodwill that were acquired in purchase business
combinations, and to make any necessary reclassifications in order to conform
with the new classification criteria in SFAS No. 141 for recognition separate
from goodwill. The Group will be required to reassess the useful lives and
residual values of all intangible assets acquired, and make any necessary
amortization period adjustments after adoption. If an intangible asset is
identified as having an indefinite useful life, the Group will be required to
test the intangible asset for impairment in accordance with the provisions of
SFAS No. 142. Impairment is measured as the excess of carrying value over the
fair value of an intangible asset with an indefinite life. Any impairment loss
will be measured as of the date of adoption and recognized as the cumulative
effect of a change in accounting principle.
In connection with SFAS No. 142's transitional goodwill impairment evaluation,
the Statement requires the Group to perform an assessment of whether there is an
indication that goodwill is impaired as of the date of adoption. To accomplish
this, the Group must identify its reporting units and determine the carrying
value of each reporting unit by assigning the assets and liabilities, including
the existing goodwill and intangible assets, to those reporting units as of
January 1, 2002. The Group will then have up to six months from January 1, 2002
to determine the fair value of each reporting unit and compare it to the
carrying amount of the reporting unit. To the extent the carrying amount of a
reporting unit exceeds the fair value of the reporting unit, an indication
exists that the reporting unit goodwill may be impaired and the Group must
perform the second step of the transitional impairment test. The second step is
required to be completed as soon as possible, but no later than the end of the
year of adoption. In the second step, the Group must compare the implied fair
value of the reporting unit goodwill with the carrying amount of the reporting
unit goodwill, both of which would be measured as of the date of adoption. The
implied fair value of goodwill is determined by allocating the fair value of the
reporting unit to all of the assets (recognized and unrecognized) and
liabilities of the reporting unit in a manner similar to a purchase price
allocation, in accordance with SFAS No. 141. The residual fair value after this
allocation is the implied fair value of the reporting unit goodwill. Any
transitional impairment loss will be recognized as the cumulative effect of a
change in accounting principle in the Group's statement of income.
As of the date of adoption of SFAS No. 142, the Group expects to have
unamortized goodwill in the amount of $64.3 million and unamortized identifiable
intangible assets in the amount of $0.6 million, all of which will be subject to
the transition provisions of SFAS No. 142. Amortization expense related to
goodwill was $1.8 million, $1.8 million and $1.4 million for the years ended
December 31, 2001 and 2000, and for the nine months ended December 31, 1999,
respectively. Because of the extensive effort needed to comply with adopting
SFAS No. 141 and No. 142, it is not practicable to reasonably estimate the
impact of adopting the Statements on the Group's consolidated financial
statements at the date of this report, including whether it will be required to
recognize any transitional impairment losses as the cumulative effect of a
change in accounting principle.
(Continued)
8
U.S. FILTER DISTRIBUTION GROUP, INC.
AND SUBSIDIARY
Notes to Consolidated Financial Statements
December 31, 2001 and 2000
In August 2001, the FASB issued SFAS No. 144 which addresses financial
accounting and reporting for the impairment or disposal of long-lived
assets. This Statement requires that long-lived assets be reviewed for
impairment whenever events or changes in circumstances indicate that
the carrying amount of an asset may not be recoverable. Recoverability
of assets to be held and used is measured by a comparison of the
carrying amount of an asset to future net cash flows expected to be
generated by an asset. If the carrying amount of an asset exceeds its
estimated future cash flows, an impairment charge is recognized by the
amount by which the carrying amount of the asset exceeds the fair
value of the asset. SFAS No. 144 requires companies to separately
report discontinued operations and extends that reporting to a
component of an entity that either has been disposed of (by sale,
abandonment, or in a distribution to owners) or is classified as held
for sale. Assets to be disposed of are reported at the lower of the
carrying amount or fair value less costs to sell. The Group is
required to adopt SFAS No. 144 on January 1, 2002.
(n) FAIR VALUE OF FINANCIAL INSTRUMENTS
Financial instruments of the Group consist primarily of cash and cash
equivalents, accounts receivable, accounts payable and accrued
liabilities. The carrying amounts of such instruments are considered
to be representative of their respective fair values due to the short
maturity of these instruments.
(2) ALLOCATIONS AND OTHER RELATED PARTY TRANSACTIONS
(a) CASH MANAGEMENT
The Group participates in US Filter's centralized cash management
system and, as such, the Group's cash funding requirements including
interest and tax obligations have been met by US Filter and cash
received by the Group is transferred to US Filter on a daily basis.
(b) ALLOCATIONS
The consolidated statements of income include all direct costs of the
Group as well as certain corporate costs directly identified with the
Group and allocated to the Group by US Filter. Allocated costs include
general liability insurance, worker's compensation insurance, 401(k)
plan matching expense, employee health and dental insurance, legal
fees and other costs. These costs are allocated to the Group based on
information specifically identified with the activities of the Group
and are settled through intercompany transactions. In the opinion of
management, these allocations have been made on a basis which is
believed to be reasonable for the Group as it operates within the
structure of a larger parent organization. However, the allocations
are not necessarily indicative of the level of expenses which might be
incurred by the Group if it were to operate as a stand-alone entity.
9 (Continued)
U.S. FILTER DISTRIBUTION GROUP, INC.
AND SUBSIDIARY
Notes to Consolidated Financial Statements
December 31, 2001 and 2000
(3) ACQUISITIONS AND DIVESTITURES
On April 1, 1999, the Group acquired the assets and liabilities of Utility
Supply Limited and Utility Supply, Inc. for an aggregate purchase price of
$6.1 million. This amount was paid by US Filter on the Group's behalf.
These acquisitions were accounted for by the purchase method, and
accordingly, the purchase price was allocated to the net assets acquired
based upon their estimated fair values as of the date of acquisition. These
allocations of purchase price resulted in approximately $5.2 million of
goodwill, which is being amortized over 40 years. The fair values of the
assets acquired, including goodwill, and liabilities assumed were
approximately $10.4 million and $4.4 million, respectively.
On May 31, 2001, the Group acquired the assets and liabilities of North
American Pipe Corporation (NAPCO) for an aggregate purchase price of $2.7
million. This amount was paid by US Filter on the Group's behalf. This
acquisition was accounted for by the purchase method, and accordingly, the
purchase price was allocated to the net assets acquired based upon their
estimated fair values as of the date of acquisition. The allocation of
purchase price resulted in approximately $0.4 million of goodwill acquired,
which is being amortized over 40 years. The fair values of the assets
acquired, including goodwill acquired, and liabilities assumed were
approximately $2.9 million and $0.2 million, respectively.
On January 1, 2001, the Group sold a portion of the assets and liabilities
of its FIFE division for an aggregate sale price of $3.7 million. This
amount was collected by US Filter on the Group's behalf. The carrying
values of the assets divested, including goodwill, and liabilities disposed
were approximately $4.1 million and $.4 million, respectively.
As these acquisitions are not material to the Group's consolidated
financial statements, no pro forma results of operations information are
presented.
(4) PROPERTY AND EQUIPMENT
Property and equipment consist of the following (in thousands):
2001 2000
-------- --------
Land $ 3,934 3,934
Buildings and improvements 8,656 8,429
Office furniture, fixtures and equipment 6,797 6,429
Transportation equipment 5,605 5,755
Machinery and equipment 2,830 3,631
-------- -------
27,822 28,178
Less accumulated depreciation and amortization (8,379) (5,654)
-------- -------
$ 19,443 22,524
======== =======
(Continued)
10
U.S. FILTER DISTRIBUTION GROUP, INC.
AND SUBSIDIARY
Notes to Consolidated Financial Statements
December 31, 2001 and 2000
(5) LEASES
The Group has certain noncancelable operating leases, primarily for
transportation equipment and office space. These leases generally contain
automatic renewal options until terminated by either party and require the
Group to pay all executory costs such as maintenance and insurance. Rental
expense for operating leases (except those with lease terms of a month or
less that were not renewed) was $7.4 million, $7.1 million, and $6.4
million for the years ended December 31, 2001 and 2000 and for the nine
month period ended December 31, 1999, respectively.
Future minimum lease payments under noncancelable operating leases (with
initial or remaining lease terms in excess of one year) as of December 31,
2001 are (in thousands):
(6) LONG-TERM DEBT
Long-term debt at December 31, 2001 and 2000 consists of the following (in
thousands):
2001 2000
-------------- -------------
5% unsecured note payable, due in monthly installments of
$15 plus interest, matures June 2006 $ 792 974
6% note payable, due in monthly installments of $600 plus
interest, matured June 2001 -- 1,050
7.61% note payable, secured by certain computer
equipment, due in monthly installments of $4, matures
March 2003 60 104
6.67% note payable, due in monthly installments of $5
plus interest, matured October 2001 -- 48
-------------- -------------
Total long-term debt 852 2,176
Less current installments 238 1,390
-------------- -------------
Long-term debt, excluding current installments $ 614 786
============== =============
11 (Continued)
U.S. FILTER DISTRIBUTION GROUP, INC.
AND SUBSIDIARY
Notes to Consolidated Financial Statements
December 31, 2001 and 2000
The aggregate maturities of long-term debt for each of the five years
subsequent to December 31, 2001 are as follows: 2002, $0.2 million; 2003,
$0.2 million; 2004, $0.2 million; 2005, $0.2 million and 2006, $0.1
million.
(7) INCOME TAXES
Income tax expense attributable to income from continuing operations for
the years ended December 31, 2001 and 2000 and for the nine months ended
December 31, 1999 consists of (in thousands):
CURRENT DEFERRED TOTAL
------- -------- -------
Year ended December 31, 2001:
U.S. Federal $26,146 1,605 27,751
State and local 3,932 241 4,173
------- -------- -------
$30,078 1,846 31,924
======= ======== =======
Year ended December 31, 2000:
U.S. Federal $25,894 1,260 27,154
State and local 3,894 189 4,083
------- -------- -------
$29,788 1,449 31,237
======= ======== =======
Nine months ended December 31, 1999:
U.S. Federal $14,514 1,194 15,708
State and local 2,183 148 2,331
------- -------- -------
$16,697 1,342 18,039
======= ======== =======
Income tax expense attributable to income from continuing operations
differed from the amounts computed by applying the U.S. federal income tax
rate of 35% to pretax income from continuing operations as a result of the
following (in thousands):
2001 2000 1999
------- -------- -------
Computed "expected" tax expense $28,438 27,988 15,924
Increase (reduction) in income
taxes resulting from:
Permanent differences 586 595 393
State and local taxes 2,900 2,654 1,722
------- -------- -------
$31,924 31,237 18,039
======= ======== =======
12 (Continued)
U.S. FILTER DISTRIBUTION GROUP, INC.
AND SUBSIDIARY
Notes to Consolidated Financial Statements
December 31, 2001 and 2000
The tax effects of temporary differences that give rise to significant
portions of the deferred tax assets and deferred tax liabilities at
December 31, 2001 and 2000 are presented below (in thousands).
2001 2000
--------- ---------
Deferred tax assets:
Inventory $ 2,262 2,614
Allowance for doubtful accounts 1,320 1,320
Capital loss carryforward 1,165 --
Amortization 685 685
Other accruals 1,532 1,700
Other 457 336
--------- ---------
Total gross deferred tax assets 7,241 6,655
Less valuation allowance (1,165) --
--------- ---------
6,256 6,655
--------- ---------
Deferred tax liabilities:
Depreciation and amortization 6,131 4,682
Prepaid expenses 29 30
--------- ---------
6,160 4,712
--------- ---------
Net deferred tax assets $ 96 1,943
========= =========
In assessing the realizability of deferred tax assets, management
considers whether it is more likely than not that some portion or all of
the deferred tax assets will not be realized. The ultimate realization of
deferred tax assets is dependent upon the generation of future taxable
income during the periods in which those temporary differences become
deductible. Management considers the scheduled reversal of deferred tax
liabilities, projected future taxable income, and tax planning strategies
in making this assessment. Based upon the level of historical taxable
income and projections for future taxable income over the periods which
the deferred tax assets are deductible, management believes it is more
likely than not the Group will realize the benefits of these deductible
differences. The amount of the deferred tax assets considered realizable,
however, could be reduced in the near term if estimates of future taxable
income during the carryforward period are reduced.
(8) STOCK OPTION REDEMPTION
On April 23, 1999, Vivendi acquired US Filter. On this date, the Group
recognized approximately $15.2 million in compensation expense associated
with settlement of outstanding stock options of US Filter held by certain
employees of the Group.
(9) COMMITMENTS AND CONTINGENCIES
The Group is involved in various other claims and legal actions arising in
the ordinary course of business. In the opinion of management, the
ultimate disposition of these matters will not have a material adverse
effect on the Group's consolidated financial position, results of
operations or liquidity.
13 (Continued)
U.S. FILTER DISTRIBUTION GROUP, INC.
AND SUBSIDIARY
Notes to Consolidated Financial Statements
December 31, 2001 and 2000
(10) BUSINESS AND CREDIT CONCENTRATIONS
The Group has a broad customer base, which minimizes the Group's exposure
to any particular market or customer. The diverse base takes form (1)
geographically, (2) by customer type, and (3) business source. First,
operations are geographically resistant to localized economic fluctuations
since the Group derives less that 18% of its net sales from any one
particular geographic region. Secondly, accounts are divided between public
works/residential contractors, industrial contractors, and municipal
accounts. Each of these sectors is affected by different macroeconomic
variables, which provides a cushion to adverse conditions in one particular
market. In 2001, public works/residential contractors accounted for 78% of
net sales, industrial contractors 4% of net sales, and municipal accounts
18% of net sales. No single customer account within these categories
accounted for more than 1.0% of the Group's net sales. Third, net sales is
almost evenly divided between public works sales (49.7%) and private
construction sales (50.3%). While housing starts are traditionally
understood as a highly variable driver of private construction, a slowdown
in that industry will be buffered by stable municipal/public reconstruction
and repairs and may also be mitigated by favorable financing terms that
typically accompany an economic slowdown.
(11) ACCOUNTS RECEIVABLE SECURITIZATION
Based upon a securitization agreement entered into on December 19, 2001,
U.S. Filter Distribution Group, Inc. can sell its eligible trade
receivables on an ongoing basis to a qualified special purpose entity
(QSPE). Pursuant to an agreement with a securitization company
(Securitization Facility), QSPE, in turn, can sell such receivables to the
securitization company on an ongoing basis, which could yield proceeds of
up to $170 million subject to meeting certain availability requirements
under a borrowing base formula and other limitations. The Securitization
Facility expires on December 19, 2004 unless terminated earlier as provided
in the securitization agreement.
Under the Securitization Facility, the receivables are sold at a discount
with a portion of the receivables retained and pledged to the QSPE. As of
December 31, 2001, approximately $140 million was outstanding under the
Securitization Facility, the proceeds of which were received by US Filter.
Accordingly, this amount has been reduced from trade accounts receivable
and reflected within net activity with US Filter on the accompanying
consolidated statements of income and net consolidated equity. Included in
accounts receivable in the accompanying consolidated balance sheet at
December 31, 2001 is $15.8 million of retained interest in receivables sold
to the QSPE. The loss on sale incurred in connection with the
Securitization Facility for the year ended December 31, 2001 was
approximately $0.5 million included in selling, general, and administrative
expenses.
(12) SUBSEQUENT EVENT
On March 29, 2002, the Group acquired substantially all of the assets and
certain liabilities of Utility Piping Systems, Inc. for an aggregate
purchase price of $18.1 million, subject to post-closing purchase price
adjustments as stated in the
Asset Purchase Agreement. This amount was paid
by US Filter on the Group's behalf.
14
APPENDIX B
WITHDRAWAL LIABILITY
[CENTRAL STATES LETTERHEAD]
July 19, 2002
VIA FAX (254) 776-1509
Mr. Joe L. Walker, V.F. H.R.
United States Filter Corporation
American Plaza
200 HWY 6 West Ste. 600
Waco, TX 76712
RE: Waterpro Supplies Corp
ACCOUNT NO. 8398150-0108
CONTROL GROUP NO. 8152004
Dear Mr. Walker:
In response to your request for information, I have enclosed an Estimated
Withdrawal Liability Worksheet and Computer Report for the above referenced
Employer. The calculation yields a liability of $28,224.15 based upon a 2002
withdrawal date.
For purposes of withdrawal liability, ERISA Section 4001(b) defines the term
employer to include all trades or business, whether or not incorporated, which
are under common control within the meaning of the applicable sections of the
Internal Revenue Code.
The enclosed estimate is based upon contribution amounts listed in the
enclosed Computer Report. It may not include all contribution accounts of any
controlled group of trades or businesses of which Waterpro Supplies Corp, is a
member. If Waterpro Supplies Corp is a member of a controlled group employer
which includes other entities that have made contributions to the Fund, the
enclosed estimate may grossly understate the Employer's potential withdrawal
liability. If there are additional contribution amounts which should be
included or if there are any other omissions or errors, please let us know in
writing and we will gladly correct our records and provide you with a revised
estimate.
Should you have any further questions, please feel free to contact me on
extension 3097.
Sincerely,
/s/ Gina Alvarez
Gina Alvarez
Team Leader
Withdrawal Liability Research Dept.
Enclosures
cc: Withdrawal File
Local Union No. 247
CENTRAL STATES SOUTHEAST AND SOUTHWEST AREAS
Employer: UNITED STATES FILTER - 8152084
Pension Fund
PERIOD: 12/29/1991 - 12/29/2001
Controlled Group as of: 12/29/2001
PAST CONTRIBUTIONS FOR EMPLOYER LIABILITIES-DETAIL
EMPLOYER NAME AND E-T-L-C Year Amount Weeks Casual Days Hours CBUs
-----------------------------------------------------------------------------------------------------------------------------------
8152004 - UNITED STATES FILTER
8396150 - 8108 - 00247A 1992 $0.00 0 0 0 0.00 0.00
WATERPRO SUPPLIES CORP
1993 $0.00 0 0 0 0.00 0.00
1994 $0.00 0 0 0 0.00 0.00
1995 $844.00 14 0 0 0.00 14.00
1996 $16,284.00 354 0 0 0.00 354.00
1997 $17,818.00 383 0 0 0.00 383.00
1998 $22,878.00 493 0 0 0.00 493.00
1999 $21,143.00 389 0 0 0.00 389.00
2000 $26,735.00 383 0 0 0.00 383.00
2001 $38,357.00 483 0 0 0.00 483.00
-----------------------------------------------------------------------------------------------------------------------------------
TOTAL FOR EMPLOYER: $140,450.00 2509 0 0 0.00 2509.00
-----------------------------------------------------------------------------------------------------------------------------------
-----------------------------------------------------------------------------------------------------------------------------------
TOTAL FOR EMPLOYER: $140,450.00 2509 0 0 0.00 2509.00
-----------------------------------------------------------------------------------------------------------------------------------
As of date: 07/17/2002 Page 1 of 1
CENTRAL STATES SOUTHEAST AND SOUTHWEST AREAS
Employer: UNITED STATES FILTER - 8162?04
Pension Fund
PERIOD: 12/29/1991 - 12/29/2001
Controlled Group as of: 12/28/2001
PAST CONTRIBUTIONS FOR EMPLOYER LIABILITIES - SUMMARY
EMPLOYER NAME AND E-T-L-C Year Amount Weeks Casual Days Hours CBUs
--------------------------------------------------------------------------------------------------------------
8152004 - UNITED STATES FILTER 1992 $ 0.00 0 0 0 0.00 0.00
1993 $ 0.00 0 0 0 0.00 0.00
1994 $ 0.00 0 0 0 0.00 0.00
1995 $ 644.00 14 0 0 0.00 14.00
1996 $ 16,284.00 354 0 0 0.00 354.00
1997 $ 17,61?.00 ??3 0 0 0.00 383.00
1998 $ 22,?78.00 4?? 0 0 0.00 493.00
1999 $ 2?,?43.00 3?? 0 0 0.00 3??.00
1200 $ 2?,735.00 383 0 0 0.00 3??.00
2001 $ 3?,357.00 4?3 0 0 0.00 4?3.00
------------------------------------------------------------------
Total for Employer: $14?,459.00 2,??? 0 0 0.00 2,?00.00
------------------------------------------------------------------
As of date: 07/17/2002 Page 1 of 1
UNITED STATES FILTER
ESTIMATE ONLY
????????
Assessment Number:
Withdrawn Company Name: WATERPRO SUPPLIES CORP.
Section III-Adjustments to Liability
a. Unadjusted Liability $78,224.15
b. De Minimis Rule 50,000.00
c. Prior Assessment Credit 0.00
d. Partial Prorate 0.00
e. Sec. 4225 Limitations 0.00
f. Adjusted Liability $28,224.15
Section IV-Partial Prorate
a. # CBUs in Next Year 0.0
b. 5 Year Average # CBUs
Year #CBUs
1997 383.0
1998 493.0
1999 389.0
2000 383.0
2001 493.0
Total 2,141.0
5 Year Average 428.2
c. Prorate Fraction 1.0000000000
d. Remaining Liability 28,224.15
e. Partial Prorate $0.00
UNITED STATES FILTER
Assessment Number: ESTIMATE ONLY
Withdrawn Company Name: WATERPRO SUPPLIES CORP.
Address:
Type of Calculation: 2002 Complete Withdrawal
Date Prepared: July 19, 2002
Section 1 - Pre-1980 Pool
a. Withdrawn Employer's Contributions
(1975 - 1979) Year Contributions #CBUs
1975 0.00 0.0
1976 0.00 0.0
1977 0.00 0.0
1978 0.00 0.0
1979 0.00 0.0
Total 0.00
b. All Employer's Contributions (1975 - 1979) 1,993,217,854
c. Allocation Fraction 0.0000000000
d. Unamortized 12/31/79 UVB 0
e. Pre-1980 Pool Liability
Section II - Post-1979 Pool
a. Withdrawn Employer's Contributions
Last 10 Years Year Contributions #CBUs
1992 0.00 0.0
1993 0.00 0.0
1994 0.00 0.0
1995 644.00 14.0
1996 16,284.00 354.0
1997 17,618.00 383.0
1998 22,678.00 493.0
1999 21,143.00 389.0
2000 25,735.00 383.0
2001 36,357.00 493.0
Total $140,459.00
b. All Employers' Contributions Last 10 Years 8,900,606,330
c. Allocation Fraction 0.0000157808
d. Net Change in UVB @ 12/31/01 4,956,906,170
e. Post-1979 Pool Liability $78,224.15
APPENDIX C
INSURANCE POLICIES
------------------
US FILTER - SUMMARY SCHEDULE OF INSURANCE 2002-2003
COVERAGE CARRIER POLICY TERM COVER
Property FM Global UA 941 3/1/02-03 Blanket Limit eco $3.257 Billion
Master $50,000,000 Earthquake eco aa except CA
$15,000,000 eco & aa CA, IT & Mex
$ 5,000,000 eco & aa Japan
$50,000,000 Flood eco & aa
Deductibles:
$250,000 - Policy Deductible
Wind: 3% of value/unit; and 3% of TE
values; $250,000 min.
Flood: $500,000
Charterer's Legal American International Q0287 3/1/02-03 $1,000,000 each vessel
Liability Marine $25,000 deductible
Motor Truck Cargo Fireman's Fund MX197601363 3/1/02-03 $10,000 per occurrence
Liability Motor Truck Cargo Legal
Deductible: $10,000
General Liability Commerce & Industry Ins. Co. GLA177798 3/1/02-03 $5,000,000 Per Occurrence CSL
Domestic $15,000,000 Aggregate
$15,000,000 Products/Completed Ops
Aggregate
$5,000,000 Personal/Advertising Injury
ALAE paid by insured, unless deductible
exceeded then ALAE shared pro-rata.
$500,000 Deductible
$10,000 STR Consumer Group
Automobile Travelers Indemnity Co. of TC2JCAP-419J1647TIL02 3/1/02-03 $25,000 Deductible
All States Illinois $2,000,000 CSL Bodily Injury/Property
Damage
$500,000 deductible; included ALAE
No collision/comprehensive coverage
Automobile Travelers Indemnity Co. of TC2JCAP-419J1647TIL02 3/1/02-03 $2,000,000 CSL Bodily Injury/Property
Texas Illinois Damage
$500,000 deductible; includes ALAE
No collision/comprehensive coverage
Automobile Travelers Indemnity Co. of TRJCAP-419J1611TIL02 3/1/02-03 $2,000,000 CSL for Bodily Injury/Property
Massachusetts Illinois Damage
$500,000 deductible, includes ALAE
No collision/comprehensive coverage
Automobile SegurosCommerciales LAJ01149 3/1/02-03 $2,000,000 CSL. Bodily Injury/Property
Tourist Mexico Damage
Deductible: 5% min of $400 Comprehensive
Deductible: 2% min of $200 Collision
Pollution Legal AISLIC PLS2679651-02 3/1/02-03 $20,000,000 each incident
Liability $40,000,000 policy aggregate
Deductible: $250,000 each incident
Contractors AISLIC COPS1950563 3/1/02-03 $20,000,000 each loss
Operations Liability $20,000,000 total all losses
incl Professional $1,000,000 SIR - subject to reporting at
25%
CPL - Occurrence; Professional - Claims
Made
Contractors AISLIC CPL1950564 3/1/02-03 $30,000,000 each loss
Pollution Liability $30,000,000 policy aggregate
Deductible: $250,000 each loss
Claims Made Form
04/11/02 Page 1
US FILTER - SUMMARY SCHEDULE OF INSURANCE 2002-2003
Coverage Carrier Policy Term Cover
Workers Compensation Travelers TC2JUB-419J4441-TIL-02 3/1/02-03 Coverage A - Statutory
All States Coverage B - $1,000,000
Monopolistic States not included:
ND, OH, WA, WY
$500,000 Deductible per occurrence;
includes ALAE
Aircraft United States Aviation
Underwriters 360AC-354221 3/1/02-03 Owned Aircraft: $1,000,000 CSL BI/PD
Hull & Liability Phys. Damage: Nil deductibles
N501F - $12,000,000;
N503F - $2,000,000;
N504F - $4,000,000;
N506F - $1,500,000
Non-owned Aircraft: $75,000,000
CSL BI/PD
Phys. Damage: same as highest valued
aircraft insured
Umbrella Liability AISLIC BE4762740 3/1/02-03 $25,000,000 each occurrence
$25,000,000 aggregate
SIR: $2,000,000
First Excess Umbrella Allied World Assurance
Company UG72815 3/1/02-03 $25 Million x $25 Million; incl.
punitive wrap
Subject to terms/conditions of
underlying
Second Excess Umbrella Gerling Konzern UG72816 3/1/02-03 $50 Million x $50 Million; incl.
punitive wrap
Subject to terms/conditions of
underlying
Third Excess Umbrella Great American Assurance Co. EXC5905055 3/1/02-03 $25 million X $100 Million
Subject to terms/conditions of
underlying
Fourth Excess Umbrella Starr Excess 6340004 3/1/02-03 $25 Million x $125 Million; incl.
punitive wrap
Subject to terms/conditions of
underlying
Lead Umbrella Punitive Wrap Starr Excess 5376210 3/1/02-03 $25,000,000 per occurrence/aggregate
wraps Umbrella
$25,000,000 per occurrence/aggregate
wraps $25 Million x $100 Million
layer
Third Excess Punitive Wrap Magna Carta Insurance MCPD201178 3/1/02-03 $25 Million
Limites reduced by amounts paid under
the Specified Required Insurance
policy
Fiduciary Liability National Union Fire Ins. 214-0325 3/1/02-03 $5,000,000 ea occurr
Co. of Pittsburg $25,000 retention
Crime National Union Fire 2140336 3/1/02-03 $5,000,000 employee dishonest
$5,000,000 loss inside/outside
premises coverage agreements 2 & 3
Page 2
APPENDIX D-1
INSURANCE CLAIM: AIG GENERAL LIABILITY
General Liability - AIG - Distribution Group
------------------------------------------------------------------------------------------------------------------------------------
INCURRED RESERVES
CLAIMANT NAME BRANCH CASE# SYMBOL LOSS DATE STATUS LOSS TYPE ACCIDENT DESC. TOTAL PAID TOTAL TOTAL
------------------------------------------------------------------------------------------------------------------------------------
CITY OF BRAWLEY 253 55015 1 03/19/1997 Closed PRODUCT CMLT ALLEGES 11,870.42 11,870.42 0.00
NEGLIGENCE AND
PRODUCT LIABILITY
RESULTING IN
PROPERTY DAMAGE
WITH THE SALE
OF CERTAIN P
------------------------------------------------------------------------------------------------------------------------------------
IMCOR 429 1642 1 07/11/1997 CLOSED PREMISE INSD FORKLIFT 0.00 0.00 0.00
LOADING PIPE ONTO
CLMTVEH CAUSING
PIPE TO DAMAGE
VEHICLE
------------------------------------------------------------------------------------------------------------------------------------
TRAIL TO TEXAS 255 48591 1 08/22/1997 CLOSED PREMISE INSUREDS FORKLIFT 0.00 4,072.92 0.00
TRUCKING DRIVER DROPPED
MATERIAL ON CLMTS
TRUCK
------------------------------------------------------------------------------------------------------------------------------------
UNIFIED SCHOOL 250 78221 1 01/04/1998 CLOSED PRODUCT CLAIMANT ALLEGES 896.00 896.00 0.00
DISTRICT 464 INSURED'S MANU-
FACTURED JOINT
FAILED & CAUSED
MAJOR WATER DAMAGE
TO SCHOOL BUILDING
------------------------------------------------------------------------------------------------------------------------------------
YATES 249 88835 1 03/01/1998 CLOSED PREMISE CLMNT ALLEGED 231.00 231.00 0.00
CONSTRUCTION ADDITIONAL
INCURRED COSTS
------------------------------------------------------------------------------------------------------------------------------------
RIVERA ANDY 413 1919 1 03/06/1998 CLOSED PREMISE INSURED DROPPED 0.00 10,861.36 0.00
PVC OFF FORKLIFT
ON TO CAB OF
TRACTOR TRAILER
------------------------------------------------------------------------------------------------------------------------------------
BOUCHARD 249 80591 1 04/14/1998 CLOSED PRODUCT INSURED STATES 0.00 5,421.98 0.00
JOHN THAT DUC LUGS
BROKE CAUSING
DAMAGE TO BACK-
FLOW PREVENTER
AND 8" LINE
------------------------------------------------------------------------------------------------------------------------------------
CENTERLINE 249 126892 1 05/28/1998 CLOSED PRODUCT CLMNT ALLEGES 0.00 0.00 0.00
BREACH OF
WARRANTIES
------------------------------------------------------------------------------------------------------------------------------------
INTERCOUNTY 249 97864 1 06/16/1998 CLOSED PRODUCT CLMNT ALLEGES 0.00 0.00 0.00
ENGINEERING UNDERGROUND
PIPING SYSTEM
DAMAGE
------------------------------------------------------------------------------------------------------------------------------------
PHILLIPS 253 60847 1 09/10/1998 CLOSED LIABILITY PLAINTIFF FILING 13,917.61 13,917.61 0.00
PETROLEUM CO CROSS COMPLAINT
AGAINST INSURED
FRO CONTRACTUAL &
EQUITABLE
INDEMNITY #7445
------------------------------------------------------------------------------------------------------------------------------------
GRUCON 250 65941 1 01/15/1999 CLOSED PREMISE FORKLIFT DRIVER 0.00 1,380.86 0.00
CORPORATION BACKED INTO
CUSTOMERS VEHICLE
------------------------------------------------------------------------------------------------------------------------------------
RL CARRIERS 249 97476 1 05/13/1999 CLOSED PREMISE FORKLIFT BUMPED 519.09 519.09 0.00
INTO STEP
GOING
------------------------------------------------------------------------------------------------------------------------------------
KANDIYOHI 250 72390 1 06/15/1999 CLOSED PRODUCT WATER DAMAGE TO 1,000.00 1,000.00 0.00
CITY CLAIMANTS APART-
MENT FROM INSUREDS
WATER SYSTEM
------------------------------------------------------------------------------------------------------------------------------------
DEDELAK JOEL 250 70659 1 06/16/1999 CLOSED PREMISE PIPE ON FORKLIFT 0.00 1,530.98 0.00
HIT CLAIMANTS
------------------------------------------------------------------------------------------------------------------------------------
DOW COMPANY 252 92736 1 09/10/1999 CLOSED PREMISE INSURED UNLOADING 0.00 0.00 0.00
EQUIPMENT WHEN
CLMT SUSTAINED
PROPERTY DAMAGE
------------------------------------------------------------------------------------------------------------------------------------
9/3/02 PAGE 1 OF 2
General Liability - AIG - Distribution Group
-----------------------------------------------------------------------------------------------------------------------------------
CLAIMANT CASE LOSS LOSS INCURRED PAID RESERVES
NAME BRANCH # SYMBOL DATE STATUS TYPE ACCIDENT DESC. TOTAL TOTAL TOTAL
-----------------------------------------------------------------------------------------------------------------------------------
BARKER WANDA 253 70802 1 12/29/1999 Closed LIABILITY WRONGFUL DEATH AND 9,418.04 9,418.04 0.00
NEGLIGENT INFLICTION
OF EMOTIONAL
DISTRESS #7445
-----------------------------------------------------------------------------------------------------------------------------------
ST PAUL EVANGELICAL 250 92841 1 11/25/2000 Closed PRODUCT CLAIMANT ALLEGES 0.00 0.00 0.00
LUTHERAN C VALVE WAS DEFECTIVE
AND CAUSED WATER
DAMAGE
-----------------------------------------------------------------------------------------------------------------------------------
BENTLEY JOHN 250 94962 1 03/08/2001 Closed PREMISE PIPES SLID FROM FORK 0.00 2,199.13 0.00
LIFT AND HIT
-----------------------------------------------------------------------------------------------------------------------------------
BETANCOURT NORMA (MP) 253 68515 2 06/01/2001 Closed LIABILITY CLMT WALKING ON 0.00 0.00 0.00
SIDEWALK TRIPPED &
FELL ON A STEP
CAUSING A FRACTURE
TO ANKLE #7445
-----------------------------------------------------------------------------------------------------------------------------------
BETANCOURT NORMA 253 68515 1 06/01/2001 Closed LIABILITY CLMT WALKING ON 0.00 0.00 0.00
SIDEWALK TRIPPED &
FELL ON A STEP
CAUSING A FRACTURE
TO ANKLE #7445
-----------------------------------------------------------------------------------------------------------------------------------
KELLER JOSEPH 250 108806 1 02/15/2002 Closed LIABILITY CLAIMANT ALLEGEDLY 0.00 2,079.50 0.00
FELL WHEN EXITING
INSUREDS SERVICE DOOR
STRIKING HIS HEAD
-----------------------------------------------------------------------------------------------------------------------------------
KENKO INC 342 12421 1 03/01/1998 Open PRODUCT CLAIMANT ALLEGES 1.00 0.00 1.00
CONSTRUCTION
DEFECTS
-----------------------------------------------------------------------------------------------------------------------------------
KENKO INC 342 11769 1 03/01/1999 Open PRODUCT CLAIMANT ALLEGES 25,001.00 3,815.48 21,185.52
CONSTRUCTION
DEFECTS
-----------------------------------------------------------------------------------------------------------------------------------
REYNOLDS PHILLIP 253 66684 2 01/11/2001 Open LIABILITY IV LOADING TRUCK/ 100,000.00 0.00 100,000.00
OV STRUCK FORKLIFT
AND IT WENT THRU
WINDSHIELD OF OV
#7445
-----------------------------------------------------------------------------------------------------------------------------------
VASQUEZ MILTON 253 66684 1 01/11/2001 Open PREMISE IV LOADING TRUCK/ 1,500.00 0.00 1,500.00
OV STRUCK FORKLIFT
AND IT WENT THRU
WINDSHIELD OF OV
#7445
-----------------------------------------------------------------------------------------------------------------------------------
DETROIT WATER TEAM 412 28246 1 06/07/2002 Open PRODUCT CLMT ALLEGES WATER 20,000.00 12,999.96 7,000.04
DAMAGE DUE TO
SEPERATION OF PIPE
-----------------------------------------------------------------------------------------------------------------------------------
SANCHEZ VIRGEN 249 99644 1 08/06/1999 Re-Open PRODUCT INSDS CHLORINE IN 1,510.66 5,595.65 (4,084.99)
LINE RESULTED
-----------------------------------------------------------------------------------------------------------------------------------
PARKER BILL 253 68565 1 05/24/2001 Re-Open LIABILITY TRUCK DRIVER FOR 10,000.00 0.00 10,000.00
COMMON CARRIER
WAS KILLED WHILE
UNLOADING HDPE PIPE
AT JOB SITE OF INSD
#7445
-----------------------------------------------------------------------------------------------------------------------------------
195,864.82 87,809.98 135,601.57
-----------------------------------------------------------------------------------------------------------------------------------
9/3/02 Page 2 of 2
APPENDIX D-2
INSURANCE CLAIMS: AIG AUTOMOBILE
Auto Liability - AIG - Distribution Group
SYM- LOSS LOSS INCURRED PAID RESERVES
CLAIMANT NAME BRANCH CASE # BOL DATE STATUS TYPE ACCIDENT DESC. TOTAL TOTAL TOTAL
HERTZ RENT-A-CAR 254 21919 2 01/25/1996 Closed AUTOCOLL INSURED DRIVER SLID INTO 912.42 1,912.42 0.00
CLAIMANT'S VEHICLE THAT WAS
STOPPED AT THE TIME
CHIKOWSKI DONNA 254 21919 1 01/25/1996 Closed ALIAB-PD INSURED DRIVER SLID INTO 0.00 0.00 0.00
CLAIMANT'S VEHICLE THAT WAS
STOPPED AT THE TIME
HARKINS PAMELA 249 59136 1 08/01/1996 Closed ALIAB-BI CLMT ALLEGES IV ILLEGALLY PARKED 599.06 599.06 0.00
IN LF LANE AND CV DRIVER DRIVING
TOO FAST AND UNABLE TO STOP HIT
IV
HERTZ RENT-A-CAR 254 27134 1 08/10/1996 Closed AUTOCOLL INSURED'S RENTAL CAR WAS HIT 0.00 0.00 0.00
DURING MIDDLE OF NIGHT CAUSING
DAMAGE
A.J. JOHNS, INC. 249 43862 1 09/06/1996 Closed ALIAB-PD CLMT ALLEGES INSD DRIVER BACKED 0.00 893.53 0.00
UP & MADE CONTACT WITH THE
CLMT'S PARKED VEH.
MEDICAL & RESPIRATORY 249 45939 1 10/18/1996 Closed ALIAB-PD CLMT ALLEGES A 6" DIRT CLOD 0.00 0.00 0.00
PRODUCTS ROLLED OUT OF PIPE IN BACK OF I/V
& IT HIT THE CLMT'S VEH.
MR. JAMES 249 47857 1 10/29/1996 Closed ALIAB-PD INSD STATED GOING AROUND CURVE 0.00 1,729.34 0.00
& C/V COMING IN OPP. DIRECTION &
INSD WHEELS HIT CLMT'S VEH.
DENNIS CHARLES 249 47489 1 11/15/1996 Closed ALIAB-PD INSD STATED MAKING DELIVERY & 0.00 624.62 0.00
BACKING DOWN NARROW ST W/HELP
FROM OTHER PERSON & HIT C/V.
CITY OF MADISON 255 41494 1 11/26/1996 Closed ALIAB-PD IV SLIDE WHEN HE BRAKED & 0.00 0.00 0.00
HEIGHTS STRUCK A POLICE CAR WHICH WAS
PARKED
SMITH DEANA 249 48493 2 01/03/1997 Closed ALIAB-BI INSD STATED CLMT VEH CHANGED 0.00 6,750.00 0.00
LANES IN FRONT OF I/V & THEN C/V
STOPPED SUDDENLY & I/V HIT C/V.
SMITH LARRY 249 48493 1 01/03/1997 Closed ALIAB-PD INSD STATED CLMT VEH CHANGED (104.50) 4,677.95 0.00
LANES IN FRONT OF I/V & THEN C/V
STOPPED SUDDENLY & I/V HIT C/V.
UNITED STATES FILTER 412 5174 2 01/17/1997 Closed AUTOCOLL IV SKIDDED THRU INTERSECTION & 0.00 0.00 0.00
MOBERLY CHARLES 412 5174 1 01/17/1997 Closed ALIAB-PD IV SKIDDED THRU INTERSECTION & 4,456.00 5,050.00 0.00
MOBERLY CHARLES 412 5174 3 01/17/1997 Closed ALIAB-BI IV SKIDDED THRU INTERSECTION & 19,000.00 19,000.00 0.00
WILLIAM OKLER 249 49990 1 01/31/1997 Closed ALIAB-PD INSD STATED TURNING LEFT AT 0.00 0.00 0.00
LIGHT AND C/V RAN THE LIGHT & HIT
THE INSD'S VEH.
9/3/02 Page 1 of 38
Auto Liability - AIG - Distribution Group
-----------------------------------------------------------------------------------------------------------------------------------
Case Loss Loss Accident Incurred Paid Reserves
Claimant Name Branch # Symbol Date Status Type Desc. Total Total Total
-----------------------------------------------------------------------------------------------------------------------------------
UNITED STATES
FILTER CORP 255 43294 1 02/05/1997 Closed AUTOCOMP ELECTRICAL SHORT IN 11,735.28 13,235.28 0.00
TRUCK HEATER CAUSED
FIRE
-----------------------------------------------------------------------------------------------------------------------------------
WILLIAMS REGINALD 249 50186 2 02/07/1997 Closed ALIAB-BI INSD STATED STOPPED 0.00 0.00 0.00
BEHIND A CAR WAITING
FOR A TRAIN TO PASS
& OTHER VEH REAR ENDED
THE C V
-----------------------------------------------------------------------------------------------------------------------------------
UNITED STATES FILTER
CORPORATION 249 50186 1 02/07/1997 Closed AUTOCOLL INSD STATED STOPPED 406.21 4,062.04 0.00
BEHIND A CAR WAITING
FOR A TRAIN TO PASS
& OTHER VEH REAR ENDED
THE C V
-----------------------------------------------------------------------------------------------------------------------------------
STANFORD AUTUMN 249 51142 2 02/14/1997 Closed ALIAB-BI CLMT ALLEGES INSD 1,250.00 1,250.00 0.00
DRIVER TURNED LEFT
IN FRONT OF THE
CLMTS VEH AND THEY
COLLIDED
-----------------------------------------------------------------------------------------------------------------------------------
CANNON FAY 249 51142 1 02/14/1997 Closed ALIAB-PD CLMT ALLEGES INSD 2,160.25 3,225.00 0.00
DRIVER TURNED LEFT
IN FRONT OF THE
CLMTS VEH AND THEY
COLLIDED
-----------------------------------------------------------------------------------------------------------------------------------
UNKNOWN 249 51936 1 03/07/1997 Closed ALIAB-PD INSD STATED O V 3,107.11 3,107.11 0.00
DECIDED TO TURN
LEFT SO CROSSED 2
LANES OF TRAFFIC ALL
VEHICLES SLAMMED ON
BRAKES
-----------------------------------------------------------------------------------------------------------------------------------
UNITED STATES
FILTER CORP 250 42464 1 03/19/1997 Closed AUTOCOLL CLAIMANT CROSSED CENTER 0.00 0.00 0.00
LINE AND HIT REAR OF
INSUREDS VEHICLE
-----------------------------------------------------------------------------------------------------------------------------------
HALL KENNETH 249 53212 2 04/05/1997 Closed AUTOCOLL UNKNOWN 1,006.29 1,006.29 0.00
-----------------------------------------------------------------------------------------------------------------------------------
DOBBS HARRY JR 249 53212 1 04/05/1997 Closed ALIAB-PD UNKNOWN 2,087.11 2,087.11 0.00
-----------------------------------------------------------------------------------------------------------------------------------
CUMMINS NIKKI 249 53375 2 04/07/1997 Closed ALIAB-BI INSD STATED TRAFFIC 0.00 9,600.00 0.00
SUDDENLY STOPPED WHICH
CAUSED INSDS TRAILER
TO LOCK UP AND TRAVEL
IN LEFT LANE
-----------------------------------------------------------------------------------------------------------------------------------
CUMMINS NIKKI 249 53375 1 04/07/1997 Closed ALIAB-PD INSD STATED TRAFFIC 0.00 1,574.36 0.00
SUDDENLY STOPPED WHICH
CAUSED INSDS TRAILER
TO LOCK UP AND TRAVEL
IN LEFT LANE
-----------------------------------------------------------------------------------------------------------------------------------
UNITED STATES
FILTER CORP 250 42651 1 04/08/1997 Closed AUTOCOLL CLAIMANT REAR ENDED 0.00 0.00 0.00
INSUREDS VEHICLE
-----------------------------------------------------------------------------------------------------------------------------------
ALLEN DANIEL 249 53710 1 04/18/1997 Closed ALIAB-PD INSD STATED RAN OVER 0.00 0.00 0.00
SOME DEBRIS ON HWY AND
SHOT OUT FROM UNDER IV
AND HIT THE CLMTS VEH
-----------------------------------------------------------------------------------------------------------------------------------
GUICHARD JACQUES 250 43147 2 04/21/1997 Closed ALIAB-BI INSURED VEHICLE HIT 26,000.00 26,000.00 0.00
CLAIMANTS VEHICLE
WHILE MERGING ON RAMP
-----------------------------------------------------------------------------------------------------------------------------------
GUICHARD JACQUES 250 43147 1 04/21/1997 Closed ALIAB-PD INSURED VEHICLE HIT 5,632.36 5,632.36 0.00
CLAIMANTS VEHICLE
WHILE MERGING ON RAMP
-----------------------------------------------------------------------------------------------------------------------------------
9/3/02 Page 2 of 38
Auto Liability - AIG - Distribution Group
------------------------------------------------------------------------------------------------------------------------------------
Claimant Name Branch Case # Symbol Loss Date Status Loss Type Accident Desc.
------------------------------------------------------------------------------------------------------------------------------------
VEHICLE IN FRONT OF IV
STOPPED SUDDENLY - IV
APPLIED BRAKES -
TRAILER JACK KNIFED AND
U.S. FILTER CORPORATION 255 45416 1 04/25/1997 Closed AUTOCOLL WENT OFF ROAD
------------------------------------------------------------------------------------------------------------------------------------
VEHICLE IN FRONT OF IV
STOPPED SUDDENLY - IV
APPLIED BRAKES -
TRAILER JACK KNIFED AND
OHIO STATE OF 255 45416 2 04/25/1997 Closed ALIAB-PD WENT OFF ROAD
------------------------------------------------------------------------------------------------------------------------------------
INSD STATED RAN INTO A
FOUR DEER CROSSING ROAD
UNITED STATES FILTER CORP 249 55248 1 05/05/1997 Closed AUTOCOLL SIGN
------------------------------------------------------------------------------------------------------------------------------------
CLMT ALLEGES OBJECT
FELL OR BLEW OFF IV
JENKINS MARY 251 45906 1 05/07/1997 Closed ALIAB-PD DAMAGING HER VEHICLE
------------------------------------------------------------------------------------------------------------------------------------
INSURED VEHICLE HIT 10
UNITED STATES FILTER CORP 250 44158 1 05/15/1997 Closed AUTOCOLL TREES
------------------------------------------------------------------------------------------------------------------------------------
OTHER DRIVER HIT WHILE
DEBAISE LERAUSKA 251 50066 1 05/27/1997 Closed ALIAB-PD ATTEMPTING TO PARK
------------------------------------------------------------------------------------------------------------------------------------
INSD'S TRUCK ENGINE WAS
STALLED, ROLLED BACK
TO GET OUT OF TRAFFIC &
LASSA STACY 251 46830 1 05/28/1997 Closed ALIAB-PD STRUCK OV
------------------------------------------------------------------------------------------------------------------------------------
DRIVER MISSED TURN,
BACKED TRUCK TO MAKE
TURN & STRUCK VEHICLE
JOHNSON JACQUELYN 251 46875 1 05/29/1997 Closed ALIAB-PD BEHIND HIM
------------------------------------------------------------------------------------------------------------------------------------
IV WAS HIT BY A STOLEN
VEHICLE WHILE IT WAS
PARKED AT EMPLOYEE'S
UNITED STATES FILTER CORP 251 47163 1 06/05/1997 Closed AUTOCOLL HOME
------------------------------------------------------------------------------------------------------------------------------------
SAVAGE MIKE 249 56925 1 06/06/1997 Closed ALIAB-PD NO DESCRIPTION
------------------------------------------------------------------------------------------------------------------------------------
CLMT ALLEGES BOTH IV
AND CV STOPPED AT LIGHT
AND INSD VEH TURNED AND
STEVENS BEVERLY 249 64511 1 06/13/1997 Closed ALIAB-PD HIT CLMTS VEH
------------------------------------------------------------------------------------------------------------------------------------
INSD STATED ROCK HIT
UNITED STATES FILTER CORP 249 56727 1 06/15/1997 Closed AUTOCOMP THE INSDS
------------------------------------------------------------------------------------------------------------------------------------
INSD MADE RT WIDE TURN,
OV IN SMALL VEHICLE
CAME UP ON DRIVER'S RT
SIDE TO MAKE A RT TURN
SPRADLEY H W 251 48010 1 06/24/1997 Closed ALIAB-PD ALSO
------------------------------------------------------------------------------------------------------------------------------------
INSD STATED OTHER VEH
SUDDENLY STOPPED TO
AVOID AN ACCIDENT AND
INSD WAS UNABLE TO STOP
UNITED STATES FILTER CORP 249 58082 1 07/11/1997 Closed AUTOCOLL IN TIME
------------------------------------------------------------------------------------------------------------------------------------
INSD STATED OTHER VEH
CROSSED TWO LANES OF
TRAFFIC AND PULLED IN
HOLLISTER KEVIN 249 58759 1 07/12/1997 Closed ALIAB-BI FRONT OF INSDS VEH
------------------------------------------------------------------------------------------------------------------------------------
CLMT ALLEGES INSD
DRIVER REAR ENDED THE
CLEARY JENNIFER 249 58683 1 07/24/1997 Closed ALIAB-PD CLMTS VEH
------------------------------------------------------------------------------------------------------------------------------------
---------------------------------------------------------------------------------------
Claimant Name Incurred Total Paid Total Reserves Total
---------------------------------------------------------------------------------------
U.S. FILTER CORPORATION 4,377.49 4,377.49 0.00
---------------------------------------------------------------------------------------
OHIO STATE OF 0.00 0.00 0.00
---------------------------------------------------------------------------------------
UNITED STATES FILTER CORP 750.19 750.19 0.00
---------------------------------------------------------------------------------------
JENKINS MARY 0.00 1,236.51 0.00
---------------------------------------------------------------------------------------
UNITED STATES FILTER CORP 15,170.50 18,874.00 0.00
---------------------------------------------------------------------------------------
DEBAISE LERAUSKA 0.00 0.00 0.00
---------------------------------------------------------------------------------------
LASSA STACY 1,642.96 1,642.96 0.00
---------------------------------------------------------------------------------------
JOHNSON JACQUELYN 2,060.29 2,060.29 0.00
---------------------------------------------------------------------------------------
UNITED STATES FILTER CORP 1,813.08 4,626.16 0.00
---------------------------------------------------------------------------------------
SAVAGE MIKE 0.00 2,405.26 0.00
---------------------------------------------------------------------------------------
STEVENS BEVERLY 0.00 0.00 0.00
---------------------------------------------------------------------------------------
UNITED STATES FILTER CORP 0.00 241.80 0.00
---------------------------------------------------------------------------------------
SPRADLEY H W 0.00 0.00 0.00
---------------------------------------------------------------------------------------
UNITED STATES FILTER CORP 2,460.99 2,460.99 0.00
---------------------------------------------------------------------------------------
HOLLISTER KEVIN 0.00 0.00 0.00
---------------------------------------------------------------------------------------
CLEARY JENNIFER 1,982.75 2,782.50 0.00
---------------------------------------------------------------------------------------
9/3/02 Page 3 of 38
Auto Liability - AIG - Distribution Group
CASE INCURRED PAID RESERVES
CLAIMANT NAME BRANCH # SYMBOL LOSS DATE STATUS LOSS TYPE ACCIDENT DESC. TOTAL TOTAL TOTAL
------------- ------ ----- ------ ---------- ------ --------- ----------------------------- --------- --------- --------
OBRIEN GLORIA 249 58662 1 07/24/1997 Closed ALIAB-PD INSD STATED CLMT VEH STOPPED 1,328.06 1,328.06 0.00
SUDDENLY AT A YELLOW LIGHT
AND INSD DRIVER COULD NOT
STOP IN TIME
HARRINGTON EXCAVATING 412 7692 1 07/25/1997 Closed ALIAB-PD IV DROVE INTO A DUMP TRUCK 1,220.00 1,220.00 0.00
DEMARCUS BRUCE 251 49244 1 07/25/1997 Closed ALIAB-PD INSD WAS BACKING UP AT TEXACO 1,356.56 1,356.56 0.00
STATION,BUMPED INTO OV PARKED
BY GAS PUMP
US FILTER 251 50002 1 07/30/1997 Closed AUTOCOLL CAR IN PARKED & ROLLED INTO 1,952.72 1,952.72 0.00
CRANE ON JOBSTITE
UNITED STATES FILTER CORP 251 50336 1 08/18/1997 Closed AUTOCOMP STOLEN VEHICLE 29,771.75 29,771.75 0.00
COOK TROY 250 47190 2 08/22/1997 Closed ALIAB-BI TIRE TRUCK STRUCK OTHER 3,500.00 3,500.00 0.00
VEHICLE
COOK TROY 250 47190 1 08/22/1997 Closed ALIAB-PD TIRE TRUCK STRUCK OTHER 1,346.71 1,346.71 0.00
VEHICLE
UNITED STATES FILTER 250 48200 1 09/03/1997 Closed AUTOCOLL UNKNOWN DETAILS AT TIME OF 829.51 829.51 0.00
SET
BROWN SAMUEL 412 8305 2 09/11/1997 Closed ALIAB-PD IV MISJUDGED TURN & HIT 0.00 795.11 0.00
PARKED OV
ZIER DAVID 412 8305 1 09/11/1997 Closed ALIAB-PD IV MISJUDGED TURN & HIT 0.00 2,393.81 0.00
PARKED OV
GARCIA ROBERT 251 51724 1 09/11/1997 Closed ALIAB-PD ALLEGING OUR DRIVER BACKED UP 2,169.80 2,169.80 0.00
HITTING ANOTHER DRIVER; INSD
WAS CITED
RYDER 249 61700 1 09/23/1997 Closed AUTOCOLL INSD STATED MAKING A DELIVERY (760.48) 0.00 0.00
AND OTHER VEH ON SITE BACKED
INTO THE INSDS TRAILER
UNITED STATES FILTER CORP 246 19785 1 09/25/1997 Closed AUTOCOLL UNKNOWN AT THIS TIME 598.23 6,904.84 0.00
GLENN GARETH 429 1866 1 09/25/1997 Closed ALIAB-PD INSD'S TRUCK ROLLED BACK ON 806.98 806.98 0.00
OFF RAMP INCLINE AND HIT CAR
BEHIND IT
UNITED STATES FILTER CORP 251 52353 2 09/25/1997 Closed AUTOCOLL INSURED REAR-ENDED OV 0.00 0.00 0.00
HALL CHARLES M 251 52353 1 09/25/1997 Closed ALIAB-PD INSURED REAR-ENDED OV 1,199.00 1,310.00 0.00
UNITED STATES FILTER 250 48390 2 09/26/1997 Closed AUTOCOLL INSURED VEHICLE MERGED INTO 945.31 945.31 0.00
TRAFFIC AND COLLIDED WITH
CLAIMANTS VEHICLE
RALOH MICHAEL 251 53240 1 09/30/1997 Closed ALIAB-PD INSD BACKING UP, SCRAPED 405.70 405.70 0.00
OTHER VEHICLE
GUTIERREZ OMAR 412 8471 1 09/30/1997 Closed ALIAB-PD IV DRIVING DOWN NARROW STREET 0.00 1,269.30 0.00
STRUCK PARKED CAR
PROFESSIONAL ABATEMENT 249 64054 1 10/15/1997 Closed ALIAB-PD CLMT ALLEGES DEBRIS FROM 0.00 0.00 0.00
INSDS BUMPER FLEW OFF AND
HIT THE CLMTS VEH
WEBSTER PAULA & WILLIAM 254 39311 2 10/22/1997 Closed ALIAB-PD INSURED ALLEGEDLY REARENDED 6,220.82 6,220.82 0.00
THE CLAIMANT VEHICLE
9/3/02 PAGE 4 OF 38
Auto Liability - AIG - Distribution Group
Incurred Paid Reserves
Claimant Name Branch Case # Symbol Loss Date Status Loss type Accident Desc. Total Total Total
------------- ------ ------ ------ --------- ------ -------- -------------- -------- -------- ---------
WEBSTER PAULA 254 39311 1 10/22/1997 Closed ALIAB-BI INSURED ALLEGEDLY 1,816.91 1,816.91 0.00
REARENDED THE CLAIMANT
VEHICLE
UNITED STATES 249 63688 1 10/27/1997 Closed AUTOCOLL INSD STATED OTHER 7,196.10 7,196.10 0.00
FILTER CORP VEH TURNED INTO
DRIVEWAY AND HIT
THE INSDS VEH AND
OTHER DRIVER ARRESTED
FOR INTOX
UNITED STATES 249 64161 1 10/28/1997 Closed AUTOCOLL INSD STATED OTHER 0.0 0.00 0.00
FILTER CORP VEH PULLED OUT FROM
SIDE ST AND HIT THE
INSDS VEH
COURTESY 250 55629 1 10/30/1997 Closed ALIAB-PD INSURED VEHICLE 0.0 1,519.23 0.00
CHEVROLET BACKED INTO CLAIMANTS
BUILDING
SCHLICHER RUBY 249 64162 2 10/31/1997 Closed ALIAB-BI INSD STATED OTHER 3.000.00 3,000.00 0.00
MEACHAM VEH IN FRONT OF IV
STOPPED SO IV SWERVED
TO MISS OV AND HIT
VEH IN OTHER LANE
SCHLICHER RUBY 249 64162 1 10/31/1997 Closed AUTOCOLL INSD STATED OTHER 458.53 1,458.53 0.00
REBECCA VEH IN FRONT
OF IV STOPPED SO
IV SWERVED TO MISS OV
AND HIT VEH IN OTHER
LANE
MAYO CLARA 249 64987 1 11/05/1997 Closed ALIAB-PD IV WAS TURNING & A 2.118.22 2,118.22 0.00
BAR FROM VEH
U.S. FILTER 413 1568 1 11/07/1997 Closed AUTOCOLL INSURED REARENDED 545.60 545.60 0.00
BY OTHER VEHICLE
HANNA ROGER 249 64822 1 11/10/1997 Closed ALIAB-PD INSD STATED STOPPED 0.00 0.00 0.00
FOR TRAFFIC AND CV
PULLED PAST IV AND MADE
LF TURN AND CAME BACK
WITH POLICE
UNITED STATES 251 53728 2 11/11/1997 Closed AUTOCOLL CLMT ALLEGING INSD 0.00 0.00 0.00
FILTER CORP CHANGED LANES &
STRUCK HIS VEHICLE
VARGHESE
KOTTICKAL 251 53728 1 11/11/1997 Closed ALIAB-PD CLMT ALLEGING INSD 1,868.30 1,868.30 0.00
CHANGED LANES &
STRUCK HIS VEHICLE
UNITED STATES 250 50096 1 11/17/1997 Closed AUTOCOLL CLAIMANT RAN STOP 3,666.91 3,737.91 0.00
FILTER SIGN AND HIT INSUREDS
VEHICLE
UNITED STATES 249 65363 1 11/24/1997 Closed AUTOCOLL INSD STATED HIT IN 0.00 0.00 0.00
FILTER CORP THE REAR BY
HAWKINS RUTH 249 65613 1 11/24/1997 Closed ALIAB-PD CLMT ALLEGES STOPPED 4,489.31 4,489.31 0.00
AT LIGHT AND THEN
STARTED TO GO AND INSD
DRIVER REARENDED CLMTS
VEH
UNITED STATES 249 65613 3 11/24/1997 Closed AUTOCOLL CLMT ALLEGES STOPPED 968.92 968.92 0.00
FILTER AT LIGHT AND THEN
STARTED TO GO AND INSD
DRIVER REARENDED CLMTS
VEH
9/3/02 Page 5 of 38
General Liability - AIG - Distribution Group
-----------------------------------------------------------------------------------------------------------------------------------
CLAIMANT CASE LOSS LOSS INCURRED PAID RESERVES
NAME BRANCH # SYMBOL DATE STATUS TYPE ACCIDENT DESC. TOTAL TOTAL TOTAL
-----------------------------------------------------------------------------------------------------------------------------------
DOUGLAS ETHEL 249 65613 2 11/24/1997 Closed ALIAB-BI CLMT ALLEGES STOPPED 0.00 0.00 0.00
AT LIGHT AND THEN
STARTED TO GO AND
INSD DRIVER REAR
ENDED CLMTS VEH
-----------------------------------------------------------------------------------------------------------------------------------
UNITED STATES 254 39791 1 11/25/1997 Closed AUTOCOMP INSURED'S VEHICLE WAS 2,864.53 3,864.53 0.00
FILTER CORP STOLEN FROM YARD
AND DRIVEN THROUGH
LOCKED FRONT GATE
-----------------------------------------------------------------------------------------------------------------------------------
UNITED STATES 251 54238 1 11/25/1997 Closed AUTOCOLL INSD LEAVING TRUCK 1,763.45 1,763.45 0.00
FILTER CORP STOP, DROVE THRU
OIL, BRAKED & HIT
GUARD POST
-----------------------------------------------------------------------------------------------------------------------------------
US FILTER CORP 249 65742 3 12/06/1997 Closed AUTOCOLL IV FAILED TO STOP 2,501.25 3,913.00 0.00
AT RED ENTERING
INTERSECTION AND
STRIKING CLMTS VEH
CAUSING IT TO ROLL
TWICE
-----------------------------------------------------------------------------------------------------------------------------------
MARTIN BONNIE H 249 65742 2 12/06/1997 Closed ALIAB-BI IV FAILED TO STOP 23,500.00 23,500.00 0.00
AT RED ENTERING
INTERSECTION AND
STRIKING CLMTS VEH
CAUSING IT TO ROLL
TWICE
-----------------------------------------------------------------------------------------------------------------------------------
MARTIN BONNIE 249 65742 1 12/06/1997 Closed ALIAB-PD IV FAILED TO STOP 12,006.17 12,006.17 0.00
AT RED ENTERING
INTERSECTION AND
STRIKING CLMTS VEH
CAUSING IT TO ROLL
TWICE
-----------------------------------------------------------------------------------------------------------------------------------
ROVIRA JOSE 249 66902 3 12/15/1997 Closed ALIAB-BI CLMT ALLEGES STOPPED 200.00 200.00 0.00
TO TURN INTO PARKING
LOT AND INSD DRIVER
HIT CLMTS VEH IN
REAR
-----------------------------------------------------------------------------------------------------------------------------------
PARADA JOSE 249 66902 2 12/15/1997 Closed ALIAB-BI CLMT ALLEGES STOPPED 200.00 200.00 0.00
TO TURN INTO PARKING
LOT AND INSD DRIVER
HIT CLMTS VEH IN
REAR
-----------------------------------------------------------------------------------------------------------------------------------
PARADA JOSE 249 66902 1 12/15/1997 Closed ALIAB-PD CLMT ALLEGES STOPPED 0.00 573.09 0.00
TO TURN INTO PARKING
LOT AND INSD DRIVER
HIT CLMTS VEH IN
REAR
-----------------------------------------------------------------------------------------------------------------------------------
DOMINGUEZ ERNESTO 251 55312 1 12/19/1997 Closed ALIAB-PD INSD FAILED TO SLOW 0.00 0.00 0.00
DOWN WHILE EXITING
INTERSTATE, MANHOLE
RINGS/COVER FELL
OFF VEH, OV RAN OVER
-----------------------------------------------------------------------------------------------------------------------------------
BRADLEY PAT 251 55915 1 01/07/1998 Closed AUTOCOMP INSD'S VEH STOLEN 14,898.96 15,898.96 0.00
WHILE AT HOLIDAY
INN
-----------------------------------------------------------------------------------------------------------------------------------
STRICKLAND MARK 249 68324 1 01/20/1998 Closed ALIAB-PD INSD STATED BOARD 778.98 778.98 0.00
CAME OFF OF THE
INSDS VEH AND HIT
THE CLMTS VEH
-----------------------------------------------------------------------------------------------------------------------------------
US FILTER 429 2280 1 01/29/1998 Closed AUTOCOLL IV STRUCK BY OV 146.20 1,146.20 0.00
-----------------------------------------------------------------------------------------------------------------------------------
UNITED STATES 255 53156 1 02/05/1998 Closed AUTOCOLL OV BACKED INTO 0.00 2,237.25 0.00
FILTER CORP PARKED IV AT LOADING
DOCK
----------------------------------------------------------------------------------------------------------------------------------
9/3/02 Page 6 of 38
Auto Liability - AIG - Distribution Group
CASE INCURRED PAID RESERVES
CLAIMANT NAME BRANCH # SYMBOL LOSS DATE STATUS LOSS TYPE ACCIDENT DESC. TOTAL TOTAL TOTAL
------------- ------ ----- ------ ---------- ------ --------- ---------------------------- --------- --------- --------
SHAWN JACOBS 249 69033 2 02/06/1998 Closed ALIAB-PD INSURED STATES THAT WHILE IN 0.00 0.00 0.00
DRIVE THRU ANOTHER VEHICLE
TRIED TO PASS AND STRUCK
BUMPER
US FILTER 249 69033 1 02/06/1998 Closed AUTOCOLL INSURED STATES THAT WHILE IN 0.00 0.00 0.00
DRIVE THRU ANOTHER VEHICLE
TRIED TO PASS AND STRUCK
BUMPER
UNITED STATES FILTER CORP. 250 55243 1 02/16/1998 Closed AUTOCOMP ROCK HIT WINDSHIELD 0.00 316.20 0.00
MATTISON MATT 252 64788 1 02/16/1998 Closed ALIAB-PD BRAKES ON IV FAILED AND IV 2,396.59 2,396.59 0.00
CRASHED INTO CLMT GARAGE
DOOR
KOCH MATERIALS COMPANY 251 57128 1 02/17/1998 Closed ALIAB-PD INSD WAS STOP SIGN, BENT 3,348.29 3,348.29 0.00
DOWN TO GET SOMETHING,FOOT
SLIPPED & ROLLED BACKWARDS
INTO OV
US FILTER CORP 255 53494 1 02/28/1998 Closed AUTOCOLL OV REAR ENDED THE IV 2,605.33 2,605.33 0.00
ERICKSON SHIRLEY & TIM 254 42677 1 03/02/1998 Closed ALIAB-PD INSURED'S VEHICLE ALLEGEDLY 0.00 0.00 0.00
BROKE THE DRIVE LINE & THE
BROKEN PIECE STRUCK THE
CLAIMANT'S VEHICLE
ERICKSON, SHIRLEY & TIM 253 41894 1 03/02/1998 Closed ALIAB-PD IV ALLEGEDLY BROKE THE DRIVE 1,205.30 1,205.30 0.00
LINE & THE BROKEN PIECE
STRUCK THE CV.
TUBERGEN DAVID 251 57722 1 03/04/1998 Closed ALIAB-PD INSD DRIVER BACKED INTO CAR 1,617.88 1,617.88 0.00
BEHIND HIM
GARCIA SONYA 249 71308 1 03/12/1998 Closed ALIAB-PD INSURED STATES THAT IV 337.89 570.86 0.00
SLIGHTLY
HILL TONY 249 71495 1 03/19/1998 Closed ALIAB-PD INSURED STATES THAT IV REAR 1,125.00 1,125.00 0.00
ENDED CV
TRUCKER EXPRESS 250 54457 1 03/27/1998 Closed ALIAB-PD STRAPS BROKE, PIPES ON TRUCK 835.24 835.24 0.00
CAME LOOSE AND FELL AND HIT
TRAILER OF CLAIMANTS VEHICLE
U.S. FILTER 413 1955 1 03/30/1998 Closed AUTOCOLL CLMT CHANGED LANES INTO 0.00 1,064.17 0.00
INSD, PUSHING INSD INTO THE
SHOULDER
SAHNAN SURINDER 429 2490 1 03/31/1998 Closed ALIAB-PD IV REAR ENDED CLMT 909.00 909.00 0.00
SAINI RAM SINGH 429 2490 2 03/31/1998 Closed ALIAB-BI IV REAR ENDED CLMT 8,000.00 8,000.00 0.00
U.S. FILTER CORP. 253 41882 1 04/01/1998 Closed AUTOCOMP ROCK HIT WINDSHIELD 0.00 59.73 0.00
US FILTER 249 72747 1 04/10/1998 Closed AUTOCOLL INSURED STATES THAT IV WAS 0.00 0.00 0.00
STOPPED AT SIGNAL AND OV
REAR ENDED IV
HYBARGER DOUGLAS 249 73248 3 04/16/1998 Closed ALIAB-PD INSURED STATES THAT IV WAS 6,215.75 6,813.25 0.00
TURNING RT WHEN OV TRIED TO
PASS AND SKIDDED INTO IV
9/3/02 Page 7 of 38
Auto Liability - AIG - Distribution Group
CASE INCURRED PAID RESERVES
CLAIMANT NAME BRANCH # SYMBOL LOSS DATE STATUS LOSS TYPE ACCIDENT DESC. TOTAL TOTAL TOTAL
------------- ------ ----- ------ ---------- ------ --------- ------------------------------ --------- --------- --------
HYBARGER MATTHEW 249 73248 2 04/16/1998 Closed ALIAB-BI INSURED STATES THAT IV WAS 21,232.50 46,232.50 0.00
TURNING RT WHEN OV TRIED TO
PASS AND SKIDDED INTO IV
US FILTER 249 73248 1 04/16/1998 Closed AUTOCOLL INSURED STATES THAT IV WAS 1,263.60 1,263.60 0.00
TURNING RT WHEN OV TRIED TO
PASS AND SKIDDED INTO IV
LINDAHL LAURA 249 73282 2 04/20/1998 Closed ALIAB-BI INSURED STATES THAT IV HIT CV 0.00 449.88 0.00
WHEN CV WAS TURNING RIGHT AT
LIGHT
LINDAHL LAURA 249 73282 1 04/20/1998 Closed ALIAB-PD INSURED STATES THAT IV HIT CV 0.00 5,077.88 0.00
WHEN CV WAS TURNING RIGHT AT
LIGHT
UNITED STATES FILTER 250 55213 2 04/21/1998 Closed AUTOCOLL INSURED VEHICLE AND CLAIMANT (5.62) 794.38 0.00
VEHICLE COLLIDED
UNITED STATES FILTER 250 55316 1 04/23/1998 Closed AUTOCOLL INSURED WHILE DRIVING THROUGH 4,882.43 5,882.43 0.00
GREEN LIGHT WAS STRUCK BY
OTHER VEHICLE
BOYER MARK 253 43781 1 04/30/1998 Closed ALIAB-PD CLMT ALLEGES IV STRUCK CV 384.66 384.66 0.00
CALIFORNIA CENTRI. 253 42613 1 05/07/1998 Closed ALIAB-PD IV BACKED INTO ANOTHER TRUCK 0.00 0.00 0.00
PUMP/F. ALFAR PARKED BEHIND IV.
US FILTER 249 74821 1 05/13/1998 Closed AUTOCOLL INSURED STATES THAT ID WAS 0.00 904.06 0.00
LOADING PIPE ONTO TRUCK WHEN IT
STRUCK PASSENGER MIRROR AND
DOOR
UNITED STATES FILTER 250 56574 1 05/15/1998 Closed AUTOCOMP HAIL DAMAGE TO INSURED VEHICLE 0.00 0.00 0.00
UNITED STATES FILTER 250 56297 1 05/15/1998 Closed AUTOCOMP HAIL DAMAGE TO 1997 FORD 2,366.31 3,366.31 0.00
UNITED STATES FILTER 250 56277 1 05/15/1998 Closed AUTOCOMP HAIL DAMAGE TO VEHICLE 1,852.88 2,852.88 0.00
US FILTER 249 74891 1 05/16/1998 Closed AUTOCOMP INSURED STATES THAT IV WAS 1,864.93 1,864.93 0.00
STOLEN OFF YARD AND LATER
RECOVERED BY POLICE IN DITCH
US FILTER 249 75730 1 05/27/1998 Closed AUTOCOLL INSURED STATES THAT OV BACKED 0.00 0.00 0.00
INTO IV
REYES RAMON 250 56896 3 06/03/1998 Closed ALIAB-BI INSURED VEHICLE REAR ENDED 21,000.00 21,000.00 0.00
CLAIMANTS VEHICLE
UNITED STATES FILTER 250 56896 2 06/03/1998 Closed AUTOCOLL INSURED VEHICLE REAR ENDED 0.00 441.23 0.00
CLAIMANTS VEHICLE
REYES RAMON 250 56896 1 06/03/1998 Closed ALIAB-PD INSURED VEHICLE REAR ENDED 3,755.61 4,755.61 0.00
CLAIMANTS VEHICLE
UNITED STATES FILTER 250 57134 3 06/08/1998 Closed AUTOCOLL INSURED VEHICLE WENT THROUGH 557.23 3,786.13 0.00
YELLOW LIGHT CLAIMANT MADE LEFT
TURN IN FRONT OF INSURED
9/3/02 Page 8 OF 38
Auto Liability - AIG - Distribution Group
------------------------------------------------------------------------------------------------------------------------------------
CLAIMANT NAME BRANCH CASE # SYMBOL LOSS DATE STATUS LOSS TYPE ACCIDENT DESC.
------------------------------------------------------------------------------------------------------------------------------------
INSURED VEHICLE WENT
THROUGH YELLOW LIGHT
CLAIMANT MADE LEFT TURN
GUERRERO PATRICIA 250 57134 2 06/08/1998 Closed ALIAB-PD IN FRONT OF INSURED
------------------------------------------------------------------------------------------------------------------------------------
INSURED VEHICLE WENT
THROUGH YELLOW LIGHT
CLAIMANT MADE LEFT TURN
GUERRERO PATRICIA 250 57134 1 06/08/1998 Closed ALIAB-BI IN FRONT OF INSURED
------------------------------------------------------------------------------------------------------------------------------------
IV WAS PARKED AND IV
COASTED AND HIT PARKED
JOHNSSI AVILES 252 68922 1 06/09/1998 Closed ALIAB-PD CAR
------------------------------------------------------------------------------------------------------------------------------------
INSURED STATES THAT 2
OV PULLED OUT IN FRONT
OF IV AND IV SWERVED TO
US FILTER 249 77167 1 06/19/1998 Closed AUTOCOLL MISS AND HIT TRAILER
------------------------------------------------------------------------------------------------------------------------------------
CEMENT BLOCKS FELL OUT
OF TRUCK AND HIT
DOWD MATTHEW 250 57804 3 06/19/1998 Closed ALIAB-PD CLAIMANT VEHICLE
------------------------------------------------------------------------------------------------------------------------------------
CEMENT BLOCKS FELL OUT
OF TRUCK AND HIT
MILANI KAMRAN 250 57804 2 06/19/1998 Closed ALIAB-PD CLAIMANT VEHICLE
------------------------------------------------------------------------------------------------------------------------------------
CEMENT BLOCKS FELL OUT
OF TRUCK AND HIT
BAGIANO DOMINICK 250 57804 1 06/19/1998 Closed ALIAB-PD CLAIMANT VEHICLE
------------------------------------------------------------------------------------------------------------------------------------
INSD VEHICLE MAKING
RIGHT TURN, REAR OF
DELIVERY TRUCK STRUCK
FRONT BUMPER OF CLMT
M&M MOTORS 249 78528 1 06/23/1998 Closed ALIAB-PD VEHICLE
------------------------------------------------------------------------------------------------------------------------------------
INSURED VEHICLE
CHANGING LANES OTHER
VEHICLE SPED UP AND
US FILTER 250 57870 3 06/25/1998 Closed AUTOCOLL THE VEHICLE STRUCK
------------------------------------------------------------------------------------------------------------------------------------
INSURED VEHICLE
CHANGING LANES OTHER
VEHICLE SPED UP AND
MANSELL MARK 250 57870 2 06/25/1998 Closed ALIAB-BI THE VEHICLE STRUCK
------------------------------------------------------------------------------------------------------------------------------------
INSURED VEHICLE
CHANGING LANES OTHER
VEHICLE SPED UP AND
MANSELL MARK 250 57870 1 06/25/1998 Closed ALIAB-PD THE VEHICLE STRUCK
------------------------------------------------------------------------------------------------------------------------------------
CLMT ALLEGES ROCK CAME
CAQUETTE JOHN 253 43849 1 06/26/1998 Closed ALIAB-PD FROM IV
------------------------------------------------------------------------------------------------------------------------------------
OV STOPPED SUDDENLY AND
DID NOT HAVE BRAKE
UNITED STATES FILTER 252 70015 1 06/26/1998 Closed AUTOCOLL LIGHTS
------------------------------------------------------------------------------------------------------------------------------------
UNITED STATES FILTER 252 70119 1 07/01/1998 Closed AUTOCOMP WINDSHIELD CRACKED
------------------------------------------------------------------------------------------------------------------------------------
US FILTER 253 44044 1 07/06/1998 Closed AUTOCOLL CV REAR ENDED IV
------------------------------------------------------------------------------------------------------------------------------------
INSURED'S VEHICLE
BACKED INTO CLAIMANT'S
CARTER GEORGE 413 2250 1 07/16/1998 Closed ALIAB-PD VEHICLE
------------------------------------------------------------------------------------------------------------------------------------
IV MAKING RIGHT TURN A
DN OV TRIED TO TURN ON
INSIDE LANE AND
TINKER ANNE 252 70941 1 07/16/1998 Closed ALIAB-PD STRUCK IV
------------------------------------------------------------------------------------------------------------------------------------
BUCHANAN HENRY 250 58547 1 07/16/1998 Closed ALIAB-PD UNKNOWN
------------------------------------------------------------------------------------------------------------------------------------
---------------------------------------------------------------------------------------
CLAIMANT NAME INCURRED TOTAL PAID TOTAL RESERVES TOTAL
---------------------------------------------------------------------------------------
GUERRERO PATRICIA 0.00 0.00 0.00
---------------------------------------------------------------------------------------
GUERRERO PATRICIA 0.00 0.00 0.00
---------------------------------------------------------------------------------------
JOHNSSI AVILES 0.00 0.00 0.00
---------------------------------------------------------------------------------------
US FILTER 7,912.57 8,912.57 0.00
---------------------------------------------------------------------------------------
DOWD MATTHEW 0.00 0.00 0.00
---------------------------------------------------------------------------------------
MILANI KAMRAN 0.00 500.00 0.00
---------------------------------------------------------------------------------------
BAGIANO DOMINICK 0.00 500.00 0.00
---------------------------------------------------------------------------------------
M&M MOTORS 0.00 530.19 0.00
---------------------------------------------------------------------------------------
US FILTER 2,212.13 5,424.26 0.00
---------------------------------------------------------------------------------------
MANSELL MARK 5,191.17 5,191.17 0.00
---------------------------------------------------------------------------------------
MANSELL MARK 800.00 800.00 0.00
---------------------------------------------------------------------------------------
CAQUETTE JOHN 0.00 0.00 0.00
---------------------------------------------------------------------------------------
UNITED STATES FILTER 0.00 655.49 0.00
---------------------------------------------------------------------------------------
UNITED STATES FILTER 0.00 384.92 0.00
---------------------------------------------------------------------------------------
US FILTER 0.00 864.22 0.00
---------------------------------------------------------------------------------------
CARTER GEORGE 1,160.59 1,160.59 0.00
---------------------------------------------------------------------------------------
TINKER ANNE 0.00 0.00 0.00
---------------------------------------------------------------------------------------
BUCHANAN HENRY 3,189.75 4,189.75 0.00
---------------------------------------------------------------------------------------
9/3/02 Page 9 of 38
Auto Liability - AIG - Distribution Group
CASE INCURRED PAID RESERVES
CLAIMANT NAME BRANCH # SYMBOL LOSS DATE STATUS LOSS TYPE ACCIDENT DESC. TOTAL TOTAL TOTAL
------------- ------ ----- ------ ---------- ------ --------- ----------------------------- --------- --------- --------
CONERLY CRAIG 249 79570 2 07/19/1998 Closed ALIAB-PD INSD VEHICLE BACKED OUT OF 597.60 1,195.20 0.00
PARKING SPACE AND WAS HIT BY
CLMT VEHICLE
UNITED STATES FILTER 249 79570 1 07/19/1998 Closed AUTOCOLL INSD VEHICLE BACKED OUT OF 0.00 0.00 0.00
PARKING SPACE AND WAS HIT BY
CLMT VEHICLE
UNITED STATES FILTER 249 79130 1 07/20/1998 Closed AUTOCOMP IV STALLED IN TRAFFIC ON FLOODED 2,224.65 3,224.65 0.00
RD PASSING CARS FLOODED IV AND
STALLED VEHICLE DAMAGED ENGINE
UNITED STATES FILTER 252 70687 1 07/22/1998 Closed AUTOCOLL INSD HIT REAR POST WITH TOW 737.17 2,474.34 0.00
MOTOR
HARTFORD THOMAS 250 58878 1 07/23/1998 Closed ALIAB-PD INSURED BACKING INTO PARKING 1,432.79 2,432.79 0.00
SPACE AND CLAIMANT TURNED INTO
SPACE
SALTER MICHAEL 250 59050 1 07/24/1998 Closed ALIAB-PD CONCRETE CATCH BASIN SHIFTED 0.00 100.00 0.00
OVERFORCING SIDE BOARD ON
TRUCK TO COME OFF STRIKING CLMT
NIMRICHTER BARBARA 253 44492 1 07/24/1998 Closed ALIAB-PD IV HIT SIGN WHICH FELL ON CV 0.00 0.00 0.00
FORBES STEPHEN 249 79398 1 07/27/1998 Closed ALIAB-PD INSURED STATES THAT IV WAS 1,801.22 2,801.22 0.00
BACKING UP TO PARALLEL PARK AND
BACKED INTO CAR BEHIND HIM
US FILTER 249 79681 1 07/29/1998 Closed AUTOCOMP INSURED STATES THAT IV WAS 0.00 0.00 0.00
PARKED AND BROKEN INTO AND
CONTENTS WERE TAKEN OUT OF
VEHICLE
HEWITT JANE 253 44889 4 08/08/1998 Closed ALIAB-BI IV DIDN'T STOP UNTIL 8' ONTO 25,000.00 25,000.00 0.00
AVONDALE & WAS HIT BY CV
HEWITT GRANT 253 44889 3 08/08/1998 Closed ALIAB-BI IV DIDN'T STOP UNTIL 8' ONTO 0.00 0.00 0.00
AVONDALE & WAS HIT BY CV
US FILTER 253 44889 2 08/08/1998 Closed AUTOCOLL IV DIDN'T STOP UNTIL 8' ONTO 11,322.99 12,322.99 0.00
AVONDALE & WAS HIT BY CV
HEWITT GRANT 253 44889 1 08/08/1998 Closed ALIAB-PD IV DIDN'T STOP UNTIL 8' ONTO 29,685.29 29,685.29 0.00
AVONDALE & WAS HIT BY CV
UNITED STATES FILTER 250 60524 2 08/10/1998 Closed AUTOCOLL OTHER VEHICLE PULLED OUT IN 0.00 0.00 0.00
FRONT OF INSURED VEHICLE
COLLISION
UNITED STATES FILTER 250 59563 1 08/10/1998 Closed AUTOCOLL CAR PULLED OUT IN FRONT OF 0.00 3,890.71 0.00
INSURED VEHICLE
HANSEN JEREMY 250 59637 4 08/11/1998 Closed ALIAB-BI INSURED VEHICLE REARENDED 0.00 0.00 0.00
CLAIMANT VEHICLE WHICH IN TURN
STRUCK ANOTHER VEHICLE
9/3/02 Page 10 of 38
Auto Liability - AIG Distribution Group
Claimant Name Branch Case # Symbol Loss Date Status Loss Type Accident Desc. Incurred Paid Reserves
Total Total Total
UNITED STATES FILTER 250 59637 3 08/11/1998 Closed AUTOCOLL INSURED VEHICLE 0.00 0.00 0.00
REARENDED CLAIMANT
VEHICLE WHICH IN
TURN STRUCK ANOTHER
VEHICLE
TOCHTROP JAMES 250 59637 2 08/11/1998 Closed ALIAB-PD INSURED VEHICLE 659.46 659.46 0.00
REARENDED CLAIMANT
VEHICLE WHICH IN
TURN STRUCK ANOTHER
VEHICLE
ROBINSON, JAMES 250 59637 1 08/11/1998 Closed ALIAB-PD INSURED VEHICLE 1,182.79 1,182.79 0.00
REARENDED CLAIMANT
VEHICLE WHICH IN
TURN STRUCK ANOTHER
VEHICLE
UNITED STATES FILTER 252 71343 1 08/13/1998 Closed AUTOCOLL IV STOPPED SHORT 2,404.59 3,404.59 0.00
AND PIPE SLID
DUNN JIMMY 249 80804 1 08/13/1998 Closed ALIAB-PD INSD VEHICLE 0.00 866.20 0.00
SCRAPED THE REAR OF
A PARKED VEHICLE
MORAN MICHAEL 250 59925 1 08/13/1998 Closed ALIAB-PD FRONT HOOD AND BUMPER 1,649.36 2,649.36 0.00
US FILTER 253 45456 3 08/13/1998 Closed AUTOCOLL IV REARENDED CV 0.00 804.08 0.00
WATT JEFF 253 45456 2 08/13/1998 Closed ALIAB-PD IV REARENDED CV 1,165.79 1,165.79 0.00
WATT JEFF 253 45456 1 08/13/1998 Closed ALIAB-BI IV REARENDED CV 2,500.00 2,500.00 0.00
UNITED STATES FILTER 249 80710 2 08/14/1998 Closed AUTOCOLL INSD BACKED INTO 0.00 0.00 0.00
POLICE CAR
ORANGE COUNTY SHERIFF 249 80710 1 08/14/1998 Closed ALIAB-PD INSD BACKED INTO 0.00 0.00 0.00
POLICE CAR
UNITED STATES FILTER 250 59848 1 08/16/1998 Closed AUTOCOLL INSURED VEHICLE 6,067.68 7,067.68 0.00
BROADSIDED BY
UNKNOWN VEHICLE
US FILTER 249 81238 2 8/21/1998 Closed AUTOCOLL IV WAS TRAVELING WEST 0.00 0.00 0.00
AND RUSH HOUR TRAFFIC
CAME TO STOP AND IV
COULD NOT STOP
KURTZ JAMES 249 81238 1 08/21/1998 Closed ALIAB-PD IV WAS TRAVELING WEST 522.00 522.00 0.00
AND RUSH HOUR TRAFFIC
CAME TO STOP AND IV
COULD NOT STOP
TASSIN, AUGUST 249 81689 1 08/31/1998 Closed ALIAB-PD CV PULLING INTO GAS 1,853.94 2,853.94 0.00
STATION AND IV PULLING
OUT DID NOT SEE CV AND
HIT CV
BUI THUY 249 81618 3 08/31/1998 Closed ALIAB-BI IV WAS ENTERING ROAD 6,500.00 6,500.00 0.00
AND WAS STRUCK AS
ENTERING AND IMPACTED
AN OAK TREE
BUI THUY 249 81618 2 08/31/1998 Closed ALIAB-PD IV WAS ENTERING ROAD 5,417.65 5,499.65 0.00
AND WAS STRUCK AS
ENTERING AND IMPACTED
AN OAK TREE
US FILTER 249 81618 1 08/31/1998 Closed AUTOCOLL IV WAS ENTERING ROAD 11,802.50 15,745.50 0.00
AND WAS STRUCK AS
ENTERING AND IMPACTED
AN OAK TREE
MYERS J R 250 60795 1 08/31/1998 Closed ALIAB-PD INSUREDS VEHICLE 1,872.96 2,872.96 0.00
MAKING TURN HIT
CLAIMANTS VEHICLE
LANGE MERLE ANN 253 45622 4 09/08/1998 Closed ALIAB-PD IV REARENDED CV, IV 605.83 605.83 0.00
WAS REARENDED BY OP
SNYDER KIRSTEN 253 45622 3 09/08/1998 Closed ALIAB-BI IV REARENDED CV, IV 3,063.69 3,063.69 0.00
WAS REARENDED BY OP
9/3/02 Page 11 of 38
Auto Liability - AIG - Distribution Group
-----------------------------------------------------------------------------------------------------------------------------------
CASE LOSS LOSS ACCIDENT INCURRED PAID RESERVES
CLAIMANT NAME BRANCH # SYMBOL DATE STATUS TYPE DESC. TOTAL TOTAL TOTAL
-----------------------------------------------------------------------------------------------------------------------------------
INSURED 253 45622 2 09/08/1998 Closed AUTOCOLL IV REARENDED CV. IV 0.00 595.45 0.00
WAS REARENDED BY OP
-----------------------------------------------------------------------------------------------------------------------------------
SNYDER KIRSTEN 253 45622 1 09/08/1998 Closed ALIAB-PD IV REARENDED CV. IV 5,500.50 5,500.50 0.00
WAS REARENDED BY OP
-----------------------------------------------------------------------------------------------------------------------------------
UNITED STATES FILTER 250 61109 1 09/09/1998 Closed AUTOCOLL INSURED VEHICLE 360.19 1,360.19 0.00
STRUCK POT HOLE
-----------------------------------------------------------------------------------------------------------------------------------
US FILTER 253 45958 1 09/09/1998 Closed AUTOCOLL OP PULLED AWAY FROM 606.38 1,606.38 0.00
CURB AND STRUCK IV
-----------------------------------------------------------------------------------------------------------------------------------
HUFFMAN SECURITY 250 60875 1 09/10/1998 Closed ALIAB-PD INSURED VEHICLE 0.00 545.36 0.00
REARENDED
CLAIMANTVEHICLE
-----------------------------------------------------------------------------------------------------------------------------------
ALLEN MACK AND SONS 250 60845 1 09/10/1998 Closed ALIAB-PD CLAIMANT ALLEGES 0.00 219.20 0.00
DRIVER RAN OVER
PHONEBOX
-----------------------------------------------------------------------------------------------------------------------------------
US FILTER 429 3163 1 09/10/1998 Closed AUTOCOLL IV REARENDED BY OV 0.00 1,798.61 0.00
-----------------------------------------------------------------------------------------------------------------------------------
KOHLER MICHAEL 250 61165 1 09/18/1998 Closed ALIAB-PD INSUREDS VEHICLE 1,737.82 1,737.82 0.00
BACKED INTO
CLAIMANTSVEHICLE
-----------------------------------------------------------------------------------------------------------------------------------
US FILTER 249 82794 1 09/19/1998 Closed AUTOCOLL OV WAS STRUCK BY OV 1,321.49 2,321.49 0.00
AND HYDRO PLANED
INTO IV
-----------------------------------------------------------------------------------------------------------------------------------
FINCH BARBARA 253 46153 1 09/25/1998 Closed ALIAB-PD IV TURNING LEFT, NOT 1,407.81 2,407.81 0.00
IN TURN LANE
-----------------------------------------------------------------------------------------------------------------------------------
LESLIE ROGER 249 83829 1 09/28/1998 Closed ALIAB-PD INSD VEHICLE HIT CLMT 0.00 632.40 0.00
VEHICLE WHILE TRYING TO
MAKE A LEFT TURN
-----------------------------------------------------------------------------------------------------------------------------------
US FILTER 253 46237 1 09/30/1998 Closed AUTOCOLL MOTORCYCLE REARENDED 1,164.92 2,164.92 0.00
IV
-----------------------------------------------------------------------------------------------------------------------------------
UNITED STATES FILTER 249 83827 1 10/06/1998 Closed AUTOCOLL OTHER VEHICLE BACKED 0.00 0.00 0.00
INTO INSD
-----------------------------------------------------------------------------------------------------------------------------------
UNITED STATES FILTER 250 62069 3 10/11/1998 Closed AUTOCOLL INSUREDS VEHICLE HIT 3,862.99 4,862.99 0.00
CLAIMANTSPARKED
VEHICLES
-----------------------------------------------------------------------------------------------------------------------------------
PETERS LAWRENCE 250 62069 2 10/11/1998 Closed ALIAB-PD INSUREDS VEHICLE HIT 3,074.31 3,177.31 0.00
CLAIMANTSPARKED
VEHICLES
-----------------------------------------------------------------------------------------------------------------------------------
PETERS JANET 250 62069 1 10/11/1998 Closed ALIAB-PD INSUREDS VEHICLE HIT 4,945.26 4,945.26 0.00
CLAIMANTSPARKED
VEHICLES
-----------------------------------------------------------------------------------------------------------------------------------
TROPICAL INTL CORP 249 84465 5 10/13/1998 Closed ALIAB-PD VI COMING TO STOP HIT 5,664.47 5,664.47 0.00
V2 AND V2
-----------------------------------------------------------------------------------------------------------------------------------
STALLWORTH LLOYD 249 84465 4 10/13/1998 Closed ALIAB-BI VI COMING TO STOP HIT 42,027.20 42,027.20 0.00
V2 AND V2
-----------------------------------------------------------------------------------------------------------------------------------
US FILTER CORP 249 84465 3 10/13/1998 Closed AUTOCOLL VI COMING TO STOP HIT 437.26 1,437.26 0.00
V2 AND V2
-----------------------------------------------------------------------------------------------------------------------------------
WILLIAMSON TERESA 249 84465 2 10/13/1998 Closed ALIAB-BI VI COMING TO STOP HIT 30,000.00 30,000.00 0.00
V2 AND V2
-----------------------------------------------------------------------------------------------------------------------------------
ENTERPRISE LEASING 249 84465 1 10/13/1998 Closed ALIAB-PD VI COMING TO STOP HIT 2,620.74 2,620.74 0.00
V2 AND V2
-----------------------------------------------------------------------------------------------------------------------------------
UNITED STATES FILTER 413 2538 1 10/20/1998 Closed AUTOCOMP INSURED'S VEHICLE WAS 772.37 3,544.74 0.00
VANDALIZED ATINSURED'S
LOCATION
-----------------------------------------------------------------------------------------------------------------------------------
9/3/02 Page 12 of 38
Auto Liability -- AIG -- Distribution Group
-------------------------------------------------------------------------------------------------------------------------------
CLAIMANT NAME BRANCH CASE # SYMBOL LOSS DATE STATUS LOSS TYPE
-------------------------------------------------------------------------------------------------------------------------------
VANCE RANDY 250 62815 1 10/30/1998 Closed ALIAB-PD
-------------------------------------------------------------------------------------------------------------------------------
AMERICAN ELECTRIC POWER 250 62815 3 10/30/1998 Closed ALIAB-PD
-------------------------------------------------------------------------------------------------------------------------------
UNITED STATES FILTER 250 62815 2 10/30/1998 Closed AUTOCOLL
-------------------------------------------------------------------------------------------------------------------------------
UNITED STATES FILTER 249 88746 1 11/01/1998 Closed AUTOCOMP
-------------------------------------------------------------------------------------------------------------------------------
MOORE ALMA 250 62804 3 11/02/1998 Closed ALIAB-BI
-------------------------------------------------------------------------------------------------------------------------------
UNITED STATES FILTER 250 62804 2 11/02/1998 Closed AUTOCOLL
-------------------------------------------------------------------------------------------------------------------------------
MOORE ALMA 250 62804 1 11/02/1998 Closed ALIAB-PD
-------------------------------------------------------------------------------------------------------------------------------
INSURED 253 47362 3 11/12/1998 Closed AUTOCOLL
-------------------------------------------------------------------------------------------------------------------------------
HUNTER STACY 253 47362 2 11/12/1998 Closed ALIAB-BI
-------------------------------------------------------------------------------------------------------------------------------
STACY HUNTER 253 47362 1 11/12/1998 Closed ALIAB-PD
-------------------------------------------------------------------------------------------------------------------------------
GARCIA MARCO 253 47586 4 11/21/1998 Closed ALIAB-BI
-------------------------------------------------------------------------------------------------------------------------------
US FILTER 253 47586 3 11/21/1998 Closed AUTOCOLL
-------------------------------------------------------------------------------------------------------------------------------
ORTANO OFELIA 253 47586 2 11/21/1998 Closed ALIAB-PD
-------------------------------------------------------------------------------------------------------------------------------
GARCIA MARCO 253 47586 1 11/21/1998 Closed ALIAB-PD
-------------------------------------------------------------------------------------------------------------------------------
MILLER ROBIN 250 63615 2 11/23/1998 Closed ALIAB-BI
-------------------------------------------------------------------------------------------------------------------------------
MILLER ROBIN 250 63615 1 11/23/1998 Closed ALIAB-PD
-------------------------------------------------------------------------------------------------------------------------------
UNITED STATES FILTER 252 75417 2 11/24/1998 Closed AUTOCOLL
-------------------------------------------------------------------------------------------------------------------------------
GUILIANO JEFFREY 252 75417 1 11/24/1998 Closed ALIAB-PD
-------------------------------------------------------------------------------------------------------------------------------
UNITED STATES FILTER 250 64106 3 11/25/1998 Closed AUTOCOLL
-------------------------------------------------------------------------------------------------------------------------------
UNITED STATES FILTER 250 64106 2 11/25/1998 Closed AUTOCOLL
-------------------------------------------------------------------------------------------------------------------------------
LUDLOW JAY 250 64106 1 11/25/1998 Closed ALIAB-PD
-------------------------------------------------------------------------------------------------------------------------------
HOEGMEIER HERB 250 65009 1 11/30/1998 Closed ALIAB-PD
-------------------------------------------------------------------------------------------------------------------------------
SPENCER SAMUEL 249 86739 1 11/30/1998 Closed ALIAB-PD
-------------------------------------------------------------------------------------------------------------------------------
-------------------------------------------------------------------------------------------------------------------------------
CLAIMANT NAME ACCIDENT DESC. INCURRED TOTAL PAID TOTAL RESERVES TOTAL
-------------------------------------------------------------------------------------------------------------------------------
VANCE RANDY INSURED MAKING TURN HIT CLMT
VEHICLE 0.00 12,500.00 0.00
-------------------------------------------------------------------------------------------------------------------------------
AMERICAN ELECTRIC POWER INSURED MAKING TURN HIT CLMT
VEHICLE 0.00 756.22 0.00
-------------------------------------------------------------------------------------------------------------------------------
UNITED STATES FILTER INSURED MAKING TURN HIT CLMT
VEHICLE 10,870.95 11,870.95 0.00
-------------------------------------------------------------------------------------------------------------------------------
UNITED STATES FILTER INSD VEHICLE STRUCK BY A ROCK
THAT FLEWUP FROM ANOTHER
VEHICLE 0.00 413.13 0.00
-------------------------------------------------------------------------------------------------------------------------------
MOORE ALMA UNKNOWN 0.00 0.00 000
-------------------------------------------------------------------------------------------------------------------------------
UNITED STATES FILTER UNKNOWN 1,202.48 2,202.48 0.00
-------------------------------------------------------------------------------------------------------------------------------
MOORE ALMA UNKNOWN 0.00 0.00 0.00
-------------------------------------------------------------------------------------------------------------------------------
INSURED NO DETAILS PROVIDED 1,400.12 2,867.51 0.00
-------------------------------------------------------------------------------------------------------------------------------
HUNTER STACY NO DETAILS PROVIDED 24,000.00 24,000.00 0.00
-------------------------------------------------------------------------------------------------------------------------------
STACY HUNTER NO DETAILS PROVIDED 15,132.14 15,132.14 0.00
-------------------------------------------------------------------------------------------------------------------------------
GARCIA MARCO IV REARENDED CV1 PUSHING CV1
INTO CV2 1,000.00 1,000.00 0.00
-------------------------------------------------------------------------------------------------------------------------------
US FILTER IV REARENDED CV1 PUSHING CV1
INTO CV2 1,450.31 2,450.31 0.00
-------------------------------------------------------------------------------------------------------------------------------
ORTANO OFELIA IV REARENDED CV1 PUSHING CV1
INTO CV2 6,766.65 3,676.96 0.00
-------------------------------------------------------------------------------------------------------------------------------
GARCIA MARCO IV REARENDED CV1 PUSHING CV1
INTO CV2 500.00 7,685.85 0.00
-------------------------------------------------------------------------------------------------------------------------------
MILLER ROBIN INSURED ROLLED INTO CLAIMANT AT 500.00 500.00 0.00
-------------------------------------------------------------------------------------------------------------------------------
MILLER ROBIN INSURED ROLLED INTO CLAIMANT AT 3,806.61 3,806.61 0.00
-------------------------------------------------------------------------------------------------------------------------------
UNITED STATES FILTER BRAKED/VEHICLE WOULD NOT
STOP/BRAKES SEEMED SLOW TO
RESPOND 0.00 612.96 0.00
-------------------------------------------------------------------------------------------------------------------------------
GUILIANO JEFFREY BRAKED/VEHICLE WOULD NOT
STOP/BRAKES SEEMED SLOW TO
RESPOND 0.00 3,603.63 0.00
-------------------------------------------------------------------------------------------------------------------------------
UNITED STATES FILTER INSUREDS VEHICLE
JACKNIFED CAUSING CLAIMANT TO 0.00 0.00 0.00
-------------------------------------------------------------------------------------------------------------------------------
UNITED STATES FILTER INSUREDS VEHICLE
JACKNIFED CAUSING CLAIMANT TO 1,495.78 2,495.78 0.00
-------------------------------------------------------------------------------------------------------------------------------
LUDLOW JAY INSUREDS VEHICLE
JACKNIFED CAUSING CLAIMANT TO 0.00 1,218.71 0.00
-------------------------------------------------------------------------------------------------------------------------------
HOEGMEIER HERB INSURED VEHICLE BACKED INTO
CLAIMANTS VEHICLE 1,442.65 2,442.65 0.00
-------------------------------------------------------------------------------------------------------------------------------
SPENCER SAMUEL IV BACKING UP CV WAS PARKED
BEHIND AND IV HIT CV 436.27 872.54 0.00
-------------------------------------------------------------------------------------------------------------------------------
9/3/02 Page 13 of 38
Auto Liability - AIG - Distribution Group
-----------------------------------------------------------------------------------------------------------------------------------
CLAIMANT CASE LOSS LOSS INCURRED PAID RESERVES
NAME BRANCH # SYMBOL DATE STATUS TYPE ACCIDENT DESC. TOTAL TOTAL TOTAL
-----------------------------------------------------------------------------------------------------------------------------------
MCCLENDON TRUCKING 250 63724 1 12/03/1998 Closed ALIAB-PD INSUREDS VEHICLE 1,154.30 2,154.30 0.00
REAR ENDED CLAIMANTS
VEHICLE
-----------------------------------------------------------------------------------------------------------------------------------
LEACH DEBORAH 249 87199 2 12/04/1998 Closed ALIAB-BI INSD VEHICLE REAR 8,000.00 8,000.00 0.00
ENDED CLMT VEHICLE
-----------------------------------------------------------------------------------------------------------------------------------
LEACH DEBORAH 249 87199 1 12/04/1998 Closed ALIAB-PD INSD VEHICLE REAR 1,810.21 1,810.21 0.00
ENDED CLMT VEHICLE
-----------------------------------------------------------------------------------------------------------------------------------
KIM HYO 250 64169 2 12/05/1998 Closed ALIAB-PD PLASTIC GRADE RINGS (0.01) 513.78 0.00
BLEW OFF INSUREDS
VEHICLE AND HIT
CLAIMANTS WINDSHIELD
-----------------------------------------------------------------------------------------------------------------------------------
PATEL TAJED 250 64169 1 12/05/1998 Closed ALIAB-PD PLASTIC GRADE RINGS 0.00 712.67 0.00
BLEW OFF INSUREDS
VEHICLE AND HIT
CLAIMANTS WINDSHIELD
-----------------------------------------------------------------------------------------------------------------------------------
ZULAUF TODD 249 87339 1 12/13/1998 Closed ALIAB-PD IV BACKED INTO CV 2,144.91 3,144.91 0.00
THAT WAS PARKED
-----------------------------------------------------------------------------------------------------------------------------------
MOTOR AIR DISPATCH 249 88378 1 12/14/1998 Closed ALIAB-PD INSD VEHICLE REAR 2,221.55 3,221.55 0.00
ENDED CLMT VEHICLE
-----------------------------------------------------------------------------------------------------------------------------------
KEOGH DERMOT 249 88294 1 12/17/1998 Closed ALIAB-PD IV BACKED INTO A 695.74 1,391.48 0.00
PARKED CAR IN A
-----------------------------------------------------------------------------------------------------------------------------------
GROOM PRISCILLA 253 49807 1 12/29/1998 Closed ALIAB-PD SUBRO/PIPE FELL OFF 4,230.66 4,230.66 0.00
IV CAUSING OV TO
SWERVE & HIT ANOTHER
VEHICLE #7445
-----------------------------------------------------------------------------------------------------------------------------------
SNOW JUDY 253 48413 1 12/30/1998 Closed ALIAB-PD IV REAR ENDED CV 1,957.19 2,957.19 0.00
-----------------------------------------------------------------------------------------------------------------------------------
JENKINS WILLIE 249 88408 1 01/04/1999 Closed ALIAB-PD INSD VEHICLE HIT A 0.00 2,414.50 0.00
PARKED CLMT
-----------------------------------------------------------------------------------------------------------------------------------
US FILTER DIST 253 48621 1 01/08/1999 Closed AUTOCOLL IV REAR ENDED BY 0.00 0.00 0.00
OV
-----------------------------------------------------------------------------------------------------------------------------------
UNITED STATES F 250 65303 1 01/15/1999 Closed AUTOCOLL DRIVER IN TRYING 20,142.50 25,352.50 0.00
TO AVOID DOG ON
-----------------------------------------------------------------------------------------------------------------------------------
SCHNEIDER GEORGE 252 77011 2 01/18/1999 Closed ALIAB-PD IV LOST CONTROL ON 40.48 80.96 0.00
ICY ROAD AND
-----------------------------------------------------------------------------------------------------------------------------------
UNITED STATES FILTER 252 77011 1 01/18/1999 Closed AUTOCOLL IV LOST CONTROL ON 6,878.57 7,878.57 0.00
ICY ROAD AND
-----------------------------------------------------------------------------------------------------------------------------------
RYDER TRUCK RENTAL 249 89018 2 01/18/1999 Closed AUTOCOLL CLMT VEHICLE REAR 0.00 0.00 0.00
ENDED INSD VEHICLE
-----------------------------------------------------------------------------------------------------------------------------------
STOUT CHARLIE 249 89018 1 01/18/1999 Closed ALIAB-PD CLMT VEHICLE REAR 0.00 814.94 0.00
ENDED INSD VEHICLE
-----------------------------------------------------------------------------------------------------------------------------------
ELLIOTT SHERRELL 253 48992 2 01/19/1999 Closed ALIAB-BI INSD DRIVER FOOT 0.00 0.00 0.00
SLIPPED OFF BRAKE
& HE ROLLED & TAPPED
REAR BUMPER OF
CLAIMANT
-----------------------------------------------------------------------------------------------------------------------------------
ELLIOTT SHERRELL 253 48992 1 01/19/1999 Closed ALIAB-PD INSD DRIVER FOOT 4,592.05 4,592.05 0.00
SLIPPED OFF BRAKE
& HE ROLLED & TAPPED
REAR BUMPER OF
CLAIMANT
-----------------------------------------------------------------------------------------------------------------------------------
UNITED STATES FILTER 252 77323 2 01/25/1999 Closed AUTOCOLL IV AT STOP SIGN/ 259.88 1,259.88 0.00
PULLED OUT IN
FRONT OF OV
-----------------------------------------------------------------------------------------------------------------------------------
ELWELL SHERRY 252 77323 1 01/25/1999 Closed ALIAB-PD IV AT STOP SIGN/ 4,068.11 4,068.11 0.00
PULLED OUT IN
FRONT OF OV
-----------------------------------------------------------------------------------------------------------------------------------
9/3/02 Page 14 of 38
Auto Liability - AIG - Distribution Group
CASE INCURRED PAID RESERVES
CLAIMANT NAME BRANCH # SYMBOL LOSS DATE STATUS LOSS TYPE ACCIDENT DESC. TOTAL TOTAL TOTAL
------------- ------ ----- ------ ---------- ------ --------- ------------------------------ --------- --------- --------
GREENBERG LARRY 252 77379 1 01/26/1999 Closed ALIAB-PD CLMT ALLEGES ROCK FLEW UP FORM 1,177.21 2,177.21 0.00
U.S. FILTER 250 65708 1 02/02/1999 Closed AUTOCOLL OTHER VEHICLE STRUCK INSURED 155.53 7,445.30 0.00
VEHICLE UNKNOWN ACCIDENT
WATT CARLYN 252 77942 1 02/02/1999 Closed ALIAB-PD IV BACKING UP & OV PASSED 1,059.86 1,059.86 0.00
THROUGH PARKING SPACE AND
VEHICLES COLLIDED
UNITED STATES FILTER 250 66333 1 02/07/1999 Closed AUTOCOLL CLAIMANT SLID INTO 0.00 1,548.33 0.00
INSUREDS VEHICLE
TULLY MICHAEL 250 65965 1 02/09/1999 Closed ALIAB-PD CLAIMANT ALLEGES OBJECT FLEW 0.00 1,529.17 0.00
OFF INSUREDS VEHICLE AND HIT
CLAIMANTS VEHICLE
GOJCAJ SANDY 250 66029 1 02/09/1999 Closed ALIAB-PD ROCK HIT INSUREDS WINDSHIELD 0.00 0.00 0.00
UNITED STATES FILTER 250 65967 1 02/09/1999 Closed AUTOCOMP VANDALISM AND THEFT 0.00 468.29 0.00
BOWER KATHLEEN 253 49789 1 02/24/1999 Closed ALIAB-PD IV CHANGING LANES SIDESWIPED CV 0.00 2,690.72 0.00
SCALFANI SALVATORE 253 49938 1 03/02/1999 Closed ALIAB-PD CLMT ALLEGES IV CAUSED ROCK TO 0.00 0.00 0.00
UNITED STATES FILTER 252 78910 1 03/03/1999 Closed AUTOCOLL IV SLID ON ICE AND HIT GUARD RAIL 1,329.14 2,329.14 0.00
MITCHELL LYNDA 253 49881 1 03/03/1999 Closed ALIAB-BI IV PULLED OUT & STRUCK CV #7445 1,683.75 1,683.75 0.00
MITCHELL LYNDA 253 49881 2 03/03/1999 Closed ALIAB-PD IV PULLED OUT & STRUCK CV #7445 2,018.16 2,018.16 0.00
INSURED 253 49974 1 03/05/1999 Closed AUTOCOLL IV REAR ENDED BY OV #7445 0.00 0.00 0.00
WILSON KATHERINE 250 66647 1 03/05/1999 Closed ALIAB-PD PIPE FELL OFF FLATBED TRUCK AND 1,892.85 2,544.45 0.00
PIERRE SONIA 249 92031 1 03/16/1999 Closed ALIAB-PD THE UPRIGHT ON BED OF IV FELL OFF 0.00 263.91 0.00
KROESCHEN DEBORAH 250 67226 1 03/18/1999 Closed ALIAB-PD INSURED VEHICLE FAILED TO YIELD 0.00 0.00 0.00
ABRAHAM KATHERINE 249 92231 1 03/19/1999 Closed ALIAB-PD INSD VEHICLE REAR ENDED CLMT 0.00 5,390.85 0.00
VEHICLE ASA RESULT OF VEHICLES
PULLING ONTO THE ROAD
RUIZ ALEX 250 67088 2 03/19/1999 Closed ALIAB-BI INSUREDS VEHICLE REAR ENDED 2,840.00 2,840.00 0.00
CLAIMANTS VEHICLE
RUIZ ALEX 250 67088 1 03/19/1999 Closed ALIAB-PD INSUREDS VEHICLE REAR ENDED 1,731.41 2,731.41 0.00
CLAIMANTS VEHICLE
US FILTER 249 92682 1 03/22/1999 Closed AUTOCOMP ROCK HIT WINDSHIELD 0.00 557.89 0.00
US FILTER 249 92822 2 03/26/1999 Closed AUTOCOLL IV IN MEDIAN CV OVER SHOT TURN 0.00 126.47 0.00
INSURED 253 50568 1 03/26/1999 Closed AUTOCOLL IV PARKED VAN AND IT WAS HIT IN 0.00 0.00 0.00
REAR BY COMMON CARRIER TRUCK/
5995
9/3/02 Page 15 OF 38
Auto Liability - AIG Distribution Group
CLAIMANT NAME BRANCH CASE # SYMBOL LOSS DATE STATUS LOSS TYPE ACCIDENT DESC. INCURRED PAID RESERVES
TOTAL TOTAL TOTAL
DSI INC 249 93783 1 03/29/1999 Closed ALIAB-PD INSURED DRIVER 1,546.48 1,546.48 0.00
REAR ENDED CLAIMANT
VEHICLE
BONNER, SONYA 253 50628 1 04/02/1999 Closed ALIAB-PD IV SIDESWIPED VEH 528.07 528.07 0.00
WHEN MERGING INTO
CLMT'S LANE #7445
US FILTER 253 50744 2 04/07/1999 Closed AUTOCOLL OV TRIED TO PASS IV 0.00 3,395.59 0.00
& SIDE SWIPED
PASSAFUME THOMAS J 253 50744 1 04/07/1999 Closed ALIAB-PD OV TRIED TO PASS IV 0.00 0.00 0.00
& SIDE SWIPED
US FILTER 249 93621 1 04/12/1999 Closed AUTOCOLL IV STOPPED AT LIGHT 0.00 859.84 0.00
OV PULLED OUT OF
DRIVEWAY AND STRUCK
IV IN REAR
R&B SYSTEMS INC 253 52657 1 04/16/1999 Closed ALIAB-PD IV BACKING UP WHEN 4,818.69 4,818.69 0.00
PIPE IN TRUCK
JONES BOBBISUE 253 50953 1 04/19/1999 Closed ALIAB-PD IV CHANGING LANES 3,221.57 3,221.57 0.00
& HIT CV #7445
UNITED STATES FILTER 250 68502 1 05/02/1999 Closed AUTOCOLL ITEM FELL OFF 0.00 485.79 0.00
VEHICLE AND STRUCK
STROUD CHRIS 250 68726 1 05/04/1999 Closed ALIAB-PD CLAIMANT ALLEGES 0.00 0.00 0.00
FOREIGN OBJECT THROWN
FROM INSUREDS VEHICLE
CRACKED WINDSHIELD
WETTIG GENE 250 68683 1 05/11/1999 Closed ALIAB-PD FOREIGN OBJECT FELL 445.02 890.04 0.00
FROM INSURED VEHICLE
AND STRUCK CLAIMANTS
VEHICLE
US FILTER 249 94992 1 05/12/1999 Closed AUTOCOLL IV INVOLVED IN CHAIN 0.00 0.00 0.00
COLLISION ACCIDENT
UNITED STATES FILTER 250 69269 2 05/28/1999 Closed AUTOCOLL INSURED VEHICLE AND 15,750.00 17,850.00 0.00
CLAIMANTS VEHICLE
STRUCK IN INTERSECTION
GRUBBS, LAWRENCE 250 69269 1 05/28/1999 Closed ALIAB-PD INSURED VEHICLE AND 3,314.29 3,314.29 0.00
CLAIMAINTS VEHICLE
STRUCK IN INTERSECTION
UNITED STATES FILTER 250 69563 1 06/01/1999 Closed AUTOCOLL OTHER VEHICLE STOPPED 0.00 1,342.32 0.00
SUDDENLY INSURED
STOPPED AND WAS
REARENDED
LUCAS CHRIS 249 121873 1 06/03/1999 Closed ALIAB-BI CLMNT WAS HELPING
UNLOAD AND WAS INJURED 1,848.00 1,848.00 0.00
PJAX 252 91047 1 06/06/1999 Closed ALIAB-PD INSURED MADE QUICK 2,745.66 2,745.66 0.00
STOP OBJECTS FELL OFF
OF VEHICLE STRUCK
CLMNTS VEHICLE
STITES STEPHEN 249 96333 1 06/07/1999 Closed ALIAB-PD IV MADE AN IMPROPER 0.00 1,770.25 0.00
TURN AND CV
US FLEET LEASING 250 69627 1 06/08/1999 Closed AUTOCOMP VANDALISM TO INSUREDS 3,761.36 4,761.36 0.00
VEHICLE
JEWELL TY 250 69461 3 06/08/1999 Closed ALIAB-BI AXLE BROKE OFF INSURED 0.00 0.00 0.00
VEHICLE
9/3/02 Page 16 of 38
Auto Liability - AIG - Distribution Group
------------------------------------------------------------------------------------------------------------------------------------
CLAIMANT NAME BRANCH CASE # SYMBOL LOSS DATE STATUS LOSS TYPE ACCIDENT DESC.
------------------------------------------------------------------------------------------------------------------------------------
AXEL BROKE OFF INSURED
UNITED STATES FILTER 250 69461 2 06/08/1999 Closed AUTOCOLL VEHICLE
------------------------------------------------------------------------------------------------------------------------------------
AXEL BROKE OFF INSURED
JEWELL TY & SABRINA 250 69461 1 06/08/1999 Closed ALIAB-PD VEHICLE
------------------------------------------------------------------------------------------------------------------------------------
UNKNOWN FACTS OF LOSS.
SUBROGATION SENT BY
INSURER OF CLAIMANT
XXXXXXX XXXXXX P 253 52539 1 06/08/1999 Closed ALIAB-PD #7445
------------------------------------------------------------------------------------------------------------------------------------
A ROCK COMING OFF FROM
INSURED'S TRUCK/HIT
XXXXXXXX XXXXXXX 413 3115 1 06/17/1999 Closed ALIAB-PD CLAIMANT'S WINDSHIELD
------------------------------------------------------------------------------------------------------------------------------------
INSURED VEHICLE PULLED
CENTRAL PUMP COMPANY 250 69799 3 06/18/1999 Closed ALIAB-PD DOWN GAS PUMP
------------------------------------------------------------------------------------------------------------------------------------
INSURED VEHICLE PULLED
ROBS MART 250 69799 1 06/18/1999 Closed ALIAB-PD DOWN GAS PUMP
------------------------------------------------------------------------------------------------------------------------------------
IV WAS REAR ENDED BY OV
XXXXX XXXX 253 52341 1 06/19/1999 Closed AUTOCOLL #7445
------------------------------------------------------------------------------------------------------------------------------------
IV HIT A LOW BRANCH
DAMAGE AND CRACKED
RIGHT CORNER OF
US FILTER 249 97405 1 06/22/1999 Closed AUTOCOLL WINDSHIELD
------------------------------------------------------------------------------------------------------------------------------------
INSURED VEHICLE
HYDROPLANED AND STRUCK
UNITED STATES FILTER 250 69978 1 06/24/1999 Closed AUTOCOLL MEDIAN
------------------------------------------------------------------------------------------------------------------------------------
IV TRIED TO STOP AT
STOP SIGN AND TRUCK
SHUT OFF SLIDING
THROUGH STOP SIGN AND
XXXX XXXXXX DAYCARE 249 97153 1 06/24/1999 Closed ALIAB-PD HITTING CV
------------------------------------------------------------------------------------------------------------------------------------
INSURED VEHICLE BACKED
XXXXXX XXXXX 250 69973 1 06/24/1999 Closed ALIAB-PD INTO CLAIMANTS VEHICLE
------------------------------------------------------------------------------------------------------------------------------------
ROCK HIT WINDSHIELD
US FILTER 253 52561 1 06/25/1999 Closed AUTOCOMP #7445
------------------------------------------------------------------------------------------------------------------------------------
IV TURNED RIGHT ON RED
LIGHT AND OV WAS COMING
IN OPPOSITE DIRECTIONS
AND TAIL GATE STRUCK
US FILTER 249 97656 1 07/01/1999 Closed AUTOCOLL IV
------------------------------------------------------------------------------------------------------------------------------------
IV WAITING IN GAS
INSURED 253 53609 1 07/10/1999 Closed AUTOCOLL STATION, WHEN
------------------------------------------------------------------------------------------------------------------------------------
ROCK FLEW UP AND
DAMAGED INSURED
UNITED STATES FILER 250 75548 1 07/14/1999 Closed AUTOCOMP VEHICLES WINDSHIELD
------------------------------------------------------------------------------------------------------------------------------------
IV HIT BRAKES AND PIPE
FELL OFF IV AND DAMAGED
HOOD WINDSHIELD AND
US FILTER 249 98219 1 07/19/1999 Closed AUTOCOMP ROOF
------------------------------------------------------------------------------------------------------------------------------------
IV NORTH HWY 99, VAN
PULLED OFF ROAD BACK
ONTO ROAD IN FRONT OF
IV, IV RE OV THEN
ROLLING LEASING 253 53194 6 07/23/1999 Closed AUTOCOLL SWERVED HITTING BUS
------------------------------------------------------------------------------------------------------------------------------------
IV NORTH HWY 99, VAN
PULLED OFF ROAD BACK
ONTO ROAD IN FRONT OF
IV, IV RE OV THEN
GREYHOUND BUS 253 53194 5 07/23/1999 Closed ALIAB-PD SWERVED HITTING BUS
------------------------------------------------------------------------------------------------------------------------------------
---------------------------------------------------------------------------------------
CLAIMANT NAME INCURRED TOTAL PAID TOTAL RESERVES TOTAL
---------------------------------------------------------------------------------------
UNITED STATES FILTER 3,369.41 4,369.41 0.00
---------------------------------------------------------------------------------------
XXXXXX XX & XXXXXXX 2,631.13 2,631.13 0.00
---------------------------------------------------------------------------------------
XXXXXXX XXXXXX P 721.97 721.97 0.00
---------------------------------------------------------------------------------------
XXXXXXXX XXXXXXX 0.00 0.00 0.00
---------------------------------------------------------------------------------------
CENTRAL PUMP COMPANY 3,075.16 3,075.16 0.00
---------------------------------------------------------------------------------------
ROBS MART 0.00 0.00 0.00
---------------------------------------------------------------------------------------
XXXXX XXXX 0.00 0.00 0.00
---------------------------------------------------------------------------------------
US FILTER 0.00 0.00 0.00
---------------------------------------------------------------------------------------
UNITED STATES FILTER 11,501.32 24,002.64 0.00
---------------------------------------------------------------------------------------
XXXX XXXXXX DAYCARE 4,520.97 4,520.97 0.00
---------------------------------------------------------------------------------------
XXXXXX XXXXX 0.00 1,333.98 0.00
---------------------------------------------------------------------------------------
US FILTER 0.00 50.00 0.00
---------------------------------------------------------------------------------------
US FILTER 0.00 2,229.57 0.00
---------------------------------------------------------------------------------------
INSURED 0.00 1,745.25 0.00
---------------------------------------------------------------------------------------
UNITED STATES FILTER 0.00 155.53 0.00
---------------------------------------------------------------------------------------
US FILTER 0.00 0.00 0.00
---------------------------------------------------------------------------------------
XXXXXXX LEASING 15,694.69 16,694.69 0.00
---------------------------------------------------------------------------------------
GREYHOUND BUS 0.00 0.00 0.00
---------------------------------------------------------------------------------------
9/3/02 Page 17 of 38
Auto Liability - AIG Distribution Group
CLAIMANT NAME BRANCH CASE # SYMBOL LOSS DATE STATUS LOSS TYPE ACCIDENT DESC. INCURRED PAID RESERVES
TOTAL TOTAL TOTAL
XXXXX LABOR CONTRACT
CO 253 53194 4 07/23/1999 Closed ALIAB-XX XX NORTH HWY 99, VAN 0.00 0.00 0.00
PULLED OFF ROAD BACK
ONTO ROAD IN FRONT OF
IV, IV RE OV THEN
SWERVED HITTING BUS
XXXXXXXX XXXXXXX 253 53194 3 07/23/1999 Closed ALIAB-BI IV NORTH HWY 99, VAN 992.00 992.00 0.00
PULLED OFF ROAD BACK
ONTO ROAD IN FRONT OF
IV, IV RE OV THEN
SWERVED HITTING BUS
US FILTER 249 98696 1 07/24/1999 Closed AUTOCOMP MULTIPLE DAMAGE TO VEH 0.00 0.00 0.00
UNITED STATES FILTER 350 71251 3 07/27/1999 Closed AUTOCOLL CLAIMANT RAN STOP SIGN 0.00 0.00 0.00
AND HIT
US FILTER 253 53282 2 07/27/1999 Closed AUTOCOLL IV REAR ENDED CV #7445 2,650.26 3,650.26 0.00
ST XXXX AND MARINE 253 53282 1 07/27/1999 Closed ALIAB-XX XX REAR ENDED CV #7445 1,287.19 1,287.19 0.00
UNITED STATES FILTER 250 71059 1 07/30/1999 Closed AUTOCOLL CLAIMANT BACKING OUT 0.00 1,547.16 0.00
OF SPACE AND HIT
INSURED
UNITED STATES FILTER 429 4174 1 08/03/1999 Closed AUTOCOLL IV REARENDED 0.00 2,276.43 0.00
XXXXXXXXXXX XXXX 5 58618 1 08/05/1999 Closed ALIAB-PD INSD CHANGED LANES 30,013.20 30,013.20 0.00
INTO TPS VEHICLE
THE CITY OF TORONTO 5 58618 2 08/05/1999 Closed ALIAB-PD INSD CHANGED LANES 0.00 0.00 0.00
INTO TPS VEHICLE
US FILTER 249 99583 1 08/13/1999 Closed AUTOCOLL OV REAR ENDED IV 0.00 1,703.32 0.00
XXXXXX XXXXXX FILTER
CORP 249 99697 2 08/17/1999 Closed AUTOCOLL IV WAS LOOKING AT SIGN 832.28 1,832.28 0.00
AND FAILED TO STOP AT
RED LIGHT AND STRUCK XX
XXXXXX WRECKER SERVICE 249 99697 1 08/17/1999 Closed ALIAB-XX XX WAS LOOKING AT SIGN 5,372.76 5,372.76 0.00
AND FAILED TO STOP AT
RED LIGHT AND STRUCK CV
UNITED STATES FILTER 250 71685 1 08/24/1999 Closed AUTOCOMP INSURED VEHICLE STOLEN 14,167.38 18,000.00 0.00
AND FOUND WRECKED INTO
A
UNITED STATES FILTER
CORP 249 100160 1 08/25/1999 Closed AUTO-BI INSD STATED IV STOPPED 0.00 0.00 0.00
AT RED LIGHT AND OV
STRUCK IV FROM BEHIND
AND THEN OV FLED SCENE
XXXXXX XXXX L 253 54267 3 09/07/1999 Closed ALIAB-PD OTHER VEHICLE PULLED 7,985.52 7,985.52 0.00
IN FRONT OF IV CAUSING
IV TO REAR END CV
#7445
US FILTER 253 54267 2 09/07/1999 Closed AUTOCOLL OTHER VEHICLE PULLED 0.00 0.00 0.00
IN FRONT OF IV CAUSING
IV TO REAR END CV
#7445
XX. XXXXXX 253 54267 1 09/07/1999 Closed ALIAB-PD OTHER VEHICLE PULLED 1,697.97 3,169.97 0.00
IN FRONT OF IV CAUSING
IV TO XXXX XXX XX
#0000
XXXXXX XXXXXX FILTER 249 102379 1 09/09/1999 Closed AUTOCOMP ROCK FLEW UP AND HIT IV 0.00 376.42 0.00
XXXXX XXXXX 253 54405 2 09/13/1999 Closed ALIAB-XX XX RAN INTO BACK OF CV 0.00 559.29 0.00
WHEN COMING TO A LIGHT
#7445
9/3/02 Page 18 of 38
Auto Liability - AIG - Distribution Group
------------------------------------------------------------------------------------------------------------------------------------
INCURRED RESERVES
CLAIMANT NAME BRANCH CASE # SYMBOL LOSS DATE STATUS LOSS TYPE ACCIDENT DESC. TOTAL PAID TOTAL TOTAL
------------------------------------------------------------------------------------------------------------------------------------
XXXXX XXXXX 253 54405 1 09/13/1999 Closed ALIAB-BI IV RAN INTO BACK OF 0.00 13,000.00 0.00
CV WHEN COMING TO
A LIGHT #7445
------------------------------------------------------------------------------------------------------------------------------------
XXXXX XXXXX W 253 55474 1 09/14/1999 Closed ALIAB-BI IV FAILED TO YIELD 0.00 0.00 0.00
WHILE MAKING LEFT
TURN & COLLIDED WITH
CLMT MOPED #7445
------------------------------------------------------------------------------------------------------------------------------------
XXXXXX XXXXXX 253 55474 2 09/14/1999 Closed ALIAB-XX XX FAILED TO YIELD 0.00 0.00 0.00
WHILE MAKING LEFT
TURN & COLLIDED WITH
CLMT MOPED #7445
------------------------------------------------------------------------------------------------------------------------------------
NATIONAL CAR 249 101056 1 09/14/1999 Closed AUTOCOLL INSUREDS LEASED 0.00 0.00 0.00
RENTAL VEHICLE WAS HIT BY
A PIECE OF MACHINERY
WHILE PARKED
------------------------------------------------------------------------------------------------------------------------------------
US FILTER 249 101409 1 09/21/1999 Closed AUTOCOMP INSD VCH WINDSHIELD 0.00 191.45 0.00
IS CRACKED
------------------------------------------------------------------------------------------------------------------------------------
XXXXXX XXXXXX 000 00000 1 09/21/1999 Closed AUTOCOLL OTHER VEHICLE MADE 454.27 2,817.09 0.00
FILTER RT TURN IN FRONT OF
INSURED VEHICLE
------------------------------------------------------------------------------------------------------------------------------------
XXXXXX XXXXXXX 253 54700 1 09/23/1999 Closed ALIAB-PD PIPE FELL OFF RACK OF 1,187.35 1,187.35 0.00
I/V, HITTING
------------------------------------------------------------------------------------------------------------------------------------
XXXXXXXXX XXXXX 249 102071 1 10/01/1999 Closed ALIAB-PD CLMT ALLEGES THAT 0.00 301.45 0.00
ROCK FLEW OFF BED OF
IV TRAILER AND
CRACKED CV FRONT
WINDSHIELD
------------------------------------------------------------------------------------------------------------------------------------
UNITED STATES 249 102037 1 10/05/1999 Closed AUTOCOMP DEER RAN ACROSS THE 1,331.72 2,331.72 0.00
FILTER ROAD TRIED TO JUMP
OVER INSUREDS CAR
LANDED ON WINDSHIELD
------------------------------------------------------------------------------------------------------------------------------------
TRANSPORT INTL 249 102293 1 10/11/1999 Closed ALIAB-XX XX DRIVING A FLAT 0.00 0.00 0.00
POOL BED AND BRUSHED
AGAINST A BOX
TRAILER
------------------------------------------------------------------------------------------------------------------------------------
XXXXX XXXXX 249 102541 3 10/14/1999 Closed ALIAB-BI IV ALLEGEDLY HIT 5,000.00 5,000.00 0.00
REAR BUMPER OF
------------------------------------------------------------------------------------------------------------------------------------
US FILTER 249 102541 2 10/14/1999 Closed AUTOCOLL IV ALLEGEDLY HIT 3,806.06 4,806.06 0.00
REAR BUMPER OF
------------------------------------------------------------------------------------------------------------------------------------
XXXXX XXXXX 249 102541 1 10/14/1999 Closed ALIAB-XX XX ALLEGEDLY HIT 828.76 828.76 0.00
REAR BUMPER OF
------------------------------------------------------------------------------------------------------------------------------------
XXXXX XXXXX 250 73601 5 10/15/1999 Closed ALIAB-BI INSURED VEHICLE 9,000.00 9,000.00 0.00
REARENDED CLAIMANTS
VEHICLE
------------------------------------------------------------------------------------------------------------------------------------
XXXXXX XXXXXX 250 73601 4 10/15/1999 Closed ALIAB-PD INSURED VEHICLE 3,784.00 3,784.00 0.00
REARENDED CLAIMANTS
VEHICLE
------------------------------------------------------------------------------------------------------------------------------------
XXXXXX XXXXXX 000 00000 2 10/15/1999 Closed AUTOCOLL INSURED VEHICLE 0.00 0.00 0.00
FILTER REARENDED CLAIMANTS
VEHICLE
------------------------------------------------------------------------------------------------------------------------------------
XXXXXXX XXXXXXX 250 73601 1 10/15/1999 Closed ALIAB-PD INSURED VEHICLE 5,115.62 5,115.62 0.00
REARENDED CLAIMANTS
VEHICLE
------------------------------------------------------------------------------------------------------------------------------------
US FILTER 253 55263 1 10/21/1999 Closed AUTOCOLL IV RE BY CV #7445 0.00 0.00 0.00
------------------------------------------------------------------------------------------------------------------------------------
XXXXXX XXXXXX 000 00000 1 10/22/1999 Closed AUTOCOMP INSURED VEHICLE 322.59 1,322.59 0.00
FILTER STRUCK A DEER
------------------------------------------------------------------------------------------------------------------------------------
XXXXXX XXXXXX 250 74168 1 11/01/1999 Closed ALIAB-PD INSURED VEHICLE 1,509.28 1,509.28 0.00
ROLLED BACK INTO
CLAIMANTS VEHICLE
------------------------------------------------------------------------------------------------------------------------------------
US FILTER 253 55654 1 11/05/1999 Closed AUTOCOLL OV BACKED INTO IV 115.93 1,115.93 0.00
#7445
------------------------------------------------------------------------------------------------------------------------------------
9/3/02 Page 19 of 38
Auto Liability - AIG - Distribution Group
---------------------------------------------------------------------------------------------------------------------------------
CLAIMANT NAME BRANCH CASE # SYMBOL LOSS DATE STATUS LOSS TYPE ACCIDENT DESC.
---------------------------------------------------------------------------------------------------------------------------------
INSD STRUCK GUIDE WIRE PULLING
IT DOWN AND POLE FELL ON A
NORTHSTATE TELEPHONE CO 249 103807 5 11/09/1999 Closed ALIAB-PD PROPERTY
---------------------------------------------------------------------------------------------------------------------------------
INSD STRUCK GUIDE WIRE PULLING
IT DOWN AND POLE FELL ON A
DUKE POWER CO 249 103807 4 11/09/1999 Closed ALIAB-PD PROPERTY
---------------------------------------------------------------------------------------------------------------------------------
INSD STRUCK GUIDE WIRE PULLING
IT DOWN AND POLE FELL ON A
XXXXXXX FURNITURE 249 103807 3 11/09/1999 Closed ALIAB-PD PROPERTY
---------------------------------------------------------------------------------------------------------------------------------
INSD STRUCK GUIDE WIRE PULLING
IT DOWN AND POLE FELL ON A
GUILFORD FABRICATORS 249 103807 2 11/09/1999 Closed ALIAB-PD PROPERTY
---------------------------------------------------------------------------------------------------------------------------------
INSD STRUCK GUIDE WIRE PULLING
IT DOWN AND POLE FELL ON A
XXXXXXXXXX XXXXXX 249 103807 1 11/09/1999 Closed ALIAB-PD PROPERTY
---------------------------------------------------------------------------------------------------------------------------------
DEER JUMPED OUT IN FRONT OF IV
UNITED STATES FILER CORP 252 88335 1 11/23/1999 Closed AUTOCOMP
---------------------------------------------------------------------------------------------------------------------------------
CLAIMANT
STOPPED/STARTED/STOPPED,
CONTRIBUTING TO INSURED REAR-
UNITED STATES FILTER 250 75473 2 11/29/1999 Closed AUTOCOLL ENDING CLAIMANT
---------------------------------------------------------------------------------------------------------------------------------
CLAIMANT
STOPPED/STARTED/STOPPED,
CONTRIBUTING TO INSURED REAR-
XXXXXXX XXXXX R 250 75473 1 11/29/1999 Closed ALIAB-PD ENDING CLAIMANT
---------------------------------------------------------------------------------------------------------------------------------
INSURED LOST CONTROL ON ICY
XXXXX MOTOR SALES-LIGHT POLE 252 88512 3 11/30/1999 Closed ALIAB-PD PATCH STRUCK POLE
---------------------------------------------------------------------------------------------------------------------------------
INSURED LOST CONTROL ON ICY
XXXX XXXXX MOTOR SALES-CAR 252 88512 2 11/30/1999 Closed ALIAB-PD PATCH STRUCK POLE
---------------------------------------------------------------------------------------------------------------------------------
INSURED LOST CONTROL ON ICY
UNITED STATES FILTER 252 88512 1 11/30/1999 Closed AUTOCOLL PATCH STRUCK POLE
---------------------------------------------------------------------------------------------------------------------------------
INSURED VEHICLE STRUCK
UNITED STATES F 250 76078 2 12/01/1999 Closed AUTOCOLL CLAIMANTS VEHICLE
---------------------------------------------------------------------------------------------------------------------------------
INSURED VEHICLE STRUCK
XXXXXXXXX XXXXX 250 76078 1 12/01/1999 Closed ALIAB-PD CLAIMANTS VEHICLE
---------------------------------------------------------------------------------------------------------------------------------
INSD VEHICLE STARTED MAKING A
LEFT TURN AND CLMT VEHICLE
UNITED STATES FILTER 249 104757 2 12/03/1999 Closed AUTOCOLL COLLIDED WITH INSDS FRONT END
---------------------------------------------------------------------------------------------------------------------------------
INSD VEHICLE STARTED MAKING A
LEFT TURN AND CLMT VEHICLE
XXXXX XXXXXX 249 104757 1 12/03/1999 Closed ALIAB-PD COLLIDED WITH INSDS FRONT END
---------------------------------------------------------------------------------------------------------------------------------
INSURED AND CLMT IN AUTO
GOLD XXXXX 252 106750 1 12/05/1999 Closed ALIAB-PD ACCIDENT
---------------------------------------------------------------------------------------------------------------------------------
-------------------------------------------------------------------------------
CLAIMANT NAME INCURRED TOTAL PAID TOTAL RESERVES TOTAL
-------------------------------------------------------------------------------
NORTHSTATE TELEPHONE CO 0.00 1,254.44 0.00
-------------------------------------------------------------------------------
DUKE POWER CO 0.00 3,161.43 0.00
-------------------------------------------------------------------------------
XXXXXXX FURNITURE 0.00 8,758.90 0.00
-------------------------------------------------------------------------------
GUILFORD FABRICATORS 0.00 0.00 0.00
-------------------------------------------------------------------------------
XXXXXXXXXX XXXXXX 0.00 1,117.52 0.00
-------------------------------------------------------------------------------
UNITED STATES FILTER CORP 3,722.17 4,722.17 0.00
-------------------------------------------------------------------------------
UNITED STATES FILTER 3,274.38 4,274.38 0.00
-------------------------------------------------------------------------------
XXXXXXX XXXXX R 956.67 956.67 0.00
-------------------------------------------------------------------------------
XXXXX MOTOR SALES-LIGHT POLE 1,627.50 1,627.50 0.00
-------------------------------------------------------------------------------
XXXX XXXXX MOTOR SALES-CAR 1,154.72 1,154.72 0.00
-------------------------------------------------------------------------------
UNITED STATES FILTER 1,954.84 2,954.84 0.00
-------------------------------------------------------------------------------
UNITED STATES F 311.08 1,311.08 0.00
-------------------------------------------------------------------------------
XXXXXXXXX XXXXX 0.00 0.00 0.00
-------------------------------------------------------------------------------
UNITED STATES FILTER 2,581.26 3,581.26 0.00
-------------------------------------------------------------------------------
XXXXX XXXXXX 3,497.48 3,497.48 0.00
-------------------------------------------------------------------------------
GOLD XXXXX 2,000.00 2,000.00 0.00
-------------------------------------------------------------------------------
9/3/02 PAGE 20 OF 38
Auto Liability - AIG Distribution Group
------------------------------------------------------------------------------------------------------------------------------------
CLAIMANT NAME BRANCH CASE # SYMBOL LOSS DATE STATUS LOSS TYPE ACCIDENT DESC. INCURRED PAID RESERVES
TOTAL TOTAL TOTAL
------------------------------------------------------------------------------------------------------------------------------------
US FILTER 249 104928 1 12/09/1999 Closed AUTOCOLL CLAIMANT ATTEMPTED TO 0.00 0.00 0.00
MAKE A LANE CHANGE
AND STRUCK INSURED
TRAILER
------------------------------------------------------------------------------------------------------------------------------------
US FILTER 249 105094 2 12/14/1999 Closed AUTOCOLL IV WAS STOPPED AND 0.00 0.00 0.00
CV REAR ENDED IV
------------------------------------------------------------------------------------------------------------------------------------
UNK UNK 249 105094 1 12/14/1999 Closed ALAIB-XX XX WAS STOPPED AND 0.00 0.00 0.00
CV REAR ENDED IV
------------------------------------------------------------------------------------------------------------------------------------
XXXXX XXXXX 250 76233 1 12/15/1999 Closed ALIAB-PD INSURED VEHICLE STRUCK 500.00 500.00 0.00
CLAIMANTS VEHICLE
------------------------------------------------------------------------------------------------------------------------------------
US FILTER 253 56642 2 12/17/1999 Closed AUTOCOLL IV PASSING CV COLLIDED
WITH CV 932.76 1,923.76 0.00
------------------------------------------------------------------------------------------------------------------------------------
XXXXXXX TRUCKING 253 56642 1 12/17/1999 Closed ALIAB-XX XX PASSING CV COLLIDED 0.00 0.00 0.00
WITH CV
------------------------------------------------------------------------------------------------------------------------------------
XXXXXX XXX 253 56559 1 12/29/1999 Closed ALIAB-XX XX STRUCK OV IN REAR 2,149.10 2,149.10 0.00
#7445
------------------------------------------------------------------------------------------------------------------------------------
XXXXXXX XXXXXX 250 76839 5 12/29/1999 Closed ALIAB-BI INSURED HIT OTHER 6,500.00 6,500.00 0.00
VEHICLE IN REAR
------------------------------------------------------------------------------------------------------------------------------------
UNITED STATES FILTER 250 76839 4 12/29/1999 Closed AUTOCOLL INSURED HIT OTHER 0.00 683.98 0.00
VEHICLE IN REAR
------------------------------------------------------------------------------------------------------------------------------------
XXXXXX XXXXXXXX 250 76839 3 12/29/1999 Closed ALIAB-BI INSURED HIT OTHER 4,000.00 4,000.00 0.00
VEHICLE IN REAR
------------------------------------------------------------------------------------------------------------------------------------
XXXXXX XXXXXXXXX 250 76839 2 12/29/1999 Closed ALIAB-BI INSURED HIT OTHER 9,000.00 9,000.00 0.00
VEHICLE IN REAR
------------------------------------------------------------------------------------------------------------------------------------
XXXXXX XXXX 250 76839 1 12/29/1999 Closed ALIAB-PD INSURED HIT OTHER 6,973.74 7,000.00 0.00
VEHICLE IN REAR
------------------------------------------------------------------------------------------------------------------------------------
UNITED STATES FILTER 250 76928 1 01/03/2000 Closed AUTOCOLL INSURED VEHICLE 2,390.12 3,390.12 0.00
WENT INTO DITCH
------------------------------------------------------------------------------------------------------------------------------------
XXXXXX XXX 413 3446 1 01/16/2000 Closed ALIAB-PD INSURED'S VEHICLE 4,392.17 4,392.17 0.00
TURNING INTO CENTER
LANE CAUSING THE
ACCIDENT.
------------------------------------------------------------------------------------------------------------------------------------
XXXXXX XXXXXXXX 413 3446 5 01/16/2000 Closed ALIAB-BI INSURED'S VEHICLE 1,000.00 1,000.00 0.00
(MINOR) TURNING INTO CENTER
LANE CAUSING THE
ACCIDENT.
------------------------------------------------------------------------------------------------------------------------------------
UNITED STATES FILTER 413 3446 4 01/16/2000 Closed AUTOCOLL INSURED'S VEHICLE 915.16 1,915.16 0.00
TURNING INTO CENTER
LANE CAUSING THE
ACCIDENT.
------------------------------------------------------------------------------------------------------------------------------------
XXXXXXX XXXXX M 413 3446 3 01/16/2000 Closed ALIAB-PD INSURED'S VEHICLE 938.08 938.08 0.00
TURNING INTO CENTER
LANE CAUSING THE
ACCIDENT.
------------------------------------------------------------------------------------------------------------------------------------
XXXXXX XXX 413 3446 2 01/16/2000 Closed ALIAB-BI INSURED'S VEHICLE 19,397.20 19,397.20 0.00
TURNING INTO CENTER
LANE CAUSING THE
ACCIDENT.
------------------------------------------------------------------------------------------------------------------------------------
XXXXXX XXXXXXX 413 3446 6 01/16/2000 Closed ALIAB-BI INSURED'S VEHICLE 4,000.00 4,000.00 0.00
(MINOR) TURNING INTO CENTER
LANE CAUSING THE
ACCIDENT.
------------------------------------------------------------------------------------------------------------------------------------
9/3/02 Page 21 of 38
Auto Liability - AIG - Distribution Group
------------------------------------------------------------------------------------------------------------------------------------
CLAIMANT NAME BRANCH CASE # SYMBOL LOSS DATE STATUS LOSS TYPE ACCIDENT DESC.
------------------------------------------------------------------------------------------------------------------------------------
INSURED ATTEMPTING TO MAKE
TURN WHEN INSURED AND CLMT
UNITED STATES FILTER 252 90760 3 01/17/2000 Closed AUTOCOLL COLLIDED
------------------------------------------------------------------------------------------------------------------------------------
INSURED ATTEMPTING TO MAKE
TURN WHEN INSURED AND CLMT
XXXXXX XXXXX 252 90760 2 01/17/2000 Closed ALIAB-PD COLLIDED
------------------------------------------------------------------------------------------------------------------------------------
INSURED ATTEMPTING TO MAKE
TURN WHEN INSURED AND CLMT
XXXXXX XXXXX 252 90760 1 01/17/2000 Closed ALIAB-BI COLLIDED
------------------------------------------------------------------------------------------------------------------------------------
IV PARKED WHEN TAILGATE WAS
US FILTER 253 57220 1 01/18/2000 Closed AUTOCOMP STOLEN
------------------------------------------------------------------------------------------------------------------------------------
INSURED MAKING TURN AND WAS
XXXXX XXXXXXX 250 78013 3 01/26/2000 Closed ALIAB-PD HIT
------------------------------------------------------------------------------------------------------------------------------------
INSURED MAKING TURN AND WAS
XXXXX XXXXXXX 250 78013 2 01/26/2000 Closed ALIAB-BI HIT
------------------------------------------------------------------------------------------------------------------------------------
INSURED MAKING TURN AND WAS
UNITED STATES FILTER 250 78013 1 01/26/2000 Closed AUTOCOLL HIT
------------------------------------------------------------------------------------------------------------------------------------
INSD VEHICLES WINDSHIELD
UNITED STATES FILTER 249 106795 1 01/28/2000 Closed AUTOCOMP CRACKED DUE TO COLD WEATHER
------------------------------------------------------------------------------------------------------------------------------------
INSD TRYING TO TURN INTO
DRIVEWAY AND HAD TO BACK UP
XXXX XXXX 249 107023 1 02/04/2000 Closed ALIAB-PD AND STRUCK CV BEHIND HIM
------------------------------------------------------------------------------------------------------------------------------------
ROCK FLEW OFF IV AND STRUCK
XXXXXXX XXXXXX 253 57646 1 02/07/2000 Closed ALIAB-PD WINDSHIELD OF OV #
------------------------------------------------------------------------------------------------------------------------------------
IV BLEW TIRE & DROVE ON
INSURED 253 59435 1 02/08/2000 Closed AUTOCOLL FLAT BOTTOM #7445
------------------------------------------------------------------------------------------------------------------------------------
INSD BACKED INTO CLMTS
XXXXX TEASSA 249 108942 1 02/21/2000 Closed ALIAB-PD PARKED CAR
------------------------------------------------------------------------------------------------------------------------------------
DUE TO SLIPPERY ROADS IV
LOST CONTROL AND CRASHED
INTO A TREE TOTALLING THE
XXXX ATLANTIC 252 92846 2 02/24/2000 Closed ALIAB-XX XX
------------------------------------------------------------------------------------------------------------------------------------
DUE TO SLIPPERY ROADS IV
LOST CONTROL AND CRASHED
INTO A TREE TOTALLING THE
UNITED STATES FILTER 252 92846 1 02/24/2000 Closed AUTOCOLL IV
------------------------------------------------------------------------------------------------------------------------------------
FOREIGN OBJECT WAS TROWN TO
US FILTER 249 108514 1 02/24/2000 Closed AUTOCOMP REAR DOOR OF INSD VEHICLE
------------------------------------------------------------------------------------------------------------------------------------
OV IN FRONT OF IV SPUN OUT
US FILTER 253 58092 2 02/27/2000 Closed AUTOCOLL OF CONTRL STRIKING IV
------------------------------------------------------------------------------------------------------------------------------------
OV IN FRONT OF IV SPUN OUT
XXXXX XXX 253 58092 1 02/27/2000 Closed ALIAB-PD OF CONTRL STRIKING IV
------------------------------------------------------------------------------------------------------------------------------------
XXXXXXX XXXXXXX 252 93289 3 03/01/2000 Closed ALIAB-BI INSURED BACKED INTO CLMT
------------------------------------------------------------------------------------------------------------------------------------
XXXXXXX XXXXXXX 252 93289 2 03/01/2000 Closed ALIAB-BI INSURED BACKED INTO CLMT
------------------------------------------------------------------------------------------------------------------------------------
XXXXXXX XXXXXXX 252 93289 1 03/01/2000 Closed ALIAB-PD INSURED BACKED INTO CLMT
------------------------------------------------------------------------------------------------------------------------------------
IV STRUCK ROCK IN THE ROAD,
XXXXXX XXXX 253 58257 1 03/03/2000 Closed ALIAB-PD FLEW
------------------------------------------------------------------------------------------------------------------------------------
---------------------------------------------------------------------------------------
CLAIMANT NAME INCURRED TOTAL PAID TOTAL RESERVES TOTAL
---------------------------------------------------------------------------------------
UNITED STATES FILTER 4,283.45 5,283.45 0.00
---------------------------------------------------------------------------------------
XXXXXX XXXXX 4,843.71 4,843.71 0.00
---------------------------------------------------------------------------------------
XXXXXX XXXXX 7,053.97 7,053.97 0.00
---------------------------------------------------------------------------------------
US FILTER 0.00 0.00 0.00
---------------------------------------------------------------------------------------
XXXXX XXXXXXX 0.00 3,787.08 0.00
---------------------------------------------------------------------------------------
XXXXX XXXXXXX 0.00 0.00 0.00
---------------------------------------------------------------------------------------
UNITED STATES FILTER 0.00 0.00 0.00
---------------------------------------------------------------------------------------
UNITED STATES FILTER 0.00 308.00 0.00
---------------------------------------------------------------------------------------
XXXX XXXX 0.00 3,469.84 0.00
---------------------------------------------------------------------------------------
XXXXXXX XXXXXX 0.00 0.00 0.00
---------------------------------------------------------------------------------------
INSURED 0.00 0.00 0.00
---------------------------------------------------------------------------------------
XXXXX TEASSA 347.98 347.98 0.00
---------------------------------------------------------------------------------------
XXXX ATLANTIC 3,977.45 3,977.45 0.00
---------------------------------------------------------------------------------------
UNITED STATES FILTER 4,960.00 7,600.00 0.00
---------------------------------------------------------------------------------------
US FILTER 0.00 817,40 0.00
---------------------------------------------------------------------------------------
US FILTER 2,394.19 3,394.19 0.00
---------------------------------------------------------------------------------------
XXXXX XXX 0.00 0.00 0.00
---------------------------------------------------------------------------------------
XXXXXXX XXXXXXX 0.00 0.00 0.00
---------------------------------------------------------------------------------------
XXXXXXX XXXXXXX 0.00 0.00 0.00
---------------------------------------------------------------------------------------
XXXXXXX XXXXXXX 2,429.78 2,429.78 0.00
---------------------------------------------------------------------------------------
XXXXXX XXXX 0.00 0.00 0.00
---------------------------------------------------------------------------------------
9/3/02 Page 22 of 38
Auto Liability - AIG - Distribution Group
------------------------------------------------------------------------------------------------------------------------------------
CLAIMANT NAME BRANCH CASE # SYMBOL LOSS DATE STATUS LOSS TYPE ACCIDENT DESC.
------------------------------------------------------------------------------------------------------------------------------------
CLMT VEHICLE PULLED OUT
OF PARKING LOT AND
STRUCK INSD VEHICLE AND
INSD WAS REAR ENDED BY
UNITED STATES FILTER 249 108005 1 03/07/2000 Closed AUTOCOLL BY ANOTHER VE
------------------------------------------------------------------------------------------------------------------------------------
INSURED VEHICLE LOST
CONTROL AND STRUCK
UNITED STATES FILTER 250 90846 2 03/11/2000 Closed AUTOCOLL OTHER VEHICLE
------------------------------------------------------------------------------------------------------------------------------------
INSURED VEHICLE LOST
CONTROL AND STRUCK
XXXXXX XXXXX 250 90846 1 03/11/2000 Closed ALIAB-PD OTHER VEHICLE
------------------------------------------------------------------------------------------------------------------------------------
INSURED VEHICLE LOST
CONTROL AND STRUCK
XXXXX XXXXXXX 250 90846 3 03/11/2000 Closed ALIAB-BI OTHER VEHICLE
------------------------------------------------------------------------------------------------------------------------------------
OV SWERVED AND STRUCK
ROAD TRANSPORT 253 58637 2 03/14/2000 Closed ALIAB-XX XX / 5995
------------------------------------------------------------------------------------------------------------------------------------
OV SWERVED AND STRUCK
US FILTER 253 58637 1 03/14/2000 Closed AUTOCOLL IV / 5995
------------------------------------------------------------------------------------------------------------------------------------
WHILE IV PARKED UNKNOWN
OV STRUCK TAIL GATE
US FILTER 253 59465 1 03/15/2000 Closed AUTOCOLL #7445
------------------------------------------------------------------------------------------------------------------------------------
INSD VEHICLE AND CLMT
VEHICLE TRAVELING
OPPOSITE DIRECTIONS AND
US FILTER 249 108414 2 03/19/2000 Closed AUTOCOLL THE VEHICLES COLLIDED
------------------------------------------------------------------------------------------------------------------------------------
INSD VEHICLE AND CLMT
VEHICLE TRAVELING
OPPOSITE DIRECTIONS AND
ANTANUZ XXXX 249 108414 1 03/19/2000 Closed ALIAB-PD THE VEHICLES COLLIDED
------------------------------------------------------------------------------------------------------------------------------------
HAIL DAMAGED TO INSURED
UNITED STATES FILTER 250 81157 1 03/26/2000 Closed AUTOCOMP VEHICLE
------------------------------------------------------------------------------------------------------------------------------------
INSURED VEHICLE BACKED
UNITED STATES FILTER 250 80873 2 03/28/2000 Closed AUTOCOLL INTO CLAIMANTS VEHICLE
------------------------------------------------------------------------------------------------------------------------------------
INSURED VEHICLE BACKED
XXXXXX XXXX 250 80873 1 03/28/2000 Closed ALIAB-PD INTO CLAIMANTS VEHICLE
------------------------------------------------------------------------------------------------------------------------------------
US FILTER 249 108819 2 03/29/2000 Closed AUTOCOLL IV REARENDED CV
------------------------------------------------------------------------------------------------------------------------------------
XXXX XXXXXX 249 108819 1 03/29/2000 Closed ALIAB-XX XX REARENDED CV
------------------------------------------------------------------------------------------------------------------------------------
CLMT ALLEGES DEBRIS
BLEW OFF INSUREDS
VEHICLES STRUCK CLMTS
XXXXX XXXXXX 252 94738 1 04/06/2000 Closed ALIAB-PD VEHICLE
------------------------------------------------------------------------------------------------------------------------------------
INSURED VEHILCE BACKING
UP WHILE CLAIMANT WAS
PULLING OUT OF PARKING
helsman mmngmt svcs 250 81395 1 04/11/2000 Closed ALIAB-PD SPACE THEY COLLIDED
------------------------------------------------------------------------------------------------------------------------------------
I/V DRIVER LOST CONTROL
OF I/V AND RAN IT OFF
THE ROAD STRIKING
CITY OF JACKONSVILLE 249 109196 3 04/12/2000 Closed ALIAB-PD PIPELINE AND GUIDERAIL
------------------------------------------------------------------------------------------------------------------------------------
---------------------------------------------------------------------------------------
CLAIMANT NAME INCURRED TOTAL PAID TOTAL RESERVES TOTAL
---------------------------------------------------------------------------------------
UNITED STATES FILTER 0.00 446.21 0.00
---------------------------------------------------------------------------------------
UNITED STATES FILTER 21,000.00 22,000.00 0.00
---------------------------------------------------------------------------------------
XXXXXX XXXXX 17,572.25 17,572.25 0.00
---------------------------------------------------------------------------------------
XXXXX XXXXXXX 3,900.00 3,900.00 0.00
---------------------------------------------------------------------------------------
ROAD TRANSPORT 4,243.20 4,243.20 0.00
---------------------------------------------------------------------------------------
US FILTER 520.00 520.00 0.00
---------------------------------------------------------------------------------------
US FILTER 0.00 0.00 0.00
---------------------------------------------------------------------------------------
US FILTER 0.00 1,320.11 0.00
---------------------------------------------------------------------------------------
ANTANUZ XXXX 0.00 0.00 0.00
---------------------------------------------------------------------------------------
UNITED STATES FILER 2,011.34 3,011.34 0.00
---------------------------------------------------------------------------------------
UNITED STATES FILER 0.00 0.00 0.00
---------------------------------------------------------------------------------------
XXXXXX XXXX 0.00 3,734.08 0.00
---------------------------------------------------------------------------------------
US FILTER 0.00 661.70 0.00
---------------------------------------------------------------------------------------
XXXX XXXXXX 864.30 864.30 0.00
---------------------------------------------------------------------------------------
XXXXX XXXXXX 0.00 0.00 0.00
---------------------------------------------------------------------------------------
helsman mmngmt svcs 0.00 2,483.23 0.00
---------------------------------------------------------------------------------------
CITY OF JACKONSVILLE 0.00 0.00 0.00
---------------------------------------------------------------------------------------
9/3/02 Page 23 of 38
Auto Liability - AIG - Distribution Group
INCURRED PAID RESERVES
CLAIMANT NAME BRANCH CASE # SYMBOL LOSS DATE STATUS LOSS TYPE ACCIDENT DESC. TOTAL TOTAL TOTAL
-----------------------------------------------------------------------------------------------------------------------------------
COLUMBIA PROPANE 249 109196 2 04/12/2000 Closed ALIAB-PD I/V DRIVER LOST CONTROL 0.00 0.00 0.00
OF I/V AND RAN IT OFF
THE ROAD STRIKING
PIPELINE AND GUIDERAIL
-----------------------------------------------------------------------------------------------------------------------------------
US FILTER 249 109196 1 04/12/2000 Closed AUTOCOLL I/V DRIVER LOST CONTROL 19,242.23 20,242.23 0.00
OF I/V AND RAN IT OFF
THE ROAD STRIKING
PIPELINE AND GUIDERAIL
-----------------------------------------------------------------------------------------------------------------------------------
XXXXXXX XXXXXXX 250 81492 1 04/12/2000 Closed ALIAB-PD CLAIMANT ALLEGES GRAVEL 0.00 0.00 0.00
FELL FROM INSURED'S
TRUCK & DAMAGED HIS
WINDSHIELD
-----------------------------------------------------------------------------------------------------------------------------------
US FILTER 253 59460 2 04/25/2000 Closed AUTOCOLL IV RAN OVER RUBBER & 0.00 0.00 0.00
STRUCK IV
-----------------------------------------------------------------------------------------------------------------------------------
UNITED STATES FILTER
CORP 250 82044 1 04/26/2000 Closed AUTOCOLL TRAFFIC MERGING IN STOP 1,489.29 2,489.29 0.00
AND GO TRAFFIC AND OTHER
VEHICLE REAR ENDED
INSURED VEHICLE
-----------------------------------------------------------------------------------------------------------------------------------
BUEFNER XXXXXXX 252 95796 1 04/28/2000 Closed ALIAB-PD INSURED IN LEFT LANE CLMT 0.00 0.00 0.00
IN RIGHT LANE WHEN
INSURED AND CLMT COLLIDED
-----------------------------------------------------------------------------------------------------------------------------------
XXXXXXX XXXX 253 59502 6 05/01/2000 Closed ALIAB-BI IV FAILED TO CONTROL IV 0.00 87.84 0.00
AND VEARD XXX XXXX XXX
XXX XX #0000
-----------------------------------------------------------------------------------------------------------------------------------
ARIZONA DOT 253 59502 5 05/01/2000 Closed ALIAB-XX XX FAILED TO CONTROL IV 0.00 8,653.75 0.00
AND VEARD XXX XXXX XXX
XXX XX #0000
-----------------------------------------------------------------------------------------------------------------------------------
US FILTER 253 59502 4 05/01/2000 Closed AUTOCOLL IV FAILED TO CONTROL 5,070.00 8,044.00 0.00
IV AND VEARD XXX XXXX
XXX XXX XX #0000
-----------------------------------------------------------------------------------------------------------------------------------
US FILTER 253 59502 3 05/01/2000 Closed AUTOCOLL IV FAILED TO CONTROL 10,850.34 12,317.00 0.00
IV AND VEARD XXX XXXX
XXX XXX XX #0000
-----------------------------------------------------------------------------------------------------------------------------------
COMMUNICORE CORPORATION 253 59502 2 05/01/2000 Closed ALIAB-XX XX FAILED TO CONTROL IV 0.00 11,906.24 0.00
AND VEARED XXX XXXX XXX
XXX XX #0000
-----------------------------------------------------------------------------------------------------------------------------------
XXXXXX XXXXXXXX 253 59502 1 05/01/2000 Closed ALIAB-BI IV FAILED TO CONTROL IV 0.00 1,010.01 0.00
AND VEARED XXX XXXX XXX
XXX XX #0000
-----------------------------------------------------------------------------------------------------------------------------------
XXXXXXXXXX XXXXXX 250 82295 1 05/03/2000 Closed ALIAB-PD INSURED VEHICLE REAR- 347.34 347.34 0.00
ENDED CLAIMANTS VEHICLE
-----------------------------------------------------------------------------------------------------------------------------------
XXXXXX XXXX 253 59638 1 05/05/2000 Closed ALIAB-XX XX MAKING U-TURN WHEN 849.62 849.62 0.00
IV WAS REAR ENDED BY
OV #7445
-----------------------------------------------------------------------------------------------------------------------------------
XXXXXXX XXXX 253 59832 3 05/05/2000 Closed ALIAB-PD CONTRACTED TEMP INSD 0.00 1,130.96 0.00
DROVE OVER MEDIAN
DIVIDER & DIESEL FUEL
WAS RELEASED #7445
-----------------------------------------------------------------------------------------------------------------------------------
9/3/02 Page 24 of 38
Auto Liability - AIG - Distribution Group
------------------------------------------------------------------------------------------------------------------------------------
INCURRED PAID RESERVES
CLAIMANT NAME BRANCH CASE # SYMBOL LOSS DATE STATUS LOSS TYPE ACCIDENT DESC. TOTAL TOTAL TOTAL
------------------------------------------------------------------------------------------------------------------------------------
CONTRACTED TEMP /INSD DROVE
OVER MEDIAN DIVIDER & DEISEL FUEL
US WEST COMMUNICATIONS 253 59832 2 05/05/2000 Closed ALIAB-PD WAS RELEASED #7445 0.00 0.00 0.00
------------------------------------------------------------------------------------------------------------------------------------
CONTRACTED TEMP /INSD DROVE
OVER MEDIAN DIVIDER & DEISEL FUEL
CITY OF TEMPE 253 59832 1 05/05/2000 Closed ALIAB-PD WAS RELEASED #7445 4,292.50 9,250.45 0.00
------------------------------------------------------------------------------------------------------------------------------------
CONTRACTED TEMP /INSD DROVE
OVER MEDIAN DIVIDER & DEISEL FUEL
US FILTER 253 59832 4 05/05/2000 Closed AUTOCOLL WAS RELEASED #7445 0.00 566.50 0.00
------------------------------------------------------------------------------------------------------------------------------------
CONTRACTED TEMP FOR INSD
DROVE OVER MEDIAN DIVIDER &
CITY OF TEMPE 253 59732 1 05/05/2000 Closed ALIAB-PD DEISEL FUEL WAS RELEASED #7445 0.00 0.00 0.00
------------------------------------------------------------------------------------------------------------------------------------
CLAIMANT ALLEGES INSURED
VEHICLE BRUSHED AGAINST
XXXXXXXX XXX 250 83574 1 05/17/2000 Closed ALIAB-PD 0.00 1,300.61 0.00
------------------------------------------------------------------------------------------------------------------------------------
IV WAS TRAVELING ON ROAD AND CV
XXXXXXXXX XXXX 249 110338 1 05/17/2000 Closed ALIAB-PD 0.00 0.00 0.00
------------------------------------------------------------------------------------------------------------------------------------
UNITED STATES FILTER 249 110525 1 05/17/2000 Closed AUTOCOMP ROCK STRUCK WINDSHIELD 0.00 377.89 0.00
------------------------------------------------------------------------------------------------------------------------------------
US FILTER 249 110672 1 05/18/2000 Closed AUTOCOMP SIDE WINDOW ON IV BLEW OUT 0.00 474.67 0.00
------------------------------------------------------------------------------------------------------------------------------------
UNITED STATES FILTER 252 97912 1 06/19/2000 Closed AUTOCOLL INSURED WAS HIT WHILE PARKED 442.86 1,442.86 0.00
------------------------------------------------------------------------------------------------------------------------------------
SOMETHING FLEWS UP AND STRUCK
US FILTER 249 111427 1 06/20/2000 Closed AUTOCOMP FRONT WINDSHIELD 0.00 52.50 0.00
------------------------------------------------------------------------------------------------------------------------------------
US FILTER 249 111716 2 06/29/2000 Closed AUTOCOLL IV RAN A RED LIGHT AND STRUCK CV 2,718.32 3,718.32 0.00
------------------------------------------------------------------------------------------------------------------------------------
ENTERPRISE 249 111716 1 06/29/2000 Closed ALIAB-XX XX RAN A RED LIGHT AND STRUCK CV 4,263.67 4,263.67 0.00
------------------------------------------------------------------------------------------------------------------------------------
IV WAS INVOLVED IN CHAIN
XXXXXXXX XXXXX 249 111859 1 07/06/2000 Closed ALIAB-XX XXXXXXXX WRECK 0.00 0.00 0.00
------------------------------------------------------------------------------------------------------------------------------------
XXXXXXXX XXXXXX 253 61105 1 07/14/2000 Closed ALIAB-XX XX RE CV #7445 0.00 660.10 0.00
------------------------------------------------------------------------------------------------------------------------------------
INSURED WAS STOPPED AT A
TRAFFIC LIGHT AND WAS
XXXXX XXXXX 249 112556 1 07/27/2000 Closed AUTOCOLL 0.00 0.00 0.00
------------------------------------------------------------------------------------------------------------------------------------
US FILTER 253 61689 1 07/29/2000 Closed AUTOCOLL OV TIRE FELL OFF & HIT IV #7445 0.00 1,368.04 0.00
------------------------------------------------------------------------------------------------------------------------------------
INSURED WENT AROUND CLMT WHEN
XXXXXX XXXXXX 252 100023 1 08/04/2000 Closed ALIAB-PD CLMT AND INSURED COLLIDED 0.00 0.00 0.00
------------------------------------------------------------------------------------------------------------------------------------
XXXXXXXXXXX XXX 249 113014 1 08/08/2000 Closed ALIAB-XX XX WAS REAR ENDED BY CV 0.00 0.00 0.00
------------------------------------------------------------------------------------------------------------------------------------
IV PARKED AT EE RESIDENCE AND
GARAGE CAUGHT ON FIRE AND
US FILTER 253 61994 1 08/11/2000 Closed AUTOCOMP DAMAGED VEH #7445 1,733.16 2,733.16 0.00
------------------------------------------------------------------------------------------------------------------------------------
INSURED VEHICLE BACKED INTO
CLAIMANTS VEHICLE TO GIVE
XXXXXXX XXXXXX 250 86439 1 08/17/2000 Closed ALIAB-PD CLEARANCE TO ANOTHER VEHICLE 1,354.00 1,500.00 0.00
------------------------------------------------------------------------------------------------------------------------------------
9/3/02 PAGE 25 OF 38
Auto Liability - AIG - Distribution Group
--------------------------------------------------------------------------------------------------------------------------------
CLAIMANT NAME BRANCH CASE # SYMBOL LOSS DATE STATUS LOSS TYPE ACCIDENT DESC. INCURRED TOTAL
--------------------------------------------------------------------------------------------------------------------------------
INSUREDS VEHICLE MAKING TURN
SIDE BY SIDE CLAIMANT HIT
XXXXXX XXXXXXXXX 250 107709 6 12/01/2001 Closed ALIAB-BI INSUREDS VEHICLE 0.00
--------------------------------------------------------------------------------------------------------------------------------
INSUREDS VEHICLE MAKING TURN
SIDE BY SIDE CLAIMANT HIT
XXXXXX XXXXX 250 107709 5 12/01/2001 Closed ALIAB-BI INSUREDS VEHICLE 0.00
--------------------------------------------------------------------------------------------------------------------------------
INSUREDS VEHICLE MAKING TURN
SIDE BY SIDE CLAIMANT HIT
XXXXX XXXXXXXXXXX 250 107709 4 12/01/2001 Closed ALIAB-BI INSUREDS VEHICLE 0.00
--------------------------------------------------------------------------------------------------------------------------------
INSUREDS VEHICLE MAKING TURN
SIDE BY SIDE CLAIMANT HIT
XXXX XXXX 250 107709 3 12/01/2001 Closed ALIAB-BI INSUREDS VEHICLE 0.00
--------------------------------------------------------------------------------------------------------------------------------
INSUREDS VEHICLE MAKING TURN
SIDE BY SIDE CLAIMANT HIT
XXXX XXXXXXXXXXX 250 107709 2 12/01/2001 Closed ALIAB-BI INSUREDS VEHICLE 0.00
--------------------------------------------------------------------------------------------------------------------------------
INSUREDS VEHICLE MAKING TURN
SIDE BY SIDE CLAIMANT HIT
DALLAS AREA RAPID TRANSIT 250 107709 1 12/01/2001 Closed ALIAB-PD INSUREDS VEHICLE 3,048.58
--------------------------------------------------------------------------------------------------------------------------------
INSURED VEHICLE REARENDED
US FILTER CORP 250 104365 2 12/07/2001 Closed AUTOCOLL OTHER VEHICLE AT LIGHT 0.00
--------------------------------------------------------------------------------------------------------------------------------
INSURED VEHICLE REARENDED
UNITED STATES FILTER 250 104365 1 12/07/2001 Closed ALIAB-PD OTHER VEHICLE AT LIGHT 147.50
--------------------------------------------------------------------------------------------------------------------------------
UNITED STATES FILTER 252 120785 1 12/07/2001 Closed AUTOCOMP INSURED STRUCK DEER 249.45
--------------------------------------------------------------------------------------------------------------------------------
INSUREDS VEHICLE BACKED INTO
XXXXXX XXXXXX 250 104522 1 12/11/2001 Closed ALIAB-PD CLAIMANTS PARKED VEHICLE 113.00
--------------------------------------------------------------------------------------------------------------------------------
XXXXXXX XXXXX 249 130647 1 12/18/2001 Closed ALIAB-XX XX BACKED AND STRUCK CV 73.00
--------------------------------------------------------------------------------------------------------------------------------
CLAIMANT ALLEGES ROCK FROM
INSURED VEHICLE STRUCK THEIR
XXXXXXXX XXXXXXX 250 105128 1 12/18/2001 Closed ALIAB-PD WINDSHIELD 0.00
--------------------------------------------------------------------------------------------------------------------------------
INSD STARTED TO TURN LEFT AND
OV STRUCK DRIVER SIDE OF BED AND
XXXXXX XXXXXX 249 130902 2 12/28/2001 Closed ALIAB-PD REAR BUMPER 0.00
--------------------------------------------------------------------------------------------------------------------------------
INSD STARTED TO TURN LEFT AND
OV STRUCK DRIVER SIDE OF BED AND
US FILTER 249 130902 1 12/28/2001 Closed AUTOCOLL REAR BUMPER 640.00
--------------------------------------------------------------------------------------------------------------------------------
UNITED STATES FILTER 250 105078 1 12/28/2001 Closed AUTOCOLL CLAIMANT VEHICLE RAN RED LIGHT 0.00
--------------------------------------------------------------------------------------------------------------------------------
XXXXXXX XXXXX 253 72024 1 01/08/2002 Closed ALIAB-XX XX RE OV #7445 0.00
--------------------------------------------------------------------------------------------------------------------------------
INSURED VEHICLE GOING WRONG
WAY DOWN ONEWAY STREET OTHER
VEHICLE RAN STOP LIGHT AND HIT
UNITED STATES FILTER 250 106506 2 02/13/2002 Closed AUTOCOLL INSURED 88.00
--------------------------------------------------------------------------------------------------------------------------------
INSURED VEHICLE GOING WRONG
WAY DOWN ONEWAY STREET OTHER
VEHICLE RAN STOP LIGHT AND HIT
XXXXXXXX XXX 250 106506 1 02/13/2002 Closed ALIAB-PD INSURED 0.00
--------------------------------------------------------------------------------------------------------------------------------
--------------------------------------------------------
CLAIMANT NAME PAID TOTAL RESERVES TOTAL
--------------------------------------------------------
--------------------------------------------------------
XXXXXX XXXXXXXXX 25,000.00 0.00
--------------------------------------------------------
XXXXXX XXXXX 0.00 0.00
--------------------------------------------------------
XXXXX XXXXXXXXXXX 0.00 0.00
--------------------------------------------------------
XXXX XXXX 0.00 0.00
--------------------------------------------------------
XXXX XXXXXXXXXXX 0.00 0.00
--------------------------------------------------------
DALLAS AREA RAPID TRANSIT 3,048.58 0.00
--------------------------------------------------------
US FILTER CORP 5,226.24 0.00
--------------------------------------------------------
UNITED STATES FILTER 147.50 0.00
--------------------------------------------------------
UNITED STATES FILTER 1,788.40 0.00
--------------------------------------------------------
XXXXXX XXXXXX 2,310.46 0.00
--------------------------------------------------------
XXXXXXX XXXXX 5,562.88 0.00
--------------------------------------------------------
XXXXXXXX XXXXXXX 0.00 0.00
--------------------------------------------------------
XXXXXX XXXXXX 4,347.96 0.00
--------------------------------------------------------
US FILTER 2,858.07 0.00
--------------------------------------------------------
UNITED STATES FILTER 0.00 0.00
--------------------------------------------------------
XXXXXXX XXXXX 4,603.22 0.00
--------------------------------------------------------
UNITED STATES FILTER 2,061.43 0.00
--------------------------------------------------------
XXXXXXXX XXX 0.00 0.00
--------------------------------------------------------
9/3/02 Page 33 of 38
Auto Liability - AIG - Distribution Group
-----------------------------------------------------------------------------------------------------------------------------------
CLAIMANT CASE LOSS LOSS INCURRED PAID RESERVES
NAME BRANCH # SYMBOL DATE STATUS TYPE ACCIDENT DESC. TOTAL TOTAL TOTAL
-----------------------------------------------------------------------------------------------------------------------------------
US FILTER 249 132185 1 02/14/2002 Closed AUTOCOLL INSD ON RT 10 WHEN 0.00 403.71 0.00
ROCK KICKED UP AND
STRUCK WINDSHIELD
CAUSING IT TO CRACK
-----------------------------------------------------------------------------------------------------------------------------------
US FILTER 253 72682 1 02/25/2002 Closed AUTOCOMP PARKED IV WAS STOLEN 0.00 279.92 0.00
#7445
-----------------------------------------------------------------------------------------------------------------------------------
UNITED STATES 250 107001 1 02/28/2002 Closed AUTOCOMP INSURED VEHICLE HIT 0.00 3,006.49 0.00
FILTER CORP DEER
-----------------------------------------------------------------------------------------------------------------------------------
XXXXXX XXXXXX 249 49410 1 01/13/1997 Notice ALIAB-PD INSD STATED AT 0.00 0.00 0.00
Only INTERSECTION CLMT
TURNED LEFT BUT DIDN'T
YIELD FOR THE I/V &
THEY COLLIDED.
-----------------------------------------------------------------------------------------------------------------------------------
PRICE THOMES 249 55384 1 05/12/1997 Notice ALIAB-PD INSD STATED STOPPED AT 0.00 0.00 0.00
Only LIGHT AND TRACTOR
TRAILER REARENDED IV
AND PUSHED IV INTO THE
CLMTS VEH
-----------------------------------------------------------------------------------------------------------------------------------
INSURED 413 1007 1 05/19/1997 Notice AUTOCOLL A VEHICLE TURNED INTO 0.00 0.00 0.00
Only INSURED'S VEHICLE
-----------------------------------------------------------------------------------------------------------------------------------
UNKNOWN 250 48390 1 09/26/1997 Notice ALIAB-PL INSURED VEHICLE MERGED 0.00 0.00 0.00
Only INTO TRAFFIC AND COLLIDED
WITH CLAIMANTS VEHICLE
-----------------------------------------------------------------------------------------------------------------------------------
XXXXXX XXXXXX 000 00000 1 11/17/1997 Notice AUTOCOLL IV PREPARING TO TURN 0.00 0.00 0.00
FILTER CORP Only INTO DRIVEWAY/OVREARENDED
IV
-----------------------------------------------------------------------------------------------------------------------------------
XXXXXX XXXXXX 000 00000 1 12/01/1997 Notice AUTOCOLL INSD STATED OTHER VEH HIT 0.00 0.00 0.00
FILTER CORP Only THE INSDS PARKED VEH
-----------------------------------------------------------------------------------------------------------------------------------
US FILTER 253 42180 1 12/01/1997 Notice AUTOCOMP BROKEN WINDSHIELD 0.00 0.00 0.00
Only
-----------------------------------------------------------------------------------------------------------------------------------
XXXXXX XXXXXX 000 00000 2 12/05/1997 Notice AUTOCOLL DETAILS UNKNOWN OCCURRED 0.00 0.00 0.00
FILTER CORP Only AT STOP LIGHT
-----------------------------------------------------------------------------------------------------------------------------------
XXXXX XXXXXXXX 250 51910 1 12/05/1997 Notice ALIAB-PD DETAILS UNKNOWN OCCURRED 0.00 0.00 0.00
Only AT STOP LIGHT
-----------------------------------------------------------------------------------------------------------------------------------
XXXXXXXX XXXXX XXXX 254 40189 1 12/09/1997 Notice AIIAB-PD CLAIMANT'S VEHICLE STRUCK 0.00 0.00 0.00
Only INSURED'S VEHICLE DURING
LANE CHANGE
-----------------------------------------------------------------------------------------------------------------------------------
TOENAS XXXX 251 55035 1 12/20/1997 Notice ALIAB-XX XX WAS THE 2ND CAR WAITING 0.00 0.00 0.00
Only ON THE RAMP TO GET ONTO
XXXXXX XX WHEN 3RD CAR HIT
IV IN REAR PUSHING I
-----------------------------------------------------------------------------------------------------------------------------------
XXXXXX XXXXXX 000 00000 1 02/01/1998 Notice AUTOCOMP INSURED'S WINDSHIELD WAS 0.00 0.00 0.00
FILTER CORP Only CHIPPED
-----------------------------------------------------------------------------------------------------------------------------------
LEITSCHUN XXXXXXX 412 10016 1 02/10/1998 Notice ALIAB-PD OV PULLED IN FRT OF IV 0.00 0.00 0.00
Only UNABLE TO STOP & IV HIT OV
IN REAR
-----------------------------------------------------------------------------------------------------------------------------------
XXXXXX XXXXXX 000 00000 2 02/10/1998 Notice AUTOCOLL OV PULLED IN FRT OF IV 0.00 0.00 0.00
FILTER Only UNABLE TO STOP & IV HIT OV
IN REAR
-----------------------------------------------------------------------------------------------------------------------------------
XXXXXXXX XXXXX 250 55213 1 04/21/1998 Notice ALIAB-PD INSURED VEHICLE AND 0.00 0.00 0.00
Only CLAIMANT VEHICLE COLLIDED
-----------------------------------------------------------------------------------------------------------------------------------
UNITED STATES 429 2703 1 05/21/1998 Notice AUTOCOLL CV PULLED OUT FROM CURB 0.00 0.00 0.00
FILTER Only AND HIT
-----------------------------------------------------------------------------------------------------------------------------------
9/3/02 Page 34 of 38
Auto Liability - AIG - Distribution Group
------------------------------------------------------------------------------------------------------------------------------------
CLAIMANT NAME BRANCH CASE # SYMBOL LOSS DATE STATUS LOSS TYPE ACCIDENT DESC.
------------------------------------------------------------------------------------------------------------------------------------
INSURED VEHICLE WAS
REAR ENDED BY OTHER
UNITED STATES FILTER 250 58282 1 06/25/1998 Notice Only AUTOCOLL VEHICLE
------------------------------------------------------------------------------------------------------------------------------------
OTHER VEHICLE PULLED
OUT IN FRONT OF INSURED
XXXXXXX XXXXX 250 60524 1 08/10/1998 Notice Only ALIAB-PD VEHICLE COLLISION
------------------------------------------------------------------------------------------------------------------------------------
CV ATTEMPTED TO PASS
XXXX XXXXX 249 81856 1 09/03/1998 Notice Only ALIAB-PD OV AND HIT
------------------------------------------------------------------------------------------------------------------------------------
INSURED VEHICLE BACKED
UNITED STATES FILTER 250 65009 2 11/30/1998 Notice Only AUTOCOLL INTO CLAIMANTS VEHICLE
------------------------------------------------------------------------------------------------------------------------------------
IV IN MEDIAN CV OVER
YELLOW CAB 249 92822 1 03/26/1999 Notice Only ALIAB-PD SHOT TURN
------------------------------------------------------------------------------------------------------------------------------------
XXXXX XXXXXXX 253 51514 1 05/11/1999 Notice Only ALIAB-PD OV REAR ENDED IV #7445
------------------------------------------------------------------------------------------------------------------------------------
OV PULLED OUT IN FRONT
US FILTER 249 95588 1 05/22/1999 Notice Only AUTOCOLL OF IV AND
------------------------------------------------------------------------------------------------------------------------------------
CLMT VEHICLE REAR ENDED
INSD VEHICLE PUSHING
THEM INTO ANOTHER
XXXX XXXX 249 96168 1 05/28/1999 Notice Only ALIAB-PD VEHICLE
------------------------------------------------------------------------------------------------------------------------------------
INSURED VEHICLE BACKED
UNITED STATES FILTER 250 69973 2 06/24/1999 Notice Only AUTOCOLL INTO CLAIMANTS VEHICLE
------------------------------------------------------------------------------------------------------------------------------------
CLAIMANTS FAILED TO
UNITED STATES FILTER 250 70495 1 07/06/1999 Notice Only ALIAB-PD YEILD AND HIT
------------------------------------------------------------------------------------------------------------------------------------
INSURED CHANGED LANES
XXXXXXXXX XXXXXX 250 71835 1 07/27/1999 Notice Only ALIAB-PD AND HIT CLAIMANT
------------------------------------------------------------------------------------------------------------------------------------
CLAIMANT RAN STOP SIGN
XXXXXXXXXX XXXXXXX 250 71251 1 07/27/1999 Notice Only AUTO-BI AND HIT
------------------------------------------------------------------------------------------------------------------------------------
CLAIMANT RAN STOP SIGN
UNKNOWN 250 71251 2 07/27/1999 Notice Only ALIAB-PD AND HIT
------------------------------------------------------------------------------------------------------------------------------------
XXXXXXX XXXXXX 249 99703 1 08/16/1999 Notice Only ALIAB-XX XX WAS REAR ENDED BY CV
------------------------------------------------------------------------------------------------------------------------------------
IV WAS ON A BUSY
FREEWAY AND WAS
XXXX XXXXXX 429 4269 1 09/22/1999 Notice Only ALIAB-PD REAR ENDED BY OV
------------------------------------------------------------------------------------------------------------------------------------
INSUREDS VEHICLE HIT
XXXXXX XXXXXXXXX 250 73151 1 10/07/1999 Notice Only ALIAB-PD CLAIMANTS
------------------------------------------------------------------------------------------------------------------------------------
OTHER VEHICLE REAR
UNITED STATES FILTER 250 73449 3 10/12/1999 Notice Only AUTOCOLL ENDED INSUREDS VEHICLE
------------------------------------------------------------------------------------------------------------------------------------
OTHER VEHICLE REAR
XXXXXX XXXXXXX 250 73449 2 10/12/1999 Notice Only ALIAB-PD ENDED INSUREDS VEHICLE
------------------------------------------------------------------------------------------------------------------------------------
OTHER VEHICLE REAR
XXXXXX XXXXXXX 250 73449 1 10/12/1999 Notice Only ALIAB-BI ENDED INSUREDS VEHICLE
------------------------------------------------------------------------------------------------------------------------------------
INSURED VEHICLE HIT BY
XXXXXX TRUCKING 250 74732 1 11/10/1999 Notice Only ALIAB-PD CLAIMANT
------------------------------------------------------------------------------------------------------------------------------------
INSD STATED IV STOPPED
UNKNOWN 249 103826 1 11/12/1999 Notice Only ALIAB-PD AT SIGN
------------------------------------------------------------------------------------------------------------------------------------
IV BUNDLE CAME OFF AND
HIT A BUILDING WHEN
UNKN BUILDING 249 105087 1 12/14/1999 Notice Only ALIAB-PD LOAD SHIFTED
------------------------------------------------------------------------------------------------------------------------------------
---------------------------------------------------------------------------------------
CLAIMANT NAME INCURRED TOTAL PAID TOTAL RESERVES TOTAL
---------------------------------------------------------------------------------------
UNITED STATES FILTER 0.00 0.00 0.00
---------------------------------------------------------------------------------------
XXXXXXX XXXXX 0.00 0.00 0.00
---------------------------------------------------------------------------------------
XXXX XXXXX 0.00 0.00 0.00
---------------------------------------------------------------------------------------
UNITED STATES FILTER 0.00 0.00 0.00
---------------------------------------------------------------------------------------
YELLOW CAB 0.00 0.00 0.00
---------------------------------------------------------------------------------------
XXXXX XXXXXXX 0.00 0.00 0.00
---------------------------------------------------------------------------------------
US FILTER 0.00 0.00 0.00
---------------------------------------------------------------------------------------
XXXX XXXX 0.00 0.00 0.00
---------------------------------------------------------------------------------------
UNITED STATES FILTER 0.00 0.00 0.00
---------------------------------------------------------------------------------------
UNITED STATES FILTER 0.00 0.00 0.00
---------------------------------------------------------------------------------------
XXXXXXXXX XXXXXX 0.00 0.00 0.00
---------------------------------------------------------------------------------------
XXXXXXXXXX XXXXXXX 0.00 0.00 0.00
---------------------------------------------------------------------------------------
UNKNOWN 0.00 0.00 0.00
---------------------------------------------------------------------------------------
XXXXXXX XXXXXX 0.00 0.00 0.00
---------------------------------------------------------------------------------------
XXXX XXXXXX 0.00 0.00 0.00
---------------------------------------------------------------------------------------
XXXXXX XXXXXXXXX 0.00 0.00 0.00
---------------------------------------------------------------------------------------
UNITED STATES FILTER 0.00 0.00 0.00
---------------------------------------------------------------------------------------
XXXXXX XXXXXXX 0.00 0.00 0.00
---------------------------------------------------------------------------------------
XXXXXX XXXXXXX 0.00 0.00 0.00
---------------------------------------------------------------------------------------
XXXXXX TRUCKING 0.00 0.00 0.00
---------------------------------------------------------------------------------------
UNKNOWN 0.00 0.00 0.00
---------------------------------------------------------------------------------------
UNKN BUILDING 0.00 0.00 0.00
---------------------------------------------------------------------------------------
9/3/02 Page 35 of 38
AUTO LIABILITY - AIG - DISTRIBUTION GROUP
------------------------------------------------------------------------------------------------------------------------------------
CLAIMANT NAME BRANCH CASE # SYMBOL LOSS DATE STATUS LOSS TYPE
XXXXXX XXXXXXXX 249 107052 1 02/08/2000 Notice Only ALIAB-PD
------------------------------------------------------------------------------------------------------------------------------------
XXXXXX AUTO WRECKING 253 58319 1 03/03/2000 Notice Only ALIAB-PD
------------------------------------------------------------------------------------------------------------------------------------
US FILTER 249 108280 1 03/14/2000 Notice Only AUTOCOLL
------------------------------------------------------------------------------------------------------------------------------------
XXXXX XXXXXXX 253 59460 1 04/25/2000 Notice Only ALIAB-PD
------------------------------------------------------------------------------------------------------------------------------------
US FILTER 253 61845 1 08/04/2000 Notice Only AUTOCOMP
------------------------------------------------------------------------------------------------------------------------------------
XXXXXXXX XXXX 250 88189 1 08/24/2000 Notice Only ALIAB-PD
------------------------------------------------------------------------------------------------------------------------------------
US FILTER 253 66414 3 03/08/2001 Notice Only AUTOCOLL
------------------------------------------------------------------------------------------------------------------------------------
UNITED STATES FILTER 250 97412 2 05/30/2001 Notice Only AUTOCOLL
------------------------------------------------------------------------------------------------------------------------------------
UNITED STATES FILTER 252 113310 1 06/15/2001 Notice Only ALIAB-PD
------------------------------------------------------------------------------------------------------------------------------------
UNITED STATES FILTER CORPORATI 250 98143 1 06/19/2001 Notice Only AUTOCOLL
------------------------------------------------------------------------------------------------------------------------------------
XXXXXX XXX 250 98228 1 06/20/2001 Notice Only ALIAB-PD
------------------------------------------------------------------------------------------------------------------------------------
AIR LEASING COMPANY 413 3980 2 07/06/2001 Notice Only AUTOCOLL
------------------------------------------------------------------------------------------------------------------------------------
BLUE XXXXXX 413 3980 1 07/06/2001 Notice Only ALIAB-PB
------------------------------------------------------------------------------------------------------------------------------------
UNITED STATES FILTER 250 99281 2 07/17/2001 Notice Only AUTOCOLL
------------------------------------------------------------------------------------------------------------------------------------
XXXXX XXXX 250 99281 1 07/17/2001 Notice Only ALIAB-PD
------------------------------------------------------------------------------------------------------------------------------------
UNKNOWN 250 100796 1 08/31/2001 Notice Only ALIAB-PD
------------------------------------------------------------------------------------------------------------------------------------
UNITED STATES FILTER 250 102239 2 10/09/2001 Notice Only AUTOCOLL
------------------------------------------------------------------------------------------------------------------------------------
------------------------------------------------------------------------------------------------------------------------------------
ACCIDENT DESC. INCURRED TOTAL PAID TOTAL RESERVES TOTAL
INSD VEHICLE WAS REAR ENDED BY CLMT VEHICLE
THAT WAS PUSHED INTO INSD VEHICLE 0.00 0.00 0.00
------------------------------------------------------------------------------------------------------------------------------------
OV1 RAN RED LIGHT AND STRUCK OV2 0.00 0.00 0.00
------------------------------------------------------------------------------------------------------------------------------------
OV CROSSED LANES AND HIT IV 0.00 0.00 0.00
------------------------------------------------------------------------------------------------------------------------------------
IV RAN OVER RUBBER & STRUCK IV 0.00 0.00 0.00
------------------------------------------------------------------------------------------------------------------------------------
IV PARKED AT EE RESIDENCE WHEN THERE WAS A FIRE
IN GARAGE AND DAMAGED VEHICLE #7445 0.00 0.00 0.00
------------------------------------------------------------------------------------------------------------------------------------
OTHER VEHICLE REARENDED INSURED 0.00 0.00 0.00
------------------------------------------------------------------------------------------------------------------------------------
IV RE CV #7445 0.00 0.00 0.00
------------------------------------------------------------------------------------------------------------------------------------
CLAIMANTS VEHICLE DAMAGED BY PVC PIPE
WHICH FELL OUT INSUREDS VEHICLE 0.00 0.00 0.00
------------------------------------------------------------------------------------------------------------------------------------
OTHER VEHICLE REAR ENDED INSURED 0.00 0.00 0.00
------------------------------------------------------------------------------------------------------------------------------------
CLAIMANT VEHICLE BACKED INTO PARKED INSURED VEHICLE 0.00 0.00 0.00
------------------------------------------------------------------------------------------------------------------------------------
INSURED VEHICLE PARKED OTHER VEHICLE TRIED TO
SQUEEZE BY AND HIT MIRROR 0.00 0.00 0.00
------------------------------------------------------------------------------------------------------------------------------------
INSURED VEHICLE MAKING A STOP. OTHER VEHICLE MAKING A LEFT
TURN AND ITS TRAILER STRUCK INSURED CAR 0.00 0.00 0.00
------------------------------------------------------------------------------------------------------------------------------------
INSURED VEHICLE MAKING A STOP. OTHER VEHICLE MAKING A LEFT
TURN AND ITS TRAILER STRUCK INSURED CAR 0.00 0.00 0.00
------------------------------------------------------------------------------------------------------------------------------------
INSURED MAKING LEFT TURN OTHER VEHICLE PULLED
ALONG SIDE AND WAS HIT 0.00 0.00 0.00
------------------------------------------------------------------------------------------------------------------------------------
INSURED MAKING LEFT TURN OTHER VEHICLE PULLED
ALONG SIDE AND WAS HIT 0.00 0.00 0.00
------------------------------------------------------------------------------------------------------------------------------------
INSURED VEHICLE STRUCK BY CLAIMANT VEHICLE WHEN
PARKED ON STREET 0.00 0.00 0.00
------------------------------------------------------------------------------------------------------------------------------------
INSURED AND CLAIMANT TURNING SIDE BY SIDE CLAIMANT CLIPPED
REAR OF INSUREDS VEHICLE 0.00 0.00 0.00
------------------------------------------------------------------------------------------------------------------------------------
9/3/02 Page 36 of 38
Auto Liability - AIG Distribution Group
INCURRED PAID RESERVES
CLAIMANT NAME BRANCH CASE # SYMBOL LOSS DATE STATUS LOSS TYPE ACCIDENT DESC. TOTAL TOTAL TOTAL
-----------------------------------------------------------------------------------------------------------------------------------
XXXXX XXXXX 250 102239 1 10/09/2001 Notice ALIAB-PD INSURED AND CLAIMANT 0.00 0.00 0.00
Only TURNING SIDE BY SIDE
CLAIMANT CLIPPED REAR
OF INSUREDS VEHICLE
-----------------------------------------------------------------------------------------------------------------------------------
UNKNOWN 253 71161 1 11/05/2001 Notice ALIAB-PD OV PULLED IN FRONT OF 0.00 0.00 0.00
Only IV AND STRUCK IV #7445
-----------------------------------------------------------------------------------------------------------------------------------
UNITED STATES FILTER 252 120794 1 12/07/2001 Notice AUTOCOLL OTHER VEHICLE BACKED 0.00 0.00 0.00
Only INTO PARKED INSUREDS
VEHICLE
-----------------------------------------------------------------------------------------------------------------------------------
US FILTER X REF
249-130902 249 130864 1 12/28/2001 Notice AUTOCOLL IV WAS REAR ENDED BY OV 0.00 0.00 0.00
Only
-----------------------------------------------------------------------------------------------------------------------------------
UNKNOWN 250 106886 1 02/25/2002 Notice ALIAB-PD OTHER VEHICLE RAN INTO 0.00 0.00 0.00
Only REAR OF
-----------------------------------------------------------------------------------------------------------------------------------
VARIOUS 253 53194 2 07/23/1999 Open ALIAB-BI IV NORTH HWY 99, VAN 605,527.00 536,250.00 69,277.00
PULLED OFF ROAD BACK
ONTO ROAD IN FRONT OF
IV, IV RE OV THEN
SWERVED HITTING BUS
-----------------------------------------------------------------------------------------------------------------------------------
XXXXXXX XXXXXX 253 53194 1 07/23/1999 Open ALIAB-BI IV NORTH HWY 99, VAN 815,353.45 475,356.50 365,269.95
PULLED OFF ROAD BACK
ONTO ROAD IN FRONT OF
IV, IV RE OV THEN
SWERVED HITTING BUS
-----------------------------------------------------------------------------------------------------------------------------------
XXXXXX XXXXXX 250 73601 3 10/15/1999 Open ALIAB-BI INSURED VEHICLE REAR- 20,000.00 0.00 20,000.00
ENDED CLAIMANTS
VEHICLE
-----------------------------------------------------------------------------------------------------------------------------------
MERHRLING XXXXXXXXX 249 107143 1 02/10/2000 Open ALIAB-XX XX TRAVELING N/B WHEN 0.00 0.00 0.00
A ROCK WAS KICKED UP
AND STRUCK CLMNT
VEHICLE/CLMNT WAS
BEHIND IV/DAMAGE WIN
-----------------------------------------------------------------------------------------------------------------------------------
XXXXXXXX XXXXXXXX 253 66867 8 03/26/2001 Open ALIAB-BI IV RE CV #7445 8,500.00 0.00 8,500.00
-----------------------------------------------------------------------------------------------------------------------------------
XXXXXXXX XXXXXX 253 66867 7 03/26/2001 Open ALIAB-BI IV RE CV #7445 7,500.00 0.00 7,500.00
-----------------------------------------------------------------------------------------------------------------------------------
XXXXXXXX XXXXXX 253 66867 6 03/26/2001 Open ALIAB-BI IV RE CV #7445 13,000.00 0.00 13,000.00
-----------------------------------------------------------------------------------------------------------------------------------
XXXXXXX MANUAL 253 69098 2 07/10/2001 Open ALIAB-BI IV S/B ON I-25 AND 50,000.00 0.00 50,000.00
CHANGING LANES AND
BUMPED OV THAT WAS IN
RIGHT LANE #7445
-----------------------------------------------------------------------------------------------------------------------------------
XXXXXX XXXXX 253 69381 3 07/23/2001 Open ALIAB-BI IV TURNED LEFT, OV 7,500.00 0.00 7,500.00
TRAVELING ON
-----------------------------------------------------------------------------------------------------------------------------------
XXXXX XXXXXXXX 249 125785 7 07/25/2001 Open ALIAB-BI IV FAILED TO YIELD TO 4,000.00 0.00 4,000.00
CV AND STRUCK CV AND
THEN CV AND IV STRUCK
OV THAT WAS STOPPED AT
CORNER
-----------------------------------------------------------------------------------------------------------------------------------
XXXXXXXXX XXXX 249 125785 6 07/25/2001 Open ALIAB-BI IV FAILED TO YIELD TO 4,000.00 0.00 4,000.00
CV AND STRUCK CV AND
THEN CV AND IV STRUCK
OV THAT WAS STOPPED AT
CORNER
-----------------------------------------------------------------------------------------------------------------------------------
RAD MORTEYA 249 125785 5 07/25/2001 Open ALIAB-BI IV FAILED TO YIELD TO 50,000.00 0.00 50,000.00
CV AND STRUCK CV AND
THEN CV AND IV STRUCK
OV THAT WAS STOPPED AT
CORNER
-----------------------------------------------------------------------------------------------------------------------------------
9/3/02 PAGE 37 OF 38
AUTO LIABILITY -- AIG -- DISTRIBUTION GROUP
LOSS LOSS ACCIDENT INCURRED PAID RESERVES
CLAIMANT NAME BRANCH CASE # SYMBOL DATE STATUS TYPE DESC. TOTAL TOTAL TOTAL
MOHYALDINRAD TAHAREH 249 125785 4 07/25/2001 Open ALIAB-BI IV FAILED TO YIELD TO 113,914.28 8,992.48 104,921.80
CV AND STRUCK CV AND
THEN CV AND IV STRUCK
OV THAT WAS STOPPED AT
CORNER
XXXXXX XXXXXXXX 249 125785 2 07/25/2001 Open ALIAB-XX XX FAILED TO YIELD TO 2,481.00 81.00 2,400.00
CV AND STRUCK CV AND
THEN CV AND IV STRUCK
OV THAT WAS STOPPED AT
CORNER
MOHYALDINARD TAHAREH 249 125785 1 07/25/2001 Open ALIAB-XX XX FAILED TO YIELD TO 4,840.00 2,440.00 4,500.00
CV AND STRUCK CV AND
THEN CV AND IV STRUCK
OV THAT WAS STOPPED AT
CORNER
XXXXXX XXXXXXXX D 249 127887 1 09/19/2001 Re-open ALIAB-BI IV WAS LEAVING PARKING 8,484.00 984.00 7,500.00
LOT AND
------------ ------------ ----------
2,972,749.38 2,943,788.49 718,368.75
9/3/02 Page 38 of 38
APPENDIX D-3
INSURANCE CLAIMS: TRAVELERS AUTOMOBILE
--------------------------------------
Auto Liability - Travelers - Distribution Group
Claim Accident Claim Incurred Paid Outstanding
Claimant Name Number Date Status Accident Description Total Total Total
------------- ------ -------- ------ -------------------------- --------- ---------- -----------
XXXXX XXXXXXX ARV1310 03/05/02 C IV BACKED INTO ANOTHER 696.00 696.27 -0.27
CAR PUSHING INTO
3RD VEHICLE
XXXXXXXX XXXXXX ATD5422 03/09/02 C ON COMING VEH SPUN OUT 0.00 0.00 0.00
ON SLICK RD AND
INTO IV LANE AND STRUCK
IV.
XXXXXX XXXXX ATW5149 03/20/02 C SEMI TURNED INTO IV LANE 15.00 14.75 0.25
IV RAN INTO SEMI
XXXXXX XXXXX ATJ6838 03/27/02 C CLAIMANT VEHICLE TRAVELING 0.00 0.00 0.00
OFF 000 XXXX - XXXX XXX 67;
IV TRAVELING A&
XXXXX XXXXXX K ATM5409 04/04/02 C IV REARENDED OV 1,094.00 1,094.11 -0.11
XXXX XXXXX E ATH7312 04/05/02 C IV PULLED OUT FROM STOP SIGN 0.00 0.00 0.00
AND HIT CV. CV DID NOT HAVE
ANY TRAFFIC &
FURY XXXXX ATW8784 05/15/02 C UNATTENDED IV ROLLED INTO 1,351.00 1,351.41 -0.41
PARKED AND UNATTENDED CV
XXXXXXXXXXX XXXX AQW1404 05/16/02 C CV TURNED IN FRONT OF IV. 1,137.00 1,136.68 0.32
CLAIMANT CARRIER WANTS TO
APPLY COMPARATIVE &
XXXXX XXX ATW9271 05/24/02 C IV ROLLED BACK INTO OV IN
PARKING LOT 1,025.00 1,024.68 0.32
XXXXXXXX XXXX AQW1628 05/31/02 C IV HAD BOX OF PCV FITTINGS AND
FELL OFF OF IV HITTING CV'S
BUMPER 0.00 0.00 0.00
XXXXX XXXXXXX AQW2579 06/07/02 C IV MAKING A WIDE TURN AND CV IN
XX XXXX HIT SIDE OF TRAILER
DISPUTE & 0.00 0.00 0.00
UNKN UNKN U ARB9137 06/19/02 C CD REPORTS IV KICKED UP ROCK
INTO W/S 0.00 0.00 0.00
XXXX XXXX T AQW2872 06/20/02 C CLAIMANT ALLEGES O/V WAS AT
TRAFFIC LIGHT AT A COMPLETE
STOP & I/V & 2,126.00 2,125.59 0.41
XXXXXXXX XXXXXXX AQW4210 07/08/02 C CV1 HIT CV2. IV THEN HIT CV1.
CV3 THEN HIT IV. 0.00 0.00 0.00
XXXXXX XXXXXXX APY1383 07/11/02 C FLAT BOARD CAME OFF IV AND HIT
TWO CVS 2,492.00 2,492.43 -0.43
XXXXXXXX XXXXXXX AQW4688 07/14/02 C IV HYDROPLANED AND ROLLED IV
UNKN LOCATION OF ACCIDENT OR
TIME, REPO & 0.00 0.00 0.00
XXXXXXX XXXXXX ARA4138 08/14/02 C IV BACKED INTO CV 2,223.00 2,223.20 -0.20
XXXXXX XXXX C5P0516 03/30/02 O IV REAR ENDED OV AT RT YIELD
LANE 2,038.00 579.97 1,458.03
XXXXX XXXXXXX AQU0695 05/11/02 O IV REARENDED STOPPED CV 3,500.00 0.00 3,500.00
XXXXX XXXXXXX AXV7593 05/14/02 O IV CHANGED LANES AND HIT CV
WHICH PUSHED CV INTO A SEMI 17,736.00 2,735.99 15,000.01
XXXXXXX XXXXX ARA0760 06/19/02 O IV REARENDED CV IN CONSTRUCTION
ZONE 5,665.00 3,665.00 2,000.00
TOTAL TRAVELERS AUTO - DISTRIBUTION 41,098.00 19,140.08 21,957.92
9/3/02 Page 1 of 1
Workers Compensation - Travelers - Distribution Group
Claim Claim
Claimant Number Acc Date Status Cause Description
-----------------------------------------------------------------------------------------------------------------------------
MARSTERS DE AUW5368 01/10/2002 C EE STEPPED OFF A THREE INCH PLATFORM IN THE WAREHOUSE AND FELT SOMETH%
XXXX XX AVM8015 01/24/2002 C EE WAS ON BUNDLE OF PIPE AND FOOT SLIPPED FELL TO THE BED OF THE TRUC&
XXXXXX XX BMY9026 01/24/2002 C EE WAS CLIMBING OFF FORKLIFT AND L HAND GOT CAUGHT ON AN EXTENDED PIE&
XXXXXXX MI ATM2659 02/08/2002 C EE WAS PULLING GATE SHUT AND CAUGHT HIS LEFT KNEE IN BETWEEN THE GATE&
XXXXXX XX AUJ2365 02/20/2002 C EE WAS UNSTRAPPING A LOAD WHEN A MANHOLE FRAME FELL ON HIS RIGHT ELBO&
XXXXXX XX ATH4103 02/22/2002 C IW WAS UNLOADING PIPE FROM A TRUCK WHEN THE PIPE SLIPPED AND HIT HIM &
JENS RO BUC1235 03/06/2001 C IE PICKED UP A 500LB MECHANICAL JOINT AND STRAINED LUMBAR MUSCLES
XXXXXXX WA ATJ5869 03/18/2002 C EE WAS STEPPING OVER A GATE VALVE AND STRUCK HIS RIGHT KNEE ON THE GA&
XXXXXX XX BUG5173 03/26/2001 C EE WAS CLOSING A GATE, AND THE ROLLER ON THE GATE SMASHED HIS LEFT IN&
XXXXXXXX XX BUG5200 03/26/2001 C IE WAS PICKING UP A 5 GAL PAIL FULL OF LUBRICANT AND STRAINED HIS LOW&
BUCK BI AXH2297 03/27/2001 C A CONTRACTOR (CUSTOMER) WAS UNLOADING PVC PIPES AND THE PIPE STRUCK TH&
XXXXX DO ARV3856 04/04/2002 C IE RECEIVED A LACERATION TO HIS RING FINGER ON RIGHT HAND WHILE PICKI&
XXXXX MI BXA8956 04/06/2001 C EE SLIPPED AND FELL INJURING THE RIGHT SHOULDER AND FOREARM
XXXXXXXXX DA C5S6801 04/13/2001 C WELL TORCHING BOLTS TO REMOVE WATER METAL A PIECE OF SLAG FROM BOLT P&
XXXXXX XX AXW2497 04/16/2001 C THE EMPLOYEE WAS MOVING A PIECE OF PIPE, PIPE FELL ON THE GREAT TOE L&
XXXXXX,XX.XX AWL0255 04/17/2001 C THE EMPLOYEE ALLEGES A NON WORK RELATED INJURY BECAME INFECTED BECAUS&
XXXXX MI BXT9380 04/23/2001 C LOWER BACK STRAIN BY LIFTING.
XXXXXXX XX BXT8805 04/24/2001 C AS THE EE WAS STEPPING OUT OF THE TRUCK HE GOT A CATCH IN HIS BACK TH&
XXXXX XX AUG3836 04/29/2002 C A PIECE OF PVC PIPE ROLLED OFF THE TOP OF A TRAILER LOAD AND HIT THE &
XXXXX DE BXR6532 06/05/2001 C EE/MAKING A DELIV TO JOBSITE PULLED OVER TO THE ROAD/THERE WAS A HOLE&
XXXXX XX BMY6909 06/11/2001 C EE STRAINED RT LEG MUSCLE WHILE LIFTING 45LBS FITTING
XXXXXX XX AVF2947 06/26/2001 C EE WAS TIGHTENING STRAPS ON A TRUCK LOAD OF PVC PIPES WHEN TIGHTENING&
XXXXXXXX CA DUN5404 07/17/2001 C IE WAS UNLOADING FIRE HYDRANT, FIRE HYDRANT ROLLED AND BROKE RT THUM&
XXXXXXXX XX AWU5044 07/23/2001 C EE WAS MOVING A 4X4 ONTO A TRACTOR TRUCK AND LACERATED LEFT RING FING&
XXXX GA AVF4259 08/06/2001 C EE UNLOADING A BOX OF PARTS WEIGHING APPROXIMATE 35 PDS STRAIN LEFT &
XXXXXXXX MA AWU3988 08/08/2001 C EE WAS LIFTING A MANHOLE COVER AND STRAINED LOWER BACK.
HALL LO AVY8408 08/14/2001 C EE WAS LOADING A PVC PIPE ON A TRUCK AND PIPE WAS DROPPED ON HIS HEAD.
XXXXXXX XX AWU6319 08/16/2001 C EE STATES THAT HE WAS MOVING A MAN HOLE RING OFF A TRUCK AND FELT A &
XXXXXXXX LA AVZ3740 09/04/2001 C IE WAS MOVING A FIRE HYDROGEN AND IN THE PROCESS HE STRAINED HIS MIDD&
XXXXXXX ST B2G7158 09/04/2001 C EE THREW A SEWER FITTING INTO A BOX AND THE FITTING BOUNCED OUT OF TH&
XXXXXXXX XX AUC0292 09/14/2001 C EE WAS PULLING ON A STRAP THAT IS USED TO SECURE PIPES ON A TRUCK TH&
XXXXXX FR AWU7332 09/19/2001 C CALLER STATES:EE STEPPED OFF FORKLIFT AND STRAIN HIS RIGHT KNEE.
XXXXXXX XX AVB2912 09/28/2001 C EE WAS LIFTING A GATE VALVE ON A WOODEN PALLET, HIS HAND GOT CAUGHT U&
XXXXXX XX AVB4545 10/05/2001 C EE HAS CARPAL TUNNEL SYNDROME DUE TO WORKING DUTIES. (WRIST)
XXXXXX XX AUC0524 10/22/2001 C EE ALLEGES PULLING A VALVE BOX OUT OF CRATE WHEN INJURED LOWER BACK
XXXXXX PH DWJ3481 11/01/2001 C EE WAS WALKING THROUGH YARD AND HE TRIPPED OVER PIPE STICKING OUT AND&
XXXXXXXX XX AVZ8144 11/12/2001 C FOREIGN OBJECT BLEW INTO LEFT EYE, WHILE PULLING MATERIAL FOR SHIPPIN&
XXXXXXX WI AWD7188 11/27/2001 C WHILE WALKING THROUGH THE YARD, EE STEPPED ON WOODEN PALLET AND SPRAI&
XXXXX XX AUM8619 12/06/2001 C CALLER STATES WHILE LIFTING FITTING INTO A CRATE IE STRAINED LOWER BA&
XXXXX AL AUE7463 01/03/2002 O HELPING CUST LOAD VALVE, STRAINED HIS SHOULDER.
XXXXX XX ATM4117 03/18/2002 O EE LOADING PLASTIC METER BOXES FROM GROUND TO TRUCK WHEN STOOD UP FE&
XXXXXXX TH ATD6551 03/20/2002 O EE WAS STRUCK WITH A BACK HOE BUCKET CAUSING CONTUSION AND POSSIBLE F&
XXXXXXXXX XX BXA8200 04/05/2001 O CALLER STATES: THE EE TRIPPED OVER A PIECE OF WOOD IN THE DARK AND FE&
XXXXXXXX XX ARV4077 04/05/2002 O A METAL BAND BROKE ON A LOAD OF PIPE, A PIPE ROLLED OFF AND HIT IW ON&
Incurred Paid Outstanding
Claimant Total Total Total
------------------------------------------
MARSTERS DE 773.00 773.13 -0.13
XXXX XX 1,052.00 1,052.55 -0.55
XXXXXX XX 55.00 54.94 0.06
XXXXXXX MI 2,559.00 2,558.13 0.87
XXXXXX XX 1,098.00 1,097.90 0.10
XXXXXX XX 258.00 257.93 0.07
JENS RO 444.00 444.69 -0.69
XXXXXXX WA 652.00 651.91 0.09
XXXXXX XX 16,961.00 16,960.71 0.29
XXXXXXXX XX 2,187.00 2,186.80 0.20
BUCK BI 5,203.00 5,203.12 -0.12
XXXXX DO 0.00 0.00 0.00
XXXXX MI 16,051.00 16,050.86 0.14
XXXXXXXXX DA 0.00 0.00 0.00
XXXXXX XX 208.00 208.60 -0.60
XXXXXX XX.XX 0.00 0.00 0.00
XXXXX MI 0.00 0.00 0.00
XXXXXXX XX 3,120.00 3,210.13 -0.13
XXXXX XX 398.00 397.32 0.68
XXXXX DE 1,443.00 1,443.39 -0.39
XXXXX XX 0.00 0.00 0.00
XXXXXX XX 108.00 108.16 -0.16
XXXXXXXX CA 0.00 0.00 0.00
XXXXXXXX XX 215.00 215.19 -0.19
XXXX GA 147.00 147.41 -0.41
XXXXXXXX MA 1,180.00 1,179.83 0.17
HALL LO 1,729.00 1,728.88 0.12
XXXXXXX XX 0.00 0.00 0.00
XXXXXXXX LA 460.00 460.26 -0.26
XXXXXXX ST 866.00 866.12 -0.12
XXXXXXXX XX 8,545.00 8,544.98 0.02
XXXXXX FR 759.00 759.38 -0.38
XXXXXXX XX 164.00 164.76 -0.76
XXXXXX XX 2,629.00 2,628.89 0.11
XXXXXX XX 523.00 523.43 -0.43
XXXXXX PH 10.00 10.35 -0.35
XXXXXXXX XX 394.00 394.08 -0.08
XXXXXXX WI 74.00 74.47 -0.47
XXXXX XX 293.00 293.00 0.00
XXXXX AL 73,701.00 20,450.49 53,250.51
XXXXX XX 35,266.00 14,343.05 20,922.95
XXXXXXX TH 9,249.00 2,931.00 6,318.00
XXXXXXXXX XX 38,910.00 24,398.03 14.511.97
XXXXXXXX XX 17,807.00 6,351.79 11,455.21
Workers Compensation - Travelers - Distribution Group
Claim Claim Incurred Outstanding
Claimant Number Acc Date Status Cause Description Total Paid Total Total
-------- ------- ---------- ------ ---------------------------------------------- ---------- ---------- -----------
XXXXX XX DUA1094 04/26/2001 O VEHICLE ACCIDENT-IE FELL ASLEEP DRIVING 364,850.00 50,701.04 314,148.96
COMPANY TRUCK
XXXXXX WA ATE3838 05/21/2002 O EE WAS UNLOADING A PIECE OF PIPE OFF OF TRUCK 23,883.00 15,038.33 8,844.67
BED, HE FELL AND BROKE &
XXXXXXX BE AQI1835 06/03/2002 O EE STATES HE INJURED HIS NECK WHILE UNLOADING 3,000.00 0.00 3,000.00
PIPE.
XXXXXXX XX DWJ5700 06/17/2002 O EE WAS MOVING A VALVE AND STRAINED HIS NECK. 1,577.00 1,153.58 423.42
FRIEDRICH WI ATE5332 06/17/2002 O EE WAS LOADING FIRE HYDRANT ONTO TRUCK AND 0.00 0.00 0.00
THE HYDRANT ROLLED ONTO RI&
XXXXXX XX DUA2615 06/19/2001 O EE WAS UNLOADING A TRUCKLOAD OF DUCTLE IRON 216,151.00 91,330.07 124,820.93
PIPE, PARKED ON INCLINE, &
XXXXXXXXX LE DWJ5853 07/05/2002 O IE WAS THROWING STRAP OVER PIPE AND INJURED 339.00 181.19 157.81
RT SHOULDER.
XXXXXXXXXXXX R ARJ1796 07/08/2002 O EE WAS LIFTING A HEAVY VALVE WHEN FELT A PULL 11,045.00 3,595.21 7,449.79
IN GROIN AREA.
XXXX AR ARF1342 07/19/2002 O PIECE OF PIPE ROLLED OFF TRUCK AND HIT IE IN 1,366.00 977.28 388.72
UPPER BACK, IE SUFFERED &
XXXXX XX ATF8609 07/24/2002 O CALLER STATES THAT THE EE WAS MOVING A GATE 1,235.00 844.36 390.64
VALVE AND SPRAINED HIS LT&
XXXXX KO AQQ4393 07/25/2002 O EE STEP OFF A SHELF AND FELT LEFT KNEE POP. 5,500.00 0.00 5,500.00
XXXXX XX AUG8477 08/01/2002 O A PIECE OF PIPE ROLLED ON THE EE'S RIGHT FIFTH 0.00 0.00 0.00
FINGER RESULTING ON CO&
KUTI MA AQQ4437 08/01/2002 O EE WALKED INTO THE EDGE OF A TRUCK DOOR AND 0.00 0.00 0.00
CUT HIS HEAD.
XXXXX MI AVB4544 10/01/2001 O EE STRAINED RIGHT SHOULDER, WHEN UNLOADING 59,863.00 35,542.39 24,320.61
THE TRUCK.
------------------------------------
TOTAL - TRAVELERS WORK COMP - DISTRIBUTION 934,300.00 338,399.11 595,900.89
9/3/02 Page 2 of 2
Auto Liability - AIG - Distribution Group
------------------------------------------------------------------------------------------------------------------------------------
INCURRED PAID RESERVES
CLAIMANT NAME BRANCH CASE # SYMBOL LOSS DATE STATUS LOSS TYPE ACCIDENT DESC. TOTAL TOTAL TOTAL
------------------------------------------------------------------------------------------------------------------------------------
US FILTER 249 113414 1 08/22/2000 Closed AUTOCOMP IV WAS PARKED AND OVERNIGHT IT 0.00 0.00 0.00
------------------------------------------------------------------------------------------------------------------------------------
XXXX XXXXX 249 113874 1 09/06/2000 Closed ALIAB-PD INSURED BACKED INTO CLAIMANT 0.00 2,835.00 0.00
------------------------------------------------------------------------------------------------------------------------------------
INSURED WAS PARKED WHEN UNKNOWN
UNITED STATES FILTER 249 114005 1 09/09/2000 Closed AUTOCOLL STRUCK THE DRIVERS SIDE 938.72 1,938.72 0.00
------------------------------------------------------------------------------------------------------------------------------------
XXXXXXX XXXXXX 252 101512 1 09/11/2000 Closed ALIAB-XX XXXXX FLEW OFF INSUREDS VEHICLE 654.60 654.60 0.00
------------------------------------------------------------------------------------------------------------------------------------
XXXXXXXXXXX XXXX 253 63039 1 09/22/2000 Closed ALIAB-XX XX BACKED INTO PARKED VEH #7445 2,674.54 2,674.54 0.00
------------------------------------------------------------------------------------------------------------------------------------
XXXXXX XXXXXX 249 114690 1 09/26/2000 Closed ALIAB-XX XX STOPPED AT RED LIGHT AND WAS 0.00 0.00 0.00
------------------------------------------------------------------------------------------------------------------------------------
XXX XXX 250 88140 1 09/26/2000 Closed ALIAB-PD INSURED BACKED INTO VEHICLE 2,534.27 2,534.27 0.00
------------------------------------------------------------------------------------------------------------------------------------
INSUREDS VEHICLE REAR ENDED
XXXXX XXXXXX 250 88220 5 09/29/2000 Closed ALIAB-B1 CLAIMANTS VEHICLE 6,000.00 6,000.00 0.00
------------------------------------------------------------------------------------------------------------------------------------
INSUREDS VEHICLE REAR ENDED
XXXXXX XXXXXX 250 88220 4 09/29/2000 Closed ALIAB-B1 CLAIMANTS VEHICLE 2,532.00 2,532.00 0.00
------------------------------------------------------------------------------------------------------------------------------------
INSUREDS VEHICLE REAR ENDED
XXXXXX XXXXXX 250 88220 3 09/29/2000 Closed ALIAB-PD CLAIMANTS VEHICLE 3,640.91 3,640.91 0.00
------------------------------------------------------------------------------------------------------------------------------------
INSUREDS VEHICLE REAR ENDED
UNITED STATES FILTER 250 88220 2 09/29/2000 Closed AUTOCOLL CLAIMANTS VEHICLE 681.35 1,681.35 0.00
------------------------------------------------------------------------------------------------------------------------------------
INSUREDS VEHICLE REAR ENDED
XXXXX XXXXXX 250 88220 1 09/29/2000 Closed ALIAB-PD CLAIMANTS VEHICLE 682.15 682.15 0.00
------------------------------------------------------------------------------------------------------------------------------------
IV ON I 40 AND WAS REAR ENDED
BY CV WHEN TRAFFIC STOPPED
US FILTER 249 114965 2 10/02/2000 Closed AUTOCOLL SUDDENLY 0.00 0.00 0.00
------------------------------------------------------------------------------------------------------------------------------------
IV ON I 40 AND WAS REAR ENDED
BY CV WHEN TRAFFIC STOPPED
XXXXXXXX XXXXX 249 111965 1 10/02/2000 Closed ALIAB-PD SUDDENLY 0.00 0.00 0.00
------------------------------------------------------------------------------------------------------------------------------------
INSD TRAVEL EAST SOMETHING
LODGED UNDER BRAKE PEDAL
CAUSING 2 SWERVE SAME SIDE
XXXXXXXX XXXXXXXX 253 63030 5 10/07/2000 Closed AUTO-BI & STORE FRONT #7445 1,015.46 1,015.46 0.00
------------------------------------------------------------------------------------------------------------------------------------
INSD TRAVEL EAST SOMETHING
LODGED UNDER BRAKE PEDAL
CAUSING 2 SWERVE SAME SIDE
XXXXX XXXXX 253 63030 4 10/07/2000 Closed ALIAB-PD & STORE FRONT #7445 6,723.80 6,723.80 0.00
------------------------------------------------------------------------------------------------------------------------------------
INSD TRAVEL EAST SOMETHING
LODGED UNDER BRAKE PEDAL
CAUSING 2 SWERVE SAME SIDE
XXXXXX XXXX 253 63030 3 10/07/2000 Closed ALIAB-PD & STORE FRONT #7445 1,505.54 1,505.54 0.00
------------------------------------------------------------------------------------------------------------------------------------
INSD TRAVEL EAST SOMETHING
LODGED UNDER BRAKE PEDAL
CAUSING 2 SWERVE SAME SIDE
US FILTER 253 63030 2 10/07/2000 Closed AUTOCOLL & STORE FRONT #7445 14,925.74 20,068.24 0.00
------------------------------------------------------------------------------------------------------------------------------------
9/3/02 PAGE 26 OF 38
Auto Liability - AIG - Distribution Group
-----------------------------------------------------------------------------------------------------------------------------------
Case Loss Loss Accident Incurred Paid Reserves
Claimant Name Branch # Symbol Date Status Type Desc. Total Total Total
-----------------------------------------------------------------------------------------------------------------------------------
XXXXXX XXXXXX 253 63030 1 10/07/2000 Closed ALIAB-PD INSD TRAVEL EAST 1,295.54 1,295.54 0.00
SOMETHING LODGED
UNDER BRAKE PEDAL
CAUSING 2 SWERVE
SAME SIDE & STORE
FRONT #7445
-----------------------------------------------------------------------------------------------------------------------------------
US FILTER 253 63145 1 10/15/2000 Closed AUTOCOMP IV STOLEN & RECOVERED 1,794.04 2,794.04 0.00
AND WHEELS WERE TAKEN
0FF
-----------------------------------------------------------------------------------------------------------------------------------
US FILTER 249 115380 2 10/16/2000 Closed AUTOCOLL IV WAS E/B OV BEHIND 0.00 0.00 0.00
IV AND IV WAS
-----------------------------------------------------------------------------------------------------------------------------------
XXXXX XXXXX 249 115380 1 10/16/2000 Closed ALIAB-XX XX WAS E/B OV BEHIND 0.00 0.00 0.00
IV AND IV WAS
-----------------------------------------------------------------------------------------------------------------------------------
XXXXXX XXXXXXXXX 249 115514 1 10/20/2000 Closed ALIAB-XX XX WAS DRIVING AND 1,442.75 1,442.75 0.00
STRUCK OV
-----------------------------------------------------------------------------------------------------------------------------------
XXXXXXXXX XXXXXX 249 115818 2 10/27/2000 Closed ALIAB-XX XX WAS MOVING OVER TO 0.00 3,266.70 0.00
CHANGE LANES AND STRUCK
CLMNT VEHICLES
-----------------------------------------------------------------------------------------------------------------------------------
XXXXXX XXXXX 249 115818 1 10/27/2000 Closed ALIAB-XX XX WAS MOVING OVER TO 0.00 7,479.09 0.00
CHANGE LANES AND STRUCK
CLMNT VEHICLES
-----------------------------------------------------------------------------------------------------------------------------------
XXXXXXX XXXXX 253 63434 5 10/27/2000 Closed AUTO-BI IV SLID ON ICE & 5,000.00 5,000.00 0.00
XXXXXX XXXX #0000
-----------------------------------------------------------------------------------------------------------------------------------
XXXXXXXX XXXXX 253 63434 4 10/27/2000 Closed AUTO-BI IV SLID ON ICE & 509.20 509.20 0.00
XXXXXX XXXX #0000
-----------------------------------------------------------------------------------------------------------------------------------
XXXXXXX XXXX 253 63434 3 10/27/2000 Closed AUTO-BI IV SLID ON ICE & 3,710.07 3,710.07 0.00
XXXXXX XXXX #0000
-----------------------------------------------------------------------------------------------------------------------------------
US FILTER 253 63434 2 10/27/2000 Closed AUTOCOLL IV SLID ON ICE & 16,143.04 17,143.04 0.00
XXXXXX XXXX #0000
-----------------------------------------------------------------------------------------------------------------------------------
XXXXXXX XXXXX 253 63434 1 10/27/2000 Closed AUTO-BI IV SLID ON ICE & 0.00 0.00 0.00
XXXXXX XXXX #0000
-----------------------------------------------------------------------------------------------------------------------------------
XXXXXX XXXXXXX 413 3785 1 10/30/2000 Closed AUTO-BI OTHER VEHICLE REARENDED 5,000.00 5,000.00 0.00
INSURED'S VEHICLE
-----------------------------------------------------------------------------------------------------------------------------------
XXXXXX XXXXXXX 413 3785 2 10/30/2000 Closed ALIAB-BI OTHER VEHICLE REARENDED 0.00 0.00 0.00
INSURED'S VEHICLE
-----------------------------------------------------------------------------------------------------------------------------------
US FILTER 253 63518 1 10/31/2000 Closed AUTOCOLL IV PARKED AND OV 0.00 0.00 0.00
BACKED INTO IV
-----------------------------------------------------------------------------------------------------------------------------------
XXXXXXX XXXXXX 249 116017 1 11/04/2000 Closed ALIAB-PD INSURED REAR ENDED THE 1,202.26 1,202.26 0.00
CLAIMANT
-----------------------------------------------------------------------------------------------------------------------------------
US FILTER 249 116071 1 11/06/2000 Closed AUTOCOMP IV WAS TRAVELING AND 0.00 363.85 0.00
SOMEHOW THE DRIVER SIDE
WINDOW SHATTERED
-----------------------------------------------------------------------------------------------------------------------------------
UNITED STATES FILTER 252 104299 1 11/16/2000 Closed AUTOCOLL CLMT REAR ENDED INSURED 599.93 1,599.93 0.00
-----------------------------------------------------------------------------------------------------------------------------------
XXXXXXXX VIRGINIA 253 63995 1 11/21/2000 Closed ALIAB-XX XX RE CV #7445 915.43 915.43 0.00
-----------------------------------------------------------------------------------------------------------------------------------
US FILTER 253 64092 1 11/28/2000 Closed AUTOCOLL IV MAKING LEFT WHEN OV 2,402.26 3,402.26 0.00
TRIED TO
-----------------------------------------------------------------------------------------------------------------------------------
XXXXXXXXX XXXXX 253 64352 1 12/06/2000 Closed ALIAB-XX XX & CV WERE BOTH 478.88 478.88 0.00
BACKING OUT OF THE
PARKING LOT AND THEY
BOTH COLLIDED / 5995
-----------------------------------------------------------------------------------------------------------------------------------
9/3/02 Page 27 of 38
General Liability - AIG - Distribution Group
-----------------------------------------------------------------------------------------------------------------------------------
CLAIMANT CASE LOSS LOSS INCURRED PAID RESERVES
NAME BRANCH # SYMBOL DATE STATUS TYPE ACCIDENT DESC. TOTAL TOTAL TOTAL
-----------------------------------------------------------------------------------------------------------------------------------
US FILTER 249 117635 1 12/11/2000 Closed AUTOCOMP A ROCK FLEW UP AND 0.00 375.03 0.00
STRUCK IV
-----------------------------------------------------------------------------------------------------------------------------------
XXXXXXX XXXXXXXXX 253 64481 1 12/11/2000 Closed ALIAB-PB OV SPUN OUT & IV 0.00 0.00 0.00
ATTEMPT TO STOP AND
BUPMPED THE OV #7445
-----------------------------------------------------------------------------------------------------------------------------------
XXXXXXXXXX XXXXXXX 252 105340 1 12/13/2000 Closed ALIAB-PB INSURED BACKING OUT 0.00 0.00 0.00
OF FUEL ISLAND STRUCK
CLMT
-----------------------------------------------------------------------------------------------------------------------------------
UNITED STATES 252 106118 1 12/13/2000 Closed AUTOCOLL OTHER VEHICLE CROSSED 1,186.73 9,049.91 0.00
FILTER CENTER LINE STRUCK
INSURED-INSURED SPUN
AND WAS STRUCK BY
ANOTHER VEHICLE
-----------------------------------------------------------------------------------------------------------------------------------
XXXXXX XXXXXX 000 00000 2 12/18/2000 Closed AUTOCOLL INSURED AND CLAIMANT 0.00 867.30 0.00
FILTER BOTH BACKING FROM
PARKING SPOTS AND
COLLIDED
-----------------------------------------------------------------------------------------------------------------------------------
XXXXXX XXXXXXX 250 91166 1 12/18/2000 Closed ALIAB-PD INSURED AND CLAIMANT 0.00 0.00 0.00
BOTH BACKING FROM
PARKING SPOTS AND
COLLIDED
-----------------------------------------------------------------------------------------------------------------------------------
US FILTER CORP 250 91286 1 12/19/2000 Closed AUTOCOLL INSURED SKIDDED ON ICE 36.92 1,036.92 0.00
INTO SNOWBANK
-----------------------------------------------------------------------------------------------------------------------------------
UNITED STATES 252 105845 1 12/21/2000 Closed AUTOCOMP INSURED STRUCK DEER 1,396.36 2,396.36 0.00
FILTER
-----------------------------------------------------------------------------------------------------------------------------------
US FILTER 252 64649 2 12/26/2000 Closed AUTOCOLL IV WAS RE BY OV WHO 1,139.08 3,749.37 0.00
DID NOT STOP
-----------------------------------------------------------------------------------------------------------------------------------
XXXXXXXX XXXXXXXXX 253 64649 1 12/26/2000 Closed ALIAB-XX XX WAS RE BY OV WHO 0.00 0.00 0.00
DID NOT STOP
-----------------------------------------------------------------------------------------------------------------------------------
XXXXXXX XXXXXX 253 65134 1 01/11/2001 Closed ALIAB-XX XX LOADING TRUCK AND 0.00 0.00 0.00
BACKING AWAY/LOOKED
BOTH WAYS/DID NOTICE
CV COMING FROM THE
WEST/HE PULLED BACK
-----------------------------------------------------------------------------------------------------------------------------------
UNITED STATES 252 106655 1 01/14/2001 Closed AUTOCOMP INSUREDS VEHICLE THEFT 0.00 0.00 0.00
FILTER
-----------------------------------------------------------------------------------------------------------------------------------
XXXXXX XXXX 249 118321 1 01/18/2001 Closed ALIAB-PD INSD STOPPED AND 0.00 2,341.27 0.00
BEGAN TO BACK UP,
STRIKING CLMT ON THE
FRONT END
-----------------------------------------------------------------------------------------------------------------------------------
XXXXXX XXXXXX 000 00000 1 01/30/2001 Closed AUTOCOLL OTHER VEHICLE RAN INTO 0.00 0.00 0.00
FILTER REAR OF
-----------------------------------------------------------------------------------------------------------------------------------
XXXXXX XXXX L 250 93310 1 02/08/2001 Closed ALIAB-PD CLAIMANT ALLEGES 0.00 1,055.95 0.00
PLASTIC FITTING FLEW
OUT OF INSUREDS
AND HIT CLAIMANTS
VEHICLE
-----------------------------------------------------------------------------------------------------------------------------------
XXXXXX XXXXXX 000 00000 1 02/22/2001 Closed AUTOCOLL INSURED VEHICLE 1,069,85 2,069.85 0.00
FILTER REARENDED IN 4
-----------------------------------------------------------------------------------------------------------------------------------
XXXXXX XXXXX 250 94087 1 02/23/2001 Closed ALIAB-PD CLAIMANT ALLEGES 0.00 0.00 0.00
OBJECT FROM INSURED
VEHICLE FELL CAUSING
HIM TO HAVE ACCIDENT
-----------------------------------------------------------------------------------------------------------------------------------
US FILTER 253 66441 2 03/07/2001 Closed AUTOCOLL IV RAN RED LIGHT & 7,179.12 8,179.12 0.00
STRUCK BY OV
-----------------------------------------------------------------------------------------------------------------------------------
XXXXXXX XXXXXX 253 66441 1 03/07/2001 Closed ALIAB-XX XX RAN RED LIGHT & 5,359.70 5,359.70 0.00
STRUCK BY OV
-----------------------------------------------------------------------------------------------------------------------------------
XXXXXX XXXX 253 66414 2 03/08/2001 Closed ALIAB-XX XX RE CV #7445 216.51 974.89 0.00
-----------------------------------------------------------------------------------------------------------------------------------
9/3/02 Page 28 of 38
Auto Liability - AIG - Distribution Group
-----------------------------------------------------------------------------------------------------------------------------------
CLAIMANT CASE LOSS LOSS INCURRED PAID RESERVES
NAME BRANCH # SYMBOL DATE STATUS TYPE ACCIDENT DESC. TOTAL TOTAL TOTAL
-----------------------------------------------------------------------------------------------------------------------------------
XXXXX XXXXX 253 66414 1 03/08/2001 Closed ALIAB-XX XX RE CV #7445 0.00 3,503.98 0.00
-----------------------------------------------------------------------------------------------------------------------------------
XXXXX XXXXX 253 66414 4 03/08/2001 Closed ALIAB-BI IV RE CV #7445 0.00 671.66 0.00
-----------------------------------------------------------------------------------------------------------------------------------
US FILTER 249 120844 1 03/18/2001 Closed ALIAB-PD OV REAR ENDED IV 0.00 0.00 0.00
-----------------------------------------------------------------------------------------------------------------------------------
XXXXXXXXX 252 110026 1 03/26/2001 Closed ALIAB-PD CLMT ALLEGES SIDE 0.00 3,252.82 0.00
XXXXXXXX GATE FELL OFF
INSUREDS VEHICLE
STRUCK CLMTS VEHICLE
-----------------------------------------------------------------------------------------------------------------------------------
XXXX XXXXX 253 66867 5 03/26/2001 Closed ALIAB-XX XX RE CV #7445 1,864.84 1,907.84 0.00
-----------------------------------------------------------------------------------------------------------------------------------
XXXX XXXXXX 253 66867 4 03/26/2001 Closed ALIAB-BI IV RE CV #7445 56.00 56.00 0.00
-----------------------------------------------------------------------------------------------------------------------------------
US FILTER 253 66867 3 03/26/2001 Closed AUTOCOLL IV RE CV #7445 5,757.62 6,757.62 0.00
-----------------------------------------------------------------------------------------------------------------------------------
XXXXXX XXXXX 253 66867 2 03/26/2001 Closed ALIAB-XX XX RE CV #7445 1,699.31 1,699.31 0.00
-----------------------------------------------------------------------------------------------------------------------------------
XXXXXXXX XXXXXX 253 66867 1 03/26/2001 Closed ALIAB-XX XX RE CV #7445 9,445.42 9,445.42 0.00
---------------------------------------------------------------------------------------------------------------------------------
UNITED STATES 252 110028 1 03/28/2001 Closed AUTOCOLL INSURED PARKED WAS 453.26 1,453.26 0.00
FILTER STRUCK BY OTHER
VEHICLE
-----------------------------------------------------------------------------------------------------------------------------------
XXXXX XXXX 250 95602 1 04/02/2001 Closed ALIAB-BI INSURED VEHICLE 0.00 7,500.00 0.00
STRUCK OTHER
VEHICLE WHILE
TURNING
-----------------------------------------------------------------------------------------------------------------------------------
XXXXX XXXXXX 250 95602 3 04/02/2001 Closed ALIAB-BI INSURED VEHICLE 0.00 7,500.00 0.00
STRUCK OTHER
VEHICLE WHILE
TURNING
-----------------------------------------------------------------------------------------------------------------------------------
XXXXXX XXXXXX 000 00000 2 04/02/2001 Closed AUTOCOLL INSURED VEHICLE 241.50 2,037.72 0.00
FILTER STRUCK OTHER
VEHICLE WHILE
TURNING
-----------------------------------------------------------------------------------------------------------------------------------
XXXXX XXXX 250 95602 1 04/02/2001 Closed ALIAB-PD INSURED VEHICLE 121.24 2,300.30 0.00
STRUCK OTHER
VEHICLE WHILE
TURNING
-----------------------------------------------------------------------------------------------------------------------------------
XXXXXX XXXXXX 000 00000 2 04/05/2001 Closed AUTOCOLL INSURED VEHICLE 0.00 0.00 0.00
FILTER REARENDED CLAIMANTS
VEHICLE
-----------------------------------------------------------------------------------------------------------------------------------
UNKNOWN UNKNOWN 250 95433 1 04/05/2001 Closed ALIAB-PD INSURED VEHICLE 0.00 0.00 0.00
REARENDED CLAIMANTS
VEHICLE
-----------------------------------------------------------------------------------------------------------------------------------
US FILTER 253 67225 1 04/11/2001 Closed AUTOCOLL OV FAILED TO YIELD
AND HIT IV #7445 0.00 4,588.30 0.00
-----------------------------------------------------------------------------------------------------------------------------------
US FILTER 253 67402 2 04/14/2001 Closed AUTOCOLL IV PULLING OUT OF 0.00 0.00 0.00
PARKING SPACE.
-----------------------------------------------------------------------------------------------------------------------------------
XXXXXX XXXXXX 253 67402 1 04/14/2001 Closed ALIAB-XX XX PULLING OUT OF 0.00 0.00 0.00
PARKING SPACE.
-----------------------------------------------------------------------------------------------------------------------------------
US FILTER 249 121738 2 04/16/2001 Closed AUTOCOLL IV WAS ATTEMPTING 0.00 0.00 0.00
TO MAKE A LEFT TURN
AND CV FAILED TO
STOP AT RED LIGHT
AND STRUCK IV
-----------------------------------------------------------------------------------------------------------------------------------
XXXXXX XXX 249 121738 1 04/16/2001 Closed ALIAB-XX XX WAS ATTEMPTING 0.00 0.00 0.00
TO MAKE A LEFT TURN
AND CV FAILED TO
STOP AT RED LIGHT
AND STRUCK IV
-----------------------------------------------------------------------------------------------------------------------------------
XXXXXX XXXXXX 000 00000 1 04/19/2001 Closed AUTOCOLL INSURED VEHICLE 0.00 0.00 0.00
FILTER STRUCK WHILE IN
-----------------------------------------------------------------------------------------------------------------------------------
US FILTER 249 122004 1 04/22/2001 Closed AUTOCOLL IV TRAVELING SB AND 0.00 0.00 0.00
CV MERGING CUT IN
FRONT OF IV CAUSING IV
TO STRIKE CV
---------------------------------------------------------------------------------------------------------------------------------
9/3/02 Page 29 of 38
Auto Liability - AIG - Distribution Group
---------------------------------------------------------------------------------------------------------------------------------
Claimant Name Branch Case # Symbol Loss Date Status Loss Type Accident Desc.
---------------------------------------------------------------------------------------------------------------------------------
INSD FELL ASLEEP AND UHNKNOWN
US FILTER 253 67569 2 04/25/2001 Closed AUTOCOLL FACTS OF ACCIDENT #7445
---------------------------------------------------------------------------------------------------------------------------------
INSD FELL ASLEEP AND UHNKNOWN
US FILTER 253 67569 1 04/25/2001 Closed AUTOCOLL FACTS OF ACCIDENT #7445
---------------------------------------------------------------------------------------------------------------------------------
UNITED STATES FILTER 250 97419 1 05/06/2001 Closed AUTOCOMP INSURED VEHICLE DAMAGED BY HAIL
---------------------------------------------------------------------------------------------------------------------------------
PIPE ROLLED OFF TRUCK AND
STRUCK A CUSTOMER ON BACK AND
PUSHED HIM INTO SIDE OF TRUCK-
XXXXXXXXXXX XXXXX 253 68410 1 05/15/2001 Closed ALIAB-BI 6058
---------------------------------------------------------------------------------------------------------------------------------
INSD WAS HIT BY CLMT VEH
BECAUSE ANOTHER VEH HIT CLMT
HERTZ 249 123103 1 05/17/2001 Closed AUTOCOLL VEH
---------------------------------------------------------------------------------------------------------------------------------
CLAIMANTS VEHICLE DAMAGED BY
PVC PIPE WHICH FELL OFF INSUREDS
XXXXX XXXXXX 250 97412 1 05/30/2001 Closed ALIAB-PD VEHICLE
---------------------------------------------------------------------------------------------------------------------------------
IV WAS TRAVELING SOUTH AND CV
FAILED TO STOP AT A RED LIGHT AND
U S FILTER 249 123669 1 06/04/2001 Closed AUTOCOLL STRUCK IV
---------------------------------------------------------------------------------------------------------------------------------
IV MAKING RIGHT WHEN OV BACKING
OUT OF PARKING SPACE TRAILER OF
XXXXX XXXXXXXX 253 68720 2 06/13/2001 Closed ALIAB-BI IV HIT CV #7445
---------------------------------------------------------------------------------------------------------------------------------
IV MAKING RIGHT WHEN OV BACKING
OUT OF PARKING SPACE TRAILER OF
CALIFORNIA GRADING 253 68720 1 06/13/2001 Closed ALIAB-XX XX HIT CV #7445
---------------------------------------------------------------------------------------------------------------------------------
ROCK HIT WINDSHIELD OF INSURED
US FILTER CORP 250 99546 1 07/03/2001 Closed AUTOCOMP
---------------------------------------------------------------------------------------------------------------------------------
IV S/B ON I-25 AND CHANGING LANES
AND BUMPED OV THAT WAS IN RIGHT
XXXX XXX 253 69098 6 07/10/2001 Closed XXXXX-XX XXXX #0000
---------------------------------------------------------------------------------------------------------------------------------
IV S/B ON I-25 AND CHANGING LANES
AND BUMPED OV THAT WAS IN RIGHT
XXXXXX XXXXXX 253 69098 5 07/10/2001 Closed XXXXX-XX XXXX #0000
---------------------------------------------------------------------------------------------------------------------------------
IV S/B ON I-25 AND CHANGING LANES
AND BUMPED OV THAT WAS IN RIGHT
XXXXXXX XXX 253 69098 4 07/10/2001 Closed XXXXX-XX XXXX #0000
---------------------------------------------------------------------------------------------------------------------------------
IV S/B ON I-25 AND CHANGING LANES
AND BUMPED OV THAT WAS IN RIGHT
XXXXXXX (MINOR) MANUAL 253 69098 3 07/10/2001 Closed XXXXX-XX XXXX #0000
---------------------------------------------------------------------------------------------------------------------------------
IV S/B ON I-25 AND CHANGING LANES
AND BUMPED OV THAT WAS IN RIGHT
XXXXXXX MANUAL 253 69098 1 07/10/2001 Closed ALIAB-BI LANE #7445
---------------------------------------------------------------------------------------------------------------------------------
US FILTER 249 125594 2 07/20/2001 Closed AUTOCOLL IV REAR ENDED CV
---------------------------------------------------------------------------------------------------------------------------------
XXXXX XXXXXX J 249 125594 1 07/20/2001 Closed ALIAB-XX XX REAR ENDED CV
---------------------------------------------------------------------------------------------------------------------------------
-------------------------------------------------------------------------------
Claimant Name Incurred Total Paid Total Reserves Total
-------------------------------------------------------------------------------
US FILTER 0.00 1,086.72 0.00
-------------------------------------------------------------------------------
US FILTER 4,501.49 30,278.58 0.00
-------------------------------------------------------------------------------
UNITED STATES FILTER 80.08 80.08 0.00
-------------------------------------------------------------------------------
XXXXXXXXXXX XXXXX 0.00 1,246.00 0.00
-------------------------------------------------------------------------------
HERTZ 0.00 0.00 0.00
-------------------------------------------------------------------------------
XXXXX XXXXXX 0.00 0.00 0.00
-------------------------------------------------------------------------------
U S FILTER 76.00 2,299.89 0.00
-------------------------------------------------------------------------------
XXXXX XXXXXXXX 0.00 6,000.00 0.00
-------------------------------------------------------------------------------
CALIFORNIA GRADING 0.00 7,482.97 0.00
-------------------------------------------------------------------------------
US FILTER CORP 0.00 292.06 0.00
-------------------------------------------------------------------------------
XXXX XXX 0.00 0.00 0.00
-------------------------------------------------------------------------------
XXXXXX XXXXXX 0.00 0.00 0.00
-------------------------------------------------------------------------------
XXXXXXX XXX 0.00 0.00 0.00
-------------------------------------------------------------------------------
XXXXXXX (MINOR) MANUAL 0.00 0.00 0.00
-------------------------------------------------------------------------------
XXXXXXX MANUAL 0.00 7,265.36 0.00
-------------------------------------------------------------------------------
US FILTER 0.00 0.00 0.00
-------------------------------------------------------------------------------
XXXXX XXXXXX J 90.00 1,001.68 0.00
-------------------------------------------------------------------------------
9/3/02
Page 30 of 38
Auto Liability - AIG - Distribution Group
---------------------------------------------------------------------------------------------------------------------------------
Claimant Name Branch Case # Symbol Loss Date Status Loss Type Accident Desc.
---------------------------------------------------------------------------------------------------------------------------------
US FILTER 253 69381 2 07/23/2001 Closed AUTOCOLL IV TURNED LEFT, OV TRAVELING ON
---------------------------------------------------------------------------------------------------------------------------------
XXXXXX XXXXX 253 69381 1 07/23/2001 Closed ALIAB-XX XX TURNED LEFT, OV TRAVELING ON
---------------------------------------------------------------------------------------------------------------------------------
UNITED STATES FILTER 250 99494 2 07/24/2001 Closed AUTOCOLL OTHER VEHICLE RAN A RED LIGHT
---------------------------------------------------------------------------------------------------------------------------------
UNKNOWN UNKNOWN 250 99494 1 07/24/2001 Closed ALIAB-PD OTHER VEHICLE RAN A RED LIGHT
---------------------------------------------------------------------------------------------------------------------------------
IV FAILED TO YIELD TO CV AND
STRUCK CV AND THEN CV AND IV
STRUCK OV THAT WAS STOPPED AT
US FILTER 249 125785 3 07/25/2001 Closed AUTOCOLL CORNER
---------------------------------------------------------------------------------------------------------------------------------
IV WAS BACKING AND STRUCK A
POLE AND CAUSED DAMAGE TO
US FILTER 249 125811 1 07/26/2001 Closed AUTOCOLL INSURED VEHICLE
---------------------------------------------------------------------------------------------------------------------------------
IV AND OV WERE STOPPED AND A
BEE STUNG INSRD DRIVER FOOT
SLIPPED OFF BRAKE AND IV REAR
XXXXXXXXXXX XXXXXX 249 127750 1 08/11/2001 Closed ALIAB-PD ENDED CV
---------------------------------------------------------------------------------------------------------------------------------
INSURED VEHICLE BACKED INTO
UNITED STATES FILTER 250 100428 2 08/22/2001 Closed AUTOCOLL CLAIMANTS VEHICLE
---------------------------------------------------------------------------------------------------------------------------------
INSURED VEHICLE BACKED INTO
XXXXX XXXX 250 100428 1 08/22/2001 Closed ALIAB-PD CLAIMANTS VEHICLE
---------------------------------------------------------------------------------------------------------------------------------
US FILTER 249 127110 2 08/22/2001 Closed AUTOCOLL IV WAS STOPPED AT LIGHT AND WAS
---------------------------------------------------------------------------------------------------------------------------------
INSURED VEHICLE ATTEMPTED TO
CHANGE LANES AND HIT OTHER
XXXXXXXXX XXXXX 250 100514 1 08/24/2001 Closed ALIAB-PD VEHICLE
---------------------------------------------------------------------------------------------------------------------------------
XXXXXXXX XXX 252 116961 1 08/30/2001 Closed ALIAB-PD INSURED REAR ENDED CLMT
---------------------------------------------------------------------------------------------------------------------------------
INSURED VEHICLE STRUCK BY
CLAIMANT VEHICLE WHEN PARKED
UNITED STATES FILTER 250 100796 2 08/31/2001 Closed AUTOCOLL ON STREET
---------------------------------------------------------------------------------------------------------------------------------
IV WAS PARKED AND WAS STRUCK
US FILTER 249 127582 1 09/01/2001 Closed AUTOCOLL BY OV
---------------------------------------------------------------------------------------------------------------------------------
IV AND CV WERE BACKING AND
XXXXX XXXX 249 127585 1 09/08/2001 Closed ALIAB-PD STRUCK
---------------------------------------------------------------------------------------------------------------------------------
IV E/B 184, OV E/B OBJECT FLEW
OFF IV AND OV STRUCK THE OBJECT
XXXX XXX 253 70238 1 09/10/2001 Closed ALIAB-PD #7445
---------------------------------------------------------------------------------------------------------------------------------
INSURED VEHICLE WAS BLINDED BY
THE SUN AND STRUCK CLAIMANTS
PENSKE TRUCK LEASING 250 101394 3 09/19/2001 Closed ALIAB-PD VEHICLE
---------------------------------------------------------------------------------------------------------------------------------
-------------------------------------------------------------------------------
Claimant Name Incurred Total Paid Total Reserves Total
-------------------------------------------------------------------------------
US FILTER 0.00 6,417.46 0.00
-------------------------------------------------------------------------------
XXXXXX XXXXX 0.00 12,247.39 0.00
-------------------------------------------------------------------------------
UNITED STATES FILTER 80.00 1,729.71 0.00
-------------------------------------------------------------------------------
UNKNOWN UNKNOWN 0.00 0.00 0.00
-------------------------------------------------------------------------------
US FILTER 2,100.00 22,710.00 0.00
-------------------------------------------------------------------------------
US FILTER 808.25 3,619.79 0.00
-------------------------------------------------------------------------------
XXXXXXXXXXX XXXXXX 0.00 426.00 0.00
-------------------------------------------------------------------------------
UNITED STATES FILTER 0.00 0.00 0.00
-------------------------------------------------------------------------------
XXXXX XXXX 0.00 500.00 0.00
-------------------------------------------------------------------------------
US FILTER 0.00 0.00 0.00
-------------------------------------------------------------------------------
XXXXXXXXX XXXXX 97.43 1,297.43 0.00
-------------------------------------------------------------------------------
XXXXXXXX XXX 0.00 872.35 0.00
-------------------------------------------------------------------------------
UNITED STATES FILTER 170.00 3,954.46 0.00
-------------------------------------------------------------------------------
US FILTER 0.00 0.00 0.00
-------------------------------------------------------------------------------
XXXXX XXXX 0.00 0.00 0.00
-------------------------------------------------------------------------------
XXXX XXX 0.00 153.89 0.00
-------------------------------------------------------------------------------
PENSKE TRUCK LEASING 0.00 1,162.99 0.00
-------------------------------------------------------------------------------
9/3/02 Page 31 of 38
Auto Liability - AIG - Distribution Group
---------------------------------------------------------------------------------------------------------------------------------
Claimant Name Branch Case # Symbol Loss Date Status Loss Type Accident Desc.
---------------------------------------------------------------------------------------------------------------------------------
INSURED VEHICLE WAS BLINDED BY
THE SUN AND STRUCK CLAIMANTS
UNITED STATES FILTER 250 101394 2 09/19/2001 Closed AUTOCOLL VEHICLE
---------------------------------------------------------------------------------------------------------------------------------
INSURED VEHICLE WAS BLINDED BY
THE SUN AND STRUCK CLAIMANTS
XXXXX XXXXX 250 101394 1 09/19/2001 Closed ALIAB-PD VEHICLE
---------------------------------------------------------------------------------------------------------------------------------
UNITED STATES FILTER 250 102081 1 10/02/2001 Closed AUTOCOMP DEBRIS HIT WINDSHIELD CAUSING IT
---------------------------------------------------------------------------------------------------------------------------------
UNITED STATES FILTER 250 102078 1 10/08/2001 Closed AUTOCOMP DEBRI HIT WINDSHIELD CAUSING IT
---------------------------------------------------------------------------------------------------------------------------------
US FILTER 253 70669 1 10/08/2001 Closed AUTOCOLL OV TRIED TO PASS IV AND COLLIDED
---------------------------------------------------------------------------------------------------------------------------------
XXXXXXXX XXX 249 128900 1 10/11/2001 Closed ALIAB-PD A PIECE OF PIPE FELL OFF IV AND
---------------------------------------------------------------------------------------------------------------------------------
INSD MAKING A TURN AND OTHER
US FILTER 249 188644 2 10/18/2001 Closed AUTOCOLL VCH STRUCKLMT IN REAR
---------------------------------------------------------------------------------------------------------------------------------
INSD MAKING A TURN AND OTHER
UNITED STATES FILTER 249 128864 1 10/18/2001 Closed AUTOCOLL VCH STRUCKLMT IN REAR
---------------------------------------------------------------------------------------------------------------------------------
INSUREDS VEHICLE SWERVED TO
AVOID ANOTHER VEHICLE AND HIT
DEEP SOUTH CRANE RIGGING 250 102871 1 10/23/2001 Closed ALIAB-PD REAR OF CLAIMANTS VEHICLE
---------------------------------------------------------------------------------------------------------------------------------
INSURED VEHICLE STRUCK CLAIMANT
VEHICLE WHEN IT DIDN'T TURN WITH
XXXXXXXX XXXXXXX 250 102788 1 10/24/2001 Closed ALIAB-PD SIGNALS ON
---------------------------------------------------------------------------------------------------------------------------------
XXXX XXXXXX 250 102853 1 10/29/2001 Closed ALIAB-PD CLAIMANT VEHICLE STRUCK BY BOX
---------------------------------------------------------------------------------------------------------------------------------
A ROCK STRUCK WINDSHIELD AND
US FILTER CORP 249 130504 1 11/13/2001 Closed AUTOCOMP CAUSED A CRACK IN WINDSHIELD
---------------------------------------------------------------------------------------------------------------------------------
UNITED STATES FILTER CORP 413 4108 1 11/16/2001 Closed AUTOCOLL INSURED'S VEHICLE WINDSHIELD WAS
---------------------------------------------------------------------------------------------------------------------------------
US FILTER 253 71526 1 11/24/2001 Closed AUTOCOMP CHIP REPAIR ON INSURED VEHICLE
---------------------------------------------------------------------------------------------------------------------------------
INSUREDS VEHICLE LOST CONTROL
UNITED STATES FILTER 250 104018 2 11/27/2001 Closed AUTOCOLL AND ROLLED OVER
---------------------------------------------------------------------------------------------------------------------------------
INSUREDS VEHICLE LOST CONTROL
XXXXX XXXXXXX 250 104018 1 11/27/2001 Closed ALIAB-BI AND ROLLED OVER
---------------------------------------------------------------------------------------------------------------------------------
XXXXXXXX XXXXXXX 249 130541 1 11/28/2001 Closed ALIAB-XX XX AND CV COLLIDED WHILE MERGING
---------------------------------------------------------------------------------------------------------------------------------
INSUREDS VEHICLE MAKING TURN
SIDE BY SIDE CLAIMANT HIT
UNITED STATES FILTER 250 107709 8 12/01/2001 Closed AUTOCOLL INSUREDS VEHICLE
---------------------------------------------------------------------------------------------------------------------------------
INSUREDS VEHICLE MAKING TURN
SIDE BY SIDE CLAIMANT HIT
XXX XXXX 250 107709 7 12/01/2001 Closed ALIAB-BI INSUREDS VEHICLE
---------------------------------------------------------------------------------------------------------------------------------
-------------------------------------------------------------------------------
Claimant Name Incurred Total Paid Total Reserves Total
-------------------------------------------------------------------------------
UNITED STATES FILTER 154.17 21,154.17 0.00
-------------------------------------------------------------------------------
XXXXX XXXXX 0.00 410.38 0.00
-------------------------------------------------------------------------------
UNITED STATES FILTER 0.00 80.00 0.00
-------------------------------------------------------------------------------
UNITED STATES FILTER 0.00 65.00 0.00
-------------------------------------------------------------------------------
US FILTER 0.00 2,768.97 0.00
-------------------------------------------------------------------------------
XXXXXXXX XXX 70.00 1,439.85 0.00
-------------------------------------------------------------------------------
US FILTER 297.70 297.70 0.00
-------------------------------------------------------------------------------
UNITED STATES FILTER 693.15 693.15 0.00
-------------------------------------------------------------------------------
DEEP SOUTH CRANE RIGGING 114.62 2,287.80 0.00
-------------------------------------------------------------------------------
XXXXXXXX XXXXXXX 101.00 1,801.00 0.00
-------------------------------------------------------------------------------
XXXX XXXXXX 85.00 2,413.92 0.00
-------------------------------------------------------------------------------
US FILTER CORP 0.00 403.83 0.00
-------------------------------------------------------------------------------
UNITED STATES FILTER CORP 0.00 0.00 0.00
-------------------------------------------------------------------------------
US FILTER 0.00 60.00 0.00
-------------------------------------------------------------------------------
UNITED STATES FILTER 1,923.49 18,122.57 0.00
-------------------------------------------------------------------------------
XXXXX XXXXXXX 0.00 2,500.00 0.00
-------------------------------------------------------------------------------
XXXXXXXX XXXXXXX 0.00 0.00 0.00
-------------------------------------------------------------------------------
UNITED STATES FILTER 0.00 0.00 0.00
-------------------------------------------------------------------------------
XXX XXXX 0.00 0.00 0.00
-------------------------------------------------------------------------------
9/3/02 Page 32 of 38
APPENDIX D-4
INSURANCE CLAIMS: USF SELF-MANAGED AUTOMOBILE
AO 777492.1
In house Auto Liability - Distribution Group
USF Dr USF Dr USF Incident Total P/D Total P/D Total P/D
Last Name First Name Claim No. Date Status Incident Description Incurred Paid Reserve
--------------------------------------------------------------------------------------------------------------------------------
Xxxx Xxxxxxx 00-00-000 13-Jun-02 C OV made left hand turn in front $ 2,369.93 $ 2,369.93 $ 0.00
of IV
Xxxx Xxxxxxx 00-00-000 26-Jun-02 O ID checking into Motel and $ 1,000.00 $ 0.00 $1,000.00
was robbed, IV stolen
Xxxxxxx Xxxxx 00-00-000 13-Aug-02 C ds window broken $ 289.18 $ 289.18 $ 0.00
Xxxxx Xxxxxxx 02-03-010a 05-Mar-02 O Third vehicle information $ 0.00 $ 0.00 $ 0.00
Xxxxxxxx Xxxxxx 00-00-000 07-Mar-02 C IV rearended by OV $ 0.00 $ 0.00 $ 0.00
Xxxxx Xxxxxx 00-00-000 22-Apr-02 C Struck deer $ 1,788.23 $ 1,788.23 $ 0.00
USF 00-00-000 28-Aug-02 O W/S crack $ 500.00 $ 0.00 $ 500.00
Xxxxxxx Xxxxxxx 00-00-000 01-Jul-02 C Rock Chip to windshield $ 53.64 $ 53.64 $ 0.00
Xxxx Xxxxxx 00-00-000 25-Feb-02 C OV rear-ended IV $ 0.00 $ 0.00 $ 0.00
Xxxx Xxxx 00-00-000 02-Apr-02 C IV broken into $ 181.23 $ 181.23 $ 0.00
Xxxxx Xxxxx 00-00-000 24-Jul-02 C IV Front Windshield Struck $ 414.68 $ 414.68 $ 0.00
by Rock
Boys Xxx 00-00-000 01-May-02 C IV struck by OV while parked $ 0.00 $ 0.00 $ 0.00
Xxxxx Xxxxxx 00-00-000 01-Jul-02 C Flying golf ball broke IV's $ 0.00 $ 0.00 $ 0.00
windshield
Xxxxx Xxxx 00-00-000 30-Jun-02 C Vehicle hauling gravel. $ 532.30 $ 532.30 $ 0.00
Gravel hit W/S
Xxxxx Xxxxx 00-00-000 12-Aug-02 O IV rear-ended by OV $ 500.00 $ 0.00 $ 500.00
Xxxxx Xxxxxx 00-00-000 03-Jul-02 C Air line disconnected, brakes $ 4,397.87 $ 4,397.87 $ 0.00
locked, vehicle xxxx-knifed
02-07-356B 11-Jul-02 C $ 0.00 $ 0.00 $ 0.00
Xxxxxxx Xxxx 00-00-000 17-Jun-02 C W/S Crack $ 492.81 $ 492.81 $ 0.00
Xxxxxxx Xxxxx 00-00-000 08-Apr-02 C OV crossed lane and struck IV $ 0.00 $ 0.00 $ 0.00
Xxxxxx Xxxxxx 00-00-000 19-Apr-02 C IV struck by OV while stopped $ 0.00 $ 0.00 $ 0.00
at signal
Xxxxxxxx Xxx 00-00-000 08-May-02 C OV struck IV when OV $ 0.00 $ 0.00 $ 0.00
changed lanes
Tunnell Frederick 02-01-012 08-Jan-02 C IV rear-ended OV $ 0.00 $ 0.00 $ 0.00
USFILTER 02-07-374 17-Jul-02 C W/S Crack $ 488.12 $ 488.12 $ 0.00
USFILTER 02-07-373 17-Jul-02 O W/S crack $ 400.00 $ 0.00 $ 400.00
Lively Zackery 02-03-049 22-Mar-02 C IV stopped - OV1 rear-ended $ 0.00 $ 0.00 $ 0.00
OV2 which rear-ended IV
Davis Dale 02-06-265 19-Jun-02 C OV1 rear-ended OV2 which $ 0.00 $ 0.00 $ 0.00
rear-ended IV
02-07-336B 08-Jul-02 C $ 0.00 $ 0.00 $ 0.00
02-07-336C 08-Jul-02 C $ 0.00 $ 0.00 $ 0.00
Barton Carl 02-05-153 07-May-02 O tape recorder in the vehicle $ 160.00 $ 0.00 $ 160.00
Pfundheller Teresa 02-03-044 20-Mar-02 C IV struck by OV $ 0.00 $ 0.00 $ 0.00
Renteria Ricardo 02-05-176 16-May-02 O OV attempted to make U-Turn $ 3,142.34 $ 3,142.34 $ 0.00
and hit IV
Lemoine Keith 02-02-115 13-Feb-02 C OV failed to stop for a stop $ 0.00 $ 0.00 $ 0.00
sign and struck IV
Deglopper Terry 02-07-428 29-Jul-02 O Rock Chip on W/S $ 500.00 $ 0.00 $ 500.00
Ballinger Bob 02-06-257 16-Jun-02 C Tree limb fell on iv during $ 1,191.62 $ 1,191.62 $ 0.00
storm
Raehl Dan 02-08-456 03-Aug-02 O IV was stolen somewhere $ 5,000.00 $ 0.00 $5,000.00
between 9-10 AM
USFilter 02-08-469 08-Aug-02 O Rock chip in W/S $ 350.00 $ 0.00 $ 350.00
------------------------------------
TOTAL IN HOUSE AUTO - $23,751.95 $15,341.95 $8,410.00
DISTRIBUTION GROUP
---------------------------------------------------------------------------------------------------------------------------------
9/3/02 Page 1 of 1
APPENDIX D-5
INSURANCE CLAIMS: ASBESTOS
DISTRIBUTION GROUP ASBESTOS CLAIMS SUMMARY
CASE TARGETED YEAR DEFENSE PLAINTIFF OPEN/
NAME ENTITY SERVED JD ATTORNEY ATTORNEY CLOSED ALLEGATIONS EXPOSURE SITE
------------------------------------------------------------------------------------------------------------------------------------
DAVIS
(TAYLOR JEFF)
------------------------------------------------------------------------------------------------------------------------------------
Plaintiff
alleges exposure
to asbestos-
containing
products while
employed from
'53-'74 in So.
California in
various
construction-
Davis Water & CA-San Eric Hass- related jobs.
Forbee, Lewis v. Waste as Francisco Burnham Alleges products
USF Distribution successor to Superior Brown, Jack Clopper, Personal Injury- were distributed
Group Taylor-Jett 2002 Ct. Oakland, CA Sausalito, CA Open Mesothelloma by Taylor-Jett
------------------------------------------------------------------------------------------------------------------------------------
Multiple
Aubery, Myre unidentified
v. A.p. Green employers/
Industries, jobsites
et al Davis Water & CA-San Eric Hass- Dean Henley- Plumber/
including USF Waste as Francisco Burnham Paul & Henley, pipefitter
Distribution successor to Superior Brown, Richmond, Closure Wrongful Death- 1952 to 2001 in
Group- CA Taylor-Jett 2002 Ct. Oakland, CA CA pending Lung Cancer Los Angeles area.
------------------------------------------------------------------------------------------------------------------------------------
Gunderson, Personal Injury- Washed clothes
Genevive J., Mesothelloma. of pipefitter
V.A.W. Chesterion Wife alleges (interior
Company, et al Davis Water & CA-San Eric Hass- Dean-Henley- exposure from piping, valves
including Waste as Francisco Burnham Paul & Henley, asbestos-laden and boilers)
USF Distribution successor to Superior Brown, Richmond, Closure clothing of husband from
Group- CA Taylor-Jett 2002 Ct. Oakland, CA CA pending husband. '49 to '52
------------------------------------------------------------------------------------------------------------------------------------
Alleged exposure
in Navy
('50-'53), then
in Utah as
pipefitter at
various locations
Neilson, Hal v. David ('49) and then in
Davis Water Davis Water & CA-San Eric Hass- Donadio- CA ('53-'60),
& Waste Waste as Francisco Burnham Brayton Personal Injury- then at City of
Industries, successor to Superior Brown, Purcell, Asbestiosis South Gate, CA
et al- CA Taylor-Jett 2001 Ct. Oakland, CA Novato, CA Open (disputed) ('1-'90)
------------------------------------------------------------------------------------------------------------------------------------
Multiple
employers/
Green, Raymond jobsites- alleges
v. A.p. Green he personally
Industries, purchased AC
et al, Davis Water & CA-San Eric Hass- Dean Henley- Personal Injury- pipe from TJ
including Waste as Francisco Burnham Paul & Henley, Lung Cancer/ in 60's and
USF Distribution successor to Superior Brown, Richmond, pleural knew Mr. Taylor
Group- CA Taylor-Jett 2001 Ct. Oakland, CA CA Closed disease and Mr. Jett.
------------------------------------------------------------------------------------------------------------------------------------
Multiple
employers/
Jones, Wayne v. jobsites as
A.P. Green backhoe operator
Industries, ('73-'85); then
et al, Davis Water & CA-San Eric Hass- Personal Injury- as self-employed
including Waste as Francisco Burnham Asbestos General
USF Distribution successor to Superior Brown, Jack Clopper, related Contractor
Group- CA Taylor-Jett 2001 Ct. Oakland, CA Sausalito, CA Open Lung Cancer ('85-'90)
------------------------------------------------------------------------------------------------------------------------------------
Multiple
employers/
jobsites- alleged
exposure as
laborer and
machinist
Glosenger, Mabel ('41-'47) Only
v. A.p. Green connection to
Industries, CA is employment
et al Davis Water & CA-San Eric Hass- Dean-Henley- in Naval
including Waste as Francisco Burnham Paul & Henley, shipyards in
USF Distribution successor to Superior Brown, Richmond, Closure Wrongful death- San Francisco
Group- CA Taylor-Jett 2002 Ct. Oakland, CA CA pending mesothellama ('44-45')
------------------------------------------------------------------------------------------------------------------------------------
Howell v. Ace Pipeline
Marden Davis Water & CA-San Eric Olson- Christopher Wrongful death- 1954-1961
Susco, et al, Waste as Francisco Halseend, E. Grell, San asbestos & Regal
incl Davis successor to Superior Baker & Francisco, related Construction
Water and Waste Taylor-Jett 1991 Ct. Olson CA Closed disease 1961-1984
------------------------------------------------------------------------------------------------------------------------------------
Buller v.
Certain-teed CA-Los Jay McConnell- Steven Wrongful death-
Corporation, Angeles Meyers, Roseman- asbestos
et al incl. Taylor-Jett 1984- Superior Blanch & Los Angeles, related
Taylor-Jett Company 857 Ct. McConnell CA Closed disease Unknown
------------------------------------------------------------------------------------------------------------------------------------
Jay McConnell- Wrongful death-
Meyers, asbestos
Taylor-Jett 1984- Blanch & related
Gardes Company 857 unknown McConnell unknown Closed disease Unknown
------------------------------------------------------------------------------------------------------------------------------------
DEFENSE PAID
---------------------------------
CASE BY BY
NAME STATUS ROR DEMAND USF CARRIER TOTAL
-----------------------------------------------------------------------------------------------------------------------
DAVIS (TAYLOR JEFF)
-----------------------------------------------------------------------------------------------------------------------
New suit. We are tendering
to Liberty Mutual for
Forbee, Lewis v. defense and indemnity.
USF Distribution Also tendering to Taylor-
Group Jett heirs for indemnity. n/a unspecified 0
-----------------------------------------------------------------------------------------------------------------------
Aubery, Myre
v. A.p. Green
Industries,
et al
including USF
Distribution Davis has been dismissed
Group- CA from suit yes unspecified 1,596 0 1,596
-----------------------------------------------------------------------------------------------------------------------
Gunderson,
Genevive J.,
V.A.W. Chesterion
Company, et al
including
USF Distribution Davis has been dismissed
Group- CA from suit yes $185K 4,844 0 4,844
-----------------------------------------------------------------------------------------------------------------------
Liberty Mutual made $2,500
Neilson, Hal v. settlement offer. Plaintiff
Davis Water did not respond. In discovery,
& Waste Settlement Conference set
Industries, for 9/6/02, trial set for
et al- CA 9/16/02. yes $15K 22,334 22,334
-----------------------------------------------------------------------------------------------------------------------
Green, Raymond
v. A.p. Green
Industries,
et al
including
USF Distribution Settled on 4/24/02 for
Group- CA $150K- Liberty funded 100% yes $185K 106,202 106,202
-----------------------------------------------------------------------------------------------------------------------
Jones, Wayne v.
A.P. Green Demand has been reduced
Industries, to $70K. Liberty Mutual
et al, approved settlement up
including to $40K. We offered $30K,
USF Distribution no response from
Group- CA plaintiff yet. yes $70K 23,048 23,048
-----------------------------------------------------------------------------------------------------------------------
Glosenger, Mabel
v. A.p. Green
Industries,
et al
including
USF Distribution Davis has been
Group- CA dismissed from suit. TBD Unspecified 1,049
-----------------------------------------------------------------------------------------------------------------------
Howell v.
Marden
Susco, et al,
incl Davis
Water and Waste Case was dismissed TBD Unknown 0
------------------------------------------------------------------------------------------------------------------------
Buller v.
Certain-teed
Corporation,
et al incl.
Taylor-Jett Case was dismissed in 1985 n/a Unknown 0
------------------------------------------------------------------------------------------------------------------------
Case was settled in 1985
for $10,000- cost of
Gardes defense settlement. n/a Unknown 0
------------------------------------------------------------------------------------------------------------------------
SETTLEMENTS PAID
-------------------------------------
TOTAL
PAID-
DEFENSE
CASE BY BY AND
NAME USF CARRIER TOTAL INDEMNITY
-------------------------------------------------------------------
DAVIS (TAYLOR JEFF)
-------------------------------------------------------------------
Forbee, Lewis v.
USF Distribution
Group 0 0
-------------------------------------------------------------------
Aubery, Myre
v. A.p. Green
Industries,
et al
including USF
Distribution
Group- CA 0 1,596
-------------------------------------------------------------------
Gunderson,
Genevive J.,
V.A.W. Chesterion
Company, et al
including
USF Distribution
Group- CA 0 4,844
-------------------------------------------------------------------
Neilson, Hal v.
Davis Water
& Waste
et al- CA 0 22,334
-------------------------------------------------------------------
Green, Raymond
v. A.P. Green
Industries,
et al,
including
USF Distribution
Group- CA 150,000 150,000 256,202
-------------------------------------------------------------------
Jones, Wayne v.
A.P. Green
Industries,
et al,
including
USF Distribution
Group- CA 0 23,048
-------------------------------------------------------------------
Glosenger, Mabel
v. A.p. Green
Industries,
et al
including
USF Distribution
Group- CA 0 1,049
-------------------------------------------------------------------
Howell v.
Marden
Susco, et al,
incl Davis
Water and Waste 0 0
-------------------------------------------------------------------
Buller v.
Certain-teed
Corporation,
et al incl.
Taylor-Jett 0 0
-------------------------------------------------------------------
Gardes 10,000 10,000 10,000
-------------------------------------------------------------------
DG Asbestos Claims Summary
09/03/02 Page 1 of 5 09-04-02, Davis (Taylor-Jett)
DISTRIBUTION GROUP ASBESTOS CLAIMS SUMMARY
-----------------------------------------------------------------------------------------------------------------------------------
-----------------------------------------------------------------------------------------------------------------------------------
Targeted Year Defense Plaintiff Open/
Case Name Entity Served JD Attorney Attorney Closed
-----------------------------------------------------------------------------------------------------------------------------------
-----------------------------------------------------------------------------------------------------------------------------------
-----------------------------------------------------------------------------------------------------------------------------------
-----------------------------------------------------------------------------------------------------------------------------------
Case Name (Continued) Allegations Exposure Site Status ROR Demand
-----------------------------------------------------------------------------------------------------------------------------------
Davis (Taylor-Jeff) Subtotal
-----------------------------------------------------------------------------------------------------------------------------------
-- -------------------------------------------------------------------
Defense Paid Settlements Paid
-----------------------------------------------------------------------------------------------------------------------------------
Total Paid-
Defense
Case Name (Continued) By and
By USF By Carrier Total By USF Carrier Total Indemnity
-----------------------------------------------------------------------------------------------------------------------------------
7,489 151,584 159,073 0 160,000 160,000 319,073
-----------------------------------------------------------------------------------------------------------------------------------
09/03/02 Page 2 of 5 DG Asbestos Claims Summary 09-04-02, Davis
(Taylor-Jeff)
DISTRIBUTION GROUP ASBESTOS CLAIMS SUMMARY
-----------------------------------------------------------------------------------------------------------------------------
-----------------------------------------------------------------------------------------------------------------------------
Case Name Targeted Year JD Defense Plaintiff Open/
Entity Served Attorney Attorney Closed
-----------------------------------------------------------------------------------------------------------------------------
PACIFIC WATER WORKS
-----------------------------------------------------------------------------------------------------------------------------
Arndt, Judy May v. Allied Pacific Water 2000 WA - King Bob Gardner David Stewart- Closure
Signal Inc., et al including Works Supply Co. Dunlap & Brayton & pending
Pacific Water Works Supply Co. Inc. Superior Soderland, Purcell,
Co. Inc.-WA Seattle, WA Portland, OR
-----------------------------------------------------------------------------------------------------------------------------
Hatfield, John v. Pacific Water Pacific Water 2001 WA - King Bob Gardner Mark Leemon- Open
Works Supply Co. Inc. et al- Works Supply Co. Dunlap & Schroeler
WA Co. Inc. Superior Soderland, Goldmark and
Seattle, WA Bender,
Seattle, WA
-----------------------------------------------------------------------------------------------------------------------------
Miller, Delmonte v. Armstrong Pacific Water 2000 WA - King Bob Gardner William Rutzick- Closed
World Industries Inc. et al Works Supply Co. Dunlap & Schroeler
including Pacific Water Works Co. Inc. Superior Soderland, Goldmark and
Supply Co. Inc.-WA Seattle, WA Bender,
Seattle, WA
-----------------------------------------------------------------------------------------------------------------------------
Waldron, Evelyn (for estate of Pacific Water 2000 WA - King Bob Gardner Mark Leemon- Closed
Arthur Waldron) v. Pacific Works Supply Co. Dunlap & Schroeler
Water Works Supply Co. Inc. Co. Inc. Superior Soderland, Goldmark and
et al Seattle, WA Bender,
Seattle, WA
-----------------------------------------------------------------------------------------------------------------------------
Duby, Bernard J. v. Pacific Pacific Water 1999 WA - King Bob Gardner unknown Closed
Water Works et al Works Supply Co. Dunlap &
Co. Inc. Superior Soderland,
Seattle, WA
-----------------------------------------------------------------------------------------------------------------------------
Hodgin, Elmer v. Pacific Pacific Water 1996 WA - King Bob Gardner unknown Closed
Water Works et al Works Supply Co. Dunlap &
Co. Inc. Superior Soderland,
Seattle, WA
-----------------------------------------------------------------------------------------------------------------------------
--------------------------------------------------------------------------------------------------------
--------------------------------------------------------------------------------------------------------
Case Name
Allegations Exposure Site
--------------------------------------------------------------------------------------------------------
PACIFIC WATER WORKS
--------------------------------------------------------------------------------------------------------
Arndt, Judy May v. Allied Wrongful death - mesothelioma Plaintiff witness alleges PWW
Signal Inc., et al including pipe at two of plaintiff's jobsites.
Pacific Water Works Supply Will testify that Plaintiff cut pipe.
Co. Inc.-WA
--------------------------------------------------------------------------------------------------------
Hatfield, John v. Pacific Water Personal injury - asbestos Alleged exposure in Navy ('42-'44)
Works Supply Co. Inc. et al- related cancer and while employed at Seattle
WA Water Dept. ('59-'62) Multiple
employers/jobsites
--------------------------------------------------------------------------------------------------------
Miller, Delmonte v. Armstrong Wrongful death - Asbestosis Multiple employers/jobsites
World Industries Inc. et al
including Pacific Water Works
Supply Co. Inc.-WA
--------------------------------------------------------------------------------------------------------
Waldron, Evelyn (for estate of Wrongful death - Mesothelioma Multi-year employment at one job
Arthur Waldron) v. Pacific site
Water Works Supply Co. Inc.
et al
--------------------------------------------------------------------------------------------------------
Duby, Bernard J. v. Pacific Personal injury - Asbestosis Multiple employers/jobsites
Water Works et al
--------------------------------------------------------------------------------------------------------
Hodgin, Elmer v. Pacific Personal injury - Asbestosis Multiple employers/jobsites
Water Works et al
--------------------------------------------------------------------------------------------------------
---------------------------------------------------------------------------------------
Case Name (Continued) Status ROR Demand
---------------------------------------------------------------------------------------
PACIFIC WATER WORKS
---------------------------------------------------------------------------------------
Arndt, Judy May v. Allied Case settled for $275K with WIGA n/a $350K
Signal Inc., et al including approval. WIGA will pay $274, USF
Pacific Water Works Supply pays $1K for deductible.
Co. Inc.-WA
---------------------------------------------------------------------------------------
Hatfield, John v. Pacific Water Trial scheduled for December '02 - no no demand
Works Supply Co. Inc. et al- no discovery to date. Liability
WA remote. PWW did not sell to Navy
or to Seattle Water Dept.
---------------------------------------------------------------------------------------
Miller, Delmonte v. Armstrong Case was settled for $45K with no $100K
World Industries Inc. et al WIGA approval based on witness
including Pacific Water Works testimony that plaintiff was exposed
Supply Co. Inc.-WA to PWW AC pipe while employed
as pipefitter.
---------------------------------------------------------------------------------------
Waldron, Evelyn (for estate of Settled and paid by Reliance no $375K
Arthur Waldron) v. Pacific prior to bankruptcy.
Water Works Supply Co. Inc.
et al
---------------------------------------------------------------------------------------
Duby, Bernard J. v. Pacific Obtained dismissal. n/a n/a
Water Works et al
---------------------------------------------------------------------------------------
Hodgin, Elmer v. Pacific Settled and paid by Reliance for no unknown
Water Works et al $2,500 prior to bankruptcy.
---------------------------------------------------------------------------------------
-------------------------------------------------------------------
Defense Paid Settlements Paid
------------------------------------------------------------------------------------------------------------------------------------
Case Name (Continued) By USF By Carrier Total By USF By Total Total Paid-
Carrier Defense
and
Indemnity
------------------------------------------------------------------------------------------------------------------------------------
PACIFIC WATER WORKS
------------------------------------------------------------------------------------------------------------------------------------
Arndt, Judy May v. Allied 0 47,990 47,099 1,000 274,000 275,000 322,099
Signal Inc., et al including
Pacific Water Works Supply
Co. Inc.-WA
-----------------------------------------------------------------------------------------------------------------------------------
Hatfield, John v. Pacific Water 0 9,415 9,415 0 9,415
Works Supply Co. Inc. et al-
WA
-----------------------------------------------------------------------------------------------------------------------------------
Miller, Delmonte v. Armstrong 0 60,881 60,881 45,000 45,000 105,881
World Industries Inc. et al
including Pacific Water Works
Supply Co. Inc.-WA
------------------------------------------------------------------------------------------------------------------------------------
Waldron, Evelyn (for estate of 0 0 0 150,000 150,000 150,000
Arthur Waldron) v. Pacific
Water Works Supply Co. Inc.
et al
------------------------------------------------------------------------------------------------------------------------------------
Duby, Bernard J. v. Pacific 0 0 0
Water Works et al
------------------------------------------------------------------------------------------------------------------------------------
Hodgin, Elmer v. Pacific 0 2,500 2,500 2,500
Water Works et al
------------------------------------------------------------------------------------------------------------------------------------
Pacific Water Works Subtotal 0 117,395 117,395 1,000 471,500 472,500 588,995
------------------------------------------------------------------------------------------------------------------------------------
09/03/02 Page 3 of 5 DG Asbestos Claims Summary 09-04-02,
Pacific Water Works
DISTRIBUTION GROUP ASBESTOS CLAIMS SUMMARY
Targeted Year Defense Plaintiff Open/ Exposure
Case Name Entity Served JD Attorney Attorney Closed Allegations Site
Schneider Pipe
Brumagin, Donald R. Schneider 2000 Court of John F. Mead Ed Beechler, Closed Wrongful Multiple
v. R.F. Schneider Pipe Common -McDonald, Caroselli death - employers/
Pipe & Supply Co. Pleas, Illig. Jones Beechler Mesothelioma jobsites
Inc. et al -PA Eric Co., & Britton, McTiernan &
PA Erie, PA Conboy,
Pittsburgh
Defense Paid Settlements Paid
Total Paid-
Defense
By and
Case Name Status ROR Demand By USF By Carrier Total By USF Carriers Total Indemnity
Schneider Pipe
Brumagin, Donald R. Case settled yes $500K 0 20,000 20,000 0 150,000 150,000 170,000
v. R.F. Schneider for $150K-100%
Pipe & Supply Co. funded by two
Inc. et al -PA carriers in
cost share
agreement
Schneider Pipe Subtotal 0 20,000 20,000 0 150,000 150,000 170,000
DG Asbestos Claims Summary 09-04-02,
09/03/02 Page 4 of 5 Schneider Pipe
DISTRIBUTION GROUP ASBESTOS CLAIMS SUMMARY
Number
of
Targeted Year Defense Plaintiff Settled Exposure
Case Name Entity Served JD Attorney Attorney Plaintiffs Allegations Site Status
Sidener Supply
Various Sidener 1997 Missouri T.C. Carter- Various Asbestos Granite All cases
Supply Co. and Collier, related City filed in
Illinois Dorsey & diseases Steel, IL 1997 have
Carter settled
or have
been
dismissed.
Various Sidener 1998 Missouri T.C. Carter- Various Asbestos Granite All cases
Supply Co. and Collier, related City filed in
Illinois Dorsey & diseases Steel, IL 1998 have
Carter settled
or have
been
dismissed.
Various Sidener 1999 Madison T.C. Carter- Goldenberg Asbestos Granite One case
Supply Co. County, Collier, Law Firm related City pending
Illinois Dorsey & diseases Steel, IL
Carter
Various Sidener 2000 Madison T.C. Carter- Various 3 settled Asbestos Granite All cases
Supply Co. County, Collier, related City filed in
Illinois Dorsey & diseases Steel, IL 2000 have
Carter settled
or have
been
dismissed.
Various Sidener 2001 Madison T.C. Carter- O'Brien and 15 settled Asbestos Granite 17 cases
Supply Co. County, Collier, Goldenberg related City are
Illinois Dorsey & Law Firms diseases Steel, IL pending.
Carter
Various Sidener 2002 Madison Paul Van Goldenberg 877-dismissed Asbestos Granite 28 cases
Supply Co. County, Lysebettens- Law Firm 76-settled related City are
Illinois Gunty & 45-pending diseases Steel, IL pending.
McCarthy
Note 4 - Average Settlement per Plaintiff: 2000-$1000 (USF Share $421, Carrier share $579).
2001-$1125 (USF share $474, Carrier share $651), 2002-$1118 (USF share $471, Carrier share $545)
Note 5 - In addition to the 2001 total paid defense fees of $235,804, a portion of Sidener's
share of legal fees amounting to $110,205 is in dispute and outstanding.
Note 6 - In addition to the 2002 total paid defense fees of $130,797, a portion of Sidener's
share of legal fees amounting to $51,774 is in dispute and outstanding.
Defense Paid Settlements Paid
Total Paid-
Defense
and
Case Name ROR Demand By USF By Carrier Total By USF By Carriers Total Indemnity Notes
Various Various 37,890 52,089 89,979 0 89,979 See Note 4
Various Various 23,267 31,966 55,253 20,002 27,496 47,500 102,753 See Note 4
Various Various 28,964 39,645 68,829 0 68,829 See Note 4
Various Various 41,125 56,536 97,661 1,263 1,737 3,000 100,661 See Note 4
Various Various 35,415 200,189 235,604 7,580 10,420 18,000 253,604 See Note 4
and Note 5
Various Various 28,595 110,801 139,797 35,856 49,294 65,150 224,947 See Note 4
and Note 5
Sidener Supply Subtotal 195,577 491,549 687,123 64,701 88,849 153,650 640,773
GRAND TOTAL 203,666 780,525 983,591 65,701 670,449 936,150 1,919,741
DG Asbestos Claims Summary 09-04-02,
09/03/02 Page 5 of 5 Sidener Supply
APPENDIX D-6
WORKERS' COMPENSATION CLAIMS: TRAVELERS INSURANCE
APPENDIX D-7
WORKERS' COMPENSATION CLAIMS: ARGONAUT INSURANCE
____________________________________________________________________________________________________________________________________
Claimant Last Claimant First Claim Dt. of Claim Claim
Address Facility Name Name Claim Number Count Injury Status Type Cause of Injury
____________________________________________________________________________________________________________________________________
4613 West Bethany Road, Little Rock AR Fall from Different
Level Fall, Slip Or
6 SINKEY STEVEN 41-000758-0 1 5/20/98 Closed IND Trip Injury
________________________________________________________________________________________________________________
Fall from Different
Level Fall, Slip Or
BROWN AL 41-902181-0 1 4/27/98 Closed Mo MO Trip Injury
________________________________________________________________________________________________________________
Object Being Lifted
Or Handled Struck
SINKEY STEVE 41-902182-0 1 4/3/98 Closed Mo MO Or Injured By
________________________________________________________________________________________________________________
Jumping Strain Or
BROWN ALFORD 41-903128-0 1 4/5/99 Closed Mo MO Injury By
________________________________________________________________________________________________________________
Stepped On Sharp
Object Striking
PEARSON JOHN 41-903452-0 1 5/20/99 Closed Mo MO Against Or Stepping On
____________________________________________________________________________________________________________________________________
____________________________________________________________________________________________________________________________________
2801 W. Cheery Lyn Rd., Phoenix, Az
____________________________________________________________________________________________________________________________________
Object Being Lifted
Or Handled Struck
24 MERSINO BRADFORD 73-501497-0 1 8/11/00 Closed Mo MO Or Injured By
________________________________________________________________________________________________________________
Jumping Strain Or
RODRIGUEZ ERNIE 73-574186-0 1 3/13/98 Closed Mo MO Injury By
________________________________________________________________________________________________________________
Powered Hand
Tool/Appliance Cut,
Puncture, Scrape,
MUNGIA DELORES 73-574289-0 1 4/9/98 Closed Mo MO Injured By
________________________________________________________________________________________________________________
Lifting Strain Or
GULLEY STEVEN 73-500543-0 1 11/4/99 Closed Mo MO Injury By
____________________________________________________________________________________________________________________________________
____________________________________________________________________________________________________________________________________
2651 East Byrd Avenue, Fresno CA
____________________________________________________________________________________________________________________________________
Collision With
Another Vehicle
58 HICKENBOTTOM JAMES 74-014532-0 1 7/23/99 Closed IND Motor Vehicle
____________________________________________________________________________________________________________________________________
____________________________________________________________________________________________________________________________________
1015 Linda Vista Drive, San Marcos CA
____________________________________________________________________________________________________________________________________
Miscellaneous-Slip
99 DOUGLAS STEVE 62-410178-0 1 7/29/99 Closed Mo MO Or Fall
____________________________________________________________________________________________________________________________________
____________________________________________________________________________________________________________________________________
4700 District Boulevard, Vernon CA
____________________________________________________________________________________________________________________________________
Lifting Strain Or
122 HOOD DON 62-409536-0 1 8/3/98 Closed Mo MO Injury By
____________________________________________________________________________________________________________________________________
____________________________________________________________________________________________________________________________________
1910 38th Street, Denver, Co
____________________________________________________________________________________________________________________________________
____________________________________________________________________________________________________________________________________
Claimant Last Claimant First
Address Facility Name Name Nature of Injury Incurred Paid Reserve
____________________________________________________________________________________________________________________________________
4613 West Bethany Road, Little Rock AR
6 SINKEY STEVEN Fracture 7,181.54 8,574.36 (1,392.82)
________________________________________________________________________________________________________________
BROWN AL Sprain 847.04 847.04 --
________________________________________________________________________________________________________________
SINKEY STEVE Contusion 377.31 377.31 --
________________________________________________________________________________________________________________
BROWN ALFORD Strain 1,119.88 1,119.88 --
________________________________________________________________________________________________________________
PEARSON JOHN Strain 367.08 367.08 --
____________________________________________________________________________________________________________________________________
Subtotal 9,892.85 11,285.67 (1,392.82)
____________________________________________________________________________________________________________________________________
2801 W. Cheery Lyn Rd., Phoenix, Az
____________________________________________________________________________________________________________________________________
24 MERSINO BRADFORD Contusion 94.12 94.12 --
________________________________________________________________________________________________________________
RODRIGUEZ ERNIE Contusion 834.08 834.08 --
________________________________________________________________________________________________________________
MUNGIA DELORES Laceration 292.12 292.12 --
________________________________________________________________________________________________________________
GULLEY STEVEN Strain 837.49 837.49 --
____________________________________________________________________________________________________________________________________
Subtotal 2,057.81 2,057.81 --
____________________________________________________________________________________________________________________________________
2651 East Byrd Avenue, Fresno CA
____________________________________________________________________________________________________________________________________
58 HICKENBOTTOM JAMES Strain 807.12 807.12 --
____________________________________________________________________________________________________________________________________
Subtotal 807.12 807.12 --
____________________________________________________________________________________________________________________________________
1015 Linda Vista Drive, San Marcos CA
____________________________________________________________________________________________________________________________________
99 DOUGLAS STEVE Sprain 297.23 297.23 --
____________________________________________________________________________________________________________________________________
Subtotal 297.23 297.23 --
____________________________________________________________________________________________________________________________________
4700 District Boulevard, Vernon CA
____________________________________________________________________________________________________________________________________
122 HOOD DON Strain 687.36 687.36 --
____________________________________________________________________________________________________________________________________
Subtotal 687.36 687.36 --
____________________________________________________________________________________________________________________________________
1910 38th Street, Denver, Co
____________________________________________________________________________________________________________________________________
5/31/02 Page 1 of 17
------------------------------------------------------------------------------------------------------------------------------------
CLAIMANT LAST CLAIMANT FIRST CLAIM DT OF CLAIM CLAIM
ADDRESS FACILITY NAME NAME CLAIM NUMBER COUNT INJURY STATUS TYPE
------------------------------------------------------------------------------------------------------------------------------------
134 HUGER NATHANIEL 65-200902-0 1 8/30/00 CLOSED IND
------------------------------------------------------------------------------------------------------------------------------------
GOMEZ DENNIS 65-200516-0 1 6/9/99 CLOSED IND
------------------------------------------------------------------------------------------------------------------------------------
GOMEZ DENNIS 65-601289-0 1 3/17/99 CLOSED MO MO
------------------------------------------------------------------------------------------------------------------------------------
19C GREENHORN DRIVE,
PUEBLO CO
------------------------------------------------------------------------------------------------------------------------------------
139 DERCOLE DALE 65-601248-0 1 3/5/99 CLOSED MO MO
------------------------------------------------------------------------------------------------------------------------------------
------------------------------------------------------------------------------------------------------------------------------------
4720 LAREDO AVE.,
FORT MEYERS, FL
------------------------------------------------------------------------------------------------------------------------------------
165 CAFARO AMY 70-163342-0 1 7/8/00 CLOSED IND
------------------------------------------------------------------------------------------------------------------------------------
------------------------------------------------------------------------------------------------------------------------------------
11310 DISTRIBUTION AVENUE
WEST, JACKSONVILLE FL
------------------------------------------------------------------------------------------------------------------------------------
170 WHITE SAMUEL 70-162271-0 1 8/17/98 CLOSED IND
------------------------------------------------------------------------------------------------------------------------------------
------------------------------------------------------------------------------------------------------------------------------------
WHITE SAMUEL 70-738595-0 1 1/4/99 CLOSED MO MO
------------------------------------------------------------------------------------------------------------------------------------
------------------------------------------------------------------------------------------------------------------------------------
460 FIFE ROAD,
MULBERRY, FL
------------------------------------------------------------------------------------------------------------------------------------
174 CUNNINGHAM IDELA 70-163467-0 1 5/5/00 CLOSED IND
------------------------------------------------------------------------------------------------------------------------------------
ENGLE JAY 70-742345-0 1 11/2/00 CLOSED MO MO
------------------------------------------------------------------------------------------------------------------------------------
POPE MICHAEL 70-736788-0 1 6/2/98 CLOSED MO MO
------------------------------------------------------------------------------------------------------------------------------------
GUERRERO JESUS 70-737881-0 1 10/19/98 CLOSED MO MO
------------------------------------------------------------------------------------------------------------------------------------
BAIRD GEORGE 70-738226-0 1 12/14/98 CLOSED MO MO
------------------------------------------------------------------------------------------------------------------------------------
------------------------------------------------------------------------------------------------------------------------------------
CLAIMANT LAST CLAIMANT CAUSE NATURE OF
ADDRESS FACILITY NAME FIRST NAME OF INJURY INURY INCURRED PAID RESERVE
------------------------------------------------------------------------------------------------------------------------------------
134 HUGER NATHANIEL Injury By Hernia 8,803.48 8,803.48 --
------------------------------------------------------------------------------------------------------------------------------------
GOMEZ DENNIS Lifting Strain Strain 5,836.74 5,836.74 --
Or Injury By
------------------------------------------------------------------------------------------------------------------------------------
GOMEZ DENNIS Miscellaneous- Fracture 565.75 565.75 --
Slip Or Fall
------------------------------------------------------------------------------------------------------------------------------------
SUBTOTAL 15,205.97 15,205.97 --
------------------------------------------------------------------------------------------------------------------------------------
19C GREENHORN DRIVE,
PUEBLO CO
------------------------------------------------------------------------------------------------------------------------------------
139 DERCOLE DALE Collision With Contusion - - -
Another Vehicle
Motor Vehicle
------------------------------------------------------------------------------------------------------------------------------------
SUBTOTAL - - -
------------------------------------------------------------------------------------------------------------------------------------
4720 LAREDO AVE.,
FORT MEYERS, FL
------------------------------------------------------------------------------------------------------------------------------------
165 CAFARO AMY Struck By Falling Fracture 9,026.15 9,026.15 -
Or Flying Object
Struck Or
Injured By
------------------------------------------------------------------------------------------------------------------------------------
SUBTOTAL 9,026.15 9,026.15 -
------------------------------------------------------------------------------------------------------------------------------------
11310 DISTRIBUTION AVENUE
WEST, JACKSONVILLE FL
------------------------------------------------------------------------------------------------------------------------------------
170 WHITE SAMUEL Pushing Or Pulling Strain 12,998.45 12,998.45 -
Strain Or Injury By
------------------------------------------------------------------------------------------------------------------------------------
WHITE SAMUEL Caught Between Sprain 175.18 175.18 -
Objects Caught In
Or Between
------------------------------------------------------------------------------------------------------------------------------------
SUBTOTAL 13,173.63 13,173.63 -
------------------------------------------------------------------------------------------------------------------------------------
460 FIFE ROAD,
MULBERRY, FL
------------------------------------------------------------------------------------------------------------------------------------
174 CUNNINGHAM IDELA Powered Hand Multiple 2,495.28 2,495.28 -
Tool/Appliance Physical
Cut, Puncture, Injuries
Scrape, Injured
By
------------------------------------------------------------------------------------------------------------------------------------
ENGLE JAY Miscellaneous- Francture 814.33 814.33 -
Slip Or Fall
------------------------------------------------------------------------------------------------------------------------------------
POPE MICHAEL Miscellaneous- Laceration - - -
Sharp Object
Cut, Puncture,
Scrape, Injured
By
------------------------------------------------------------------------------------------------------------------------------------
GUERRERO JESUS Caught Between Contusion 266.09 266.09 -
Objects Caught
In Or Between
------------------------------------------------------------------------------------------------------------------------------------
BAIRD GEORGE Caught In Machine Contusion 160.25 160.25 -
Caught In Or
Between
------------------------------------------------------------------------------------------------------------------------------------
5/31/02 Page 2 of 17
Claimant Claimant
Last First Claim Claim Dt of Claim Claim Cause of Nature of Re-
Address Facility Name Name Number Count Injury Status Type Injury Injury Incurred Paid serve
------------------------------------------------------------------------------------------------------------------------------------
Object Being
Lifted Or
Handled Cut,
Puncture,
Scrape,
LOPEZ JAMES 70-738844-0 1 9/24/98 Closed Mo MO Injured By Laceration 173.99 173.99 -
------------------------------------------------------------------------------------------------------------------------------------
Other Than
Physical
Cause of
Injury -
Miscell-
aneous
STEWART SHERRI 70-162975-0 1 10/28/99 Closed IND Causes Mental Stress - - -
------------------------------------------------------------------------------------------------------------------------------------
Object Being
Lifted Or
Handled Cut,
Puncture,
Scrape,
YOUMANS WILBUR 70-739048-0 1 3/25/99 Closed Mo MO Injured By Laceration 260.18 260.18 -
------------------------------------------------------------------------------------------------------------------------------------
Hand Tool-
Not Powered
Cut,
Puncture,
Scrape,
BARNES KEITH 70-739616-0 1 6/30/99 Closed Mo MO Injured By Laceration 228.53 228.53 -
------------------------------------------------------------------------------------------------------------------------------------
Hand Tool-
Not Powered
Cut,
Puncture,
CHRISTO- Scrape,
KNIGHT PHER 0-739780-0 1 8/2/99 Closed Mo MO Injured By Laceration 198.24 198.24 -
------------------------------------------------------------------------------------------------------------------------------------
SUBTOTAL 4,596.89 4,596.89 -
------------------------------------------------------------------------------------------------------------------------------------
4310 N.W. 10TH AVENUE, OAKLAND PARK FL
------------------------------------------------------------------------------------------------------------------------------------
MASSA- Miscell-
RELLI aneous Slip
176 JR. RICHARD 70-738116-0 1 10/13/98 CLOSED Mo MO or Fall Strain 254.02 254.02 -
------------------------------------------------------------------------------------------------------------------------------------
SUBTOTAL 254.02 254.02 -
------------------------------------------------------------------------------------------------------------------------------------
3333 OLD WINTER GARDEN ROAD, ORLANDO FL
------------------------------------------------------------------------------------------------------------------------------------
Object Being
Lifted Or
Handled Cut,
Puncture,
Scrape,
182 SUTTON RONALD 70-737177-0 1 6/30/98 CLOSED Mo MO Injured By Contusion 501.89 501.89 -
------------------------------------------------------------------------------------------------------------------------------------
Dust, Gases,
Fumes or
Vapors Burn
Or Scald-
Heat or Cold
SUTTON RONALD 70-740068-0 1 9/17/99 CLOSED Mo MO Injured By Inflammation 261.55 261.55 -
------------------------------------------------------------------------------------------------------------------------------------
Miscell-
aneous Sharp
Object Cut,
Puncture,
Scrape,
ULACCO ROBERT 70-736795-0 1 5/21/98 Closed Mo MO Injured By Laceration 142.66 142.66 -
------------------------------------------------------------------------------------------------------------------------------------
Lifting
Strain or
SULTON RONALD 70-739519-0 1 6/18/99 CLOSED Mo MO Injured By Contusion 80.10 80.10 -
------------------------------------------------------------------------------------------------------------------------------------
SUBTOTAL 986.20 986.20 -
------------------------------------------------------------------------------------------------------------------------------------
8782 PAUL STARR DR. PENSACOLA, FL
------------------------------------------------------------------------------------------------------------------------------------
Lifting
Strain or
188 LEWIS ROY 70-742382-0 1 1/3/01 CLOSED Mo MO Injured By Strain 43.87 43.87 -
------------------------------------------------------------------------------------------------------------------------------------
5/31/02 Page 3 of 17
------------------------------------------------------------------------------------------------------------------------------------
CLAIMANT LAST CLAIMANT FIRST CLAIM DT OF CLAIM CLAIM
ADDRESS FACILITY NAME NAME CLAIM NUMBER COUNT INJURY STATUS TYPE CASE OF INJURY
------------------------------------------------------------------------------------------------------------------------------------
------------------------------------------------------------------------------------------------------------------------------------
------------------------------------------------------------------------------------------------------------------------------------
1101 WEST 17TH STREET,
RIVIERA BEACH FL
------------------------------------------------------------------------------------------------------------------------------------
Caught In Machine
Caught In Or
190 JENKINS EDWARD 70-162469-0 1 2/2/99 Closed IND Between
------------------------------------------------------------------------------------------------------------------------------------
Caught In Collapsing
Materials Caught In
JENKINS EDWARD 70-737755-0 1 9/1/98 Closed Mo MO Under Or Between
------------------------------------------------------------------------------------------------------------------------------------
Object Being Lifted
Or Handled Cut,
Puncture, Scrape,
SORDOVAL CARLOS 70-738227-0 1 12/7/98 Closed Mo MO Injured By
------------------------------------------------------------------------------------------------------------------------------------
Lifting Strain Or
LANGER CHRISTOPHER 70-740554-0 1 12/1/99 Closed Mo MO Injury By
------------------------------------------------------------------------------------------------------------------------------------
------------------------------------------------------------------------------------------------------------------------------------
330 PAINT STREET,
ROCKLEDGE FL
------------------------------------------------------------------------------------------------------------------------------------
Struck Against
Object Being Lifted
191 WILLIAMS TRAVIS 70-738121-0 1 6/24/98 Closed Mo MO Or Handled
------------------------------------------------------------------------------------------------------------------------------------
------------------------------------------------------------------------------------------------------------------------------------
6761 26TH COURT EAST,
SARASOTA FL
------------------------------------------------------------------------------------------------------------------------------------
192 FAHEY JOHN 70-738519-0 1 12/30/98 Closed Mo MO Foreign Body In Eye
------------------------------------------------------------------------------------------------------------------------------------
------------------------------------------------------------------------------------------------------------------------------------
2803 MANUFACTURER COURT,
TALLAHASSEE FL
------------------------------------------------------------------------------------------------------------------------------------
Using Tool Or
Machine Strain Or
195 FORRESTER ADRIAN 70-738122-0 1 10/29/98 Closed Mo MO Injury By
------------------------------------------------------------------------------------------------------------------------------------
Struck Against
Object Being Lifted
COOPER JOHN 70-739322-0 1 5/5/99 Closed Mo MO Or Handled
------------------------------------------------------------------------------------------------------------------------------------
------------------------------------------------------------------------------------------------------------------------------------
7532 MALTA LANE,
TAMPA FL
------------------------------------------------------------------------------------------------------------------------------------
Fall Into Openings
Fall, Slip Or Trip
197 LOVE JAMES 70-737533-0 1 8/18/98 Closed Mo MO Injury
------------------------------------------------------------------------------------------------------------------------------------
Fall From Different
Level Fall, Slip Or
PATRICK JESSE 70-737540-0 1 8/25/98 Closed Mo MO Trip Injury
------------------------------------------------------------------------------------------------------------------------------------
Object Being Lifted
Or Handled Cut,
Puncture, Scrape,
TAYLOR JAMES 70-738115-0 1 10/30/98 Closed Mo MO Injured By
------------------------------------------------------------------------------------------------------------------------------------
------------------------------------------------------------------------------------------------------------------------------------
--------------------------------------------------------------------------------
ADDRESS NATURE OF INJURY INCURRED PAID RESERVE
--------------------------------------------------------------------------------
--------------------------------------------------------------------------------
SUBTOTAL 43.87 43.87 --
--------------------------------------------------------------------------------
1101 WEST 17TH STREET,
RIVIERA BEACH FL
--------------------------------------------------------------------------------
Fracture 12,105.08 12,105.08 --
--------------------------------------------------------------------------------
Contusion 418.10 418.10 --
--------------------------------------------------------------------------------
Contusion 338.92 338.92 --
--------------------------------------------------------------------------------
Strain 259.07 259.07 --
--------------------------------------------------------------------------------
SUBTOTAL 13,121.17 13,121.17 --
--------------------------------------------------------------------------------
330 PAINT STREET,
ROCKLEDGE FL
--------------------------------------------------------------------------------
Contusion 1,851.43 1,851.43 --
--------------------------------------------------------------------------------
SUBTOTAL 1,851.43 1,851.43 --
--------------------------------------------------------------------------------
6761 26TH COURT EAST,
SARASOTA FL
--------------------------------------------------------------------------------
Inflammation 282.48 282.48 --
--------------------------------------------------------------------------------
SUBTOTAL 282.48 282.48 --
--------------------------------------------------------------------------------
2803 MANUFACTURER COURT,
TALLAHASSEE FL
--------------------------------------------------------------------------------
Strain 70.74 70.74 --
--------------------------------------------------------------------------------
Contusion 223.20 223.20 --
--------------------------------------------------------------------------------
SUBTOTAL 293.94 293.94 --
--------------------------------------------------------------------------------
7532 MALTA LANE,
TAMPA FL
--------------------------------------------------------------------------------
Contusion 1,825.44 1,825.44 --
--------------------------------------------------------------------------------
Sprain 642.19 642.19 --
--------------------------------------------------------------------------------
Contusion 137.70 137.70 --
--------------------------------------------------------------------------------
SUBTOTAL 2,605.33 2,605.33 --
--------------------------------------------------------------------------------
Page 4 of 17
------------------------------------------------------------------------------------------------------------------------------------
CLAIMANT LAST CLAIMANT FIRST CLAIM DT OF CLAIM CLAIM
ADDRESS FACILITY NAME NAME CLAIM NUMBER COUNT INJURY STATUS TYPE
------------------------------------------------------------------------------------------------------------------------------------
3620 MILLEDGEVILLE ROAD,
AUGUSTA, GA
------------------------------------------------------------------------------------------------------------------------------------
210 HAYES CHRISTOPHER 70-739038-0 1 3/16/99 Closed Mo MO
------------------------------------------------------------------------------------------------------------------------------------
4355 WOODWARD WAY,
BUFORD, GA
------------------------------------------------------------------------------------------------------------------------------------
211 ROGERS RUFUS 70-162351-0 1 11/3/98 Closed IND
------------------------------------------------------------------------------------------------------------------------------------
FISCHER ERIC 70-162760-0 8/12/99 Open IND
------------------------------------------------------------------------------------------------------------------------------------
ROGERS RUFUS 70-739326-0 1 5/3/99 Closed Mo MO
------------------------------------------------------------------------------------------------------------------------------------
2455 OLD COVINGTON
HIGHWAY, CONYERS, GA
------------------------------------------------------------------------------------------------------------------------------------
214 CULPEPPER MILLARD 70-739891-0 1 5/11/99 Closed Mo MO
------------------------------------------------------------------------------------------------------------------------------------
5800 GATEWAY DRIVE,
GRIMES, IA
------------------------------------------------------------------------------------------------------------------------------------
232 STANLEY LARRY 59-012371-0 1 1/15/99 Closed IND
------------------------------------------------------------------------------------------------------------------------------------
STOUT MICHAEL 59-335040-0 1 1/29/99 Closed Mo MO
------------------------------------------------------------------------------------------------------------------------------------
STANLEY LARRY 59-012404-0 3/9/99 Open IND
------------------------------------------------------------------------------------------------------------------------------------
ZUCK JOHN 59-335997-0 1 10/4/99 Closed Mo MO
------------------------------------------------------------------------------------------------------------------------------------
JOHNSON RANDY 59-336452-0 1 11/30/99 Closed Mo MO
------------------------------------------------------------------------------------------------------------------------------------
6720 SW MCEWAN,
LAKE OSWEGO, OR
------------------------------------------------------------------------------------------------------------------------------------
532 LITTLE JAMES 12-039271-0 1 7/6/99 Closed IND
------------------------------------------------------------------------------------------------------------------------------------
------------------------------------------------------------------------------------------------------------------------------------
6829 IRENE ROAD,
BELVIDERE IL
------------------------------------------------------------------------------------------------------------------------------------
------------------------------------------------------------------------------------------------------------------------------------
CLAIMANT LAST CLAIMANT CAUSE NATURE OF
ADDRESS FACILITY NAME FIRST NAME OF INJURY INJURY INCURRED PAID RESERVE
------------------------------------------------------------------------------------------------------------------------------------
3620 MILLEDGEVILLE ROAD,
AUGUSTA, GA
------------------------------------------------------------------------------------------------------------------------------------
210 HAYES CHRISTOPHER Caught Between Contusion 569.11 569.11 -
Objects Caught In
Or Between
------------------------------------------------------------------------------------------------------------------------------------
SUBTOTAL 569.11 569.11 -
------------------------------------------------------------------------------------------------------------------------------------
4355 WOODWARD WAY,
BUFORD, GA
------------------------------------------------------------------------------------------------------------------------------------
211 ROGERS RUFUS Caught Between Fracture 848.52 848.52 -
Objects Caught In
Or Between
-----------------------------------------------------------------------------------------------------------------------------------
FISCHER ERIC Lifting Strain Or Strain 78,122.00 65,733.48 12,388.52
Injury By
------------------------------------------------------------------------------------------------------------------------------------
ROGERS RUFUS Object Being Lifted Contusion 205.19 205.19 -
or Handled Cut,
Puncture, Scrape,
Injured By
------------------------------------------------------------------------------------------------------------------------------------
SUBTOTAL 79,175.71 66,787.19 12,388.52
------------------------------------------------------------------------------------------------------------------------------------
2455 OLD COVINGTON
HIGHWAY, CONYERS, GA
------------------------------------------------------------------------------------------------------------------------------------
214 CULPEPPER MILLARD Fall From Different Sprain - - -
Level Fall, Slip Or
Trip Injury
------------------------------------------------------------------------------------------------------------------------------------
SUBTOTAL - - -
------------------------------------------------------------------------------------------------------------------------------------
5800 GATEWAY DRIVE,
GRIMES, IA
------------------------------------------------------------------------------------------------------------------------------------
232 STANLEY LARRY Pushing or Pulling Crushing 4,722.40 4,722.40 -
Strain Or Injury By
------------------------------------------------------------------------------------------------------------------------------------
STOUT MICHAEL Fall On Ice Or Snow Fracture 606.33 606.33 -
Fall, Slip Or Trip
Injury
------------------------------------------------------------------------------------------------------------------------------------
STANLEY LARRY Fall On Ice Or Snow Fracture 45,336.00 26,290.52 19,045.48
Fall, Slip Or Trip
Injury
------------------------------------------------------------------------------------------------------------------------------------
ZUCK JOHN Fall On Same Level Contusion - - -
Fall, Slip Or Trip
Injury
------------------------------------------------------------------------------------------------------------------------------------
JOHNSON RANDY Struck By Falling Or Contusion 890.60 890.60 -
Flying Object Struck
Or Injured By
------------------------------------------------------------------------------------------------------------------------------------
SUBTOTAL 51,555.33 32,509.85 19,045.48
------------------------------------------------------------------------------------------------------------------------------------
6720 SW MCEWAN,
LAKE OSWEGO, OR
------------------------------------------------------------------------------------------------------------------------------------
532 LITTLE JAMES Pushing Or Pulling
Strain Or Injury By Strain 5,378.16 5,577.06 (198.90)
------------------------------------------------------------------------------------------------------------------------------------
SUBTOTAL 5,378.16 5,577.06 (198.90)
------------------------------------------------------------------------------------------------------------------------------------
6829 IRENE ROAD,
BELVIDERE IL
------------------------------------------------------------------------------------------------------------------------------------
5/31/02 Page 5 of 17
------------------------------------------------------------------------------------------------------------------------------------
Claimant Last Claimant First Claim Dt of Claim Claim Nature of
Address Facility Name Name Claim Number Count Injury Status Type Cause of Injury Injury
------------------------------------------------------------------------------------------------------------------------------------
248 PERKINS LESLEY 59-011937-0 1 9/17/98 Closed IND Collision With Multiple
Another Vehicle Physical
Motor Vehicle Injury
------------------------------------------------------------------------------------------------------------------------------------
KAMHOLTZ KEVIN 59-332748-0 1 3/24/98 Closed MO Fall On Same
Mo Level Fall, Slip
Or Trip Injury Fracture
------------------------------------------------------------------------------------------------------------------------------------
WOODRUFF THOMAS 59-332936-0 1 3/6/98 Closed MO Miscellaneous-Over
Mo Exertion Strain
Or Injury By Strain
------------------------------------------------------------------------------------------------------------------------------------
HANDRICK BRUCE 59-333997-0 1 6/25/98 Closed MO Lifting Strain Or
Mo Injury By Strain
------------------------------------------------------------------------------------------------------------------------------------
KOHLEY CHRIS 59-335501-0 1 3/31/99 Closed MO Pushing Or Pulling
Mo Strain Or Injury By Strain
------------------------------------------------------------------------------------------------------------------------------------
KOHLEY CHRISTOPHER 59-335965-0 1 8/19/99 Closed MO Struck Against Laceration
Mo Stationary Object
Striking Against
Or Stepping On
------------------------------------------------------------------------------------------------------------------------------------
220 SOUTH WESTGATE DRIVE, CAROL STREAM IL SUBTOTAL
------------------------------------------------------------------------------------------------------------------------------------
251 REMALY GREGORY 59-012895-0 1 4/27/98 Closed IND Lifting Strain Or Strain
Injury By
------------------------------------------------------------------------------------------------------------------------------------
SAMUELS JEFF 59-335517-0 1 4/16/99 Closed MO Fall On Same Strain
Mo Level Fall, Slip
Or Trip Injury
------------------------------------------------------------------------------------------------------------------------------------
MARTIN KENNETH 59-335571-0 1 6/11/99 Closed MO Slipped Did Not Contusion
Mo Fall Fall or Slip
Injury
------------------------------------------------------------------------------------------------------------------------------------
SUBTOTAL
------------------------------------------------------------------------------------------------------------------------------------
45 NORTHGATE INDUSTRIAL DRIVE, GRANITE CITY IL
------------------------------------------------------------------------------------------------------------------------------------
257 LUCAS GEORGE 59-011681-0 1 5/8/98 Closed IND Jumping Strain Strain
Or Injury By
------------------------------------------------------------------------------------------------------------------------------------
SUBTOTAL
------------------------------------------------------------------------------------------------------------------------------------
29972 NORTH SKOKIE HIGHWAY, UNIT 1, LAKE BLUFF IL
------------------------------------------------------------------------------------------------------------------------------------
260 VESTERFELT DANIEL 59-334169-0 1 10/6/98 Closed MO Struck Against Contusion
Mo Stationary
Object Striking
Against Or
Stepping On
------------------------------------------------------------------------------------------------------------------------------------
ROBINSON LESLIE 59-334172-0 1 10/2/98 Closed MO Jumping Strain Sprain
Mo Or Injury By
------------------------------------------------------------------------------------------------------------------------------------
KINKELAAR DANIEL 59-335573-0 1 6/11/99 Closed MO Reaching Strain Laceration
Mo Or Injury By
------------------------------------------------------------------------------------------------------------------------------------
VESTERFELT DANIEL 59-335574-0 1 6/21/99 Closed MO Lifting Strain Strain
Mo Or Injury By
------------------------------------------------------------------------------------------------------------------------------------
SUBTOTAL
------------------------------------------------------------------------------------------------------------------------------------
18900 SO. 82ND AVENUE, MOKENA, IL
------------------------------------------------------------------------------------------------------------------------------------
----------------------------------------------------------------------------------------------------------------------
Claimant Last Claimant First Nature of
Address Facility Name Name Cause of Injury Injury Incurred Paid Reserve
----------------------------------------------------------------------------------------------------------------------
248 PERKINS LESLEY Collision With Multiple
Another Vehicle Physical
Motor Vehicle Injury 56.79 56.79 -
---------------------------------------------------------------------------------------------------------------------
KAMHOLTZ KEVIN Fall On Same
Level Fall, Slip
Or Trip Injury Fracture 631.33 631.33 -
---------------------------------------------------------------------------------------------------------------------
WOODRUFF THOMAS Miscellaneous-Over
Exertion Strain
Or Injury By Strain 287.03 287.03 -
--------------------------------------------------------------------------------------------------------------------
HANDRICK BRUCE Lifting Strain Or
Injury By Strain 168.00 168.00 -
--------------------------------------------------------------------------------------------------------------------
KOHLEY CHRIS Pushing Or Pulling
Strain Or Injury Strain 204.80 204.80 -
By
-------------------------------------------------------------------------------------------------------------------
KOHLEY CHRISTOPHER Struck Against Laceration
Stationary Object
Striking Against
Or Stepping On 232.00 232.00 -
-------------------------------------------------------------------------------------------------------------------
220 SOUTH WESTGATE DRIVE, CAROL STREAM IL SUBTOTAL 1,579.95 1,579.95 -
-------------------------------------------------------------------------------------------------------------------
251 REMALY GREGORY Lifting Strain Or Strain
Injury By 18,193.09 18,193.09 -
-------------------------------------------------------------------------------------------------------------------
SAMUELS JEFF Fall On Same Strain
Level Fall, Slip
Or Trip Injury 121.29 121.29 -
-------------------------------------------------------------------------------------------------------------------
MARTIN KENNETH Slipped Did Not Contusion
Fall Fall or Slip
Injury 602.32 602.32 -
-------------------------------------------------------------------------------------------------------------------
SUBTOTAL 18,916.70 18,916.70 -
-------------------------------------------------------------------------------------------------------------------
45 NORTHGATE INDUSTRIAL DRIVE, GRANITE CITY IL
-------------------------------------------------------------------------------------------------------------------
257 LUCAS GEORGE Jumping Strain Strain
Or Injury By 13,046.36 13,046.36 -
-------------------------------------------------------------------------------------------------------------------
SUBTOTAL 13,046.36 13,046.36 -
-------------------------------------------------------------------------------------------------------------------
29972 NORTH SKOKIE HIGHWAY, UNIT 1, LAKE BLUFF IL
-------------------------------------------------------------------------------------------------------------------
260 VESTERFELT DANIEL Struck Against Contusion
Stationary
Object Striking
Against Or
Stepping On 212.29 212.29 -
-------------------------------------------------------------------------------------------------------------------
ROBINSON LESLIE Jumping Strain Sprain
Or Injury By 586.34 586.34 -
-------------------------------------------------------------------------------------------------------------------
KINKELAAR DANIEL Reaching Strain Laceration
Or Injury By 243.16 243.16 -
-------------------------------------------------------------------------------------------------------------------
VESTERFELT DANIEL Lifting Strain Strain
Or Injury By - - -
-------------------------------------------------------------------------------------------------------------------
SUBTOTAL 1,041.79 1,041.79 -
-------------------------------------------------------------------------------------------------------------------
18900 SO. 82ND AVENUE, MOKENA, IL
-------------------------------------------------------------------------------------------------------------------
5/31/02 Page 6 of 17
Claimant Claimant
Last First Claim Claim Dt of Claim Claim
Address Facility Name Name Number Count Injury Status Type
---------------------------------------------------------------------------------------------------------------------------------
262 SMITH ETHAN 59-336970-0 1 8/1/00 Closed Mo MO
---------------------------------------------------------------------------------------------------------------------------------
RODERICK FRANK 59-339260-0 1 12/20/00 Closed Mo MO
---------------------------------------------------------------------------------------------------------------------------------
---------------------------------------------------------------------------------------------------------------------------------
1950 E. MAIN ST. GREENWOOD, IN
---------------------------------------------------------------------------------------------------------------------------------
291 JOHNSON DEREK 59-338448-0 1 5/11/00 Closed Mo MO
---------------------------------------------------------------------------------------------------------------------------------
1680 EXPO LANE, INDIANAPOLIS, IN
---------------------------------------------------------------------------------------------------------------------------------
296 WEBB JAMES 59-338627-0 1 10/9/00 Closed Mo MO
---------------------------------------------------------------------------------------------------------------------------------
---------------------------------------------------------------------------------------------------------------------------------
5858 THUNDERBIRD ROAD, OAKLANDON IN
---------------------------------------------------------------------------------------------------------------------------------
306 LEE RANDELL 59-336384-0 1 8/17/99 Closed Mo MO
---------------------------------------------------------------------------------------------------------------------------------
---------------------------------------------------------------------------------------------------------------------------------
10830 JOLIET ST., ST. JOHN, IN
---------------------------------------------------------------------------------------------------------------------------------
312 BALES THEODORE 59-338349-0 1 8/16/00 Closed Mo MO
---------------------------------------------------------------------------------------------------------------------------------
KENT TERRY 59-012494-0 1 9/23/99 Closed IND
---------------------------------------------------------------------------------------------------------------------------------
---------------------------------------------------------------------------------------------------------------------------------
11510 STRANGE LINE, OLATHE, KS
---------------------------------------------------------------------------------------------------------------------------------
315 ROPER RONALD 27-100868-0 1 10/4/00 Closed Mo MO
---------------------------------------------------------------------------------------------------------------------------------
JACK ROLAND 27-100903-0 1 6/6/00 Closed Mo MO
---------------------------------------------------------------------------------------------------------------------------------
TIM 27-000073-0 1 7/27/99 Closed IND
---------------------------------------------------------------------------------------------------------------------------------
---------------------------------------------------------------------------------------------------------------------------------
3352 INDUSTRIAL, BOWLING GREEN, KY
---------------------------------------------------------------------------------------------------------------------------------
Nature of
Address Facility Cause of Injury Injury Incurred Paid Reserve
---------------------------------------------------------------------------------------------------------------------
Struck Against
Stationary Object
Striking Against
262 Or Stepping On Fracture 1,573.48 1,573.48 -
---------------------------------------------------------------------------------------------------------------------
Object Being Lifted
Or Handled Struck
Or Injured By Fracture 402.43 402.43 -
---------------------------------------------------------------------------------------------------------------------
SUBTOTAL 1,975.91 1,975.91 -
---------------------------------------------------------------------------------------------------------------------
1950 E. MAIN ST. GREENWOOD, IN
---------------------------------------------------------------------------------------------------------------------
Object Being Lifted
Or Handled Cut,
Puncture, Scrape,
291 Injured By Laceration - - -
---------------------------------------------------------------------------------------------------------------------
SUBTOTAL - - -
---------------------------------------------------------------------------------------------------------------------
1680 Expo Lane, Indianapolis, In
---------------------------------------------------------------------------------------------------------------------
Lifting Strain Or
296 Injury By Strain 154.91 154.91 -
---------------------------------------------------------------------------------------------------------------------
SUBTOTAL 154.91 154.91 -
---------------------------------------------------------------------------------------------------------------------
5858 THUNDERBIRD ROAD, OAKLANDON IN
---------------------------------------------------------------------------------------------------------------------
Miscellaneous-Motor
306 Vehicle Contusion 271.77 271.77 -
---------------------------------------------------------------------------------------------------------------------
SUBTOTAL 271.77 271.77 -
---------------------------------------------------------------------------------------------------------------------
10830 JOLIET ST., ST. JOHN, IN
---------------------------------------------------------------------------------------------------------------------
Caught Between
Objects Caught In
312 Or Between Laceration 263.83 263.83 -
---------------------------------------------------------------------------------------------------------------------
Object Being Lifted
Or Handled Cut
Puncture, Scrape,
Injured By Strain 4,082.27 5,132.27 (1,050.00)
---------------------------------------------------------------------------------------------------------------------
SUBTOTAL 4,346.10 5,396.10 (1,050.00)
---------------------------------------------------------------------------------------------------------------------
11510 STRANGE LINE, OLATHE, KS
---------------------------------------------------------------------------------------------------------------------
Object Being Lifted
Or Handled Struck
315 Or Injured By Fracture 165.83 165.83 -
---------------------------------------------------------------------------------------------------------------------
Foreign Body In Eye Foreign Body 292.05 292.05 -
---------------------------------------------------------------------------------------------------------------------
Collision With
Another Vehicle
Motor Vehicle Strain 2,934.34 2,934.34 -
---------------------------------------------------------------------------------------------------------------------
SUBTOTAL 3,392.22 3,392.22 -
---------------------------------------------------------------------------------------------------------------------
3352 INDUSTRIAL, BOWLIGN GREEN, KY
---------------------------------------------------------------------------------------------------------------------
5/31/02
Page 7 of 17
----------------------------------------------------------------------------------------------------------
CLAIMANT CLAIMANT CLAIM CLAIM DT OF CLAIM CLAIM CAUSE OF
ADDRESS FACILITY LAST NAME FIRST NAME NUMBER COUNT INJURY STATUS TYPE INJURY
----------------------------------------------------------------------------------------------------------
317 MOBERLY TIMOTHY 59-338379-0 1 5/5/00 Closed Mo MO Object Being
Lifted Or
Handled Struck
Or Injured By
----------------------------------------------------------------------------------------------------------
2141 CHRISTIAN ROAD, LEXINGTON KY
----------------------------------------------------------------------------------------------------------
320 MOYER THOMAS 59-011897-0 1 5/26/98 Closed IND Temperature
Extremes Burn
Or Scald-Heat
Or Cold
Exposure
----------------------------------------------------------------------------------------------------------
MOYER RANDALL 59-013024-0 1 1/20/00 Closed IND Fall From
Ladder Or
Scaffolding
Fall, Slip
Or Trip Injury
----------------------------------------------------------------------------------------------------------
ROGERS JEFFREY 59-336906-0 1 1/10/00 Closed Mo MO Hand Tool Or
Machine In
Use Struck
Or Injured By
----------------------------------------------------------------------------------------------------------
4725 HAZEL JONES, BOSSIER CITY, LA
----------------------------------------------------------------------------------------------------------
BENSON DON 41-001453-0 9/6/00 Open IND Lifting
Strain Or
Injury By
----------------------------------------------------------------------------------------------------------
53 AYER ROAD, LITTLETON MA
----------------------------------------------------------------------------------------------------------
338 GAZZA GREGORY 18-101010-0 1 3/16/98 Closed Mo MO Fall From
Different
Level Fall,
Slip Or Trip
Injury
----------------------------------------------------------------------------------------------------------
25284 SEELEY ROAD, NOVI MI
----------------------------------------------------------------------------------------------------------
379 SALVATORE HERBERT 59-334168-0 1 10/2/98 Closed Mo MO Jumping
Strain Or
Injury By
----------------------------------------------------------------------------------------------------------
SALVATORE HERBERT 59-012509-0 1 9/22/99 Closed IND Powered Hand
Tool/Appliance
Cut, Puncture,
Scrape,
Injured By
----------------------------------------------------------------------------------------------------------
DESKOVITZ ROBERT 59-012929-0 1 7/30/99 Closed IND Miscellaneous-
Over Exertion
Strain Or
Injury By
----------------------------------------------------------------------------------------------------------
6575 TWENTY-THREE MILE ROAD, SHELBY TOWNSHIP MI
----------------------------------------------------------------------------------------------------------
381 LUMLEY TIMOTHY 59-334975-0 1 1/7/99 Closed Mo MO Jumping
Strain Or
Injury By
----------------------------------------------------------------------------------------------------------
15801 WEST 78TH STREET, EDEN PRAIRIE MN
----------------------------------------------------------------------------------------------------------
----------------------------------------------------
NATURE OF
INJURY INCURRED PAID RESERVE
----------------------------------------------------
Laceration -- -- --
----------------------------------------------------
SUBTOTAL -- -- --
----------------------------------------------------
2141 CHRISTIAN ROAD, LEXINGTON KY
----------------------------------------------------
Heat 86,698.31 86,698.31 --
Prostration
----------------------------------------------------
Strain 63,297.37 63,297.37 --
----------------------------------------------------
Electric 92.08 92.08 --
Shock
----------------------------------------------------
SUBTOTAL 150,087.76 150,087.76 --
----------------------------------------------------
4725 HAZEL JONES, BOSSIER CITY, LA
----------------------------------------------------
Strain 93,199.00 32,562.79 60,636.21
----------------------------------------------------
SUBTOTAL 93,199.00 32,562.79 60,636.21
---------------------------------------------------
53 AYER ROAD, LITTLETON MA
----------------------------------------------------
Confusion 407.93 407.93 --
----------------------------------------------------
SUBTOTAL 407.93 407.93 --
---------------------------------------------------
25284 SEELEY ROAD, NOVI MI
----------------------------------------------------
Strain 4,195.72 4,195.72 --
----------------------------------------------------
Amputation 36,786.19 36,786.19 --
----------------------------------------------------
Multiple 23,828.26 23,828.26 --
Injuries
Inclu
----------------------------------------------------
SUBTOTAL 64,810.17 64,810.17 --
---------------------------------------------------
6575 TWENTY-THREE MILE ROAD, SHELBY TOWNSHIP MI
----------------------------------------------------
Strain 585.61 585.61 --
----------------------------------------------------
SUBTOTAL 585.61 585.61 --
---------------------------------------------------
15801 WEST 78TH STREET, EDEN PRAIRIE MN
---------------------------------------------------
5/31/02 Page 8 of 17
CLAIMANT CLAIMANT
LAST FIRST CLAIM CLAIM DT OF CLAIM CLAIM CAUSE OF NATURE OF
ADDRESS FACILITY NAME NAME NUMBER COUNT INJURY STATUS TYPE INJURY INJURY INCURRED PAID RESERVE
------------------------------------------------------------------------------------------------------------------------------------
Hand Tool-Not
Powered Cut,
Puncture,
Scrape,
385 ARNOLDI LLOYD 24-100099-0 1 6/16/98 Closed Mo MO Injured By Laceration 434.05 434.05 -
------------------------------------------------------------------------------------------------------------------------------------
Caught
Between
Objects
Caught in
DODD STEVEN 24-100298-0 1 11/5/98 Closed Mo MO Or Between Contusion 107.19 107.19 -
------------------------------------------------------------------------------------------------------------------------------------
Miscellaneous
Caught in Or
RIES ROBERT 24-100326-0 1 11/19/98 Closed Mo MO Between Crushing 196.60 196.60 -
------------------------------------------------------------------------------------------------------------------------------------
Powered Hand
Tool/Appli-
ance Cut,
Puncture,
Scrape,
DUERR JOHN 24-100527-0 1 4/5/99 Closed Mo MO Injured By Sprain 191.27 191.27 -
------------------------------------------------------------------------------------------------------------------------------------
SUBTOTAL 929.11 929.11
------------------------------------------------------------------------------------------------------------------------------------
16195 54TH STREET N.E., ROGERS MN
------------------------------------------------------------------------------------------------------------------------------------
Struck By
Falling Or
Flying Object
Struck Or
391 LUNDY JERAMIAH 24-100124-0 1 7/9/98 Closed Mo MO Injured By Concussion 816.10 816.10 -
------------------------------------------------------------------------------------------------------------------------------------
SUBTOTAL 816.10 816.10 -
------------------------------------------------------------------------------------------------------------------------------------
601 BIG BEAR BLVD., COLUMBIA MO
------------------------------------------------------------------------------------------------------------------------------------
Lifting
Strain Or
397 RICHTER DANIEL 59-333419-0 1 7/28/98 Closed Mo MO Injury By Strain 150.66 150.66 -
------------------------------------------------------------------------------------------------------------------------------------
SUBTOTAL 150.66 150.66 -
------------------------------------------------------------------------------------------------------------------------------------
13621 EAST 42ND TERRACE, INDEPENDENCE MO
------------------------------------------------------------------------------------------------------------------------------------
Collision
With Another
Vehicle
399 WATERS GREGORY 27-100236-0 1 2/2/99 Closed Mo MO Motor Vehicle Contusion 622.36 622.36 -
------------------------------------------------------------------------------------------------------------------------------------
Object Being
Lifted Or
Handled Cut,
Puncture,
PAPEN- Scrape,
HAUSEN CHARLES 59-334970-0 1 1/13/99 Closed Mo MO Injured By Laceration 292.84 292.84 -
------------------------------------------------------------------------------------------------------------------------------------
Object Being
Lifted Or
Handled Cut,
Puncture,
PAPEN- Scrape,
HAUSEN CHARLES 27-100271-0 1 4/26/99 Closed Mo MO Injured By Laceration 365.43 365.43 -
------------------------------------------------------------------------------------------------------------------------------------
SUBTOTAL 1,280.63 1,280.63 -
------------------------------------------------------------------------------------------------------------------------------------
801 PUND ROAD, O'FALLON MO
------------------------------------------------------------------------------------------------------------------------------------
Fall From
Different
Level Fall,
WILLI- KIM- Slip Or
FORD BERLY 27-000153-0 4/12/00 Open IND Trip Injury Contusion 56,471.00 25,871.00 30,600.00
------------------------------------------------------------------------------------------------------------------------------------
Struck By
Falling Or
Flying Object
Struck Or
HARPER GARY 59-334605-0 1 12/16/98 Closed Mo MO Injured By Strain 606.54 606.54 -
------------------------------------------------------------------------------------------------------------------------------------
5/31/02 Page 9 of 17
------------------------------------------------------------------------------------------------------------------------------------
CLAIMANT CLAIMANT CLAIM DT OF CLAIM CLAIM
ADDRESS FACILITY LAST NAME FIRST NAME CLAIM NUMBER COUNT INJURY STATUS TYPE
------------------------------------------------------------------------------------------------------------------------------------
POTTER JOHN 27-100340-0 1 6/11/99 Closed Mo MO
------------------------------------------------------------------------------------------------------------------------------------
5454 New Baumgartner Road,
St. Louis MO
------------------------------------------------------------------------------------------------------------------------------------
405 KELCH THOMAS 27-100080-0 1 10/13/98 Closed Mo MO
------------------------------------------------------------------------------------------------------------------------------------
KENNON DAVID 27-000100-0 1 11/11/99 Closed IND
------------------------------------------------------------------------------------------------------------------------------------
1129 Sweeten Creek Road,
Asheville NC
------------------------------------------------------------------------------------------------------------------------------------
409 EDWARDS MARK 70-738829-0 1 2/18/99 Closed Mo MO
------------------------------------------------------------------------------------------------------------------------------------
439 Lawton Road,
Charlotte NC
------------------------------------------------------------------------------------------------------------------------------------
412 GAITHER GARY 70-161995-0 1 5/21/98 Closed IND
------------------------------------------------------------------------------------------------------------------------------------
SHANNON RICKY 70-737171-0 1 7/2/98 Closed Mo MO
------------------------------------------------------------------------------------------------------------------------------------
BYRD STEPHEN 70-737541-0 1 8/25/98 Closed Mo MO
------------------------------------------------------------------------------------------------------------------------------------
GOODALL GREGGORY 70-739729-0 1 8/5/99 Closed Mo MO
------------------------------------------------------------------------------------------------------------------------------------
5301 Brookshire,
Charlotte, NC
------------------------------------------------------------------------------------------------------------------------------------
413 BAILEY RODGER 70-163427-0 1 7/6/00 Closed IND
------------------------------------------------------------------------------------------------------------------------------------
VICK CLYDE 70-736693-0 1 4/20/98 Closed Mo MO
------------------------------------------------------------------------------------------------------------------------------------
MANLEY SCOTT 70-736796-0 1 5/26/98 Closed Mo MO
------------------------------------------------------------------------------------------------------------------------------------
------------------------------------------------------------------------------------------------------------------------------------
CLAIMANT CLAIMANT CAUSE NATURE OF
ADDRESS FACILITY LAST NAME FIRST NAME OF INJURY INJURY INCURRED PAID RESERVE
------------------------------------------------------------------------------------------------------------------------------------
POTTER JOHN Struck Against Contusion 248.43 248.43 --
Object Being Lifted
Or Handled
------------------------------------------------------------------------------------------------------------------------------------
SUBTOTAL 57,325.97 26,725.97 30,600.00
------------------------------------------------------------------------------------------------------------------------------------
5454 New Baumgartner Road,
St. Lous MO
------------------------------------------------------------------------------------------------------------------------------------
405 KELCH THOMAS Object Being Lifted Laceration 337.87 337.87 --
Or Handled Cut,
Puncture, Scrape,
Injured By
------------------------------------------------------------------------------------------------------------------------------------
KENNON DAVID Struck By Falling Fracture 22,459.23 24,143.23 (1,684.00)
Or Flying Object
Struck Or Injured By
------------------------------------------------------------------------------------------------------------------------------------
SUBTOTAL 22,797.10 24,481.10 (1,684.00)
------------------------------------------------------------------------------------------------------------------------------------
1129 Sweeten Creek Road,
Asheville NC
------------------------------------------------------------------------------------------------------------------------------------
409 EDWARDS MARK Caught Between Contusion 296.08 296.08 --
Objects Caught In
Or Between
------------------------------------------------------------------------------------------------------------------------------------
SUBTOTAL 296.08 296.08 --
------------------------------------------------------------------------------------------------------------------------------------
439 Lawton Road,
Charlotte NC
------------------------------------------------------------------------------------------------------------------------------------
412 GAITHER GARY Struck Against Contusion 82,415.58 82,415.58 --
Object Being Lifted
Or Handled
------------------------------------------------------------------------------------------------------------------------------------
SHANNON RICKY Twisting Strain Or Strain 178.46 178.46 --
Injury By
------------------------------------------------------------------------------------------------------------------------------------
BYRD STEPHEN Object Being Lifted Laceration 1,337.14 1,337.14 --
Or Handled Cut,
Puncture, Scrape,
Injured By
------------------------------------------------------------------------------------------------------------------------------------
GOODALL GREGGORY Object Being Lifted Fracture 1,373.66 1,373.66 --
Or Handled Struck
Or Injured By
------------------------------------------------------------------------------------------------------------------------------------
SUBTOTAL 85,304.84 85,304.84 --
------------------------------------------------------------------------------------------------------------------------------------
413 BAILEY RODGER Miscellaneous - Fracture 1,216.88 1,216.88 --
Caught In Or
Between
------------------------------------------------------------------------------------------------------------------------------------
VICK CLYDE Miscellaneous - Sprain 91.16 91.16 --
Slip Or Fall
------------------------------------------------------------------------------------------------------------------------------------
MANLEY SCOTT Caught Between Laceration 370.32 370.32 --
Objects Caught In
Or Between
------------------------------------------------------------------------------------------------------------------------------------
5/31/02 Page 10 of 17
----------------------------------------------------------------------------------------------------------------------------------
CLAIMANT LAST CLAIMANT FIRST CLAIM DT OF CLAIM CLAIM
ADDRESS FACILITY NAME NAME CLAIM NUMBER COUNT INJURY STATUS TYPE
----------------------------------------------------------------------------------------------------------------------------------
----------------------------------------------------------------------------------------------------------------------------------
MILLER REGGIE 70-736825-0 1 6/10/98 Closed Mo MO
----------------------------------------------------------------------------------------------------------------------------------
SHANNON RICKY 70-738088-0 1 9/22/98 Closed Mo MO
----------------------------------------------------------------------------------------------------------------------------------
HAMES JOHNNIE 70-738733-0 1 1/27/99 Closed Mo MO
----------------------------------------------------------------------------------------------------------------------------------
HAMES JOHNNIE 70-740632-0 1 12/29/99 Closed Mo MO
----------------------------------------------------------------------------------------------------------------------------------
----------------------------------------------------------------------------------------------------------------------------------
7216 CESSNA DRIVE, GREENSBORO NC
----------------------------------------------------------------------------------------------------------------------------------
417 OGLESBY ANDY 70-739966-0 1 7/1/99 Closed Mo MO
----------------------------------------------------------------------------------------------------------------------------------
KIMEL LARRY 70-740685-0 1 1/19/00 Closed Mo MO
----------------------------------------------------------------------------------------------------------------------------------
----------------------------------------------------------------------------------------------------------------------------------
901 CRAFTERS LANE, PINEVILLE, NC
----------------------------------------------------------------------------------------------------------------------------------
420 BROWN VERNON 70-163332-0 1 7/7/00 Closed IND
----------------------------------------------------------------------------------------------------------------------------------
RODAS CARLOS 70-738205-0 1 10/30/98 Closed Mo MO
----------------------------------------------------------------------------------------------------------------------------------
RODAS CARLOS 70-738509-0 1 12/8/98 Closed Mo MO
----------------------------------------------------------------------------------------------------------------------------------
TESNEAR KEVIN 70-739248-0 1 4/13/99 Closed Mo MO
----------------------------------------------------------------------------------------------------------------------------------
----------------------------------------------------------------------------------------------------------------------------------
5931 MARKET STREET, WILMINGTON NC
----------------------------------------------------------------------------------------------------------------------------------
421 WILKS NORMAN 70-162768-0 1 2/12/99 Closed IND
----------------------------------------------------------------------------------------------------------------------------------
WILKS NORMAN 70-162767-0 1 7/2/99 Closed IND
----------------------------------------------------------------------------------------------------------------------------------
----------------------------------------------------------------------------------------------------------------------------------
14707 CUSTER ROAD, OMAHA NE
----------------------------------------------------------------------------------------------------------------------------------
--------------------------------------------------------------------------------------------------------------
CLAIMANT LAST CLAIMANT FIRST
NAME NAME CAUSE OF INJURY NATURE OF INJURY INCURRED PAID RESERVE
--------------------------------------------------------------------------------------------------------------
--------------------------------------------------------------------------------------------------------------
Cumulative (All
Other) Trauma
Miscellaneous
MILLER REGGIE Causes Inflammation 89.19 89.19 --
--------------------------------------------------------------------------------------------------------------
Caught Between
Objects Caught in
SHANNON RICKY Or Between Laceration 411.80 411.80 --
--------------------------------------------------------------------------------------------------------------
Lifting Strain Or
HAMES JOHNNIE Injury By Strain 141.20 141.20 --
--------------------------------------------------------------------------------------------------------------
Pushing Or Pulling
HAMES JOHNNIE Strain Or Injury By Strain 151.56 151.56 --
--------------------------------------------------------------------------------------------------------------
SUBTOTAL 2,472.11 2,472.11 --
--------------------------------------------------------------------------------------------------------------
--------------------------------------------------------------------------------------------------------------
Collision With
Another Vehicle
OGLESBY ANDY Motor Vehicle Strain 30.00 30.00 --
--------------------------------------------------------------------------------------------------------------
Struck by Falling Or
Flying Object Struck
KIMEL LARRY Or Injured By Fracture 901.14 901.14 --
--------------------------------------------------------------------------------------------------------------
SUBTOTAL 931.14 931.14 --
--------------------------------------------------------------------------------------------------------------
--------------------------------------------------------------------------------------------------------------
Object Being Lifted
Or Handled Cut,
Puncture, Scrape,
BROWN VERNON Injured By Fracture 25,412.68 25,412.68 --
--------------------------------------------------------------------------------------------------------------
Caught Between
Objects Caught In
RODAS CARLOS Or Between Contusion 177.76 177.76 --
--------------------------------------------------------------------------------------------------------------
Lifted Strain Or
RODAS CARLOS Injury By Strain 135.88 135.88 --
--------------------------------------------------------------------------------------------------------------
Caught Between
Objects Caught In
TESNEAR KEVIN Or Between Contusion 152.66 152.66 --
--------------------------------------------------------------------------------------------------------------
SUBTOTAL 25,878.98 25,878.98 --
--------------------------------------------------------------------------------------------------------------
--------------------------------------------------------------------------------------------------------------
Lifting Strain Or
WILKS NORMAN Injury By Strain 26,904.43 26,904.43 --
--------------------------------------------------------------------------------------------------------------
Slipped Did Not Fall
WILKS NORMAN Fall Or Slip Injury Strain 3,434.11 3,434.11 --
--------------------------------------------------------------------------------------------------------------
SUBTOTAL 30,338.54 30,338.54 --
--------------------------------------------------------------------------------------------------------------
--------------------------------------------------------------------------------------------------------------
5/31/02 Page 11 of 17
------------------------------------------------------------------------------------------------------------------------------------
CLAIMANT LAST CLAIMANT FIRST CLAIM DT OF CLAIM CLAIM
ADDRESS FACILITY NAME NAME CLAIM NUMBER COUNT INJURY STATUS TYPE
------------------------------------------------------------------------------------------------------------------------------------
429 BENAK JOSEPH 41-902146-0 1 3/26/98 CLOSED MO MO
------------------------------------------------------------------------------------------------------------------------------------
PLEISS KENNETH 41-902439-0 1 8/17/98 CLOSED MO MO
------------------------------------------------------------------------------------------------------------------------------------
WEED CAREN 27-100622-0 1 12/20/99 CLOSED MO MO
------------------------------------------------------------------------------------------------------------------------------------
------------------------------------------------------------------------------------------------------------------------------------
700 CHALLENGER, FORKED RIVER, NJ
------------------------------------------------------------------------------------------------------------------------------------
433 FLETCHER DERREN 86-616673-0 1 12/27/00 CLOSED MO MO
------------------------------------------------------------------------------------------------------------------------------------
WINNE NORMAN 86-626411-0 1 4/22/99 CLOSED MO MO
------------------------------------------------------------------------------------------------------------------------------------
------------------------------------------------------------------------------------------------------------------------------------
2829 LOSEE RD, NORTH LAS VEGAS NV
------------------------------------------------------------------------------------------------------------------------------------
454 CARR JOHN 26-200007-0 1 10/21/99 CLOSED IND
------------------------------------------------------------------------------------------------------------------------------------
WARD PAUL 26-200026-0 1 12/13/99 CLOSED IND
------------------------------------------------------------------------------------------------------------------------------------
RODRIGUEZ JOHNNY 26-200087-0 1 5/8/00 CLOSED IND
------------------------------------------------------------------------------------------------------------------------------------
------------------------------------------------------------------------------------------------------------------------------------
3384 CRATER LAKE HIGHWAY, MEDFORD OR
------------------------------------------------------------------------------------------------------------------------------------
533 HOLMES KENNETH 12-039076-0 1 12/9/98 CLOSED IND
------------------------------------------------------------------------------------------------------------------------------------
------------------------------------------------------------------------------------------------------------------------------------
1307 GALWAY STREET, KNOXVILLE TN
------------------------------------------------------------------------------------------------------------------------------------
565 GARDNER JERALD 70-736234-0 1 3/30/98 CLOSED MO
------------------------------------------------------------------------------------------------------------------------------------
------------------------------------------------------------------------------------------------------------------------------------
2353 SOUTH CHURCH STREET, MURFREESBORO TN
------------------------------------------------------------------------------------------------------------------------------------
577 MCCULLOUGH TIMOTHY 70-737170-0 1 7/15/98 CLOSED MO
------------------------------------------------------------------------------------------------------------------------------------
------------------------------------------------------------------------------------------------------------------------------------
General Liability - AIG - Distribution Group
------------------------------------------------------------------------------------------------------------------------------------
CLAIMANT LAST CLAIMANT CAUSE NATURE OF
ADDRESS FACILITY NAME FIRST NAME OF INJURY INURY INCURRED PAID RESERVE
------------------------------------------------------------------------------------------------------------------------------------
429 BENAK JOSEPH OBJECT BEING LIFTED CRUSHING - - -
OR HANDLED STRUCK
OR INJURED BY
------------------------------------------------------------------------------------------------------------------------------------
PLEISS KENNETH LIFTING STRAIN OR STRAIN 48.77 48.77 -
INJURY BY
------------------------------------------------------------------------------------------------------------------------------------
WEED CAREN OBJECT BEING LIFTED LACERATION 392.72 392.72 -
OR HANDLED CUT,
PUNCTURED, SCRAPE,
INJURED BY
------------------------------------------------------------------------------------------------------------------------------------
SUBTOTAL 441.56 441.56 -
------------------------------------------------------------------------------------------------------------------------------------
700 CHALLENGER, FORKED RIVER, NJ
------------------------------------------------------------------------------------------------------------------------------------
433 FLETCHER DERREN USING TOOL OR LACERATION 258.51 258.51 -
MACHINE STRAIN OR
INJURY BY
------------------------------------------------------------------------------------------------------------------------------------
WINNE NORMAN MISCELLANEOUS- LACERATION 224.08 224.08 -
STRUCK AGAINST
STRIKING AGAINST OR
STEPPING ON
------------------------------------------------------------------------------------------------------------------------------------
SUBTOTAL 482.59 482.59 -
------------------------------------------------------------------------------------------------------------------------------------
2829 LOSEE RD, NORTH LAS VEGAS NV
------------------------------------------------------------------------------------------------------------------------------------
454 CARR JOHN LIFTING STRAIN OR STRAIN 1,133.61 1,133.61 -
INJURY BY
------------------------------------------------------------------------------------------------------------------------------------
WARD PAUL OBJECT BEING LIFTED FOREIGN BODY 84.00 84.00 -
OR HANDLED CUT,
PUNCTURE, SCRAPE,
INJURED BY
------------------------------------------------------------------------------------------------------------------------------------
RODRIGUEZ JOHNNY STRUCK BY FALLING FRACTURE 2,083.81 2,083.81 -
OR FLYING OBJECT
STRUCK OR INJURED
BY
------------------------------------------------------------------------------------------------------------------------------------
SUBTOTAL 3,301.42 3,301.42 -
------------------------------------------------------------------------------------------------------------------------------------
3384 CRATER LAKE HIGHWAY, MEDFORD OR
------------------------------------------------------------------------------------------------------------------------------------
533 HOLMES KENNETH COLLISION WITH CONTUSION 234.57 234.57 -
ANOTHER VEHICLE
MOTOR VEHICLE
------------------------------------------------------------------------------------------------------------------------------------
SUBTOTAL 234.57 234.57 -
------------------------------------------------------------------------------------------------------------------------------------
1307 GALWAY STREET, KNOXVILLE TN
------------------------------------------------------------------------------------------------------------------------------------
565 GARDNER JERALD LIFTING STRAIN OR STRAIN 239.57 239.57 -
INJURY BY
------------------------------------------------------------------------------------------------------------------------------------
SUBTOTAL 239.57 239.57 -
------------------------------------------------------------------------------------------------------------------------------------
2353 SOUTH CHURCH STREET, MURFREESBORO TN
------------------------------------------------------------------------------------------------------------------------------------
577 MCCULLOUGH TIMOTHY OBJECT BEING LIFTED CONTUSION 255.39 255.39 -
OR HANDLED CUT,
PUNCTURE, SCRAPE,
INJURED BY
------------------------------------------------------------------------------------------------------------------------------------
5/31/02 Page 12 of 17
------------------------------------------------------------------------------------------------------------------------------------
CLAIMANT LAST CLAIMANT FIRST CLAIM DT OF CLAIM CLAIM
ADDRESS FACILITY NAME NAME CLAIM NUMBER COUNT INJURY STATUS TYPE
------------------------------------------------------------------------------------------------------------------------------------
------------------------------------------------------------------------------------------------------------------------------------
109 CRUTCHFIELD AVENUE,
NASHVILLE TN
------------------------------------------------------------------------------------------------------------------------------------
585 HAYDEN GARY 70-739417-0 1 5/19/99 CLOSED MO MO
------------------------------------------------------------------------------------------------------------------------------------
------------------------------------------------------------------------------------------------------------------------------------
3668 CRESENT CT.,
WHITEHALL TOWNSHIP, PA
------------------------------------------------------------------------------------------------------------------------------------
592 SPATH, JR. EDWARD 86-033318-0 1 9/20/00 CLOSED IND
------------------------------------------------------------------------------------------------------------------------------------
------------------------------------------------------------------------------------------------------------------------------------
4987 BANCO ROAD,
CHARLESTON, SC
------------------------------------------------------------------------------------------------------------------------------------
600 MCKELVEY RONALD 70-740215-0 1 10/11/99 CLOSED MO MO
------------------------------------------------------------------------------------------------------------------------------------
------------------------------------------------------------------------------------------------------------------------------------
145 CALVIN DRIVE
COLUMBIA, SC
------------------------------------------------------------------------------------------------------------------------------------
602 RICHARDSON RICKY 70-738210-0 1 11/10/98 CLOSED MO MO
------------------------------------------------------------------------------------------------------------------------------------
------------------------------------------------------------------------------------------------------------------------------------
2571 EAST PHILLIPS ROAD,
GREER, SC
------------------------------------------------------------------------------------------------------------------------------------
608 ATKINS TIM 70-739976-0 1 9/11/99 CLOSED MO MO
------------------------------------------------------------------------------------------------------------------------------------
------------------------------------------------------------------------------------------------------------------------------------
915 OSWEGO ROAD,
SUMTER, SC
------------------------------------------------------------------------------------------------------------------------------------
614 VEALEY JASON 70-740457-0 1 11/16/99 CLOSED MO MO
------------------------------------------------------------------------------------------------------------------------------------
------------------------------------------------------------------------------------------------------------------------------------
4525 NORTH EXPRESS WAY 77/83,
BROWNSVILLE, TX
------------------------------------------------------------------------------------------------------------------------------------
615 MARTINEZ JR JOSE 41-902952-0 1 1/29/99 CLOSED MO MO
------------------------------------------------------------------------------------------------------------------------------------
------------------------------------------------------------------------------------------------------------------------------------
4333 IRVING BLVD,
DALLAS, TX
------------------------------------------------------------------------------------------------------------------------------------
632 GAGE JERRY 41-902272-0 1 4/16/98 CLOSED MO MO
------------------------------------------------------------------------------------------------------------------------------------
WALLACE WAYLON 41-902851-0 1 12/14/98 CLOSED MO MO
------------------------------------------------------------------------------------------------------------------------------------
------------------------------------------------------------------------------------------------------------------------------------
12014 PALMERTON RD.
HOUSTON, TX
------------------------------------------------------------------------------------------------------------------------------------
652 MARTINEZ ADAN 41-904538-0 1 9/18/00 CLOSED MO MO
------------------------------------------------------------------------------------------------------------------------------------
------------------------------------------------------------------------------------------------------------------------------------
------------------------------------------------------------------------------------------------------------------------------------
CLAIMANT LAST CLAIMANT CAUSE NATURE OF
ADDRESS FACILITY NAME FIRST NAME OF INJURY INJURY INCURRED PAID RESERVE
------------------------------------------------------------------------------------------------------------------------------------
SUBTOTAL 255.39 255.39 -
------------------------------------------------------------------------------------------------------------------------------------
109 CRUTCHFIELD AVENUE,
NASHVILLE TN
------------------------------------------------------------------------------------------------------------------------------------
Lifting Strain
585 HAYDEN GARY Or Injury By Strain 334.02 344.02 -
------------------------------------------------------------------------------------------------------------------------------------
SUBTOTAL 334.02 344.02 -
------------------------------------------------------------------------------------------------------------------------------------
3668 CRESENT CT.,
WHITEHALL TOWNSHIP, PA
------------------------------------------------------------------------------------------------------------------------------------
Object Being Lifted
Or Handled Struck
592 SPATH, JR EDWARD Or Injured By Contusion 6,534.74 6,534.74 -
------------------------------------------------------------------------------------------------------------------------------------
SUBTOTAL 6,534.74 6,534.74 -
------------------------------------------------------------------------------------------------------------------------------------
4987 BANCO ROAD,
CHARLESTON, SC
------------------------------------------------------------------------------------------------------------------------------------
Lifting Strain
600 MCKELVEY RONALD Or Injury By Strain - - -
------------------------------------------------------------------------------------------------------------------------------------
SUBTOTAL - - -
------------------------------------------------------------------------------------------------------------------------------------
145 CALVIN DRIVE
COLUMBIA, SC
------------------------------------------------------------------------------------------------------------------------------------
Contact With
Hot Object Burn
Or Scald-Heat
602 RICHARDSON RICKY Or Cold Exposure Burn 78.00 78.00 -
------------------------------------------------------------------------------------------------------------------------------------
SUBTOTAL 78.00 78.00 -
------------------------------------------------------------------------------------------------------------------------------------
2571 EAST PHILLIPS ROAD,
GREER, SC
------------------------------------------------------------------------------------------------------------------------------------
Holding Or
Carrying Strain
608 ATKINS TIM Or Injury By Fracture - - -
------------------------------------------------------------------------------------------------------------------------------------
SUBTOTAL - - -
------------------------------------------------------------------------------------------------------------------------------------
915 OSWEGO ROAD,
SUMTER, SC
------------------------------------------------------------------------------------------------------------------------------------
Lifting Strain
614 VEALEY JASON Or Injury By Strain 45.24 45.24 -
------------------------------------------------------------------------------------------------------------------------------------
SUBTOTAL 45.24 45.24 -
------------------------------------------------------------------------------------------------------------------------------------
4525 NORTH EXPRESS WAY 77/83,
BROWNSVILLE, TX
------------------------------------------------------------------------------------------------------------------------------------
Moving Parts Of
Machine Struck
615 MARTINEZ JR JOSE Or Injured By Contusion 572.28 572.28 -
------------------------------------------------------------------------------------------------------------------------------------
SUBTOTAL 572.28 572.28 -
------------------------------------------------------------------------------------------------------------------------------------
4333 IRVING BLVD,
DALLAS, TX
------------------------------------------------------------------------------------------------------------------------------------
Holding Or
Carrying Strain
632 GAGE JERRY Or Injury By Strain 408.73 408.73 -
------------------------------------------------------------------------------------------------------------------------------------
Lifting Strain
WALLACE WAYLON Or Injury By Strain 874.22 874.22 -
------------------------------------------------------------------------------------------------------------------------------------
SUBTOTAL 1,282.95 1,282.95 -
------------------------------------------------------------------------------------------------------------------------------------
12014 PALMERTON RD.
HOUSTON, TX
------------------------------------------------------------------------------------------------------------------------------------
Lifting Strain
652 MARTINEZ ADAN Or Injury By Strain 1,154.83 1,154.83 -
------------------------------------------------------------------------------------------------------------------------------------
SUBTOTAL 1,154.83 1,154.83 -
------------------------------------------------------------------------------------------------------------------------------------
5/31/02 Page 13 of 17
------------------------------------------------------------------------------------------------------------------------------------
CLAIMANT LAST CLAIMANT FIRST CLAIM DT OF CLAIM CLAIM
ADDRESS FACILITY NAME NAME CLAIM NUMBER COUNT INJURY STATUS TYPE
------------------------------------------------------------------------------------------------------------------------------------
4053 HOMESTEAD ROAD, HOUSTON TX
------------------------------------------------------------------------------------------------------------------------------------
653 KIRKLAND CHARLES 41-902078-0 1 3/10/98 Closed Mo MO
------------------------------------------------------------------------------------------------------------------------------------
EDWARDS KEVIN 41-902937-0 1 2/3/99 Closed Mo MO
------------------------------------------------------------------------------------------------------------------------------------
MOSLEY ROGERS 41-001171-0 1 5/13/99 Closed Mo IND
------------------------------------------------------------------------------------------------------------------------------------
MOSLEY ROGERS 41-903156-0 1 4/13/99 Closed Mo MO
------------------------------------------------------------------------------------------------------------------------------------
JOHNSON ELBERT 41-903617-0 1 9/10/99 Closed Mo MO
------------------------------------------------------------------------------------------------------------------------------------
------------------------------------------------------------------------------------------------------------------------------------
100 NO. FIRST ST.
MCALLEN, TX
------------------------------------------------------------------------------------------------------------------------------------
663 DURAN SIMON 41-905350-0 1 6/16/00 Closed Mo MO
------------------------------------------------------------------------------------------------------------------------------------
------------------------------------------------------------------------------------------------------------------------------------
7620 GRISSOM RD.
SAN ANTONIO, TX
------------------------------------------------------------------------------------------------------------------------------------
669 WELLER COURTNEY 41-904245-0 1 5/8/00 Closed Mo Mo
------------------------------------------------------------------------------------------------------------------------------------
------------------------------------------------------------------------------------------------------------------------------------
MARTINEZ MARK 41-905434-0 1 9/11/00 Closed Mo Mo
------------------------------------------------------------------------------------------------------------------------------------
------------------------------------------------------------------------------------------------------------------------------------
MARTINEZ MARK 41-000859-0 1 9/22/98 Closed IND
------------------------------------------------------------------------------------------------------------------------------------
------------------------------------------------------------------------------------------------------------------------------------
SALMON JOHN 41-902710-0 1 11/11/98 Closed Mo MO
------------------------------------------------------------------------------------------------------------------------------------
4375 DODGE STREET,
WACO TX
------------------------------------------------------------------------------------------------------------------------------------
------------------------------------------------------------------------------------------------------------------------------------
CLAIMANT LAST CLAIMANT CAUSE NATURE OF
ADDRESS FACILITY NAME FIRST NAME OF INJURY INJURY INCURRED PAID RESERVE
------------------------------------------------------------------------------------------------------------------------------------
4053 HOMESTEAD ROAD, HOUSTON TX
------------------------------------------------------------------------------------------------------------------------------------
653 KIRKLAND CHARLES Hand Tool-Not Laceration - - -
Powered Cut,
Puncture, Scrape,
Injured By
------------------------------------------------------------------------------------------------------------------------------------
EDWARDS KEVIN Fall On Same Level Contusion 350.30 350.30 -
Fall, Slip Or Trip
Injury
------------------------------------------------------------------------------------------------------------------------------------
MOSLEY ROGERS Caught Between Fracture 3,844.22 3,844.22 -
Objects Caught In
Or Between
------------------------------------------------------------------------------------------------------------------------------------
MOSLEY ROGERS Object Being Lifted Contusion 694.64 694.64 -
Or Handled Struck
Or Injured By
------------------------------------------------------------------------------------------------------------------------------------
JOHNSON ELBERT Struck Against Contusion 993.77 993.77 -
Object Being Lifted
Or Handled
------------------------------------------------------------------------------------------------------------------------------------
SUBTOTAL 5,882.93 5,882.93 -
------------------------------------------------------------------------------------------------------------------------------------
100 NO. FIRST ST.,
MCALLEN, TX
------------------------------------------------------------------------------------------------------------------------------------
663 DURAN SIMON Miscellaneous- Contusion 208.06 208.06 -
Struck Or Injured
By
------------------------------------------------------------------------------------------------------------------------------------
SUBTOTAL 208.06 208.06 -
------------------------------------------------------------------------------------------------------------------------------------
7620 GRISSOM RD.
SAN ANTONIO, TX
------------------------------------------------------------------------------------------------------------------------------------
669 WELLER COURTNEY Struck Against Fracture 987.62 987.62 -
Stationary Object
Striking Against Or
Stepping On
------------------------------------------------------------------------------------------------------------------------------------
MARTINEZ MARK Miscellaneous- Strain 907.22 907.22 -
Struck Or Injured By
------------------------------------------------------------------------------------------------------------------------------------
MARTINEZ MARK Struck By Falling Or Concussion 22,417.19 22,417.19 -
Flying Object Struck
Or Injured By
------------------------------------------------------------------------------------------------------------------------------------
SALMON JOHN Fall From Ladder Or Fracture 1,148.06 1,148.06 -
Scaffolding Fall,
Slip Or Trip Injury
------------------------------------------------------------------------------------------------------------------------------------
SUBTOTAL 25,460.09 25,460.09 -
------------------------------------------------------------------------------------------------------------------------------------
4735 DODGE STREET,
WACO TX
------------------------------------------------------------------------------------------------------------------------------------
5/31/02 Page 14 of 17
------------------------------------------------------------------------------------------------------------------------------------
CLAIMANT LAST CLAIMANT FIRST CLAIM DT OF CLAIM CLAIM
ADDRESS FACILITY NAME NAME CLAIM NUMBER COUNT INJURY STATUS TYPE
------------------------------------------------------------------------------------------------------------------------------------
670 DUKES RANDALL 41-001072-0 1 10/21/98 Closed IND
------------------------------------------------------------------------------------------------------------------------------------
200 HIGHWAY 6 WEST, SUITE 620, WACO TX
------------------------------------------------------------------------------------------------------------------------------------
676 GARZA FRANCISCO 41-902190-0 1 4/15/98 Closed Mo MO
------------------------------------------------------------------------------------------------------------------------------------
STRETAR JOHN 86-628299-0 1 12/13/99 Closed Mo MO
------------------------------------------------------------------------------------------------------------------------------------
5000 FRANKLIN AVENUE, LAS CRUCES TX
------------------------------------------------------------------------------------------------------------------------------------
677 LUMLEY TIM 59-333441-0 1 7/17/98 Closed Mo MO
------------------------------------------------------------------------------------------------------------------------------------
2112 SMITH AVENUE, RICHMOND VA
------------------------------------------------------------------------------------------------------------------------------------
HUNT RICHARD 86-032931-0 9/28/99 Open IND
------------------------------------------------------------------------------------------------------------------------------------
8910 BURGE AVENUE, VA
------------------------------------------------------------------------------------------------------------------------------------
693 CURTIS TROY 86-628350-0 1 2/2/00 Closed Mo MO
------------------------------------------------------------------------------------------------------------------------------------
15655 W. ROGERS DR. NEW BERLIN, WI
------------------------------------------------------------------------------------------------------------------------------------
731 RAMSEY PERCY 24-100077-0 1 6/4/98 Closed Mo MO
------------------------------------------------------------------------------------------------------------------------------------
MCEVILLY MATTHEW 24-100295-0 1 10/12/98 Closed Mo MO
------------------------------------------------------------------------------------------------------------------------------------
YOUNG MARK 24-100790-0 1 6/16/99 Closed Mo MO
------------------------------------------------------------------------------------------------------------------------------------
1901 SO. PRAIRIE, WAUKESHA, WI
------------------------------------------------------------------------------------------------------------------------------------
------------------------------------------------------------------------------------------------------------------------------------
CLAIMANT LAST CLAIMANT CAUSE NATURE OF
ADDRESS FACILITY NAME FIRST NAME OF INJURY INURY INCURRED PAID RESERVE
------------------------------------------------------------------------------------------------------------------------------------
670 DUKES RANDALL Struck Against Fracture 3,324.57 3,324.57 --
Moving Parts Of
Machine, Striking
Against Or Stepping
On
------------------------------------------------------------------------------------------------------------------------------------
SUBTOTAL 3,324.57 3,324.57 --
------------------------------------------------------------------------------------------------------------------------------------
200 HIGHWAY, 6 WEST, SUITE 620, WACO TX
------------------------------------------------------------------------------------------------------------------------------------
676 GARZA FRANCISCO Dust, Gases, Fumes Dermatitis 427.35 427.35 --
Or Vapors Burn Or
Scald-Heat Or Cold
Exposure
------------------------------------------------------------------------------------------------------------------------------------
STRETAR JOHN Lifting Strain Or Strain -- -- --
Injury By
------------------------------------------------------------------------------------------------------------------------------------
SUBTOTAL 427.35 427.35 --
------------------------------------------------------------------------------------------------------------------------------------
5000 FRANKLIN AVENUE, LAS CRUCES TX
------------------------------------------------------------------------------------------------------------------------------------
677 LUMLEY TIM Foreign Body In Foreign 104.36 104.36 --
Eye Body
------------------------------------------------------------------------------------------------------------------------------------
SUBTOTAL 104.36 104.36 --
------------------------------------------------------------------------------------------------------------------------------------
2112 SMITH AVENUE, RICHMOND VA
------------------------------------------------------------------------------------------------------------------------------------
HUNT RICHARD Caught In Multiple 702,500.00 369,699.64 332,800.36
Collapsing Materials Physical
Caught In, Under Injuries
Or Between
------------------------------------------------------------------------------------------------------------------------------------
SUBTOTAL 702,500.00 369,699.64 332,800.36
------------------------------------------------------------------------------------------------------------------------------------
8910 BURGE AVENUE, VA
------------------------------------------------------------------------------------------------------------------------------------
693 CURTIS TROY Fall On Ice Or Snow Contusion 254.02 254.02 --
Fall, Slip Or Trip
Injury
------------------------------------------------------------------------------------------------------------------------------------
SUBTOTAL 254.02 254.02 --
------------------------------------------------------------------------------------------------------------------------------------
15655 W. ROGERS DR. NEW BERLIN, WI
------------------------------------------------------------------------------------------------------------------------------------
731 RAMSEY PERCY Caught Between Objects Laceration 490.01 490.01 --
Caught In Or Between
------------------------------------------------------------------------------------------------------------------------------------
MCEVILLY MATTHEW Pushing Or Pulling All Other 144.11 144.11 --
Strain Or Injury By Specific
Inj.
------------------------------------------------------------------------------------------------------------------------------------
YOUNG MARK Miscellaneous-Sharp Puncture 538.70 538.70 --
Object Cut, Puncture,
Scrape, Injured By
------------------------------------------------------------------------------------------------------------------------------------
SUBTOTAL 1,172.82 1,172.82 --
------------------------------------------------------------------------------------------------------------------------------------
1901 SO. PRAIRIE, WAUKESHA, WI
------------------------------------------------------------------------------------------------------------------------------------
5/31/02 Page 15 of 17
------------------------------------------------------------------------------------------------------------------------------------
CLAIMANT LAST CLAIMANT FIRST CLAIM DT OF CLAIM CLAIM
ADDRESS FACILITY NAME NAME CLAIM NUMBER COUNT INJURY STATUS TYPE
------------------------------------------------------------------------------------------------------------------------------------
------------------------------------------------------------------------------------------------------------------------------------
ZIBELL WILLIAM 59-013872-0 12/1/99 OPEN IND
------------------------------------------------------------------------------------------------------------------------------------
INDUSTRIAL PKWY.,
MULBERRY, FL
------------------------------------------------------------------------------------------------------------------------------------
1776 VANVAERENBERG MICHAEL 70-163370-0 1 8/30/00 CLOSED IND
------------------------------------------------------------------------------------------------------------------------------------
207 WEST UNION
AVENUE, NM
------------------------------------------------------------------------------------------------------------------------------------
1843 RICE DAVE 13-500001-0 1 11/15/99 CLOSED MO MO
------------------------------------------------------------------------------------------------------------------------------------
5536 OLD HIGHWAY 78,
CHESAPEAKE TN
------------------------------------------------------------------------------------------------------------------------------------
1844 PYRON DONOVAN 70-740065-0 1 9/13/99 CLOSED MO MO
------------------------------------------------------------------------------------------------------------------------------------
UNKNOWN ADDRESS
------------------------------------------------------------------------------------------------------------------------------------
UNK FORNES DAVID 59-332885-0 1 3/12/98 CLOSED MO MO
------------------------------------------------------------------------------------------------------------------------------------
UNK KOEPP NORMAN 59-330024-0 1 4/10/97 CLOSED MO MO
------------------------------------------------------------------------------------------------------------------------------------
UNK TREUDEN RICHARD 59-330242-0 1 5/1/97 CLOSED MO MO
------------------------------------------------------------------------------------------------------------------------------------
UNK BEZAK JOHN 86-616394-0 1 2/18/00 CLOSED MO MO
------------------------------------------------------------------------------------------------------------------------------------
UNK LOPEZ LUIS 20-105922-0 1 9/7/00 CLOSED IND
------------------------------------------------------------------------------------------------------------------------------------
UNK SAND PAUL 65-602661-0 1 2/8/01 CLOSED MO MO
------------------------------------------------------------------------------------------------------------------------------------
UNK CONIGLIARO ADAM 86-616064-0 1 8/24/00 CLOSED MO MO
------------------------------------------------------------------------------------------------------------------------------------
UNK STRETAR JOHN 86-616170-0 1 8/18/00 CLOSED MO MO
------------------------------------------------------------------------------------------------------------------------------------
------------------------------------------------------------------------------------------------------------------------------------
CLAIMANT LAST CLAIMANT CAUSE NATURE OF
ADDRESS FACILITY NAME FIRST NAME OF INJURY INJURY INCURRED PAID RESERVE
------------------------------------------------------------------------------------------------------------------------------------
ZIBELL WILLIAM OTHER THAN PHYSICAL LOSS OF 21,275.00 42.50 21,232.50
CAUSE OF INJURY - HEARING
MISCELLANEOUS CAUSES
------------------------------------------------------------------------------------------------------------------------------------
SUBTOTAL 21,275.00 42.50 21,232.50
------------------------------------------------------------------------------------------------------------------------------------
INDUSTRIAL PKWY.,
MULBERRY, FL
------------------------------------------------------------------------------------------------------------------------------------
1776 VANVAERENBERG MICHAEL MISCELLANEOUS - SLIP MULTIPLE 19,026.06 19,026.06 -
OR FALL PHYSICAL
INJURY
------------------------------------------------------------------------------------------------------------------------------------
SUBTOTAL 19,026.06 19,026.06 -
------------------------------------------------------------------------------------------------------------------------------------
207 WEST UNION
AVENUE, NM
------------------------------------------------------------------------------------------------------------------------------------
1843 RICE DAVE LIFTING STRAIN OR STRAIN 147.86 147.86 -
INJURY BY
------------------------------------------------------------------------------------------------------------------------------------
SUBTOTAL 147.86 147.86 -
------------------------------------------------------------------------------------------------------------------------------------
5536 OLD HIGHWAY 78,
CHESAPEAKE TN
------------------------------------------------------------------------------------------------------------------------------------
1844 PYRON DONOVAN HOLDING OR CARRYING FRACTURE 1,483.74 1,483.74 -
STRAIN OR INJURY BY
------------------------------------------------------------------------------------------------------------------------------------
SUBTOTAL 1,483.74 1,483.74 -
------------------------------------------------------------------------------------------------------------------------------------
UNKNOWN ADDRESS
------------------------------------------------------------------------------------------------------------------------------------
UNK FORNES DAVID LIFTING STRAIN OR STRAIN - - -
INJURY BY
------------------------------------------------------------------------------------------------------------------------------------
UNK KOEPP NORMAN DUST, GASES, FUMES FOREIGN 86.90 86.90 -
OR VAPORS BURN OR BODY
SCALD-HEAT OR COLD
EXPOSURE
------------------------------------------------------------------------------------------------------------------------------------
UNK TREUDEN RICHARD STRUCK BY FALLING CONTUSION 281.28 281.28 -
OR FLYING OBJECT
STRUCK OR INJURED
BY
------------------------------------------------------------------------------------------------------------------------------------
UNK BEZAK JOHN USING TOOL OR PUNCTURE 966.41 966.41 -
MACHINE STRAIN OR
INJURY BY
------------------------------------------------------------------------------------------------------------------------------------
UNK LOPEZ LUIS CUMULATIVE (ALL ALL OTHER - - -
OTHER) TRAUMA CUMULATIVE
MISCELLANEOUS
CAUSES
------------------------------------------------------------------------------------------------------------------------------------
UNK SAND PAUL MISCELLANEOUS - SPRAIN 329.88 329.88 -
SLIP OR FALL
------------------------------------------------------------------------------------------------------------------------------------
UNK CONIGLIARO ADAM STRAIN OR INJURY STRAIN - - -
BY REPETITIVE
MOTION
------------------------------------------------------------------------------------------------------------------------------------
UNK STRETAR JOHN STEPPED ON SHARP PUNCTURE 164.53 164.53 -
OBJECT STRIKING
AGAINST OR
STEPPING ON
------------------------------------------------------------------------------------------------------------------------------------
5/31/02 Page 16 of 17
------------------------------------------------------------------------------------------------------------------------------------
CLAIMANT LAST CLAIMANT FIRST CLAIM DT OF CLAIM CLAIM
ADDRESS FACILITY NAME NAME CLAIM NUMBER COUNT INJURY STATUS TYPE
------------------------------------------------------------------------------------------------------------------------------------
------------------------------------------------------------------------------------------------------------------------------------
UNK RODRIGUEZ DIANE 26-200194-0 1 12/18/00 CLOSED IND
------------------------------------------------------------------------------------------------------------------------------------
-------------------------------------------------------------------------------------------------------------------------------
CLAIMANT LAST CLAIMANT CAUSE NATURE OF
ADDRESS FACILITY NAME FIRST NAME OF INJURY INJURY INCURRED PAID RESERVE
-------------------------------------------------------------------------------------------------------------------------------
UNK RODRIGUEZ DIANE FALL ON SAME LEVEL STRAIN 365.45 365.45 -
FALL, SLIP OR TRIP
INJURY
-------------------------------------------------------------------------------------------------------------------------------
SUBTOTAL 2,194.45 2,194.45 -
-------------------------------------------------------------------------------------------------------------------------------
-------------------------------------------------------------------------------------------------------------------------------
GRAND TOTAL 1,592,617.67 1,120,240.32 472,377.35
-------------------------------------------------------------------------------------------------------------------------------
5/31/02
PAGE 17 OF 17
APPENDIX E-1
SURETY OBLIGATIONS: CONSTRUCTION AND SUPPLY
SUPPLY-INSTALLATION
ACTIVE BOND SCHEDULE WITH WIP
ACCOUNT: USF DISTRIBUTION GROUP ONLY
BOND
NUMBER PREMIUM OBLIGEE NAME PRINCIPAL BOND AMOUNT CONTRACT AMOUNT
----------------------------------------------------------------------------------------------------------------------
SUPPLY-IN $66,282 $14,786,859 $15,934,008
217911 $15,956 City of Berwyn USFDG $4,178,185 $4,178,185
241650 $4,039 Village of Clarendon Hills USFDG $841,408 $841,408
255233 $1,110 City of Camden USFDG $1,110,000 $1,110,000
255248 $7,796 Village of Glendale Heights USFDG $1,624,140 $1,624,140
258486 $264 Jackson Township MUA USFDG $264,065 $264,065
261943 $216 City of Cleveland USFDG $216,400 $432,800
261956 $3,806 City of Hudson USFDG, Eden Prairie $792,958 $792,958
261973 $214 City of Cleveland USFDG $53,455 $213,820
266690 $100 City of St. Louis, Supply Division USFDG $97,000 $97,000
266695 $100 City of Cleveland USFDG $67,106 $268,424
266714 $1,742 Village of Lagrange Park USFDG $362,880 $362,880
266717 $670 City of Cleveland USFDG $167,500 $670,000
266725 $8,265 City of Chanhassen, MN USFDG $1,332,988 $1,332,988
285909 $1,851 Jackson County Water&Sewer Auth USFDG $638,256 $638,256
285910 $1,332 Jackson County Water&Sewer Auth. USFDG $459,255 $459,255
Pollution Control c/o Pennsauken
285938 $1,386 Landfill USFDG $477,760 $477,760
290308 $706 Lott Wastewater Alliance USFDG $243,383 $243,383
290322 $12,945 City of Palos Heights USFDG $1,533,152 $1,533,152
290339 $3,157 Village of Huntley USFDG (Carol Stream, IL) $259,552 $259,552
290356 $100 Knox County Bd. of Commissioners USFDG $10,674 $10,574
290360 $320 City of Cleveland USFDG $22,222 $88,888
290363 $100 City of St. Louis USFDG $4,700 $4,700
290364 $107 Clearfield Mun. Auth., PA USFDG $29,821 $29,821
Page 1 of 1
APPENDIX E-2
SURETY OBLIGATIONS: OTHER
-------------------------
COMMERCIAL SURETY
ACTIVE BOND SCHEDULE WITH WIP
Account: USFilter Distribution Group Only
BOND
NUMBER EFF. DATE EXP. DATE BOND AMT. OBLIGEE NAME JOB DESCRIPTION PRINCIPAL
------ --------- --------- --------- ------------ --------------- ---------
COMMERCIAL SECURITY BONDS $1,873,916
196700 09/01/99 08/31/02 $10,000 Department of Transportation Superheavy or Oversize Permit USFDG
192164 03/15/99 03/15/02 $6,000 State of Washington Contractor's License Bond USFDG
????? 04/28/?? 04/28/03 $250,000 State of Georgia Sell Insurer's Guaranty Trust USFDG
????? 08/11/01 08/11/01 $204,91? State of Nevada Sales Tax Bond USFDG
213419 11/09/98 11/09/02 $100,000 State of Arizona Contractor's License Bond USFDG
213420 11/09/99 11/09/02 $10,000 State of Arizona Contractor's License Bond USFDG
213629 12/02/99 12/02/02 $5,000 Lake County License/Permit USFDG
213836 12/07/01 12/07/04 $50,000 State of Nevada Contractor License Bond USFDG
218002 06/25/99 06/25/02 $6,000 WA Dept of Labor & Industries Contractor's License Bond USFDG
22?951 07/01/01 07/01/03 $5,000 MN State Board of Electricity Contractor's License Bond USFDG
229?55 08/31/00 08/31/03 $2,000 County of Mecklenburg Land Develop and Constr USFDG
238769 03/15/00 03/15/03 $10,000 State of Oregon Contractor's License Bond USFDG
238786 04/06/01 04/06/02 $150,000 State of Iowa License Permit USFDG
247851 08/16/00 08/16/04 $10,000 State of Washington Notary (B J Olinger) USFDG
25?209 13/27/00 12/26/04 $6,000 State of Indiana Notary (Mary Joan McReynolds) USFDG
261957 03/01/02 02/28/03 $500,000 Hamson Development, LLC Gilbert lease guarantee USFDG
26??68 ??/01/01 ??/30/02 $500,000 Hamson Development, LLC Tolleson lease guarantee USFDG
?????? 08/14/02 08/14/03 $50,000 U.S. Customs Customs USFDG