============= Page 1 of 2 ============= doparti. harden FR it l Publicteporting burden for this collection of infori. ..ion is estimated to average 1.86 minutes (0.031 how-, per 0M.B. No. 7100.0115 response, including the time for reviewing instructions, searching existing data sources. gathering and maintaining Approval expires June 30,1994 the data needed, and completing and reviewing the collection of information. Send comments regarding this burden estimate, including suggestions for reducing this burden, to Secretary, Board of Governors of the Federal / Reserve System, 20th and C Streets, .V-W, Washington, D.C. 20551; and to the Office of Management and Budget, Paperwork Reduction Project (7100.0115), Washington, D.C. 20503. Board of Governors of the Federal Reserve System Statement of Purpose for an Extension of Credit Secured by Margin Stock NATIONSBANK OF TEXAS, N.A. Name of Bank (Federal Reserve Form U-I ) This form is required by law (15 U.S.C. §§78g and 78w; 12 CFR 221). Iaafrvcffons 1. This form must be completed when a bank extends credit in excess of $100,000 secured directly or indirectly, in whole or in part, by any mar- gin stock. 2. The term 'margin stock' is defined in Regulation U (12 CFR 221) and includes, principally: (1) stocks that are registered on a national secur- ities exchange or that are on the Federal Reserve Board's List of Marginable OTC Stocks; (2) debt securities (bonds) that are convertible into margin stocks; (3) any over-the-counter security designated ar4 qual- ified for trading in the National Market System under a designation plan approved by the Securities and Exchange Commission (NMS se- curity); and (4) shares of mutual funds, unless 96 per cent of the assets of the fund are continuously invested in U.S. government, agency, state, or municipal obligations. 3. Please print or type (if space is inadequate, attach separate aneet). Part I. To b. compl.fed by berrowerls). 1. What is the amount of the credit being extended? 2. Will any part of this credit be used to purchase or carry margin stock? (Yes O No If the an sw.r is "no," describe the specific purpose of the credit. I (we) have read this form and certify that to the best of my (our) knowledge the margin stock and any other securities'collateralizing this credit are and belief the information given is true, accurate, and complete, and that authentic, genuine, unaltered, and not stolen, forged, or counterfeit. KLL & LPL INVESTMENTS, LTD. Signed: Signed: By: ~3 By Bo iga.turc Borrow s t rc is Kenneth L. Lay, Ma ging Partner Lind P. Lay, Managing rtner Print or Type Name Print or Type Name This form should not be signed in blank. A borrower who falsely certifies the purpose of a credit on this form or otherwise willfully or intentionally evades the provisions of Regulation U will also violate Federal Reserve Regulation X, "Borrowers of Securities Credit." 0199-138 (Rr... , 92) 10-14-01 1.v) BONFBI/! AY: 29655 .BF002-00139 GOVERNMENT EXHIBIT 177 Crim. No. H-04-25 (S-2) ============= Page 2 of 2 ============= Part R. T. be a .s'l.t.d by bank ..ly Y • puep....11k. er rN is to prrsbas..r e.rt ..gin stock (fart 1(2) .wend "yes'* 1. List the margin stock securing this credit: do not include debt securities convertible into margin stock. The maximum loan value of margin stock is A Q per cent of its current market value under the current Supplement to Regulation U. No. of Issue Market price Date and source Total market shares per share of valuation value per issue (See note below) See at ached Schedule 2. List the debt securities convertible into margin stock securing this credit The maximum loan value of such debt securities is ...... per cent of the current market value under the current Supplement to Regulation U. Principal amount Issue Market price Date and source of valuation (See note below) Total market value per issue 3. List other collateral including noumargin stock securing this credit Describe briefly Market price Date and source of valuation (See note below) Good faith loan value Note: Bank need not complete 'Date and source of valuation if the market value was obtained from regularly published information in a journal of general circulation. Part III. T. b. signed by a bank officer in all Instances. I am a duly authorized officer of the bank and understand that this credit secured by margin stock may be subject to the credit restrictions of Regu- lation U. I have read this form and any attachments, and I have accepted the customer's statement in part I in good faith as required by Regulation U', and I certify that to the beat of my knowledge and belief, all the infor- mation given is true, accurate, and complete. I also certify that if any se- curities that directly secure the credit are not or will not be registered in the name of the borrower or its nominee, I have or will cause to have 62 Date Title examined the written consent of the registered owner to pledge such se- curities. I further certify that any securities that have been or will be physically delivered to the bank in connection with this credit have been or will be examined, that all validation procedures required by bank policy and the Securities Exchange Act of 1934 (section 17(f), as amended) have been or will be performed, and that I am satisfied to the best of my know- ledge and belief that such securities are genuine and not stolen or forged and their faces have not been altered. Signed: NATIONS S, N.A. Bank officers arry B. Bell Print or type name 'To accept the customer's statement in good faith, the officer of the bank must be alert to the circumstances surrounding the credit and, if in possession of any information that would cause a prudent person not to accept the statement without inquiry, must have investigated and be satisfied that the statement is truthful. Among the facts which would require such investigation are receipt of the statement through the mail or from a third party. This form must be retained by the bank for at least three years after the credit is extinguished. BOAIFBI/LAY: 29656 3F002-00140