Andrew S. and Linda Hayworth Brenner - Page 8

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          claims and the counterclaim that have been asserted in * * *                
          [the] arbitration are hereby dismissed with prejudice and without           
          costs to either party”;  Nomura agreed to pay petitioner                    
          $1,900,000, “less appropriate withholding for income, social                
          security and other taxes * * * in full satisfaction for the                 
          resolution of the Settled Claims.”  Nomura also agreed to donate,           
          in the name of petitioner’s son, $50,000 to the Children’s Cancer           
          Research Fund and $50,000 to the Children’s Cancer Research                 
          Program.  In consideration of the settlement payment, petitioner            
          released Nomura from liability for all existing claims (including           
          the legal fees) and from a litany of other claims, both known and           
          unknown, that petitioner might assert against Nomura in the                 
          future, including but not limited to indemnification of legal               
          fees not yet incurred (the so-called “Settled Claims”).  The                
          settlement agreement does not allocate any portion of the                   
          settlement payment to petitioner’s legal fees or, in fact, to any           
          of the claims asserted by petitioner in the arbitration                     
          Nomura’s Tax Reporting                                                      
          Nomura issued to petitioner a 1998 Form W-2, Wage and Tax                   
          Statement, which reported as wages subject to tax withholding the           
          $1.9 million cash payment made to petitioner pursuant to the                
          settlement agreement.                                                       

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Last modified: May 25, 2011