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UNITED STATES OF AMERICABEFORE FEDERA TRADE COMMISSION

In the Matter of

PIEDMONT HEALTH ALLIACE, INC.a corporation

and

PETER H. BRASHAW, M.S. ANDREWS DEEKENS, M.DANIEL C. DILLON, M.SANFORD D. GUTTLER, M.D.,DAVID L. HARVEY, M.JOHN W. KESSEL, M.A. GREGORY ROSENFELD, M.JAMES R. THOMPSON, M.D.,ROBERT A. Y APUNDICH, M.and WILLIAM LEE YOUNG III, M.

individually.

Docket No. 9314.

COMPLAINT COUNSEL'S INITIAL DISCLOSURES

Pursuant to Rule 3.31(b)(1) and (2) of the Federal Trade Commission s Rules of Practice

for Adjudicative Proceedings ("Rules ), Complaint Counsel hereby submit their Initial

Disclosures to Respondents Piedmont Health Allance, Inc. ("PHA"), Peter H. Bradshaw, M.

S. Andrews Deekens, M. , Danel C. Dilon, M. , Sanford D. GuttIer, M. , David L. Harey,

, John W. Kessel , M. , A. Gregory Rosenfeld, M. , James R. Thompson, M. , Robert

A. Yapundich, M. , and William Lee Young III, M. , collectively referred to herein as

Respondents. "

Individuals and Organizations Likely to Have Discoverable Information

The following persons are likely to have discoverable information relevant to the

allegations asserted in the Commission s Complaint, the proposed relief, or to the defenses of the

Respondents. Where available, Complaint Counsel has set fort each individual's full name

address, and telephone number. In addition, where Complaint Counsel is aware that a par represented by counsel, Complaint Counsel has set fort the name, address, and telephone

number of each individual' s legal counsel. Complaint Counsel exclude from this list the

individual physician respondents and the officers and directors of Respondent PHA. The names

addresses, and telephone numbers of such persons are already in Respondents ' possession.

Complaint Counsel is not disclosing the identity of any non-testifying experts pursuant to the

protection from disclosure provided in 9 9 3.31 (c )(3) and (4) of the Rules of Practice. Complaint'

Counsel wil disclose the identity of its testifying experts on the date provided in the Scheduling

Order entered by the Administrative Law Judge.

Richard W. Adkins , Esq.AccordiaO. Box 1551

Charleston, West Virginia 25326- 1551(304) 345-6009

Aetna. Inc.Karen Webb, Director of Provider RelationsGreg Shanon, Network ManagerLeslie Clapp, Professional Servces CoordinatorRick Kelly, General Manager, CarolinasSusan Kirsch, Director of Provider RelationsMar Marha McGiver, Director of Provider RelationsMary Boyd, Director of Provider RelationsSally Bradley, Network ManagerBob Wolfkel, Director of Provider Relations

Wiliam Kramer, Esq.Aetna980 Jolly Road

O. Box 1180Blue Bell , P A 19422(215) 775-3618

Alex LeeTom Fanin, Director of Compensation, Benefits, and Human ResourceInformation Systems An Fegley, Benefits Manager

John Orgain, Esq.Alex Lee120 4th Street, SWHickory, North Carolina 28602(828) 323-4444

American Health Group. Inc.Waren Eckles, M. , CEOAmerican Health Group, Inc.1789 Indian Wood Circle, Suite 110Maumee, Ohio 43537

Derek Teff, Director of Managed CareAmerican Health Group, Inc.

O. Box 1500Maumee, Ohio 43537(419) 891- 1824 ext. 222

Blue Cross and Blue Shield of North CarolinaJoe Bowers, Director of Contracting in Ashevile/HickoryMilo Brunick, Vice President of Network ManagementLisa Cade, Senior Director of Network ManagementDarrl Day, former Area Manager for Hickory/AshevilleCourey Hardy, former Director of Physician Networks, Western RegionPam Ikerd, Manager for Contracting in Ashevile/Hickory AreaRuth Johnson, former Area Manager for Hickory/Ashevile

Elizabeth Lippincott, Associate CounselBlue Cross and Blue Shield of Nort Carolina

O. Box 2291Durham, North Carolina 27702-2291(919) 765-2641

Douglas W. Kenyon, Esq.Hunton & WiliamsOne Hanover Square, Suite 1400421 Fayettevile Street MallRaleigh, North Carolina 27601(919) 899-3076

Wiliam Howard III, Vice President of Human ResourcesBernardt Furnture

1839 Morgantown BoulevardO. Box 740

Lenoir, North Carolina 28645-0740(828) 759-6540

Broyhil Furniture CompanyPaula Blanenship, Director of Employee BenefitsGlenda Suddreth, Assistant Director of Employee Benefits

Broyhill Furniture CompanyOne Broyhill ParkLenoir, North Carolina 28633(828) 758-3111

Caldwell Memorial HospitalFrederick L. Soule, President/CEO

Caldwell Memorial Hospital321 Mulberr Street, S.Lenoir, North Carolina 28645- 1890

James H. Sneed, Esq.,McDermott, Wil & Emery600 13th Street, N.Washington, D.C. 20005-3096(202) 756-8006

David C. Kibbe, M. , Chairman and founderCanopy Systems Incorporated (formerly Future Healthcare Incorporated)1520 East Franin StreetChapel Hil, North Carolina 27514(919) 929-5993

10. Reed Gardner, BrokerCapitol Concepts

O. Box 3509Hickory, Nort Carolina 28603(828) 322-8210 ext. 411

11. Catawba V alley Health ServicesBob Blake, CEOMark Farque, M.

14.

15.

Dean McCord, Esq.Wyreck, Robbins, Yates & Ponton LLP4101 Lake Boone Trail , Suite 300Raleigh, Nort Carolina 27607-7506(919) 781-4000

12. Catawba Women s CenterJoel B. Miller, M.Harold C. Dufour, M.James W. Wotrng, Jr. , M.Nancy J. Toy, M.Scott T. Chatham, M.Jason A. Walker, M.Robert A. Highand, M.

Catawba Women s Center1170 Fairgrove Church RoadHickory, North Carolina 28603(828) 322-4140

13. CIGNA HealthCare of North Carolina. Inc.Ronald Howrigon, Assistant Vice President of Network ManagementMark Payne, Esq.

Toby Singer, Esq.Jones Day51 Louisiana Avenue, N.Washington, DC 20001-2113(202) 879-4654

Jim Wright, Vice President of Human ResourcesCommscope1100 Commscope Place, SEHickory, North Carolina 28603(828) 323-4882

Suzane L. Freitag, Account ManagerCorporate Benefits Servce, Inc.145 Scaleybark Road, Suite BCharlotte, North Carolina 28209(704) 373-0447

16.

17.

20.

21.

22.

Robert Johnson, Senior Vice President of AdministrationCV Industres

O. Box 608Hickory, Nort Carolina 28603(828) 328- 1851

Mar An Cocke, Benefits & Compensation ManagerDana Corporation

O. Box 433Toledo , Ohio 43697

18. Rick Mark, Vice President of Human ResourcesDrexel Heritage Furnture Industries Incorporated1925 Eastchester DriveHigh Point, North Carolina 27265(828) 433-3128

19. Employee Benefit Services. Inc.

Wallace T. Gray, Esq.Key Family of Companies8330 Allson Pointe TrailIndianapolis, Indiana 46520(317) 284-7702

Mark A. Farque, M.Bethlehem Family Practice1232 Shiloh Church RoadHickory, North Carolina 28601

Dean M. McCord, Esq. Wyreck, Robbins, Yates & Ponton LLP4101 Lake Boone Trail , Suite 300Raleigh, North Carolina 27607-7506(919) 781-4000

Robert Floyd, ownerThe Floyd Group222-B Harer Avenue Lenoir, North Carolina 28645(828) 758- 1959

Frye Regional Medical CenterDenns Phillips, CEOEdward Rush, COO

24.

25.

26.

Frye Regional Medical Center420 North Center StreetHickory, Nort Carolina 28601

Clifford Aronson, Esq.Skadden, Ars, Slate, Meagher & Flom LLPF our Times SquareNew York, NY 10036-6522(212) 735-2644

23. Grace Hospital. Inc.Robert Fritts , CFO Blue Ridge HealthCare System

Blue Ridge HealthCare System2201 South Sterling StreetMorganton, North Carolina 28655

Mark Horoschak, Esq.Womble Carlyle Sandridge & RiceOne Wachovia Center, Suite 3300Charlotte, NC 28202-6025(704) 331-4928

Gar E. Lewis, Chief Operating OffcerHealth Care Savings, Inc.4530 Park Road, Suite 110Charlotte, North Carolina 28209(704) 527-6261 ext. 1201

Hewitt Associates

Wiliam Sneden, Benefits Consultant

Peter Ross, Esq.Hewitt Associates

100 Half Day RoadLincolnshire, Ilinois 60069(847) 295-5000

Timothy Isenhower, Corporate ManagerHickory Springs Manufactung Company

O. Box 128Hickory, North Carolina 28603(828) 328-2201 ext.3269

29.

30.

31.

27. Tricia MansKanawha Health Care Solutions, Inc.210 South Whte StreetLancaster, S.C. 29720(803)416-5929

28. Tamy Guess, Human Resources ManagerKlingspor Abrasives

O. Box 2367Hickory, North Carolina 28603(828) 326-0240

Drew Mayberr, President and CEOLenoir Mirror401 Kincaid Street

O. Box 1650Lenoir, North Carolina 28645(828) 728-3271

MAMSI Life and Health Ins. Co.. and Alliance PPOJohn Aman, Director of Network DevelopmentShawn Brown, Manager of Regulatory AffairsKirsten Hopper, Director of Contracts Administration for North CarolinaValerie Leach, Manager of Contract AdministrationBernard LaPine, Esq. , former Director of Regulatory Affairs for Nort Carolina

MASI627 Davis Drive, Suite 100Morrsvile, Nort Carolina 27560(919) 281-7100

Sharon Pavlos , Associate Senior Executive Vice President and General CounselMAMSI4 Taft CourRockvlle, Marland 20850(301) 251-4075

Maupin Taylor. P. (formerly Maupin Taylor & Ellis, P.A.)Arlene J. Diosegy, Esq.Theron M. vanusen, Esq.

Maupin Taylor, P.O. Box 13646

Research Triangle Park, North Carolina 27709-3646(919) 981-4096

34.

35.

36.

32. Mitchell GoldJohn Bounous, CFODaniel Gauthreaux, Director of Human Resources and Customer Care

Mitchell Gold135 One Comfortable PlaceTaylorsville, North Carolina 28681(828) 632-9200

,-;-

33. Miliman USA IncClark Slipher

Sandra Brown, Esq.Reinhart Boerner Van Deuren

000 North Water Street, Suite 2100Milwaukee, Wisconsin 53202(414) 298-8341

North Carolina Deparment of Health and Human ResourcesDiane Enrght, Manager, Geographic Analysis UnitState Center for Health StatisticsDivision of Public AffairsThe Cotton Building222 N. Dawson StreetRaleigh, Nort Carolina 27603(919) 715-4473

North Carolina Department ofInsuranceJean W. Holliday, Supervisor, Life and Health Division430 North Salisbur StreetRaleigh, North Carolina 27603(919) 733-5060 x 346

One Health PlanLisa Leak, Manager of Network Development and Provider RelationsKelly Van Sickle, former Vice President of Network Development

Lisa Yacuzzo , Esq.Great-West Life and Anuity Insurance Company8525 East Orchard Road, 2T3Greenwood Vilage, Colorado 80111(303) 737-0196

39.

40.

37. James E. Orlikoff, PresidentOrlikoff & Associates, Inc.4800 S. Chicago Beach Dr.Chicago, Ilinois 60615-2054(773) 268-8009

38. Richard Orlowski, M.Nortwestern Carolina Oncology and Hematology, P.

O. Box 3710225 18 Street SEHickory, North Carolina 28603

Dean M. McCord, Esq.Wyreck, Robbins, Yates & Ponton LLP4101 Lake Boone Trail, Suite 300Raleigh, Nort Carolina 27607-7506(919) 781-4000

Piedmont Health Allance. Inc.Sharon Alvis, CEOCathie Pettit, COOJames Hughes, CPA, CFOIra Bloomfield; M. , Chief Medical Information OfficerKim Auten, RN, BSN, Chief Nursing OffcerDiane Fox, RN, Director of Business DevelopmentMarin Light, Director of Project ManagementPam Lyon

Susan Gouge, Provider Relations Representative

Piedmont Health Allance, Inc.1899 Tate Boulevard, SE, Suite 2106Hickory, North Carolina 28602(828) 345-0550

James H. Sneed, Esq.McDerott, Wil & Emery600 13th Street, N.Washington, D.C. 20005-3096(202) 756-8006

Amy M. Guyer, Managed Care DirectorPiedmont HealthCare, P .

636 Signal Hil Drive Extension

Statesvile, Nort Carolina 28677(704) 873-4277

10-

41.

42.

43.

44.

45.

46.

Primary Physician CareLeonard Sils, ConsultantPaul Tate, President

Primar Physician CareO. Box 11088

Charlotte, North Carolina 28220(704) 523-2758

James H. Sneed, Esq.McDermott, Wil & Emer600 13 Street, N.Washington, D.C. 20005-3096(202) 756-8006

C. Hunt Shuford, J . , SecretarSTM Industries , Inc.1985 Tate Blvd. , SEHickory, North Carolina 28602- 1433(828) 304-8500

Sue Palumba, Manager of Vendor Relations and Total RewardsTimken Company1835 Dueber Avenue, SWCanton, Ohio 44706(330) 471-2375

Unifour Anesthesia Associates. P .R. Bruce Stevens , M.Chrstopher L. Hunt, M.James P. Wold, M.

Unifour Anesthesia Associates, P.415 North Center Street, Suite 201Hickory, Nort Carolina 28601-5032(828) 327-8105

Steven P. Berberich, Assistant Vice PresidentUnited Benefits, Inc.

O. Box 2480Daytona Beach, Florida 32115-2480(386) 239-5710 ext. 7234

11-

47.

48.

49.

50.

United HealthCare of North Carolina. ltic.Anta Bachman, Vice President of United Health NetworksJim Kubic, Director of NetworkJack Shields, CFOAlan Hanssen, COOJeff Kaiser, Director of NetworkVicky Wachowiac Vice President of Networks , Georgia

Michael Ile, Esq.United Healthcare Inc.5901 Lincoln DriveEdina, MN 55436(952) 992-7384

Vanguard FurnitureJohn Bray, CEOKeith Har, V.P. Operations

Vanguard Furnitue

109 Simpson StreetHickory, Nort Carolina 28613(828) 328-5631

Valdese General Hospital

Mark Horoschak, Esq.Womble Carlyle Sandridge & RiceOne Wachovia Center, Suite 3300Charlotte, NC 28202-6025(704) 331-4928

Wellpath Community Health PlansMatt Ungs, Vice President of Network ManagementTammy Mapes-Skinner, Director of Network DevelopmentPeter Chauncey, COO

Wellpath Communty Health Plans6630 Quadrangle Drive, Suite 500Chapel Hil, Nort Carolina 27514

Rob Fox, Esq.Coventr Health Care, Inc.6705 Rockledge Dr. , Suite 900Bethesda, MD 20817-1850(301) 581-5588

12-

51. Wester North Carolina Health Alliance. Inc.

Forrest W. Campbell , Jr. , Esq.Brooks, Pierce, McLendon, Humphrey & Leonard LLP2000 Renaissance Plaza230 North Elm StreetGreensboro, NC 27401(336) 271-3179

52. Dean Wilkie, PresidentWilkie Construction Company Incorporated2025 Harper Avenue SW

O. Box 1410Lenoir, North Carolina 28645(828) 754- 1653

53. Wilis Corroon Carolinas

Lynell Adams, Account Manager, Employee BenefitsJeff Collins, Vice President

Wilis Corroon Carolinas

Two First Union Center, Suite 2600301 South Tryon StreetCharlotte, North Carolina 28282(704) 344-4854 (Collns)

(704) 376-9161 (Adams)

II. Relevant Documents

Complaint Counsel has in its possession, custody, or control documents collected while

conducting the investigation in this matter that are, or may be, relevant to the allegations in the

Commission s Complaint, to the proposed relief, or to the defenses of the Respondents. All

documents are located at the Federal Trade Commission, Bureau of Competition, 601 New

Jersey Ave. , N. , Washington, DC 20001. Subject to the limitations set forth in Rule 3.3l(b), a

copy of nonprivileged documents wil be provided to Respondents after Administrative Law

Judge D. Michael Chappell enters a protective order in this matter and the third paries that

submitted documents have been apprised of their rights under the protective order. Complaint

13-

Counsel wil not provide a copy of documents produced by Respondents or within Respondents

. possession, custody, or control.

Respectfully submitted

Chrsti 1. BraunCounsel Supporting the ComplaintFederal Trade Commission600 Pennsylvania Ave. , N. , Mail Drop NJ-7264Washington, DC 20580

Dated; ,21 OO.(

14-

CERTIFICATE OF SERVICE

, Chrsti J. Braun, hereby certify that on Januar 27 2004:

I caused two copies of Complaint Counsel' s Initial Disclosures to be served byhand delivery upon the following person:

Hon. D. Michael Chappell

Administrative Law JudgeFederal Trade CommissionRoom H- I04600 Pennsylvana Avenue, N.Washington, D.C. 20580

I caused two copies of Complaint Counsel' s Initial Disclosures to be served byhand delivery upon the following person:

Offce of the SecretarFederal Trade CommissionRoom H- 159600 Pennsylvana Avenue, N.Washington, D.C. 20580

I caused copies of Complaint Counsel' s Initial Disclosures to be sered'viaelectronic mail and followed by US. mail delivery to the following persons:

James H. Sneed, Esq.Nicholas R. Koberstein, Esq.Linda M. Holleran, Esq.McDermott, Wil & Emery600 13 Street, N.Washington, D.C. 20005-3096