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I

Louis Tognan, C.P.M. ,1

at Barclays Capital

Location

Greater New York City Area Industry

Financial Services

Louis Recommends

Jay Rothstein - LION

Sourcing and Contract Negotiations

Jay is a consummate Sourcing Professional, who utilizes keen analytic skills with an excellent sense of balance in obtaining superior results in IT Contract Negotiations. Jay consistently demonstrates a strong, ethica1 business foundation plus a commitment to client focused results. This combined with his extraordinary educational background and prior, multifaceted work experience makes Jay a great sourcing team resource. His dedication to producing results that impact the bottom line is amply demonstrated soon after he joins a sourcing team. I highly recommend him. April 12, 2010

Top qualities: Great Results, Expert, High Integrity

Louis Tognan, C.P.M. hired Jay in 2009.

Global Media Services, 1 Churchill Place, Canary Wharf, London, E145HP, UK. 31/03/2010

Jay Rothstein, Barclays Capital Strategic Sourcing, 200 Park Avenue, New York,

NY 10166

McAfeeNiStorm

Dear Jay,

I wanted to drop you a quick note to thank you for your work on the recent negotiations with McAfee and ViStorm.

As you know, we had a number of licensing issues, technical reliability challenges and the overall renewal of the McAfee licensed estate. Your diligence in bringing all the internal parties to the same table and then your carefully executed strategy of challenging McAfee, ViStrorm and HP using the damages suffered by Barclays delivered an exceptional outcome for the bank. Not only did we achieve the licensing agreement I was looking for, but also significantly higher levels of discount on the new agreement.

This has saved a significant amount of money this year and has set a prescient for discount levels in the future.

Yours Faithfully,

Roger McArdel1

Head of Global Media Services.

Barclays Bank PLC Authorised and reoutateo by ~.,t=- F ni:--;:'':: S:;>'· :0:' ::'·.l:~,~1 •

ReQisler(;>d in England. Registerif'd No 102616:. Rec $~!"e- Of-;:FI ' ( - ~ -:» . c'--:- ;_~"1::'- E" 1 .. 5H~'

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Rothstein, Jay: IT (NYK)

From: Brown, Sharon: Barclaycard

Sent: Friday, April 09,20104:20 AM

To: Rothstein, Jay: IT (NYK)

Subject:

File: 0

To whom it may concern:

I recently had the opportunity to work with Mr Jay Rothstein, a consultant working at Barclays Capital in the strategic sourcing department, in relation to a contract renegotiation with a strategic software supplier.

Jay was a pleasure to work with. He managed the entire process from start to fmish extremely competently professionally, and in an upbeat manner, dealing with and informing a vast number of senior business stakeholders across three time zones. The contract renegotiation was almost complete when a huge unexpected issue intervened which could have completely halted the process. Once again Jay was pro-active in his approach, and achieved an excellent overall result for his client, the Bank.

Based on the experience 1 had in dealing with him, I would have no hesitation in recommending him to any prospective employer.

Sharon Brown Legal Counsel

Barclaycard, Barclays Bank plc.

Please note: this is a personal reference, and in no way constitutes a reference or recommendation from Barclays Bank plc.

Sharon Brown I Legal Counsel

Barciaycard I LRC Department

1234 Pavilion Drive I Northampton I NN47SG

United Kingdom ! \:'{~y~'._bi!!.f]avcard.co.uk I Mail Van 24

Mobile: 07775 540329

4/9/2010

July 7,2008

To Whom It May Concern:

For a period of almost two years, Jay Rothstein and I worked closely together on major infonnation technology deals at The Bank of New York Mellon Corporation, most recently on a complex and challenging business process outsourcing deal for Health-andWelfare Benefits services valued at $4:5M. I was the corporate attorney; Jay, the businesslead, We successfully negotiated and completed deals for products and services fromEMC, mM, Infor, Corel. VeriSign, Archibus, Bowe Bell+Howell, Verid, and H&W.

Jay is a respected team player and leader. He delivers exceptional performance as a strategic sourcing professional and contract negotiator. I am. impressed with his skills as , a draftsman=generally and in an integration of four contract documents to create a corporate standard for hardware maintenance. Jay consistently fmds creative ways to bridge the gap with the supplier, to further the interests of his client, and to achieve outstanding results.

IfI may provide you with further details, please call me. I can be reached at (212) 833- 8728.

For purposes of identification only:

Attorney

Sony Corporation of America 550 Madison A venue, 27th Floor New York, New York 10022 stan_paylago@sonyusa.com (212) 833-8728

Pershinge

AN AI'FlU/lTr. or THE BANK or NEW YORK MELLON

July 16, 2008

Ms. Darlane Hoffinan Chief Procurement Officer

The Bank of New York Mellon Corporation rot Barclay Street, 9 West

New York, NY 10286

Dear Darlane:

Faced with critical business deadlines and ongoing supplier intransigence, Jay Rothstein escalated with the supplier to win speedy approval of final changes for a recent Statement of Work for Pershing's Business Performance software package. We have recently contacted Jay to assist with additional module negotiations, inclusive of securing a credit memo for a module that will not be implemented.

Jay has done an outstanding job interacting with the supplier and our cross-functional team over the last year and a half-from a challenging contract negotiation to coordination of Statements of Work to alternative sourcing strategies for new modules. Jay's professionalism, attention to detail and obvious negotiation skills allowed me to focus on the project plan details with minimized efforts as related to the negotiation process. He has my enthusiastic recommendation for joining Corporate Sourcing as a full-time employee or for taking on other challenging opportunities in procurement.

Sincerely,

Nataly O'Brien Director

Pershing Financial Services Group 201.395.1995 nobrien@pershing.com

cc:. Tom Whitman

One Pershing Plaza, Jersey City, NJ 07399 pershing.com

Pershing LLC, member FINr~A, NYSE. SIPC

THE BANK OF NEW YORK MELLON

Information & Operations

July 15, 2008

To Whom It May Concern:

With the successful completion of the contract with Aliquant for outsourcing of health and welfare benefit processing, I would like to offer my comments on the overall process and on Jay Rothstein's role in the negotiations.

This was my first experience with an outsourcing contract of this size and complexity, and it was also my initial experience with the contract negotiation and service provider processes that have been in use at legacy BNY.

The entire process was complex and very time consuming, but in the end, we were able to complete a comprehensive and detailed statement of work, service level agreement and contract that provides the company with adequate protection and risk mitigation. It also provides the ability to work cooperatively with Aliquant to provide easy to use, accurate and

controlled processes for employee and retiree benefits. '

Throughout the seven months of negotiations, Jay Rothstein has been instrumental in driving the entire process. He has coordinated all resources - Legal, HR,IT, outside counsel and Aliquant, to focus attention on all of the details of the deal. He has learned a great deal about the H& W processes and has assisted Cathy Eichenlaub and me with creating a comprehensive Statement of Work, Service Level Agreement and the required attachments, He went to great lengths to fully understand the business needs, asking many insightful questions throughout the process, Jay was very responsive to Cathy's and my requests throughout the process.

Jay was very thorough in his analysis of the current cost structure in an effort to compare the costs against the Aliquant proposal, He provided a great deal of assistance to me to analyze information needed to prepare the Major Expenditure Request. His knowledge of Excel and overall analytical abilities were very helpful in reviewing the costs and benefits of a complex deal that had several different phases of implementation.

500 Grant Street, One Mellon Center, Pittsburgh, PA 15258-0001

July 15,2008 Page 2

At the beginning of the discussions 'With Aliquant, the negotiation climate was quite tense. We were operating in a very tight time frame and had very little negotiating room for pricing. Jay was persistent in digging deep into the details. He sought to schedule frequent meetings to keep negotiations on track. As we went through the process, Jay's ability to resolve issues, present BNYM's requirements in a clear manner and to bring items to resolution, were instrumental in getting the deal done. At the end, the discussions with Aliquant were much more cordial and we were able to complete an agreement by the deadline.

Through Jay's dedicated effort, analytical abilities, hard work and negotiating skills, we were able to complete the deal that included most ofBNYM's needs in a tight timeframe with little bargaining leverage. I would like to thank Jay for his assistance in completing the deal with Aliquant.

Sincerely,

::::;4;a~

Integration Head, HR Systems & Operations The Bank of New York Mellon Corporation

Personal Contact Information: 412-828-2751 vigfam@AOL.com

TJV:cjm

cc: Jay Rothstein

Managing Director, Technology Procurement The Bank of New York

101 Barclay Street

9 West

New York, NY 10286

Vice President, Corporate Tax

The Bank of New York

Denise HiDtzke

One Wall Street

New York, NY 10286

212-635-6635 Telephone dhintzke@bankofuy.com

February 22,2007

Ms. Darlane Hoffman

Dear Darlane:

Corporate Tax and Corporate Trust asked Technology Procurement to negotiate contract and business terms for 1099 processing, on or about November 13,2006, to meet a year-end deadline for the 2006 tax year. Jay took on this challenge for Tax, Trust, and twelve other work groups across The Bank. He addressed successfully many complex and challenging issues, covering:

• software on a subscription basis

• outsourcing of submittals to government reporting agencies

• printing, distribution, and web presentment offonns to recipients of The Bank and of

The Bank's customers.

Jay successfully negotiated the contract and achieved savings of $1,864,360 (23.3%) over a three year term. Through Jay's efforts, Fast Tax. has replaced other automated systems and widespread manual processing at The Bank and facilitated the consolidation of 1099 Processing.

Jay would be a real asset to Technology Procurement on an ongoing basis or to any other organization fortunate enough to have him.

Please call me at 212-635-6635 or on my cell phone, 201-320-2617, if you would like additional detaiL

~.~elY'. URl:-o

Denise Hintzke 6 T ---

cc: Steven Ginsberg, Managing Director, BNY; Patrick Sheehan, TTl of NY, Inc.

October 5, 2004

13101 Columbia Pike Silver Spring, MO 20904

To Whom It May Concern:

Jay Rothstein served as a Cost Analyst at Verizon Communications, Inc., from January, 2000, to November, 2003. He reported to me personally for about two years.

In 2001, Jay was a key player on the team that installed the Verizon.com website and won a Verizon Excellence Team Award, I n the course of estimating m ore than $34 million of hardware, software, maintenance, and consulting, Jay built solid relationships with customers, peers, and management. He trained three other analysts, developed quality procedures, and created complex spreadsheets.

Jay was always on the lookout to save money and frequently did. One of his many outstanding accomplishments was the identification of a 5-year savings opportunity of $12.34 million for EMC Powerpath. It had gone unnoticed in hundreds of earlier purchases. With great persistence, Jay helped mobilize key players to get a new contract.

Finally, a web-based system that Jay developed for Customer Satisfaction Surveys is still in use within our 150-person organization. It has been wen-received from the outset. We use it to stay in touch with our customers and improve our performance.

Even though Jay's management reviews were consistently excellent, Verizon Communications has been in a mode of contraction for several years. Jay left the organization in November, 2003, together with 22,000 other employees who accepted a voluntary separation package. I am sure that Jay will be a tremendous asset to any enterprise to which he devotes himself.

Please feel free to contact me if I can provide you with any additional information,

Sincerely,

Carolyn A. Tabor Group Manager Acquisitions

UNIX System Services (301) 236-2113

\~___...#., ... e W" f11SI

Information Technology

Donna DiMis a

60 Main Sf. Mineola, NY 11501 516-663-5605

To Whom It May Concern:

March 12,2003

Jay Rothstein excelled as the Cost Analyst for UNIX System Services (USS) for Mobile Workforce National Consolidation (MWNC). From August 2002, to the present, Jay was instrumental in costing $4.4M in hardware, software, and services in complex, multi-site configurations. As part of an ongoing review of supplier quotes, Jay corrected many errors, large and small, including an overpricing of $318K on a single software product. He parlayed another instance of overpricing into an opportunity for corporate wide savings for server moves. Jay has combined accuracy, timeliness, and customer care, to playa major role in the successful completion of this project. I recommend him enthusiastically for other challenging assignments.

Sincerely,

Donna DiMisa

Project Manager, MWNC

Verizon Information Technology _._ N&NOS

September 8, 1998

To: Thomas Vitale

From: Thomas Koziel!llO~'l!iI,~-~Subject: Commendation for

The purpose ofthis letter is to commend Jay R. Rothstein for the excellent customer service to the SSNS R4 Rollout project. Jay R. saved the project over one-half million dollars by negotiating with SUN Services for the provision of staging, deployment and site services at no charge. During the very complicated and extended negotiation Jay R. demonstrated his excellence in working with multiple people at SUN and enforcing Bell Atlantic Corporation requirements. We want to thank him for his dedication and hard work.

rzczc SCDc.90 AFP 0:35 I"lARl1 02: 2t6i"1T 91 MAR lD 2';.: 21 NYCE8 ~ALPC PLA~C

.rOK?CMS MARti '91 11f16JST

70K/NYC-DA~(ATT MR DATE)-PLA(ATT PC01500G ATT MR V,ROTHSTEIN FROM

RE OUTSOURCING

• .IUST RECS::I\l~D YOUR REPORT AND ALL REFERENTIAL. MATERIAi_S.

TREM~NO'US EFFORT.

~ HIGHLY APPRECIATE YOUR . J ~ 1.1

QUICKLY REVIEWED YOUR BRIEFING RE?OR7 DATED F~a-27

AND GENERALLY QUITE AGREE TO YOUR VIEWS AND 5UGGEST~0

STEPS FOR ACTIONS.

NOW EVE SHOULD PLAN HOW TO MAKE PRESeNTA~I~N TO OA COMMIT7EE AND INVITE INTEREST OF COMMITTEZ MEMBERS.ULTIMA72~Y OF I~-HOUS~

0,PONS()RS. EXPECT IT WILL E!,c: NOT E,A,RLlERTHA~ MID MAY DUE TO

FOLLOWING REASONS

(~) SCHEOULES AND AGENDA FOR MARCH COMMITTE ALREADY S~7

(BEING HELD MAR-15)

(2) IMPORTANT COMMITTEE MEMBERS EXPECTED CHANG~ WITH hIGri PROBABILITY IN APRIL

DUE TO PERSONNEL TRANSFERS

(3) MEMBERS OF PC DEP7 ITSELF THOROUGHLY ChANGING IN TWO MONTriS

TIME (UNOFFICIALLY FIXED)

(4) UNTIL END APRIL EVERY SALES DIVISIONS ARE BUSY FOR' WORHING OUT REAL.1STlC e.USINESS TARGEi DE5PIiE UNCLEAR ECr)NOMIC ENVIRONMENTS. THEY ARE SCHEDULED TO MA!-(E Ai\NUA,_ FACE-TO-FACS: OXSCUSSIONS WITH PRESIOENTlAi... BOARD Ir.i APRIL SO EYE PERSONALLY DO NOT THINh THEY MAY SERI<:!VS;"Y TAKE UP OUTSI)URCING ISSUE UNTlLMID MAY CArTER SO-CALEED GOLDEN weEK HOLIDAY SEASON)

VERY SORRY UNABLE TO TAKE IMMEDIATE ACTIONS BUT PLEAS~

UNDERSTAND SITUATION. WILL SURELY REVERT TO YOU SOON AS

MY ACTIO~ PLAN BE SET.

BEST PERSONAL REGARDS

zeIC 5FN30J AFO ~94 MAR02 OS.366MT 90 MAR 01 06145

NYCEO

• TOKEDMS TOK/NYC EO-C0900e-L MAR 02, t 90

AlTNIMR.ROTHSTEIN FROM M.SASSA

THANK VOU FOR 'lOUR MANV INFO IN ENVELOPES AND WARM SUPPORT.

BY THE WAY. 1 WAS VERY INTEREST£D IN YOUR LATEST INFO ABOUT

RAXCO'S 'R~X"ASTEA r.2.0"

AGA1N,THlS IS WHAT 1 LONG FOR OUR PR08LEM IN CONVERTlNG 8/36'S RPG 11 -INTO..JJ.Al. RPG.

1 1 CAN NOT BELIEVE WHY YOU CAN PROVIDE ME WITH SUCH GOOD ANSWERS TO OUR PLOBL.El1S BEFORE I TEL.L. IT TO YOU.

PLEASE ASK THEM THE FOLLOWING QUESTIONS •

1) IF THEV HAVE ANV SYSTEM FOR EVALUATING THE.IR 'RAXI'1ASTER'1

( EVALUATION KIT OR SAMPLE PROQUCT WITH EXP1RAT10N DATE ETC •• )

2? J:!Q¥I MUCH 'pOf€.:S IT COiiI FOR MlCRO VA_)( ;:!~OQ SY§TEJ\ • .lI1,TH M.l~RO YM,_ . __ .,_. ,_. _ 3900 UP GRADE K1T (WE HAD UPGRADED OUR SYSTEM RECENTl:.. Y) 1·

C lrWOULO 6E BETTER FOR THE COMPLETE PRICE LIST THAT WE CAN SIMULATE THE cosr PATTERN. )

1111 INTERESTED ESPECIAL.lY IN 'RAXMASTER WITH RAaBIT-l1 VIRTUAL DISKI CACHING SVSTEM'.

WE WOULD LIKE TO EVALUATE THE 'COMPONENT' ABOVE FOR OUR CURRENT PLOSLEM AS SOON AS POSS18LEBECAUSE WE HAVE TO COMPLETE THE PHG

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