Archives International Auctions Auction 74 February 23, 2022 U.S., Chinese & Worldwide Banknotes, Scripophily, Colonial Banknotes, Colonial Fiscal Documents, Historic Ephemera and Security Printing Ephemera

Archives International Auctions - Sale 74 101 February 23, 2022 Archives International Auctions www.archivesinternational.com 551 551 Lehman Brothers Holdings Inc., 2005 I/U Stock Certificate. New York (Inc. in Delaware). 5 Shares Common Stock, I/U, Black print on green border and under tint, Image of founding of company at top middle in Montgomery, Alabama with portraits of founders Mayer & Emanuel Lehman at bottom corners, VF-XF condition, ABNC. Lehman Brothers Holdings Inc. was a global financial services firm. Before filing for bankruptcy in 2008, Lehman was the fourth-largest investment bank in the United States (behind Goldman Sachs, Morgan Stanley, and Merrill Lynch), doing business in investment banking, equity and fixed-income sales and trading (especially U.S. Treasury securities), research, investment management, private equity, and private banking. Lehman was operational for 158 years from its founding in 1850 until 2008. On September 15, 2008, the firm filed for Chapter 11 bankruptcy protection following the massive exodus of most of its clients, drastic losses in its stock, and devaluation of assets by credit rating agencies, largely sparked by Lehman’s involvement in the subprime mortgage crisis, and its exposure to less liquid assets. Lehman’s bankruptcy filing is the largest in US history, and is thought to have played a major role in the unfolding of the late-2000s global financial crisis. The market collapse also gave support to the “Too Big To Fail” doctrine. Rare and historic stock certificate. ������������������������������������������� Est. $750-1000 552 552 Merrill Lynch, Pierce, Fenner & Smith Inc., Unique Progress Proof Stock Certificate. New York. ND (ca.1971-80). 100 Shs, Proof printed in green and black on light brown paper. Broker talking to customer sitting at his desk vignette. Facsimile signature of Donald Regan as Chairman of the Board (and future Secretary of the Treasury under Ronald Reagan). Large margins with alignment notches for printing. Proof for 100 shares of common stock. Green and black. Edge faults, unused, VF. Unique in archives. SCBNC. Merrill (officially Merrill Lynch, Pierce, Fenner & Smith Incorporated), previously branded Merrill Lynch, is an American investment management and wealth management division of Bank of America. ������������������ Est. $200-400 553 553 NYSE Group, Inc. 2006 Commemorative Stock Certificate New York, 2006. Odd Shares Specimen Commemorative Stock Certificate, Black text with blue border at left, Gray underprint of the New York Stock Exchange. Red specimen overprint and specimen POCs. VF condition, ABNC. ������������������������������������������� Est. $250-500 554 554 Shearson Lehman Hutton Holdings Inc., 1988, $20,000,000 Registered Specimen Bond NY. $20,000,000 Specimen Zero Coupon Senior Note due 1997, Black text on blue border and underprint, Issued to CEDE & CO., Pin-punch cancels. Shearson was the name of a series of investment banking and retail brokerage firms from 1902 until 1994, named for Edward Shearson and the firm he founded, Shearson Hammill & Co. Among Shearson’s most notable incarnations were Shearson / American Express, Shearson Lehman / American Express, Shearson Lehman Brothers, Shearson Lehman Hutton and finally Smith Barney Shearson. For its first eight decades, the firm operated independently and merged with a number of Wall Street’s most venerable securities firms including Hayden Stone & Co. and Loeb Rhoades & Co. Rare high denomination bond issued during the 19988 financial panic. ��������������������������������������������������������������������������������������������������������������������������������� Est. $550-850 New York 555 555 Bache & Co., 1959 Specimen Registered Bond Delaware, 1959. $-Odd Specimen 8% Registered Bond, VF ABN Stock Broker. Bache & Company (later known as Bache Halsey Stuart Shields Incorporated) was a securities firm that provided stock brokerage and investment banking services. The firm, which was founded in 1879, was based in New York, New York. In 1981, Bache was acquired by Prudential Financial to formPrudential-Bache Securities. In 1991, the usage of the Bache name was discontinued and the firm was renamed Prudential Securities, a predecessor of the investment banking operation of Wells Fargo, via its acquisition of Wachovia Securities. Prudential Financial retained the commodities and financial derivatives businesses, keeping them separate from the joint venture. In 2003, the firm revitalized the Bache name, creating Prudential Bache. In July 2011, the Bache Institutional Group was acquired by Jefferies Group, Inc for $430 million and was renamed Jefferies, Bache. ����������������������������� Est. $180-350 556 556 Citicorp, 1975 Specimen Registered Bond Pair Delaware, 1975. 2 pieces: $10,000 Specimen 5.75% Registered Convertible Subordinated Bond in red; and $25,000 Specimen 5.75% Registered Convertible Subordinated Bond in teal. Both have Specimen POCs and are in VF condition. SCBN. ������������������������������������������������������������������� Est. $140-280