U.S. District Court Southern District of New York (Foley Square) CIVIL DOCKET FOR CASE #: 1:13-cv KMW

Transcription

1 US District Court Civil Docket as of December 6, 2016 Retrieved from the court on December 6, 2016 U.S. District Court Southern District of New York (Foley Square) CIVIL DOCKET FOR CASE #: 1:13-cv KMW Singh v. Tri-Tech Holding, Inc. Assigned to: Judge Kimba M. Wood Cause: 15:78m(a) Securities Exchange Act Lead Plaintiff Jason Baker Date Filed: 12/20/2013 Date Terminated: 10/19/2016 Jury Demand: Plaintiff Nature of Suit: 850 Securities/Commodities Jurisdiction: Federal Question represented by Thomas James McKenna Gainey McKenna & Egleston 440 Park Avenue, South 5th Floor New York, NY Fax: Phillip C. Kim The Rosen Law Firm P.A th Avenue, Suite 5508 New York, NY (212) Fax: (212) Lead Plaintiff Tri-Tech Lead Plaintiff Group Plaintiff Joy Singh individually and on behalf of all others similarly situated represented by Phillip C. Kim (See above for address) represented by Kevin Koon-Pon Chan The Rosen Law Firm, P.A. 275 Madison Avenue 34th Floor New York, NY 10016

2 (212) Fax: (212) Laurence Matthew Rosen The Rosen Law Firm, P.A. (NYC) 275 Madison Avenue, 34th Floor New York,, NY (212) Fax: (212) Phillip C. Kim (See above for address) V. Tri-Tech Holding, Inc. Warren Zhao Yunxiang a/k/a Phil Fan Fan represented by Stephen L. Saxl Greenberg Traurig, LLP 200 Park Avenue New York, NY Fax: represented by Stephen L. Saxl (See above for address) represented by Stephen L. Saxl (See above for address) Guang "Gavin Che Cheng

3 Guang "Gavin Che Cheng Pengyu "Peter Don Dong represented by Stephen L. Saxl (See above for address) Eric Hanson Peter Zhou John McAuliffe Peiyao Zhang Da-Zhuang Guo Ming Zhu David Hu Xiaoping Zhou Robert W Kraft Date Filed # Docket Text 12/20/ COMPLAINT against Tri-Tech Holding, Inc.. (Filing Fee $ , Receipt Number )Document filed by Joy Singh.(msa) (Entered: 12/26/2013) 12/20/2013 SUMMONS ISSUED as to Tri-Tech Holding, Inc.. (msa) (Entered: 12/26/2013) 12/20/2013 Case Designated ECF. (msa) (Entered: 12/26/2013) 12/20/2013 Magistrate Judge Debra C. Freeman is so designated. (msa) (Entered: 12/26/2013) 12/20/ STANDING ORDER IN RE PILOT PROJECT REGARDING CASE MANAGEMENT TECHNIQUES FOR COMPLEX CIVIL CASES IN THE SOUTHERN DISTRICT OF NEW YORK (See M Order filed November 1,

4 2011). This case is hereby designated for inclusion in the Pilot Project Regarding Case Management Techniques for Complex Civil Cases in the Southern District of New York (the Pilot Project), unless the judge to whom this case is assigned determines otherwise. This case is designated for inclusion in the Pilot Project because it is a class action, an MDL action, or is in one of the following Nature of Suit categories: 160, 245, 315, 355, 365, 385, 410, 830, 840, 850, 893, or 950. The presiding judge in a case that does not otherwise qualify for inclusion in the Pilot Project may nevertheless designate the case for inclusion in the Pilot Project by issuing an order directing that the case be included in the Pilot Project. The description of the Pilot Project, including procedures to be followed, is attached to this Order. (Signed by Judge Loretta A. Preska on 10/31/2011) (msa) (Entered: 12/26/2013) 01/27/ SUMMONS RETURNED EXECUTED. Tri-Tech Holding, Inc. served on 1/21/2014, answer due 2/11/2014. Service was accepted by Phil Fan, Registered Agent. Document filed by Joy Singh. (Kim, Phillip) (Entered: 01/27/2014) 02/04/ SCHEDULING ORDER FOR INITIAL CONFERENCE: Initial Conference set for 3/25/2014 at 03:00 PM in Courtroom 9A, 500 Pearl Street, New York, NY before Judge Kimba M. Wood. (Signed by Judge Kimba M. Wood on 2/4/2014) (tn) (Entered: 02/04/2014) 02/05/ NOTICE OF APPEARANCE by Stephen L. Saxl on behalf of Tri-Tech Holding, Inc.. (Saxl, Stephen) (Entered: 02/05/2014) 02/05/ FIRST RULE 7.1 CORPORATE DISCLOSURE STATEMENT. No Corporate Parent. Document filed by Tri-Tech Holding, Inc..(Saxl, Stephen) (Entered: 02/05/2014) 02/05/ FIRST LETTER MOTION for Extension of Time to File Answer re: 1 Complaint or move against or respond to the Complaint addressed to Judge Kimba M. Wood from Stephen L. Saxl dated February 5, Document filed by Tri-Tech Holding, Inc..(Saxl, Stephen) (Entered: 02/05/2014) 02/10/ ORDER granting 7 Letter Motion for Extension of Time to Answer: Granted. Approved. The Court grants the parties' requests, as they are set forth above. (Signed by Judge Kimba M. Wood on 2/10/2014) (tn) (Entered: 02/10/2014) 02/18/ MOTION to Appoint The Baker Group to serve as lead plaintiff(s). Document filed by Jason Baker.(McKenna, Thomas) (Entered: 02/18/2014) 02/18/ MEMORANDUM OF LAW in Support re: 9 MOTION to Appoint The Baker Group to serve as lead plaintiff(s).. Document filed by Jason Baker. (McKenna, Thomas) (Entered: 02/18/2014) 02/18/ DECLARATION of Thomas J. McKenna in Support re: 9 MOTION to Appoint The Baker Group to serve as lead plaintiff(s).. Document filed by Jason Baker. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C)(McKenna, Thomas) (Entered: 02/18/2014) 02/18/ MOTION to Appoint Counsel The Rosen Law Firm P.A.., MOTION to Appoint Lead Counsel. Document filed by Tri-Tech Lead Plaintiff Group. (Attachments: # 1 Text of Proposed Order)(Kim, Phillip) (Entered: 02/18/2014)

5 02/18/ MEMORANDUM OF LAW in Support re: 12 MOTION to Appoint Counsel The Rosen Law Firm P.A.. MOTION to Appoint Lead Counsel.. Document filed by Tri- Tech Lead Plaintiff Group. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3, # 4 Exhibit 4)(Kim, Phillip) (Entered: 02/18/2014) 03/03/ FILING ERROR - ELECTRONIC FILING FOR NON-ECF DOCUMENT - MOTION to Appoint Baker Group and Tri-Tech Group to serve as lead plaintiff(s). Document filed by Jason Baker. (Attachments: # 1 Text of Proposed Order)(McKenna, Thomas) Modified on 3/4/2014 (ldi). (Entered: 03/03/2014) 03/03/2014 ***NOTE TO ATTORNEY TO RE-FILE DOCUMENT - NON-ECF DOCUMENT ERROR. Note to Attorney Thomas James McKenna: Document No. 14 Letter is not filed via ECF. ONLY certain letter motions are allowed to be filed on ECF. A Motion to Appoint Lead Plaintiff(s) is filed formally. (ldi) (Entered: 03/04/2014) 03/04/ LETTER addressed to Judge Kimba M. Wood from Gainey McKenna & Egleston dated March 3, 2014 re: lead plaintiff motions. Document filed by Jason Baker. (Attachments: # 1 Exhibit A)(McKenna, Thomas) (Entered: 03/04/2014) 03/07/ ENDORSED LETTER addressed to Judge Kimba M. Wood from Phillip Kim dated 3/6/2014 re: Counsel for the plaintiff advises the Court that they are available the morning of March 12, 2014 to meet with the Court on the pending lead plaintiff motions. ENDORSEMENT: A conference on the pending lead plaintiff motions is hereby scheduled for March 12, 2014, at 11 a.m. ( Status Conference set for 3/12/2014 at 11:00 AM before Judge Kimba M. Wood.) (Signed by Judge Kimba M. Wood on 3/6/2014) (ajs) (Entered: 03/07/2014) 03/10/ ORDER: It is hereby ordered that the conference addressing pending lead plaintiff motions, presently scheduled in this case for March 12, 2014, at 11:00 a.m., is rescheduled to March at 10:30 a.m. Status Conference set for 3/12/2014 at 10:30 AM before Judge Kimba M. Wood. (Signed by Judge Kimba M. Wood on 3/7/2014) (ft) (Entered: 03/10/2014) 03/12/2014 Minute Entry for proceedings held before Judge Kimba M. Wood: Pretrial Conference held on 3/12/2014. Attorneys Kevin Koon-Pon Chan and Philip Kim are present for the plaintiff. Attorney Stephen Saxl is present for the defendant. Attorney Thomas McKenna is present for the movant Jason Baker. Court reporter Bridget Lombardozzi is present. Conference is held (see transcript). The Court will approve co-counsel and co-lead plaintiff for the class, based in part on counsel's need to apportion risk in this case. (Landers, Rigoberto) (Entered: 04/01/2014) 03/13/ LETTER addressed to Judge Kimba M. Wood from Thomas J. McKenna dated March 13, 2014 re: Proposed Order. Document filed by Jason Baker. (Attachments: # 1 Text of Proposed Order)(McKenna, Thomas) (Entered: 03/13/2014) 03/14/ ORDER APPOINTING LEAD PLAINTIFFS AND APPROVING SELECTION OF COUNSEL. The Tri-Tech Group and the Baker Group are hereby appointed Lead Plaintiff pursuant to Section 21D(a)(3)(B) of the Securities Exchange Act of This appointment is without prejudice to 's right to challenge the adequacy, typicality, or ability of Lead Plaintiff to represent the absent class members in this Action or the propriety of this case being certified as a class action. The Rosen Law Finn P.A. and Gainey McKenna & Egleston are appointed as lead counsel ("Lead

6 Counsel") for all plaintiffs and the Class in this Action. Lead Counsel is hereby vested by the Court with the responsibilities and duties in connection with this Action as further specified in this Order. Movant, through Lead Counsel, shall file an amended class action complaint (the "Amended Complaint") within 60 days of the entry of this Order. shall move against, answer or otherwise respond to the Amended Complaint within 60 days after its service. If moves to dismiss, Plaintiffs will have 45 days from the date the Motion to Dismiss is served to file any opposition papers and will have 30 days thereafter to file any reply papers. The R16 conference scheduled for March 25, 2014 is canceled. This Order resolves docket entries 9 and 12. So ordered, this 13th day of March, (Granting 9 Motion to Appoint; Granting 12 Motion to Appoint Counsel; Granting 12 Motion to Appoint. (Signed by Judge Kimba M. Wood on 3/13/2014) (rjm) (Entered: 03/14/2014) 05/07/ LETTER MOTION for Extension of Time addressed to Judge Kimba M. Wood from Phillip Kim dated 05/07/14. Document filed by Jason Baker, Tri-Tech Lead Plaintiff Group.(Kim, Phillip) (Entered: 05/07/2014) 05/07/ ORDER granting 20 Letter Motion for Extension of Time. SO ORDERED. Amended Pleadings due by 6/3/2014. Motions due by 8/4/2014. (Signed by Judge Kimba M. Wood on 5/7/2014) (ajs) (Entered: 05/07/2014) 05/07/2014 Set/Reset Deadlines: Responses due by 9/18/2014. Replies due by 10/20/2014. (ajs) (Entered: 05/07/2014) 06/03/ AMENDED COMPLAINT amending 1 Complaint against Tri-Tech Holding, Inc., Warren Zhao, Yunxiang a/k/a Phil Fan Fan, Guang "Gavin Cheng" Cheng, Guang "Gavin Cheng" Cheng, Pengyu "Peter Dong" Dong, Eric Hanson, Peter Zhou, John McAuliffe, Peiyao Zhang, Da-Zhuang Guo, Ming Zhu with JURY DEMAND.Document filed by Tri-Tech Lead Plaintiff Group. Related document: 1 Complaint filed by Joy Singh.(Kim, Phillip) (Entered: 06/03/2014) 06/03/ REQUEST FOR ISSUANCE OF AMENDED SUMMONS as to Warren Zhao; Yunxiang Fan, a/k/a Phil Fan; Guang Cheng a/k/a Gavin Cheng; Pengyu Dong, a/k/a Peter Dong; Eric Hanson; Peter Zhou; John McAuliffe, Peiyao Zhang; Da-Zhuang Guo; and Ming Zhu, re: 22 Amended Complaint,. Document filed by Tri-Tech Lead Plaintiff Group. (Kim, Phillip) (Entered: 06/03/2014) 06/04/2014 ***NOTICE TO ATTORNEY REGARDING PARTY MODIFICATION. The following party has been modified:guang "Gavin" Che Cheng.The party has been modified for the following reason(s): Incorrect party role selected. (lcu) (Entered: 06/04/2014) 06/04/ ELECTRONIC SUMMONS ISSUED as to Guang "Gavin Che Cheng, Guang "Gavin Che Cheng, Pengyu "Peter Don Dong, Yunxiang a/k/a Phil Fan Fan, Da-Zhuang Guo, Eric Hanson, John McAuliffe, Peiyao Zhang, Warren Zhao, Peter Zhou, Ming Zhu. (lcu) (Entered: 06/04/2014) 07/31/ LETTER MOTION for Extension of Time to File Answer re: 22 Amended Complaint, addressed to Judge Kimba M. Wood from Stephen L. Saxl dated 7/31/14. Document filed by Pengyu "Peter Don Dong, Yunxiang a/k/a Phil Fan Fan, Tri-Tech Holding, Inc., Warren Zhao.(Saxl, Stephen) (Entered: 07/31/2014)

7 08/01/ MEMO ENDORSED ORDER granting 25 Letter Motion for Extension of Time to Answer. ENDORSEMENT: SO ORDERED. Tri-Tech Holding, Inc. answer due 10/30/2014. (Signed by Judge Kimba M. Wood on 8/1/2014) (ajs) (Entered: 08/01/2014) 10/28/ JOINT LETTER MOTION for Extension of Time to File Answer re: 22 Amended Complaint, from 10/30/2014 to and including 1/15/2015 addressed to Judge Kimba M. Wood from Stephen L. Saxl dated October 28, Document filed by Pengyu "Peter Don Dong, Yunxiang a/k/a Phil Fan Fan, Tri-Tech Holding, Inc., Warren Zhao.(Saxl, Stephen) (Entered: 10/28/2014) 10/29/ ORDER granting 27 Letter Motion for Extension of Time to Answer: GRANTED. SO ORDERED. Pengyu "Peter Don Dong answer due 1/15/2015; Yunxiang a/k/a Phil Fan Fan answer due 1/15/2015; Tri-Tech Holding, Inc. answer due 1/15/2015; Warren Zhao answer due 1/15/2015. (Signed by Judge Kimba M. Wood on 10/29/2014) (tn) (Entered: 10/29/2014) 11/25/ LETTER addressed to Judge Kimba M. Wood from Phillip Kim dated 11/25/2014 re: Requesting Premotion conference-- leave to amend. Document filed by Tri-Tech Lead Plaintiff Group.(Kim, Phillip) (Entered: 11/25/2014) 11/26/ FIRST RESPONSE re: 29 Letter filed by Lead Plaintiffs dated 11/25/14 requesting a pre-motion conference in connection with Lead Plaintiffs' request for leave to file a second amended complaint. Document filed by Pengyu "Peter Don Dong, Yunxiang a/k/a Phil Fan Fan, Tri-Tech Holding, Inc., Warren Zhao. (Saxl, Stephen) (Entered: 11/26/2014) 12/01/ MEMO ENDORSEMENT on re: 30 Response, filed by Pengyu "Peter Don Dong, Warren Zhao, Tri-Tech Holding, Inc., Yunxiang a/k/a Phil Fan Fan. ENDORSEMENT: Granted. as to 30 days. Denied. s must respond to the Second Amended Complaint within thirty days. Leave to amend is granted; there is no need for a pre-motion conference. (Signed by Judge Kimba M. Wood on 12/1/2014) (tn) (Entered: 12/01/2014) 01/18/ LETTER addressed to Judge Kimba M. Wood from Phillip Kim dated January 18, 2015 re: Status Report. Document filed by Tri-Tech Lead Plaintiff Group.(Kim, Phillip) (Entered: 01/18/2015) 01/23/ MEMO ENDORSEMENT on re: 32 Letter filed by Tri-Tech Lead Plaintiff Group. ENDORSEMENT: Granted. SO ORDERED. (Amended Pleadings due by 2/17/2015.) (Signed by Judge Kimba M. Wood on 1/23/2015) (tn) (Entered: 01/23/2015) 02/17/ SECOND AMENDED COMPLAINT amending 22 Amended Complaint, against Guang "Gavin Che Cheng, Guang "Gavin Che Cheng, Pengyu "Peter Don Dong, Yunxiang a/k/a Phil Fan Fan, Da-Zhuang Guo, Eric Hanson, John McAuliffe, Tri- Tech Holding, Inc., Peiyao Zhang, Warren Zhao, Peter Zhou, Ming Zhu, David Hu, Xiaoping Zhou, Robert W Kraft with JURY DEMAND.Document filed by Jason Baker, Tri-Tech Lead Plaintiff Group. Related document: 22 Amended Complaint, filed by Tri-Tech Lead Plaintiff Group.(Kim, Phillip) (Entered: 02/17/2015)

8 02/17/ REQUEST FOR ISSUANCE OF SUMMONS as to David Hu, re: 34 Amended Complaint,,. Document filed by Jason Baker, Tri-Tech Lead Plaintiff Group. (Kim, Phillip) (Entered: 02/17/2015) 02/17/ REQUEST FOR ISSUANCE OF SUMMONS as to Xiaoping Zhou, re: 34 Amended Complaint,,. Document filed by Jason Baker, Tri-Tech Lead Plaintiff Group. (Kim, Phillip) (Entered: 02/17/2015) 02/17/ REQUEST FOR ISSUANCE OF SUMMONS as to Robert W. Kraft, re: 34 Amended Complaint,,. Document filed by Jason Baker, Tri-Tech Lead Plaintiff Group. (Kim, Phillip) (Entered: 02/17/2015) 02/18/ ELECTRONIC SUMMONS ISSUED as to David Hu. (cde) (Entered: 02/18/2015) 02/18/ ELECTRONIC SUMMONS ISSUED as to Robert W Kraft. (cde) (Entered: 02/18/2015) 02/18/ ELECTRONIC SUMMONS ISSUED as to Xiaoping Zhou. (cde) (Entered: 02/18/2015) 03/17/ LETTER addressed to Judge Kimba M. Wood from Gainey McKenna & Egleston dated 03/17/2015 re: Prop Settlement. Document filed by Jason Baker.(McKenna, Thomas) (Entered: 03/17/2015) 03/18/ MEMO ENDORSEMENT on re: 41 Letter request regarding Prop Settlement, filed by Jason Baker. ENDORSEMENT: Granted. SO ORDERED. (Signed by Judge Kimba M. Wood on 3/18/2015) (kl) (Entered: 03/18/2015) 04/07/ SETTLEMENT AGREEMENT Stipulation of Settlement. Document filed by Jason Baker, Tri-Tech Lead Plaintiff Group. (Attachments: # 1 Exhibit A, Proposed Preliminary Approval Order, # 2 Exhibit A-1, Long Notice, # 3 Exhibit A-2, Summary Notice, # 4 Exhibit A-3, Claim Form, # 5 Exhibit B, Proposed Final Judgment)(Kim, Phillip) (Entered: 04/07/2015) 04/07/ MOTION for Settlement Plaintiffs' Unopposed Motion for Preliminary Approval of Class Action Settlement. Document filed by Jason Baker, Tri-Tech Lead Plaintiff Group.(Kim, Phillip) (Entered: 04/07/2015) 04/07/ MEMORANDUM OF LAW in Support re: 44 MOTION for Settlement Plaintiffs' Unopposed Motion for Preliminary Approval of Class Action Settlement.. Document filed by Jason Baker, Tri-Tech Lead Plaintiff Group. (Kim, Phillip) (Entered: 04/07/2015) 06/08/ LETTER addressed to Judge Kimba M. Wood from Thomas J. McKenna dated June 8, 2015 re: motion seeking preliminary approval. Document filed by Jason Baker.(McKenna, Thomas) (Entered: 06/08/2015) 06/09/ ORDER: Although Lead Plaintiffs have provided useful information about some of those factors, the Court orders the parties to supplement the present record by filing a joint submission that answers the questions set forth herein. The parties should file their joint supplemental submission by June 26, 2015 at 5:00 pm. Pursuant to Federal Rule of Civil Procedure 23(e)(3), the parties should also identify "any agreement made in connection with the proposal" by that date. (Signed by Judge Kimba M. Wood on 6/9/2015) (tro) (Entered: 06/10/2015)

9 06/26/ RESPONSE in Support of Motion re: 44 MOTION for Settlement Plaintiffs' Unopposed Motion for Preliminary Approval of Class Action Settlement. Joint Supplemental Response. Document filed by Tri-Tech Lead Plaintiff Group. (Attachments: # 1 Exhibit 1)(Kim, Phillip) (Entered: 06/26/2015) 06/30/ ORDER: The parties' June 26, 2015 joint submission provided useful supplemental information regarding the proposed class settlement, and the Court now believes that preliminary certification of the class and preliminary approval of the settlement are appropriate. Before the Court issues an order to that effect, however, the parties must make the following revisions to the Stipulation of Settlement and its exhibits: Delete provisions 3.1(a) and 3.4 from the Stipulation of Settlement, and paragraph 10 from the Proposed Order Preliminarily Approving Settlement and Providing for Notice. Correct the previously identified typographical errors in the Notice of Pendency and Proposed Settlement of Class Action. Fill in all deadlines according to the schedule proposed on page 17 of the Plaintiffs' Memorandum of Law in Support of Unopposed Motion for Preliminary Approval of Class Action Settlement, using July 2, 2015 as the date of the Preliminary Order and October 12, 2015 as the date of the Settlement Hearing. Revised versions of the Stipulation of Settlement and its exhibits are due on July 2, 2015 at 10:00 a.m. (Signed by Judge Kimba M. Wood on 6/30/2015) (kl) (Entered: 06/30/2015) 07/02/ SETTLEMENT AGREEMENT Revised. Document filed by Jason Baker, Tri-Tech Lead Plaintiff Group. (Attachments: # 1 Revised Preliminary Approval Order, # 2 Revised Long Form Notice)(Kim, Phillip) (Entered: 07/02/2015) 07/08/ NOTICE of revised summary notice and claim form to reflect date of final approval hearing and related deadlines re: 50 Settlement Agreement. Document filed by Tri- Tech Lead Plaintiff Group. (Attachments: # 1 Revised Summary Notice, # 2 Revised Claim form)(kim, Phillip) (Entered: 07/08/2015) 07/09/ ORDER PRELIMINARILY APPROVING SETTLEMENT AND PROVIDING FOR NOTICE granting 44 Motion for Settlement Plaintiffs' Unopposed Motion for Preliminary Approval of Class Action Settlement. NOW, THEREFORE, IT IS HEREBY ORDERED, this 8th day of July, 2015, that: A hearing (the "Final Settlement Hearing") pursuant to Federal Rule of Civil Procedure 23(e) is hereby scheduled to be held before the Court on October 16, 2015 at 10:00a.m. for the following purposes. The Court reserves the right to adjourn the Final Settlement Hearing to a later date and to approve the Settlement with or without modification and with or without further notice of any kind. The Court further reserves the right to enter its Order and Final Judgment approving the Settlement and dismissing the Complaint, on the merits and with prejudice, regardless of whether it has approved the Plan of Allocation or awarded attorneys' fees and expenses or award to Lead Plaintiffs. (As further set forth in this Order) (Signed by Judge Kimba M. Wood on 7/8/2015) (kl) Modified on 7/9/2015 (kl). (Entered: 07/09/2015) 07/09/2015 Set/Reset Deadlines: Motions due by 10/9/2015. Set/Reset Hearings: Settlement Conference set for 10/16/2015 at 10:00 AM before Judge Kimba M. Wood. (kl) (Entered: 07/09/2015) 09/16/ MOTION for Settlement Final Approval of Class Action Settlement. Document filed by Jason Baker, Tri-Tech Lead Plaintiff Group. (Attachments: # 1 Text of Proposed Order Proposed Final Judgment)(Kim, Phillip) (Entered: 09/16/2015)

10 09/16/ MEMORANDUM OF LAW in Support re: 53 MOTION for Settlement Final Approval of Class Action Settlement.. Document filed by Jason Baker, Tri-Tech Lead Plaintiff Group. (Kim, Phillip) (Entered: 09/16/2015) 09/16/ MOTION for Attorney Fees and Expenses and Award to Lead Plaintiffs. Document filed by Jason Baker, Tri-Tech Lead Plaintiff Group. (Attachments: # 1 Text of Proposed Order)(Kim, Phillip) (Entered: 09/16/2015) 09/16/ MEMORANDUM OF LAW in Support re: 55 MOTION for Attorney Fees and Expenses and Award to Lead Plaintiffs.. Document filed by Jason Baker, Tri-Tech Lead Plaintiff Group. (Kim, Phillip) (Entered: 09/16/2015) 09/16/ DECLARATION of Phillip Kim & Thomas J. McKenna in Support re: 53 MOTION for Settlement Final Approval of Class Action Settlement., 55 MOTION for Attorney Fees and Expenses and Award to Lead Plaintiffs.. Document filed by Jason Baker, Tri-Tech Lead Plaintiff Group. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3)(Kim, Phillip) (Entered: 09/16/2015) 10/09/ NOTICE of non-opposition re: 53 MOTION for Settlement Final Approval of Class Action Settlement., 55 MOTION for Attorney Fees and Expenses and Award to Lead Plaintiffs.. Document filed by Tri-Tech Lead Plaintiff Group. (Attachments: # 1 Supplemental Declaration of Josephine Bravata, # 2 Revised Judgment to Reflect Opt-Out)(Kim, Phillip) (Entered: 10/09/2015) 10/16/ ORDER AND FINAL JUDGMENT: NOW, THEREFORE, IT IS HEREBY ORDERED, ADJUDGED AND DECREED THAT: The Court has jurisdiction over the subject matter of the Litigation, Lead Plaintiffs, all Class Members and Tri-Tech. The Settlement is approved as fair, reasonable and adequate, and in the best interests of the Class. Lead Plaintiffs and Tri-Tech are directed to consummate the Settlement in accordance with the terms and provisions of the Stipulation. The Litigation and the Second Amended Complaint ("Complaint") are hereby dismissed with prejudice and without costs. The Court hereby finds that the proposed Plan of Allocation is a fair and reasonable method to allocate the Net Settlement Fund among Class Members. (As further set forth in this Order) (Signed by Judge Kimba M. Wood on 10/16/2015) (kl) (Entered: 10/16/2015) 10/16/ ORDER AWARDING LEAD PLAINTIFFS' COUNSEL'S ATTORNEYS' FEES, REIMBURSEMENT OF EXPENSES, AND AWARD TO LEAD PLAINTIFFS granting 55 Motion for Attorney Fees. Lead Plaintiffs' Counsel are awarded one-third of the Settlement Fund or $325,000 as attorneys' fees in this action, together with a proportionate share of the interest earned on the fund, at the same rate as earned by the balance of the fund, from the date of the establishment of the fund to the date of payment. Lead Plaintiffs' Counsel shall be reimbursed out of the Settlement Fund in the amount of $30, for its expenses and costs. Lead Plaintiffs shall each be awarded a nominal sum of $500 for reimbursement for their lost time in connection with their prosecution of this action, for a total of $3,500. Except as otherwise provided herein, the attorneys' fees, reimbursement of expenses, and award to Lead Plaintiffs shall be paid in the manner and procedure provided for in the Stipulation. (As further set forth in this Order) (Signed by Judge Kimba M. Wood on 10/16/2015) (kl) (Entered: 10/16/2015)

11 10/19/2015 Minute Entry for proceedings held before Judge Kimba M. Wood: Settlement Conference held on 10/16/2015. Attorneys Phillip Kim and Thomas James McKenna are present for the plaintiff. Attorney Stephen Saxl is present for the defendants. Court reporter is present. Conference is held (see transcript.) The Court certifies the proposed class for settlement purposes under Federal Rules of Civil Procedure 23(a) and 23(b)(3). The Court appoints Jason Baker, Don Allan, Jesper Enkeboelle, Walter Aerts, Dixie Hornby, Thomas Smith, and Rakesh Patel as Lead Plaintiffs and Settlement Class Representatives. The Court appoints The Rosen Law Firm, P.A. and Gainey McKenna & Egleston as Counsel for the Settlement Class. The Court awards attorneys fees of $325,000. The Court approves costs in the amount $30, and reimbursement for Lead Plaintiffs in the amount of $3,500 ($500 per Plaintiff). (Lajoie, Sara) (Entered: 10/19/2015) 09/30/ MOTION for Disbursement of Funds Distribution of Class Settlement Funds. Document filed by Jason Baker, Tri-Tech Lead Plaintiff Group. (Attachments: # 1 Text of Proposed Order)(Kim, Phillip) (Entered: 09/30/2016) 09/30/ MEMORANDUM OF LAW in Support re: 61 MOTION for Disbursement of Funds Distribution of Class Settlement Funds.. Document filed by Jason Baker, Tri-Tech Lead Plaintiff Group. (Attachments: # 1 Declaration of Josephine Bravata)(Kim, Phillip) (Entered: 09/30/2016) 10/18/ MEMO ENDORSEMENT on re: 61 MOTION for Disbursement of Funds Distribution of Class Settlement Funds, filed by Tri-Tech Lead Plaintiff Group, Jason Baker. ENDORSEMENT: The Court has added clarifying language on page 1. Counsel are asked to resubmit a corrected order, which the Court will sign promptly. SO ORDERED. (Signed by Judge Kimba M. Wood on 10/18/2016) (kl) (Entered: 10/18/2016) 10/19/ Vacated as per Judges Order dated 12/6/2016, Doc. #66 ORDER FOR DISTRIBUTION OF CLASS SETTLEMENT FUNDS granting 61 Motion for Disbursement of Funds. IT IS HEREBY ORDERED THAT: The Net Settlement Fund shall be distributed on a pro rata basis to the Authorized Claimants identified in Exhibit B-1 to the Declaration of Josephine Bravata, at the direction of Plaintiffs' Counsel, pursuant to the [Amended] Stipulation of Settlement (the "Stipulation") and the Plan of Allocation set forth in the Notice that was distributed pursuant to this Court's prior Order. The Court authorizes the payment of $89, from the Settlement Fund to Claims Administrator Strategic Claims Services ("SCS") for incurred unpaid fees and expenses for services rendered, and for fees and expenses to be rendered that SCS will incur in connection with the administration of the Settlement and the initial distribution of the Net Settlement Fund. (As further set forth in this Order) (Signed by Judge Kimba M. Wood on 10/19/2016) (kl) Modified on 12/6/2016 (cla). (Entered: 10/19/2016) 11/23/ FILING ERROR - WRONG EVENT TYPE SELECTED FROM MENU - LETTER MOTION to Reopen re: 64 Order on Motion for Disbursement of Funds, addressed to Judge Kimba M. Wood from Phillip Kim dated November 23, Document filed by Jason Baker, Tri-Tech Lead Plaintiff Group. (Attachments: # 1 Text of Proposed Order)(Kim, Phillip) Modified on 12/14/2016 (ldi). (Entered: 11/23/2016)

12 12/06/ ORDER VACATING PRIOR ORDER AND ORDER FOR DISTRIBUTION OF CLASS SETTLEMENT FUNDS: IT IS HEREBY ORDERED THAT: Pursuant to Fed. R. Civ. P. 60(a), because the Court finds that the Order contained a mistake that arose from an inadvertent omission, the Order is hereby VACATED. The Net Settlement Fund shall be distributed on a pro rata basis to the Authorized Claimants identified in Exhibit B-1 and Exhibit B-2 to the Declaration of Josephine Bravata, at the direction of Plaintiffs' Counsel, pursuant to the [Amended] Stipulation of Settlement (the "Stipulation") and the Plan of Allocation set forth in the Notice that was distributed pursuant to this Court's prior Order. The Court authorizes the payment of $89, from the Settlement Fund to Claims Administrator Strategic Claims Services ("SCS") for incurred unpaid fees and expenses for services rendered, and for fees and expenses to be rendered that SCS will incur in connection with the administration of the Settlement and the initial distribution of the Net Settlement Fund. (As further set out in the order). This Court retains jurisdiction over any further application or matter which may arise in connection with this action. (Signed by Judge Kimba M. Wood on 12/6/2016) (cla) (Entered: 12/06/2016) Note: Links in this docket are stored in the PACER system (Public Access to Court Electronic Records). PACER is a service of United States Judiciary. To view and retrieve the linked documents from PACER, you must be a registered user. To register, fill out one of the registration forms available on the PACER site. The United States Congress has given the Judicial Conference of the United States, the judicial governing body of the U.S. Federal Courts, authority to impose user fees for electronic access to case information. For more information visit the PACER site at