United States District Court Southern District of West Virginia (Charleston) CIVIL DOCKET FOR CASE #: 2:08-cv-00011

Transcription

1 US District Court Civil Docket as of 8/1/2011 Retrieved^rom the court on August 4, 2011 United States District Court Southern District of West Virginia (Charleston) CIVIL DOCKET FOR CASE #: 2:08-cv Saratoga Advantage Trust v. ICG, Inc. et al Date Filed: 01/07/2008 Assigned to: Judge John T. Copenhaver, Jr. Jury Demand: Both Cause: 15:78m(a) Securities Exchange Act Nature of Suit: 850 Securities/Commodities Jurisdiction: Federal Question Plaintiff Saratoga Advantage Trust represented by Jeffrey R. Krinsk and FINKELSTEIN & KRINSK Suite West Broadway San Diego, CA / Fax: 619/ Mark L. Knutson FINKELSTEIN & KRINSK Suite West Broadway San Diego, CA / Fax: 619/ Troy N. Giatras THE GIATRAS LAW FIRM Suite Capitol Street Charleston, WV / Fax: 304/

2 William R. Restis FINKELSTEIN & KRINSK Suite West Broadway San Diego, CA / Fax: 619/ Kati C. Kazemi FINKELSTEIN & KRINSK Suite West Broadway San Diego, CA / Fax: 619/ TERMINATED: Plaintiff Theodore Hyer represented by Jeffrey R. Krinsk on behalf of themselves and all others similarly situated Mark L. Knutson Troy N. Giatras William R. Restis V. Defendant

3 ICG, Inc. represented by Bronson J. Bigelow also known as JONES DAY International Coal Group, Inc. 222 East 41 st Street New York, NY / Fax: 212/ Edward D. McDevitt BOWLES RICE MCDAVID GRAFF & LOVE P. O. Box 1386 Charleston, WV / Fax: 304/ John M. Newman, Jr. JONES DAY North Point 901 Lakeside Avenue Cleveland, OH / Fax: 216/ Robert C. Micheletto JONES DAY 222 East 41 st Street New York, NY / Fax: 212/ Defendant Wilbur L. Ross represented by Bronson J. Bigelow

4 Edward D. McDevitt John M. Newman, Jr. Robert C. Micheletto Defendant Bennett K. Hatfield represented by Bronson J. Bigelow Edward D. McDevitt John M. Newman, Jr. Robert C. Micheletto Defendant Wendy L. Teramoto represented by Bronson J. Bigelow and

5 Edward D. McDevitt John M. Newman, Jr. Robert C. Micheletto Defendant William D. Campbell represented by Bronson J. Bigelow Edward D. McDevitt John M. Newman, Jr. Robert C. Micheletto Movant City of Ann Arbor Employees' represented by Douglas Wilens Retirement System ROBBINS GELLER RUDMAN & DOWD Suite East Palmetto Park Road Boca Raton, FL / Fax: 561/

6 Movant Iron Workers of Western Pennsylvania represented by Douglas Wilens Pension Plan Date Filed I # Docket Text 01/07/ CLASS ACTION COMPLAINT FOR VIOLATION OF FEDERAL SECURITIES I LAWS. Filing Fee $ Receipt # (Attachment: # 1 Civil Cover Sheet) (taq) (Entered: 01/08/2008) 01/07/2008 I 2 SUMMONS ISSUED by the Clerk on behalf of Saratoga Advantage Trust for Wendy L. Teramoto, ICG, Inc., Wilbur L. Ross, re: 1 Complaint, returnable 20 days. Original Summons and 2 copies for each defendant returned to plaintiff Hs counsel for service. (taq) (Entered: 01/08/2008) 01/07/2008 I 3 I SUMMONS ISSUED by the Clerk on behalf of Saratoga Advantage Trust for William D. Campbell, Bennett K. Hatfield, re: 1 Complaint, returnable 20 days. Original Summons and 1 copy each returned to plaintiff Hs counsel for service. (taq) (Entered: 01/08/2008) 01/07/2008 CASE assigned to Judge John T. Copenhaver, Jr. (ras) (Entered: 01/08/2008) 01/08/ STANDING ORDER IN RE: ASSIGNMENT AND REFERRAL OF CIVIL ACTIONS AND MATTERS TO MAGISTRATE JUDGES ENTERED AUGUST 1, This matter referred to Magistrate Judge Stanley for discovery. (cc:attys; any unrepresented party) (taq) 01/18/ STATEMENT OF VISITING ATTORNEY from Mark L. Knutson on behalf of I Saratoga Advantage Trust and Designation of Local Counsel: Troy N. Giatras. (taq) 01/18/ STATEMENT OF VISITING ATTORNEY from Jeffrey R. Krinsk on behalf of Saratoga Advantage Trust and Designation of Local Counsel: Troy N. Giatras. (taq) 01/18/ FEE in the sum of $50.00 received from Mark L. Knutson. Receipt Number (cc: Administrative Services) (taq) 01/18/ I FEE in the sum of $50.00 received from Jeffrey R. Krinsk. Receipt Number (cc: Administrative Services) (taq) 01/25/ WAIVER OF SERVICE EXECUTED. Waiver signed by John M. Newman, Jr., As Attorney on January 23, Wilbur L. Ross waiver mailed on 1/18/2008, answer due 3/18/2008. (Giatras, Troy) 01/25/ WAIVER OF SERVICE EXECUTED. Waiver signed by John M. Newman, Jr., as Attorney on January 23, William D. Campbell waiver mailed on 1/18/2008,

7 answer due 3/18/2008. (Giatras, Troy) 01/25/ WAIVER OF SERVICE EXECUTED. Waiver signed by John M. Newman, Jr., as Attorney on January 23, Wendy L. Teramoto waiver mailed on 1/18/2008, answer due 3/18/2008. (Giatras, Troy) 01/25/ I WAIVER OF SERVICE EXECUTED. Waiver signed by John M. Newman, Jr., as Attorney on January 23, Bennett K. Hatfield waiver mailed on 1/18/2008, answer due 3/18/2008. (Giatras, Troy) 01/25/ I WAIVER OF SERVICE EXECUTED. Waiver signed by John M. Newman, Jr., as Attorney on January 23, ICG, Inc. waiver mailed on 1/18/2008, answer due 3/18/2008. (Giatras, Troy) 02/26/ STATEMENT OF VISITING ATTORNEY from Bronson J. Bigelow on behalf of Wendy L. Teramoto, William D. Campbell, ICG, Inc., Wilbur L. Ross, Bennett K. Hatfield and Designation of Local Counsel: Edward D. McDevitt. (taq) 02/26/ FEE in the sum of $50.00 received from Bronson J. Bigelow. Receipt Number (cc: Administrative Services) (taq) 02/26/ STATEMENT OF VISITING ATTORNEY from John M. Newman, Jr. on behalf of Wendy L. Teramoto, William D. Campbell, ICG, Inc., Wilbur L. Ross, Bennett K. Hatfield and Designation of Local Counsel: Edward D. McDevitt. (taq) 02/26/ FEE in the sum of $50.00 received from John M. Newman, Jr. Receipt Number (cc: Administrative Services) (taq) 02/26/ STATEMENT OF VISITING ATTORNEY from Robert C. Micheletto on behalf of Wendy L. Teramoto, William D. Campbell, ICG, Inc., Wilbur L. Ross, Bennett K. Hatfield and Designation of Local Counsel: Edward D. McDevitt. (taq) 02/26/ I FEE in the sum of $50.00 received from Robert C. Micheletto. Receipt Number (cc: Administrative Services) (taq) 02/28/ NOTICE OF FILING ofmotion to Consolidate and to Abate and Memorandum in Support in CA 2: by City of Ann Arbor Employees' Retirement System, Iron Workers of Western Pennsylvania Pension Plan (Attachments: # 1 Exhibit(s) 1 (Composite))(Wilens, Douglas) (Modified for clarity and to add additional filer on 2/28/2008) (skh). 03/10/ MOTION by Saratoga Advantage Trust for Appointment as Lead Plaintiff and for Approval of Finkelstein & Krinsk LLP as Lead Counsel (Knutson, Mark) (Modified for clarity and replaced unsigned image with signed image on 3/11/2008) (skh). 03/10/ I INCORRECT ENTRY; SEE ENTRY #26. (Knutson, Mark) (Modified on 3/11/2008 to remove image and file as entry #26) (skh). 03/10/ INCORRECT ENTRY; SEE ENTRY #27. (Knutson, Mark) (Modified on 3/11/2008 to remove image and file as entry #27) (skh). 03/10/ PROPOSED ORDER Granting Motion for Appointment of Saratoga Advantage Trust as Lead Plaintiff and Approval of Finklestein & Krinsk LLP as Lead Counsel and The Giatras Law Firm as Plaintiff Liason Counsel by Saratoga Advantage Trust (Knutson, Mark) (Modified for clarity on 3/11/2008) (skh).

8 03/10/ CERTIFICATE OF SERVICE filed by Saratoga Advantage Trust for Motion for Appointment of Saratoga Advantage Trust as Lead Plaintiff and for Approval of Finklestein & Krinsk LLP as Lead Counsel; Memorandum of Law; Declaration of Jeffrey R. Krinsk; and Proposed Order (Knutson, Mark) (Modified for clarity on 3/11/2008) (skh). 03/10/ I MEMORANDUM by Saratoga Advantage Trust in support of 21 MOTION by Saratoga Advantage Trust for Appointment as Lead Plaintiff and for Approval of Finkelstein & Krinsk LLP as Lead Counsel. (skh) (Modified on 3/11/2008 to replace unsigned image with signed image) (skh). (Entered: 03/11/2008) 03/10/ DECLARATION by Jeffrey R. Krinsk, on behalf of Saratoga Advantage Trust, in support of 21 MOTION by Saratoga Advantage Trust for Appointment as Lead Plaintiff and for Approval of Finkelstein & Krinsk LLP as Lead Counsel, with Exhibits A-D attached. (skh) (Entered: 03/11/2008) 03/11/2008 NOTICE OF DOCKET CORRECTION re: 22 MOTION by Saratoga Advantage Trust Memorandum of Law in Support of Lead Plaintiff Appointment. Error: Incorrect event selected. Correction: Removed image and filed using the event Memorandum In Support. (skh) 03/11/2008 NOTICE OF DOCKET CORRECTION re: 23 MOTION by Saratoga Advantage Trust Declaration of Jeffrey R. Krinsk in Support of Lead Plaintiff Appointment. Error: Incorrect event selected. Correction: Removed image and filed using the event Affidavit In Support. (skh) 03/11/2008 NOTICE OF DOCKET CORRECTION re: 21 MOTION by Saratoga Advantage Trust for Appointment as Lead Plaintiff and for Approval of Finkelstein & Krinsk LLP as Lead Counsel and 26 MEMORANDUM in support. Error: Images did not contain appropriate signatures. Correction: Replaced unsigned images with signed images. (skh) 03/13/ MOTION by Wendy L. Teramoto, William D. Campbell, ICG, Inc., Wilbur L. Ross, Bennett K. Hatfield to Dismiss or Abate (Attachments: # 1 Exhibit 1, # 2 Certificate of Service)(Micheletto, Robert) (Modified on 3/14/2008 to add motion to abate and to remove duplicate description of attachment) (skh). 03/13/ I MEMORANDUM by Wendy L. Teramoto, William D. Campbell, ICG, Inc., Wilbur L. Ross, Bennett K. Hatfield in opposition to 21 MOTION by Saratoga Advantage Trust for Appointment as Lead Plaintiff and for Approval of Finkelstein & Krinsk LLP as Lead Counsel (Attachments: # 1 Certificate of Service)(Micheletto, Robert) 03/18/ MOTION by Wendy L. Teramoto, William D. Campbell, ICG, Inc., Wilbur L. Ross, Bennett K. Hatfield for a Conditional Scheduling Order as to Filing Further Responsive Pleadings (Attachments: # 1 Certificate of Service)(Micheletto, Robert) 03/18/ MEMORANDUM by Wendy L. Teramoto, William D. Campbell, ICG, Inc., Wilbur L. Ross, Bennett K. Hatfield in support of 30 MOTION by Wendy L. Teramoto, William D. Campbell, ICG, Inc., Wilbur L. Ross, Bennett K. Hatfield for a Conditional Scheduling Order as to Filing Further Responsive Pleadings (Attachments: #1 Proposed Order, # 2 Certificate of Service)(Micheletto, Robert) 03/18/ CORPORATE DISCLOSURE STATEMENT by ICG, Inc. (Attachments: # 1

9 Certificate of Service)(Micheletto, Robert) 03/27/ NOTICE OF FILING of Reply Memorandum oflaw in Support of their Motion to Consolidate and to Abate in CA 2: by City of Ann Arbor Employees' Retirement System, Iron Workers of Western Pennsylvania Pension Plan (Attachments: # 1 Exhibit(s) 1)(Wilens, Douglas) (Modified for clarity and to add additional filer on 3/28/2008) (skh). 03/28/ NOTICE OF FILING of Opposition to Motion to Consolidate and to Abate in CA 2: by Saratoga Advantage Trust (Attachments: # 1 Memorandum of Law in Support of Saratoga Advantage Trust's Opposition to Lead Plaintiffs' Motion to Consolidate and to Abate) (Modified for clarity and to add description to attachment on 3/29/2008) (skh). 03/28/ I CERTIFICATE OF SERVICE filed by Saratoga Advantage Trust for 34 Notice of Filing (Knutson, Mark) (Modified on 3/31/2008 to add link to #34 notice of filing and to correctly reflect document served) (skh). 03/28/ I MEMORANDUM by Saratoga Advantage Trust in opposition to 28 MOTION by Wendy L. Teramoto, William D. Campbell, ICG, Inc., Wilbur L. Ross, Bennett K. Hatfield to Dismiss or Abate (Attachments: # 1 Memorandum of Law in Support of Saratoga Advantage Trust's Opposition to Lead Plaintiffs' Motion to Consolidate and to Abate, # 2 Certificate of Service)(Knutson, Mark) (Modified description of attachment #1 on 3/29/2008) (skh). 03/28/ I REPLY by Saratoga Advantage Trust to 29 Memorandum in Opposition to 21 MOTION by Saratoga Advantage Trust for Appointment as Lead Plaintiff and for Approval of Finkelstein & Krinsk LLP as Lead Counsel. (Attachments: # 1 Certificate of Service)(Knutson, Mark) (Modified title of entry and added link to #29 memorandum on 3/29/2008) (Howie, Susan). 04/02/ MOTION by Wendy L. Teramoto, William D. Campbell, ICG, Inc., Wilbur L. Ross, Bennett K. Hatfield for Leave to File Surreply in Further Opposition to Saratoga Advantage Trusts Motion for Appointment as Lead Plaintiff with proposed document attached (Attachments: # 1 Exhibit(s) Surreply in Further Opposition to Saratoga Advantage Trusts Motion for Appointment as Lead Plaintiff, # 2 Certificate of Service)(Bigelow, Bronson) 04/07/ I MEMORANDUM OPINION AND ORDER re: defendants' 30 motion for a conditional scheduling order as to filing further responsive pleadings and plaintiffs' 20 motion to consolidate; granting defendants' 38 Joint MOTION to file a surreply in further opposition to Saratoga Advantage Trust's 21 motion for appointment of lead plaintiff status; further directing that the surreply attached to the motion is deemed filed; directing that this action is stayed pending resolution of the motion to consolidate; following said ruling and if necessary, the ruling on the motion to appoint Saratoga as lead plaintiff, the court will, if it remains pertinent, consider the defendants' motion for a scheduling order. Signed by Judge John T. Copenhaver, Jr. on 4/7/2008. (cc: attys) (taq) 04/07/2008 CASE STAYED pursuant to the court's 39 order entered of even date. (taq) 04/07/ SURREPLY by Wendy L. Teramoto, William D. Campbell, ICG, Inc., Wilbur L. Ross, Bennett K. Hatfield in further opposition to 21 MOTION by Saratoga Advantage Trust

10 for Appointment as Lead Plaintiff. (taq) (Entered: 04/08/2008) 11/20/ MOTION by Saratoga Advantage Trust to Lift Stay and Motion for a Scheduling Order (Giatras, Troy) (Modified text to conform to filed document on 11/21/2008) (skh). 11/24/ RESPONSE by ICG, Inc., Wilbur L. Ross, Jr., Bennett K. Hatfield, Wendy L. Teramoto, William D. Campbell in support of 41 MOTION by Saratoga Advantage Trust to Lift Stay and Motion for a Scheduling Order. (McDevitt, Edward) (Modified on 11/24/2008 to add link to #41 motion and to add additional filers) (Howie, Susan). 11/24/ SUPPLEMENTAL MEMORANDUM by ICG, Inc. in opposition to 21 MOTION by Saratoga Advantage Trust for Appointment as Lead Plaintiff and for Approval of Finkelstein & Krinsk LLP as Lead Counsel (McDevitt, Edward) (Modified title of entry to conform to filed document on 11/24/2008) (skh). 12/01/ MOTION by Saratoga Advantage Trust for Leave to File Surreply to Defendants' Supplemental Opposition to Saratoga's Motion for Appointment as Lead Plaintiff, with proposed document attached (Giatras, Troy) (Modified text to conform to filed document on 12/3/2008) (skh). 02/03/ MEMORANDUM OPINION AND ORDER denying without prejudice defendants' 28 JOINT MOTION to Dismiss or alternatively to abate. Signed by Judge John T. Copenhaver, Jr. on 2/3/2009. (cc: attys) (taq) 02/03/ ORDER granting plaintiff Saratoga Advantage Trust's 41 MOTION to lift the stay and granting its 44 MOTION for Leave to File a surreply to the extent necessary to approve defendants' 11/24/2008 filing of their 43 Supplemental Memorandum in Opposition to Saratoga Advantage Trust's Motion for Appointment as Lead Plaintiff, and to afford leave to Saratoga to file a surreply to defendants' supplemental memorandum; the surreply attached to Saratoga's motion for leave to file a surreply is deemed filed; and otherwise denying said motions; further directing that a hearing on Saratoga's 21 motion for appointment as lead plaintiff be held at 10:00 a.m. on 2/27/2009; the action is stayed pending conclusion of the hearing. Signed by Judge John T. Copenhaver, Jr. on 2/3/2009. (cc: attys) (taq) 02/03/2009 SET DEADLINE re: 21 MOTION by Saratoga Advantage Trust for Appointment as Lead Plaintiff; Motion Hearing set for 2/27/2009 at 10:00 AM in Charleston pursuant to the court's 46 order entered of even date. (taq) 02/03/ SURREPLY by Saratoga Advantage Trust to defendants' 43 Supplemental Opposition to 21 Motion for Appointment of Lead Plaintiff. (taq) 02/27/ MOTION HEARING re: 21 MOTION by Saratoga Advantage Trust for Appointment as Lead Plaintiff and for Approval of Finkelstein & Krinsk LLP as Lead Counsel held by Judge John T. Copenhaver, Jr. on 2/27/2009; Court Reporter: Barbara Steinke. (rap) (Entered: 03/02/2009) 03/20/ I MEMORANDUM OPINION AND ORDER granting Plaintiff's 21 MOTION for appointment of Saratoga Advantage Trust as lead plaintiff and for approval of Finkelstein & Krinks LLP as lead counsel and The Giatras Law Firm as liaison counsel; further directing that Saratoga is appointed as lead plaintiff; Finkelstein & Krinsk, LLP is approved as lead counsel and The Giatras Law Firm is approved as liaison counsel. Signed by Judge John T. Copenhaver, Jr. on 3/20/2009. (cc: attys) (mkw)

11 03/25/ PROPOSED ORDER Stipulated Schedule as to Filing Responsive Pleadings by Wendy L. Teramoto, William D. Campbell, ICG, Inc., Wilbur L. Ross, Bennett K. Hatfield, Saratoga Advantage Trust (McDevitt, Edward) (Modified text to conform to filed document and to add additional filer on 3/26/2009) (skh). 03/25/ MEMORANDUM by Wendy L. Teramoto, William D. Campbell, ICG, Inc., Wilbur L. Ross, Bennett K. Hatfield in support of 50 Proposed Order (McDevitt, Edward) (Modified for clarity of text on 3/26/2009) (skh). 03/30/ ORDER pursuant to the parties' 50 proposed stipulated schedule as to filing responsive pleadings and treating the proposed stipulated schedule as a motion, granting in part said motion; defendants' response to the 1 complaint to be filed by 5/15/2009; in the event the defendants respond to the complaint by moving to dismiss the complaint, lead plaintiff's opposition to the motion to dismiss due by 6/22/2009; defendants' reply to be filed by 7/15/2009. Signed by Judge John T. Copenhaver, Jr. on 3/30/2009. (cc: attys) (taq) 05/15/ NOTICE of Motion to Dismiss the Complaint by Wendy L. Teramoto, William D. Campbell, ICG, Inc., Wilbur L. Ross, Bennett K. Hatfield (Attachments: # 1 Certificate of Service)(Newman, John) (Modified for clarity of text on 5/16/2009) (skh). 05/15/ MOTION by Wendy L. Teramoto, William D. Campbell, ICG, Inc., Wilbur L. Ross, Bennett K. Hatfield to Dismiss re: 1 Complaint (Attachments: # 1 Certificate of Service)(Newman, John) 05/15/ MEMORANDUM by Wendy L. Teramoto, William D. Campbell, ICG, Inc., Wilbur L. Ross, Bennett K. Hatfield in support of 54 MOTION by Wendy L. Teramoto, William D. Campbell, ICG, Inc., Wilbur L. Ross, Bennett K. Hatfield to Dismiss re: 1 Complaint (Attachments: # 1 Certificate of Service)(Newman, John) 05/15/ MOTION by Wendy L. Teramoto, William D. Campbell, ICG, Inc., Wilbur L. Ross, Bennett K. Hatfield to Exceed Page Limit for Memorandum of Law in Support of Defendants' Motion to Dismiss the Complaint (Attachments: # 1 Certificate of Service)(Newman, John) 05/15/ AFFIDAVIT by John M. Newman, Jr., on behalf of Wendy L. Teramoto, William D. Campbell, ICG, Inc., Wilbur L. Ross, Bennett K. Hatfield in support of 54 MOTION by Wendy L. Teramoto, William D. Campbell, ICG, Inc., Wilbur L. Ross, Bennett K. Hatfield to Dismiss re: 1 Complaint (Attachments: # 1 Certificate of Service, # 2 Ex 1: Class Action Complaint, # 3 Ex 2: 11/18/05 ICG Letter, # 4 Ex 3: 12/07/05 ICG Letter, # 5 Ex 4: 01/04/08 Pltf Certification, # 6 Ex 5: USA Today Article, # 7 Ex 6: AP Article, # 8 Ex 7: WSJ Article, # 9 Ex 8: WashPost Article, # 10 Ex 9: ICG Press Release)(Newman, John) 06/17/ I NOTICE OF CHANGE OF ATTORNEY INFORMATION from Mark L. Knutson advising that Ms. Katayoun Kazemi is no longer counsel in this case on behalf of Saratoga Advantage Trust (Knutson, Mark) (Modified text to conform to filed document on 6/18/2009) (skh). 06/18/ RESPONSE by Saratoga Advantage Trust in support of 56 MOTION by Wendy L. Teramoto, William D. Campbell, ICG, Inc., Wilbur L. Ross, Bennett K. Hatfield to Exceed Page Limit for Memorandum of Law in Support of Defendants' Motion to Dismiss the Complaint. (Giatras, Troy)

12 06/18/ MOTION by Saratoga Advantage Trust to Extend Time to File Response/Reply as to 54 MOTION by Wendy L. Teramoto, William D. Campbell, ICG, Inc., Wilbur L. Ross, Bennett K. Hatfield to Dismiss re: 1 Complaint to July 22, 2009 (Giatras, Troy) (Modified on 6/19/2009 to remove link to #55 memorandum) (skh). 06/19/ ORDER granting defendants' 56 MOTION to exceed the page limitation; granting the lead plaintiff's 60 MOTION for an extension of time to file a response to defendants' 54 MOTION to Dismiss to the extent of 15 days and is otherwise denied; lead plaintiff's response due by 7/7/2009; defendants' reply due by 7/30/2009. Signed by Judge John T. Copenhaver, Jr. on 6/19/2009. (cc: attys) (taq) 07/02/ NOTICE OF CHANGE OF ATTORNEY INFORMATION by Mark L. Knutson on behalf of Saratoga Advantage Trust adding William R. Restis as counsel for plaintiff. (Knutson, Mark) (Modified text to conform to filed document on 7/6/2009) (skh). 07/06/ RESPONSE by Saratoga Advantage Trust in opposition of 54 MOTION by Wendy L. Teramoto, William D. Campbell, ICG, Inc., Wilbur L. Ross, Bennett K. Hatfield to Dismiss re: 1 Complaint (Giatras, Troy) (Modified on 7/7/2009 to remove link to #55 memorandum) (skh). 07/06/ I INCORRECT ENTRY: Image removed. See 65 for correctly filed document (rap). 07/06/ FIRST AMENDED CLASS ACTION COMPLAINT by Saratoga Advantage Trust, Theodore Hyer amending 1 Complaint against defendants Wendy L. Teramoto, William D. Campbell, ICG, Inc., Wilbur L. Ross, Bennett K. Hatfield with Jury Demand (rap) (Modified text to conform to filed document on 7/7/2009) (skh). (Entered: 07/07/2009) 07/06/2009 NOTICE OF DOCKET CORRECTION re: 64 APPLICATION by Saratoga Advantage Trust First Amended Class Action Complaint for Violation of Federal Securities Laws (Attachments: # 1 Civil Cover Sheet Civil Cover Sheet)(Giatras, Troy) Error: Amended Complaint filed using incorrect event. Correction: Image removed from this entry and refiled as 65 Amended Complaint. (rap) (Entered: 07/07/2009) 07/07/ SUMMONS ISSUED by the Clerk on behalf of Saratoga Advantage Trust, Theodore Hyer for Wendy L. Teramoto, William D. Campbell, ICG, Inc., Wilbur L. Ross, Bennett K. Hatfield, re: 65 First Amended Class Action Complaint, returnable 20 days. Original Summons and 2 copies mailed to Mr. Giatras for service. (rap) 07/20/ PROPOSED ORDER Stipulated Schedule Regarding Lead Plaintiff's 65 First Amended Class Action Complaint by ICG, Inc., William D. Campbell, Bennett K. Hatfield, Wilbur L. Ross, Saratoga Advantage Trust, Wendy L. Teramoto (McDevitt, Edward) (Modified for clarity of text and to add additional filers on 7/21/2009) (skh). 07/21/ ORDER Plaintiff having filed a first amended class action complaint, the defendants' 54 MOTION to dismiss is denied without prejudice as moot. Signed by Judge John T. Copenhaver, Jr. on 7/21/2009. (cc: attys; any unrepresented party) (ras) 07/21/ ORDER The court accepts the 67 Stipulation re: the 65 First Amended Class Action Complaint as more fully set forth herein; defendants shall respond by 8/6/2009; if the defendants respond via motion to dismiss, the plaintiffs shall respond to the motion by 8/20/2009 and the defendants shall reply to the response by 8/31/2009. Signed by Judge John T. Copenhaver, Jr. on 7/21/2009. (cc: attys; any unrepresented party) (ras)

13 08/06/ NOTICE of Motion to Dismiss the First Amended Complaint by Wendy L. Teramoto, William D. Campbell, ICG, Inc., Wilbur L. Ross, Bennett K. Hatfield (Attachments: # 1 Certificate of Service)(Newman, John) 08/06/ MOTION by Wendy L. Teramoto, William D. Campbell, ICG, Inc., Wilbur L. Ross, Bennett K. Hatfield to Dismiss re: 65 First Amended Complaint (Attachments: # 1 Certificate of Service)(Newman, John) (Modified text to conform to filed document on 8/7/2009) (skh). 08/06/ MOTION by Wendy L. Teramoto, William D. Campbell, ICG, Inc., Wilbur L. Ross, 1 Bennett K. Hatfield to Exceed Page Limit for Memorandum of Law in Support of Defendants' Motion to Dismiss The First Amended Complaint (Attachments: # 1 Certificate of Service)(Newman, John) 08/06/ MEMORANDUM by Wendy L. Teramoto, William D. Campbell, ICG, Inc., Wilbur L. Ross, Bennett K. Hatfield in support of 71 MOTION by Wendy L. Teramoto, William D. Campbell, ICG, Inc., Wilbur L. Ross, Bennett K. Hatfield to Dismiss re: 65 First Amended Complaint (Attachments: # 1 Certificate of Service)(Newman, John) (Modified text to conform to filed document on 8/7/2009) (skh). 08/06/ i DECLARATION by John M. Newman, Jr., on behalf of Wendy L. Teramoto, William D. Campbell, ICG, Inc., Wilbur L. Ross, Bennett K. Hatfield in support of 71 MOTION by Wendy L. Teramoto, William D. Campbell, ICG, Inc., Wilbur L. Ross, Bennett K. Hatfield to Dismiss re: 65 First Amended Complaint (Attachments: # 1 Certificate of Service, # 2 Ex 1: First Amended Complaint, # 3 Ex 2: 11/18/05 ICG Letter, # 4 Ex 3: 12/07/05 ICG Letter, # 5 Ex 4: Saratoga Certification, # 6 Ex 5: Hyer Certification, # 7 Ex 6: USA Today Article, # 8 Ex 7: AP Article, # 9 Ex 8: WSJ Article, # 10 Ex 9: WashPost Article, # 11 Ex 10: ICG Press Release, # 12 Ex 11: F&K Press Release, # 13 Ex 12: 1Q2006 Conf Call, # 14 Ex 13: 10-K Excerpts, # 15 Ex 14: 10Q)(Newman, John) (Modified text to conform to filed document on 8/7/2009) (skh). 08/07/ ORDER granting 72 MOTION for Leave to Exceed the Page Limitation. Signed by Judge John T. Copenhaver, Jr. on 8/7/2009. (cc: attys) (tmr) 08/20/ MOTION by Saratoga Advantage Trust for Leave to Exceed Page Limitation for Memorandum of Law in Opposition to Defendants' Motion to Dismiss the First Amended Complaint (Giatras, Troy) (Modified text to conform to filed document on 8/20/2009) (skh). 08/20/ I MEMORANDUM by Saratoga Advantage Trust in opposition to 71 MOTION by Wendy L. Teramoto, William D. Campbell, ICG, Inc., Wilbur L. Ross, Bennett K. Hatfield to Dismiss re: 65 First Amended Complaint (Giatras, Troy) (Modified on 8/20/2009 to remove duplicate text) (skh). 08/21/ I ORDER granting plaintiff's 76 MOTION for leave to exceed the page limitation. Signed by Judge John T. Copenhaver, Jr. on 8/21/2009. (cc: attys) (taq) 08/31/ REPLY by William D. Campbell, Bennett K. Hatfield, ICG, Inc., Wilbur L. Ross, Wendy L. Teramoto to 77 Memorandum In Opposition. (Attachments: # 1 Certificate of Service)(Newman, John) 07/15/ STIPULATION OF SETTLEMENT by William D. Campbell, Bennett K. Hatfield, ICG, Inc., Wilbur L. Ross, Wendy L. Teramoto, Saratoga Advantage Trust, Theodore

14 Hyer (Attachments: # 1 Exhibit A - [Proposed] Preliminary Approval Order, # 2 Exhibit A-1 - Notice of Pendency, # 3 Exhibit A-2 - Proof of Claim and Release, # 4 Exhibit A-3 - Summary Notice, # 5 Exhibit B - [Proposed] Final Judgment and Order)(Newman, John) (Modified on 7/15/2011 to add additional filers) (skh). 07/15/ LETTER-FORM NOTICE to the Court enclosing Courtesy Copies of the Stipulation of Settlement Between the Parties by ICG, Inc., William D. Campbell, Bennett K. Hatfield, Wilbur L. Ross, Wendy L. Teramoto, Saratoga Advantage Trust, Theodore Hyer (McDevitt, Edward) (Modified for clarity of text and to add additional filers on 7/15/2011) (skh). 07/20/ STIPULATION OF SETTLEMENT by William D. Campbell, Bennett K. Hatfield, ICG, Inc., Wilbur L. Ross, Wendy L. Teramoto, Saratoga Advantage Trust, Theodore Hyer (Attachments: # 1 Exhibit A - [Proposed] Preliminary Approval Order, # 2 Exhibit A-1 - Notice of Pendency, # 3 Exhibit A-2 - Proof of Claim and Release, # 4 Exhibit A-3 - Summary Notice, # 5 Exhibit B - [Proposed] Final Judgment and Order)(Newman, John) (Modified text to conform to filed document and to add additional filers on 7/20/2011) (skh). 07/26/ I STIPULATION OF SETTLEMENT by William D. Campbell, Bennett K. Hatfield, ICG, Inc., Wilbur L. Ross, Wendy L. Teramoto, Saratoga Advantage Trust, Theodore Hyer (Attachments: # 1 Exhibit A - [Proposed] Preliminary Approval Order, # 2 Exhibit A-1 - Notice of Pendency, # 3 Exhibit A-2 - Proof of Claim and Release, # 4 Exhibit A-3 - Summary Notice, # 5 Exhibit B - [Proposed] Final Judgment and Order)(Newman, John) (Modified title of entry to conform to filed document and to add additional filers on 7/26/2011) (skh). 07/26/ ORDER directing that the proposed settlement is deemed to have been "filed in court" pursuant to section 1715(b) on 7/20/2011. The court, accordingly, deems the 10 day period specified by section 1715(b) to conclude on 8/1/2011. Signed by Judge John T. Copenhaver, Jr. on 7/26/2011. (cc: attys; any unrepresented party) (lca) 08/01/ ORDER PRELIMINARILY APPROVING SETTLEMENT AND PROVIDING NOTICE OF PENDENCY; the court preliminarily approves the Stipulation and the Settlement subject to further consideration at the Settlement Fairness Hearing as more fully set forth herein; preliminarily certifies a settlement class consisting of all persons who purchased securities of ICG between 4/28/2005 and 6/6/2006, inclusive; preliminarily certifies Saratoga Advantage Trust as lead plaintiff and representative plaintiff and Theodore Hyer as additional representative plaintiff; approving the Notice of Pendency and Proposed Settlement of Class Action, the Proof of Claim and Release form, and the Summary Notice for publication; within 10 days of the filing of the Stipulation the defendants shall provide the notices required by the Class Action Fairness Act of 2005 (28 U.S.C. 1715) to the Attorney General of the USA and the Attorney General of all states in which members of the settlement class reside; Court appoints Spectra Print as the claims administrator; No later than 7 days after entry of this order ICG to provide to the Claims Administrator the names and addresses of all former ICG shareholders; No later than 14 days after entry of this order, lead counsel shall mail copies of the notice and claim form to all class members; no later than 21 days after entry of this order, lead counsel shall cause the summary notice to be published in the Investor's Business Daily and once online over the PR Newswire; no later than 21 days after entry of this order, lead counsel shall place a copy of the complaint and stipulation on the website of lead counsel and claims administrator; no

15 later than 7 days before the date of the Settlement Fairness Hearing, lead counsel shall serve on defendants' counsel and file with the court proof by affidavit or declaration of the mailing and publishing described above. The following schedule of dates shall govern resolution of this settlement: deadline for filing of papers in support of the settlement, plan of allocation, application by lead counsel for attorneys' fees or reimbursement of expenses, and application for representative plaintiffs' reimbursement of time and expenses is 10/14/2011. Deadline for submitting requests to be excluded from the class is 10/31/2011. Deadline for filing objections/oppositions to any of the applications is 10/31/2011. Deadline for lead counsel and/or counsel for defendants to file all papers responding to any objections/oppositions to any of the applications is 11/7/2011. Settlement Fairness Hearing is 11/14/2011 at 1:30 p.m. Deadline for class members' submission of proof of claim and release forms is 11/15/2011. Signed by Judge John T. Copenhaver, Jr. on 8/1/2011. (cc: attys; any unrepresented party) (lca) (Modified on 8/3/2011 to correct typographical errors) (skh). 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