U.S. District Court Northern District of Texas (Dallas) CIVIL DOCKET FOR CASE #: 3:09-cv K

Transcription

1 US District Court Civil Docket as of June 10, 2013 Retrieved from the court on June 11, 2013 U.S. District Court Northern District of Texas (Dallas) CIVIL DOCKET FOR CASE #: 3:09-cv K Buettgen v. Harless et al Assigned to: Judge Ed Kinkeade Referred to: Magistrate Judge Paul D Stickney (Settlement) Cause: 15:78m(a) Securities Exchange Act Plaintiff Jan Buettgen on behalf of himself and all others similarly situated Date Filed: 04/30/2009 Date Terminated: 04/02/2013 Jury Demand: Plaintiff Nature of Suit: 850 Securities/Commodities Jurisdiction: Federal Question represented by Jamie Jean McKey Kendall Law Group LLP 3232 McKinney Avenue Suite 700 Dallas, TX / Fax: 214/ jmckey@kendalllawgroup.com LEAD ATTORNEY Debra J Wyman Robbins Geller Rudman & Dowd LLP 655 W Broadway Suite 1900 San Diego, CA / Fax: 619/ dwyman@rgrdlaw.com Hamilton Philip Lindley Deans & Lyons, LLP 325 N. Saint Paul St. Suite 1500 Dallas, TX Fax: hlindley@deanslyons.com TERMINATED: 06/15/2010

2 Roger L Mandel Lackey Hershman LLP 3102 Oak Lawn Suite 777 Dallas, TX Fax: rlm@lhlaw.net Thomas E Bilek The Bilek Law Firm LLP 808 Travis Suite 802 Houston, TX / Fax: 713/ tbilek@bileklaw.com Thomas J McKenna Gainey McKenna & Egleston 440 Park Avenue South 5th Floor New York, NY / Fax: 212/ tjmlaw2001@yahoo.com V. Consol Plaintiff John Heffner Individually and on Behalf of All Others Similary Situated represented by Roger F Claxton Claxton Law Firm N Central Expwy Suite 725 Dallas, TX / Fax: 214/ roger@claxtonlaw.com LEAD ATTORNEY Howard G Smith Law Office of Howard G Smith

3 3070 Bristol Pike Suite 112 Bensalem, PA / Fax: 215/ Kara M Wolke Glancy Binkow & Goldberg LLP 1925 Century Park East Suite 2100 Los Angeles, CA / karawolke@gmail.com Kevin F Ruf Glancy Binkow & Goldberg LLP 1801 Avenue of the Stars Suite 311 Los Angeles, CA / kevinruf@gmail.com Lionel Z Glancy Glancy Binkow & Goldberg LLP 1925 Century Park East Suite 2100 Los Angeles, CA / Fax: 310/ lglancy@glancylaw.com Michael Goldberg Glancy Binkow & Goldberg 1925 Century Park East Suite 2100 Los Angeles, CA / Fax: 310/ Robert V Prongay

4 Glancy Binkow & Goldberg LLP 1925 Century Park East Suite 2100 Los Angeles, CA / Consol Plaintiff Alan Goldberg on Behalf of Himself and All Others Similarly Situated represented by Hamilton Philip Lindley TERMINATED: 06/15/2010 LEAD ATTORNEY Joe Kendall Kendall Law Group LLP 3232 McKinney Avenue, Suite 700 Dallas, TX / Fax: 214/ Consol Plaintiff Wade L Jones represented by Richard Earl Walden Walden Law Firm PLLC 8201 Cantrell Road Suite 315 Little Rock, AR Fax: rwalden@waldenlawfirm.com LEAD ATTORNEY Eric F Leon Kirkland & Ellis LLP 601 Lexington Ave New York, NY / eric.leon@kirkland.com

5 V. Defendant Katherine J Harless represented by Dee J Kelly, Jr Kelly Hart & Hallman 201 Main St Suite 2500 Fort Worth, TX / Fax: 817/ FAX dee.kelly.2@khh.com LEAD ATTORNEY Andrew G Horne Kirkland & Ellis LLP 601 Lexington Ave New York, NY / andrew.horne@kirkland.com Eric F Leon Harriet Ellan Miers Locke Lord LLP 2200 Ross Avenue Suite 2200 Dallas, TX / Fax: 214/ hmiers@lockelord.com Jay P Lefkowitz Kirkland & Ellis LLP 601 Lexington Ave New York, NY / lefkowitz@kirkland.com

6 Kristin Sheffield-Whitehead Kirkland & Ellis LLP 601 Lexington Ave New York, NY / Marcus G Mungioli Kelly Hart & Hallman 201 Main Street Suite 2500 Fort Worth, TX / Fax: 817/ FAX marcus.mungioli@khh.com Matthew F Dexter Kirkland & Ellis LLP 601 Lexington Ave New York, NY / matthew.dexter@kirkland.com Seth Michael Roberts Locke Lord Bissell & Liddell LLP 2200 Ross Ave Suite 2200 Dallas, TX / Fax: 214/ sroberts@lockelord.com Defendant Andrew Coticchio represented by Dee J Kelly, Jr LEAD ATTORNEY

7 Andrew G Horne Eric F Leon Harriet Ellan Miers Jay P Lefkowitz Kristin Sheffield-Whitehead Marcus G Mungioli Matthew F Dexter Seth Michael Roberts Defendant Samuel D Jones represented by Dee J Kelly, Jr LEAD ATTORNEY

8 Andrew G Horne Eric F Leon Harriet Ellan Miers Jay P Lefkowitz Kristin Sheffield-Whitehead Marcus G Mungioli Matthew F Dexter Seth Michael Roberts Defendant Frank P. Gatto represented by Dee J Kelly, Jr LEAD ATTORNEY Andrew G Horne

9 Eric F Leon Harriet Ellan Miers Jay P Lefkowitz Kristin Sheffield-Whitehead Marcus G Mungioli Matthew F Dexter Seth Michael Roberts Defendant Scott W Klein represented by Dee J Kelly, Jr LEAD ATTORNEY Andrew G Horne

10 Eric F Leon Harriet Ellan Miers Jay P Lefkowitz Kristin Sheffield-Whitehead Marcus G Mungioli Matthew F Dexter Seth Michael Roberts V. Movant James Lyman represented by Roger L Mandel Movant

11 John Bennett Movant Aldan Ag Inc. Movant Kentucky State District Council of Carpenters Pension Trust Fund represented by Roger L Mandel represented by Roger F Claxton represented by Jamie Jean McKey LEAD ATTORNEY Craig Wallace Smith Robbins Arroyo LLP 600 B St Suite 1900 San Diego, CA (619) Fax: (619) notice@robbinsarroyo.com Debra J Wyman James E Barz Robbins Geller Rudman & Dowd LLP 655 W Broadway Suite 1900 San Diego, CA / Fax: 619/ jbarz@rgrdlaw.com Joe Kendall

12 Jonah H Goldstein Robbins Geller Rudman & Dowd LLP 655 W Broadway Suite 1900 San Diego, CA / Fax: 619/ jonahg@rgrdlaw.com Julia M Williams Robbins Umeda LLP 600 B Street Suite 1900 San Diego, CA / Fax: 619/ jwilliams@robbinsumeda.com Julie A Kearns Robbins Geller Rudman & Dowd LLP 655 W Broadway Suite 1900 San Diego, CA / Fax: 619/ jkearns@rgrdlaw.com Kelly M McIntyre Robbins Arroyo LLP 600 B St Suite 1900 San Diego, CA (619) Fax: (619) notice@robbinsarroyo.com Lauren Dana Martindale Robbins Geller Rudman & Dowd LLP 655 W Broadway Suite 1900 San Diego, CA 92101

13 619/ Fax: 619/ Lionel Z Glancy Movant the Buettgen Group Movant Movant Jack B. Corwin Movant represented by counsel represented by Scott E Poynter Emerson Poynter The Museum Center 500 President Clinton Ave Suite 305 Little Rock, AR / Fax: 501/ FAX scott@emersonpoynter.com LEAD ATTORNEY represented by Grant Cook The Cook Law Firm 5701 Woodway Suite 330 Houston, TX / Fax: 713/ gcook@cooklawonline.com LEAD ATTORNEY Mack Ed Swindle Whitaker Chalk Swindle & Schwartz PLLC 301 Commerce St Suite 3500 Fort Worth, TX / Fax: 817/ FAX mswindle@whitakerchalk.com Thomas F Harkins, Jr

14 Whitaker Chalk Swindle & Schwartz PLLC 301 Commerce Street, Suite 3500 Fort Worth, TX / Movant Kenneth F Werring Mediator ADR Provider TERMINATED: 12/30/2011 represented by Debra J Wyman represented by Nicholas H Politan Nicholas H Politan LLC 5 Becker Farm Rd Roseland, NJ TERMINATED: 12/30/2011 LEAD ATTORNEY Date Filed # Docket Text 04/30/ COMPLAINT WITH JURY DEMAND for Violations of Federal Securities Law against all defendants filed by Jan Buettgen. Summons(es) not requested at this time. (Filing fee $350; Receipt number ) (Bilek, Thomas) (Entered: 04/30/2009) 04/30/ CERTIFICATE OF INTERESTED PERSONS/DISCLOSURE STATEMENT by Jan Buettgen. (Bilek, Thomas) (Entered: 04/30/2009) 04/30/ NOTICE of Lawsuit and Request for Waiver of Service filed by Jan Buettgen (Bilek, Thomas) (Entered: 04/30/2009) 06/29/ ORDER of TRANSFER. This case is hereby TRANSFERRED to the docket of the honorable Ed Kinkeade for possible consolidation with a related case, assigned Civil Action Number 3:09-CV-0938-K. All future filings in this case should be filed under Civil Action Number 3:09-CV-0791-K. (Ordered by Judge Jorge A Solis on 6/29/09) (skt) (Entered: 06/30/2009) 07/01/ STIPULATION by Katherine J Harless, Andrew Coticchio, Samuel D Jones, Frank P. Gatto, Scott W Klein Extending Defendants' Time to Answer, Move or Otherwise Respond to Complaint. (Mungioli, Marcus) (Entered: 07/01/2009) 07/01/ ORDER CONSOLIDATING CASES: Member case(s) 3:09-cv-938 consolidated with lead case 3:09-cv-791. John Heffner rep by Michael Goldberg, Lionel Z Glancy, Roger F Claxton, Howard G Smith, and Alan Goldberg rep by Joe Kendall, Hamilton Lindley added to case pursuant to consolidation. (Ordered by Judge Ed Kinkeade on

15 7/1/09) (skt) (Entered: 07/06/2009) 07/07/ MOTION to Appoint Lead Plaintiffs and Approve Selection of Lead and Liaison Counsel filed by Jan Buettgen with Brief/Memorandum in Support. (Attachments: # 1 Memorandum of Law, # 2 Declaration of Thomas E. Bilek, # 3 Proposed order) (Bilek, Thomas) (Entered: 07/07/2009) 07/07/ MOTION for Appointment of Lead Plaintiff and Co-Lead Counsel filed by James Lyman, John Bennett (Mandel, Roger) (Entered: 07/07/2009) 07/07/ Brief/Memorandum in Support filed by James Lyman, John Bennett re 8 MOTION for Appointment of Lead Plaintiff and Co-Lead Counsel (Mandel, Roger) (Entered: 07/07/2009) 07/07/ ADDITIONAL ATTACHMENTS to 8 MOTION for Appointment of Lead Plaintiff and Co-Lead Counsel, 9 Brief/Memorandum in Support of Motion by Movants James Lyman, John Bennett. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3, # 4 Exhibit 4, # 5 Exhibit 5, # 6 Exhibit 6, # 7 Exhibit 7) (Mandel, Roger) (Entered: 07/07/2009) 07/07/ MOTION to Appoint Counsel and Appointment as Lead Plaintiff filed by Aldan Ag Inc. (Claxton, Roger) (Entered: 07/07/2009) 07/07/ Brief/Memorandum in Support filed by Aldan Ag Inc. re 11 MOTION to Appoint Counsel and Appointment as Lead Plaintiff (Claxton, Roger) (Entered: 07/07/2009) 07/07/ Appendix in Support filed by Aldan Ag Inc. re 11 MOTION to Appoint Counsel and Appointment as Lead Plaintiff, 12 Brief/Memorandum in Support of Motion (Claxton, Roger) (Entered: 07/07/2009) 07/07/ /23/ MOTION to Appoint Counsel and Appoint Lead Plaintiff filed by Kentucky State District Council of Carpenters Pension Trust Fund with Brief/Memorandum in Support. (Attachments: # 1 Memorandum of Points and Authorities in Support, # 2 Appendix, # 3 Exhibit A to Appendix, # 4 Exhibit B to Appendix, # 5 Exhibit C to Appendix, # 6 Exhibit D to Appendix, # 7 Exhibit E to Appendix, # 8 Text of Proposed Order) (Kendall, Joe) (Entered: 07/07/2009) 15 Unopposed Motion for Extension of Time to File Answer, Move or Otherwise Respond to Complaint filed by Katherine J Harless, Andrew Coticchio, Samuel D Jones, Frank P. Gatto, Scott W Klein. (Mungioli, Marcus). (Entered: 07/23/2009) 07/27/ RESPONSE in Opposition filed by James Lyman, John Bennett re 11 MOTION to Appoint Counsel and Appointment as Lead Plaintiff, 14 MOTION to Appoint Counsel and Appoint Lead Plaintiff, 7 MOTION to Appoint Lead Plaintiffs and Approve Selection of Lead and Liaison Counsel (Mandel, Roger) (Entered: 07/27/2009) 07/27/ RESPONSE in Opposition filed by Aldan Ag Inc. Response to Competing Motions for Lead Plaintiff and in Support of Aldan's Motion for Appointment (Attachments: # 1 Appendix In Support of Aldan AG's Brief in Further Support of Appointment as Lead Plaintiff and in Opposition to Competing Motions for Lead Plaintiff) (Claxton, Roger) (Entered: 07/27/2009) 07/27/ RESPONSE in Opposition filed by Jan Buettgen to Competing Motions and in Further Support of the Buettgen Group's Motion to Appoint Lead Plaintiffs and Approve

16 Selection of Lead and Liaison Counsel (Bilek, Thomas) (Entered: 07/27/2009) 07/27/ RESPONSE filed by Kentucky State District Council of Carpenters Pension Trust Fund re 11 MOTION to Appoint Counsel and Appointment as Lead Plaintiff, 7 MOTION to Appoint Lead Plaintiffs and Approve Selection of Lead and Liaison Counsel, 8 MOTION for Appointment of Lead Plaintiff and Co-Lead Counsel (Kendall, Joe) (Entered: 07/27/2009) 08/10/ Unopposed MOTION to Extend Time to File Motion for Class Certification filed by James Lyman and John W Bennett (Mandel, Roger) Modified on 8/10/2009 (jrb). (Entered: 08/10/2009) 08/11/ Movants REPLY to Oppositions to Competing Motions re: 11 MOTION to Appoint Counsel and Appointment as Lead Plaintiff, 14 MOTION to Appoint Counsel and Appoint Lead Plaintiff, 7 MOTION to Appoint Lead Plaintiffs and Approve Selection of Lead and Liaison Counsel filed by James Lyman, John Bennett (Mandel, Roger) (Entered: 08/11/2009) 08/11/ REPLY Memorandum in Further Support re: 7 MOTION to Appoint Lead Plaintiffs and Approve Selection of Lead and Liaison Counsel filed by Jan Buettgen (Attachments: # 1 Declaration with exhibits) (Bilek, Thomas) (Entered: 08/11/2009) 08/11/ REPLY in Further Support of Motion for Appointment As Lead Counsel and Approval of Lead Plaintiff's Selection of Lead Counsel and In Further Opposition to Competing Motions re: 11 MOTION to Appoint Counsel and Appointment as Lead Plaintiff filed by Aldan Ag Inc. (Claxton, Roger) (Entered: 08/11/2009) 08/11/ REPLY re: 14 MOTION to Appoint Counsel and Appoint Lead Plaintiff filed by Kentucky State District Council of Carpenters Pension Trust Fund (Kendall, Joe) (Entered: 08/11/2009) 08/11/ Appendix in Support filed by Aldan Ag Inc. re 11 MOTION to Appoint Counsel and Appointment as Lead Plaintiff and in Further Opposition to Competing Motions (Claxton, Roger) (Entered: 08/11/2009) 08/19/ NOTICE of Transfer filed by Jan Buettgen (Attachments: # 1 Exhibit A) (Bilek, Thomas) (Entered: 08/19/2009) 08/20/ ORDER granting 20 Unopposed MOTION to Extend Time to File Motion for Class Certification. The deadline to file the Motion for Class Certification pursuant to Northern District of Texas Rule 23.2 is hereby vacated until such date set forth in the Case Management Order that the parties anticipate will be entered after the Court's appointment of Lead Plaintiff(s). (Ordered by Judge Ed Kinkeade on 8/20/09) (skt) (Entered: 08/24/2009) 08/20/ ORDER granting 15 Defendants Unopposed Motion Extending Defendants' Time to Answer, Move or Otherwise Respond to Complaint. (See Order) (Ordered by Judge Ed Kinkeade on 8/20/09) (skt) (Entered: 08/24/2009) 08/24/ NOTICE of Filing of Supplemental Declarations filed by Jan Buettgen (Bilek, Thomas) (Entered: 08/24/2009) 09/30/ ORDER CONSOLIDATING CASES: Member case(s) 3:09cv1552 consolidated with lead case 3:09cv731. See Order. (Ordered by Judge Ed Kinkeade on 9/30/09) (svc)

17 (Entered: 10/01/2009) 11/09/ Memorandum Opinion and Order denying 11 Motion to Appoint Counsel filed by Aldan Ag Inc., granting 14 Motion to Appoint Counsel, filed by Kentucky State District Council of Carpenters Pension Trust Fund, denying 7 Motion for Miscellaneous Relief, filed by Jan Buettgen, denying 8 Motion for Miscellaneous Relief filed by John Bennett, James Lyman. See order for specifics. (Ordered by Judge Ed Kinkeade on 11/9/09) (jrb) (Entered: 11/10/2009) 11/17/ Unopposed MOTION to Set the Schedule for Filing the consolidated Complaint and Motion to Dismiss Briefing filed by Jan Buettgen (Attachments: # 1 Text of Proposed Order) (Lindley, Hamilton) (Entered: 11/17/2009) 11/18/ Application for Admission Pro Hac Vice of Attorney Debra J. Wyman (Filing fee $25; Receipt number ) filed by Kentucky State District Council of Carpenters Pension Trust Fund (Attachments: # 1 Certificate of Good Standing) (Wyman, Debra) (Entered: 11/18/2009) 11/19/ MOTION to Alter Judgment Appointing Kentucky State District Council of Carpenters Pension Trust Fund as Lead Plaintiff filed by James Lyman with Brief/Memorandum in Support. (Mandel, Roger) (Entered: 11/19/2009) 11/20/ ORDER granting 32 Unopposed MOTION to Set the Schedule for Filing the consolidated Complaint and Motion to Dismiss Briefing. (see order for specifics) (Ordered by Judge Ed Kinkeade on 11/20/09) (tln) (Entered: 11/23/2009) 11/20/ ORDER granting 33 Application for Admission Pro Hac Vice. Clerk shall deposit application fee to the Non-Appropriated Fund of this Court. If not already done, Applicant must register as an ECF User within 10 days (LR 5.1(f)). (Ordered by Judge Ed Kinkeade on 11/20/09) (svc) (Entered: 11/24/2009) 11/23/ Application for Admission Pro Hac Vice of Attorney Julie Anna Kearns (Filing fee $25; Receipt number ) filed by Kentucky State District Council of Carpenters Pension Trust Fund (Attachments: # 1 Certificate of Good Standing) (Kearns, Julie) (Entered: 11/23/2009) 11/24/ ORDER granting 36 Application for Admission Pro Hac Vice for Julie Anna Kearns. Clerk shall deposit application fee to the Non-Appropriated Fund of this Court. If not already done, Applicant must register as an ECF User within 10 days (LR 5.1(f)). (Ordered by Judge Ed Kinkeade on 11/24/09) (svc) (Entered: 11/25/2009) 12/09/ Memorandum of Law filed by Kentucky State District Council of Carpenters Pension Trust Fund re: 34 MOTION to Alter Judgment Appointing Kentucky State District Council of Carpenters Pension Trust Fund as Lead Plaintiff (Kendall, Joe) Modified on 12/10/2009 (mfw). (Entered: 12/09/2009) 12/22/ Reply Memorandum of Law in Support filed by James Lyman re 34 MOTION to Alter Judgment Appointing Kentucky State District Council of Carpenters Pension Trust Fund as Lead Plaintiff. (Mandel, Roger) Modified on 12/23/2009 (klm). (Entered: 12/22/2009) 01/07/ Application for Admission Pro Hac Vice of Attorney Craig W. Smith (Filing fee $25; Receipt number ) filed by Kentucky State District Council of Carpenters Pension Trust Fund (Smith, Craig) (Entered: 01/07/2010)

18 01/07/ Application for Admission Pro Hac Vice of Attorney Kelly M. McIntyre (Filing fee $25; Receipt number ) filed by Kentucky State District Council of Carpenters Pension Trust Fund (McIntyre, Kelly) (Entered: 01/07/2010) 01/08/ Unopposed MOTION to Amend the Schedule for Filing the Consolidated Complaint and Motion to Dismiss Briefing filed by Kentucky State District Council of Carpenters Pension Trust Fund (Attachments: # 1 Text of Proposed Order) (Wyman, Debra) (Entered: 01/08/2010) 01/12/ NOTICE of Change of Address by Joe Kendall, counsel for Jan Buettgen. New address is: for Dyer & Berens LLP, 303 East 17th Avenue, Suite 300, Denver, CO (Kendall, Joe) (Entered: 01/12/2010) 01/12/ ELECTRONIC ORDER granting 41 Application for Admission Pro Hac Vice. Clerk shall deposit application fee to the Non-Appropriated Fund of this Court. If not already done, Applicant must register as an ECF User within 14 days (LR 5.1(f)). (Ordered by Judge Ed Kinkeade on 1/12/2010) (rrj) (Entered: 01/12/2010) 01/12/ ELECTRONIC ORDER granting 42 Application for Admission Pro Hac Vice (Kelly M. McIntyre). Clerk shall deposit application fee to the Non-Appropriated Fund of this Court. If not already done, Applicant must register as an ECF User within 14 days (LR 5.1(f)). (Ordered by Judge Ed Kinkeade on 1/12/2010) (rrj) (Entered: 01/12/2010) 01/12/ ORDER denying 34 Motion to Alter or Amend the Court's November 9, 2009 Order Appointing Kentucky State District Council of Carpenters Pension Trust Fund as Lead Plaintiff. (see order) (Ordered by Judge Ed Kinkeade on 1/12/2010) (tln) (Entered: 01/13/2010) 01/12/ ORDER granting 43 Motion for Extension of Time to Amend the Schedule for Filing the Consolidated Complaint and Motion to Dismiss Briefing. Consolidated Complaint due by 2/11/2010. Motions due by 3/12/2010. Replies due by 5/3/2010. Responses ( opposition (2) to Defendants' motion(s) to dismiss) due by 4/12/2010. (see order) (Ordered by Judge Ed Kinkeade on 1/12/2010) (tln) (Entered: 01/13/2010) 01/13/ NOTICE of Firm Change of Address by Roger L Mandel, counsel for Jan Buettgen, Alan Goldberg. New address is: 303 East 17th Avenue, Suite 300, Denver, CO (Mandel, Roger) Modified on 1/13/2010 (axm). (Entered: 01/13/2010) 01/19/ Application for Admission Pro Hac Vice of Attorney Matthew F. Dexter (Filing fee $25; Receipt number 37623) filed by Katherine J Harless, Andrew Coticchio, Samuel D Jones, Frank P. Gatto, Scott W Klein (klm) (Entered: 01/21/2010) 01/19/ Application for Admission Pro Hac Vice of Attorney Eric F. Leon (Filing fee $25; Receipt number 37264) filed by Wade L Jones, Katherine J Harless, Andrew Coticchio, Frank P. Gatto, Scott W Klein. (klm) (Entered: 01/21/2010) 01/22/ ELECTRONIC ORDER granting 50 Application for Admission Pro Hac Vice (Matthew F. Dexter). Clerk shall deposit application fee to the Non-Appropriated Fund of this Court. If not already done, Applicant must register as an ECF User within 14 days (LR 5.1(f)). (Ordered by Judge Ed Kinkeade on 1/22/2010) (rrj) (Entered: 01/22/2010) 01/22/ ELECTRONIC ORDER granting 51 Application for Admission Pro Hac Vice (Eric F. Leon). Clerk shall deposit application fee to the Non-Appropriated Fund of this Court.

19 If not already done, Applicant must register as an ECF User within 14 days (LR 5.1(f)). (Ordered by Judge Ed Kinkeade on 1/22/2010) (rrj) (Entered: 01/22/2010) 02/02/ Received letter from USCA5 re petition for writ of mandamus. (axm) (Entered: 02/03/2010) 02/11/ AMENDED COMPLAINT WITH JURY DEMAND Consolidated Class Action Complaint for Violations of the Federal Securities Laws and Jury Demand against all defendants filed by Kentucky State District Council of Carpenters Pension Trust Fund. (Attachments: # 1 Exhibit A - Certification, # 2 Exhibit B - Tax Sharing Agreement) (Wyman, Debra) (Entered: 02/11/2010) 02/23/ USCA5 Order denying Petition for Writ of Mandamus. (See Order) (skt) (Entered: 02/24/2010) 02/24/ Unopposed MOTION to Extend Time For the Parties' Motion to Dismiss Briefing Schedule and Request for Leave to Exceed Page Limits filed by Katherine J Harless I (Mungioli, Marcus) (Entered: 02/24/2010) 03/01/ ORDER setting deadlines as to Motion to Dismiss. Responses due by 5/27/2010; Replies due by 6/25/2010; Dispositive Motions due by 4/12/2010; granting 57 Unopposed MOTION to Extend Time For the Parties' Motion to Dismiss Briefing Schedule and Request for Leave to Exceed Page Limits filed by Katherine J Harless. (Ordered by Judge Ed Kinkeade on 3/1/2010) (klm) (Entered: 03/02/2010) 03/23/ NOTICE OF FIRM NAME CHANGE filed by Kentucky State District Council of Carpenters Pension Trust Fund (Wyman, Debra) (Entered: 03/23/2010) 04/12/ MOTION to Dismiss The Consolidated Amended Class Action Complaint filed by Katherine J Harless, Andrew Coticchio, Samuel D Jones, Frank P. Gatto, Scott W Klein with Brief/Memorandum in Support. (Kelly, Dee) (Entered: 04/12/2010) 04/12/ Appendix in Support filed by Katherine J Harless, Andrew Coticchio, Samuel D Jones, Frank P. Gatto, Scott W Klein re 60 MOTION to Dismiss The Consolidated Amended Class Action Complaint (Attachments: # 1 Appendix 1-323, # 2 Appendix ) (Kelly, Dee) (Entered: 04/12/2010) 04/23/ MOTION to Stay Discovery in State Court Action Corwin et al v. Klein et al filed by Andrew Coticchio, Frank P. Gatto, Katherine J Harless, Samuel D Jones, Scott W Klein with Brief/Memorandum in Support. (Kelly, Dee) (Entered: 04/23/2010) 04/23/ Appendix in Support filed by Andrew Coticchio, Frank P. Gatto, Katherine J Harless, Samuel D Jones, Scott W Klein re 62 MOTION to Stay Discovery in State Court Action Corwin et al v. Klein et al (Attachments: # 1 Exhibit(s)) (Kelly, Dee) (Entered: 04/23/2010) 05/12/ /12/ RESPONSE filed by Jack B. Corwin re: 62 MOTION to Stay Discovery in State Court Action Corwin et al v. Klein et al (Swindle, Mack) (Entered: 05/12/2010) 65 Appendix in Support filed by Jack B. Corwin re 64 Response/Objection to Defendant's Motion to Stay Discovery in State Court Action (Swindle, Mack) (Entered: 05/12/2010) 05/26/ REPLY filed by Andrew Coticchio, Frank P. Gatto, Katherine J Harless, Samuel D

20 Jones, Scott W Klein re: 62 MOTION to Stay Discovery in State Court Action Corwin et al v. Klein et al (Mungioli, Marcus) (Entered: 05/26/2010) 05/27/ MOTION to Strike or, in the Alternative, to Convert Defendants' Motion to Dismiss into a Motion for Summary Judgment filed by Kentucky State District Council of Carpenters Pension Trust Fund with Brief/Memorandum in Support. (Attachments: # 1 Memorandum of Law in Support of Motion to Strike, # 2 Declaration(s) in Support of Memorandum of Law in Support of Motion to Strike, # 3 Proposed Order Granting Motion to Srike) (Wyman, Debra) (Entered: 05/27/2010) 05/27/ RESPONSE AND OBJECTION filed by Kentucky State District Council of Carpenters Pension Trust Fund re: 60 MOTION to Dismiss The Consolidated Amended Class Action Complaint (Wyman, Debra) (Entered: 05/27/2010) 05/28/ MOTION for Leave to File Sur-Reply re 62 Motion to Stay Discovery in State Court I Action with Brief in Support filed by Jack B. Corwin with Brief/Memorandum in Support. (Harkins, Thomas) Modified on 6/1/2010 (axm). (Entered: 05/28/2010) 06/04/ Unopposed MOTION to Extend Time to File Briefing on Plaintiff's Motion to Strike filed by Andrew Coticchio, Frank P. Gatto, Katherine J Harless, Samuel D Jones, Scott W Klein (Mungioli, Marcus) (Entered: 06/04/2010) 06/07/ ELECTRONIC ORDER granting 70 Motion to Extend Time. Defendant's Responses due by 6/25/2010. Plaintiff's Replies due by 7/16/2010. The shall be no further extensions of this deadline. (Ordered by Judge Ed Kinkeade on 6/7/2010) (chmb) (Entered: 06/07/2010) 06/08/2010 ***Clerk's Notice of delivery: (see NEF for details) Docket No:71. Tue Jun 8 08:05:08 CDT 2010 (crt) (Entered: 06/08/2010) 06/15/ Unopposed MOTION to Withdraw and Substitute Attorney Hamilton Lindley filed by Kentucky State District Council of Carpenters Pension Trust Fund. (Attachments: # 1 Proposed Order) (Kendall, Joe) Modified on 6/16/2010 (mfw). (Entered: 06/15/2010) 06/15/ ORDER granting 72 Motion to Withdraw and Substitute Attorney Hamilton Lindley. Attorney Hamilton Lindley terminated. (see order) (Ordered by Judge Ed Kinkeade on 6/15/2010) (axm) (Entered: 06/16/2010) 06/16/2010 ***Clerk's Notice of delivery: (see NEF for details) Docket No:73. Wed Jun 16 12:27:10 CDT 2010 (crt) (Entered: 06/16/2010) 06/24/ REPLY filed by Andrew Coticchio, Frank P. Gatto, Katherine J Harless, Samuel D Jones, Scott W Klein re: 60 MOTION to Dismiss The Consolidated Amended Class Action Complaint (Kelly, Dee) (Entered: 06/24/2010) 06/24/ Appendix in Support filed by Andrew Coticchio, Frank P. Gatto, Katherine J Harless, Samuel D Jones, Scott W Klein re 60 MOTION to Dismiss The Consolidated Amended Class Action Complaint (Supplemental) (Kelly, Dee) (Entered: 06/24/2010) 06/25/ RESPONSE filed by Andrew Coticchio, Frank P. Gatto, Katherine J Harless, Samuel D Jones, Scott W Klein re: 67 MOTION to Strike or, in the Alternative, to Convert Defendants' Motion to Dismiss into a Motion for Summary Judgment (Kelly, Dee) (Entered: 06/25/2010)

21 06/25/ Memorandum Opinion and Order granting 62 Defendants' Motion to Stay Discovery; denying 69 Motion for Extension of Time to File Response/Reply. (see order) (Ordered by Judge Ed Kinkeade on 6/25/2010) (axm) (Entered: 06/28/2010) 06/28/2010 ***Clerk's Notice of delivery: (see NEF for details) Docket No:77. Mon Jun 28 10:37:30 CDT 2010 (crt) (Entered: 06/28/2010) 07/06/ MOTION for Reconsideration re 77 Memorandum Opinion and Order filed by Jack B. Corwin with Brief/Memorandum in Support. (Attachments: # 1 Exhibit(s), # 2 Proposed Order) (Cook, Grant) (Entered: 07/06/2010) 07/16/ REPLY filed by Kentucky State District Council of Carpenters Pension Trust Fund re: 67 MOTION to Strike or, in the Alternative, to Convert Defendants' Motion to Dismiss into a Motion for Summary Judgment (Kearns, Julie) (Entered: 07/16/2010) 07/23/ RESPONSE filed by Andrew Coticchio, Frank P. Gatto, Katherine J Harless, Samuel D Jones, Scott W Klein re: 78 MOTION for Reconsideration re 77 Memorandum Opinion and Order (Mungioli, Marcus) (Entered: 07/23/2010) 08/02/ /11/ /11/ /12/ REPLY filed by Jack B. Corwin re: 78 MOTION for Reconsideration re 77 Memorandum Opinion and Order (Cook, Grant) (Entered: 08/02/2010) 82 ORDER denying 60 Motion to Dismiss and denying 67 Motion to Strike. (Ordered by Judge Ed Kinkeade on 8/11/2010) (mcr) (Entered: 08/12/2010) 83 ORDER denying 78 Motion for Partial Reconsideration and Amendment. (Ordered by Judge Ed Kinkeade on 8/11/2010) (mcr) (Entered: 08/12/2010) 84 ORDER REQUIRING SCHEDULING CONFERENCE AND REPORT FOR CONTENTS OF SCHEDULING ORDER. The Joint Report shall be filed no later than 10 days from the date of the scheduling conference. (see order) (Ordered by Judge Ed Kinkeade on 8/12/2010) (mcr) (Entered: 08/12/2010) 09/02/ Defendants' ANSWER to 55 Amended Complaint, filed by Andrew Coticchio, Frank P. Gatto, Katherine J Harless, Samuel D Jones, Scott W Klein (Kelly, Dee) (Entered: 09/02/2010) 09/10/ Proposal for contents of scheduling and discovery order Joint Report of Parties' Scheduling Conference by Kentucky State District Council of Carpenters Pension Trust Fund. (Wyman, Debra) (Entered: 09/10/2010) 09/21/ CLASS CERTIFICATION SCHEDULING ORDER: Until such time as the Court rules on plaintiffs motion for class discovery this case will be administratively closed. (see order) (Ordered by Judge Ed Kinkeade on 9/21/2010) (axm) (Entered: 09/22/2010) 10/18/ Application for Admission Pro Hac Vice with Cert. of Good Standing for Attorney Kristin Sheffield-Whitehead (Filing fee $25; Receipt number ) filed by Andrew Coticchio, Frank P. Gatto, Katherine J Harless, Samuel D Jones, Scott W Klein (Mungioli, Marcus) (Entered: 10/18/2010) 10/19/ ELECTRONIC ORDER granting 88 Application for Admission Pro Hac Vice of Kristin Sheffield-Whitehead. Clerk shall deposit application fee to the Non- Appropriated Fund of this Court. If not already done, Applicant must register as an

22 ECF User within 14 days (LR 5.1(f)). (Ordered by Judge Ed Kinkeade on 10/19/2010) (chmb) (Entered: 10/19/2010) 10/20/ STIPULATION and [Proposed] Protective Order by Kentucky State District Council of Carpenters Pension Trust Fund. (Wyman, Debra) (Entered: 10/20/2010) 10/25/ Application for Admission Pro Hac Vice with Cert. of Good Standing for Attorney Lionel Z. Glancy (Filing fee $25; Receipt number ) filed by John Heffner (Attachments: # 1 Exhibit(s) Lionel Z. Glancy Certificate of Good Standing, # 2 Proposed Order for Admission Pro Hac Vice) (Glancy, Lionel) (Entered: 10/25/2010) 10/26/ ELECTRONIC ORDER granting 91 Application for Admission Pro Hac Vice of Lionel Z. Glancy. Clerk shall deposit application fee to the Non-Appropriated Fund of this Court. If not already done, Applicant must register as an ECF User within 14 days (LR 5.1(f)). (Ordered by Judge Ed Kinkeade on 10/26/2010) (chmb) (Entered: 10/26/2010) 10/26/ STIPULATION AND PROTECTIVE ORDER (see order.) (Ordered by Judge Ed Kinkeade on 10/26/2010) (twd) (Entered: 10/26/2010) 11/01/ MOTION to Certify Class filed by Kentucky State District Council of Carpenters Pension Trust Fund, Kenneth F Werring with Brief/Memorandum in Support. (Attachments: # 1 Memorandum of Law in Support of Plaintiff's Motion for Class Certification, # 2 Exhibit(s) App.1-286, # 3 Proposed Order). Party Kenneth F. Werring added. (Wyman, Debra) (Entered: 11/01/2010) 11/02/ Application for Admission Pro Hac Vice with Cert. of Good Standing for Attorney Robert V. Prongay (Filing fee $25; Receipt number ) filed by John Heffner (Attachments: # 1 Certificate of Good Standing, # 2 Proposed Order) (Glancy, Lionel) (Entered: 11/02/2010) 11/02/ ELECTRONIC ORDER granting 95 Application for Admission Pro Hac Vice of Robert V. Prongay. Clerk shall deposit application fee to the Non-Appropriated Fund of this Court. If not already done, Applicant must register as an ECF User within 14 days (LR 5.1(f)). (Ordered by Judge Ed Kinkeade on 11/2/2010) (chmb) (Entered: 11/02/2010) 12/15/ Application for Admission Pro Hac Vice with Cert. of Good Standing for Attorney Kevin F. Ruf (Filing fee $25; Receipt number ) filed by John Heffner (Attachments: # 1 Certificate of Good Standing, # 2 Proposed Order) (Glancy, Lionel) (Entered: 12/15/2010) 12/16/ ELECTRONIC ORDER granting 97 Application for Admission Pro Hac Vice of Kevin F. Ruf. Clerk shall deposit application fee to the Non-Appropriated Fund of this Court. If not already done, Applicant must register as an ECF User within 14 days (LR 5.1(f)). (Ordered by Judge Ed Kinkeade on 12/16/2010) (chmb) (Entered: 12/16/2010) 01/04/ Application for Admission Pro Hac Vice with Cert. of Good Standing for Attorney Lauren Dana Westberg (Filing fee $25; Receipt number ) filed by Kentucky State District Council of Carpenters Pension Trust Fund (Attachments: # 1 Certificate of Good Standing) (Westberg, Lauren) (Entered: 01/04/2011) 01/05/ ELECTRONIC ORDER granting 99 Application for Admission Pro Hac Vice of

23 Lauren Dana Westberg. Clerk shall deposit application fee to the Non-Appropriated Fund of this Court. If not already done, Applicant must register as an ECF User within 14 days (LR 5.1(f)). (Ordered by Judge Ed Kinkeade on 1/5/2011) (chmb) (Entered: 01/12/2011) 01/14/ RESPONSE filed by Andrew Coticchio, Frank P. Gatto, Katherine J Harless, Samuel D Jones, Scott W Klein re: 94 MOTION to Certify Class (Mungioli, Marcus) (Entered: 01/14/2011) 01/14/ Appendix in Support filed by Andrew Coticchio, Frank P. Gatto, Katherine J Harless, Samuel D Jones, Scott W Klein re 101 Response/Objection to Plaintiffs' Motion for Class Certification (Attachments: # 1 Additional Page(s) 3-67, # 2 Additional Page(s) , # 3 Additional Page(s) , # 4 Additional Page(s) , # 5 Additional Page(s) , # 6 Additional Page(s) , # 7 Additional Page(s) , # 8 Additional Page(s) , # 9 Additional Page(s) , # 10 Additional Page(s) , # 11 Additional Page(s) , # 12 Additional Page(s) , # 13 Additional Page(s) , # 14 Additional Page(s) , # 15 Additional Page(s) , # 16 Additional Page(s) , # 17 Additional Page(s) , # 18 Additional Page(s) , # 19 Additional Page(s) , # 20 Additional Page(s) , # 21 Additional Page(s) ) (Mungioli, Marcus) (Entered: 01/14/2011) 02/25/ REPLY filed by Kentucky State District Council of Carpenters Pension Trust Fund, Kenneth F Werring re: 94 MOTION to Certify Class (Wyman, Debra) (Entered: 02/25/2011) 02/25/ Appendix in Support filed by Kentucky State District Council of Carpenters Pension Trust Fund, Kenneth F Werring re 103 Reply Memorandum of Law in Further Support of Their Motion for Class Certification (Attachments: # 1 Additional Page(s) App. 5 - App. 115, # 2 Additional Page(s) App App. 185, # 3 Additional Page(s) App App. 211, # 4 Additional Page(s) App App. 230, # 5 Additional Page(s) App App. 295) (Wyman, Debra) (Entered: 02/25/2011) 03/10/ MOTION to Strike 103 Reply or In the Alternative MOTION For Leave to File A Surreply in Opposition to Plaintiffs' Motion for Class Certification filed by Andrew Coticchio, Frank P. Gatto, Katherine J Harless, Samuel D Jones, Scott W Klein with Brief/Memorandum in Support. (Attachments: # 1 Exhibit(s) Surreply in Opposition to Plaintiffs' Motion for Class Certification) (Kelly, Dee). Added MOTION for Leave to File Surreply on 4/1/2011 (anf). (Entered: 03/10/2011) 03/14/ Copy of Letter to Kathryn Scoville/Julie Kearns re Proof of Service. (dnc) (Entered: 03/15/2011) 03/28/ Application for Admission Pro Hac Vice with Cert. of Good Standing for Attorney James E. Barz (Filing fee $25; Receipt number ) filed by Kentucky State District Council of Carpenters Pension Trust Fund (Attachments: # 1 Certificate of Admission, # 2 Proposed Order) (Barz, James) (Entered: 03/28/2011) 03/31/ RESPONSE AND OBJECTION filed by Kentucky State District Council of Carpenters Pension Trust Fund, Kenneth F Werring re: 105 MOTION to Strike 103 Reply or In the Alternative For Leave to File A Surreply in Opposition to Plaintiffs' Motion for Class Certification (Wyman, Debra) (Entered: 03/31/2011)

24 04/05/ ELECTRONIC ORDER granting 107 Application for Admission Pro Hac Vice of James E. Barz. Clerk shall deposit application fee to the Non-Appropriated Fund of this Court. If not already done, Applicant must register as an ECF User within 14 days (LR 5.1(f)). (Ordered by Judge Ed Kinkeade on 4/5/2011) (chmb) (Entered: 04/05/2011) 04/14/ REPLY filed by Andrew Coticchio, Frank P. Gatto, Katherine J Harless, Samuel D Jones, Scott W Klein re: 105 MOTION to Strike 103 Reply or In the Alternative For Leave to File A Surreply in Opposition to Plaintiffs' Motion for Class Certification. (Mungioli, Marcus) (Entered: 04/14/2011) 05/04/ MOTION to Compel the Production of Documents by Defendants and Third Party SuperMedia filed by Kentucky State District Council of Carpenters Pension Trust Fund, Jack B. Corwin with Brief/Memorandum in Support. (Attachments: # 1 Memorandum of Law in Support of Motion to Compel, # 2 Proposed Order) (Wyman, Debra) (Entered: 05/04/2011) 05/04/ Appendix in Support filed by Kentucky State District Council of Carpenters Pension Trust Fund,Jack B. Corwin re 111 MOTION to Compel the Production of Documents by Defendants and Third Party SuperMedia (Attachments: # 1 Additional Page(s) ) (Wyman, Debra) (Entered: 05/04/2011) 05/19/ Memorandum Opinion and Order: 94 Motion for Class Certification is GRANTED; 105 Motion to Strike or, in the Alternative, for Leave to File a Surreply is DENIED as moot. (Ordered by Judge Ed Kinkeade on 5/19/2011) (mcr) (Entered: 05/20/2011) 05/25/ RESPONSE filed by Andrew Coticchio, Frank P. Gatto, Katherine J Harless, Samuel D Jones, Scott W Klein re: 111 MOTION to Compel the Production of Documents by Defendants and Third Party SuperMedia (Mungioli, Marcus) (Entered: 05/25/2011) 05/25/ Appendix in Support filed by Andrew Coticchio, Frank P. Gatto, Katherine J Harless, Samuel D Jones, Scott W Klein re 114 Response/Objection to Plaintiffs' Motion to Compel the Production of Documents by Defendants and Third Party SuperMedia (Mungioli, Marcus) (Entered: 05/25/2011) 05/26/ MOTION to Compel filed by Andrew Coticchio, Frank P. Gatto, Katherine J Harless, Samuel D Jones, Scott W Klein with Brief/Memorandum in Support. (Attachments: # 1 Memorandum In Support of Defendants' Motion to Compel) (Mungioli, Marcus) (Entered: 05/26/2011) 05/26/ Appendix in Support filed by Andrew Coticchio, Frank P. Gatto, Katherine J Harless, Samuel D Jones, Scott W Klein re 116 MOTION to Compel (Mungioli, Marcus) (Entered: 05/26/2011) 05/27/ Application for Admission Pro Hac Vice with Cert. of Good Standing for Attorney Julia M. Williams (Filing fee $25; Receipt number ) filed by Kentucky State District Council of Carpenters Pension Trust Fund (Attachments: # 1 Proposed Order for Admission Pro Hac Vice, # 2 Exhibit(s) Certificate of Good Standing) (Williams, Julia) (Entered: 05/27/2011) 05/31/ ELECTRONIC ORDER granting 118 Application for Admission Pro Hac Vice of Julia M. Williams. Clerk shall deposit application fee to the Non-Appropriated Fund of this Court. If not already done, Applicant must register as an ECF User within 14

25 days (LR 5.1(f)). (Ordered by Judge Ed Kinkeade on 5/31/2011) (chmb) (Entered: 05/31/2011) 06/08/ REPLY filed by Kentucky State District Council of Carpenters Pension Trust Fund, Kenneth F Werring re: 111 MOTION to Compel the Production of Documents by Defendants and Third Party SuperMedia (Wyman, Debra) (Entered: 06/08/2011) 06/08/ Appendix in Support filed by Kentucky State District Council of Carpenters Pension Trust Fund, Kenneth F Werring re 120 Reply to Motion to Compel the Production of Documents by Defendants and Third Party SuperMedia (Wyman, Debra) (Entered: 06/08/2011) 06/09/ ORDER OF REFERENCE: 116 Motion to Compel Discovery, 111 Notice of Motion to Compel the Production of Documents are referred to Magistrate Judge Irma C Ramirez. (Ordered by Judge Ed Kinkeade on 6/9/2011) (twd) (Entered: 06/10/2011) 06/10/ NOTICE of Change of Address for Attorney Thomas J McKenna on behalf of Jan Buettgen. (McKenna, Thomas) (Entered: 06/10/2011) 06/13/ ORDER setting deadline as to 111 Motion to Compel the Production of Documents by Defendants and Third Party SuperMedia. Motion Hearing set for 6/22/ :00 AM before Magistrate Judge Irma C Ramirez. (Ordered by Magistrate Judge Irma C Ramirez on 6/13/2011) (axm) (Entered: 06/13/2011) 06/13/ ORDER setting deadlines as to 116 Motion to Compel. Responses due by 6/16/2011. Replies due by 6/23/2011. Motion Hearing set for 6/30/ :30 AM before Magistrate Judge Irma C Ramirez. (Ordered by Magistrate Judge Irma C Ramirez on 6/13/2011) (axm) (Entered: 06/13/2011) 06/15/ Agreed MOTION to Reschedule Motion to Compel Hearing Set for June 22, 2011 filed by Aldan Ag Inc., John Bennett, Jan Buettgen, Jack B. Corwin, Andrew Coticchio, Frank P. Gatto, Alan Goldberg, Katherine J Harless, John Heffner, Samuel D Jones, Wade L Jones, Kentucky State District Council of Carpenters Pension Trust Fund, Scott W Klein, James Lyman, Kenneth F Werring, the Buettgen Group (Attachments: # 1 Proposed Order) (Mungioli, Marcus) Modified on 6/16/2011 (skt). (Entered: 06/15/2011) 06/15/ ORDER granting 126 Joint MOTION to Extend Time and Reschedule June 22nd Discovery Hearing. Motion Hearing reset for 6/30/ :30 AM before Magistrate Judge Irma C. Ramirez. (Ordered by Magistrate Judge Irma C Ramirez on 6/15/2011) (Magistrate Judge Irma C Ramirez) (Entered: 06/15/2011) 06/16/ Notice of Correction of Signature Omission, correcting signature omission in 126 Motion To Extend Time, filed by Andrew Coticchio, Frank P. Gatto, Katherine J Harless, Samuel D Jones, Scott W Klein. (Mungioli, Marcus) (Entered: 06/16/2011) 06/16/ Notice of Correction of Signature Omission, correcting signature omission in 126 Motion To Extend Time, filed by Kentucky State District Council of Carpenters Pension Trust Fund, Kenneth F Werring. (Wyman, Debra) (Entered: 06/16/2011) 06/16/ RESPONSE AND OBJECTION filed by Kentucky State District Council of Carpenters Pension Trust Fund, Kenneth F Werring re: 116 MOTION to Compel (Wyman, Debra) (Entered: 06/16/2011)

26 06/16/ Appendix in Support filed by Kentucky State District Council of Carpenters Pension Trust Fund, Kenneth F Werring re 130 Response/Objection to Defendants' Motion to Compel Discovery (Wyman, Debra) (Entered: 06/16/2011) 06/23/ REPLY filed by Andrew Coticchio, Frank P. Gatto, Katherine J Harless, Samuel D Jones, Scott W Klein re: 116 MOTION to Compel (Mungioli, Marcus) (Entered: 06/23/2011) 06/30/2011 ELECTRONIC Minute Entry for proceedings held before Magistrate Judge Irma C Ramirez: Motion Hearing held on 6/30/2011 re 116 Motion to Compel filed by Andrew Coticchio, Samuel D Jones, Frank P. Gatto, Scott W Klein, Katherine J Harless, 111 Motion to Compel, filed by Jack B. Corwin, Kentucky State District Council of Carpenters Pension Trust Fund. Attorney Appearances: Plaintiff - Debra Wyman, Julie Kearns, Grant Cook, Jamie McKey; Defense - Matt Dexter, Kristin Sheffield, Marcus Mungioli, Joe Garza. (Court Reporter: Digital File) Time in Court - 1:05. (lmm) (Entered: 06/30/2011) 06/30/ ORDER granting in part and denying in part 111 Motion to Compel; granting in part and denying in part 116 Motion to Compel (Ordered by Magistrate Judge Irma C Ramirez on 6/30/2011) (lmm) (Entered: 06/30/2011) 07/11/ /21/ /15/ Order of USCA as to petition for leave to appeal is denied. (svc) (Entered: 07/13/2011) 135 NOTICE OF FILING OF OFFICIAL ELECTRONIC TRANSCRIPT of Motion to Compel Proceedings held on June 30, 2011 before Judge Irma Ramirez. Court Reporter/Transcriber Betty Tate, Telephone number Parties are notified of their duty to review the transcript. A copy may be purchased from the court reporter or viewed at the clerk's office public terminal. If redaction is necessary, a Redaction Request - Transcript must be filed within 21 days. If no such Request is filed, the transcript will be made available via PACER without redaction after 90 calendar days. If redaction request filed, this transcript will not be accessible via PACER; see redacted transcript. The clerk will mail a copy of this notice to parties not electronically noticed. (47 pages). Redaction Request due 8/11/2011. Redacted Transcript Deadline set for 8/22/2011. Release of Transcript Restriction set for 10/19/2011. (Tate, Betty) (Entered: 07/21/2011) 136 ORDER REQUIRING SCHEDULING CONFERENCE AND REPORT FOR CONTENTS OF SCHEDULING ORDER: The Joint Report, which shall be filed no later than 10 days from the date of the scheduling conference. Case reopened. (Ordered by Judge Ed Kinkeade on 9/15/2011) (ndt) (Entered: 09/16/2011) 10/07/ Joint STATUS REPORT Joint Report Regarding Contents of Scheduling Order filed by Kentucky State District Council of Carpenters Pension Trust Fund. (Wyman, Debra) (Entered: 10/07/2011) 10/21/ /03/ SCHEDULING ORDER: Deadline for mediation is on or before 12/23/2011. Jury Trial set for three-week docket beginning 3/4/2013 before Judge Ed Kinkeade. Motions due by 9/24/2012. Discovery due by 8/10/2012. Pretrial Materials due by 2/11/2013. Pretrial Order due by 2/11/2013. (Ordered by Judge Ed Kinkeade on 10/21/2011) (axm) (Entered: 10/24/2011) 139 Designation of Mediator by Kentucky State District Council of Carpenters Pension Trust Fund. (Wyman, Debra) (Entered: 11/03/2011)

27 12/06/ MOTION to Compel Nonparty Witness Patricia Ruiz To Attend A Deposition and Produce Documents filed by Andrew Coticchio, Frank P. Gatto, Katherine J Harless, Samuel D Jones, Scott W Klein (Attachments: # 1 Proposed Order) (Sheffield- Whitehead, Kristin) (Entered: 12/06/2011) 12/06/ Brief/Memorandum in Support filed by Andrew Coticchio, Frank P. Gatto, Katherine J Harless, Samuel D Jones, Scott W Klein re 140 MOTION to Compel Nonparty Witness Patricia Ruiz To Attend A Deposition and Produce Documents (Sheffield- Whitehead, Kristin) (Entered: 12/06/2011) 12/06/ Appendix in Support filed by Andrew Coticchio, Frank P. Gatto, Katherine J Harless, Samuel D Jones, Scott W Klein re 140 MOTION to Compel Nonparty Witness Patricia Ruiz To Attend A Deposition and Produce Documents (Sheffield-Whitehead, Kristin) (Entered: 12/06/2011) 12/12/ Application for Admission Pro Hac Vice with Cert. of Good Standing for Attorney Jonah H. Goldstein (Filing fee $25; Receipt number ) filed by Kentucky State District Council of Carpenters Pension Trust Fund (Attachments: # 1 Proposed Order) (Goldstein, Jonah) (Entered: 12/12/2011) 12/14/ ELECTRONIC ORDER granting 143 Application for Admission Pro Hac Vice of Jonah H. Goldstein. If not already done, Applicant must register as an ECF User within 14 days (LR 5.1(f)). (Ordered by Judge Ed Kinkeade on 12/14/2011) (chmb) (Entered: 12/14/2011) 12/30/ Joint Mediation Report filed by Andrew Coticchio, Frank P. Gatto, Katherine J Harless, Samuel D Jones, Kentucky State District Council of Carpenters Pension Trust Fund, Scott W Klein. (Wyman, Debra) Modified on 1/3/2012 (axm). (Entered: 12/30/2011) 01/03/ REPLY filed by Andrew Coticchio, Frank P. Gatto, Katherine J Harless, Samuel D Jones, Scott W Klein re: 140 MOTION to Compel Nonparty Witness Patricia Ruiz To Attend A Deposition and Produce Documents (Sheffield-Whitehead, Kristin) (Entered: 01/03/2012) 01/06/ NOTICE of Withdrawal re: 140 MOTION to Compel Nonparty Witness Patricia Ruiz To Attend A Deposition and Produce Documents filed by Andrew Coticchio, Frank P. Gatto, Katherine J Harless, Samuel D Jones, Scott W Klein (Sheffield-Whitehead, Kristin) (Entered: 01/06/2012) 01/06/ ELECTRONIC ORDER denying as moot 140 Motion to Compel. Motion withdrawn on 1/16/2012. (Ordered by Judge Ed Kinkeade on 1/6/2012) (chmb) (Entered: 01/06/2012) 01/11/ Application for Admission Pro Hac Vice with Cert. of Good Standing for Attorney Andrew G. Horne (Filing fee $25; Receipt number ) filed by Andrew Coticchio, Frank P. Gatto, Katherine J Harless, Samuel D Jones, Scott W Klein (Attachments: # 1 Certificate of Good Standing, # 2 Proposed Order) (Mungioli, Marcus) (Entered: 01/11/2012) 01/17/ ELECTRONIC ORDER granting 149 Application for Admission Pro Hac Vice of Andrew G. Horne. If not already done, Applicant must register as an ECF User within 14 days (LR 5.1(f)). (Ordered by Judge Ed Kinkeade on 1/17/2012) (chmb) (Entered:

28 01/17/2012) 01/23/ Application for Admission Pro Hac Vice with Cert. of Good Standing for Attorney Kara M. Wolke (Filing fee $25; Receipt number ) filed by John Heffner (Attachments: # 1 Exhibit(s) Certificate of Good Standing, # 2 Proposed Order) (Glancy, Lionel) (Entered: 01/23/2012) 01/24/ ELECTRONIC ORDER granting 151 Application for Admission Pro Hac Vice of Kara M. Wolke. If not already done, Applicant must register as an ECF User within 14 days (LR 5.1(f)). (Ordered by Judge Ed Kinkeade on 1/24/2012) (chmb) (Entered: 01/24/2012) 08/22/ NOTICE of Attorney Appearance by Seth Michael Roberts for Harriet E. Miers and Seth M. Roberts on behalf of Andrew Coticchio, Frank P. Gatto, Katherine J Harless, Samuel D Jones, Scott W Klein. (Roberts, Seth) (Entered: 08/22/2012) 09/19/ Joint MOTION for Leave to File Under Seal filed by Andrew Coticchio, Frank P. Gatto, Katherine J Harless, Samuel D Jones, Scott W Klein with Brief/Memorandum in Support. (Roberts, Seth) (Entered: 09/19/2012) 09/20/ ELECTRONIC ORDER granting 154 Motion for Leave to File Under Seal. The parties may file the Memorandum of Law in Support of Defendants Motion for Summary Judgment and appendix thereto; Plaintiffs Memorandum of Law in Opposition to Defendants Motion for Summary Judgment and appendix thereto; and Defendants Reply Brief in Support of Their Motion for Summary Judgment and appendix thereto under seal. (Ordered by Judge Ed Kinkeade on 9/20/2012) (chmb) (Entered: 09/20/2012) 09/20/2012 ***Clerk's Notice of delivery: (see NEF for details) Docket No:155. Thu Sep 20 11:36:56 CDT 2012 (crt) (Entered: 09/20/2012) 09/20/ Application for Admission Pro Hac Vice with Cert. of Good Standing for Attorney Jay P. Lefkowitz (Filing fee $25; Receipt number ) filed by Andrew Coticchio, Frank P. Gatto, Katherine J Harless, Samuel D Jones, Scott W Klein (Roberts, Seth) (Entered: 09/20/2012) 09/21/ Supplemental Document by Andrew Coticchio, Frank P. Gatto, Katherine J Harless, Samuel D Jones, Scott W Klein as to 156 Application for Admission Pro Hac Vice with Cert. of Good Standing for Attorney Jay P. Lefkowitz (Filing fee $25; Receipt number ). (Roberts, Seth) (Entered: 09/21/2012) 09/24/ ELECTRONIC ORDER granting 156 Application for Admission Pro Hac Vice of Jay P. Lefkowitz. If not already done, Applicant must register as an ECF User within 14 days (LR 5.1(f)). (Ordered by Judge Ed Kinkeade on 9/24/2012) (chmb) (Entered: 09/24/2012) 09/24/ MOTION for Summary Judgment filed by Andrew Coticchio, Frank P. Gatto, Katherine J Harless, Samuel D Jones, Scott W Klein (Attachments: # 1 Proposed Order Proposed Judgment) (Roberts, Seth) (Entered: 09/24/2012) 09/24/ (Document Restricted) Sealed Brief/Memorandum in Support re: 159 Motion for Summary Judgment (Sealed pursuant to order dated 9/20/2012) filed by Andrew Coticchio, Frank P. Gatto, Katherine J Harless, Samuel D Jones, Scott W Klein (Roberts, Seth) (Entered: 09/24/2012)

29 09/24/ (Document Restricted) Sealed Appendix in Support re: 159 Motion for Summary Judgment (Sealed pursuant to order dated 9/20/2012) filed by Andrew Coticchio, Frank P. Gatto, Katherine J Harless, Samuel D Jones, Scott W Klein (Attachments: # 1 Additional Page(s) Appendix , # 2 Additional Page(s) Appendix , # 3 Additional Page(s) Appendix , # 4 Additional Page(s) Appendix , # 5 Additional Page(s) Appendix , # 6 Additional Page(s) Appendix , # 7 Additional Page(s) Appendix , # 8 Additional Page(s) Appendix , # 9 Additional Page(s) Appendix , # 10 Additional Page(s) Appendix , # 11 Additional Page(s) Appendix , # 12 Additional Page(s) Appendix , # 13 Additional Page(s) Appendix , # 14 Additional Page(s) Appendix , # 15 Additional Page(s) Appendix , # 16 Additional Page(s) Appendix , # 17 Additional Page(s) Appendix , # 18 Additional Page(s) Appendix , # 19 Additional Page(s) Appendix , # 20 Additional Page(s) Appendix , # 21 Additional Page(s) Appendix , # 22 Additional Page(s) Appendix , # 23 Additional Page(s) Appendix , # 24 Additional Page(s) Appendix , # 25 Additional Page(s) Appendix , # 26 Additional Page(s) Appendix , # 27 Additional Page(s) Appendix , # 28 Additional Page(s) Appendix , # 29 Additional Page(s) Appendix , # 30 Additional Page(s) Appendix ) (Roberts, Seth) (Entered: 09/24/2012) 09/25/2012 ***Clerk's Notice of delivery: (see NEF for details) Docket No:158. Tue Sep 25 08:48:11 CDT 2012 (crt) (Entered: 09/25/2012) 10/15/ (Document Restricted) Sealed Response and Objection re: 159 Motion for Summary Judgment (Sealed pursuant to order dated 9/20/2012) filed by Kentucky State District Council of Carpenters Pension Trust Fund (Wyman, Debra) (Entered: 10/15/2012) 10/15/ (Document Restricted) Sealed Plaintiffs Statements of Disputed Facts in Opposition to Annex A (Sealed pursuant to order dated 9/20/2012) filed by Kentucky State District Council of Carpenters Pension Trust Fund (Wyman, Debra) (Entered: 10/15/2012) 10/15/ (Document Restricted) Sealed Appendix in Support re: 162 Sealed and/or Ex Parte Response/Objection (Sealed pursuant to order dated 9/20/2012) filed by Kentucky State District Council of Carpenters Pension Trust Fund (Attachments: # 1 Exhibit(s) APP , # 2 Exhibit(s) APP , # 3 Exhibit(s) APP , # 4 Exhibit(s) APP , # 5 Exhibit(s) APP , # 6 Exhibit(s) APP , # 7 Exhibit(s) APP , # 8 Exhibit(s) APP , # 9 Exhibit(s) APP , # 10 Exhibit(s) APP , # 11 Exhibit(s) APP , # 12 Exhibit(s) APP ) (Wyman, Debra) (Entered: 10/15/2012) 10/25/ STIPULATION for Extension of Time to File Reply Brief by Andrew Coticchio, Frank P. Gatto, Katherine J Harless, Samuel D Jones, Scott W Klein. (Roberts, Seth) (Entered: 10/25/2012) 10/26/ Joint MOTION for Leave to File Under Seal filed by Andrew Coticchio, Frank P. Gatto, Katherine J Harless, Samuel D Jones, Kentucky State District Council of Carpenters Pension Trust Fund, Scott W Klein with Brief/Memorandum in Support. (Attachments: # 1 Proposed Order) (Wyman, Debra) (Entered: 10/26/2012) 10/29/ ELECTRONIC ORDER granting 166 Motion for Leave to File Daubert Briefing Under Seal. (Ordered by Judge Ed Kinkeade on 10/29/2012) (chmb) (Entered:

30 10/29/2012) 10/30/ (Document Restricted) Sealed Reply re: 159 Motion for Summary Judgment (Sealed pursuant to order dated 9/20/2012) filed by Andrew Coticchio, Frank P. Gatto, Katherine J Harless, Samuel D Jones, Scott W Klein (Roberts, Seth) (Entered: 10/30/2012) 10/30/ (Document Restricted) Sealed Appendix in Support re: 168 Sealed and/or Ex Parte Reply/Sur-reply (Sealed pursuant to order dated 9/20/2012) filed by Andrew Coticchio, Frank P. Gatto, Katherine J Harless, Samuel D Jones, Scott W Klein (Attachments: # 1 Additional Page(s) Appendix , # 2 Additional Page(s) Appendix , # 3 Additional Page(s) Appendix ) (Roberts, Seth) (Entered: 10/30/2012) 10/31/ MOTION to Exclude the Opinions and Testimony of Defendants' Expert Christopher M. James filed by Kentucky State District Council of Carpenters Pension Trust Fund (Wyman, Debra) (Entered: 10/31/2012) 10/31/ (Document Restricted) Sealed Brief/Memorandum in Support re: 170 Motion for Miscellaneous Relief (Sealed pursuant to order dated 10/29/2012) filed by Kentucky State District Council of Carpenters Pension Trust Fund (Attachments: # 1 Proposed Order) (Wyman, Debra) (Entered: 10/31/2012) 10/31/ MOTION to Strike Exclude the Testimony of Plaintiffs' Expert Witness Dr. Steven P. Feinstein filed by Andrew Coticchio, Frank P. Gatto, Katherine J Harless, Samuel D Jones, Scott W Klein (Roberts, Seth) (Entered: 10/31/2012) 10/31/ (Document Restricted) Sealed Brief/Memorandum in Support re: 172 Motion to Strike (Sealed pursuant to order dated 10/29/2012) filed by Andrew Coticchio, Frank P. Gatto, Katherine J Harless, Samuel D Jones, Scott W Klein (Roberts, Seth) (Entered: 10/31/2012) 10/31/ (Document Restricted) Sealed Appendix in Support re: 172 Motion to Strike (Sealed pursuant to order dated 10/29/2012) filed by Andrew Coticchio, Frank P. Gatto, Katherine J Harless, Samuel D Jones, Scott W Klein (Attachments: # 1 Appendix 4-41, # 2 Appendix 42-80, # 3 Appendix , # 4 Appendix , # 5 Appendix , # 6 Appendix , # 7 Appendix , # 8 Appendix , # 9 Appendix , # 10 Appendix ) (Roberts, Seth) (Entered: 10/31/2012) 10/31/ (Document Restricted) Sealed Appendix in Support re: 170 Motion for Miscellaneous Relief (Sealed pursuant to order dated 10/29/2012) filed by Kentucky State District Council of Carpenters Pension Trust Fund (Attachments: # 1 Exhibit(s) APP. 1-53, # 2 Exhibit(s) APP , # 3 Exhibit(s) APP , # 4 Exhibit(s) APP , # 5 Exhibit(s) APP , # 6 Exhibit(s) APP , # 7 Exhibit(s) APP , # 8 Exhibit(s) APP , # 9 Exhibit(s) APP , # 10 Exhibit(s) APP , # 11 Exhibit(s) APP , # 12 Exhibit(s) APP , # 13 Exhibit(s) APP , # 14 Exhibit(s) APP ) (Wyman, Debra) (Entered: 10/31/2012) 10/31/ MOTION to Exclude the Opinions and Testimony of Defendants' Expert Daniel L. Jackson filed by Kentucky State District Council of Carpenters Pension Trust Fund (Barz, James) (Entered: 10/31/2012)

31 10/31/ (Document Restricted) Sealed Brief/Memorandum in Support re: 176 Motion for Miscellaneous Relief (Sealed pursuant to order dated 10/29/2012) filed by Kentucky State District Council of Carpenters Pension Trust Fund (Attachments: # 1 Proposed Order) (Barz, James) (Entered: 10/31/2012) 10/31/ (Document Restricted) Sealed Appendix in Support re: 176 Motion for Miscellaneous Relief (Sealed pursuant to order dated 10/29/2012) filed by Kentucky State District Council of Carpenters Pension Trust Fund (Attachments: # 1 Exhibit(s) APP. 1-74, # 2 Exhibit(s) APP , # 3 Exhibit(s) APP , # 4 Exhibit(s) APP , # 5 Exhibit(s) APP , # 6 Exhibit(s) APP , # 7 Exhibit(s) APP , # 8 Exhibit(s) APP , # 9 Exhibit(s) APP , # 10 Exhibit(s) APP , # 11 Exhibit(s) APP , # 12 Exhibit(s) APP. 391, # 13 Exhibit(s) APP , # 14 Exhibit(s) APP , # 15 Exhibit(s) APP , # 16 Exhibit(s) APP , # 17 Exhibit(s) APP , # 18 Exhibit(s) APP , # 19 Exhibit(s) APP ) (Barz, James) (Entered: 10/31/2012) 11/01/ Supplemental Document by Andrew Coticchio, Frank P. Gatto, Katherine J Harless, Samuel D Jones, Scott W Klein as to 159 MOTION for Summary Judgment Joint Request for Oral Argument. (Roberts, Seth) (Entered: 11/01/2012) 11/13/ ELECTRONIC ORDER: Motion Hearing set for 1/8/2013 at 09:00 AM before Judge Ed Kinkeade. re: 159 MOTION for Summary Judgment. The Plaintiffs collectively have 20 minutes for argument, and the Defendants collectively have 20 minutes for argument. (Ordered by Judge Ed Kinkeade on 11/13/2012) (chmb) (Entered: 11/13/2012) 11/21/ (Document Restricted) Sealed Response and Objection re: 172 Motion to Strike (Sealed pursuant to order dated 10/29/2012) filed by Kentucky State District Council of Carpenters Pension Trust Fund (Wyman, Debra) (Entered: 11/21/2012) 11/21/ (Document Restricted) Sealed Appendix in Support re: 181 Sealed and/or Ex Parte Response/Objection (Sealed pursuant to order dated 10/29/2012) filed by Kentucky State District Council of Carpenters Pension Trust Fund (Attachments: # 1 Exhibit(s) App. 1-55, Feinstein depo, # 2 Exhibit(s) App , Mintzer Report, # 3 Exhibit(s) App , Mintzer Report) (Wyman, Debra) (Entered: 11/21/2012) 11/21/ (Document Restricted) Sealed Response re: 176 Motion for Miscellaneous Relief (Sealed pursuant to order dated 10/29/2012) filed by Andrew Coticchio, Frank P. Gatto, Katherine J Harless, Samuel D Jones, Scott W Klein (Roberts, Seth) (Entered: 11/21/2012) 11/21/ (Document Restricted) Sealed Appendix in Support re: 183 Sealed and/or Ex Parte Response/Objection (Sealed pursuant to order dated 10/29/2012) filed by Andrew Coticchio, Frank P. Gatto, Katherine J Harless, Samuel D Jones, Scott W Klein (Attachments: # 1 Additional Page(s) Appendix part 2, # 2 Additional Page(s) Appendix part 3, # 3 Additional Page(s) Appendix part 4, # 4 Additional Page(s) Appendix part 5, # 5 Additional Page(s) Appendix part 6, # 6 Additional Page(s) Appendix part 7, # 7 Additional Page(s) Appendix part 8, # 8 Additional Page(s) Appendix part 9, # 9 Additional Page(s) Appendix part 10, # 10 Additional Page(s) Appendix part 11, # 11 Additional Page(s) Appendix part 12, # 12 Additional Page(s) Appendix part 13, # 13 Additional Page(s) Appendix part 14, # 14 Additional Page(s)

32 Appendix part 15, # 15 Additional Page(s) Appendix part 16, # 16 Additional Page(s) Appendix part 17, # 17 Additional Page(s) Appendix part 18, # 18 Additional Page(s) Appendix part 19, # 19 Additional Page(s) Appendix part 20) (Roberts, Seth) (Entered: 11/21/2012) 11/21/ (Document Restricted) Sealed Response re: 170 Motion for Miscellaneous Relief (Sealed pursuant to order dated 10/29/2012) filed by Andrew Coticchio, Frank P. Gatto, Katherine J Harless, Samuel D Jones, Scott W Klein (Roberts, Seth) (Entered: 11/21/2012) 11/21/ (Document Restricted) Sealed Appendix in Support re: 185 Sealed and/or Ex Parte Response/Objection (Sealed pursuant to order dated 10/29/2012) filed by Andrew Coticchio, Frank P. Gatto, Katherine J Harless, Samuel D Jones, Scott W Klein (Attachments: # 1 Additional Page(s) Appendix part 2, # 2 Additional Page(s) Appendix part 3, # 3 Additional Page(s) Appendix part 4, # 4 Additional Page(s) Appendix part 5, # 5 Additional Page(s) Appendix part 6) (Roberts, Seth) (Entered: 11/21/2012) 12/05/ (Document Restricted) Sealed Reply re: 172 Motion to Strike (Sealed pursuant to order dated 10/29/2012) filed by Andrew Coticchio, Frank P. Gatto, Katherine J Harless, Samuel D Jones, Scott W Klein (Sheffield-Whitehead, Kristin) (Entered: 12/05/2012) 12/05/ (Document Restricted) Sealed Reply re: 170 Motion for Miscellaneous Relief (Sealed pursuant to order dated 10/29/2012) filed by Kentucky State District Council of Carpenters Pension Trust Fund (Wyman, Debra) (Entered: 12/05/2012) 12/05/ (Document Restricted) Sealed Appendix in Support re: 188 Sealed and/or Ex Parte Reply/Sur-reply (Sealed pursuant to order dated 10/29/2012) filed by Kentucky State District Council of Carpenters Pension Trust Fund (Attachments: # 1 Exhibit(s) App ) (Wyman, Debra) (Entered: 12/05/2012) 12/05/ (Document Restricted) Sealed Reply re: 176 Motion for Miscellaneous Relief (Sealed pursuant to order dated 10/29/2012) filed by Kentucky State District Council of Carpenters Pension Trust Fund (Barz, James) (Entered: 12/05/2012) 12/18/ Joint MOTION to Continue Hearing and Trial Dates filed by Andrew Coticchio, Frank P. Gatto, Katherine J Harless, Samuel D Jones, Scott W Klein (Roberts, Seth) (Entered: 12/18/2012) 12/18/ ORDER as to 159 MOTION for Summary Judgment: By 1/03/2013, Plaintiffs and Defendants shall each file a summary of their key arguments and evidence (with citations to the summary judgment record) either in opposition to or in support of summary judgment. (Ordered by Judge Ed Kinkeade on 12/18/2012) (twd) (Entered: 12/18/2012) 12/18/ ORDER granting 191 Joint Motion for Continuance of Certain Matters: The hearing on Defendants' 159 Motion for Summary Judgment is reset for 2/11/2013 at 10:00 AM before Judge Ed Kinkeade. Trial of this case is re-set to the court's three-week docket beginning 5/6/2013. Pretrial Materials due by 4/22/2013. Pretrial Order due by 4/22/2013. (Ordered by Judge Ed Kinkeade on 12/18/2012) (twd) (Entered: 12/18/2012)

33 12/19/ ELECTRONIC ORDER: Before the court is Defendant's Motion for Summary Judgment, which the court has reset for hearing on Monday, February 11, By January 28, 2013, Plaintiffs and Defendants shall each file a summary of their key arguments and evidence (with citations to the summary judgment record) either in opposition to or in support of summary judgment. This filing is limited to a maximum five (5) page pleading, and shall not include exhibits or any other attachments. (Ordered by Judge Ed Kinkeade on 12/19/2012) (chmb) (Entered: 12/19/2012) 12/21/ NOTICE of Firm Name Change - Robbins Umeda LLP will change its name to Robbins Arroyo LLP filed by Jan Buettgen (Kendall, Joe) (Entered: 12/21/2012) 01/10/ Joint MOTION to Continue Trial to June Docket filed by Andrew Coticchio, Frank P. Gatto, Katherine J Harless, Samuel D Jones, Scott W Klein (Roberts, Seth) (Entered: 01/10/2013) 01/28/ (Document Restricted) Plaintiffs' Summary of Arguments in Opposition to Defendants' Motion for Summary Judgment [Filed Under Seal] (Sealed pursuant to order dated 9/20/2012) filed by Kentucky State District Council of Carpenters Pension Trust Fund (Wyman, Debra) (Entered: 01/28/2013) 01/28/ (Document Restricted) Defendants' Sumary of Arguments in Support of Summary Judgment (Sealed pursuant to order dated 9/20/2012) filed by Andrew Coticchio, Frank P. Gatto, Katherine J Harless, Samuel D Jones, Scott W Klein (Roberts, Seth) (Entered: 01/28/2013) 02/08/ ELECTRONIC ORDER: Motion Hearing is reset for 2/11/2013 at 01:30 PM before Judge Ed Kinkeade. re: 159 MOTION for Summary Judgment. The Plaintiffs collectively have 20 minutes for argument, and the Defendants collectively have 20 minutes for argument. After the hearing, the parties are DIRECTED to appear before U.S. Magistrate Judge Paul Stickney for a settlement conference. (Ordered by Judge Ed Kinkeade on 2/8/2013) (chmb) (Entered: 02/08/2013) 02/11/ ELECTRONIC Minute Entry for proceedings held before Judge Ed Kinkeade: Motion Hearing held on 2/11/2013 re 159 Motion for Summary Judgment filed by Andrew Coticchio, Samuel D Jones, Frank P. Gatto, Scott W Klein, Katherine J Harless. re: 159 MOTION for Summary Judgment (Court Reporter: Pamela Wilson) Time in Court - 1:30. (chmb) (Entered: 02/11/2013) 02/11/ ELECTRONIC Minute Entry for proceedings held before Magistrate Judge Paul D Stickney: Settlement Conference held on 2/11/2013. Case did not settle. Attorney Appearances: Plaintiff - Joe Kendall, James Barz, Debra Wyman; Defense - Jay Lefkowitz, Matthew Dexter, Kristin Sheffield-Whitehead, Seth Roberts, Harriet Miers. (Court Reporter: Not Recorded) (No exhibits) Time in Court - 1:10. (mcrd) (Entered: 02/13/2013) 02/13/ ORDER granting 196 Motion to Continue Trial to June Docket. The Jury Trial is hereby re-set to the court's three-week docket beginning 6/3/2013 before Judge Ed Kinkeade. The parties shall comply with paragraph 8 of the court's Scheduling Order entered 10/21/2011 no later than 5/6/2013, and shall comply with paragraph 10 of that order by 5/20/2013. (Ordered by Judge Ed Kinkeade on 2/13/2013) (cea) (Entered: 02/13/2013) 02/14/ Notice of Filing of Official Electronic Transcript of Oral Argument Proceedings held

34 on 2/11/2013 before Judge Ed Kinkeade. Court Reporter/Transcriber Pamela Wilson, Telephone number Parties are notified of their duty to review the transcript. A copy may be purchased from the court reporter or viewed at the clerk's office public terminal. If redaction is necessary, a Redaction Request - Transcript must be filed within 21 days. If no such Request is filed, the transcript will be made available via PACER without redaction after 90 calendar days. If redaction request filed, this transcript will not be accessible via PACER; see redacted transcript. The clerk will mail a copy of this notice to parties not electronically noticed. (100 pages) Redaction Request due 3/7/2013. Redacted Transcript Deadline set for 3/18/2013. Release of Transcript Restriction set for 5/15/2013. (pjw) (Entered: 02/14/2013) 02/15/ Notice of Filing of Official (Corrected) Electronic Transcript of Oral Argument Proceedings held on 2/11/2013 before Judge Ed Kinkeade. Court Reporter/Transcriber Pamela Wilson, Telephone number Parties are notified of their duty to review the transcript. A copy may be purchased from the court reporter or viewed at the clerk's office public terminal. If redaction is necessary, a Redaction Request - Transcript must be filed within 21 days. If no such Request is filed, the transcript will be made available via PACER without redaction after 90 calendar days. If redaction request filed, this transcript will not be accessible via PACER; see redacted transcript. The clerk will mail a copy of this notice to parties not electronically noticed. (100 pages) Redaction Request due 3/8/2013. Redacted Transcript Deadline set for 3/18/2013. Release of Transcript Restriction set for 5/16/2013. (pjw) (Entered: 02/15/2013) 02/15/ STIPULATION and Proposed Order Regarding Class Notice Procedures by Kentucky State District Council of Carpenters Pension Trust Fund. (Attachments: # 1 Exhibit(s) A - Notice of Pendency of Class Action, # 2 Exhibit(s) B- Summary Notice) (Wyman, Debra) (Entered: 02/15/2013) 02/20/ ORDER denying 159 Motion for Summary Judgment. (Ordered by Judge Ed Kinkeade on 2/20/2013) (ndt) (Entered: 02/20/2013) 02/21/ SETTLEMENT REPORT: This case was referred to United States Magistrate Judge Stickney for a settlement conference. The settlement conference was held on Monday, February 11, 2013 at 2:30 p.m. The parties conducted settlement negotiations in good faith but were unable to reach a settlement at this time. Both parties anticipate continuing to work towards settlement, if possible. (see order) (Ordered by Magistrate Judge Paul D Stickney on 2/21/2013) (mcrd) Modified on 2/28/2013 (mcrd). (Entered: 02/26/2013) 02/26/ ORDER REFERRING CASE to Magistrate Judge Paul D Stickney for a Settlement Conference. (Ordered by Judge Ed Kinkeade on 2/26/2013) (cea) (Entered: 02/27/2013) 03/07/ ORDER: This case was referred to United States Magistrate Judge Stickney for a settlement conference. The settlement conference is hereby set for MONDAY, MARCH 18, 2013 at 9:00 A.M., convening in Courtroom 1620, 1100 Commerce St., Dallas, Texas. In addition to counsel, all parties shall be present with full settlement authority. (Ordered by Magistrate Judge Paul D Stickney on 3/7/2013) (mcrd) (Entered: 03/07/2013) 03/11/ ORDER denying 170 Motion Exclude the Opinions and Testimony of Defendants'

35 Expert Christopher M. James ; denying 172 Motion to Exclude the Testimony of Plaintiffs' Expert Witness Dr. Steven P. Feinstein ; denying 176 Motion to Exclude the Opinions and Testimony of Defendants' Expert Daniel L. Jackson. (Ordered by Judge Ed Kinkeade on 3/11/2013) (ykp) (Entered: 03/12/2013) 03/18/ ELECTRONIC Minute Entry for proceedings held before Magistrate Judge Paul D Stickney: Settlement Conference held on 3/18/2013. Case did not settle. Attorney Appearances: Plaintiff - Joe Kendall, Eric Leon, Jonah Goldstein, Debra Wyman; Defense - Seth Roberts, Harriet Miers. (Court Reporter: Not Recorded) (No exhibits) Time in Court - 8:00. (mcrd) (Entered: 03/19/2013) 03/21/ STIPULATION AND ORDER REGARDING CLASS NOTICE PROCEDURES re: 205. (Ordered by Judge Ed Kinkeade on 3/21/2013) (tla) (Entered: 03/22/2013) 04/02/ Order Administratively Closing Case. The Court has been notified that this case has settled. Plaintiffs' are therefore directed to file their Motion for Preliminary Approval of Proposed Settlement and Providing for Notice, within 60 days from the date of this order. (Ordered by Judge Ed Kinkeade on 4/2/2013) (ykp) (Entered: 04/02/2013) 05/31/ MOTION for Extension of Time to File Preliminary Approval Motion filed by Kentucky State District Council of Carpenters Pension Trust Fund (Wyman, Debra) (Entered: 05/31/2013) 05/31/ ORDER: This case is hereby referred to United States Magistrate Judge Paul D. Stickney for a settlement conference, at a date and time to be determined by Judge Stickney. The parties shall appear at the conference along with their counsel. (Ordered by Judge Ed Kinkeade on 5/31/2013) (ykp) (Entered: 05/31/2013) 06/03/ ORDER: This case has been re-referred to United States Magistrate Judge Paul D. Stickney for a settlement conference. A preliminary settlement meeting will be held on THURSDAY, JUNE 6, 2013, at 9:00 A.M., convening in Courtroom 1620, 1100 Commerce St., Dallas, Texas. Representative counsel for each party shall be present at the meeting, wherein the parties' preliminary settlement differences will be discussed. All parties shall be available by telephone. (Ordered by Magistrate Judge Paul D Stickney on 6/3/2013) (mcrd) (Entered: 06/03/2013) 06/03/ ELECTRONIC ORDER granting 214 Motion for Extension of Time to File Preliminary Approval Motion. Preliminary Approval Motion due on or before June 24, (Ordered by Judge Ed Kinkeade on 6/3/2013) (chmb) (Entered: 06/03/2013) 06/06/ ELECTRONIC Minute Entry for proceedings held before Magistrate Judge Paul D Stickney: Settlement Conference held on 6/6/2013. Attorney Appearances: Plaintiff - Robert Prongay, Joe Kendall; Defense - Harriet Miers, Matthew Dexter, Johan Goldstein. (Court Reporter: Not Recorded) (No exhibits) Time in Court - 1:30. (mcrd) (Entered: 06/07/2013) 06/10/ Unopposed MOTION for Preliminary Approval of Settlement and Approval of Notice to the Class filed by Kentucky State District Council of Carpenters Pension Trust Fund, Kenneth F Werring with Brief/Memorandum in Support. (Attachments: # 1 Proposed Order Preliminarily Approving Settlement and Providing for Notice) (Wyman, Debra) (Entered: 06/10/2013) 06/10/ STIPULATION of Settlement by Andrew Coticchio, Frank P. Gatto, Katherine J

36 Harless, Samuel D Jones, Kentucky State District Council of Carpenters Pension Trust Fund, Scott W Klein, Kenneth F Werring. (Attachments: # 1 Exhibit(s) A, # 2 Exhibit(s) A-1, # 3 Exhibit(s) A-2, # 4 Exhibit(s) A-3, # 5 Exhibit(s) B) (Wyman, Debra) (Entered: 06/10/2013) 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