U.S. District Court Southern District of California (San Diego) CIVIL DOCKET FOR CASE #: 3:13-cv BEN-RBB

Transcription

1 US District Court Civil Docket as of September 29, 2016 Retrieved from the court on September 29, 2016 U.S. District Court Southern District of California (San Diego) CIVIL DOCKET FOR CASE #: 3:13-cv BEN-RBB In re Maxwell Technologies Inc., Securities Litigation Assigned to: Judge Roger T. Benitez Referred to: Magistrate Judge Ruben B. Brooks Related Cases: 3:13-cv BEN-RBB 3:13-cv BEN-RBB 3:13-cv BEN-RBB 3:13-cv BEN-RBB 3:13-cv BEN-RBB Cause: 15:0078 Date Filed: 03/13/2013 Date Terminated: 02/17/2015 Jury Demand: Plaintiff Nature of Suit: 850 Securities/Commodities Jurisdiction: Federal Question Plaintiff Kenneth A. Foster Individually and on Behalf of All Others Similarly Situated Plaintiff Employees' Pension Plan of the City of Clearwater represented by David C Walton Robbins Geller Rudman & Dowd LLP 655 West Broadway Suite 1900 San Diego, CA Fax: davew@rgrdlaw.com represented by Benjamin Galdston Bernstein Litowitz Berger & Grossmann High Bluff Drive Suite 300 San Diego, CA (858) Fax: (858) beng@blbglaw.com Blair A Nicholas Bernstein Litowitz Berger and Grossman High Bluff Drive Suite 300 San Diego, CA (858) Fax: (858)

2 Lester R. Hooker Saxena White, P.A. Boca Center 5200 Town Center Circle Suite 601 Boca Raton, FL (561) Fax: (561) Maya Saxena Saxena White P.A North Federal Highway Suite 257 Boca Raton, FL (561) PRO HAC VICE Plaintiff Victor Sanjuan Abanades Individually and On Behalf of All Others Similarly Situated Plaintiff Edward Mebarak Individually and On Behalf of All Others Similarly Situated Plaintiff Joshua Weinstein Individually and On Behalf of All Others Similarly Situated represented by Lionel Z Glancy Glancy Prongay & Murray LLP 1925 Century Park East Suite 2100 Los Angeles, CA (310) Fax: (310) info@glancylaw.com represented by Lionel Z Glancy represented by Lionel Z Glancy

3 V. Defendant Maxwell Technologies, Inc. represented by Caz Hashemi Wilson Sonsini Goodrich & Rosati 650 Page Mill Road Palo Alto, CA Fax: Jerome F. Birn, Jr Wilson, Sonsini, Goodrich & Rosati, PC 650 Page Mill Road Palo Alto, CA (650) Fax: (650) Jessica Leigh Snorgrass Wilson Sonsini Goodrich & Rosati 650 Page Mill Road Palo Alto, CA (650) Fax: (650) Kelley Moohr Kinney Wilson Sonsini Goodrich & Rosati 650 Page Mill Road Palo Alto, CA (650) Fax: (650) Nicholas R. Miller Wilson Sonsini Goodrich & Rosati 650 Page Mill Road Palo Alto, CA (650) Fax: (650)

4 Defendant David J. Schramm represented by Caz Hashemi Jerome F. Birn, Jr Jessica Leigh Snorgrass Kelley Moohr Kinney Nicholas R. Miller Defendant Kevin S. Royal represented by Caz Hashemi Jerome F. Birn, Jr Jessica Leigh Snorgrass Kelley Moohr Kinney Nicholas R. Miller

5 Defendant Van M. Andrews represented by Kellin Maurine Chatfield DLA Piper LLP 401 B Street Suite 1700 San Diego, CA (619) Fax: (619) kellin.chatfield@dlapiper.com Roy K. McDonald DLA Piper LLP (USA) 555 Mission Street 24th Floor San Francisco, CA (415) Fax: (415) roy.mcdonald@dlapiper.com Shirli Fabbri Weiss DLA Piper Rudnick Gray Cary 401 B Street Suite 1700 San Diego, CA (619) Fax: (619) shirli.weiss@dlapiper.com Vishali Singal DLA Piper LLP (USA) 555 Mission Street 24th Floor San Francisco, CA (415) Fax: (415) vishali.singal@dlapiper.com Karen S Chen

6 DLA Piper US LLP 401 B Street Suite 1700 San Diego, CA (619) Fax: (619) karen.chen@dlapiper.com TERMINATED: 07/10/2014 Movant Alice Lai TERMINATED: 10/24/2013 Movant Martin Schiffenbauer TERMINATED: 10/24/2013 Movant Public School Teachers' Pension & Retirement Fund of Chicago TERMINATED: 10/24/2013 Movant Electrical Workers Pension Fund, Local 103, I.B.E.W. TERMINATED: 10/24/2013 represented by Jeff S Westerman Westerman Law Corp Century Park East Suite 2100 Los Angeles, CA (310) Fax: (310) jwesterman@jswlegal.com represented by Michael M Goldberg Goldberg Law PC Marina Pointe Drive, Suite 708 Marina del Rey, CA Fax: michael@goldberglawpc.com represented by Brian E. Cochran Robbins, Gelle,r Rudman & Dowd, LLP 655 West Broadway Suite 1900 San Diego, CA (619) Fax: (619) bcochran@rgrdlaw.com represented by Brian E. Cochran Date Filed # Docket Text

7 03/13/ COMPLAINT with Jury Demand against Van M. Andrews, Maxwell Technologies, Inc., Kevin S. Royal, David J. Schramm (Filing fee $350 receipt number ), filed by Kenneth A. Foster. The new case number is 3:13-cv-580-H-RBB. Judge Marilyn L. Huff and Magistrate Judge Ruben B. Brooks are assigned to the case. (Walton, David)(dlg) (cap). (Entered: 03/13/2013) 03/13/ Summons Issued. Counsel receiving this notice electronically should print this summons and serve it in accordance with Rule 4, Fed.R.Civ.P and LR 4.1. (dlg) (cap). (Entered: 03/13/2013) 03/21/ WAIVER OF SERVICE Returned Executed by Kenneth A. Foster, as to Maxwell Technologies, Inc.. (Walton, David)(aef). (Entered: 03/21/2013) 03/21/ WAIVER OF SERVICE Returned Executed by Kenneth A. Foster, as to David J. Schramm. (Walton, David) (jao). (Entered: 03/21/2013) 03/21/ WAIVER OF SERVICE Returned Executed by Kenneth A. Foster, as to Kevin S. Royal. (Walton, David) (srm). (Entered: 03/21/2013) 03/29/ WAIVER OF SERVICE Returned Executed by Kenneth A. Foster, as to Van M. Andrews. (Walton, David) (ag). (Entered: 03/29/2013) 04/25/ NOTICE of Appearance by Jessica Leigh Snorgrass on behalf of Maxwell Technologies, Inc., Kevin S. Royal, David J. Schramm (Snorgrass, Jessica) (ag). (Entered: 04/25/2013) 04/25/ Corporate Disclosure Statement by Maxwell Technologies, Inc., Kevin S. Royal, David J. Schramm. (Snorgrass, Jessica)(ag). (Entered: 04/25/2013) 04/25/ NOTICE of Party With Financial Interest by Maxwell Technologies, Inc., Kevin S. Royal, David J. Schramm (Snorgrass, Jessica) (ag). (Entered: 04/25/2013) 04/25/ NOTICE OF RELATED CASE(S) by Maxwell Technologies, Inc., Kevin S. Royal, David J. Schramm of case(s) 13CV0686 DMS DHB; 13CV0867 H RBB; 13CV00942 LAB WVG; 13CV0966 L WVG. (Snorgrass, Jessica) No Low Number Order prepared (ag). (Entered: 04/25/2013) 04/25/ CERTIFICATE OF SERVICE by Maxwell Technologies, Inc., Kevin S. Royal, David J. Schramm re 7 Notice of Appearance, 8 Corporate Disclosure Statement, 9 Notice of Party With Financial Interest, 10 Notice of Related Case (Snorgrass, Jessica) (ag). (Entered: 04/25/2013) 04/26/ NOTICE of Appearance by Nicholas R. Miller on behalf of Maxwell Technologies, Inc., Kevin S. Royal, David J. Schramm (Miller, Nicholas) (knb). (Entered: 04/26/2013) 04/26/ NOTICE of Appearance by Jerome F. Birn, Jr on behalf of Maxwell Technologies, Inc., Kevin S. Royal, David J. Schramm (Birn, Jerome) (knb). (Entered: 04/26/2013) 04/26/ NOTICE of Appearance by Caz Hashemi on behalf of Maxwell Technologies, Inc., Kevin S. Royal, David J. Schramm (Hashemi, Caz) (vam). (Entered: 04/26/2013) 04/29/ NOTICE of Appearance by Vishali Singal on behalf of Van M. Andrews (Singal, Vishali) (ag). (Entered: 04/29/2013) 04/29/ CERTIFICATE OF SERVICE by Van M. Andrews re 15 Notice of Appearance (Singal, Vishali) (ag). (Entered: 04/29/2013)

8 04/29/ NOTICE of Appearance by Kelley Moohr Kinney on behalf of Maxwell Technologies, Inc., Kevin S. Royal, David J. Schramm (Kinney, Kelley) (ag). (Entered: 04/29/2013) 04/30/ NOTICE of Appearance by Roy K. McDonald on behalf of Van M. Andrews (McDonald, Roy) (ag). (Entered: 04/30/2013) 04/30/ CERTIFICATE OF SERVICE by Van M. Andrews re 18 Notice of Appearance (McDonald, Roy) (ag). (Entered: 04/30/2013) 04/30/ NOTICE of Appearance by Shirli Fabbri Weiss on behalf of Van M. Andrews (Weiss, Shirli) (ag). (Entered: 04/30/2013) 04/30/ CERTIFICATE OF SERVICE by Van M. Andrews re 20 Notice of Appearance (Weiss, Shirli) (ag). (Entered: 04/30/2013) 04/30/ NOTICE of Appearance by Karen S Chen on behalf of Van M. Andrews (Chen, Karen) (ag). (Entered: 04/30/2013) 04/30/ CERTIFICATE OF SERVICE by Van M. Andrews re 22 Notice of Appearance (Chen, Karen) (ag). (Entered: 04/30/2013) 05/06/ MINUTE ORDER OF RECUSAL by Judge Marilyn L. Huff: Judge Marilyn L. Huff hereby recuses from this case and orders that another district judge be randomly drawn and assigned to this case. Case randomly reassigned to Judge Roger T. Benitez for all further proceedings. Judge Marilyn L. Huff is no longer assigned to this case. The new case number is 13cv0580-BEN-RBB. So Ordered. (no document attached) (smy) (Entered: 05/06/2013) 05/07/ WITHDRAWN re 26 Notice of Withdrawal of Document. Joint MOTION for Extension of Time to File /Joint Motion Extending Time to Respond to Complaint by Maxwell Technologies, Inc., Kevin S. Royal, David J. Schramm. (Snorgrass, Jessica) Contacted attorney re use of electronic signature on 5/8/2013 (knb). (Entered: 05/07/2013) 05/07/ NOTICE OF WITHDRAWAL OF DOCUMENT by Maxwell Technologies, Inc., Kevin S. Royal, David J. Schramm re 25 Joint MOTION for Extension of Time to File /Joint Motion Extending Time to Respond to Complaint (Snorgrass, Jessica) Modified to correct event used on 5/8/2013 (knb). (Entered: 05/07/2013) 05/07/ Joint MOTION for Extension of Time to File /Joint Motion Extending Time to Respond to Complaint by Maxwell Technologies, Inc., Kevin S. Royal, David J. Schramm. (Kinney, Kelley) Modified attorney re use of electronic signature on 5/8/2013 (knb). (Entered: 05/07/2013) 05/10/ ORDER Granting 27 Joint Motion Extending Time to Respond to Complaint. Signed by Judge Roger T. Benitez on 5/9/2013. (knb) (jcj). (Entered: 05/13/2013) 05/13/ NOTICE of Appearance by Jeff S Westerman on behalf of Alice Lai (Westerman, Jeff) (knb). (Entered: 05/13/2013) 05/13/ MOTION to Consolidate Cases Appointment of Lead Plaintiff and Approval of Lead and Liaison Counsel by Alice Lai. (Attachments: # 1 Memo of Points and Authorities, # 2 Declaration, # 3 Proof of Service)(Westerman, Jeff) (knb). (Entered: 05/13/2013) 05/13/ MOTION to Appoint Counsel and Lead Plaintiff, MOTION to Consolidate Cases by Martin Schiffenbauer. (Attachments: # 1 Memo of Points and Authorities, # 2 Declaration)(Goldberg, Michael) (knb). (Entered: 05/13/2013)

9 05/13/ MOTION to Consolidate Cases, for Appointment as Lead Plaintiff, MOTION to Appoint Counsel by Public School Teachers' Pension & Retirement Fund of Chicago, Electrical Workers Pension Fund, Local 103, I.B.E.W.. (Attachments: # 1 Memo of Points and Authorities, # 2 Declaration of Brian E. Cochran in Support, # 3 Exhibit A to Cochran Decl., # 4 Exhibit B to Cochran Decl., # 5 Exhibit C to Cochran Decl., # 6 Exhibit D to Cochran Decl., # 7 Exhibit E to Cochran Decl., # 8 Exhibit F to Cochran Decl.)(Cochran, Brian) (knb). (Entered: 05/13/2013) 05/13/ MOTION to Consolidate Cases, for Appointment as Lead Plaintiff, and for Approval of Selection of Class Counsel by Employees' Pension Plan of the City of Clearwater. (Attachments: # 1 Memo of Points and Authorities, # 2 Declaration of Joseph E. White, III, # 3 Certificate of Service)(Nicholas, Blair) (knb). (Entered: 05/13/2013) 06/03/ NOTICE by Alice Lai of Non-Opposition of the Lai Family to the Pending Motions for Appointment as Lead Plaintiff, Approval of Lead Counsel and for Consolidation (Attachments: # 1 Proof of Service)(Westerman, Jeff) Contacted attorney re use of caps on 6/4/2013 (knb). (Entered: 06/03/2013) 06/03/ NON Opposition re 30 MOTION to Consolidate Cases Appointment of Lead Plaintiff and Approval of Lead and Liaison Counsel, 31 MOTION to Appoint Counsel and Lead Plaintiff MOTION to Consolidate Cases, 33 MOTION to Consolidate Cases, for Appointment as Lead Plaintiff, and for Approval of Selection of Class Counsel, 32 MOTION to Consolidate Cases, for Appointment as Lead Plaintiff MOTION to Appoint Counsel Defendants' Statement of Non-Opposition in Response to Motions to Consolidate Cases and Appoint Lead Plaintiff filed by Maxwell Technologies, Inc., Kevin S. Royal, David J. Schramm. (Kinney, Kelley) (knb). (Entered: 06/03/2013) 06/03/ NOTICE of Joinder by Van M. Andrews re 35 Non Opposition to Motion, in Response to Motions to Consolidate Cases and Appoint Lead Plaintiff (Attachments: # 1 Proof of Service)(Singal, Vishali) (knb). (Entered: 06/03/2013) 06/03/ RESPONSE in Opposition re 30 MOTION to Consolidate Cases Appointment of Lead Plaintiff and Approval of Lead and Liaison Counsel, 31 MOTION to Appoint Counsel and Lead Plaintiff MOTION to Consolidate Cases, 33 MOTION to Consolidate Cases, for Appointment as Lead Plaintiff, and for Approval of Selection of Class Counsel filed by Electrical Workers Pension Fund, Local 103, I.B.E.W., Public School Teachers' Pension & Retirement Fund of Chicago. (Cochran, Brian) (knb). (Entered: 06/03/2013) 06/03/ RESPONSE in Opposition re 30 MOTION to Consolidate Cases Appointment of Lead Plaintiff and Approval of Lead and Liaison Counsel, 31 MOTION to Appoint Counsel and Lead Plaintiff MOTION to Consolidate Cases, 32 MOTION to Consolidate Cases, for Appointment as Lead Plaintiff MOTION to Appoint Counsel AND in Further Support of the Motion of the Employees' Pension Plan of the City of Clearwater for Consolidation, Appointment as Lead Plaintiff and Approval of Selection of Counsel; and Certificate of Service filed by Employees' Pension Plan of the City of Clearwater. (Nicholas, Blair) (knb). (Entered: 06/03/2013) 06/10/ REPLY to Response to Motion re 32 MOTION to Consolidate Cases, for Appointment as Lead Plaintiff MOTION to Appoint Counsel filed by Electrical Workers Pension Fund, Local 103, I.B.E.W., Public School Teachers' Pension & Retirement Fund of Chicago. (Attachments: # 1 Declaration of Brian E. Cochran in Support, # 2 Exhibit A to the Cochran Reply Decl., # 3 Exhibit B to the Cochran Reply Decl., # 4 Exhibit C to the Cochran Reply Decl.)(Cochran, Brian) (knb). (Entered: 06/10/2013)

10 06/10/ REPLY to Response to Motion re 33 MOTION to Consolidate Cases, for Appointment as Lead Plaintiff, and for Approval of Selection of Class Counsel and in Further Support of Motion filed by Employees' Pension Plan of the City of Clearwater. (Attachments: # 1 Certificate of Service)(Nicholas, Blair)(knb). (Entered: 06/10/2013) 06/11/ Minute Order issued by the Honorable Roger T. Benitez: Submitting 30 MOTION to Consolidate Cases Appointment of Lead Plaintiff and Approval of Lead and Liaison Counsel, 31 MOTION to Appoint Counsel and Lead Plaintiff MOTION to Consolidate Cases, 33 MOTION to Consolidate Cases, for Appointment as Lead Plaintiff, and for Approval of Selection of Class Counsel, 32 MOTION to Consolidate Cases, for Appointment as Lead Plaintiff MOTION to Appoint Counsel. Court to issue written Order. Motion Hearing date of 6/17/ :30AM is hereby vacated. (no document attached) (gxr) (Entered: 06/11/2013) 06/12/ NOTICE of Appearance by Lester R. Hooker on behalf of Employees' Pension Plan of the City of Clearwater (Hooker, Lester) (knb). (Entered: 06/12/2013) 06/13/ PRO HAC VICE APPOINTED: Maya Saxena appearing for Movant Employees' Pension Plan of the City of Clearwater. (vam) (Entered: 06/13/2013) 10/24/ ORDER Consolidating Related Actions, Appointing Employees' Pension Plan of the City of Clearwater as Lead Plaintiff, and Approving its Selection of Class Counsel ( 30, 31, 32, 33 ). Signed by Judge Roger T. Benitez on 10/24/2013. (knb) (Entered: 10/25/2013) 11/11/ NOTICE of Appearance by Benjamin Galdston on behalf of Employees' Pension Plan of the City of Clearwater (Attachments: # 1 Proof of Service)(Galdston, Benjamin)Attorney Benjamin Galdston added to party Employees' Pension Plan of the City of Clearwater(pty:pla) (knb). (Entered: 11/11/2013) 11/12/ Joint MOTION for Extension of Time to File Joint Motion Regarding Schedule for Filing of Consolidated Complaint and Responses Thereto by Maxwell Technologies, Inc., Kevin S. Royal, David J. Schramm. (Kinney, Kelley) (knb). (Entered: 11/12/2013) 11/14/ ORDER Granting in Part 46 Joint Motion Regarding Schedule for Filing of Consolidated Complaint and Responses Thereto. Signed by Judge Roger T. Benitez on 11/14/2013. (knb) (Entered: 11/15/2013) 01/16/ AMENDED COMPLAINT with Jury Demand CONSOLIDATED COMPLAINT FOR VIOLATIONS OF THE FEDERAL SECURITIES LAWS against All Defendants, filed by Employees' Pension Plan of the City of Clearwater. (Attachments: # 1 Proof of Service) (Galdston, Benjamin)(knb). (Entered: 01/16/2014) 01/17/ AMENDED COMPLAINT with Jury Demand CORRECTED CONSOLIDATED COMPLAINT FOR VIOLATIONS OF THE FEDERAL SECURITIES LAWS against All Defendants, filed by Employees' Pension Plan of the City of Clearwater. (Attachments: # 1 Proof of Service) (Galdston, Benjamin) (knb). (Entered: 01/17/2014) 02/20/ MOTION to Dismiss the Corrected Consolidated Complaint for Violations of the Federal Securities Laws by Maxwell Technologies, Inc., Kevin S. Royal, David J. Schramm. (Attachments: # 1 Memo of Points and Authorities, # 2 Request for Judicial Notice, # 3 Declaration with Exhibits A - O, # 4 Certificate of Service)(Kinney, Kelley) (knb). (Entered: 02/20/2014) 03/20/ RESPONSE in Opposition re 50 MOTION to Dismiss the Corrected Consolidated Complaint for Violations of the Federal Securities Laws filed by Employees' Pension Plan

11 of the City of Clearwater. (Attachments: # 1 Certificate of Service)(Galdston, Benjamin) (knb). (Entered: 03/20/2014) 04/18/ RESPONSE in Support re 50 MOTION to Dismiss the Corrected Consolidated Complaint for Violations of the Federal Securities Laws filed by Maxwell Technologies, Inc., Kevin S. Royal, David J. Schramm. (Attachments: # 1 Supplemental Declaration of Nicholas R. Miller, # 2 Certificate of Service)(Kinney, Kelley) (knb). (Entered: 04/18/2014) 05/01/ Minute Order issued by the Honorable Roger T. Benitez: Submitting 50 MOTION to Dismiss the Corrected Consolidated Complaint for Violations of the Federal Securities Laws. Court to issue written Order. Motion Hearing date of 5/19/ :30AM is hereby vacated. (no document attached) (gxr) (Entered: 05/01/2014) 05/01/ NOTICE by Maxwell Technologies, Inc., Kevin S. Royal, David J. Schramm re 50 MOTION to Dismiss the Corrected Consolidated Complaint for Violations of the Federal Securities Laws Statement of Recent Decision in Support of Maxwell Technologies, Inc.'s and Individual Defendants' Motion to Dismiss the Corrected Consolidated Complaint for Violations of the Federal Securities Laws (Miller, Nicholas) (jao). (Entered: 05/01/2014) 05/05/ ORDER Granting 50 Motion to Dismiss. If Plaintiff wishes to file an amended consolidated complaint, it must do so no later than 30 days after the date this Order is filed. Signed by Judge Roger T. Benitez on 5/5/2014. (knb) (Entered: 05/05/2014) 06/04/ AMENDED COMPLAINT with Jury Demand Amended Consolidated Complaint For Violations Of The Federal Securities Laws against Van M. Andrews, Maxwell Technologies, Inc., Kevin S. Royal, David J. Schramm, filed by Employees' Pension Plan of the City of Clearwater. (Galdston, Benjamin)(knb). (Entered: 06/04/2014) 06/09/ Joint MOTION Schedule for Filing Responses to Amended Consolidated Complaint re 56 Amended Complaint, by Maxwell Technologies, Inc., Kevin S. Royal, David J. Schramm. (Kinney, Kelley) (knb). (Entered: 06/09/2014) 06/12/ ORDER Granting 57 Joint Motion Regarding Schedule for Filing of Responses. Signed by Judge Roger T. Benitez on 6/12/2014. (knb) (Entered: 06/13/2014) 07/10/ NOTICE by Van M. Andrews of Disassociation of Karen Chen (Attachments: # 1 Proof of Service)(Chatfield, Kellin)Attorney Kellin Maurine Chatfield added to party Van M. Andrews(pty:dft) (knb). (Entered: 07/10/2014) 07/10/ NOTICE of Appearance by Kellin Maurine Chatfield on behalf of Van M. Andrews (Attachments: # 1 Proof of Service)(Chatfield, Kellin) (knb). (Entered: 07/10/2014) 07/10/ MOTION to Dismiss the Amended Consolidated Complaint for Violations of the Federal Securities Laws by Maxwell Technologies, Inc., Kevin S. Royal, David J. Schramm. (Attachments: # 1 Memo of Points and Authorities, # 2 Request for Judicial Notice, # 3 Declaration with Exhibits A - K, # 4 Exhibits L - Q, # 5 Proof of Service)(Kinney, Kelley) (knb). (Entered: 07/10/2014) 07/10/ WITHDRAWN per 64 Notice of Withdrawal of Document. MOTION to Dismiss Amended Consolidated Complaint for Violations of the Federal Securities Laws by Van M. Andrews. (Attachments: # 1 Memo of Points and Authorities)(Weiss, Shirli)(knb). (Entered: 07/10/2014) 07/10/ MOTION to Dismiss Amended Consolidated Complaint for Violations of the Federal

12 Securities Laws by Van M. Andrews. (Attachments: # 1 Memo of Points and Authorities, # 2 Declaration with Exhibit 1, # 3 Request for Judicial Notice, # 4 Proof of Service)(Weiss, Shirli) (knb). (Entered: 07/10/2014) 07/11/ NOTICE OF WITHDRAWAL OF DOCUMENT by Van M. Andrews re 62 MOTION to Dismiss Amended Consolidated Complaint for Violations of the Federal Securities Laws filed by Van M. Andrews. (Weiss, Shirli) (knb). (Entered: 07/11/2014) 07/11/ NOTICE by Van M. Andrews re 63 MOTION to Dismiss Amended Consolidated Complaint for Violations of the Federal Securities Laws Notice of Errata (Chatfield, Kellin) (knb). (Entered: 07/11/2014) 07/11/ CERTIFICATE OF SERVICE by Van M. Andrews re 63 MOTION to Dismiss Amended Consolidated Complaint for Violations of the Federal Securities Laws Amended (Weiss, Shirli) (knb). (Entered: 07/11/2014) 08/08/ MOTION for Leave to File Lead Plaintiff's Motion for Leave of Court to file Omnibus Response in Opposition to Defendants' Motions to Dismiss the Amended Consolidated Complaint for Violations of the Federal Securities Law by Employees' Pension Plan of the City of Clearwater. (Galdston, Benjamin) (knb). (Entered: 08/08/2014) 08/11/ ORDER Granting Lead Plaintiff's 67 Motion for Leave to File Omnibus Response in Opposition to Defendants' Motions to Dismiss. Signed by Judge Roger T. Benitez on 8/11/2014. (knb) (Entered: 08/12/2014) 08/18/ RESPONSE in Opposition re 63 MOTION to Dismiss Amended Consolidated Complaint for Violations of the Federal Securities Laws, 61 MOTION to Dismiss the Amended Consolidated Complaint for Violations of the Federal Securities Laws filed by Employees' Pension Plan of the City of Clearwater. (Galdston, Benjamin) Contacted attorney re missing Proof of Service on 8/19/2014 (knb). (Entered: 08/18/2014) 08/19/ CERTIFICATE OF SERVICE by Employees' Pension Plan of the City of Clearwater re 69 Response in Opposition to Motion, (Galdston, Benjamin)(knb). (Entered: 08/19/2014) 08/20/ NOTICE of Change of Address by Benjamin Galdston (Attachments: # 1 Certificate of Service)(Galdston, Benjamin) (knb). (Entered: 08/20/2014) 09/08/ Joint MOTION for Extension of Time to File by Maxwell Technologies, Inc., Kevin S. Royal, David J. Schramm. (Kinney, Kelley) (knb). (Entered: 09/08/2014) 09/11/ ORDER Granting in Part and Denying in Part 72 Joint Motion Regarding Extension of Time. Defendants shall file their replies in support of their pending motions to dismiss no later than 10/20/2014. The hearing date on the motions is continued to 11/3/2014. Signed by Judge Roger T. Benitez on 9/11/2014. (knb) (Entered: 09/12/2014) 10/06/ STATUS REPORT (Joint) by Maxwell Technologies, Inc., Kevin S. Royal, David J. Schramm. (Kinney, Kelley) (knb). (Entered: 10/06/2014) 10/16/ MOTION for Settlement Lead Plaintiff's Unopposed Motion For Preliminary Approval Of Class Action Settlement by Employees' Pension Plan of the City of Clearwater. (Attachments: # 1 Memo of Points and Authorities, # 2 Exhibit 1 Stipulation of Settlement [Part 1], # 3 Exhibit 1 Stipulation of Settlement [Part 2], # 4 Exhibit A, # 5 Exhibit A-1, # 6 Exhibit A-2, # 7 Exhibit A-3, # 8 Exhibit B)(Galdston, Benjamin) (knb). (Entered: 10/16/2014) 10/30/ NOTICE of Change of Hearing on 61 MOTION to Dismiss the Amended Consolidated

13 Complaint for Violations of the Federal Securities Laws, 63 MOTION to Dismiss Amended Consolidated Complaint for Violations of the Federal Securities Laws: Motion Hearing reset for 1/5/ :30 AM in Courtroom 5A before Judge Roger T. Benitez. (no document attached) (gxr) (Entered: 10/30/2014) 11/03/ ORDER Preliminarily Approving Settlement, Certifying Settlement Class and Providing for Notice of Settlement. Signed by Judge Roger T. Benitez on 10/30/2014. (knb) (Main Document 77 replaced to correct hearing year on page 2 on 11/5/2014) (knb). (Entered: 11/03/2014) 12/31/ MOTION for Final Approval of Class Action Settlement by Employees' Pension Plan of the City of Clearwater. (Attachments: # 1 Memo of Points and Authorities, # 2 Declaration Declaration of Lester Hooker)(Hooker, Lester). Modified on 1/2/ Edited text (jah). (Entered: 12/31/2014) 12/31/ CERTIFICATE OF SERVICE by Employees' Pension Plan of the City of Clearwater re 78 MOTION for Final Approval of Class Action Settlement (Hooker, Lester). Modified on 1/2/ Edited text (jah). (Entered: 12/31/2014) 01/05/ NOTICE of Change of Hearing on 61 MOTION to Dismiss the Amended Consolidated Complaint for Violations of the Federal Securities Laws, 63 MOTION to Dismiss Amended Consolidated Complaint for Violations of the Federal Securities Laws : Motion Hearing reset for 2/5/ :00 AM in Courtroom 5A before Judge Roger T. Benitez. (no document attached) (gxr) (Entered: 01/05/2015) 01/29/ REPLY - Other re 78 MOTION for Final Approval of Class Action Settlement Reply Brief in Further Support of Motion for Final Approval of Settlement; Class Certification; Approval of Plan of Allocation; and Lead Counsel's Application for Award of Attorneys' Fees and Expenses and Lead Plaintiff's Reimbursement filed by Employees' Pension Plan of the City of Clearwater. (Attachments: # 1 Declaration, # 2 proposed Order and Final Judgment, # 3 Certificate of Service)(Hooker, Lester) (knb). (Entered: 01/29/2015) 02/05/ Notice of Document Discrepancies and Order Thereon by Judge Roger T. Benitez Accepting re (81-1) Proposed Order, from Plaintiff Employees' Pension Plan of the City of Clearwater. Non-compliance with local rule(s), ECF 2(h): Includes a proposed order or requires judges signature, Proposed Order should be submitted to Judges efile account in Word of WordPerfect. IT IS HEREBY ORDERED: The document is accepted despite the discrepancy noted above. Any further non-compliant documents may be stricken from the record. Signed by chambers of Judge Roger T. Benitez on 2/5/2015.(knb) (Entered: 02/05/2015) 02/05/ Minute Entry for proceedings held before Judge Roger T. Benitez: Motion Hearing held on 2/5/2015. Submitting 78 MOTION for Final Approval of Class Action Settlement filed by Employees' Pension Plan of the City of Clearwater. Counsel to submit to the Court a proposed Order. (Court Reporter/ECR Debbie OConnell). (Plaintiff Attorney Benjamin Galdston, Lester R. Hooker). (Defendant Attorney Kelley Moohr Kinney, Shirli Fabbri Weiss). (no document attached) (gxr) (Entered: 02/05/2015) 02/17/ ORDER AND FINAL JUDGMENT of Dismissal with Prejudice. The Court finds that an award of attorneys' fees to Settlement Class Counsel in the amount of $1,074, and litigation expenses of $74, is fair and reasonable. In addition, the Court grants the amount of $5,000 to Lead Plaintiff as reimbursement of its reasonable time, costs and expenses directly relating to its representation of the Settlement Class. Signed by Judge Roger T. Benitez on 2/16/2015.(knb) (Entered: 02/18/2015)

14 04/20/ Notice of Document Discrepancies and Order Thereon by Judge Roger T. Benitez Accepting Document: Letter from Harry Landis. Non-compliance with local rule(s), OTHER: Ex parte communications. Nunc Pro Tunc 4/10/2015. Signed by the Chambers of Judge Roger T. Benitez on 4/20/2015.(aef) (Entered: 04/20/2015) 04/20/ Letter from Harry Landis. Nunc Pro Tunc 4/10/2015. (aef) (Entered: 04/20/2015) 09/02/ MOTION for Approval of Distribution of Settlement Fund by Employees' Pension Plan of the City of Clearwater (Attachments: # 1 Memo of Points and Authorities)(Galdston, Benjamin) Modified to correct event used on 9/2/2016 (knb). (Entered: 09/02/2016) 09/29/ NOTICE of Hearing on Motion 87 MOTION for Approval of Distribution of Settlement Fund : Motion Hearing set for 11/14/ :30 AM in Courtroom 5A before Judge Roger T. Benitez. (no document attached) (gxr) (Entered: 09/29/2016) Note: Links in this docket are stored in the PACER system (Public Access to Court Electronic Records). PACER is a service of United States Judiciary. To view and retrieve the linked documents from PACER, you must be a registered user. To register, fill out one of the registration forms available on the PACER site. The United States Congress has given the Judicial Conference of the United States, the judicial governing body of the U.S. Federal Courts, authority to impose user fees for electronic access to case information. For more information visit the PACER site at