U.S. District Court District of New Jersey [LIVE] (Newark) CIVIL DOCKET FOR CASE #: 2:16-cv SDW-LDW

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1 US District Court Civil Docket as of December 12, 2017 Retrieved from the court on December 12, 2017 U.S. District Court District of New Jersey [LIVE] (Newark) CIVIL DOCKET FOR CASE #: 2:16-cv SDW-LDW BALON v. AGRIA CORPORATION et al Assigned to: Judge Susan D. Wigenton Referred to: Magistrate Judge Leda D. Wettre Cause: 15:78m(a) Securities Exchange Act Plaintiff ETIENNE BALON individually and on behelf of all others similarly situated Date Filed: 11/09/2016 Date Terminated: 05/09/2017 Jury Demand: Plaintiff Nature of Suit: 850 Securities/Commodities Jurisdiction: Federal Question represented by JING CHEN THE ROSEN LAW FIRM 609 W. South Orange Avenue Suite 2P SOUTH ORANGE, NJ (973) LAURENCE M. ROSEN THE ROSEN LAW FIRM, PA 609 W. South Orange Avenue Suite 2P SOUTH ORANGE, NJ (973) Plaintiff Xiao Ming Zhou represented by JING CHEN (See above for address) LAURENCE M. ROSEN (See above for address) V.

2 AGRIA CORPORATION represented by GREGORY STEPHEN MORTENSON LATHAM & WATKINS LLP 885 THIRD AVENUE NEW YORK, NY GUANGLIN LAI XIE TAO JOHN FULTON PATRICK WAI YIP TSANG JOHN LAYBURN TERMINATED: 03/09/2017 WAH KWONG TSANG Date Filed # Docket Text 11/09/ COMPLAINT against AGRIA CORPORATION, JOHN FULTON, GUANGLIN LAI, JOHN LAYBURN, XIE TAO, PATRICK WAI YIP TSANG, WAH KWONG TSANG ( Filing and Admin fee $ 400 receipt number ) with JURY DEMAND, filed by ETIENNE BALON. (Attachments: # 1 PSLRA Certification, # 2 Civil Cover Sheet)(ROSEN, LAURENCE) (Entered: 11/09/2016) 11/09/ Request for Summons to be Issued by ETIENNE BALON as to AGRIA CORPORATION, JOHN FULTON, GUANGLIN LAI, JOHN LAYBURN, XIE TAO, PATRICK WAI YIP TSANG, WAH KWONG TSANG. (ROSEN, LAURENCE) (Entered: 11/09/2016) 11/09/ Corporate Disclosure Statement by ETIENNE BALON. (ROSEN, LAURENCE) (Entered: 11/09/2016) 11/09/2016 Case assigned to Judge Susan D. Wigenton and Magistrate Judge Leda D. Wettre. (jr) (Entered: 11/09/2016) 11/09/ SUMMONS ISSUED as to AGRIA CORPORATION, JOHN FULTON, GUANGLIN LAI, JOHN LAYBURN, XIE TAO, PATRICK WAI YIP TSANG, WAH KWONG TSANG Attached is the official court Summons, please fill out and Plaintiffs attorney information and serve. Issued By *John Reilly* (jr) (Entered: 11/09/2016)

3 01/09/ MOTION to Appoint Counsel Lead Attorney: Rosen Law Firm., MOTION to Appoint Lead Plaintiff by ETIENNE BALON, Xiao Ming Zhou. (Attachments: # 1 Text of Proposed Order, # 2 Brief, # 3 Declaration of Laurence Rosen ("Rosen Decl."), # 4 Exhibit 1 to Rosen Decl., # 5 Exhibit 2 to Rosen Decl., # 6 Exhibit 3 to Rosen Decl., # 7 Exhibit 4 to Rosen Decl.)(ROSEN, LAURENCE) (Entered: 01/09/2017) 01/10/2017 Set/Reset Deadlines as to 5 MOTION to Appoint Counsel Lead Attorney: Rosen Law Firm. MOTION to Appoint Lead Plaintiff. Motion set for 2/6/2017 before Judge Susan D. Wigenton. Unless otherwise directed by the Court, this motion will be decided on the papers and no appearances are required. Note that this is an automatically generated message from the Clerk`s Office and does not supersede any previous or subsequent orders from the Court. (DD, ) (Entered: 01/10/2017) 01/16/ SUMMONS Returned Executed by ETIENNE BALON. All s. (ROSEN, LAURENCE) (Entered: 01/16/2017) 01/24/ NOTICE by ETIENNE BALON, Xiao Ming Zhou re 5 MOTION to Appoint Counsel Lead Attorney: Rosen Law Firm. MOTION to Appoint Lead Plaintiff Notice of Non- Opposition to Lead Plaintiff Motion (ROSEN, LAURENCE) (Entered: 01/24/2017) 02/01/ NOTICE of Appearance by GREGORY STEPHEN MORTENSON on behalf of AGRIA CORPORATION (Attachments: # 1 Certificate of Service)(MORTENSON, GREGORY) (Entered: 02/01/2017) 02/01/ Corporate Disclosure Statement by AGRIA CORPORATION identifying No Corporate Parent as Corporate Parent.. (Attachments: # 1 Certificate of Service)(MORTENSON, GREGORY) (Entered: 02/01/2017) 02/01/ Application and Proposed Order for Clerk's Order to extend time to answer as to Agria Corporation.. (Attachments: # 1 Certification --Local Civil Rule 11.2 Certification, # 2 Certificate of Service)(MORTENSON, GREGORY) (Entered: 02/01/2017) 02/02/2017 Clerk`s Text Order - The document 10 Application for Clerk's Order to Ext Answer/Proposed Order submitted by AGRIA CORPORATION has been GRANTED. The answer due date has been set for 2/17/17. (DD, ) (Entered: 02/02/2017) 02/03/ STIPULATION and [Proposed] Order to Amend the Complaint and Related Briefing by AGRIA CORPORATION. (Attachments: # 1 Text of Proposed Order)(MORTENSON, GREGORY) (Entered: 02/03/2017) 02/06/ NOTICE of Appearance by JING CHEN on behalf of ETIENNE BALON, Xiao Ming Zhou (CHEN, JING) (Entered: 02/06/2017) 02/06/ ORDER that Agrias time for serving responsive pleading to the currently operative Complaint is hereby stayed; Plaintiffs date to file the Consolidated Amended Consolidated Class Action Complaint (the Amended Complaint) is (30) days from the date of this Order; Agrias date to answer or move is adjourned until (30) days from the date that Plaintiff files an Amended Complaint; Plaintiffs date to respond Agrias motion to dismiss the Amended Complaint is (14) days from the date that Agria files a motion to dismiss; Agrias date to reply is (14) days from the date that Plaintiff files his opposition to a motion to dismiss. Signed by Judge Susan D. Wigenton on 2/6/17. (DD, ) (Entered: 02/06/2017) 02/07/ MOTION for Leave to Appear Pro Hac Vice of James J. Farrell by AGRIA CORPORATION. (Attachments: # 1 Certification of Gregory Mortenson, # 2

4 Certification of James J. Farrell, # 3 Text of Proposed Order, # 4 Certificate of Service)(MORTENSON, GREGORY) (Entered: 02/07/2017) 02/07/2017 Set/Reset Deadlines as to 14 MOTION for Leave to Appear Pro Hac Vice of James J. Farrell. Motion set for 3/6/2017 before Judge Susan D. Wigenton. Unless otherwise directed by the Court, this motion will be decided on the papers and no appearances are required. Note that this is an automatically generated message from the Clerk`s Office and does not supersede any previous or subsequent orders from the Court. (DD, ) (Entered: 02/07/2017) 02/23/ ORDER granting 14 Motion for Leave to Appear Pro Hac Vice as to JAMES J. FARRELL, ESQ. Signed by Magistrate Judge Leda D. Wettre on 2/22/17. (DD, ) (Entered: 02/23/2017) 02/24/ Notice of Request by Pro Hac Vice James J. Farrell to receive Notices of Electronic Filings. ( Pro Hac Vice fee $ 150 receipt number ) (MORTENSON, GREGORY) (Entered: 02/24/2017) 02/27/2017 Pro Hac Vice counsel, JAMES J. FARRELL, has been added to receive Notices of Electronic Filing. Pursuant to L.Civ.R , only local counsel are entitled to sign and file papers, enter appearances and receive payments on judgments, decrees or orders. (DD, ) (Entered: 02/27/2017) 03/06/ ORDER granting 5 Motion to Appoint Counsel - The RosenLaw Firm, P.A. is appointed Lead Counsel.; granting 5 Motion to Appoint Lead Plaintiff.. Signed by Magistrate Judge Leda D. Wettre on 3/6/17. (DD, ) (Entered: 03/07/2017) 03/08/ AMENDED COMPLAINT against AGRIA CORPORATION, JOHN FULTON, GUANGLIN LAI, WAH KWONG TSANG, filed by ETIENNE BALON, Xiao Ming Zhou.(ROSEN, LAURENCE) (Entered: 03/08/2017) 04/07/ MOTION to Dismiss by AGRIA CORPORATION. (Attachments: # 1 Brief - Memorandum of Law in Support of 's motion to Dismiss Plaintiffs' Amended Complaint, # 2 Declaration -- Declaration of Gregory Mortenson in Support of 's Motion to Dismiss Plaintiffs' Amended Complaint, # 3 -- Request for Judicial Notice in Support of 's Motion to Dismiss Plaintiffs' Amended Complaint, # 4 Text of Proposed Order, # 5 Certificate of Service)(MORTENSON, GREGORY) (Entered: 04/07/2017) 04/10/2017 Set/Reset Deadlines as to 19 MOTION to Dismiss. Motion set for 5/15/2017 before Judge Susan D. Wigenton. Unless otherwise directed by the Court, this motion will be decided on the papers and no appearances are required. Note that this is an automatically generated message from the Clerk`s Office and does not supersede any previous or subsequent orders from the Court. (DD, ) (Entered: 04/10/2017) 04/21/ MEMORANDUM in Opposition filed by ETIENNE BALON, Xiao Ming Zhou re 19 MOTION to Dismiss (Attachments: # 1 Rosen Declaration with Exhibits 1-3)(ROSEN, LAURENCE) (Entered: 04/21/2017) 05/02/ MOTION for Leave to Appear Pro Hac Vice of Lilia B. Vazova by AGRIA CORPORATION. (Attachments: # 1 Certification of Gregory Mortenson, # 2 Certification of Lilia B. Vazova, # 3 Text of Proposed Order, # 4 Certificate of Service)(MORTENSON, GREGORY) (Entered: 05/02/2017) 05/03/2017 Set/Reset Deadlines as to 21 MOTION for Leave to Appear Pro Hac Vice of Lilia B. Vazova. Motion set for 6/5/2017 before Judge Susan D. Wigenton. Unless otherwise

5 directed by the Court, this motion will be decided on the papers and no appearances are required. Note that this is an automatically generated message from the Clerk`s Office and does not supersede any previous or subsequent orders from the Court. (DD, ) (Entered: 05/03/2017) 05/05/ REPLY BRIEF to Opposition to Motion filed by AGRIA CORPORATION re 19 MOTION to Dismiss (Attachments: # 1 Certificate of Service)(MORTENSON, GREGORY) (Entered: 05/05/2017) 05/08/ NOTICE of Settlement by ETIENNE BALON, Xiao Ming Zhou (ROSEN, LAURENCE) (Entered: 05/08/2017) 05/09/ Order Administratively Terminating Action - 60 Day, Pending Consummation of Settlement.( Administrative Termination deadline set for 7/10/2017). Signed by Judge Susan D. Wigenton on 5/9/17. (DD, ) (Entered: 05/09/2017) 06/30/ MOTION for Settlement Lead Plaintiffs' Unopposed Motion For Entry of Order Preliminarily Approving Settlement and Establishing Notice Procedures by ETIENNE BALON, Xiao Ming Zhou. (Attachments: # 1 Stipulation and Agreement of Settlement, # 2 Exhibit Exhibit A: Proposed Preliminary Approval Order, # 3 Exhibit Exhibit A-1: Long Notice, # 4 Exhibit Exhibit A-2: Summary Notice, # 5 Exhibit Exhibit A-3: Proof of Claim, # 6 Exhibit Ex B: Proposed Final Judgment Order)(ROSEN, LAURENCE) (Entered: 06/30/2017) 06/30/ MEMORANDUM in Support filed by ETIENNE BALON, Xiao Ming Zhou re 25 MOTION for Settlement Lead Plaintiffs' Unopposed Motion For Entry of Order Preliminarily Approving Settlement and Establishing Notice Procedures (ROSEN, LAURENCE) (Entered: 06/30/2017) 07/05/2017 Set/Reset Deadlines as to 25 MOTION for Settlement Lead Plaintiffs' Unopposed Motion For Entry of Order Preliminarily Approving Settlement and Establishing Notice Procedures. Motion set for 8/7/2017 before Judge Susan D. Wigenton. Unless otherwise directed by the Court, this motion will be decided on the papers and no appearances are required. Note that this is an automatically generated message from the Clerk`s Office and does not supersede any previous or subsequent orders from the Court. (DD, ) (Entered: 07/05/2017) 07/07/ DECLARATION of Gregory Mortenson Regarding Compliance with 28 U.S.C. 1715(b) by AGRIA CORPORATION. (Attachments: # 1 Exhibit 1- CAFA Notices)(MORTENSON, GREGORY) (Entered: 07/07/2017) 07/27/ NOTICE by ETIENNE BALON, Xiao Ming Zhou re 25 MOTION for Settlement Lead Plaintiffs' Unopposed Motion For Entry of Order Preliminarily Approving Settlement and Establishing Notice Procedures NOTICE OF NON-OPPOSITION (ROSEN, LAURENCE) (Entered: 07/27/2017) 08/08/ ORDER preliminarily approving settlement and providing for notice, ( Final Settlement Hearing set for 12/13/ :00 AM before Judge Susan D. Wigenton.); etc. Signed by Judge Susan D. Wigenton on 8/8/17. (DD, ) (Entered: 08/09/2017) 09/25/ NOTICE OF OBJECTION TO SETTLEMENT by Emanuele Intorrella (DD, ) (Entered: 09/26/2017) 10/27/ TEXT ORDER: Counsel is advised that the Final Settlement Hearing is re-scheduled to 12/12/17 at 11:00 AM before the Hon. Susan D. Wigenton, Courtroom 5C, in

6 Newark. Appearances required. So Ordered by Judge Susan D. Wigenton on 10/27/17. (cds, ) (Entered: 10/27/2017) 11/07/ MOTION for Settlement Final Approval of Class Action Settlement by ETIENNE BALON, Xiao Ming Zhou. (ROSEN, LAURENCE) (Entered: 11/07/2017) 11/07/ MEMORANDUM in Support filed by ETIENNE BALON, Xiao Ming Zhou re 32 MOTION for Settlement Final Approval of Class Action Settlement (Attachments: # 1 Text of Proposed Order)(ROSEN, LAURENCE) (Entered: 11/07/2017) 11/07/ MOTION for Attorney Fees, Reimbursement of Expenses, and Award to Lead Plaintiffs by ETIENNE BALON, Xiao Ming Zhou. (ROSEN, LAURENCE) (Entered: 11/07/2017) 11/07/ MEMORANDUM in Support filed by ETIENNE BALON, Xiao Ming Zhou re 34 MOTION for Attorney Fees, Reimbursement of Expenses, and Award to Lead Plaintiffs (Attachments: # 1 Text of Proposed Order)(ROSEN, LAURENCE) (Entered: 11/07/2017) 11/07/ AFFIDAVIT in Support filed by ETIENNE BALON, Xiao Ming Zhou re 34 MOTION for Attorney Fees, Reimbursement of Expenses, and Award to Lead Plaintiffs, 32 MOTION for Settlement Final Approval of Class Action Settlement (Attachments: # 1 Exhibit, # 2 Exhibit, # 3 Exhibit, # 4 Exhibit)(ROSEN, LAURENCE) (Entered: 11/07/2017) 11/07/2017 Set/Reset Deadlines as to 32 MOTION for Settlement Final Approval of Class Action Settlement, 34 MOTION for Attorney Fees, Reimbursement of Expenses, and Award to Lead Plaintiffs. Motion set for 12/12/2017 before Judge Susan D. Wigenton. Unless otherwise directed by the Court, this motion will be decided on the papers and no appearances are required. Note that this is an automatically generated message from the Clerk`s Office and does not supersede any previous or subsequent orders from the Court. (DD, ) (Entered: 11/07/2017) 11/28/ RESPONSE in Support filed by ETIENNE BALON, Xiao Ming Zhou re 34 MOTION for Attorney Fees, Reimbursement of Expenses, and Award to Lead Plaintiffs, 32 MOTION for Settlement Final Approval of Class Action Settlement (Attachments: # 1 Declaration of Josephine Bravata (Supplemental))(ROSEN, LAURENCE) (Entered: 11/28/2017) 12/12/ Minute Entry for proceedings held before Judge Susan D. Wigenton: Motion Hearing held on 12/12/2017 re 34 MOTION for Attorney Fees, Reimbursement of Expenses, and Award to Lead Plaintiffs filed by ETIENNE BALON, Xiao Ming Zhou, 32 MOTION for Settlement Final Approval of Class Action Settlement filed by ETIENNE BALON, Xiao Ming Zhou. Court ORDERED motions GRANTED. OTBS (Court Reporter/Recorder JOANNE L. SEKELLA.) (lr, ) (Entered: 12/12/2017) 12/12/ ORDER granting 34 Motion for Attorney Fees. Signed by Judge Susan D. Wigenton on 12/12/17. (DD, ) (Entered: 12/12/2017) 12/12/ ORDER granting 32 Motion for Settlement. Signed by Judge Susan D. Wigenton on 12/12/17. (DD, ) (Entered: 12/12/2017)

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