U.S. District Court Southern District of New York (Foley Square) CIVIL DOCKET FOR CASE #: 1:12-cv JGK

Transcription

1 US District Court Civil Docket as of November 15, 2012 Retrieved from the court on November 15, 2012 U.S. District Court Southern District of New York (Foley Square) CIVIL DOCKET FOR CASE #: 1:12-cv JGK Silsby v. Icahn et al Assigned to: Judge John G. Koeltl Cause: 15:78m(a) Securities Exchange Act Lead Plaintiff Stephen Lucas Plaintiff Charles Silsby Individually and On Behalf of All Others Similarly Situated Date Filed: 03/28/2012 Jury Demand: Plaintiff Nature of Suit: 850 Securities/Commodities Jurisdiction: Federal Question represented by Nicholas Ian Porritt Levi & Korsinsky LLP (DC) th, Street, NW Washington, DC (202) Fax: (202) represented by Richard William Gonnello Faruqi & Faruqi, LLP 369 Lexington Avenue, 10th fl. New York, Ny (212) Fax: (212) PRO HAC VICE Emily C. Komlossy Faruqi & Faruqi, LLP 369 Lexington Avenue 10th Floor New York, NY (212) Fax: (212) Francis Paul McConville Faruqi & Faruqi, LLP 369 Lexington Avenue

2 10th Floor New York, NY (212) Fax: (212) V. Defendant Carl C. Icahn Defendant Dynegy Inc. represented by Robert R. Viducich Sole Practitioner 110 Wall Street, 11th Floor New York, NY (212) represented by Douglas P. Baumstein White & Case LLP (NY) 1155 Ave of the Americas New York, NY (212) Fax: (212) Glenn Kurtz White & Case LLP (NY) 1155 Ave of the Americas New York, NY (212) Fax: (212) Defendant Robert C. Flexon represented by Douglas P. Baumstein (See above for address) Glenn Kurtz (See above for address)

3 Defendant Clint Freeland represented by Douglas P. Baumstein (See above for address) Glenn Kurtz (See above for address) Date Filed 03/28/ /28/ /28/2012 # Docket Text COMPLAINT against Dynegy Inc., Robert C. Flexon, Clint Freeland, Carl C. Icahn. (Filing Fee $ , Receipt Number 3774)Document filed by Charles Silsby.(ama) (Entered: 03/29/2012) SUMMONS ISSUED as to Dynegy Inc., Robert C. Flexon, Clint Freeland, Carl C. Icahn. (ama) (Entered: 03/29/2012) Magistrate Judge Michael H. Dolinger is so designated. (ama) (Entered: 03/29/2012) 03/28/ Case Designated ECF. (ama) (Entered: 03/29/2012) 03/28/ /11/ STANDING ORDER IN RE PILOT PROJECT REGARDING CASE MANAGEMENT TECHNIQUES FOR COMPLEX CIVIL CASES IN THE SOUTHERN DISTRICT OF NEW YORK (See M Order filed November 1, 2011). This case is hereby designated for inclusion in the Pilot Project Regarding Case Management Techniques for Complex Civil Cases in the Southern District of New York (the Pilot Project), unless the judge to whom this case is assigned determines otherwise. This case is designated for inclusion in the Pilot Project because it is a class action, an MDL action, or is in one of the following Nature of Suit categories: 160, 245, 315, 355, 365, 385, 410, 830, 840, 850, 893, or 950. The presiding judge in a case that does not otherwise qualify for inclusion in the Pilot Project may nevertheless designate the case for inclusion in the Pilot Project by issuing an order directing that the case be included in the Pilot Project. The description of the Pilot Project, including procedures to be followed, is attached to this Order. (Signed by Judge Loretta A. Preska on 10/31/2011) (ama) (Entered: 03/29/2012) NOTICE OF COURT CONFERENCE: You are directed to appear for a pretrial conference, to be held on Monday, June 4, 2012 in Courtroom 12B, at 4:30pm in front of the Honorable John G. Koeltl. All requests for adjournments must be made in writing to the Court. For any further information, please contact the Court at (212) Pretrial Conference set for 6/4/2012 at 04:30 PM in Courtroom 12B, 500 Pearl Street, New York, NY before Judge John G. Koeltl. (lmb) (Entered: 04/11/2012) 04/24/ AFFIDAVIT OF SERVICE. Dynegy Inc. served on 4/9/2012, answer due 4/30/2012. Service was accepted by AMBER CARROUTH, CT CORPORATION SYSTEM. Document filed by Charles Silsby. (Gonnello, Richard) (Entered: 04/24/2012) 04/24/2012 AFFIDAVIT OF SERVICE. Carl C. Icahn served on 4/9/2012, answer due 4/30/

4 Service was accepted by SUE K. ZIPPO, ICAHN ENTERPRISES HOLDINGS LP. Document filed by Charles Silsby. (Gonnello, Richard) (Entered: 04/24/2012) 04/26/ JOINT STIPULATION AND ORDER EXTENDING TIME FOR ALL DEFENDANTS TO RESPOND TO PLAINTIFF'S COMPLAINT: THE PARTIES HEREBY STIPULATE AND AGREE that the time for Defendants to respond to the Complaint, by answer, motion, or otherwise, is hereby adjourned without date. (Signed by Judge John G. Koeltl on 4/26/2012) (jfe) (Entered: 04/26/2012) 05/09/ NOTICE OF APPEARANCE by Robert R. Viducich on behalf of Carl C. Icahn (Viducich, Robert) (Entered: 05/09/2012) 05/24/ NOTICE OF APPEARANCE by Douglas P. Baumstein on behalf of Dynegy Inc., Robert C. Flexon, Clint Freeland (Baumstein, Douglas) (Entered: 05/24/2012) 05/24/ NOTICE OF APPEARANCE by Glenn Kurtz on behalf of Dynegy Inc., Robert C. Flexon, Clint Freeland (Kurtz, Glenn) (Entered: 05/24/2012) 05/24/ RULE 7.1 CORPORATE DISCLOSURE STATEMENT. No Corporate Parent. Document filed by Dynegy Inc..(Kurtz, Glenn) (Entered: 05/24/2012) 05/29/ MOTION to Appoint Stephen Lucas to serve as lead plaintiff(s). Document filed by Stephen Lucas. (Attachments: # 1 Text of Proposed Order)(Porritt, Nicholas) (Entered: 05/29/2012) 05/29/ MEMORANDUM OF LAW in Support re: 11 MOTION to Appoint Stephen Lucas to serve as lead plaintiff(s).. Document filed by Stephen Lucas. (Porritt, Nicholas) (Entered: 05/29/2012) 05/29/ DECLARATION of Nicholas I. Porritt in Support re: 11 MOTION to Appoint Stephen Lucas to serve as lead plaintiff(s).. Document filed by Stephen Lucas. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D)(Porritt, Nicholas) (Entered: 05/29/2012) 05/29/ MOTION to Appoint CHARLES SILSBY to serve as lead plaintiff(s). Document filed by Charles Silsby. (Attachments: # 1 Text of Proposed Order)(Gonnello, Richard) (Entered: 05/29/2012) 05/29/ MEMORANDUM OF LAW in Support re: 14 MOTION to Appoint CHARLES SILSBY to serve as lead plaintiff(s).. Document filed by Charles Silsby. (Gonnello, Richard) (Entered: 05/29/2012) 05/29/ DECLARATION of RICHARD W. GONNELLO in Support re: 14 MOTION to Appoint CHARLES SILSBY to serve as lead plaintiff(s).. Document filed by Charles Silsby. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C)(Gonnello, Richard) (Entered: 05/29/2012) 06/04/2012 Minute Entry for proceedings held before Judge John G. Koeltl: Initial Pretrial Conference held on 6/4/2012. (lmb) (Entered: 07/13/2012) 06/05/ ORDER. Responses to the motions for appointment as lead plaintiff in this case should be filed by June 14, Replies to those responses should be filed by June 25, The Court will hear oral argument on the motions on July 13, 2012 at 4:30 p.m. ( Responses due by 6/14/2012. Replies due by 6/25/2012. Oral Argument set for

5 7/13/2012 at 04:30 PM before Judge John G. Koeltl. ) (Signed by Judge John G. Koeltl on 6/4/2012) (bw) (Entered: 06/05/2012) 06/14/ MEMORANDUM OF LAW in Opposition re: 11 MOTION to Appoint Stephen Lucas to serve as lead plaintiff(s). CHARLES SILSBY'S RESPONSE TO STEPHEN LUCAS'S MOTION FOR APPOINTMENT AS LEAD PLAINTIFF AND APPROVAL OF HIS SELECTION OF COUNSEL. Document filed by Charles Silsby. (Gonnello, Richard) (Entered: 06/14/2012) 06/14/ DECLARATION of RICHARD W. GONNELLO in Opposition re: 11 MOTION to Appoint Stephen Lucas to serve as lead plaintiff(s).. Document filed by Charles Silsby. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C)(Gonnello, Richard) (Entered: 06/14/2012) 06/14/ MEMORANDUM OF LAW in Support re: 11 MOTION to Appoint Stephen Lucas to serve as lead plaintiff(s).. Document filed by Stephen Lucas. (Porritt, Nicholas) (Entered: 06/14/2012) 06/25/ REPLY MEMORANDUM OF LAW in Support re: 14 MOTION to Appoint CHARLES SILSBY to serve as lead plaintiff(s)., 11 MOTION to Appoint Stephen Lucas to serve as lead plaintiff(s).. Document filed by Charles Silsby. (Gonnello, Richard) (Entered: 06/25/2012) 06/25/ DECLARATION of RICHARD W. GONNELLO in Support re: 14 MOTION to Appoint CHARLES SILSBY to serve as lead plaintiff(s)., 11 MOTION to Appoint Stephen Lucas to serve as lead plaintiff(s).. Document filed by Charles Silsby. (Attachments: # 1 Exhibit A)(Gonnello, Richard) (Entered: 06/25/2012) 06/25/ REPLY MEMORANDUM OF LAW in Support re: 11 MOTION to Appoint Stephen Lucas to serve as lead plaintiff(s).. Document filed by Stephen Lucas. (Porritt, Nicholas) (Entered: 06/25/2012) 07/05/ RESPONSE in Support re: 14 MOTION to Appoint CHARLES SILSBY to serve as lead plaintiff(s). SUPPLEMENTAL FILING IN CONNECTION WITH PLAINTIFF CHARLES SILSBY'S MOTION FOR APPOINTMENT AS LEAD PLAINTIFF AND APPROVAL OF HIS SELECTION OF COUNSEL. Document filed by Charles Silsby. (Attachments: # 1 Exhibit A, # 2 Exhibit B PART 1, # 3 Exhibit B PART 2, # 4 Exhibit B PART 3, # 5 Exhibit C)(Komlossy, Emily) (Entered: 07/05/2012) 07/09/ ORDER: Because the defendant, Dynegy, Inc., has filed a voluntary petition for relief under Chapter 11 of the Bankruptcy Code, this case is stayed as to Dynegy, Inc. The Court will proceed with the argument of the current motions as they relate to the remaining defendants at the conference scheduled for July 13, 2012 at 4:30 p.m. SO ORDERED. (Signed by Judge John G. Koeltl on 7/07/2012) (ama) (Entered: 07/09/2012) 07/09/2012 Case Stayed (ama) (Entered: 07/09/2012) 07/13/ ORDER APPOINTING STEPHEN LUCAS AS LEAD PLAINTIFF AND APPROVING HIS SELECTION OF COUNSEL: granting 11 Motion to Appoint Stephen Lucas as Lead Plaintiff(s) Lucas has moved this Court to be appointed as Lead Plaintiff in the above- captioned action (the "Action") and to approve the counsel he retained to be Lead Counsel. Having considered the provisions of Section 21D(a)(3)(B)

6 of the PSLRA, 15 U.S.C. 78u-4(a)(3)(B), the Court hereby determines that Lucas is the most adequate plaintiff and satisfies the requirements of the PSLRA. The Court hereby appoints Lucas as Lead Plaintiff to represent the interests of the class in the Action. Pursuant to Section 21D(a)(3)(B)(v) of the PSLRA, 15 U.S.C. 78u4(a)(3)(B)(v), Lucas has selected and retained the law firm Levi & Korsinsky LLP to serve as Lead Counsel. The Court approves Lucas's selection of Lead Counsel for the Action and as further set forth in this order.(signed by Judge John G. Koeltl on 7/13/2012) (lmb) (Entered: 07/16/2012) 07/13/ ORDER denying 14 Motion to Appoint Charles Silsby as Lead Plaintiff(s). For the reasons stated on the record at a conference held today, the motion by Lucas is granted and the motion by Silsby is denied. The Court will enter the proposed order submitted by Lucas. The Clerk is directed to Close Docket Nos. 11 and 14. (Signed by Judge John G. Koeltl on 7/13/2012) (lmb) (Entered: 07/16/2012) 07/13/2012 Minute Entry for proceedings held before Judge John G. Koeltl: Oral Argument held on 7/13/2012 re: 14 MOTION to Appoint CHARLES SILSBY to serve as lead plaintiff(s). filed by Charles Silsby. (djc) (Entered: 08/28/2012) 08/06/ TRANSCRIPT of Proceedings re: CONFERNCE held on 7/13/2012 before Judge John G. Koeltl. Court Reporter/Transcriber: Tara Jones, (212) Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 8/30/2012. Redacted Transcript Deadline set for 9/10/2012. Release of Transcript Restriction set for 11/8/2012.(McGuirk, Kelly) (Entered: 08/06/2012) 08/06/ NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a CONFERENCE proceeding held on 7/13/12 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days...(mcguirk, Kelly) (Entered: 08/06/2012) 08/14/ JOINT STIPULATION AND INITIAL SCHEDULING ORDER: NOW THEREFORE IT IS HEREBY ORDERED: 1. Lucas shall file an Amended Complaint on or before thirty (30) days from the Effective Date of Dynegy's Plan of Reorganization; 2. Defendants shall respond to the Amended Complaint on or before sixty (60) days from the date it is filed and served; 3. In the event that Defendants file a motion to dismiss the Amended Complaint, Lucas shall: a. File a Second Amended Complaint (for which leave is hereby granted) on or before thirty (30) days from the date of service of Defendants' motion to dismiss; or b. File an opposition to Defendants' motion to dismiss on or before sixty (60)days from the date of service of Defendants' motion to dismiss; 4. In the event that Lucas files an opposition to their motion to dismiss, Defendants shall file a reply on or before thirty (30) days from the date of service of Lucas's opposition; 5. In the event that Lucas files a Second Amended Complaint, Defendants shall respond on or before sixty (60) days from the date it is filed and served; 6. In the event that Defendants file a motion to dismiss the Second Amended Complaint, Lucas shall file an opposition on or before sixty (60) days from the date of service of Defendants' motion to dismiss the Second Amended Complaint and Defendants shall file a reply on or before thirty (30) days from the date of service of Lucas's opposition; 7. In the event

7 08/21/ that Lucas files a Second Amended Complaint, any order granting a motion to dismiss some or all of that complaint shall be with prejudice and without leave to further amend; 8. In the event that Dynegy's Plan of Reorganization has not become effective by December 31, 2012, the parties shall confer and submit a revised schedule to the Court; and 9. The foregoing is without prejudice to, and does not waive, modify or otherwise impact any defenses in this action that the Defendants may currently have or may arise as a result of the effectiveness of Dynegy's Plan of Reorganization. (Signed by Judge Alison J. Nathan Part 1 Judge on 8/14/2012) (js) Modified on 8/14/2012 (js). (Entered: 08/14/2012) ORDER: This Court, presiding in Part I this week, is in receipt of the attached letter from Lead Counsel for Plaintiff seeking an amendment to Judge Koeltl's Order Appointing Stephen Lucas as Lead Plaintiff and Approving his Selection of Counsel dated July 13, 2012 (Docket# 26). If Defendants wish to oppose this request, they shall submit a letter to this Court no later than 5:00 PM on August 22, For purposes of this application, letters should be ed as.pdf attachments to NathanNYSDChambers@nysd.uscourts.gov. All communications regarding this application shall comply with this Court's Individual Practices in Civil Cases. (Signed by Judge Alison J. Nathan, Part I on 8/21/2012) (lmb) (Entered: 08/21/2012) 08/22/ ORDER: This Court, presiding in Part I this week, is in receipt of the attached letters from Defendants opposing Lead Plaintiff's request to amend Judge Koeltl's Order of July 13, If Lead Plaintiff wishes to submit a Reply to these letters, he shall do so by 12:00 PM on August 23,2012. (Signed by Judge Alison J. Nathan (Part I) on 8/22/2012) (jar) Modified on 8/22/2012 (jar). (Entered: 08/22/2012) 08/23/ ENDORSED LETTER addressed to Judge Alison J. Nathan from Nicholas I. Porritt dated 8/23/2012 re: Counsel writes in response to the Dynegy Defendants 8/22/12 letter to the Court, and reiterate their request that the Court enter their modified Lead Plaintiff Order. ENDORSEMENT: The Court has considered the application of Law Counsel, which was submitted by letter on August 20th, along with the response of defendants submitted by letter on August 22nd & the instant reply submitted today by law counsel. The application is DENIED. (Signed by Judge Alison J. Nathan, Part I on 8/23/2012) (jfe) Modified on 8/24/2012 (jfe). (Entered: 08/24/2012) 09/06/ NOTICE OF COURT CONFERENCE. You are directed to appear for a pretrial conference, to be held on Monday, September 24, 2012 in Courtroom 12B, at 4:30 p.m. in front of the Honorable John G. Koeltl. All requests for adjournments must be made in writing to the Court. For any further information, please contact the Court at (212) Don Fletcher, Courtroom Case Manager. (rjm) (Entered: 09/07/2012) 09/06/2012 Set/Reset Hearings: Pretrial Conference set for 9/24/2012 at 04:30 PM in Courtroom 12B, U.S. Courthouse, 500 Pearl Street, New York, NY before Judge John G. Koeltl. (rjm) (Entered: 09/07/2012) 09/19/ ENDORSED LETTER addressed to Judge John G. Koeltl from Douglas P. Banmstein dated 9/19/2012 re: Counsel requests an adjournment of the pre-trial conference scheduled for 9/24. ENDORSEMENT: Adjourned to Tuesday, November 13, 2012 at 4:30 p.m. ( Pretrial Conference set for 11/13/2012 at 04:30 PM before Judge John G. Koeltl.) (Signed by Judge John G. Koeltl on 9/19/2012) (jfe) (Entered: 09/19/2012) 11/05/ ENDORSED LETTER addressed to Judge John G. Koeltl from Nicholas I. Porritt dated

8 10/29/2012 re: Counsel requests that the Court so order this modification of its August 14, 2012 order. Counsel requests that the date for filing an amended complaint be extended to November 5, ENDORSEMENT: APPLICATION GRANTED. SO ORDERED. ( Amended Pleadings due by 11/5/2012.) (Signed by Judge John G. Koeltl on 10/31/2012) (djc) (Entered: 11/05/2012) 11/15/ ORDER: The time for the defendants to move or answer is extended to January 17, A conference is set for January 30, 2013 at 4:30pm., Dynegy Inc. answer due 1/17/2013; Robert C. Flexon answer due 1/17/2013; Clint Freeland answer due 1/17/2013; Carl C. Icahn answer due 1/17/2013., ( Status Conference set for 1/30/2013 at 04:30 PM before Judge John G. Koeltl.) (Signed by Judge John G. Koeltl on 11/14/2012) (lmb) (Entered: 11/15/2012) 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