UNITED STATES DISTRICT COURT CENTRAL DISTRICT OF CALIFORNIA (Western Division - Los Angeles) CIVIL DOCKET FOR CASE #: 2:16-cv MWF-JEM

Transcription

1 US District Court Civil Docket as of July 31, 2017 Retrieved from the court on July 31, 2017 UNITED STATES DISTRICT COURT CENTRAL DISTRICT OF CALIFORNIA (Western Division - Los Angeles) CIVIL DOCKET FOR CASE #: 2:16-cv MWF-JEM Sunil Sudunagunta v. Nantkwest, Inc. et al Assigned to: Judge Michael W. Fitzgerald Referred to: Magistrate Judge John E. McDermott Related Cases: 2:16-cv MWF-JEM 2:16-cv MWF-JEM 2:16-cv MWF-JEM 2:16-cv MWF-JEM Cause: 15:78m(a) Securities Exchange Act Date Filed: 03/22/2016 Jury Demand: Plaintiff Nature of Suit: 850 Securities/Commodities Jurisdiction: Federal Question Plaintiff Sunil Sudunagunta Individually and on Behalf of All Others Similarly Situated represented by Brian Schall Goldberg Law PC 1999 Avenue of the Stars Suite 1100 Los Angeles, CA Fax: J Alexander Hood Pomerantz LLP 600 Third Avenue 20th Floor New York, CA Fax: ahood@pomlaw.com PRO HAC VICE Jeremy A Lieberman Pomerantz LLP 600 Third Avenue 20th Floor New York, NY Fax: jalieberman@pomlaw.com PRO HAC VICE Joshua B Silverman

2 Pomerantz LLP 10 South LaSalle Street Suite 3505 Chicago, IL Fax: PRO HAC VICE Michael M Goldberg Goldberg Law PC 3700 The Strand Manhattan Beach, CA Fax: michael@goldberglawpc.com Omar Jafri Pomerantz LLP 10 South LaSalle Street Suite 3505 Chicago, IL ojafri@pomlaw.com PRO HAC VICE Patrick V Dahlstrom Pomerantz LLP 10 South LaSalle Street Suite 3505 Chicago, IL Fax: pdahlstrom@pomlaw.com PRO HAC VICE Jennifer Pafiti Pomerantz LLP 468 North Camden Drive Beverly Hills, CA c Fax: jpafiti@pomlaw.com Plaintiff Donald Hu Lead Plaintiff represented by Alexa Mullarky Glancy Prongay and Murray 1925 Century Park East Suite 2100

3 Los Angeles, CA Fax: John Brandon Walker Bragar Eagel and Squire PC 885 Third Avenue Suite 3040 New York, NY Fax: TERMINATED: 04/27/2017 PRO HAC VICE Kara M Wolke Glancy Prongay and Murray LLP 1925 Century Park East Suite 2100 Los Angeles, CA Fax: kwolke@glancylaw.com TERMINATED: 04/27/2017 Kevin F Ruf Glancy Prongay and Murray LLP 1925 Century Park East Suite 2100 Los Angeles, CA Fax: kruf@glancylaw.com Robert Vincent Prongay Glancy Prongay and Murray LLP 1925 Century Park East Suite 2100 Los Angeles, CA Fax: rprongay@glancylaw.com Todd H Henderson Bragar Eagel and Squire PC 885 Third Avenue Suite 3040 New York, NY Fax: henderson@bespc.com

4 PRO HAC VICE Plaintiff Brayton Li Lead Plaintiff represented by Alexa Mullarky John Brandon Walker TERMINATED: 04/27/2017 PRO HAC VICE Kara M Wolke TERMINATED: 04/27/2017 Kevin F Ruf Robert Vincent Prongay V. Movant Justin T. Wagner Movant Kenneth Frye Movant Michael Hare represented by James I Jaconette Robbins Geller Rudman & Dowd LLP 655 West Broadway Suite 1900 San Diego, CA Fax: jamesj@rgrdlaw.com represented by James I Jaconette represented by James I Jaconette Patrice L Bishop Stull Stull and Brody

5 9430 West Olympic Boulevard Suite 400 Beverly Hills, CA Fax: Movant Norman Jacobs represented by James I Jaconette Patrice L Bishop Movant Craig Wiencek represented by James I Jaconette V. Nantkwest, Inc. represented by Boris Feldman Wilson Sonsini Goodrich and Rosati 650 Page Mill Road Palo Alto, CA Fax: boris.feldman@wsgr.com Cynthia Ann Dy Wilson Sonsini Goodrich & Rosati 650 Page Mill Rd Palo Alto, CA Fax: cdy@wsgr.com Michael R Petrocelli Wilson Sonsin Goodrich and Rosati 650 Page Mill Road Palo Alto, CA

6 Fax: Cali D Tran Wilson Sonsini Goodrich and Rosati LLP 650 Page Mill Road Palo Alto, CA Fax: ctran@wsgr.com Patrick Soon-Shiong represented by Boris Feldman Cynthia Ann Dy Michael R Petrocelli Cali D Tran Richard J. Tajak TERMINATED: 08/04/2016 represented by Boris Feldman TERMINATED: 08/04/2016 Cynthia Ann Dy Michael R Petrocelli TERMINATED: 08/04/2016

7 Cali D Tran TERMINATED: 08/04/2016 Angela Wilson TERMINATED: 08/04/2016 represented by Boris Feldman TERMINATED: 08/04/2016 Cynthia Ann Dy TERMINATED: 08/04/2016 Michael R Petrocelli TERMINATED: 08/04/2016 Cali D Tran TERMINATED: 08/04/2016 Richard Gomberg represented by Boris Feldman Cynthia Ann Dy Michael R Petrocelli Cali D Tran Barry J. Simon represented by Michael R Petrocelli

8 Boris Feldman Cali D Tran Steve Gorlin represented by Michael R Petrocelli Boris Feldman Cali D Tran Michael D. Blaszyk represented by Michael R Petrocelli Boris Feldman Cali D Tran Ji Henry represented by Michael R Petrocelli Boris Feldman Cali D Tran

9 Richard Kusserow represented by Michael R Petrocelli Boris Feldman Cali D Tran John T. Potts, Jr. represented by Michael R Petrocelli Boris Feldman Cali D Tran Robert Rosen represented by Michael R Petrocelli Boris Feldman Cali D Tran John C. Thomas Jr. represented by Michael R Petrocelli Boris Feldman

10 Cali D Tran Merrill Lynch, Pierce, Fenner and Smith, Inc. represented by Sara N Taylor Munger Tolles and Olson LLP 355 South Grand Avenue 35th Floor Los Angeles, CA Fax: sara.taylor@mto.com James C Rutten Munger Tolles and Olson LLP 355 South Grand Avenue 35th Floor Los Angeles, CA Fax: james.rutten@mto.com Citigroup Global Markets Inc. represented by Sara N Taylor James C Rutten Jefferies LLC represented by Sara N Taylor James C Rutten Piper Jaffray and Co represented by Sara N Taylor

11 James C Rutten MLV and Co., LLC represented by Sara N Taylor James C Rutten Date Filed # Docket Text 03/22/ COMPLAINT Receipt No: Fee: $400, filed by Plaintiff Sunil Sudunagunta. (Attachments: # 1 Certification, # 2 Schedule A) (Attorney Jennifer Pafiti added to party Sunil Sudunagunta(pty:pla))(Pafiti, Jennifer) (Entered: 03/22/2016) 03/22/ Request for Clerk to Issue Summons on Complaint (Attorney Civil Case Opening) 1 filed by Plaintiff Sunil Sudunagunta. (Pafiti, Jennifer) (Entered: 03/22/2016) 03/22/ CIVIL COVER SHEET filed by Plaintiff Sunil Sudunagunta. (Pafiti, Jennifer) (Entered: 03/22/2016) 03/22/ NOTICE of Interested Parties filed by Plaintiff Sunil Sudunagunta, identifying NONE. (Pafiti, Jennifer) (Entered: 03/22/2016) 03/22/ NOTICE OF ASSIGNMENT to District Judge Michael W. Fitzgerald and Magistrate Judge John E. McDermott. (et) (Entered: 03/22/2016) 03/22/ NOTICE TO PARTIES OF COURT-DIRECTED ADR PROGRAM filed. (et) (Entered: 03/22/2016) 03/22/ DAY Summons Issued re Complaint (Attorney Civil Case Opening) 1 as to s Richard Gomberg, Nantkwest, Inc., Patrick Soon-Shiong, Richard J. Tajak, Angela Wilson. (et) (Entered: 03/22/2016) 03/22/ NOTICE OF FILING FEE DUE on Pro Hac Vice Application mailed to attorney Jeremy A Lieberman for Plaintiff Sunil Sudunagunta. re Complaint (Attorney Civil Case Opening) 1. Pro Hac Vice application has not been received by the court. Please return your completed Application of Non-Resident Attorney to Appear in a Specific Case, form G-64, or a copy of the Notice of Electronic Filing of your application and the $ fee and this notice immediately. Out-of-state federal government attorneys who are not employed by the U.S. Department of Justice are required to file a Pro Hac Vice application;no filing fee is required. You have been

12 removed as counsel of record from this case for failure to submit this filing fee. (et) (Entered: 03/22/2016) 03/22/ NOTICE OF FILING FEE DUE on Pro Hac Vice Application mailed to attorney J Alexander Hood for Plaintiff Sunil Sudunagunta. re Complaint (Attorney Civil Case Opening) 1. Pro Hac Vice application has not been received by the court. Please return your completed Application of Non-Resident Attorney to Appear in a Specific Case, form G-64, or a copy of the Notice of Electronic Filing of your application and the $ fee and this notice immediately. Out-of-state federal government attorneys who are not employed by the U.S. Department of Justice are required to file a Pro Hac Vice application;no filing fee is required. You have been removed as counsel of record from this case for failure to submit this filing fee. (et) (Entered: 03/22/2016) 03/22/ NOTICE OF FILING FEE DUE on Pro Hac Vice Application mailed to attorney Marc Gorrie for Plaintiff Sunil Sudunagunta. re Complaint (Attorney Civil Case Opening) 1. Pro Hac Vice application has not been received by the court. Please return your completed Application of Non-Resident Attorney to Appear in a Specific Case, form G-64, or a copy of the Notice of Electronic Filing of your application and the $ fee and this notice immediately. Out-of-state federal government attorneys who are not employed by the U.S. Department of Justice are required to file a Pro Hac Vice application;no filing fee is required. You have been removed as counsel of record from this case for failure to submit this filing fee. (et) (Entered: 03/22/2016) 03/22/ NOTICE OF FILING FEE DUE on Pro Hac Vice Application mailed to attorney Patrick V Dahlstrom for Plaintiff Sunil Sudunagunta. re Complaint (Attorney Civil Case Opening) 1. Pro Hac Vice application has not been received by the court. Please return your completed Application of Non-Resident Attorney to Appear in a Specific Case, form G-64, or a copy of the Notice of Electronic Filing of your application and the $ fee and this notice immediately. Out-of-state federal government attorneys who are not employed by the U.S. Department of Justice are required to file a Pro Hac Vice application;no filing fee is required. You have been removed as counsel of record from this case for failure to submit this filing fee. (et) (Entered: 03/22/2016) 03/23/ APPLICATION for attorney Jeremy A. Lieberman to Appear Pro Hac Vice (PHV Fee of $325 receipt number paid.) filed by Plaintiff Sunil Sudunagunta. (Attachments: # 1 Certificate of Good Standing, # 2 Proposed Order) (Pafiti, Jennifer) (Entered: 03/23/2016) 03/24/ ORDER ON APPLICATION OF NON-RESIDENT ATTORNEY TO APPEAR IN A SPECIFIC CASE PRO HAC VICE by Judge Michael W. Fitzgerald: granting 12 APPLICATION to Appear Pro Hac Vice by Attorney Jeremy A. Lieberman on behalf of Plaintiff, designating Jennifer Pafiti as local counsel. (lt) (Entered: 03/24/2016) 03/31/ APPLICATION for attorney J. Alexander Hood to Appear Pro Hac Vice (PHV Fee of $325 receipt number paid.) filed by Plaintiff Sunil Sudunagunta. (Attachments: # 1 Certificate of Good Standing, # 2 Proposed Order) (Pafiti, Jennifer) (Entered: 03/31/2016)

13 03/31/ APPLICATION for attorney Patrick V. Dahlstrom to Appear Pro Hac Vice (PHV Fee of $325 receipt number paid.) filed by Plaintiff Sunil Sudunagunta. (Attachments: # 1 Proposed Order, # 2 Certificate of Good Standing) (Pafiti, Jennifer) (Entered: 03/31/2016) 04/01/ ORDER ON APPLICATION OF NON-RESIDENT ATTORNEY TO APPEAR IN A SPECIFIC CASE PRO HAC VICE by Judge Michael W. Fitzgerald: granting 14 APPLICATION to Appear Pro Hac Vice by Attorney J. Alexander Hood on behalf of Plaintiff, designating Jennifer Pafiti as local counsel. (lt) (Entered: 04/04/2016) 04/01/ ORDER ON APPLICATION OF NON-RESIDENT ATTORNEY TO APPEAR IN A SPECIFIC CASE PRO HAC VICE by Judge Michael W. Fitzgerald: granting 15 APPLICATION to Appear Pro Hac Vice by Attorney Patrick V. Dahlstrom on behalf of Plaintiff, designating Jennifer Pafiti as local counsel. (lt) (Entered: 04/04/2016) 04/28/ WAIVER OF SERVICE Returned Executed filed by Plaintiff Sunil Sudunagunta. upon Angela Wilson waiver sent by Plaintiff on 3/29/2016, answer due 5/31/2016. Waiver of Service signed by Cynthia Dy. (Pafiti, Jennifer) (Entered: 04/28/2016) 04/28/ WAIVER OF SERVICE Returned Executed filed by Plaintiff Sunil Sudunagunta. upon Richard J. Tajak waiver sent by Plaintiff on 3/29/2016, answer due 5/31/2016. Waiver of Service signed by Cynthia Dy. (Pafiti, Jennifer) (Entered: 04/28/2016) 04/28/ WAIVER OF SERVICE Returned Executed filed by Plaintiff Sunil Sudunagunta. upon Patrick Soon-Shiong waiver sent by Plaintiff on 3/29/2016, answer due 5/31/2016. Waiver of Service signed by Cynthia Dy. (Pafiti, Jennifer) (Entered: 04/28/2016) 04/28/ WAIVER OF SERVICE Returned Executed filed by Plaintiff Sunil Sudunagunta. upon Richard Gomberg waiver sent by Plaintiff on 3/29/2016, answer due 5/31/2016. Waiver of Service signed by Cynthia Dy. (Pafiti, Jennifer) (Entered: 04/28/2016) 04/28/ WAIVER OF SERVICE Returned Executed filed by Plaintiff Sunil Sudunagunta. upon Nantkwest, Inc. waiver sent by Plaintiff on 3/29/2016, answer due 5/31/2016. Waiver of Service signed by Cynthia Dy. (Pafiti, Jennifer) (Entered: 04/28/2016) 05/23/ NOTICE OF MOTION AND MOTION for Appointment of Counsel, NOTICE OF MOTION AND MOTION to Consolidate Cases, as to 16-cv-1947-MWF and 16-cv GHK, filed by Movants Donald Hu, Brayton Li. Motion set for hearing on 6/20/2016 at 10:00 AM before Judge Michael W. Fitzgerald. (Attachments: # 1 Proposed Order) (Attorney Robert Vincent Prongay added to party Donald Hu(pty:mov), Attorney Robert Vincent Prongay added to party Brayton Li(pty:mov)) (Prongay, Robert) (Entered: 05/23/2016) 05/23/ MEMORANDUM in Support of NOTICE OF MOTION AND MOTION for Appointment of Counsel NOTICE OF MOTION AND MOTION to Consolidate Cases, as to 16-cv-1947-MWF and 16-cv-3438-GHK, 23 filed by Movants Donald Hu, Brayton Li. (Prongay, Robert) (Entered: 05/23/2016) 05/23/ DECLARATION of Robert V. Prongay In Support of NOTICE OF MOTION AND MOTION for Appointment of Counsel NOTICE OF MOTION AND MOTION to

14 Consolidate Cases, as to 16-cv-1947-MWF and 16-cv-3438-GHK, 23 filed by Movants Donald Hu, Brayton Li. (Attachments: # 1 Exhibit A - Press Release, # 2 Exhibit B - Certifications, # 3 Exhibit C - Loss Chart, # 4 Exhibit D - Firm Resume, # 5 Exhibit E - Firm Resume, # 6 Exhibit F - Firm Resume)(Prongay, Robert) (Entered: 05/23/2016) 05/23/ NOTICE of Interested Parties filed by Movants Donald Hu, Brayton Li, (Prongay, Robert) (Entered: 05/23/2016) 05/27/ Notice of Appearance or Withdrawal of Counsel: for attorney Cali D Tran counsel for s Richard Gomberg, Nantkwest, Inc., Patrick Soon-Shiong, Richard J. Tajak, Angela Wilson. Adding BORIS FELDMAN as counsel of record for NantKwest, Inc., Patrick Soon-Shiong, Richard J. Tajak, Angela Wilson and Richard Gomberg for the reason indicated in the G-123 Notice. Filed by s NantKwest, Inc., Patrick Soon-Shiong, Richard J. Tajak, Angela Wilson, and Richard Gomberg. (Attorney Cali D Tran added to party Richard Gomberg(pty:dft), Attorney Cali D Tran added to party Nantkwest, Inc.(pty:dft), Attorney Cali D Tran added to party Patrick Soon-Shiong(pty:dft), Attorney Cali D Tran added to party Richard J. Tajak(pty:dft), Attorney Cali D Tran added to party Angela Wilson(pty:dft))(Tran, Cali) (Entered: 05/27/2016) 05/27/ Notice of Appearance or Withdrawal of Counsel: for attorney Cali D Tran counsel for s Richard Gomberg, Nantkwest, Inc., Patrick Soon-Shiong, Richard J. Tajak, Angela Wilson. Adding Cali Tran as counsel of record for NantKwest, Inc., Patrick Soon-Shiong, Richard J. Tajak, Angela Wilson and Richard Gomberg for the reason indicated in the G-123 Notice. Filed by s NantKwest, Inc., Patrick Soon-Shiong, Richard J. Tajak, Angela Wilson, and Richard Gomberg. (Tran, Cali) (Entered: 05/27/2016) 05/27/ Notice of Appearance or Withdrawal of Counsel: for attorney Cali D Tran counsel for s Richard Gomberg, Nantkwest, Inc., Patrick Soon-Shiong, Richard J. Tajak, Angela Wilson. Adding Cynthia A. Dy as counsel of record for NantKwest, Inc., Patrick Soon-Shiong, Richard J. Tajak, Angela Wilson and Richard Gomberg for the reason indicated in the G-123 Notice. Filed by s NantKwest, Inc., Patrick Soon-Shiong, Richard J. Tajak, Angela Wilson, and Richard Gomberg. (Tran, Cali) (Entered: 05/27/2016) 05/27/ Notice of Appearance or Withdrawal of Counsel: for attorney Cali D Tran counsel for s Richard Gomberg, Nantkwest, Inc., Patrick Soon-Shiong, Richard J. Tajak, Angela Wilson. Adding Michael R. Petrocelli as counsel of record for NantKwest, Inc., Patrick Soon-Shiong, Richard J. Tajak, Angela Wilson and Richard Gomberg for the reason indicated in the G-123 Notice. Filed by s NantKwest, Inc., Patrick Soon-Shiong, Richard J. Tajak, Angela Wilson, and Richard Gomberg. (Tran, Cali) (Entered: 05/27/2016) 05/27/ CORPORATE DISCLOSURE STATEMENT and Notice of Interested Parties filed by s Richard Gomberg, Nantkwest, Inc., Patrick Soon-Shiong, Richard J. Tajak, Angela Wilson (Tran, Cali) (Entered: 05/27/2016) 05/27/ STIPULATION to Consolidate Cases as to 2:16-cv MWF-JEM; 2:16-cv GHK-JEM, STIPULATION for Extension of Time to File Response as to Complaint (Attorney Civil Case Opening) 1 filed by s Richard Gomberg,

15 Nantkwest, Inc., Patrick Soon-Shiong, Richard J. Tajak, Angela Wilson. (Attachments: # 1 Proposed Order)(Tran, Cali) (Entered: 05/27/2016) 06/03/ ORDER RE CONSOLIDATION OF RELATED ACTIONS AND EXTENSION OF TIME TO RESPOND 32 by Judge Michael W. Fitzgerald as follows: The two actions, Sudunagunta v. NantKwest, Inc., et al., Case No.: 2:16-cv MWF- JEM and Forsythe v. NantKwest, Inc., et al., Case. No. 2:16-cv GHK-JEM, are consolidated; and s need not respond to the complaint until after (i) a lead plaintiff and lead counsel are appointed by the Court pursuant to the Reform Act, (ii) the lead plaintiff serves an operative complaint; and (iii) lead plaintiff and s have conferred in good faith and agreed to a schedule for s to respond to the operative complaint. (jp) (Entered: 06/03/2016) 06/14/ ORDER CONSOLIDATING THE RELATED CASES, APPOINTING DONALD HU AND BRAYTON LI AS LEAD PLAINTIFF AND APPROVING THEIR SELECTION OF COUNSEL 23 by Judge Michael W. Fitzgerald. IT IS HEREBY ORDERED THAT: 1. The Motion is GRANTED; 2. Donald Hu and Brayton Li are APPOINTED to serve as Lead Plaintiff pursuant to Section 21D(a)(3)(B) of the Securities Exchange Act of 1934, 15 U.S.C. 78u-4(a)(3)(B), as amended by the Private Securities Litigation Reform Act of 1995, in the above-captioned actions; 3. Pursuant to 15 U.S.C. 78u-4(a)(3)(B)(v), Donald Hu and Brayton Lis selection of lead counsel is APPROVED, and Pomerantz LLP and Bragar Eagel & Squire, P.C are APPOINTED as Co-Lead Counsel and Glancy Prongay & Murray LLP is APPOINTED as Liaison Counsel for the Class in the above-captioned actions. (lom) (Entered: 06/14/2016) 07/01/ Joint STIPULATION for Order Regarding Filing of Consolidated Complaint and Motion to Dismiss Briefing Schedule filed by Lead Plaintiffs Donald Hu, Brayton Li. (Attachments: # 1 Proposed Order)(Prongay, Robert) (Entered: 07/01/2016) 07/05/ ORDER GRANTING STIPULATION REGARDING FILING OF CONSOLIDATED COMPLAINT AND MOTION TO DISMISS BRIEFING SCHEDULE by Judge Michael W. Fitzgerald, re Stipulation for Order 35 Lead Plaintiffs shall file, or designate, an operative consolidated classaction complaint, 30 days from the date of this Order (see attached for further details) (pj) (Entered: 07/06/2016) 07/07/ APPLICATION of Non-Resident Attorney Omar Jafri to Appear Pro Hac Vice on behalf of Plaintiff Sunil Sudunagunta (Pro Hac Vice Fee - Fee Paid, Receipt No ) filed by Plaintiff Sunil Sudunagunta. (Attachments: # 1 Certificate o f Good Standing, # 2 Proposed Order) (Pafiti, Jennifer) (Entered: 07/07/2016) 07/08/ NOTICE TO FILER OF DEFICIENCIES in Electronically Filed Documents RE: APPLICATION of Non-Resident Attorney Omar Jafri to Appear Pro Hac Vice on behalf of Plaintiff Sunil Sudunagunta (Pro Hac Vice Fee - Fee Paid, Receipt No ) 37. The following error(s) was found: Other error(s) with document(s) are specified below: Form is out-of-date. Attorney failed to use current form and Proposed Order. Form was updated and amended as of May 1, In response to this notice the court may order (1) an amended or correct document to be filed (2) the document stricken or (3) take other action as the court deems appropriate. You need not take any action in response to this notice unless and until the court directs you to do so. (lt) (Entered: 07/08/2016)

16 07/11/ RESPONSE BY THE COURT TO NOTICE TO FILER OF DEFICIENCIES IN ELECTRONICALLY FILED DOCUMENTS RE: APPLICATION of Non-Resident Attorney Omar Jafri to Appear Pro Hac Vice on behalf of Plaintiff Sunil Sudunagunta (Pro Hac Vice Fee - Fee Paid, Receipt No ) 37 by Judge Michael W. Fitzgerald. The application is stricken. Counsel are to re-file using the correct form. (jp) (Entered: 07/11/2016) 07/11/ Notice of Appearance or Withdrawal of Counsel: for attorney Kara M Wolke counsel for Plaintiffs Donald Hu, Brayton Li. Adding Kara M. Wolke as counsel of record for Lead Plaintiffs Donald Hu and Brayton Li for the reason indicated in the G-123 Notice. Filed by Lead Plaintiffs Donald Hu and Brayton Li. (Attorney Kara M Wolke added to party Donald Hu(pty:pla), Attorney Kara M Wolke added to party Brayton Li(pty:pla))(Wolke, Kara) (Entered: 07/11/2016) 07/11/ Notice of Appearance or Withdrawal of Counsel: for attorney Kevin F Ruf counsel for Plaintiffs Donald Hu, Brayton Li. Adding Kevin F. Ruf as counsel of record for Lead Plaintiffs Donald Hu and Brayton Li for the reason indicated in the G-123 Notice. Filed by Lead Plaintiffs Donald Hu and Brayton Li. (Attorney Kevin F Ruf added to party Donald Hu(pty:pla), Attorney Kevin F Ruf added to party Brayton Li(pty:pla))(Ruf, Kevin) (Entered: 07/11/2016) 07/11/ Notice of Appearance or Withdrawal of Counsel: for attorney Alexa Mullarky counsel for Plaintiffs Donald Hu, Brayton Li. Adding Alexa J. Mullarky as counsel of record for Lead Plaintiffs Donald Hu and Brayton Li for the reason indicated in the G-123 Notice. Filed by Lead Plaintiffs Donald Hu and Brayton Li. (Attorney Alexa Mullarky added to party Donald Hu(pty:pla), Attorney Alexa Mullarky added to party Brayton Li(pty:pla))(Mullarky, Alexa) (Entered: 07/11/2016) 07/12/ APPLICATION of Non-Resident Attorney John Brandon Walker to Appear Pro Hac Vice on behalf of Plaintiff Donald Hu (Pro Hac Vice Fee - Fee Paid, Receipt No ) filed by Lead Plaintiff Donald Hu. (Attachments: # 1 Exhibit - Certi ficates of Good Standing, # 2 Proposed Order) (Prongay, Robert) (Entered: 07/12/2016) 07/12/ APPLICATION of Non-Resident Attorney Todd H. Henderson to Appear Pro Hac Vice on behalf of Plaintiff Donald Hu (Pro Hac Vice Fee - Fee Paid, Receipt No ) filed by Lead Plaintiff Donald Hu. (Attachments: # 1 Exhibit - Certifi cate of Good Standing, # 2 Proposed Order) (Prongay, Robert) (Entered: 07/12/2016) 07/13/ Corrected APPLICATION of Non-Resident Attorney Omar Jafri to Appear Pro Hac Vice on behalf of Plaintiff Sunil Sudunagunta (Pro Hac Vice Fee - $ Previously Paid on 7/7/2016, Receipt No ) filed by Plaintiff Sunil Sudunagunta. (Attachments: # 1 Certificate of Good Standing, # 2 Proposed Order) (Pafiti, Jennifer) (Entered: 07/13/2016) 07/18/ ORDER ON APPLICATION OF NONRESIDENT ATTORNEY TO APPEAR IN A SPECIFIC CASE PRO HAC VICE by Judge Michael W. Fitzgerald: granting 43 Non-Resident Attorney John B Walker APPLICATION to Appear Pro Hac Vice on behalf of Plaintiff Donald Hu, designating Robert V Prongay as local counsel. (jp) (Entered: 07/18/2016)

17 07/18/ ORDER ON APPLICATION OF NONRESIDENT ATTORNEY TO APPEAR IN A SPECIFIC CASE PRO HAC VICE by Judge Michael W. Fitzgerald: granting 44 Non-Resident Attorney Todd H Henderson APPLICATION to Appear Pro Hac Vice on behalf of Plaintiff Donald Hu, designating Robert V Prongay as local counsel. (jp) (Entered: 07/18/2016) 07/18/ ORDER ON APPLICATION OF NONRESIDENT ATTORNEY TO APPEAR IN A SPECIFIC CASE PRO HAC VICE by Judge Michael W. Fitzgerald: granting 45 Non-Resident Attorney Omar Jafri APPLICATION to Appear Pro Hac Vice on behalf of Plaintiff Sunil Sudunagunta, designating Jennifer Pafiti as local counsel. (jp) (Entered: 07/18/2016) 08/04/ CONSOLIDATED COMPLAINT [Consolidated Amended Class Action Complaint for Violations of the Federal Securities Laws] related to: 1 Complaint (Attorney Civil Case Opening), filed by Lead Plaintiffs Donald Hu, Brayton Li(Wolke, Kara) (Entered: 08/04/2016) 08/04/ Request for Clerk to Issue Summons on Consolidated Complaint 49 filed by Lead Plaintiffs Donald Hu, Brayton Li. (Wolke, Kara) (Entered: 08/04/2016) 08/04/ Request for Clerk to Issue Summons on Consolidated Complaint 49 filed by Lead Plaintiffs Donald Hu, Brayton Li. (Wolke, Kara) (Entered: 08/04/2016) 08/04/ Request for Clerk to Issue Summons on Consolidated Complaint 49 filed by Lead Plaintiffs Donald Hu, Brayton Li. (Wolke, Kara) (Entered: 08/04/2016) 08/04/ Request for Clerk to Issue Summons on Consolidated Complaint 49 filed by Lead Plaintiffs Donald Hu, Brayton Li. (Wolke, Kara) (Entered: 08/04/2016) 08/04/ Request for Clerk to Issue Summons on Consolidated Complaint 49 filed by Lead Plaintiffs Donald Hu, Brayton Li. (Wolke, Kara) (Entered: 08/04/2016) 08/04/ Request for Clerk to Issue Summons on Consolidated Complaint 49 filed by Lead Plaintiffs Donald Hu, Brayton Li. (Wolke, Kara) (Entered: 08/04/2016) 08/04/ NOTICE OF DISMISSAL filed by Lead Plaintiffs Donald Hu, Brayton Li pursuant to FRCP 41a(1) as to Richard J. Tajak, Angela Wilson. (Wolke, Kara) (Entered: 08/04/2016) 08/05/ NOTICE OF DEFICIENCIES in Request to Issue Summons RE: Summons Request 50, 51, 52, Summons Request 53, 54, and 55. The following error(s) was found: The caption of the summons must match the caption of the complaint verbatim. If the caption is too large to fit in the space provided, enter the name of the first party and then write see attached.next, attach a face page of the complaint or a second page addendum to the Summons. The summons cannot be issued until this defect has been corrected. Please correct the defect and re-file your request. (jp) (Entered: 08/05/2016) 08/05/ Request for Clerk to Issue Summons on Consolidated Complaint 49 filed by Lead Plaintiffs Donald Hu, Brayton Li. (Wolke, Kara) (Entered: 08/05/2016) 08/08/ DAY Summons Issued re Consolidated Complaint 49 as to defendants Michael D. Blaszyk, Citigroup Global Markets Inc., Richard Gomberg, Steve Gorlin, Ji Henri, Jefferies LLC, Richard Kusserow, MLV & Co., LLC, Merrill Lynch, Pierce,

18 Fenner & Smith, Inc., Nantkwest, Inc., Piper Jaffray & Co., John T. Potts, Jr., Robert Rosen, Barry J. Simon, Patrick Soon-Shiong, John C. Thomas Jr. (jp) (Entered: 08/08/2016) 08/23/ WAIVER OF SERVICE Returned Executed filed by Lead Plaintiffs Donald Hu, Brayton Li. upon Michael D. Blaszyk waiver sent by Plaintiff on 8/10/2016, answer due 10/11/2016; Steve Gorlin waiver sent by Plaintiff on 8/10/2016, answer due 10/11/2016; Ji Henri waiver sent by Plaintiff on 8/10/2016, answer due 10/11/2016; Richard Kusserow waiver sent by Plaintiff on 8/10/2016, answer due 10/11/2016; John T. Potts, Jr. waiver sent by Plaintiff on 8/10/2016, answer due 10/11/2016; Robert Rosen waiver sent by Plaintiff on 8/10/2016, answer due 10/11/2016; Barry J. Simon waiver sent by Plaintiff on 8/10/2016, answer due 10/11/2016; John C. Thomas Jr. waiver sent by Plaintiff on 8/10/2016, answer due 10/11/2016. Waiver of Service signed by Cynthia Ann Dy - Counsel for s. (Wolke, Kara) (Entered: 08/23/2016) 08/31/ WAIVER OF SERVICE Returned Executed filed by Lead Plaintiffs Donald Hu, Brayton Li. upon Citigroup Global Markets Inc. waiver sent by Plaintiff on 8/17/2016, answer due 10/17/2016; Jefferies LLC waiver sent by Plaintiff on 8/17/2016, answer due 10/17/2016; MLV & Co., LLC waiver sent by Plaintiff on 8/17/2016, answer due 10/17/2016; Merrill Lynch, Pierce, Fenner & Smith, Inc. waiver sent by Plaintiff on 8/17/2016, answer due 10/17/2016; Piper Jaffray & Co. waiver sent by Plaintiff on 8/17/2016, answer due 10/17/2016. Waiver of Service signed by George M. Garvey, Counsel for s. (Wolke, Kara) (Entered: 08/31/2016) 09/01/ Joint STIPULATION Extending Time to Answer the complaint as to Nantkwest, Inc. answer now due 10/6/2016; Michael D. Blaszyk answer now due 10/6/2016; Citigroup Global Markets Inc. answer now due 10/6/2016; Richard Gomberg answer now due 10/6/2016; Steve Gorlin answer now due 10/6/2016; Ji Henri answer now due 10/6/2016; Jefferies LLC answer now due 10/6/2016; Richard Kusserow answer now due 10/6/2016; MLV & Co., LLC answer now due 10/6/2016; Merrill Lynch, Pierce, Fenner & Smith, Inc. answer now due 10/6/2016; Piper Jaffray & Co. answer now due 10/6/2016; John T. Potts, Jr. answer now due 10/6/2016; Robert Rosen answer now due 10/6/2016; Barry J. Simon answer now due 10/6/2016; Patrick Soon-Shiong answer now due 10/6/2016; John C. Thomas Jr. answer now due 10/6/2016, filed by Nantkwest, Inc.. (Attachments: # 1 Proposed Order)(Petrocelli, Michael) (Entered: 09/01/2016) 09/02/ ORDER GRANTING STIPULATION TO CONSOLIDATE AND MOVE RESPONSE DEADLINES TOCONSOLIDATED COMPLAINT AND SET CONSOLIDATED BRIEFING SCHEDULE 62 by Judge Michael W. Fitzgerald. All s shall answer, move against, or otherwise respond to the Complaint on or before October 6, IT IS SO ORDERED. See order for details. (jy) (Entered: 09/02/2016) 10/03/ EX PARTE APPLICATION for Relief from Briefing Schedule re Order, 63 Plaintiffs Justin T. Wagner, Kenneth Frye, Michael Hare, Norman Jacobs, and Craig Wiencek's Ex Parte Application to Stay Briefing Schedule filed by Movants Justin T. Wagner, Kenneth Frye, Michael Hare, Norman Jacobs, Craig Wiencek. (Attachments: # 1 Declaration of James I. Jaconette, # 2 Proposed Order) (Attorney James I Jaconette added to party Justin T. Wagner(pty:mov), Attorney James I

19 Jaconette added to party Kenneth Frye(pty:mov), Attorney James I Jaconette added to party Michael Hare(pty:mov), Attorney James I Jaconette added to party Norman Jacobs(pty:mov), Attorney James I Jaconette added to party Craig Wiencek(pty:mov)) (Jaconette, James) (Entered: 10/03/2016) 10/04/ OPPOSITION to EX PARTE APPLICATION for Relief from Briefing Schedule re Order, 63 Plaintiffs Justin T. Wagner, Kenneth Frye, Michael Hare, Norman Jacobs, and Craig Wiencek's Ex Parte Application to Stay Briefing Schedule 64 filed by Plaintiffs Donald Hu, Brayton Li. (Wolke, Kara) (Entered: 10/04/2016) 10/04/ DECLARATION of Casey E. Sadler re Response in Opposition to Motion, 65 filed by Plaintiffs Donald Hu, Brayton Li. (Attachments: # 1 Exhibit A - Press Release)(Wolke, Kara) (Entered: 10/04/2016) 10/04/ DECLARATION of Joshua B. Silverman re Response in Opposition to Motion, 65 filed by Plaintiffs Donald Hu, Brayton Li. (Attachments: # 1 Exhibit A - , # 2 Exhibit B - Proposed Consolidation Stipulation, # 3 Exhibit C - Minute Order)(Wolke, Kara) (Entered: 10/04/2016) 10/05/ NOTICE OF MOTION AND MOTION to Consolidate Cases, as to 2:16-cv MWF-JEM; 2:16-cv MWF-JEM; 2:16-cv MWF-JEM; 2:16-cv MWF-JEM, filed by s Michael D. Blaszyk, Richard Gomberg, Steve Gorlin, Ji Henri, Richard Kusserow, Nantkwest, Inc., John T. Potts, Jr., Robert Rosen, Barry J. Simon, Patrick Soon-Shiong, John C. Thomas Jr.. Motion set for hearing on 11/7/2016 at 10:00 AM before Judge Michael W. Fitzgerald. (Attachments: # 1 Memorandum of Points and Authorities, # 2 Proposed Order) (Attorney Cali D Tran added to party Michael D. Blaszyk(pty:dft), Attorney Cali D Tran added to party Steve Gorlin(pty:dft), Attorney Cali D Tran added to party Ji Henri(pty:dft), Attorney Cali D Tran added to party Richard Kusserow(pty:dft), Attorney Cali D Tran added to party John T. Potts, Jr.(pty:dft), Attorney Cali D Tran added to party Robert Rosen(pty:dft), Attorney Cali D Tran added to party Barry J. Simon(pty:dft), Attorney Cali D Tran added to party John C. Thomas Jr.(pty:dft)) (Tran, Cali) (Entered: 10/05/2016) 10/06/ NOTICE OF NON-OPPOSITION to NOTICE OF MOTION AND MOTION to Consolidate Cases, as to 2:16-cv MWF-JEM; 2:16-cv MWF-JEM; 2:16-cv MWF-JEM; 2:16-cv MWF-JEM, 68 filed by Plaintiffs Donald Hu, Brayton Li. (Wolke, Kara) (Entered: 10/06/2016) 10/06/ NOTICE OF MOTION AND MOTION to Dismiss Case for Violations of the Federal Securities Laws filed by defendants Michael D. Blaszyk, Richard Gomberg, Steve Gorlin, Ji Henri, Richard Kusserow, Nantkwest, Inc., John T. Potts, Jr., Robert Rosen, Barry J. Simon, Patrick Soon-Shiong, John C. Thomas Jr.. Motion set for hearing on 12/5/2016 at 10:00 AM before Judge Michael W. Fitzgerald. (Attachments: # 1 Memorandum in Support of Motion to Dismiss Consolidated Complaint, # 2 Declaration of Michael Petrocelli, # 3 Exhibit A, # 4 Exhibit B, # 5 Exhibit C, # 6 Exhibit D, # 7 Exhibit E, # 8 Exhibit F, # 9 Exhibit G, # 10 Exhibit H, # 11 Exhibit I, # 12 Proposed Order) (Attorney Boris Feldman added to party Michael D. Blaszyk(pty:dft), Attorney Boris Feldman added to party Steve Gorlin(pty:dft), Attorney Boris Feldman added to party Ji Henri(pty:dft), Attorney Boris Feldman added to party Richard Kusserow(pty:dft), Attorney Boris Feldman added to party John T. Potts, Jr.(pty:dft), Attorney Boris Feldman added to party

20 Robert Rosen(pty:dft), Attorney Boris Feldman added to party Barry J. Simon(pty:dft), Attorney Boris Feldman added to party John C. Thomas Jr.(pty:dft)) (Feldman, Boris) (Entered: 10/06/2016) 10/06/ REQUEST FOR JUDICIAL NOTICE re NOTICE OF MOTION AND MOTION to Dismiss Case for Violations of the Federal Securities Laws 70 filed by s Michael D. Blaszyk, Richard Gomberg, Steve Gorlin, Ji Henri, Richard Kusserow, Nantkwest, Inc., John T. Potts, Jr., Robert Rosen, Barry J. Simon, Patrick Soon- Shiong, John C. Thomas Jr.. (Feldman, Boris) (Entered: 10/06/2016) 10/06/ JOINDER in NOTICE OF MOTION AND MOTION to Dismiss Case for Violations of the Federal Securities Laws 70 filed by s Citigroup Global Markets Inc., Jefferies LLC, MLV & Co., LLC, Merrill Lynch, Pierce, Fenner & Smith, Inc., Piper Jaffray & Co.. (Attorney Sara N Taylor added to party Citigroup Global Markets Inc.(pty:dft), Attorney Sara N Taylor added to party Jefferies LLC(pty:dft), Attorney Sara N Taylor added to party MLV & Co., LLC(pty:dft), Attorney Sara N Taylor added to party Merrill Lynch, Pierce, Fenner & Smith, Inc.(pty:dft), Attorney Sara N Taylor added to party Piper Jaffray & Co.(pty:dft))(Taylor, Sara) (Entered: 10/06/2016) 10/07/ MINUTES (IN CHAMBERS): ORDER DENYING Plaintiffs Ex Parte Application to Stay Briefing Schedule 64 by Judge Michael W. Fitzgerald: The Related Plaintiffs lack standing and thus the Application is DENIED. The Related Plaintiffs filed four putative class actions in state court, which were subsequently removed to federal court. (jp) (Entered: 10/07/2016) 10/07/ NOTICE OF MOTION AND MOTION for Relief from the Court's June 14, 2016 Order Consolidating Cases and Appointing Lead Plaintiff (Motion to Require Republication of Notice to Class Members) re Order on Motion for Appointment of Counsel,,,, Order on Motion to Consolidate Cases,,, 34 filed by Plaintiff Movants Kenneth Frye, Michael Hare, Norman Jacobs, Justin T. Wagner, Craig Wiencek. Motion set for hearing on 11/7/2016 at 10:00 AM before Judge Michael W. Fitzgerald. (Attachments: # 1 Memorandum, # 2 Declaration of James I. Jaconette, # 3 Exhibit A to Declaration of James I. Jaconette, # 4 Proposed Order) (Jaconette, James) (Entered: 10/07/2016) 10/11/ APPLICATION of Non-Resident Attorney Joshua B. Silverman to Appear Pro Hac Vice on behalf of Plaintiff Sunil Sudunagunta (Pro Hac Vice Fee - Fee Paid, Receipt No ) filed by Plaintiff Sunil Sudunagunta. (Attachments: # 1 Cert ificate of Good Standing, # 2 Proposed Order) (Pafiti, Jennifer) (Entered: 10/11/2016) 10/11/ ORDER GRANTING Nantkwest s MOTION to Consolidate Related Cases 68 by Judge Michael W. Fitzgerald that the following cases are consolidated: Sudunagunta v. NantKwest, Inc. et al, Case No. 2:16-cv MWF-JEM (consolidated action); Wagner v. NantKwest, Inc., et al., Case No. 2:16-cv MWF-JEM; Hare v. NantKwest, Inc., et al., Case No. 2:16-cv MWF-JEM; Wiencek v. NantKwest, Inc., et al., Case No. 2:16-cv MWF-JEM; Frye v. NantKwest, Inc., et al., Case No. 2:16-cv MWF-JEM. (jp) (Entered: 10/11/2016)

21 10/12/ ORDER ON APPLICATION OF NON-RESIDENT ATTORNEY TO APPEAR IN A SPECIFIC CASE PRO HAC VICE by Judge Michael W. Fitzgerald: granting 75 Non-Resident Attorney Joshua B Silverman APPLICATION to Appear Pro Hac Vice on behalf of Plaintiff Sunil Sudunagunta, designating Jennifer Pafiti as local counsel. (jp) (Entered: 10/12/2016) 10/17/ OPPOSITION to NOTICE OF MOTION AND MOTION for Relief from the Court's June 14, 2016 Order Consolidating Cases and Appointing Lead Plaintiff (Motion to Require Republication of Notice to Class Members) re Order on Motion for Appointment of Counsel,,,, Order o 74 filed by Plaintiffs Donald Hu, Brayton Li. (Wolke, Kara) (Entered: 10/17/2016) 10/17/ DECLARATION of Kara M. Wolke re Response in Opposition to Motion, 78 filed by Plaintiffs Donald Hu, Brayton Li. (Attachments: # 1 Exhibit A - Press Release)(Wolke, Kara) (Entered: 10/17/2016) 10/18/ CORPORATE DISCLOSURE STATEMENT AND NOTICE OF INTERESTED PARTIES [FED. R. CIV. P. 7.1; LOCAL CIVIL RULE 7.1-1] filed by s Citigroup Global Markets Inc., Jefferies LLC, MLV & Co., LLC, Merrill Lynch, Pierce, Fenner & Smith, Inc., Piper Jaffray & Co. (Taylor, Sara) (Entered: 10/18/2016) 10/19/ CORPORATE DISCLOSURE STATEMENT CORRECTED filed by s Citigroup Global Markets Inc., Jefferies LLC, MLV & Co., LLC, Merrill Lynch, Pierce, Fenner & Smith, Inc., Piper Jaffray & Co. (Taylor, Sara) (Entered: 10/19/2016) 10/21/ Notice of Appearance or Withdrawal of Counsel: for attorney Patrice L Bishop counsel for Movants Michael Hare, Norman Jacobs. Adding Patrice L. Bishop as counsel of record for Michael Hare and Norman Jacobs for the reason indicated in the G-123 Notice. Filed by Plaintiffs Michael Hare and Norman Jacobs. (Attorney Patrice L Bishop added to party Michael Hare(pty:mov), Attorney Patrice L Bishop added to party Norman Jacobs(pty:mov))(Bishop, Patrice) (Entered: 10/21/2016) 10/24/ SCHEDULING NOTICE by Judge Michael W. Fitzgerald. On the Court's own motion, the Motion for Relief from the Court's June 14, 2016 Order Consolidating Cases and Appointing Lead Plaintiff 74, is continued to 12/5/2016 at 10:00 AM. IT IS SO ORDERED. THERE IS NO PDF DOCUMENT ASSOCIATED WITH THIS ENTRY.(rs) TEXT ONLY ENTRY (Entered: 10/24/2016) 10/24/ REPLY in support of NOTICE OF MOTION AND MOTION for Relief from the Court's June 14, 2016 Order Consolidating Cases and Appointing Lead Plaintiff (Motion to Require Republication of Notice to Class Members) re Order on Motion for Appointment of Counsel,,,, Order o 74 filed by Movants Kenneth Frye, Michael Hare, Norman Jacobs, Justin T. Wagner, Craig Wiencek. (Jaconette, James) (Entered: 10/24/2016) 10/24/ DECLARATION of Norman Jacobs in support of NOTICE OF MOTION AND MOTION for Relief from the Court's June 14, 2016 Order Consolidating Cases and Appointing Lead Plaintiff (Motion to Require Republication of Notice to Class Members) re Order on Motion for Appointment of Counsel,,,, Order o 74 filed by Movants Kenneth Frye, Michael Hare, Norman Jacobs, Justin T. Wagner, Craig Wiencek. (Jaconette, James) (Entered: 10/24/2016)

22 10/26/ OPPOSITION to NOTICE OF MOTION AND MOTION to Dismiss Case for Violations of the Federal Securities Laws 70 filed by Plaintiffs Donald Hu, Brayton Li. (Wolke, Kara) (Entered: 10/26/2016) 11/10/ NOTICE TO PARTIES by District Judge Michael W. Fitzgerald. Effective November 17, 2016, Judge Fitzgerald will be located at the 1st Street Courthouse, COURTROOM 5A on the 5th floor, located at 350 W. 1st Street, Los Angeles, California All Court appearances shall be made in Courtroom 5A of the 1st Street Courthouse, and all mandatory chambers copies shall be hand delivered to the judge's mail box outside the Clerk's Office on the 4th floor of the 1st Street Courthouse. The location for filing civil documents in paper format exempted from electronic filing and for viewing case files and other records services remains at the United States Courthouse, 312 North Spring Street, Room G-8, Los Angeles, California The location for filing criminal documents in paper format exempted from electronic filing remains at Edward R. Roybal Federal Building and U.S. Courthouse, 255 East Temple Street, Room 178, Los Angeles, California THERE IS NO PDF DOCUMENT ASSOCIATED WITH THIS ENTRY. (rrp) TEXT ONLY ENTRY (Entered: 11/10/2016) 11/10/ REPLY support NOTICE OF MOTION AND MOTION to Dismiss Case for Violations of the Federal Securities Laws 70 filed by s Michael D. Blaszyk, Richard Gomberg, Steve Gorlin, Ji Henri, Richard Kusserow, Nantkwest, Inc., Robert Rosen, Barry J. Simon, Patrick Soon-Shiong, John C. Thomas Jr.. (Feldman, Boris) (Entered: 11/10/2016) 12/05/ MINUTES OF Motion to Dismiss Case ; Motion for relief from the court's June 14, 2016 Order consolidating Cases and Appointing Lead Plaintiff 74 before Judge Michael W Fitzgerald: The Courtroom Deputy Clerk distributes the Court's tentative ruling prior to the case being called. Case called, and counsel state their appearances. The Court hears oral argument from counsel, and takes the matter under submission. An order will issue. Court Reporter: Nichole Forrest. (jp) (Entered: 12/05/2016) 12/28/ TRANSCRIPT ORDER as to Plaintiff Sunil Sudunagunta for Court Reporter. Court will contact Megan Scott at mscott@pomlaw.com with any questions regarding this order. Transcript preparation will not begin until payment has been satisfied with the court reporter. (Silverman, Joshua) (Entered: 12/28/2016) 01/05/ TRANSCRIPT ORDER as to Movants Kenneth Frye, Michael Hare, Norman Jacobs, Justin T. Wagner, Craig Wiencek for Court Reporter. Court will contact Stephanie Chateauneuf at schateauneuf@rgrdlaw.com with any questions regarding this order. Transcript preparation will not begin until payment has been satisfied with the court reporter. (Jaconette, James) (Entered: 01/05/2017) 01/18/ TRANSCRIPT ORDER as to s Citigroup Global Markets Inc., Jefferies LLC, MLV & Co., LLC, Merrill Lynch, Pierce, Fenner & Smith, Inc., Piper Jaffray & Co. for Court Reporter. Court will contact Larry Polon at larry.polon@mto.com with any questions regarding this order. Transcript preparation will not begin until payment has been satisfied with the court reporter. (Rutten, James) (Entered: 01/18/2017)

23 02/06/ MINUTES (IN CHAMBERS): ORDER DENYING MOTION FOR REPUBLICATION AND ORDERING TELEPHONIC HEARING ON MOTION TO DISMISS by Judge Michael W. Fitzgerald. For the foregoing reasons, the Republication Motion is DENIED. Because the Court did not hear oral argument on the Motion to Dismiss at the initially noticedhearing, oral argument on the Motion to Dismiss is rescheduled for Tuesday, February 28 at 10:00 a.m. The parties may appear in person or telephonically. A tentative decision will be distributed to the parties prior to the hearing. IT IS SO ORDERED. (lom) (Entered: 02/06/2017) 02/27/ SCHEDULING NOTICE by Judge Michael W. Fitzgerald. On the Court's own motion, the Motion to Dismiss Case 70 is continued to 3/1/2017 at 10:00 AM. IT IS SO ORDERED. THERE IS NO PDF DOCUMENT ASSOCIATED WITH THIS ENTRY. (rs) TEXT ONLY ENTRY (Entered: 02/27/2017) 02/27/ NOTICE of Supplemental Authority filed by s Michael D. Blaszyk, Richard Gomberg, Steve Gorlin, Ji Henri, Richard Kusserow, Nantkwest, Inc., John T. Potts, Jr., Robert Rosen, Barry J. Simon, Patrick Soon-Shiong, John C. Thomas Jr.. (Attachments: # 1 Exhibit A, # 2 Exhibit B)(Petrocelli, Michael) (Entered: 02/27/2017) 02/28/ RESPONSE filed by Plaintiffs Donald Hu, Brayton Lito Notice (Other), 95 (Mullarky, Alexa) (Entered: 02/28/2017) 03/01/ MINUTES OF MOTION to Dismiss Case before Judge Michael W. Fitzgerald: Case called, and counsel state their appearances. The Court hears oral argument from counsel, and takes the matter under submission. An order will issue. Court Reporter: Terri Hourigan. (jp) (Entered: 03/02/2017) 03/02/ TRANSCRIPT ORDER as to Plaintiff Sunil Sudunagunta for Court Reporter. Court will contact Megan Scott at mscott@pomlaw.com with any questions regarding this order. Transcript preparation will not begin until payment has been satisfied with the court reporter. (Dahlstrom, Patrick) (Entered: 03/02/2017) 03/02/ TRANSCRIPT ORDER as to s Michael D. Blaszyk, Richard Gomberg, Steve Gorlin, Ji Henri, Richard Kusserow, Nantkwest, Inc., John T. Potts, Jr., Robert Rosen, Barry J. Simon, Patrick Soon-Shiong, John C. Thomas Jr. for Court Reporter. Court will contact Rosemarie Dean at rdean@wsgr.com with any questions regarding this order. Transcript preparation will not begin until payment has been satisfied with the court reporter. (Feldman, Boris) (Entered: 03/02/2017) 03/03/ TRANSCRIPT ORDER as to Plaintiffs Donald Hu, Brayton Li for Court Reporter. Court will contact Emily Oswald at eoswald@glancylaw.com with any questions regarding this order. Transcript preparation will not begin until payment has been satisfied with the court reporter. (Mullarky, Alexa) (Entered: 03/03/2017) 03/08/ TRANSCRIPT ORDER as to s Citigroup Global Markets Inc., Jefferies LLC, MLV & Co., LLC, Merrill Lynch, Pierce, Fenner & Smith, Inc., Piper Jaffray & Co. for Court Reporter. Court will contact Larry Polon at larry.polon@mto.com with any questions regarding this order. Transcript preparation will not begin until payment has been satisfied with the court reporter. (Rutten, James) (Entered: 03/08/2017)

24 03/08/ TRANSCRIPT ORDER as to Lead Plaintiffs Donald Hu, Brayton Li for Court Reporter. Court will contact Karen Cook at with any questions regarding this order. Transcript preparation will not begin until payment has been satisfied with the court reporter. (Jaconette, James) (Entered: 03/08/2017) 03/09/ TRANSCRIPT for proceedings held on 03/01/ :00 A.M.. Court Reporter/Electronic Court Recorder: Terri A. Hourigan, phone number Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Electronic Court Recorder before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Notice of Intent to Redact due within 7 days of this date. Redaction Request due 3/30/2017. Redacted Transcript Deadline set for 4/10/2017. Release of Transcript Restriction set for 6/7/2017. (Hourigan, Terri) (Entered: 03/09/2017) 03/09/ NOTICE OF FILING TRANSCRIPT filed for proceedings 03/01/2017 re Transcript 103 THERE IS NO PDF DOCUMENT ASSOCIATED WITH THIS ENTRY. (Hourigan, Terri) TEXT ONLY ENTRY (Entered: 03/09/2017) 04/03/ Effective April 10, 2017, Judge McDermott will be located at the Edward R. Roybal Federal Building, COURTROOM 630 on the 6th Floor, located at 255 East Temple Street, Los Angeles, California All court appearances shall be made in Courtroom 630 of the Roybal Federal Building, and all mandatory chambers copies shall be hand delivered to the judge's mailbox located outside the Clerk's Office on the 1st Floor of the Roybal Federal Building. The location for filing civil documents in paper format exempted from electronic filing and for viewing case files and other records services remains at the United States Courthouse, 312 North Spring Street, Room G-8, Los Angeles, California The location for filing criminal documents in paper format exempted from electronic filing remains at the Roybal Federal Building, 255 East Temple Street, Room 178, Los Angeles, California THERE IS NO PDF DOCUMENT ASSOCIATED WITH THIS ENTRY. (rrp) TEXT ONLY ENTRY (Entered: 04/03/2017) 04/27/ Notice of Appearance or Withdrawal of Counsel: for attorney John Brandon Walker counsel for Plaintiffs Donald Hu, Brayton Li. J. Brandon Walker is no longer counsel of record for the aforementioned party in this case for the reason indicated in the G-123 Notice. Filed by Lead Plaintiffs Donald Hu and Brayton Li. (Attorney John Brandon Walker added to party Brayton Li(pty:pla))(Walker, John) (Entered: 04/27/2017) 05/11/ NOTICE filed by s Michael D. Blaszyk, Richard Gomberg, Steve Gorlin, Ji Henri, Richard Kusserow, Nantkwest, Inc., John T. Potts, Jr., Robert Rosen, Barry J. Simon, Patrick Soon-Shiong, John C. Thomas Jr.. of Supplemental Authorities (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C)(Petrocelli, Michael) (Entered: 05/11/2017) 05/16/ MINUTES (In Chambers): ORDER Re Motion to Dismiss 70 by Judge Michael W. Fitzgerald: The Motion is GRANTED in part and DENIED in part. The Motion is GRANTED with leave to amend except for the claim that the terms of the modifications to the Warrant were not disclosed. Plaintiffs shall file their First Amended Complaint, if any, on or before 6/5/2017. (jp) (Entered: 05/16/2017)