U.S. District Court Southern District of Florida (Miami) CIVIL DOCKET FOR CASE #: 98-CV-2972

Transcription

1 US District Court Civil Docket as of 11/03/2003 Retrieved from the court on Thursday, April 20, 2006 U.S. District Court Southern District of Florida (Miami) CIVIL DOCKET FOR CASE #: 98-CV-2972 Oxford Asset, et al v. Jaharis, et al Filed: 12/07/98 Assigned to: Judge Donald M. Middlebrooks Demand: $0,000 Nature of Suit: 850 Lead Docket: None Jurisdiction: Federal Question Dkt # in USDC ND of Illinois : is 98-CV-4849 Cause: 15:0078 Securities Exchange Act OXFORD ASSET MANAGEMENT, LTD. Atlee W. Wampler, III plaintiff FTS Ricardo A. Banciella FTS Wampler Buchanan Walker Chabrow & Banciella 1 SE 3rd Avenue Suite 1700 Miami, FL Robert J. Emanuel Below Address Terminated on 3/1/02 FTS Charles R. Watkins FTS Arthur T. Susman FTS Susman & Watkins 2 1st National Plaza Suite 600 Chicago, IL LOWEY DANNENBERG & KNAPP, P.C. PROFIT SHARING PLAN & TRUST aka Atlee W. Wampler, III

2 Lowey Dannenberg, Bemporad & Selinger P.C. Profit Sharing Plan plaintiff Ricardo A. Banciella Robert J. Emanuel Below Address Terminated on 3/1/02 Charles R. Watkins Arthur T. Susman v. MICHAEL JAHARIS Gregory Alan Baldwin Tracy Ann Nichols FTS X7717 Holland & Knight 701 Brickell Avenue Suite 3000 Miami, FL DANIEL M. BELL DUNCAN COCROFT JUAN F. RODRIGUEZ ROBERT E. BALDINI JOHN BRADEMAS STEVE JEHARIS LOUIS LASAGNA MARK NOVITCH

3 FREDERICK B. WHITTEMORE KOS PHARMACEUTICALS, INC. COWEN & COMPANY Gregory Alan Baldwin Tracy Ann Nichols Louise McAlpin Brais FTS Dwayne Edward Williams FTS Holland & Knight 701 Brickell Avenue Suite 3000 Miami, FL Ashish Prasad Robert J. Kriss Michelle Odorizzi Mayer Brown Rowe & Maw LLP 190 S LaSalle Street Suite 3215 Chicago, IL Gerald J. Houlihan FTS Julie Ann Zahniser FTS Houlihan & Partners 2600 Douglas Road Suite 600 Miami, FL DONALDSON LUFKIN & JENRETTE Ashish Prasad Robert J. Kriss Michelle Odorizzi

4 Gerald J. Houlihan Julie Ann Zahniser SALOMON SMITH BARNEY HOLDINGS, INC. Ashish Prasad Robert J. Kriss Michelle Odorizzi Gerald J. Houlihan Julie Ann Zahniser SBC WARBURG, DILLON READ, INC. Ashish Prasad Robert J. Kriss Michelle Odorizzi Gerald J. Houlihan Julie Ann Zahniser DOCKET PROCEEDINGS

5 DATE # DOCKET ENTRY 12/7/98 1 ORDER TRANSFERRING CASE from Northern District of Illinois WCT A-3 (td) [Entry date 12/08/98] 12/7/98 -- Magistrate identification: Magistrate Judge William C. Turnoff (td) [Entry date 12/08/98] 12/7/98 2 Original file and docket sheet received from District of Illinois (td) [Entry date 12/08/98] 12/14/98 3 ORDER reset answer due for 1/7/99 for SBC Warburg, Dillon, for Salomon Smith Barney, for Donaldson Lufkin, for Cowen & Company, for KOS Pharmaceuticals, for Frederick B. Whittemore, for Mark Novitch, for Louis Lasagna, for Steve Jeharis, for John Brademas, for Robert E. Baldini, for Juan F. Rodriguez, for Duncan Cocroft, for Daniel M. Bell, for Michael Jaharis ( signed by Judge Donald M. Middlebrooks on 12/14/98) CCAP (wc) [Entry date 12/16/98] 1/4/99 4 MOTION by Oxford Asset, Lowey Dannenberg for Robert J. Emanuel, Charles R. Watkins and Arthur T. Susman to appear pro hac vice (wc) [Entry date 01/07/99] 1/4/99 -- Fee Paid; PHV FEE $ RECEIPT # (wc) [Entry date 01/07/99] 1/7/99 5 MOTION by KOS Pharmaceuticals to dismiss the Class Action Complaint (wc) [Entry date 01/08/99] 1/7/99 6 MEMORANDUM by KOS Pharmaceuticals in support of [5-1] motion to dismiss the Class Action Complaint (wc) [Entry date 01/08/99] 1/7/99 7 MOTION by KOS Pharmaceuticals for leave to file memorandum in excess of 20 pages, and for Oral Argument (wc) [Entry date 01/08/99] 1/7/99 8 MOTION by Cowen & Company, Donaldson Lufkin, Salomon Smith Barney, SBC Warburg, Dillon to extend time to respond to complaint (wc) [Entry date 01/08/99]

6 1/8/99 9 ORDER granting [7-1] motion for leave to file memorandum in excess of 20 pages, granting [7-2] motion for Oral Argument Motion hearing before Judge Donald M. Middlebrooks set for 4:30 3/18/99 for [5-1] motion to dismiss the Class Action Complaint ( signed by Judge Donald M. Middlebrooks on 1/8/99) CCAP (nt) [Entry date 01/10/99] 1/8/99 10 ORDER granting [8-1] motion to extend time to respond to complaint reset answer due for 2/8/99 for SBC Warburg, Dillon, for Salomon Smith Barney, for Donaldson Lufkin, for Cowen & Company ( signed by Judge Donald M. Middlebrooks on 1/8/99) CCAP (nt) [Entry date 01/10/99] 1/12/99 11 MOTION by Oxford Asset, Lowey Dannenberg to appoint Lead Plaintiffs, and for appointment of Lead Counsel (wc) [Entry date 01/15/99] 1/20/99 12 ORDER granting [4-1] motion for Robert J. Emanuel, Charles R. Watkins and Arthur T. Susman to appear pro hac vice ( signed by Judge Donald M. Middlebrooks on 1/20/99) CCAP (wc) [Entry date 01/22/99] 1/21/99 13 MOTION by Oxford Asset, Lowey Dannenberg to extend time to respond to motion to dismiss (wc) [Entry date 01/27/99] 1/26/99 14 NOTICE of attorney appearance for Oxford Asset, Lowey Dannenberg by Atlee W. Wampler, III (wc) [Entry date 01/27/99] 1/27/99 15 RESPONSE by Michael Jaharis, Daniel M. Bell, Duncan Cocroft, Juan F. Rodriguez, Robert E. Baldini, John Brademas, Steve Jeharis, Louis Lasagna, Mark Novitch, Frederick B. Whittemore, KOS Pharmaceuticals to [11-1] motion to appoint Lead Plaintiffs, [11-2] motion for appointment of Lead Counsel (wc) [Entry date 01/28/99] 2/1/99 16 ORDER granting [13-1] motion to extend time to respond to motion to dismiss Response to motion reset to 3/8/99 for [5-1] motion to dismiss the Class Action Complaint ( signed by Judge Donald M. Middlebrooks on 2/1/99) CCAP (wc) [Entry date 02/03/99] 2/3/99 17 RESPONSE by Cowen & Company, Donaldson Lufkin, Salomon Smith Barney, SBC Warburg, Dillon to [11-1] motion to appoint Lead Plaintiffs, [11-2] motion for appointment of Lead Counsel (wc) [Entry date 02/04/99]

7 2/8/99 18 MOTION by Cowen & Company, Donaldson Lufkin, Salomon Smith Barney, SBC Warburg, Dillon to dismiss the complaint for failure to state a claim and failure to plead fraud with particularity, and for oral argument on [18-1] motion to dismiss (wc) [Entry date 02/09/99] 3/4/99 19 MOTION by Oxford Asset, Lowey Dannenberg for leave to file a brief in excess of 20 pages (not attached) (wc) [Entry date 03/05/99] 3/4/99 20 MOTION by Oxford Asset, Lowey Dannenberg to extend time to respond to motion to dismiss (wc) [Entry date 03/05/99] 3/5/99 21 ORDER granting [20-1] motion to extend time to respond to motion to dismiss Response to motion reset to 3/18/99 for [18-1] motion to dismiss the complaint for failure to state a claim and failure to plead fraud with particularity, reset to 3/18/99 for [5-1] motion to dismiss the Class Action Complaint ( signed by Judge Donald M. Middlebrooks on 3/5/99) CCAP (wc) [Entry date 03/09/99] 3/5/99 22 ORDER granting [19-1] motion for leave to file a brief in excess of 20 pages ( signed by Judge Donald M. Middlebrooks on 3/5/99) CCAP (wc) [Entry date 03/09/99] 3/18/99 23 NOTICE of filing Plaintiffs' Memorandum of Law in Opposition to Motions to Dismiss and the Appendix of Unreported Decisions cited in Plaintiffs' of Law in Opposition to Defendants' Motions to Dismiss by Oxford Asset, Lowey Dannenberg (wc) [Entry date 03/19/99] 3/18/99 24 MEMORANDUM by Oxford Asset, Lowey Dannenberg in opposition to [18-1] motion to dismiss the complaint for failure to state a claim and failure to plead fraud with particularity, [18-2] motion for oral argument on [18-1] motion to dismiss, [5-1] motion to dismiss the Class Action Complaint (wc) [Entry date 03/19/99] 3/18/99 25 APPENDIX to: [24-1] opposition memorandum by Oxford Asset, Lowey Dannenberg (wc) [Entry date 03/19/99] 3/23/99 26 MOTION by Cowen & Company, Donaldson Lufkin, Salomon Smith Barney, SBC Warburg, Dillon to extend time to reply to response to motions to dismiss (wc) [Entry date 03/24/99]

8 3/26/99 27 AGREED MOTION by Michael Jaharis, Daniel M. Bell, Duncan Cocroft, Juan F. Rodriguez, Robert E. Baldini, John Brademas, Steve Jeharis, Louis Lasagna, Mark Novitch, Frederick B. Whittemore, KOS Pharmaceuticals to extend time to file Reply Memorandum in support of their motion to dismiss (wc) [Entry date 03/29/99] 3/29/99 28 ORDER granting [26-1] motion to extend time to reply to response to motions to dismiss Reply to Response to Motion reset to 4/15/99 for [18-1] motion to dismiss the complaint for failure to state a claim and failure to plead fraud with particularity, reset to 4/15/99 for [5-1] motion to dismiss the Class Action Complaint ( signed by Judge Donald M. Middlebrooks on 3/25/99) CCAP (tdj) [Entry date 03/31/99] 3/29/99 29 ORDER granting [27-1] motion to extend time to file Reply Memorandum in support of their motion to dismiss; see Order for further details ( signed by Judge Donald M. Middlebrooks on 3/29/99) CCAP (tdj) [Entry date 03/31/99] 4/14/99 30 ORDER granting [11-1] motion to appoint Lead Plaintiffs, granting [11-2] motion for appointment of Lead Counsel ( signed by Judge Donald M. Middlebrooks on 4/14/99) CCAP (wc) [Entry date 04/16/99] 4/15/99 32 REPLY MEMORANDUM by Cowen & Company, Donaldson Lufkin, Salomon Smith Barney, SBC Warburg, Dillon in support of [18-1] motion dismiss the complaint for failure to state a claim and failure to plead fraud with particularity, [18-2] motion for oral argument on [18-1] motion to dismiss (wc) [Entry date 04/20/99] 4/16/99 31 MOTION by KOS Pharmaceuticals for leave to file Reply Brief in excess of 10 pages (Proposed Reply in support of Motion to Dismiss located in Pod #2, Docketing) (wc) [Entry date 04/19/99] 4/20/99 33 MOTION by Cowen & Company, Donaldson Lufkin, Salomon Smith Barney, SBC Warburg, Dillon for leave to file to file Reply in support of Motion to Dismiss in excess of 10 pages (wc) [Entry date 04/23/99] 4/20/99 35 REPLY by KOS Pharmaceuticals to response to [5-1] motion to dismiss the Class Action Complaint (wc) [Entry date 04/23/99]

9 4/21/99 34 ORDER granting [31-1] motion for leave to file Reply Brief in excess of 10 pages ( signed by Judge Donald M. Middlebrooks on 4/20/99) CCAP (wc) [Entry date 04/23/99] 4/22/99 36 ORDER granting [33-1] motion for leave to file to file Reply in support of Motion to Dismiss in excess of 10 pages ( signed by Judge Donald M. Middlebrooks on 4/21/99) CCAP (wc) [Entry date 04/23/99] 4/29/99 37 MOTION by Cowen & Company, Donaldson Lufkin, Salomon Smith Barney, SBC Warburg, Dillon for Robert J. Kriss to appear pro hac vice (wc) [Entry date 04/30/99] 4/29/99 38 MOTION by Cowen & Company, Donaldson Lufkin, Salomon Smith Barney, SBC Warburg, Dillon for Ashish Prasad to appear pro hac vice (wc) [Entry date 04/30/99] 4/29/99 39 MOTION by Cowen & Company, Donaldson Lufkin, Salomon Smith Barney, SBC Warburg, Dillon for Michelle Odorizzi to appear pro hac vice (wc) [Entry date 04/30/99] 4/29/99 -- Fee Paid; PHV FEE $ RECEIPT # (wc) [Entry date 04/30/99] 4/30/99 40 ORDER granting [38-1] motion for Ashish Prasad to appear pro hac vice ( signed by Judge Donald M. Middlebrooks on 4/30/99) CCAP (wc) [Entry date 05/04/99] 5/3/99 41 ORDER granting [37-1] motion for Robert J. Kriss to appear pro hac vice ( signed by Judge Donald M. Middlebrooks on 5/3/99) CCAP (wc) [Entry date 05/05/99] 5/3/99 42 ORDER granting [39-1] motion for Michelle Odorizzi to appear pro hac vice ( signed by Judge Donald M. Middlebrooks on 5/3/99) CCAP (wc) [Entry date 05/05/99] 5/7/99 43 NOTICE of filing a demonstrative exhibit used during oral argument on 5/4/99 of the Motion to Dismiss by KOS Pharmaceuticals (attachment) (wc) [Entry date 05/10/99] 5/19/99 44 ORDER granting [18-1] motion to dismiss the complaint for failure to state a claim and failure to plead fraud with particularity, granting [5-1] motion to dismiss the Class

10 Action Complaint dismissing this case with prejudice; closing case and denying any pending motions as moot ( signed by Judge Donald M. Middlebrooks on 5/19/99) CCAP (wc) [Entry date 05/20/99] 5/19/99 -- CASE CLOSED. Case and Motions no longer referred to Magistrate. (wc) [Entry date 05/20/99] 6/7/99 45 NOTICE of by Oxford Asset, Lowey Dannenberg of filing Plantiff's Notice of Appeal (sn) [Entry date 06/14/99] 6/7/99 46 NOTICE OF APPEAL by Oxford Asset, Lowey Dannenberg of [44-2] order. EOD Date: 05/20/99; Filing Fee: $ FEE NOT PAID; Copies to USCA and Counsel of Record. (sn) [Entry date 06/14/99] 6/15/99 47 AMENDED NOTICE of filing Amended Notice of Appeal by Oxford Asset (sn) [Entry date 06/21/99] 6/15/99 48 AMENDED NOTICE OF APPEAL by Oxford Asset of [44-2] order. EOD Date: 05/20/99; Filing Fee: $ FEE NOT PAID; Copies to USCA and Counsel of Record. (sn) [Entry date 06/21/99] 6/25/99 -- USCA appeal fees received as to Oxford Asset Re: [61-1] appeal, [48-1] appeal, [46-1] appeal Filing Fee $ Receipt # (sn) [Entry date 08/26/99] 6/27/99 -- NOTICE of Receipt of Transmittal Letter from USCA Re: [46-1] appeal by Lowey Dannenberg, Oxford Asset USCA NUMBER: F (sn) [Entry date 06/30/99] 6/28/99 49 Appeal Information Sheet as to Oxford Asset re: [48-1] appeal; transcript of Pre-Trial Proceedings requested for the date of 5/4/99 (sn) [Entry date 07/06/99] 7/2/99 50 TRANSCRIPT filed of Proceedings held 5/4/99 before Judge Donald M. Middlebrooks Pages: 1-56 re: [48-1] appeal by Oxford Asset, [46-1] appeal by Lowey Dannenberg, Oxford Asset. (sn) [Entry date 07/06/99] 7/6/99 51 MOTION by Michael Jaharis, Daniel M. Bell, Duncan Cocroft, Juan F. Rodriguez, Robert E. Baldini, John Brademas, Steve Jeharis, Louis Lasagna, Mark Novitch, Frederick B. Whittemore, KOS Pharmaceuticals for entry of final judgment, for mandatory review under the Reform Act, and

11 for the imposition of sanctions (wc) [Entry date 07/12/99] 7/7/99 -- NOTICE of Receipt of Transmittal Letter from USCA Re: [48-1] appeal by Oxford Asset USCA NUMBER: F (sn) [Entry date 07/08/99] 7/7/99 -- NOTICE of Receipt of Transmittal Letter from USCA Re: [48-1] appeal by Oxford Asset USCA NUMBER: F (sn) [Entry date 07/08/99] 7/7/99 52 Appeal Information Sheet as to Oxford Asset re: [48-1] appeal by Oxford Asset; transcripts requested on file. (sn) [Entry date 07/12/99] 7/13/99 53 MOTION by Oxford Asset, Lowey Dannenberg to extend time to respond to KOS s' Motion for sanctions (wc) [Entry date 07/15/99] 7/16/99 54 MOTION by Cowen & Company, Donaldson Lufkin, Salomon Smith Barney, SBC Warburg, Dillon for mandatory review under the Reform Act, and for the imposition of sanctions (wc) [Entry date 07/19/99] 7/19/99 55 ORDER granting [53-1] motion to extend time to respond to KOS s' Motion for sanctions Response to motion reset to 8/20/99 for [54-2] motion for the imposition of sanctions ( Signed by Judge Donald M. Middlebrooks on 7/19/99) CCAP [EOD Date: 7/22/99] (wc) [Entry date 07/22/99] 7/20/99 56 RESPONSE by KOS Pharmaceuticals to [53-1] motion to extend time to respond to KOS s' Motion for sanctions (wc) [Entry date 07/22/99] 7/20/99 57 MOTION by Oxford Asset, Lowey Dannenberg to extend time to respond to Underwriter Defendants' Motion for Sanctions (wc) [Entry date 07/22/99] 7/29/99 58 ORDER granting [57-1] motion to extend time to respond to Underwriter Defendants' Motion for Sanctions Response to motion reset to 8/20/99 for [54-1] motion for mandatory review under the Reform Act, reset to 8/20/99 for [54-2] motion for the imposition of sanctions. This extension is not to be viewed as a determination on the merits of the arguments raised in the Response (DE 57) ( Signed by Judge Donald M. Middlebrooks on 7/29/99) CCAP [EOD Date: 8/4/99] (wc) [Entry date 08/04/99]

12 8/3/99 59 FINAL JUDGMENT for all s: Michael Jaharis, Daniel M. Bell, Duncan Cocroft, Juan F. Rodriguez, Robert E. Baldini, John Brademas, Steve Jeharis, Louis Lasagna, Mark Novitch, Frederick B. Whittemore, KOS Pharmaceuticals, Cowen & Company, Donaldson Lufkin, Salomon Smith Barney, SBC Warburg, Dillon; and against Oxford Asset, Lowey Dannenberg. This case is dismissed and closed. The Court retains jurisdiction to review the post-judgment Motion for Sanctions ( Signed by Judge Donald M. Middlebrooks on 8/2/99) CCAP [EOD Date: 8/23/99] (wc) [Entry date 08/23/99] 8/19/99 60 MOTION by Oxford Asset, Lowey Dannenberg for leave to file a brief in excess of 20 pages, and for Hearing on said brief (Proposed Response to Motions for Sanctions located in Pod #2, Docketing) (wc) [Entry date 08/24/99] 8/24/99 67 RESPONSE by Oxford Asset, Lowey Dannenberg to [54-2] motion for the imposition of sanctions, [51-3] motion for the imposition of sanctions (wc) [Entry date 09/13/99] 8/25/99 61 SECOND AMENDED NOTICE OF APPEAL by Oxford Asset of [59-1] judgment order. EOD Date: 8/23/99; FEE NOT REQUIRED; Copies USCA and Counsel of Record. (sn) [Entry date 08/26/99] 8/25/99 62 ORDER granting [60-1] motion for leave to file a brief in excess of 20 pages. As the Request for Oral Argument has not been fully briefed, the Court reserves ruling ( Signed by Judge Donald M. Middlebrooks on 8/24/99) CCAP [EOD Date: 8/27/99] (wc) [Entry date 08/27/99] 8/26/99 63 AGREED MOTION by Michael Jaharis, Daniel M. Bell, Duncan Cocroft, Juan F. Rodriguez, Robert E. Baldini, John Brademas, Steve Jeharis, Louis Lasagna, Mark Novitch, Frederick B. Whittemore, KOS Pharmaceuticals, Cowen & Company, Donaldson Lufkin, Salomon Smith Barney, SBC Warburg, Dillon to time to 9/3/99 to reply in support of their Motion for Sanctions (wc) [Entry date 08/30/99] 8/31/99 64 ORDER granting [63-1] motion to time to 9/3/99 to reply in support of their Motion for Sanctions Reply to Response to Motion reset to 9/3/99 for [54-2] motion for the imposition of sanctions, reset to 9/3/99 for [51-3] motion for the imposition of sanctions ( Signed by Judge Donald M. Middlebrooks on 8/31/99) CCAP [EOD Date: 9/2/99] (wc) [Entry date 09/02/99] 9/3/99 65 REPLY by KOS Pharmaceuticals to response to [51-1] motion

13 for entry of final judgment, [51-2] motion for mandatory review under the Reform Act, [51-3] motion for the imposition of sanctions (wc) [Entry date 09/08/99] 9/7/99 66 REPLY by Cowen & Company, Donaldson Lufkin, Salomon Smith Barney, SBC Warburg, Dillon to response to [54-1] motion for mandatory review under the Reform Act, [54-2] motion for the imposition of sanctions (wc) [Entry date 09/08/99] 9/9/99 -- NOTICE of Receipt of Transmittal Letter from USCA Re: [61-1] appeal by Oxford Asset (sn) [Entry date 09/20/99] 1/25/00 68 ORDER that Defendants shall provide the Court and Plaintiffs with documentation, including, but not limited to, bills, expense reports, and affidavits to support their claims for attorney's fees and costs by 2/7/00 ( Signed by Judge Donald M. Middlebrooks on 1/25/00) CCAP [EOD Date: 1/26/00] (wc) [Entry date 01/26/00] 1/31/00 69 ORDER granting [54-2] motion for the imposition of sanctions, granting [51-3] motion for the imposition of sanctions. Having found that Plaintiffs' failure to comply with Rule 11(b) was substantial, Plaintiffs shall pay to Defendants a sum equal to the attorneys' fees and costs incurred by Defendants in litigating this action. The amount of such payment will be determined based on the Court's review of Defendants' billing and expense records ( Signed by Judge Donald M. Middlebrooks on 1/31/00) CCAP [EOD Date: 2/2/00] (wc) [Entry date 02/02/00] 2/4/00 70 AGREED MOTION by Daniel M. Bell, Duncan Cocroft, Juan F. Rodriguez, Robert E. Baldini, John Brademas, Steve Jeharis, Louis Lasagna, Mark Novitch, Frederick B. Whittemore, KOS Pharmaceuticals to extend time to submit documentation of attorneys' fees (wc) [Entry date 02/07/00] 2/4/00 71 MOTION by Cowen & Company, Donaldson Lufkin, Salomon Smith Barney, SBC Warburg, Dillon to extend time to document the billing and expense in support of sanctions (wc) [Entry date 02/07/00] 2/9/00 73 CORRECTED MOTION by Michael Jaharis, Daniel M. Bell, Duncan Cocroft, Juan F. Rodriguez, Robert E. Baldini, John Brademas, Steve Jeharis, Louis Lasagna, Mark Novitch, Frederick B. Whittemore, KOS Pharmaceuticals, Cowen & Company to extend time to submit documentation of attorneys' fees (wc) [Entry date 02/10/00]

14 2/9/00 74 ORDER granting [71-1] motion to extend time to document the billing and expense in support of sanctions; Defendants have until 2/21/00 to document their attorney fees and expenses (Signed by Judge Donald M. Middlebrooks on 2/9/00) CCAP [EOD Date: 2/11/00] (wc) [Entry date 02/11/00] 2/9/00 75 ORDER granting [73-1] motion to extend time to submit documentation of attorneys' fees. The KOS's s shall have until and including 2/21/00 within which to file their evidence of attorney's fees ( Signed by Judge Donald M. Middlebrooks on 2/9/00) CCAP [EOD Date: 2/11/00] (wc) [Entry date 02/11/00] 2/10/00 72 Certificate of readiness transmitted to USCA Re: [61-1] appeal by Oxford Asset, [48-1] appeal by Oxford Asset, [46-1] appeal by Lowey Dannenberg, Oxford Asset USCA NUMBER: F (sn) 2/10/00 -- Transmitted record on appeal to U.S. Court of Appeals (Miami Office) consisting of 3 volumes of pleadings, 1 volume of transcripts and 1 accordion folder containing docket entries # 2 & # 6: [61-1] appeal by Oxford Asset, [48-1] appeal by Oxford Asset, [46-1] appeal by Lowey Dannenberg, Oxford Asset USCA # F (sn) 2/11/00 76 ORDER granting [73-1] motion to extend time to submit documentation of attorneys' fees. The KOS s shall have until and including 2/21/00 within which to file their evidence of attorney's fees ( Signed by Judge Donald M. Middlebrooks on 2/11/00) CCAP [EOD Date: 2/14/00] (wc) [Entry date 02/14/00] 2/11/00 77 ORDER granting [54-1] motion for mandatory review under the Reform Act, granting [51-2] motion for mandatory review under the Reform Act denying [60-2] motion for Hearing on said brief ( Signed by Judge Donald M. Middlebrooks on 2/11/00) CCAP [EOD Date: 2/14/00] (wc) [Entry date 02/14/00] 2/11/00 78 FINAL JUDGMENT granting [51-1] motion for entry of final judgment. This suit is dismissed with prejudice for failure to state a claim upon which relief can be granted, and Plaintiffs shall take nothing by the complaint ( Signed by Judge Donald M. Middlebrooks on 2/11/00) CCAP Date: 2/14/00] (wc) [Entry date 02/14/00] 2/22/00 79 NOTICE of Filing of Documentation for Rule 11 Sanctions by

15 Cowen & Company, Donaldson Lufkin, Salomon Smith Barney, SBC Warburg, Dillon (attachments) (wc) [Entry date 02/23/00] 2/22/00 79 AFFIDAVITS of Richard H. Critchlow, Robert J. Kriss, and Gerald J. Houlihan by Cowen & Company, Donaldson Lufkin, Salomon Smith Barney, SBC Warburg, Dillon Re: [54-2] motion for the imposition of sanctions (wc) [Entry date 02/23/00] 2/22/00 79 MOTION by Cowen & Company, Donaldson Lufkin, Salomon Smith Barney, SBC Warburg, Dillon to permit additional proof after completion of litigation relating to sanctions (wc) [Entry date 02/23/00] 2/22/00 80 MEMORANDUM by Michael Jaharis, Daniel M. Bell, Duncan Cocroft, Juan F. Rodriguez, Robert E. Baldini, John Brademas, Steve Jeharis, Louis Lasagna, Mark Novitch, Frederick B. Whittemore, KOS Pharmaceuticals in support of their claim for attorney's fees and expenses under the Private Securities Litigation Reform Act and Rule 11 (wc) [Entry date 02/23/00] 2/25/00 81 THIRD AMENDED NOTICE OF APPEAL by Oxford Asset of [78-1] order, EOD Date: 2/14/00; FEE NOT REQUIRED; Copies to USCA and Counsel of Record. (sn) [Entry date 02/29/00] 2/25/00 82 NOTICE OF APPEAL by Oxford Asset of [77-1] order, EOD Date: 2/14/00 & [69-1] order, EOD Date: 2/2/00; Receipt #: FEE NOT PAID; Copies to USCA and Counsel of Record. (sn) [Entry date 02/29/00] 3/1/00 83 MOTION by Oxford Asset, Lowey Dannenberg for leave to file a response to Defendant's submission of billing and expense records (no attachments) (wc) [Entry date 03/02/00] 3/2/00 -- ACKNOWLEDGMENT of receipt by U.S.C.A. of: C.O.R. on 2/16/00 U.S.C.A. # F (sn) [Entry date 03/06/00] 3/6/00 84 ORDER granting [83-1] motion for leave to file a response to Defendant's submission of billing and expense records. Plaintiffs shall have until 4/21/00 to file a response ( Signed by Judge Donald M. Middlebrooks on 3/6/00) CCAP [EOD Date: 3/7/00] (wc) [Entry date 03/07/00] 3/9/00 -- NOTICE of Receipt of Transmittal Letter from USCA Re: [82-1] appeal by Oxford Asset USCA NUMBER: FF (sn)

16 [Entry date 03/10/00] [Edit date 05/15/00] 3/9/00 -- NOTICE of Receipt of Transmittal Letter from USCA Re: [81-1] appeal by Oxford Asset USCA NUMBER: FF (sn) [Entry date 03/10/00] [Edit date 05/15/00] 3/15/00 -- USCA appeal fees received as to Oxford Asset Re: [82-1] appeal Filing Fee $ Receipt $ (sn) [Entry date 03/16/00] 3/24/00 -- JURISDICTIONAL QUESTIONS Re: [82-1] appeal by Oxford Asset, [81-1] appeal by Oxford Asset, [61-1] appeal by Oxford Asset, [48-1] appeal by Oxford Asset, [46-1] appeal by Lowey Dannenberg, Oxford Asset USCA NUMBER: F (sn) [Entry date 03/27/00] 4/20/00 85 NOTICE of Filing Memorandum in Opposition to Claims for Attorney's fees and expenses by Oxford Asset, Lowey Dannenberg (wc) [Entry date 04/21/00] 4/20/00 86 MEMORANDUM by Oxford Asset, Lowey Dannenberg in opposition to Defendants' Claims for Attorneys' fees and expenses (wc) [Entry date 04/21/00] 4/27/00 87 MOTION by Steve Jeharis, KOS Pharmaceuticals, Michael Jaharis, Daniel M. Bell, Duncan Cocroft, Juan F. Rodriguez, Robert E. Baldini, John Brademas, Louis Lasagna, Mark Novitch, Frederick B. Whittemore to extend time to file reply memorandum in support of their claim for attorneys' fees and expenses (td) [Entry date 04/28/00] 4/28/00 88 ORDER of dismissal from USCA (certified copy) dismissing [82-1] appeal, dismissing [81-1] appeal for failure to prosecute because the appellants failed to file an appellants' brief and record excerpts within the time fixed by the rules. ***** MANDATE RECALLED BY THE USCA - ISSUED IN ERROR ***** USCA #: FF USCA Order Date: 4/25/00 (sn) [Entry date 05/01/00] [Edit date 05/15/00] 5/1/00 89 ORDER granting [87-1] motion to extend time to file reply memorandum in support of their claim for attorneys' fees and expenses. The Kos Defendants have up to and including 5/10/00 for filing their reply memorandum in support of their claim for attorneys' fees and expenses ( Signed by Judge Donald M. Middlebrooks on 5/1/00) CCAP [EOD Date: 5/2/00] (wc) [Entry date 05/02/00]

17 5/10/00 90 REPLY BRIEF by Cowen & Company, Donaldson Lufkin, Salomon Smith Barney, SBC Warburg, Dillon in support of their claim for attorneys' fees and expense under the Private Securities Litigation Reform Act and Rule 11 (wc) [Entry date 05/11/00] 5/10/00 91 REPLY MEMORANDUM by Michael Jaharis, Daniel M. Bell, Duncan Cocroft, Juan F. Rodriguez, Robert E. Baldini, John Brademas, Steve Jeharis, Louis Lasagna, Mark Novitch, Frederick B. Whittemore, KOS Pharmaceuticals in support of their claim for attorneys' fees and expenses under the Private Securities Litigation Reform Act and Rule 11 (wc) [Entry date 05/11/00] 5/12/00 92 MANDATE OF USCA (certified copy) dismissing [82-1] appeal, dismissing [81-1] appeal, pursuant to appellant's motion to dismiss, issued as the mandate. Mandate Issued Date: 5/9/00; USCA Appeal #: FF; Copy to Judge. (sn) [Entry date 05/15/00] 5/22/00 93 ORDER that Plaintiffs shall pay $335, in fees and expenses to the KOS s and $166, in fees and expenses to the Underwriter s. Finding commencement of this action to constitute bad judgment on the part of both Plaintiffs and their counsel, the sum of $502, shall be split between them, both incurring $251,288.41; granting [79-1] motion to permit additional proof after completion of litigation relating to sanctions ( Signed by Judge Donald M. Middlebrooks on 5/22/00) CCAP [EOD Date: 5/22/00] (wc) 5/23/00 94 MOTION by Oxford Asset, Lowey Dannenberg to strike affirmative matter stated in [91-1] Reply Brief in Support of Their Claim for Attorneys' Fees and Expenses Under the Private Securities Litigation Reform Act and Rule 11 (wc) [Entry date 05/25/00] 5/30/00 95 ORDER denying as moot [94-1] motion to strike affirmative matter stated in [91-1] Reply Brief in Support of Their Claim for Attorneys' Fees and Expenses Under the Private Securities Litigation Reform Act and Rule 11 ( Signed by Judge Donald M. Middlebrooks on 5/26/00) CCAP [EOD Date: 5/31/00] (nt) [Entry date 05/31/00] 6/1/00 96 MOTION with memorandum in support by Wampler, Buchanan & for clarification of [93-1] order (wc) [Entry date 06/02/00]

18 6/5/00 97 MOTION by Cowen & Company, Donaldson Lufkin, Salomon Smith Barney, SBC Warburg, Dillon for clarification of [93-1] order on Motion for fees and costs (wc) [Entry date 06/06/00] 6/7/00 98 ORDER granting [97-1] motion for clarification of [93-1] order on Motion for fees and costs. The Court grants Defendants the full relief sought: $335, in fees and expenses to the KOS s and $184, in fees and expenses to the Underwriter Defendants. Finding commencement of this action to constitute bad judgment on the part of both Plaintiffs and their counsel, the sum of $520, shall be split between them, both incurring $260, This award includes all fees and expenses sought by Defendants, including those fees and expenses sought by the Underwriter Defendants in their Motion to Permit Additional Proof of Fees and Costs. In all other respects, the 5/22/00 Order on Motion for fees and costs is incorporated herein by reference and remains unchanged ( Signed by Judge Donald M. Middlebrooks on 6/6/00) CCAP [EOD Date: 6/8/00] (wc) [Entry date 06/08/00] 6/8/00 99 NOTICE of Filing Plaintiffs' Response to Motion for Clarification of 5/22/00 Order by Oxford Asset, Lowey Dannenberg (wc) [Entry date 06/09/00] 6/8/ RESPONSE by Oxford Asset, Lowey Dannenberg and their counsel to [97-1] motion for clarification of [93-1] order on Motion for fees and costs, [96-1] motion for clarification of [93-1] order (wc) [Entry date 06/09/00] 6/12/ RESPONSE by Cowen & Company, Donaldson Lufkin, Salomon Smith Barney, SBC Warburg, Dillon to [96-1] motion for clarification of [93-1] order (wc) [Entry date 06/13/00] 6/16/ NOTICE OF APPEAL by Oxford Asset, Lowey Dannenberg, P.C. Profit=Sharing Plan, and plaintiff's counsel Arthur T. Susman, Charles R. Watkins, Robert J. Emanuel, Susman & Watkins of [98-1] order, EOD date 6/8/00; [95-1] order, EOD Date: 5/31/00; [93-1] order, EOD Date: 5/22/00; [77-1] order, EOD Date: 2/14/00 and [69-1] order, EOD Date: 2/2/00; FEE NOT PAID; Copies to USCA and Counsel of Record. (sn) [Entry date 06/19/00] 6/26/ Appeal Information Sheet re: [102-1] appeal by Lowey Dannenberg, Oxford Asset. No transcript requested. Appeal Record due on 7/12/00 (sn) [Entry date 06/27/00]

19 6/26/00 -- NOTICE of Receipt of Transmittal Letter from USCA Re: [102-1] appeal by Lowey Dannenberg, Oxford Asset USCA NUMBER: F (sn) [Entry date 06/27/00] 6/28/00 -- USCA appeal fees received Re: [102-1] appeal Filing Fee $ Receipt # (sn) [Entry date 06/29/00] 7/13/ Certificate of readiness transmitted to USCA Re: [102-1] appeal by Lowey Dannenberg, Oxford Asset USCA NUMBER: F (sn) 7/13/00 -- Transmitted record on appeal to U.S. Court of Appeals (Miami Office) consisting of 1 volume of pleadings and 1 accordion folder containing docket entry #80: [102-1] appeal by Lowey Dannenberg, Oxford Asset USCA # F (sn) [Edit date 07/13/00] 7/13/ MOTION by Michael Jaharis, Daniel M. Bell, Duncan Cocroft, Juan F. Rodriguez, Robert E. Baldini, John Brademas, Steve Jeharis, Louis Lasagna, Mark Novitch, Frederick B. Whittemore, KOS Pharmaceuticals for entry of final judgment (wc) [Entry date 07/14/00] 7/13/ ORDER granting [96-1] motion for clarification of [93-1] order. The Court's reference to "their counsel" does not include WBB. The sanction shall be split between Plaintiffs and their lead counsel, Watkins and Sussman. (Signed by Judge Donald M. Middlebrooks on 7/12/00) CCAP [EOD Date: 7/18/00] (sn) [Entry date 07/18/00] 7/18/ NOTICE of Filing Response to Motion for Final Judgment by Oxford Asset, Lowey Dannenberg (wc) [Entry date 07/20/00] 7/18/ RESPONSE by Oxford Asset, Lowey Dannenberg to [105-1] motion for entry of final judgment (wc) [Entry date 07/20/00] 7/25/00 -- ACKNOWLEDGMENT of receipt by U.S.C.A. of: C.O.R. on 7/17/00 U.S.C.A. # F (sn) [Entry date 07/31/00] 7/28/ REPLY MEMORANDUM by Michael Jaharis, Daniel M. Bell, Duncan Cocroft, Juan F. Rodriguez, Robert E. Baldini, John Brademas, Steve Jeharis, Louis Lasagna, Mark Novitch, Frederick B. Whittemore, KOS Pharmaceuticals to response to

20 [105-1] motion for entry of final judgment (wc) [Entry date 07/31/00] 8/2/ FINAL JUDGMENT for Michael Jaharis, Daniel M. Bell, Duncan Cocroft, Juan F. Rodriguez, Robert E. Baldini, John Brademas, Steve Jeharis, Louis Lasagna, Mark Novitch, Frederick B. Whittemore, KOS Pharmaceuticals against Oxford Asset, Lowey Dannenberg and Plaintiffs' counsel, Arthur T. Susman, Charles R. Watkins, Robert J. Emanuel, and Susman & Watkins; granting [105-1] motion for entry of final judgment. The Court is willing to enter a stay pending appeal, but only upon the posting of a supersedeas bond in the amount of 110% of the judgment ( Signed by Donald M. Middlebrooks on 8/1/00) CCAP [EOD Date: 8/3/00] (wc) [Entry date 08/03/00] 8/8/ NOTICE OF APPEAL by Oxford Asset, Lowey Dannenberg of [110-1] judgment order. EOD Date: 8/3/00; Filing Fee: $ (FEE NOT PAID);; Copies to USCA and Counsel of Record. (nc) [Entry date 08/10/00] 8/29/00 -- NOTICE of Receipt of Transmittal Letter from USCA Re: [111-1] appeal by Lowey Dannenberg, Oxford Asset (sn) [Entry date 08/30/00] 9/7/ Appeal Information Sheet re: [111-1] appeal by Lowey Dannenberg, Oxford Asset. No transcript requested. (sn) [Entry date 09/11/00] 9/12/ st Supplemental Certificate of readiness transmitted to USCA Re: [102-1] appeal by Lowey Dannenberg, Oxford Asset USCA NUMBER: F (sn) [Entry date 09/13/00] 9/12/00 -- Transmitted record on appeal to U.S. Court of Appeals (Miami Office) consisting of 1 volume of pleadings: [102-1] appeal by Lowey Dannenberg, Oxford Asset USCA # F (sn) [Entry date 09/13/00] 9/21/00 -- ACKNOWLEDGMENT of receipt by U.S.C.A. of: C.O.R. on 9/15/00 U.S.C.A. # F (sn) 6/13/ MOTION by Cowen & Company, Donaldson Lufkin, Salomon Smith Barney, SBC Warburg, Dillon for entry of final judgment (wc) [Entry date 06/14/01] 6/26/ NOTICE of Filing response to motion for final judgment by

21 Oxford Asset, Lowey Dannenberg (rn) [Entry date 06/27/01] 6/26/ RESPONSE by Oxford Asset, Lowey Dannenberg to [114-1] motion for entry of final judgment (rn) [Entry date 06/27/01] 2/20/ ORDER ON UNDERWRITER DEFENDANTS' MOTION FOR ENTRY OF FINAL JUDGMENT: ORDER denying without prejudice [114-1] motion for entry of final judgment (Signed by Judge Donald M. Middlebrooks on 2/20/02) [EOD Date: 2/21/02] (pa) [Entry date 02/21/02] 4/18/ MANDATE OF USCA (certified copy)vacating Judgment [102-1] appeal remanding for further proceedings consistent herewith [102-1] appeal by Lowey Dannenberg, Oxford Asset Mandate Issued Date: 4/3/03; USCA Appeal #: FF; Copy to Judge. (mr) 4/18/ MANDATE OF USCA (certified copy)affirming [61-1] appeal, affirming [48-1] appeal, affirming [46-1] appeal Mandate Issued Date: 4/3/03; USCA Appeal #: FF; Copy to Judge. (mr) 4/18/03 -- Case reopened (mr) 5/7/ ORDER and Adjudged on MANDATE that the Parties shall attempt to reach an agreement as to the amount of fees properly attributable to the preliminary prescripton data claim, and shall file a report on or before 5/23/03 informing the Court as to whether an agreement has been reached regarding such In the event that the Parties shall be unable to reach an agreement, the Parties shall include with their filing their relative positions on the matter for the Court's determination. (Signed by Judge Donald M. Middlebrooks on 5/7/03) [EOD Date: 5/8/03] (mr) [Entry date 05/08/03] 5/23/ NOTICE of Filing motion for extension of time to file report by Oxford Asset, Lowey Dannenberg (wc) [Entry date 05/27/03] 5/23/ UNOPPOSED MOTION by Oxford Asset, Lowey Dannenberg to extend time to file report to 6/6/03 (wc) [Entry date 05/27/03] 6/3/ ORDER granting [122-1] motion to extend time to file report to 6/6/03 ( Signed by Judge Donald M. Middlebrooks on 6/3/03) [EOD Date: 6/4/03] (pa) [Entry date 06/04/03]

22 6/9/ JOINT STATUS REPORT by Oxford Asset, Lowey Dannenberg, KOS Pharmaceuticals (ra) [Entry date 06/10/03] 6/10/ UNOPPOSED JOINT MOTION by Donaldson Lufkin, Salomon Smith Barney, SBC Warburg, Dillon to extend time for report on issues of sanctions to 6/23/03 (hd) [Entry date 06/11/03] 6/12/ ORDER denying [125-1] joint motion to extend time for report on issues of sanctions to 6/23/03 ( Signed by Judge Donald M. Middlebrooks on 6/12/03) [EOD Date: 6/13/03] (kw) [Entry date 06/13/03] 6/12/ SANCTIONS ORDER pursuant to the mandate, sanctions are awarded to Michael Jaharis, Daniel Bell, Duncan Cocroft, Juan Rodriguez, Robert Baldini, John Brademas, Steve Jaharis, Louis Lasagna, Mark Novitch, Frederick Whittemore and Kos Pharmaceuticals, Inc. in the amount of $ 310, ( Signed by Judge Donald M. Middlebrooks on 6/12/03) [EOD Date: 6/13/03] (kw) [Entry date 06/13/03] 6/20/ NOTICE of filing report to court concerning disposition of sanctions orders upon Mandate from the 11th Circuit (attached) by Oxford Asset, Lowey Dannenberg (gz) [Entry date 06/23/03] 6/24/ Joint Report by Oxford Asset, Lowey Dannenberg, Cowen & Company, Donaldson Lufkin, Salomon Smith Barney, SBC Warburg, Dillon (gz) [Entry date 06/25/03] 7/2/ SANCTION ORDER: Pursuant to the Mandate, sanctions are awarded in favor of the Underwriting s, Cowan & Company, Donaldson Lutfkin & Jenrette, Salomon Smith Barney Holdings, Inc., SBC Warburg, Dillon, Read, Inc. in the amount of $172, and the said funds shall be paid within 30 days of this order (Signed by Judge Donald M. Middlebrooks on 6/30/03) [EOD Date: 7/2/03] (pa) 8/20/ ORDER ON MANDATE that the Salomon Defendants and plaintiffs and plaintiff's counsel shall file briefs in connection of the recalculation of sanctions as per the Eleventh Circuit Mandate on or before 9/22/03. (Signed by Judge Donald M. Middlebrooks on 8/20/03) [EOD Date: 8/21/03] (mr) [Entry date 08/21/03] 8/22/ ORDER VACATING ORDER ON MANDATE: ORDER vacating [131-1]

23 order on mandade. The parties have already resolved the matter(signed by Judge Donald M. Middlebrooks on 8/22/03) [EOD Date: 8/25/03] (pa) [Entry date 08/25/03] [Edit date 11/04/03] 11/3/ ORDER OF CLOSURE: The parties have resolved all matters relating to sanctions. All pending motions are denied as moot. The Clerk of Court shall close this case (Signed by Judge Donald M. Middlebrooks on 11/3/03) [EOD Date: 11/4/03] (pa) [Entry date 11/04/03] [Edit date 11/04/03] 11/3/03 -- CASE CLOSED. Case and Motions no longer referred to Magistrate. (pa) [Entry date 11/04/03] 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