U.S. District Court Southern District of New York (Foley Square) CIVIL DOCKET FOR CASE #: 1:13-cv DLC

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1 US District Court Civil Docket as of July 27, 2018 Retrieved from the court on July 27, 2018 U.S. District Court Southern District of New York (Foley Square) CIVIL DOCKET FOR CASE #: 1:13-cv DLC Miller v. Poseidon Concepts Corp. et al Assigned to: Judge Denise L. Cote Related Case: 1:13-cv DLC Cause: 15:78m(a) Securities Exchange Act Lead Plaintiff Gerald Kolar Date Filed: 02/22/2013 Date Terminated: 07/27/2018 Jury Demand: Plaintiff Nature of Suit: 890 Other Statutory Actions Jurisdiction: Federal Question represented by Jonathan Richard Horne The Rosen Law Firm, P.A. 275 Madison Avenue, 34th Floor New York, NY (212) Fax: (212) Phillip C. Kim The Rosen Law Firm P.A th Avenue, Suite 5508 New York, NY (212) Fax: (212) Timothy William Brown The Brown Law Firm 127A Cove Road Oyster Bay Cove, NY Plaintiff

2 Michael Miller Individually and on behalf of all others similarly situated TERMINATED: 12/01/2015 represented by Laurence Matthew Rosen The Rosen Law Firm, P.A. (NYC) 275 Madison Avenue, 34th Floor New York,, NY (212) Fax: (212) Phillip C. Kim V. Consolidated Plaintiff Tony J. Trunkel represented by Jeremy Alan Lieberman Pomerantz LLP 600 Third Avenue, 20th Floor New York, NY (212) Fax: (212) Marc Ian Gross Pomerantz Haudek Block Grossman & Gross LLP 100 Park Avenue, 26th Floor New York, NY (212) Fax: (212) TERMINATED: 10/30/2015 V. Movant Mr. Leon Rothenberg represented by Joshua Wolf Ruthizer Wolf Popper LLP 845 Third Avenue New York, NY (212) x9668 Fax: (212) Lester L. Levy, Sr

3 Wolf Popper LLP 845 Third Avenue New York, NY (212) Fax: (212) Movant The Mark D. Witmer Revocable Trust UA 12/17/2009 represented by Joshua Wolf Ruthizer Lester L. Levy, Sr Movant Stephen glick Movant Dr. Paul Wilson Movant Daniel Holoubek Movant Leonard Holoubek Movant Poseidon Investor Group Movant Don Shooke represented by Jeremy Alan Lieberman represented by Jeremy Alan Lieberman represented by Jeremy Alan Lieberman represented by Jeremy Alan Lieberman represented by Poseidon Investor Group PRO SE represented by Gregory Bradley Linkh Glancy Binkow & Goldberg LLP (NYC2) 77 Water Street, 7th Floor

4 New York, NY (646) V. Defendant Poseidon Concepts Corp. TERMINATED: 12/01/2015 represented by Paul Thomas Curley Kaufman, Borgeest & Ryan, LLP 200 Summit Lake Drive Valhalla, NY Fax: Defendant Patrick Stoltz Landman Corsi Ballaine & Ford PC 120 Broadway New York, NY (212) Fax: (212) A. Scott Dawson represented by Paul Thomas Curley Patrick Stoltz Defendant Lyle D. Michaluk represented by Paul Thomas Curley Patrick Stoltz Defendant

5 Clifford L. Wiebe represented by Paul Thomas Curley Patrick Stoltz Defendant Harley L. Winger represented by Paul Thomas Curley Patrick Stoltz Defendant Dean R. Jensen represented by Paul Thomas Curley Patrick Stoltz Defendant Neil Richardson represented by Paul Thomas Curley Patrick Stoltz Defendant Matt C. Mackenzie represented by Paul Thomas Curley Patrick Stoltz Defendant

6 Jim S. Mckee TERMINATED: 12/01/2015 represented by Paul Thomas Curley Patrick Stoltz Defendant KPMG LLP (Canada) TERMINATED: 06/23/2016 represented by John F. Hartmann Kirkland & Ellis LLP (IL) 200 East Randolph Drive Chicago, IL (312) Fax: (312) Joshua Z. Rabinovitz Kirkland & Ellis LLP (IL) 300 North LaSalle Street Chicago, IL (312) Fax: (312) Nathaniel Jacob Kritzer Kirkland & Ellis LLP (NYC) 601 Lexington Avenue New York, NY (212) Fax: (212) Date Filed # Docket Text 02/22/ COMPLAINT against A. Scott Dawson, Dean R. Jensen, Matt C. Mackenzie, Jim S. Mckee, Lyle D. Michaluk, Poseidon Concepts Corp., Neil Richardson, Clifford L. Wiebe, Harley L. Winger. (Filing Fee $ , Receipt Number )Document filed by Michael Miller.(cde) (Entered: 02/26/2013) 02/22/2013 SUMMONS ISSUED as to A. Scott Dawson, Dean R. Jensen, Matt C. Mackenzie, Jim S. Mckee, Lyle D. Michaluk, Poseidon Concepts Corp., Neil Richardson, Clifford L. Wiebe, Harley L. Winger. (cde) (Entered: 02/26/2013) 02/22/2013 Magistrate Judge James L. Cott is so designated. (cde) (Entered: 02/26/2013)

7 02/22/2013 Case Designated ECF. (cde) (Entered: 02/26/2013) 02/22/ 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) (cde) (Entered: 02/26/2013) 03/08/ ORDER: Miller's counsel published the required notice on February 23, Members of the purported class therefore have until April 24, 2013 to move the Court to serve as lead plaintiffs. Accordingly, it is hereby ORDERED that a conference shall be held at 10:30 a.m. on May 17, 2013 in Courtroom 15B, United States Courthouse, 500 Pearl Street, New York, New York to consider any motions for appointment of lead plaintiff and lead counsel and for consolidation. IT IS FURTHER ORDERED that opposition to any motion for appointment of lead plaintiff shall be served and filed by May 10, IT IS FURTHER ORDERED that the named plaintiffs shall promptly serve a copy of this Order on each of the defendants. Motions due by 4/24/2013. Responses due by 5/10/2013 Status Conference set for 5/17/2013 at 10:30 AM in Courtroom 15B, 500 Pearl Street, New York, NY before Judge Denise L. Cote. (Signed by Judge Denise L. Cote on 3/8/2013) (ft) (Entered: 03/08/2013) 04/01/ SUMMONS RETURNED EXECUTED. Neil Richardson served on 3/26/2013, answer due 4/16/2013. Document filed by Michael Miller. (Kim, Phillip) (Entered: 04/01/2013) 04/10/ SUMMONS RETURNED EXECUTED Summons and Complaint, served. Poseidon Concepts Corp. served on 4/4/2013, answer due 4/25/2013. Service was accepted by Leonora Riti, of Registered Office of Poseidon Concepts Corp.. Document filed by Michael Miller. (Kim, Phillip) (Entered: 04/10/2013) 04/17/ ENDORSED LETTER addressed to Judge Denise L. Cote from Paul T. Curley dated 4/16/2013 re: Poseidon and Mr. Richardson respectfully request that the Court extend their to time to respond to the Complaint until after the appointment of lead plaintiff and lead counsel and service of a consolidated amended complaint, following which Poseidon and Mr. Richardson and lead plaintiff will submit to the Court a proposed briefing schedule for Poseidon and Mr. Richardson's motion to dismiss the consolidated amended complaint. ENDORSEMENT: Granted. (Signed by Judge Denise L. Cote on 4/17/2013) (lmb) (Entered: 04/17/2013) 04/24/ MOTION to Consolidate Cases 13cv1412., MOTION to Appoint Leon Rothenberg and the Mark D. Witmer Revocable Trust UA 12/17/2009 to serve as lead

8 plaintiff(s)., MOTION to Appoint Counsel. Document filed by Leon Rothenberg, The Mark D. Witmer Revocable Trust UA 12/17/2009. Return Date set for 5/17/2013 at 10:30 AM.(Levy, Lester) (Entered: 04/24/2013) 04/24/ MEMORANDUM OF LAW in Support re: 7 MOTION to Consolidate Cases 13cv1412. MOTION to Appoint Leon Rothenberg and the Mark D. Witmer Revocable Trust UA 12/17/2009 to serve as lead plaintiff(s). MOTION to Appoint Counsel. MOTION to Appoint Leon Rothenberg and the Mark D. Witmer Revocable Trust UA 12/17/2009 to serve as lead plaintiff(s).. Document filed by Leon Rothenberg, The Mark D. Witmer Revocable Trust UA 12/17/2009. (Levy, Lester) (Entered: 04/24/2013) 04/24/ DECLARATION of Lester L. Levy in Support re: 7 MOTION to Consolidate Cases 13cv1412. MOTION to Appoint Leon Rothenberg and the Mark D. Witmer Revocable Trust UA 12/17/2009 to serve as lead plaintiff(s). MOTION to Appoint Counsel. MOTION to Appoint Leon Rothenberg and the Mark D. Witmer Revocable Trust UA 12/17/2009 to serve as lead plaintiff(s).. Document filed by Leon Rothenberg, The Mark D. Witmer Revocable Trust UA 12/17/2009. (Attachments: # 1 Exhibit Ex. A, # 2 Exhibit Ex. B, # 3 Exhibit Ex. C, # 4 Exhibit Ex. D, # 5 Exhibit Ex. E, # 6 Exhibit Ex. F, # 7 Exhibit Ex. G, # 8 Exhibit Ex. H, # 9 Exhibit Ex. I, # 10 Exhibit Ex. J, # 11 Exhibit Ex. K)(Levy, Lester) (Entered: 04/24/2013) 04/24/ MOTION to Consolidate Cases 1:13-cv-12313; 1:13-cv , MOTION to Appoint Stephen Glick, Paul Wilson, Daniel Holoubek, Leonard Holoubek ("Poseidon Investor Group") to serve as lead plaintiff(s)., MOTION to Appoint Counsel Pomerantz Grossman Hufford Dahlstrom & Gross LLP. Document filed by Stephen glick, Paul Wilson, Daniel Holoubek, Leonard Holoubek. (Attachments: # 1 Text of Proposed Order)(Lieberman, Jeremy) (Entered: 04/24/2013) 04/24/ MEMORANDUM OF LAW in Support re: 10 MOTION to Consolidate Cases 1:13- cv-12313; 1:13-cv MOTION to Appoint Stephen Glick, Paul Wilson, Daniel Holoubek, Leonard Holoubek ("Poseidon Investor Group") to serve as lead plaintiff(s). MOTION to Appoint Counsel Pomerantz Grossman Hufford Dahlstrom & Gross LLP. MOTION to Appoint Stephen Glick, Paul Wilson, Daniel Holoubek, Leonard Holoubek ("Poseidon Investor Group") to serve as lead plaintiff(s).. Document filed by Poseidon Investor Group. (Attachments: # 1 Exhibit A, Press Release, # 2 Exhibit B, Certifications, # 3 Exhibit C, Loss Chart, # 4 Exhibit D, Firm Resume)(Lieberman, Jeremy) (Entered: 04/24/2013) 04/24/ MOTION to Appoint Counsel., MOTION to Consolidate Cases 1:13-cv DLC and 1:13-cv DLC [Notice of Motion and Motion of Don Shooke for Consolidation of Related Actions, Appointment as Lead Plaintiff and Approval of Lead Counsel]. Document filed by Don Shooke.(Linkh, Gregory) (Entered: 04/24/2013) 04/24/ MEMORANDUM OF LAW in Support re: 12 MOTION to Appoint Counsel. MOTION to Consolidate Cases 1:13-cv DLC and 1:13-cv DLC [Notice of Motion and Motion of Don Shooke for Consolidation of Related Actions, Appointment as Lead Plaintiff and Approval of Lead Counsel]. MOTION to Consolidate Cases 1:13-cv DLC and 1:13-cv DLC [Notice of Motion and Motion of Don Shooke for Consolidation of Related Actions, Appointment as

9 Lead Plaintiff and Approval of Lead Counsel].. Document filed by Don Shooke. (Linkh, Gregory) (Entered: 04/24/2013) 04/24/ DECLARATION of Gregory Linkh in Support re: 12 MOTION to Appoint Counsel. MOTION to Consolidate Cases 1:13-cv DLC and 1:13-cv DLC [Notice of Motion and Motion of Don Shooke for Consolidation of Related Actions, Appointment as Lead Plaintiff and Approval of Lead Counsel]. MOTION to Consolidate Cases 1:13-cv DLC and 1:13-cv DLC [Notice of Motion and Motion of Don Shooke for Consolidation of Related Actions, Appointment as Lead Plaintiff and Approval of Lead Counsel].. Document filed by Don Shooke. (Attachments: # 1 Exhibit A - Press Release, # 2 Exhibit B - Shareholder Certification, # 3 Exhibit C - Table of Losses, # 4 Exhibit D - GBG Firm Resume)(Linkh, Gregory) (Entered: 04/24/2013) 04/24/ MOTION to Appoint Counsel the Rosen Law Firm, P.A., MOTION to Appoint Lead Plaintiff., MOTION to Consolidate Cases. Document filed by Gerald Kolar. (Attachments: # 1 Text of Proposed Order)(Kim, Phillip) (Entered: 04/24/2013) 04/24/ MEMORANDUM OF LAW in Support re: 15 MOTION to Appoint Counsel the Rosen Law Firm, P.A. MOTION to Appoint Lead Plaintiff. MOTION to Consolidate Cases.. Document filed by Gerald Kolar. (Kim, Phillip) (Entered: 04/24/2013) 04/24/ DECLARATION of Phillip Kim in Support re: 15 MOTION to Appoint Counsel the Rosen Law Firm, P.A. MOTION to Appoint Lead Plaintiff. MOTION to Consolidate Cases.. Document filed by Gerald Kolar. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3, # 4 Exhibit 4)(Kim, Phillip) (Entered: 04/24/2013) 04/26/ CERTIFICATE OF SERVICE of Motion for Consolidation, Appointment as Lead Plaintiff, and Approval of Counsel, and supporting documents served on Michael Miller, Gerald Kolar, the Poseidon Investor Group, Tony J. Trunkel, Don Shooke, Poseidon Concepts Corp., A. Scott Dawson, Lyle D. Michaluk, Clifford L. Wiebe, Harley L. Winger, Dean R. Jensen, Neil Richardson, Matt C. Mackenzie, and Jim S. Mckee on April 24, 2013 and April 25, Service was made by Mail. Document filed by Leon Rothenberg, The Mark D. Witmer Revocable Trust UA 12/17/2009. (Ruthizer, Joshua) (Entered: 04/26/2013) 05/10/ NOTICE of of Withdrawal of Motion of Don Shooke for Consolidation of Related Actions, Appointment as Lead Plaintiff, and Approval of Lead Counsel re: 14 Declaration in Support of Motion,, 12 MOTION to Appoint Counsel. MOTION to Consolidate Cases 1:13-cv DLC and 1:13-cv DLC [Notice of Motion and Motion of Don Shooke for Consolidation of Related Actions, Appointment as Lead Plaintiff and Approval of Lead Counsel]. MOTION to Consolidate Cases 1:13- cv dlc and 1:13-cv DLC [Notice of Motion and Motion of Don Shooke for Consolidation of Related Actions, Appointment as Lead Plaintiff and Approval of Lead Counsel]., 13 Memorandum of Law in Support of Motion,,. Document filed by Don Shooke. (Linkh, Gregory) (Entered: 05/10/2013) 05/10/ MEMORANDUM OF LAW in Opposition re: 10 MOTION to Consolidate Cases 1:13-cv-12313; 1:13-cv MOTION to Appoint Stephen Glick, Paul Wilson, Daniel Holoubek, Leonard Holoubek ("Poseidon Investor Group") to serve as lead plaintiff(s). MOTION to Appoint Counsel Pomerantz Grossman Hufford Dahlstrom & Gross LLP. MOTION to Appoint Stephen Glick, Paul Wilson, Daniel Holoubek,

10 Leonard Holoubek ("Poseidon Investor Group") to serve as lead plaintiff(s)., 7 MOTION to Consolidate Cases 13cv1412. MOTION to Appoint Leon Rothenberg and the Mark D. Witmer Revocable Trust UA 12/17/2009 to serve as lead plaintiff(s). MOTION to Appoint Counsel. MOTION to Appoint Leon Rothenberg and the Mark D. Witmer Revocable Trust UA 12/17/2009 to serve as lead plaintiff(s)., 12 MOTION to Appoint Counsel. MOTION to Consolidate Cases 1:13- cv dlc and 1:13-cv DLC [Notice of Motion and Motion of Don Shooke for Consolidation of Related Actions, Appointment as Lead Plaintiff and Approval of Lead Counsel]. MOTION to Consolidate Cases 1:13-cv DLC and 1:13-cv DLC [Notice of Motion and Motion of Don Shooke for Consolidation of Related Actions, Appointment as Lead Plaintiff and Approval of Lead Counsel].. Document filed by Gerald Kolar. (Kim, Phillip) (Entered: 05/10/2013) 05/10/ MEMORANDUM OF LAW in Opposition re: 15 MOTION to Appoint Counsel the Rosen Law Firm, P.A. MOTION to Appoint Lead Plaintiff. MOTION to Consolidate Cases., 10 MOTION to Consolidate Cases 1:13-cv-12313; 1:13-cv MOTION to Appoint Stephen Glick, Paul Wilson, Daniel Holoubek, Leonard Holoubek ("Poseidon Investor Group") to serve as lead plaintiff(s). MOTION to Appoint Counsel Pomerantz Grossman Hufford Dahlstrom & Gross LLP. MOTION to Appoint Stephen Glick, Paul Wilson, Daniel Holoubek, Leonard Holoubek ("Poseidon Investor Group") to serve as lead plaintiff(s)., 12 MOTION to Appoint Counsel. MOTION to Consolidate Cases 1:13-cv DLC and 1:13-cv DLC [Notice of Motion and Motion of Don Shooke for Consolidation of Related Actions, Appointment as Lead Plaintiff and Approval of Lead Counsel]. MOTION to Consolidate Cases 1:13-cv DLC and 1:13-cv DLC [Notice of Motion and Motion of Don Shooke for Consolidation of Related Actions, Appointment as Lead Plaintiff and Approval of Lead Counsel].. Document filed by Leon Rothenberg, The Mark D. Witmer Revocable Trust UA 12/17/2009. (Levy, Lester) (Entered: 05/10/2013) 05/14/ CERTIFICATE OF SERVICE of MEMORANDUM OF LAW on May 10, 2013 and May 13, Service was made by Mail. Document filed by Leon Rothenberg, The Mark D. Witmer Revocable Trust UA 12/17/2009. (Ruthizer, Joshua) (Entered: 05/14/2013) 05/16/ NOTICE OF APPEARANCE by Joshua Wolf Ruthizer on behalf of Leon Rothenberg, The Mark D. Witmer Revocable Trust UA 12/17/2009 (Ruthizer, Joshua) (Entered: 05/16/2013) 05/17/2013 Minute Entry for proceedings held before Judge Denise L. Cote: Motion Hearing held on 5/17/2013 re: (15 in 1:13-cv DLC, 15 in 1:13-cv DLC, 15 in 1:13-cv DLC) MOTION to Appoint Counsel the Rosen Law Firm, P.A. MOTION to Appoint Lead Plaintiff. MOTION to Consolidate Cases. filed by Gerald Kolar, (10 in 1:13-cv DLC, 10 in 1:13-cv DLC, 10 in 1:13-cv DLC) MOTION to Consolidate Cases 1:13-cv-12313; 1:13-cv MOTION to Appoint Stephen Glick, Paul Wilson, Daniel Holoubek, Leonard Holoubek ("Poseidon Investor Group") to serve as lead plaintiff(s). MOTION to Appoint Counsel Pomerantz Grossman Hufford Dahlstrom & Gross LLP. MOTION to Appoint Stephen Glick, Paul Wilson, Daniel Holoubek, Leonard Holoubek ("Poseidon Investor Group") to serve as lead plaintiff(s). filed by Daniel Holoubek,

11 Paul Wilson, Leonard Holoubek, Stephen glick, (7 in 1:13-cv DLC, 7 in 1:13-cv DLC, 7 in 1:13-cv DLC) MOTION to Consolidate Cases 13cv1412. MOTION to Appoint Leon Rothenberg and the Mark D. Witmer Revocable Trust UA 12/17/2009 to serve as lead plaintiff(s). MOTION to Appoint Counsel. MOTION to Appoint Leon Rothenberg and the Mark D. Witmer Revocable Trust UA 12/17/2009 to serve as lead plaintiff(s). filed by Leon Rothenberg, The Mark D. Witmer Revocable Trust UA 12/17/2009, (12 in 1:13-cv DLC, 12 in 1:13-cv DLC) MOTION to Appoint Counsel. MOTION to Consolidate Cases 1:13-cv DLC and 1:13-cv DLC [Notice of Motion and Motion of Don Shooke for Consolidation of Related Actions, Appointment as Lead Plaintiff and Approval of Lead Counsel]. MOTION to Consolidate Cases 1:13- cv dlc and 1:13-cv DLC [Notice of Motion and Motion of Don Shooke for Consolidation of Related Actions, Appointment as Lead Plaintiff and Approval of Lead Counsel]. filed by Don Shooke, (5 in 1:13-cv DLC, 5 in 1:13-cv DLC, 5 in 1:13-cv DLC) MOTION to Consolidate Cases 13cv1213. MOTION to Appoint Leon Rothenberg and the Mark D. Witmer Revocable Trust UA 12/17/2009 to serve as lead plaintiff(s). MOTION to Appoint Counsel. MOTION to Appoint Leon Rothenberg and the Mark D. Witmer Revocable Trust UA 12/17/2009 to serve as lead plaintiff(s). filed by Leon Rothenberg, The Mark D. Witmer Revocable Trust UA 12/17/2009. (Court Reporter Khris Sellin) (gr) (Entered: 05/17/2013) 05/17/ CASE MANAGEMENT ORDER: The Court having conducted a pretrial conference on May 17, 2013 to address the motions for appointment of lead plaintiff and lead counsel in the class action brought against defendants Poseidon Concepts Corp., A. Scott Dawson, Lyle D. Michaluk, Clifford L. Wiebe, Harley L. Winter, Dean R. Jensen, Neil Richardson, Matt C. MacKenzie, and Jim S. McKee, it is hereby ORDERED as follows: Gerald Kolar is appointed Lead Plaintiff. The Rosen Law Firm, P.A. shall serve as Lead Counsel for all plaintiffs in this action and the class as further set forth in this order. For the reasons stated on the record, this case is stayed as to all defendants. Lead Plaintiff shall submit a status report no later than September 13, Notwithstanding the stay, Lead Plaintiff shall file a consolidated amended complaint for this action and any actions subsequently consolidated with it on or before June 14, Pending filing and service of the consolidated amended complaint, defendants shall have no obligation to move, answer, or otherwise respond to any complaints in any actions subsequently consolidated with this action., ( Amended Pleadings due by 6/14/2013.) (Signed by Judge Denise L. Cote on 5/17/2013) (lmb) (Entered: 05/17/2013) 05/21/ DECLARATION of Phillip Kim in Support re: 15 MOTION to Appoint Counsel the Rosen Law Firm, P.A. MOTION to Appoint Lead Plaintiff. MOTION to Consolidate Cases.. Document filed by Gerald Kolar. (Attachments: # 1 Exhibit 1, Declaration of Gerald Kolar)(Kim, Phillip) (Entered: 05/21/2013) 06/14/ NOTICE OF APPEARANCE by Timothy William Brown on behalf of Gerald Kolar (Brown, Timothy) (Entered: 06/14/2013) 06/14/ CONSOLIDATED AMENDED COMPLAINT amending 1 Complaint, against A. Scott Dawson, Dean R. Jensen, Matt C. Mackenzie, Jim S. Mckee, Lyle D. Michaluk, Poseidon Concepts Corp., Neil Richardson, Clifford L. Wiebe, Harley L.

12 Winger with JURY DEMAND.Document filed by Gerald Kolar. Related document: 1 Complaint, filed by Michael Miller.(mro) (Entered: 06/18/2013) 06/19/ NOTICE OF APPEARANCE by Patrick Stoltz on behalf of A. Scott Dawson, Dean R. Jensen, Matt C. Mackenzie, Jim S. Mckee, Lyle D. Michaluk, Poseidon Concepts Corp., Neil Richardson, Clifford L. Wiebe, Harley L. Winger. (Stoltz, Patrick) (Entered: 06/19/2013) 06/19/ NOTICE OF APPEARANCE by Paul Thomas Curley on behalf of A. Scott Dawson, Dean R. Jensen, Matt C. Mackenzie, Jim S. Mckee, Lyle D. Michaluk, Poseidon Concepts Corp., Neil Richardson, Clifford L. Wiebe, Harley L. Winger. (Curley, Paul) (Entered: 06/19/2013) 06/19/ ACKNOWLEDGMENT OF SERVICE. All Defendants. Service was accepted by Patrick Stoltz. Document filed by Gerald Kolar. (Brown, Timothy) (Entered: 06/19/2013) 06/20/ FILING ERROR - DEFICIENT DOCKET ENTRY - (SEE DOCUMENT #32) NOTICE of Notice of Bankruptcy, Preliminary Injunction Order, and Order Granting Recognition as a Foreign Main Proceeding and Related Relief. Document filed by Poseidon Concepts Corp.. (Attachments: # 1 Exhibit Ex. 1, # 2 Exhibit Ex. 2, # 3 Exhibit Ex. 3)(Stoltz, Patrick) Modified on 6/28/2013 (lb). (Entered: 06/20/2013) 06/25/ NOTICE of Notice of Bankruptcy, Preliminary Injunction Order and Order Granting Recognition as a Foreign Main Proceeding and Related Relief. Document filed by Poseidon Concepts Corp.. (Attachments: # 1 Exhibit Ex. 1, # 2 Exhibit Ex. 2, # 3 Exhibit Ex. 3, # 4 Exhibit Ex. 4-A, # 5 Exhibit Ex. 4-B, # 6 Exhibit Ex. 5-A, # 7 Exhibit Ex. 5-B, # 8 Exhibit Ex. 6, # 9 Exhibit Ex. 7, # 10 Exhibit Ex. 8, # 11 Exhibit Ex. 9)(Stoltz, Patrick) (Entered: 06/25/2013) 07/11/ LETTER addressed to Judge Cote from Patrick Stoltz dated 7/9/2013 re: We represent the Defendants, Poseidon Concepts Corp., et al., in the above-referenced matter. We respectfully provide the Court with the following update concerning the stay of legal proceedings against Defendants imposed by the Court of Queen's Bench of Alberta in accordance with the Companies' Creditors Arrangement Act,l R.S.C. 1985, c. C-36, as amended (the "CCAA") (the "Canadian Bankruptcy Proceedings"). (gr) (Entered: 07/11/2013) 09/13/ FILING ERROR - WRONG EVENT TYPE SELECTED FROM MENU - STATUS REPORT. Document filed by Gerald Kolar. (Attachments: # 1 Exhibit Order filed by Court of Queens' Bench of Alberta, Calgary Division, dated September 12, 2013)Filed In Associated Cases: 1:13-cv DLC, 1:13-cv DLC(Brown, Timothy) Modified on 9/16/2013 (ka). (Entered: 09/13/2013) 09/16/2013 ***NOTE TO ATTORNEY TO RE-FILE DOCUMENT - EVENT TYPE ERROR. Note to Attorney Timothy William Brown to RE-FILE Document 34 Status Report. Use the event type Letter found under the event list Other Documents. (ka) (Entered: 09/16/2013) 09/16/ ENDORSED LETTER addressed to Judge Denise L. Cote from Timothy W. Brown dated 9/13/2013 re: Pursuant to the Court's order dated May 17, 2013, Lead Plaintiff hereby submits this status report. ENDORSEMENT: Plaintiffs shall promptly advise

13 the Court of the date on which the Canadian stay is lifted. Status report is due 1/13/14. (Signed by Judge Denise L. Cote on 9/16/2013) Filed In Associated Cases: 1:13-cv DLC, 1:13-cv DLC(gr) (Entered: 09/16/2013) 01/13/ LETTER addressed to Judge Denise L. Cote from Timothy W. Brown, Esq. dated January 13, 2014 re: Status Report. Document filed by Gerald Kolar. (Attachments: # 1 Enclosure)Filed In Associated Cases: 1:13-cv DLC, 1:13-cv DLC(Brown, Timothy) (Entered: 01/13/2014) 01/14/ ENDORSED LETTER addressed to Judge Denise L. Cote from Timothy W. Brown dated 1/13/2014 re: Pursant to the Court's order dated September 16, 2013, Lead Plaintiff submits status report. ENDORSEMENT: A status report is due 5/1/14. (Signed by Judge Denise L. Cote on 1/14/2014) (gr) (Entered: 01/14/2014) 01/14/ NOTICE of Withdrawal of Timothy W. Brown as attorney for Plaintiffs. Document filed by Gerald Kolar. Filed In Associated Cases: 1:13-cv DLC, 1:13-cv DLC(Brown, Timothy) (Entered: 01/14/2014) 04/30/ TRANSCRIPT of Proceedings re: CONFERENCE held on 5/17/2013 before Judge Denise L. Cote. Court Reporter/Transcriber: Khristine Sellin, (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 5/27/2014. Redacted Transcript Deadline set for 6/5/2014. Release of Transcript Restriction set for 8/1/2014.Filed In Associated Cases: 1:13-cv DLC, 1:13- cv dlc(mcguirk, Kelly) (Entered: 04/30/2014) 04/30/ NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a CONFERENCE proceeding held on 5/17/2013 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...filed In Associated Cases: 1:13-cv DLC, 1:13-cv DLC(McGuirk, Kelly) (Entered: 04/30/2014) 05/01/ STATUS REPORT. Document filed by Gerald Kolar.(Horne, Jonathan) (Entered: 05/01/2014) 05/02/ ENDORSED LETTER addressed to Judge Denise L. Cote from Jonathan Horne dated 5/1/2014 re: Status Report. ENDORSEMENT: Plaintiffs' counsel shall advise the Court promptly after the Canadian stay is lifted, and in any event will provide a status report by 9/15/2014. (Signed by Judge Denise L. Cote on 5/2/2104) (gr) (Entered: 05/02/2014) 06/26/ STATUS REPORT. pursuant to the Court's May 2 order Document filed by Gerald Kolar.Filed In Associated Cases: 1:13-cv DLC, 1:13-cv DLC(Horne, Jonathan) (Entered: 06/26/2014) 06/27/ PRETRIAL SCHEDULING ORDER... In a letter of June 26, 2014, plaintiff has advised that the stay on the Canadian action expired on June 24, Accordingly, it is hereby ORDERED that the stay in these consolidated actions is lifted. IT IS FURTHER ORDERED that defendants must answer or otherwise respond to the

14 Complaint by July 25, IT IS FURTHER ORDERED that, if defendants move to dismiss any of the claims in the Complaint on July 25, 2014, any opposition shall be served by August 15, 2014, and any reply shall be served by August 29, IT IS FURTHER ORDERED that, in the event that defendants answer the Complaint on July 25, 2014, an initial pretrial conference shall be held on August 22, 2014 at 9:30 a.m. (Signed by Judge Denise L. Cote on 6/27/2014) (gr) Modified on 6/27/2014 (gr). (Entered: 06/27/2014) 07/11/ LETTER addressed to Judge Denise L. Cote from Jonathan Horne dated July 11, 2014 re: Stay of proceedings. Document filed by Gerald Kolar. (Attachments: # 1 Text of Proposed Order, # 2 Exhibit 1, # 3 Exhibit 2, # 4 Exhibit 3)Filed In Associated Cases: 1:13-cv DLC, 1:13-cv DLC(Horne, Jonathan) (Entered: 07/11/2014) 07/11/ LETTER addressed to Judge Denise L. Cote from Patrick Stoltz dated July 11, 2014 re: Response to Plaintiff's Letter dated July 11, 2014 (ECF Doc. No. 45). Document filed by A. Scott Dawson, Dean R. Jensen, Matt C. Mackenzie, Jim S. Mckee, Lyle D. Michaluk, Poseidon Concepts Corp., Neil Richardson, Clifford L. Wiebe, Harley L. Winger.Filed In Associated Cases: 1:13-cv DLC, 1:13-cv DLC(Stoltz, Patrick) (Entered: 07/11/2014) 07/11/ ORDER REINSTATING STAY AND VACATING SCHEDULING ORDER...The plaintiff will provide the Court with a status report on or before October 31, 2014 (Signed by Judge Denise L. Cote on 7/11/2014) (gr) (Entered: 07/11/2014) 10/31/ STATUS REPORT. Document filed by Gerald Kolar. (Attachments: # 1 Exhibit 1, # 2 Text of Proposed Order)Filed In Associated Cases: 1:13-cv DLC, 1:13-cv DLC(Horne, Jonathan) (Entered: 10/31/2014) 11/03/ ORDER EXTENDING STAY...The stay of the above-captioned action is extended to November 14, Lead Plaintiff shall provide the Court with a status report on or before November 14, (Signed by Judge Denise L. Cote on 11/3/2014) (gr) (Entered: 11/03/2014) 11/14/ LETTER addressed to Judge Denise L. Cote from Jonathan Horne dated November 14, 2014 re: Court-ordered status report (dkt. # 49) and unopposed request to extend the stay in this action. Document filed by Gerald Kolar. (Attachments: # 1 Exhibit 1, # 2 Text of Proposed Order)(Horne, Jonathan) (Entered: 11/14/2014) 11/17/ ORDER EXTENDING STAY...The stay of the above captioned action is extended to February 27, Lead Plaintiff shall provide the Court with a status report on or before February 27, (Signed by Judge Denise L. Cote on 11/17/2014) (gr) (Entered: 11/17/2014) 02/27/ STATUS REPORT. Document filed by Gerald Kolar. (Attachments: # 1 Text of Proposed Order)Filed In Associated Cases: 1:13-cv DLC, 1:13-cv DLC(Horne, Jonathan) (Entered: 02/27/2015) 03/02/ ENDORSED LETTER addressed to Judge Denise L. Cote from Jonathan Horne re: That this action be stayed until March 31, 2015, like the Canadian Class Action against the Canadian Poseidon Defendants. Defendants to not oppose this relief. ENDORSEMENT: Granted. (Signed by Judge Denise L. Cote on 3/2/2015) Filed In

15 Associated Cases: 1:13-cv DLC, 1:13-cv DLC(gr) (Entered: 03/02/2015) 03/31/ LETTER addressed to Judge Denise L. Cote from Jonathan Horne dated March 31, 2015 re: Status Report and request for extension of stay. Document filed by Gerald Kolar. (Attachments: # 1 Text of Proposed Order)Filed In Associated Cases: 1:13- cv dlc, 1:13-cv DLC(Horne, Jonathan) (Entered: 03/31/2015) 04/01/ ORDER EXTENDING STAY to April 30, Lead Plaintiff shall provide the Court with a status report on or before 5/8/15. (Signed by Judge Denise L. Cote on 4/1/2015) Filed In Associated Cases: 1:13-cv DLC, 1:13-cv DLC(gr) (Entered: 04/01/2015) 05/08/ STATUS REPORT. Document filed by Gerald Kolar. (Attachments: # 1 Text of Proposed Order)Filed In Associated Cases: 1:13-cv DLC, 1:13-cv DLC(Horne, Jonathan) (Entered: 05/08/2015) 05/11/ ORDER EXTENDING STAY. Lead Plaintiff having shown good cause to extend the stay currently imposed in this action, it is hereby ordered: 1. The stay of the above captioned action is extended to June 5, Lead Plaintiff shall provide the Court with a status report on or before June 5, (Signed by Judge Denise L. Cote on 5/11/2015) (gr) (Entered: 05/11/2015) 05/15/ MOTION for Leave to File Amended Complaint., MOTION partial lift of stay (as to KPMG LLP) re: (27 in 1:13-cv DLC) Amended Complaint,. Document filed by Gerald Kolar.Filed In Associated Cases: 1:13-cv DLC, 1:13-cv DLC(Horne, Jonathan) (Entered: 05/15/2015) 05/15/ MEMORANDUM OF LAW in Support re: (58 in 1:13-cv DLC, 58 in 1:13- cv dlc, 26 in 1:13-cv DLC, 26 in 1:13-cv DLC) MOTION for Leave to File Amended Complaint. MOTION partial lift of stay (as to KPMG LLP) re: (27 in 1:13-cv DLC) Amended Complaint,.. Document filed by Gerald Kolar. Filed In Associated Cases: 1:13-cv DLC, 1:13-cv DLC(Horne, Jonathan) (Entered: 05/15/2015) 05/15/ DECLARATION of Jonathan Horne in Support re: (58 in 1:13-cv DLC, 58 in 1:13-cv DLC, 26 in 1:13-cv DLC, 26 in 1:13-cv DLC) MOTION for Leave to File Amended Complaint. MOTION partial lift of stay (as to KPMG LLP) re: (27 in 1:13-cv DLC) Amended Complaint,.. Document filed by Gerald Kolar. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2)Filed In Associated Cases: 1:13-cv DLC, 1:13-cv DLC(Horne, Jonathan) (Entered: 05/15/2015) 05/20/ ORDER. On May 15, 2015, lead plaintiff filed a motion (1) to lift the stay to permit this action to proceed against defendant KPMG LLP and (2) for leave to amend. Accordingly, it is hereby ORDERED that any partys opposition to lead plaintiffs motion must be submitted by May 29. Lead plaintiffs reply, if any, must be submitted by June 5... (Signed by Judge Denise L. Cote on 5/20/2015) Filed In Associated Cases: 1:13-cv DLC, 1:13-cv DLC(gr) (Entered: 05/20/2015) 05/29/ MEMORANDUM OF LAW in Opposition re: (26 in 1:13-cv DLC, 26 in 1:13-cv DLC) MOTION for Leave to File Amended Complaint. MOTION

16 partial lift of stay (as to KPMG LLP) re: (27 in 1:13-cv DLC) Amended Complaint,.. Document filed by Jim S. Mckee, A. Scott Dawson, Dean R. Jensen, Matt C. Mackenzie, Lyle D. Michaluk, Neil Richardson, Clifford L. Wiebe, Harley L. Winger. Filed In Associated Cases: 1:13-cv DLC, 1:13-cv DLC(Stoltz, Patrick) (Entered: 05/29/2015) 05/29/ DECLARATION of Patrick Stoltz in Opposition re: (26 in 1:13-cv DLC, 26 in 1:13-cv DLC) MOTION for Leave to File Amended Complaint. MOTION partial lift of stay (as to KPMG LLP) re: (27 in 1:13-cv DLC) Amended Complaint,.. Document filed by A. Scott Dawson, Dean R. Jensen, Matt C. Mackenzie, Lyle D. Michaluk, Neil Richardson, Clifford L. Wiebe, Harley L. Winger. (Attachments: # 1 Exhibit 1)Filed In Associated Cases: 1:13-cv DLC, 1:13-cv DLC(Stoltz, Patrick) (Entered: 05/29/2015) 06/05/ REPLY MEMORANDUM OF LAW in Support re: (58 in 1:13-cv DLC, 58 in 1:13-cv DLC, 26 in 1:13-cv DLC, 26 in 1:13-cv DLC) MOTION for Leave to File Amended Complaint. MOTION partial lift of stay (as to KPMG LLP) re: (27 in 1:13-cv DLC) Amended Complaint,.. Document filed by Gerald Kolar. Filed In Associated Cases: 1:13-cv DLC, 1:13-cv DLC(Horne, Jonathan) (Entered: 06/05/2015) 06/11/ STATUS REPORT. Document filed by Gerald Kolar. (Attachments: # 1 Text of Proposed Order)(Horne, Jonathan) (Entered: 06/11/2015) 06/16/ ORDER PARTIALLY EXTENDING STAY...Lead Plaintiff shall provide the Court with a status report on or before 7/31/15. (Signed by Judge Denise L. Cote on 6/16/2015) Filed In Associated Cases: 1:13-cv DLC, 1:13-cv DLC(gr) (Entered: 06/16/2015) 06/24/ OPINION & ORDER # Lead plaintiffs May 15 motion is granted. As described..., lead plaintiff may file by July 6 either the PSAC or an amended pleading that deviates from the PSAC only to reflect new information obtained between May 15 and the date of this Opinion. The stay in this action is partially lifted solely to permit lead plaintiff to pursue its claims against KPMG. (Signed by Judge Denise L. Cote on 6/24/2015) Filed In Associated Cases: 1:13-cv DLC, 1:13-cv DLC (gr) Modified on 6/24/2015 (ca). (Entered: 06/24/2015) 07/06/ SECOND AMENDED COMPLAINT amending 27 Amended Complaint, against A. Scott Dawson, Dean R. Jensen, Matt C. Mackenzie, Lyle D. Michaluk, Neil Richardson, Clifford L. Wiebe, Harley L. Winger, KPMG LLP (Canada) with JURY DEMAND.Document filed by Gerald Kolar. Related document: 27 Amended Complaint, filed by Gerald Kolar. (Attachments: # 1 Exhibit 1 (deposition of Kostelecky), # 2 Exhibit 2 (Deposition of Swendsen))(Horne, Jonathan) (Entered: 07/06/2015) 07/07/ LETTER addressed to Judge Denise L. Cote from Jonathan Horne dated July 7, 2015 re: Leave to file Corrected SAC. Document filed by Gerald Kolar.Filed In Associated Cases: 1:13-cv DLC, 1:13-cv DLC(Horne, Jonathan) (Entered: 07/07/2015) 07/08/ ENDORSED LETTER addressed to Judge Denise L. Cote from Jonathan Horne dated July 7, 2015 re: Leave to file Corrected Second Amended Complaint. ENDORSEMENT: Granted. (Signed by Judge Denise L. Cote on 7/8/2015) Filed In

17 Associated Cases: 1:13-cv DLC, 1:13-cv DLC(gr) (Entered: 07/08/2015) 07/08/ SECOND AMENDED COMPLAINT amending 68 Amended Complaint, against A. Scott Dawson, Dean R. Jensen, KPMG LLP (Canada), Matt C. Mackenzie, Lyle D. Michaluk, Neil Richardson, Clifford L. Wiebe, Harley L. Winger with JURY DEMAND.Document filed by Gerald Kolar. Related document: 68 Amended Complaint, filed by Gerald Kolar. (Attachments: # 1 Exhibit 1 (deposition of Kostelecky), # 2 Exhibit 2 (Deposition of Swendsen))(Horne, Jonathan) (Entered: 07/08/2015) 07/08/ REQUEST FOR ISSUANCE OF SUMMONS as to KPMG LLP, re: (71 in 1:13-cv DLC) Amended Complaint,. Document filed by Gerald Kolar. Filed In Associated Cases: 1:13-cv DLC, 1:13-cv DLC(Horne, Jonathan) (Entered: 07/08/2015) 07/14/ ELECTRONIC SUMMONS ISSUED as to KPMG LLP (Canada). (moh) (Entered: 07/14/2015) 07/31/ STIPULATION AND ORDER ESTABLISHING BRIEFING SCHEDULE FOR KPMG LLP'S MOTION TO DISMISS COMPLAINT...KPMG LLP (Canada) answer due 9/15/ (Signed by Judge Denise L. Cote on 7/31/2015) (gr) (Entered: 07/31/2015) 07/31/ STATUS REPORT. Document filed by Gerald Kolar. (Attachments: # 1 Text of Proposed Order)Filed In Associated Cases: 1:13-cv DLC, 1:13-cv DLC(Horne, Jonathan) (Entered: 07/31/2015) 08/03/ MOTION for Joshua Z. Rabinovitz to Appear Pro Hac Vice. Filing fee $ , receipt number Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by KPMG LLP (Canada). (Attachments: # 1 Exhibit Certificate of Good Standing, # 2 Text of Proposed Order)(Rabinovitz, Joshua) (Entered: 08/03/2015) 08/03/2015 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. 76 MOTION for Joshua Z. Rabinovitz to Appear Pro Hac Vice. Filing fee $ , receipt number Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (sdi) (Entered: 08/03/2015) 08/03/ MOTION for John F. Hartmann to Appear Pro Hac Vice. Filing fee $ , receipt number Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by KPMG LLP (Canada). (Attachments: # 1 Exhibit Certificate of Good Standing, # 2 Text of Proposed Order)(Hartmann, John) (Entered: 08/03/2015) 08/03/2015 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. 77 MOTION for John F. Hartmann to Appear Pro Hac Vice. Filing fee $ , receipt number Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (sdi) (Entered: 08/03/2015)

18 08/04/ ORDER granting 76 Motion for Joshua Z. Rabinovitz to Appear Pro Hac Vice; granting 77 Motion for John F. Hartmann to Appear Pro Hac Vice. (HEREBY ORDERED by Judge Denise L. Cote)(Text Only Order) (Cote, Denise) (Entered: 08/04/2015) 08/07/ LETTER addressed to Judge Denise L. Cote from Nathaniel J. Kritzer dated 8/7/2015 re: KPMG's position concerning Plaintiffs' request to extend the stay as to the Poseidon Defendants. Document filed by KPMG LLP (Canada).(Kritzer, Nathaniel) (Entered: 08/07/2015) 08/12/ ORDER PARTIALLY EXTENDING STAY...The stay of claims against the Poseidon Defendants is extended to September 30, This Order has no impact on claims against KPMG LLP (Canada). Lead Plaintiff shall provide the Court with a status report on or before 9/30/15. (Signed by Judge Denise L. Cote on 8/12/2015) Filed In Associated Cases: 1:13-cv DLC, 1:13-cv DLC(gr) (Entered: 08/12/2015) 09/10/ LETTER MOTION for Leave to File Excess Pages for KPMG's memorandum in support of its motion to dismiss addressed to Judge Denise L. Cote from Nate Kritzer dated 9/10/2015. Document filed by KPMG LLP (Canada).(Kritzer, Nathaniel) (Entered: 09/10/2015) 09/11/ MEMO ENDORSEMENT granting 81 defendant KPMG LLP's (Canada) Letter Motion for Leave to File Excess Pages for their memorandum in support of its motion to dimiss... (Signed by Judge Denise L. Cote on 9/11/2015) (gr) (Entered: 09/11/2015) 09/15/ RULE 7.1 CORPORATE DISCLOSURE STATEMENT. No Corporate Parent. Document filed by KPMG LLP (Canada).(Kritzer, Nathaniel) (Entered: 09/15/2015) 09/15/ MOTION to Dismiss pursuant to Federal Rules of Civil Procedure 12(b)(2), 12(b)(3), and 12(b)(6). Document filed by KPMG LLP (Canada).(Kritzer, Nathaniel) (Entered: 09/15/2015) 09/15/ MEMORANDUM OF LAW in Support re: 84 MOTION to Dismiss pursuant to Federal Rules of Civil Procedure 12(b)(2), 12(b)(3), and 12(b)(6).. Document filed by KPMG LLP (Canada). (Kritzer, Nathaniel) (Entered: 09/15/2015) 09/15/ DECLARATION of Gregory R. Caldwell in Support re: 84 MOTION to Dismiss pursuant to Federal Rules of Civil Procedure 12(b)(2), 12(b)(3), and 12(b)(6).. Document filed by KPMG LLP (Canada). (Kritzer, Nathaniel) (Entered: 09/15/2015) 09/15/ DECLARATION of Nathaniel J. Kritzer in Support re: 84 MOTION to Dismiss pursuant to Federal Rules of Civil Procedure 12(b)(2), 12(b)(3), and 12(b)(6).. Document filed by KPMG LLP (Canada). (Attachments: # 1 Exhibit Poseidon Concepts Corp.s 2011 financial statements, # 2 Exhibit Section 7050 of Other Canadian Standards, # 3 Exhibit International Accounting Standard 18, # 4 Exhibit International Accounting Standard 8, # 5 Exhibit Canadian Auditing Standard 200, # 6 Exhibit Canadian Auditing Standard 540, # 7 Exhibit OTC Markets Group, Inc. entitled Market Market Structure, # 8 Exhibit Canadian Auditing Standard 580)(Kritzer, Nathaniel) (Entered: 09/15/2015)

19 09/15/ DECLARATION of Graham McLennan in Support re: 84 MOTION to Dismiss pursuant to Federal Rules of Civil Procedure 12(b)(2), 12(b)(3), and 12(b)(6).. Document filed by KPMG LLP (Canada). (Attachments: # 1 Exhibit Statement of Claim filed in the Province of Alberta, # 2 Exhibit Statement of Claim filed in the Province of Ontario, # 3 Exhibit Part 1 - Statement of Claim filed in the Province of Quebec, # 4 Exhibit Part 2 - Statement of Claim filed in the Province of Quebec)(Kritzer, Nathaniel) (Entered: 09/15/2015) 09/21/ LETTER addressed to Judge Denise L. Cote from Jonathan Horne dated September 21, 2015 re: request for extension of time to file opposition to motion to dismiss. Document filed by Gerald Kolar.Filed In Associated Cases: 1:13-cv DLC, 1:13-cv DLC(Horne, Jonathan) (Entered: 09/21/2015) 09/21/ ENDORSED LETTER addressed to Judge Denise L. Cote from Jonathan Horne dated September 21, 2015 re: request for extension of time until October 30, 2015 to file opposition to motion to dismiss. ENDORSEMENT: Granted. (Signed by Judge Denise L. Cote on 9/21/2015) Filed In Associated Cases: 1:13-cv DLC, 1:13- cv dlc(gr) (Entered: 09/21/2015) 10/01/ STATUS REPORT. and request for extension of stay Document filed by Gerald Kolar. (Attachments: # 1 Text of Proposed Order)Filed In Associated Cases: 1:13- cv dlc, 1:13-cv DLC(Horne, Jonathan) (Entered: 10/01/2015) 10/02/ ORDER PARTIALLY EXTENDING STAY...The stay of claims against the Poseidon Defendants is extended to December 10, This Order has no impact on claims against KPMG LLP (Canada). Lead Plaintiff shall provide the Court with a status reporter on or before 12/10/15. (Signed by Judge Denise L. Cote on 10/2/2015) Filed In Associated Cases: 1:13-cv DLC, 1:13-cv DLC(gr) (Entered: 10/02/2015) 10/28/ LETTER addressed to Judge Denise L. Cote from Jonathan Horne dated October 28, 2015 re: request for stay of briefing on motion to dismiss pending motion for leave to amend. Document filed by Gerald Kolar.(Horne, Jonathan) (Entered: 10/28/2015) 10/28/ ENDORSED LETTER addressed to Judge Denise L. Cote from Jonathan Horne dated October 28, 2015 re: request for stay of briefing on motion to dismiss pending motion for leave to amend. ENDORSEMENT: Granted. Any motion to amend must be filed by 11/6/15; Opposition is due 12/4; reply is due 12/18/15. (Signed by Judge Denise L. Cote on 10/28/2015) Filed In Associated Cases: 1:13-cv DLC, 1:13-cv DLC(gr) (Entered: 10/28/2015) 10/29/ MOTION for Marc I. Gross to Withdraw as Attorney with Order attached. Document filed by Tony J. Trunkel.(Gross, Marc) (Entered: 10/29/2015) 10/30/ ORDER granting 95 Motion to Withdraw as Attorney. Attorney Marc Ian Gross terminated. (Signed by Judge Denise L. Cote on 10/30/2015) (gr) (Entered: 10/30/2015) 11/02/ FILING ERROR - DEFICIENT DOCKET ENTRY - MOTION for Marc I. Gross to Withdraw as Attorney. Document filed by Tony J. Trunkel. (Attachments: # 1 Affidavit)(Gross, Marc) Modified on 11/3/2015 (db). (Entered: 11/02/2015)

20 11/03/2015 ***NOTICE TO ATTORNEY TO RE-FILE DOCUMENT - DEFICIENT DOCKET ENTRY ERROR. Notice to Attorney Marc Ian Gross to RE-FILE Document 97 MOTION for Marc I. Gross to Withdraw as Attorney. ERROR(S): Supporting Documents are filed separately, each receiving their own document #. (db) (Entered: 11/03/2015) 11/03/ MEMO ENDORSEMENT ON THE NOTICE OF WITHDRAWAL by Marc I. Gross. Granted on 10/30/15. (Signed by Judge Denise L. Cote on 11/3/2015) (gr) (Entered: 11/03/2015) 11/06/ MOTION to Amend/Correct 71 Amended Complaint,. Document filed by Gerald Kolar.(Horne, Jonathan) (Entered: 11/06/2015) 11/06/ MEMORANDUM OF LAW in Support re: 99 MOTION to Amend/Correct 71 Amended Complaint,.. Document filed by Gerald Kolar. (Horne, Jonathan) (Entered: 11/06/2015) 11/06/ DECLARATION of Jonathan Horne in Support re: 99 MOTION to Amend/Correct 71 Amended Complaint,.. Document filed by Gerald Kolar. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2)(Horne, Jonathan) (Entered: 11/06/2015) 11/24/ LETTER addressed to Judge Denise L. Cote from Nathaniel J. Kritzer dated 11/24/2015 re: Plaintiff's motion to amend his complaint and filing of KPMG's motion to dismiss the amended complaint.. Document filed by KPMG LLP (Canada).(Kritzer, Nathaniel) (Entered: 11/24/2015) 11/30/ ORDER: An order of October 28, 2015 required the lead plaintiff to file any motion to amend by November 6, with opposition due December 4. On November 24, defendant KPMG filed a letter stating that it will not oppose the motion to amend, but intends to move to dismiss the amended complaint. Accordingly, it is hereby ORDERED that lead plaintiffs motion for leave to file a Third Amended Complaint is granted. IT IS FURTHER ORDERED that defendant KPMGs motion to dismiss submitted on September 15 is denied without prejudice to its renewal if appropriately made in response to the Third Amended Complaint. IT IS FURTHER ORDERED that defendant KPMGs motion to dismiss the Third Amended Complaint must be submitted by December 15, Lead plaintiffs opposition must be submitted by January 15, The defendants reply, if any, must be submitted by January (Signed by Judge Denise L. Cote on 11/30/2015) Filed In Associated Cases: 1:13-cv DLC, 1:13-cv DLC(gr) (Entered: 11/30/2015) 11/30/ THIRD AMENDED COMPLAINT amending 71 Amended Complaint, against A. Scott Dawson, Dean R. Jensen, KPMG LLP (Canada), Matt C. Mackenzie, Lyle D. Michaluk, Neil Richardson, Clifford L. Wiebe, Harley L. Winger with JURY DEMAND.Document filed by Gerald Kolar. Related document: 71 Amended Complaint, filed by Gerald Kolar.(Horne, Jonathan) (Entered: 11/30/2015) 12/09/ LETTER MOTION for Leave to File Excess Pages for KPMGs memorandum in support of its motion to dismiss addressed to Judge Denise L. Cote from Nathaniel J. Kritzer dated 12/9/2015. Document filed by KPMG LLP (Canada).(Kritzer, Nathaniel) (Entered: 12/09/2015)

21 12/09/ MEMO ENDORSEMENT granting 105 Letter Motion for Leave to File Excess Pages. (Signed by Judge Denise L. Cote on 12/9/2015) (gr) (Entered: 12/09/2015) 12/10/ STATUS REPORT. Document filed by Gerald Kolar. (Attachments: # 1 Text of Proposed Order)(Horne, Jonathan) (Entered: 12/10/2015) 12/11/ ORDER...1) The stay of claims against the Poseidon Defendants is extended to February 1, ) This Order has no impact on claims against KPMG LLP (Canada). 3) Lead Plaintiff shall provide the Court with a status report on or before 2/1/16. (Signed by Judge Denise L. Cote on 12/10/2015) Filed In Associated Cases: 1:13-cv DLC, 1:13-cv DLC(gr) (Entered: 12/11/2015) 12/15/ MOTION to Dismiss. Document filed by KPMG LLP (Canada).(Kritzer, Nathaniel) (Entered: 12/15/2015) 12/15/ MEMORANDUM OF LAW in Support re: 109 MOTION to Dismiss.. Document filed by KPMG LLP (Canada). (Kritzer, Nathaniel) (Entered: 12/15/2015) 12/15/ DECLARATION of Nathaniel J. Kritzer in Support re: 109 MOTION to Dismiss.. Document filed by KPMG LLP (Canada). (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3, # 4 Exhibit 4, # 5 Exhibit 5, # 6 Exhibit 6, # 7 Exhibit 7, # 8 Exhibit 8, # 9 Exhibit 9, # 10 Exhibit 10, # 11 Exhibit 11, # 12 Exhibit 12, # 13 Exhibit 13, # 14 Exhibit 14, # 15 Exhibit 15)(Kritzer, Nathaniel) (Entered: 12/15/2015) 12/15/ DECLARATION of Gregory R. Caldwell in Support re: 109 MOTION to Dismiss.. Document filed by KPMG LLP (Canada). (Kritzer, Nathaniel) (Entered: 12/15/2015) 01/13/ LETTER addressed to Judge Denise L. Cote from Jonathan Horne dated January 13, 2016 re: In re Poseidon Concepts Securities Litigation, 13-cv-1213-DLC. Document filed by Gerald Kolar.(Horne, Jonathan) (Entered: 01/13/2016) 01/13/ ENDORSED LETTER addressed to Judge Denise L. Cote from Jonathan Horne dated January 13, 2016 re: requesting a one week extension of Lead Plaintiff's time to file opposition to the motion to dismiss of KPMG LLP (Canada). With the extensions, the deadlines will be, respectively, January 22 and February 12. ENDORSEMENT: Granted. (Signed by Judge Denise L. Cote on 1/13/2016) Filed In Associated Cases: 1:13-cv DLC, 1:13-cv DLC(gr) (Entered: 01/13/2016) 01/22/ MEMORANDUM OF LAW in Opposition re: 109 MOTION to Dismiss.. Document filed by Gerald Kolar. (Horne, Jonathan) (Entered: 01/22/2016) 01/22/ DECLARATION of Jonathan Horne in Opposition re: 109 MOTION to Dismiss.. Document filed by Gerald Kolar. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3, # 4 Exhibit 4, # 5 Exhibit 5, # 6 Exhibit 6)(Horne, Jonathan) (Entered: 01/22/2016) 02/03/ STATUS REPORT. Document filed by Gerald Kolar. (Attachments: # 1 Text of Proposed Order)(Horne, Jonathan) (Entered: 02/03/2016) 02/04/ ORDER PARTIALLY EXTENDING STAY...The stay of claims against the Poseidon Defendants is extended to March 31, This Order has no impact on claims against KPMG LLP (Candada). Lead Plaintiff shall provide the Court with a