UNITED STATES DISTRICT COURT for the CENTRAL DISTRICT OF CALIFORNIA (Southern Division - Santa Ana) CIVIL DOCKET FOR CASE #: 8:11-cv AG-AN

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1 US District Court Civil Docket as of August 16, 2012 Retrieved from the court on December 10, 2012 UNITED STATES DISTRICT COURT for the CENTRAL DISTRICT OF CALIFORNIA (Southern Division - Santa Ana) CIVIL DOCKET FOR CASE #: 8:11-cv AG-AN Gene Morris v. Smith Micro Software Inc et al Date Filed: 06/29/2011 Assigned to: Judge Andrew J. Guilford Date Terminated: 08/16/2012 Referred to: Magistrate Judge Arthur Nakazato Jury Demand: Plaintiff Related Cases: 8:11-cv AG-AN Nature of Suit: 850 8:11-cv AG-AN Securities/Commodities 8:11-cv AG-MLG Jurisdiction: Federal Question Cause: 15:78m(a) Securities Exchange Act Plaintiff Gene Morris individually and on Behalf of All Others Similarly Situated represented by Catherine J Kowalewski Robbins Geller Rudman and Dowd LLP 655 West Broadway Suite 1900 San Diego, CA Fax: katek@rgrdlaw.com Darren J Robbins Robbins Geller Rudman and Dowd LLP 655 West Broadway Suite 1900 San Diego, CA Fax: e_file_sd@rgrdlaw.com David C Walton Robbins Geller Rudman and Dowd LLP 655 West Broadway Suite 1900 San Diego, CA Fax: davew@rgrdlaw.com Francis A Bottini, Jr Bottini & Bottini, Inc Ivanhoe Avenue Suite 102 La Jolla, CA 92037

2 Fax: Henry Rosen Robbins Geller Rudman & Dowd LLP 655 West Broadway, Suite 1900 San Diego, CA Fax: Julie Anna Kearns Robbins Geller Rudman & Dowd LLP 655 West Broadway 19th Floor San Diego, CA Fax: Tricia L McCormick Robbins Geller Rudman & Dowd LLP 655 West Broadway Suite 1900 San Diego, CA triciam@rgrdlaw.com V. Consol Plaintiff Waterford Township Police and Fire Retirement System on behalf of itself and all other persons similarly situated represented by Catherine J Kowalewski Francis A Bottini, Jr Henry Rosen Julie Anna Kearns

3 Consol Plaintiff Joseph Sedita on behalf of himself and all other persons similarly situated represented by Catherine J Kowalewski Francis A Bottini, Jr Henry Rosen Julie Anna Kearns V. Defendant Smith Micro Software Inc represented by Koji F Fukumura Cooley LLP 4401 Eastgate Mall San Diego, CA Fax: kfukumura@cooley.com LEAD ATTORNEY John C Dwyer Cooley LLP Five Palo Alto Square 3000 El Camino Real Palo Alto, CA Fax: dwyerjc@cooley.com Joseph B Woodring Cooley LLP 4401 Eastgate Mall San Diego, CA Fax: jwoodring@cooley.com

4 Meghan O'Ryan Spieker Cooley LLP 4401 Eastgate Mall San Diego, CA Fax: Peter M Adams Cooley LLP 4401 Eastgate Mall San Diego, CA Fax: padams@cooley.com Ryan E Blair Cooley Godward Kronish 4401 Eastgate Mall San Diego, CA rblair@cooley.com Defendant William W Smith, Jr represented by Koji F Fukumura LEAD ATTORNEY John C Dwyer Joseph B Woodring Meghan O'Ryan Spieker Peter M Adams Ryan E Blair

5 Defendant Andrew Schmidt TERMINATED: 12/15/2011 represented by Koji F Fukumura LEAD ATTORNEY John C Dwyer Joseph B Woodring Meghan O'Ryan Spieker Peter M Adams Ryan E Blair Defendant Andrew C Schmidt represented by Joseph B Woodring Koji F Fukumura Meghan O'Ryan Spieker Peter M Adams Ryan E Blair

6 Date Filed # Docket Text 06/29/ COMPLAINT against defendants Andrew Schmidt, William W Smith, Jr, Smith Micro Software Inc. Case assigned to Judge Andrew J. Guilford for all further proceedings. Discovery referred to Magistrate Judge Arthur Nakazato.(Filing fee PAID $ 350) Jury Demanded. Filed by plaintiff Gene Morris.(ade) (Additional attachment(s) added on 6/30/2011: # 1 1) (ade). (Entered: 06/30/2011) 06/29/ DAY Summons Issued re Complaint - (Discovery) 1 as to defendants Andrew Schmidt, William W Smith, Jr, Smith Micro Software Inc. (ade) (Entered: 06/30/2011) 06/29/ CERTIFICATION of Interested Parties filed by plaintiff Gene Morris. (ade) (Entered: 06/30/2011) 07/28/ NOTICE of Appearance filed by attorney Koji F Fukumura on behalf of Defendants Andrew Schmidt, William W Smith, Jr, Smith Micro Software Inc (Attachments: # 1 Proof of Service)(Fukumura, Koji) (Entered: 07/28/2011) 07/28/ NOTICE of Appearance filed by attorney Meghan Oryan Spieker on behalf of Defendants Andrew Schmidt, William W Smith, Jr, Smith Micro Software Inc (Attachments: # 1 Proof of Service)(Spieker, Meghan) (Entered: 07/28/2011) 07/28/ NOTICE of Appearance filed by attorney Ryan E Blair on behalf of Defendants Andrew Schmidt, William W Smith, Jr, Smith Micro Software Inc (Attachments: # 1 Proof of Service)(Blair, Ryan) (Entered: 07/28/2011) 07/28/ STIPULATION for Extension of Time to File Answer filed by Defendants Andrew Schmidt, William W Smith, Jr, Smith Micro Software Inc. (Attachments: # 1 Proposed Order, # 2 Proof of Service)(Blair, Ryan) (Entered: 07/28/2011) 07/28/ MINUTE ORDER IN CHAMBERS by Judge Andrew J. Guilford: DENYING Stipulation to Extend Time to Answer 6. Defendant is invited to file a simple request for additional time to file its answer, or better still, the parties are also invited to file a stipulation giving defendant this additional time. (rla) (Entered: 07/29/2011) 08/01/ Joint STIPULATION for Extension of Time to File Answer re Complaint - (Discovery), Complaint - (Discovery) 1 filed by plaintiff Gene Morris. (Attachments: # 1 Proposed Order)(Kowalewski, Catherine) (Entered: 08/01/2011) 08/02/ NOTICE of Change of Attorney Information for attorney Henry Rosen counsel for Plaintiff Gene Morris. Adding Henry Rosen as attorney as counsel of record for Plaintiff for the reason indicated in the G-06 Notice. Filed by Plaintiff Gene Morris (Rosen, Henry) (Entered: 08/02/2011) 08/08/ MINUTE ORDER IN CHAMBERS by Judge Andrew J. Guilford: Denying Stipulation to Extend Time to Answer (More than 30 days) 8. Instead, on its own motion, the Court CONTINUES the deadline for Defendant to file its answer to October 17, (twdb) (Entered: 08/08/2011) 08/10/ NOTICE of Appearance filed by attorney John C Dwyer on behalf of Defendants Andrew Schmidt, William W Smith, Jr, Smith Micro Software Inc (Attachments: # 1 Proof of Service)(Dwyer, John) (Entered: 08/10/2011) 08/29/ NOTICE OF MOTION AND MOTION for Appointment of Counsel and for

7 Appointment as Lead Plaintiff filed by proposed lead plaintiff Waterford Township Police & Fire Retirement System Gene Morris. Motion set for hearing on 9/26/2011 at 10:00 AM before Judge Andrew J. Guilford. (Attachments: # 1 Proposed Order)(McCormick, Tricia) (Entered: 08/29/2011) 08/29/ MEMORANDUM in Support of MOTION for Appointment of Counsel and for Appointment as Lead Plaintiff 12 filed by Plaintiff Gene Morris. (McCormick, Tricia) (Entered: 08/29/2011) 08/29/ DECLARATION of Tricia L. McCormick in Support of MOTION for Appointment of Counsel and for Appointment as Lead Plaintiff 12 filed by Plaintiff Gene Morris. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D)(McCormick, Tricia) (Entered: 08/29/2011) 08/29/ NOTICE OF MOTION AND MOTION for Appointment of Counsel and Lead Plaintiff filed by Movant Joseph Sedita Gene Morris. Motion set for hearing on 10/17/2011 at 10:00 AM before Judge Andrew J. Guilford. (Attachments: # 1 Proposed Order Proposed Order)(Bottini, Francis) (Entered: 08/29/2011) 08/29/ DECLARATION of Francis A. Bottini, Jr. in support of MOTION for Appointment of Counsel and Lead Plaintiff 15 filed by Plaintiff Gene Morris. (Attachments: # 1 Exhibit Ex. A, # 2 Exhibit Ex. B, # 3 Exhibit Ex. C, # 4 Exhibit Ex. D)(Bottini, Francis) (Entered: 08/30/2011) 08/30/ MEMORANDUM in Support of MOTION for Appointment of Counsel and Lead Plaintiff 15 file by Movant Joseph Sedita filed by Plaintiff Gene Morris. (Bottini, Francis) (Entered: 08/30/2011) 09/02/ NOTICE OF NON-OPPOSITION to MOTION for Appointment of Counsel and Lead Plaintiff 15, MOTION for Appointment of Counsel and for Appointment as Lead Plaintiff 12 filed by Defendants Andrew Schmidt, William W Smith, Jr, Smith Micro Software Inc. (Attachments: # 1 Proof of Service)(Blair, Ryan) (Entered: 09/02/2011) 09/13/ STIPULATION for Order Appointing Lead Plaintiff filed by proposed lead plaintiff Waterford Township Police & Fire Retirement System and Joseph Sedita Gene Morris. (Attachments: # 1 Proposed Order)(McCormick, Tricia) (Entered: 09/13/2011) 09/20/ MINUTE ORDER IN CHAMBERS by Judge Andrew J. Guilford: CONTINUING WATERFORD TOWNSHIP POLICE & FIRE RETIREMENT SYSTEM'S MOTION FOR APPOINTMENT AS LEAD PLAINTIFF AND APPROVAL OF SELECTION OF LEAD COUNSEL [DKT 12]: Hearing currently scheduled for September 26, 2011 at 10:00 a.m. is CONTINUED to October 17, 2011 at 10:00 a.m. to be heard at the same time as Joseph Sedita's motion for appointment as lead counsel. (rla) (Entered: 09/20/2011) 10/04/ Joint STIPULATION for Extension of Time to File Response to Complaint filed by Defendants Andrew Schmidt, William W Smith, Jr, Smith Micro Software Inc. (Attachments: # 1 Proposed Order, # 2 Proof of Service)(Blair, Ryan) (Entered: 10/04/2011) 10/07/ ORDER by Judge Andrew J. Guilford, re Stipulation for Extension of Time to File 21. DENIED (twdb) (Entered: 10/11/2011) 10/17/ MINUTES (IN CHAMBERS): ORDER by Judge Andrew J. Guilford: The Court

8 GRANTS Waterford and Seditas Motions in full. granting 12 Motion for Appointment of Counsel ; granting 15 Motion for Appointment of Counsel (twdb) (Entered: 10/19/2011) 10/17/ MINUTES OF Motions Hearing held before Judge Andrew J. Guilford: Motions argued. Motions granted. A separate order granting motions to issue. Court Reporter: Denise Paddock. (nbo) (Entered: 10/24/2011) 10/21/ Joint STIPULATION for Order re Amended Complaint and Response filed by Defendants Andrew Schmidt, William W Smith, Jr, Smith Micro Software Inc. (Attachments: # 1 Proposed Order, # 2 Proof of Service)(Spieker, Meghan) (Entered: 10/21/2011) 10/24/ ORDER re early meeting of parties and scheduling conference by Judge Andrew J. Guilford. ( Scheduling Conference set for 12/19/ :00 AM before Judge Andrew J. Guilford.) (twdb) (Entered: 10/24/2011) 10/24/ NOTICE of Appearance filed by attorney Peter M Adams on behalf of Defendants Andrew Schmidt, William W Smith, Jr, Smith Micro Software Inc (Attachments: # 1 Cert of Service)(Adams, Peter) (Entered: 10/24/2011) 10/25/ ORDER by Judge Andrew J. Guilford, granting Stipulation re amended superseding complaint and response thereto 24 (twdb) (Entered: 10/25/2011) 11/09/ NOTICE of Appearance filed by attorney Joseph B Woodring on behalf of Defendants Andrew Schmidt, William W Smith, Jr, Smith Micro Software Inc (Attachments: # 1 Cert of Service)(Woodring, Joseph) (Entered: 11/09/2011) 11/17/ Joint STIPULATION for Extension of Time to File Amended Complaint and the Response Thereto filed by Plaintiff Gene Morris. (Attachments: # 1 Proposed Order)(Kowalewski, Catherine) (Entered: 11/17/2011) 11/18/ ORDER GRANTING JOINT STIPULATION TO EXTEND THE TIME TO FILE THE AMENDED COMPLAINT AND THE RESPONSE THERETO, by Judge Andrew J. Guilford. Pursuant to the parties' Stipulation 30 dated November 17, 2011, the Court hereby ORDERS as follows: 1. Lead Plaintiff's time to file an Amended Complaint shall be extended from December 2, 2011 to December 15, Defendants shall respond, answer, or move to dismiss the Amended Complaint, and/or file any related motions, on or before February 14, If Defendants move to dismiss the Amended Complaint and/or file any related motions, then Lead Plaintiff shall oppose on or before April 2, 2012 and Defendants shall reply on or before May 1, This Stipulation is entered into without prejudice to any party seekingany interim relief. 5. Nothing in this Stipulation shall be construed as a waiver of any of Defendants' rights or positions in law or in equity, or as a waiver of any defenses that Defendants would otherwise have, including, without limitation, jurisdictional defenses. NO FURTHER CONTINUANCES WILL BE GRANTED WITHOUT AFURTHER SHOWING OF GOOD CAUSE. IT IS SO ORDERED. (dro) (Entered: 11/21/2011) 12/06/ JOINT REPORT Rule 26(f) Discovery Plan ; estimated length of trial 4 weeks, filed by Plaintiff Gene Morris.. (Kowalewski, Catherine) (Entered: 12/06/2011) 12/15/ CONSOLIDATED AMENDED COMPLAINT related to: Complaint (Discovery) 1 ;

9 filed by plaintiffs and co-lead plaintiffs Gene Morris, Waterford Township Police and Fire Retirement System, Joseph Sedita (Attachments: # 1 PART 2, # 2 PART 3)(rla) (Entered: 12/19/2011) 12/19/ NOTICE OF FILING FEE DUE on Pro Hac Vice Application mailed to Michael J VanOverbeke and Thomas C. Michaud for Plaintiff Gene Morris, Consol Plaintiffs Joseph Sedita, Waterford Township Police and Fire Retirement System. Attached application and proposed order. (mailed to VanOverbeke Michaud & Timmony, PC 12/20/11) (Attachments: # 1 APPLICATION, # 2 ORDER) (rla) (Entered: 12/19/2011) 12/19/ MINUTES OF Scheduling Conference held before Judge Andrew J. Guilford: The Court sets the following dates: Discovery cut-off 10/28/2013. Final Pretrial Conference set for 1/13/ :30 AM. Jury Trial set for 1/28/ :00 AM. Court sets the length of the trial at 16 days. Court Reporter: Denise Paddock. (rla) (Entered: 12/20/2011) 12/20/ SCHEDULING ORDER by Judge Andrew J. Guilford, SPECIFYING PROCEDURES: 1. Discovery Fact Cut-Off: October 28, 2013; 2. Final Pretrial Conference: January 13, 2014 at 8:30 a.m.; 3. Jury Trial:'January 28, 2014'at 9:00 a.m. With this Scheduling Order Specifying Procedures, the Court orders the following concerning the dates and procedures in this case. Counsel are ordered to be completely familiar with the Federal Rules of Civil Procedure, the Local Rules of the Central District of California, and the FAQ's about Judges' Procedures and Schedules posted by these Chambers on the Central District website at (See document for further details.) (rla) (Entered: 12/20/2011) 02/14/ NOTICE OF MOTION AND MOTION to Dismiss Consolidated Amended Complaint filed by defendants Andrew C Schmidt, William W Smith, Jr, Smith Micro Software Inc. Motion set for hearing on 5/21/2012 at 10:00 AM before Judge Andrew J. Guilford. (Attachments: # 1 Memo of Ps&As)(Fukumura, Koji) (Entered: 02/14/2012) 02/14/ DECLARATION of Koji F. Fukumura in support of MOTION to Dismiss Consolidated Amended Complaint 37 filed by Defendants Andrew C Schmidt, William W Smith, Jr, Smith Micro Software Inc. (Attachments: # 1 Exhs A-I, # 2 Exhs J-T, # 3 Exhs U-AC)(Fukumura, Koji) (Entered: 02/14/2012) 02/14/ DECLARATION of Andrew C. Schmidt in support of MOTION to Dismiss Consolidated Amended Complaint 37 filed by Defendants Andrew C Schmidt, William W Smith, Jr, Smith Micro Software Inc. (Fukumura, Koji) (Entered: 02/14/2012) 02/14/ REQUEST FOR JUDICIAL NOTICE re MOTION to Dismiss Consolidated Amended Complaint 37 filed by defendants Andrew C Schmidt, William W Smith, Jr, Smith Micro Software Inc. (Fukumura, Koji) (Entered: 02/14/2012) 02/14/ CERTIFICATE OF SERVICE filed by defendants Andrew C Schmidt, William W Smith, Jr, Smith Micro Software Inc, re Declaration (Motion related) 39, Request for Judicial Notice, Request for Relief 40, MOTION to Dismiss Consolidated Amended Complaint 37, Declaration (Motion related), Declaration (Motion related) 38 served on 2/14/12. (Fukumura, Koji) (Entered: 02/14/2012) 02/15/ NOTICE TO FILER OF DEFICIENCIES in Electronically Filed Documents RE: MOTION to Dismiss Consolidated Amended Complaint 37. The following error(s) was found: Proposed Document was not submitted as a separate attachment. In

10 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. (twdb) (Entered: 02/15/2012) 02/15/ NOTICE OF LODGING filed re MOTION to Dismiss Consolidated Amended Complaint 37 (Attachments: # 1 Proposed Order, # 2 Cert of Service)(Fukumura, Koji) (Entered: 02/15/2012) 03/12/ NOTICE of Change of Attorney Information for attorney Julie Anna Kearns counsel for Plaintiff Gene Morris. Adding Julie A. Kearns as attorney as counsel of record for Gene Morris for the reason indicated in the G-06 Notice. Filed by Plaintiff Gene Morris (Kearns, Julie) (Entered: 03/12/2012) 04/02/ OPPOSITION to MOTION to Dismiss Consolidated Amended Complaint 37 Plaintiffs' Opposition to Defendants' Motion to Dismiss the Consolidated Amended Complaint filed by Consol Plaintiffs Joseph Sedita, Waterford Township Police and Fire Retirement System. (Rosen, Henry) (Entered: 04/02/2012) 04/02/ RESPONSE filed by Consol Plaintiffs Joseph Sedita, Waterford Township Police and Fire Retirement Systemto Request for Judicial Notice, Request for Relief 40 Plaintiffs' Response to Defendants' Request for Judicial Notice (Rosen, Henry) (Entered: 04/02/2012) 05/01/ REPLY In Support MOTION to Dismiss Consolidated Amended Complaint 37 filed by Defendants Andrew C Schmidt, Andrew Schmidt, William W Smith, Jr, Smith Micro Software Inc. (Attachments: # 1 Certificate of Service)(Fukumura, Koji) (Entered: 05/01/2012) 05/01/ REPLY In Support MOTION to Dismiss Consolidated Amended Complaint 37 Reply In Support of Defendants' Request for Judicial Notice filed by Defendants Andrew C Schmidt, Andrew Schmidt, William W Smith, Jr, Smith Micro Software Inc. (Attachments: # 1 Certificate of Service)(Fukumura, Koji) (Entered: 05/01/2012) 05/21/ Joint STIPULATION for Extension of Time to File Second Amended Complaint On Or Before June 18, 2012 And Answer Due On Or Before July 18, 2012 filed by Defendant Andrew C Schmidt, William W Smith, Jr, Smith Micro Software Inc. (Attachments: # 1 Proposed Order)(Fukumura, Koji) (Entered: 05/21/2012) 05/21/ MINUTES OF Motion Hearing held before Judge Andrew J. Guilford: Cause is called for hearing. The clerk notifies the Court that both sides submit on the tentative ruling via . Motion 37 is GRANTED with 28 days leave to amend. A separate order granting motion to issue.court Reporter: Denise Paddock. (twdb) (Entered: 05/23/2012) 05/21/ ORDER by Judge Andrew J. Guilford granting 37 Motion to Dismiss. Defendants' Motion is GRANTED. Plaintiffs may file an amended pleading within 28 days of this Order. See document for further details. (rrp) (Entered: 05/23/2012) 05/23/ ORDER by Judge Andrew J. Guilford: Granting JOINT Stipulation re Second Amended Complaint and Response Thereto 49 : (NOTE CASE NUMBER) Court ORDERS as follows: 1. Lead Plaintiff shall file a Second Amended Complaint on or before June 18, Defendants shall respond, answer, or move to dismiss the

11 Second Amended Complaint in this action on or before July 18, If Defendants' response is a motion to dismiss, Lead Plaintiff shall file an opposition on or before August 17, 2012, and Defendants shall file a reply on or before August 31, (rla) (Entered: 05/24/2012) 06/13/ Joint STIPULATION for Extension of Time to File Second Amended Complaint filed by Plaintiffs Joseph Sedita, Waterford Township Police and Fire Retirement System. (Attachments: # 1 Proposed Order)(Kearns, Julie) (Entered: 06/13/2012) 06/14/ ORDER by Judge Andrew J. Guilford, GRANTING JOINT STIPULATION REGARDING SECOND AMENDED COMPLAINT AND RESPONSE THERETO 53 : Court ORDERS as follows: 1. Lead Plaintiffs shall file a Second Amended Complaint on or before July 18, Defendants shall respond, answer, or move to dismiss the Second Amended Complaint in this action on or before August 27, If Defendants' response is a motion to dismiss, Lead Plaintiffs shall file an opposition on or before October 8, 2012, and Defendants shall file a reply on or before October 22, The hearing, if any, shall be noticed for November 5, 2012 at 9:00 a.m. (rla) (Entered: 06/14/2012) 07/19/ STIPULATION to Dismiss Case filed by plaintiff Joseph Sedita, Waterford Township Police and Fire Retirement System. (Attachments: # 1 Proposed Order)(Rosen, Henry) (Entered: 07/19/2012) 08/16/ ORDER regarding dismissal of defendants Smith Micro, Inc., William W. Smith, Jr. and Andrew C. Schmidt by Judge Andrew J. Guilford, re Stipulation to Dismiss Case 55. (Made JS-6. Case Terminated.) (twdb) (Entered: 08/16/2012) Note: Links in this docket are stored in the PACER system ( Public Access to Court Electronic Records). PACER is a service of United States Judiciary. To view and retrieve the linked documents from PACER, you must be a registered user. To register, fill out one of the registration forms available on the PACER site. The United States Congress has given the Judicial Conference of the United States, the judicial governing body of the U.S. Federal Courts, authority to impose user fees for electronic access to case information. For more information visit the PACER site at