U.S. District Court EASTERN DISTRICT OF NORTH CAROLINA (Western Division) CIVIL DOCKET FOR CASE #: 5:11-cv D

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1 US District Court Civil Docket as of 12/9/2011 Retrieved from the court on June 25, 2012 U.S. District Court EASTERN DISTRICT OF NORTH CAROLINA (Western Division) CIVIL DOCKET FOR CASE #: 5:11-cv D Galaton v. Johnson et al Assigned to: Chief Judge James C. Dever, III Cause: 28:1332 Diversity - Stockholders Suits Plaintiff Martin Galaton individually and on behalf of all others similarly situated Date Filed: 07/18/2011 Date Terminated: 12/13/2011 Jury Demand: None Nature of Suit: 160 Stockholders Suits Jurisdiction: Diversity represented by Allen Schwartz Levi & Korsinsky, LLP 30 Broad St., 15th Floor New York, NY Fax: aschwartz@zlk.com Shannon L. Hopkins Levi & Korsinsky, LLP 30 Broad St., 15th Floor New York, NY Fax: shopkins@zlk.com Robert N. Maitland, II Maitland Law Firm 2 Couch Road Chapel Hill, NC Fax: rob@maitlandlaw.com V.

2 William D. Johnson Smith Anderson Blount Dorsett Mitchell & Jernigan, LLP 2500 Wachovia Capitol Center, 150 Fayetteville St. P.O. Box 2611 Raleigh, NC Fax: Hunton & Williams LLP Riverfront Plaza, East Tower, 951 East Byrd St. Richmond, VA Fax: Smith Anderson Blount Dorsett Mitchell & Jernigan, LLP 2500 Wachovia Capitol Center, 150 Fayetteville St. P.O. Box 2611 Raleigh, NC Fax: Hunton & Williams LLP Riverfront Plaza, East Tower, 951 East Byrd St. Richmond, VA Fax: Hunton & Williams LLP Riverfront Plaza, East Tower, 951 East

3 Byrd St. Richmond, VA Fax: John H. Mullin, III E. Marie McKee

4 Carlos A. Saladrigas James E. Bostic, Jr.

5 Theresa M. Stone W. Steven Jones

6 Alfred C. Tollison, Jr. represented by Harris E. Deloach, Jr. Charles W. Pryor, Jr.

7 Robert W. Jones James B. Hyler, Jr.

8 John D. Baker, II Melquiades R. Martinez

9 Duke Energy Corporation represented by Adam Karl Doerr Robinson, Bradshaw & Hinson, P.A. 101 N. Tryon St. Suite 1900, Independence Ctr. Charlotte, NC Fax: David C. Wright, III Robinson, Bradshaw & Hinson, P.A. 101 N. Tryon Street Suite 1900 Charlotte, NC (704) Fax: (704) Steven M. Bierman Sidley Austin LLP 787 Seventh Avenue New York, NY Fax: Diamond Acquisition Corporation represented by Adam Karl Doerr

10 David C. Wright, III Steven M. Bierman Progress Energy Corporation Date Filed 07/18/2011 # Docket Text 1 COMPLAINT against All s ( Filing fee $ 350 receipt number ), filed by Martin Galaton. (Attachments: # 1 Supplement Certification of named Plaintiff pursuant to Federal Securities Laws, # 2 Exhibit Schedule of transactions, # 3 Civil Cover Sheet, # 4 Supplement Disclosure of corporate affiliations- Financial disclosure, # 5 Supplement Waiver of the service of summons, # 6 Supplement Waiver of the service of summons, # 7 Supplement Waiver of the service of summons, # 8 Supplement Waiver of the service of summons, # 9 Supplement Waiver of the service of summons, # 10 Supplement Waiver of the service of summons, # 11 Supplement Waiver of the service of summons, # 12 Supplement Waiver of the service of summons, # 13 Supplement Waiver of the service of summons, # 14 Supplement Waiver of the service of summons, # 15 Supplement Waiver of the service

11 of summons, # 16 Supplement Waiver of the service of summons, # 17 Supplement Waiver of the service of summons, # 18 Supplement Waiver of the service of summons, # 19 Supplement Waiver of the service of summons, # 20 Supplement Waiver of the service of summons, # 21 Supplement Waiver of the service of summons) (Maitland, Robert) (Entered: 07/18/2011) 07/18/2011 Case Selected for Mediation - A printable list of certified mediators for the Eastern District of North Carolina is available on the court's Website, Please serve this list on all parties. (Beasley, B.) (Entered: 07/18/2011) 07/29/2011 NOTICE TO COUNSEL - Counsel should file a Notice of Appearance pursuant to Local Civil Rule 5.2(a). For future reference, counsel should file the Financial Disclosure Form as a separate entry using the event provided. (Heath, D.) (Entered: 07/29/2011) 07/29/2011 NOTICE OF DEFICIENCY re: 1 Complaint. Counsel inadvertently assigned this case to the eastern division. Clerk of Court, Dennis P. Iavarone will enter an order reassigning this matter to the western division. Counsel should add the complete name when adding parties to a case. (Heath, D.) (Entered: 07/29/2011) 07/29/ ORDER REDESIGNATING CASE. All future pleadings should reflect the new case number of 5:11-CV-397-D. Signed by Dennis P. Iavarone, Clerk of Court on 7/29/2011. (Edwards, S.) (Entered: 07/29/2011) 07/29/2011 Case transferred in from Eastern Division on 07/29/2011, case number 4:11-cv-120. (Edwards, S.) (Entered: 07/29/2011) 08/02/ First MOTION for Temporary Restraining Order, First MOTION for Preliminary Injunction by Martin Galaton. (Maitland, Robert) (Entered: 08/02/2011) 08/03/2011 Motion Submitted to US District Judge James C. Dever III: 3 First Motion for Temporary Restraining Order and Preliminary Injunction. (Sawyer, D.) (Entered: 08/03/2011) 08/03/ NOTICE of Appearance by Robert N. Maitland, II on behalf of Martin Galaton (Maitland, Robert) (Entered: 08/03/2011) 08/03/ NOTICE of Appearance by David C. Wright, III on behalf of Diamond Acquisition Corporation, Duke Energy Corporation. (Wright, David) (Entered: 08/03/2011) 08/03/ NOTICE of Appearance by Adam Karl Doerr on behalf of Diamond Acquisition Corporation, Duke Energy Corporation. (Doerr, Adam) (Entered: 08/03/2011) 08/03/ NOTICE of Appearance for non-district by Steven M. Bierman on behalf of Diamond Acquisition Corporation, Duke Energy Corporation. (Bierman, Steven) (Entered: 08/03/2011) 08/03/ NOTICE of Appearance by Donald H. Tucker, Jr on behalf of John D. Baker, II, James E. Bostic, Jr., Harris E. Deloach, Jr., James B. Hyler, Jr., William D. Johnson, Robert W. Jones, W. Steven Jones, Melquiades R. Martinez, E. Marie McKee, John H. Mullin, III, Progress Energy Corporation, Charles W. Pryor, Jr., Carlos A. Saladrigas, Theresa M. Stone (Tucker, Donald) (Entered: 08/03/2011)

12 08/03/ FINANCIAL DISCLOSURE STATEMENT by John D. Baker, II, James E. Bostic, Jr., Harris E. Deloach, Jr., James B. Hyler, Jr., William D. Johnson, Robert W. Jones, W. Steven Jones, Melquiades R. Martinez, E. Marie McKee, John H. Mullin, III, Progress Energy Corporation, Charles W. Pryor, Jr., Carlos A. Saladrigas, Theresa M. Stone, Alfred C. Tollison, Jr. (Tucker, Donald) (Entered: 08/03/2011) 08/03/ NOTICE of Appearance by Kirk Alan Parry, Jr on behalf of John D. Baker, II, James E. Bostic, Jr., Harris E. Deloach, Jr., James B. Hyler, Jr., William D. Johnson, Robert W. Jones, W. Steven Jones, Melquiades R. Martinez, E. Marie McKee, John H. Mullin, III, Progress Energy Corporation, Charles W. Pryor, Jr., Carlos A. Saladrigas, Theresa M. Stone, Alfred C. Tollison, Jr. (Parry, Kirk) (Entered: 08/03/2011) 08/03/ FINANCIAL DISCLOSURE STATEMENT by Diamond Acquisition Corporation, Duke Energy Corporation identifying Corporate Parent Duke Energy Corporation for Diamond Acquisition Corporation.. (Wright, David) (Entered: 08/03/2011) 08/03/ NOTICE of Appearance for non-district by on behalf of John D. Baker, II, James E. Bostic, Jr., Harris E. Deloach, Jr., James B. Hyler, Jr., William D. Johnson, Robert W. Jones, W. Steven Jones, Melquiades R. Martinez, E. Marie McKee, John H. Mullin, III, Progress Energy Corporation, Charles W. Pryor, Jr., Carlos A. Saladrigas, Theresa M. Stone, Alfred C. Tollison, Jr. (Fuhr, Edward) (Entered: 08/03/2011) 08/03/ NOTICE of Appearance for non-district by on behalf of John D. Baker, II, James E. Bostic, Jr., Harris E. Deloach, Jr., James B. Hyler, Jr., William D. Johnson, Robert W. Jones, W. Steven Jones, Melquiades R. Martinez, E. Marie McKee, John H. Mullin, III, Progress Energy Corporation, Charles W. Pryor, Jr., Carlos A. Saladrigas, Theresa M. Stone, Alfred C. Tollison, Jr. (Feiler, Eric) (Entered: 08/03/2011) 08/03/ NOTICE of Appearance for non-district by on behalf of John D. Baker, II, James E. Bostic, Jr., Harris E. Deloach, Jr., James B. Hyler, Jr., William D. Johnson, Robert W. Jones, W. Steven Jones, Melquiades R. Martinez, E. Marie McKee, John H. Mullin, III, Progress Energy Corporation, Charles W. Pryor, Jr., Carlos A. Saladrigas, Theresa M. Stone, Alfred C. Tollison, Jr. (Cox, Trevor) (Entered: 08/03/2011) 08/08/2011 NOTICE OF DEFICIENCY re: 4 Notice of Appearance - Pursuant to Section J(1) of the CM/ECF Policy Manual, all documents must be signed by the CM/ECF user under whose log-in and password the document is submitted for purposes of the Federal Rule of Civil Procedure 11. Out-of-state counsel should also include the appropriate signature block for local counsel, pursuant to Local Civil Rule 83.1(f). Additionally, counsel must file a Certificate of Service, per Section F(3) of the CM/ECF Policy Manual (located on Court's website). (Jenkins, C.) (Entered: 08/08/2011) 08/12/ /12/ /12/ NOTICE of Appearance by Shannon L. Hopkins on behalf of Martin Galaton. (Hopkins, Shannon) (Entered: 08/12/2011) 16 NOTICE of Appearance by Allen Schwartz on behalf of Martin Galaton. (Schwartz, Allen) (Entered: 08/12/2011) 17 Memorandum in Support re 3 First MOTION for Temporary Restraining OrderFirst MOTION for Preliminary Injunction filed by Martin Galaton. (Maitland, Robert) (Entered: 08/12/2011)

13 08/12/ Declaration re 17 Memorandum in Support by Martin Galaton filed by Martin Galaton. (Attachments: # 1 Exhibit Ex.2 Progress 8-k settlement, # 2 Exhibit Ex.3 Definitive proxy , # 3 Exhibit Ex Form 8-k, # 4 Expert Affidavit) (Maitland, Robert) (Entered: 08/12/2011) 08/12/ Declaration re 18 Declaration, by Martin Galaton filed by Martin Galaton. (Attachments: # 1 Exhibit Complaint part 1, # 2 Exhibit Complaint part 2, # 3 Exhibit Complaint part 3, # 4 Exhibit Complaint part 4) (Maitland, Robert) (Entered: 08/12/2011) 08/15/ Memorandum in Opposition re 3 Motion for Preliminary Injunction filed by John D. Baker, II, James E. Bostic, Jr., Harris E. Deloach, Jr., James B. Hyler, Jr., William D. Johnson, Robert W. Jones, W. Steven Jones, Melquiades R. Martinez, E. Marie McKee, John H. Mullin, III, Progress Energy Corporation, Charles W. Pryor, Jr., Carlos A. Saladrigas, Theresa M. Stone, Alfred C. Tollison, Jr. (Fuhr, Edward) (Entered: 08/15/2011) 08/15/ Declaration re 20 Memorandum in Opposition, of in Support of Progress s' Brief in Opposition to Plaintiff's Motion for Preliminary Injunction by John D. Baker, II, James E. Bostic, Jr., Harris E. Deloach, Jr., James B. Hyler, Jr., William D. Johnson, Robert W. Jones, W. Steven Jones, Melquiades R. Martinez, E. Marie McKee, John H. Mullin, III, Progress Energy Corporation, Charles W. Pryor, Jr., Carlos A. Saladrigas, Theresa M. Stone, Alfred C. Tollison, Jr.. (Attachments: # 1 Exhibits 1 to 4) (Cox, Trevor) (Entered: 08/15/2011) 08/16/ Memorandum in Opposition re 3 First MOTION for Temporary Restraining Order First MOTION for Preliminary Injunction filed by Diamond Acquisition Corporation, Duke Energy Corporation. (Wright, David) (Entered: 08/16/2011) 08/17/2011 NOTICE OF DEFICIENCY re: 21 Declaration - Exhibits should be separated and filed as attachments to the underlying document. Pursuant to Section L (2) of the CM/ECF Policy Manual (located on Court's website), attachments and exhibits should also be identified with a clear and complete description of the document. Additionally, counsel did not link the Declaration to the Memorandum. Counsel is directed to re-file, correcting the above deficiencies. (Jenkins, C.) (Entered: 08/17/2011) 08/17/ ORDER denying 3 Motion for Temporary Restraining Order and Motion for Preliminary Injunction. Signed by US District Judge James C. Dever III on 8/16/2011. (Sawyer, D.) (Entered: 08/17/2011) 08/18/ Declaration re 20 Memorandum in Opposition, Declaration of in Support of Progress s' Brief in Opposition to Plaintiff's Motion for Preliminary Injunction by John D. Baker, II, James E. Bostic, Jr., Harris E. Deloach, Jr., James B. Hyler, Jr., William D. Johnson, Robert W. Jones, W. Steven Jones, Melquiades R. Martinez, E. Marie McKee, John H. Mullin, III, Progress Energy Corporation, Charles W. Pryor, Jr., Carlos A. Saladrigas, Theresa M. Stone, Alfred C. Tollison, Jr.. (Attachments: # 1 Exhibit 1 - Stipulation and Agreement In re Progress Energy Shareholder Litigation, # 2 Exhibit 2 - Order in Whitney v. Winston, # 3 Exhibit 3 - Scheduling Order In re Progress Energy Shareholder Litigation, # 4 Exhibit 4 - Progress Energy ISS Update) (Cox, Trevor) (Entered: 08/18/2011) 09/28/ Consent MOTION to Stay Proceedings pending final approval of State Court settlement by Martin Galaton. (Attachments: # 1 Text of Proposed Order granting

14 consent motion to stay) (Maitland, Robert) (Entered: 09/28/2011) 09/29/2011 Motion Submitted to US District Judge James C. Dever III: 25 Consent Motion to Stay. (Sawyer, D.) (Entered: 09/29/2011) 09/30/ ORDER granting 25 Motion to Stay. It is hereby ordered that the case is stayed until the North Carolina Business Court's determination as to final approval of the pending state court settlement. Within ten (10) days of the issuance of a decision by the North Carolina Business Court regarding final approval of the settlement, the parties shall advise this Court of the decision, and its perceived impact on this case. Signed by US District Judge James C. Dever III on 9/30/2011. (Sawyer, D.) (Entered: 09/30/2011) 12/08/ NOTICE of Voluntary Dismissal by Martin Galaton (Maitland, Robert) (Entered: 12/08/2011) 12/09/ CERTIFICATE OF SERVICE by Martin Galaton re 27 Notice of Voluntary Dismissal (Maitland, Robert) (Entered: 12/09/2011) 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