US District Court Civil Docket as of 09/13/2002 Retrieved from the court on Monday, August 08, 2005

U.S. District Court Northern District of California (S.F.)

CIVIL DOCKET FOR CASE #: 96-CV-4558

Hertzberg, et al v. Dignity Partners, et al

Filed: 12/19/96 Assigned to: Judge Charles A. Legge

Jury demand: Both Demand: $0,000

Nature of Suit: 850 Lead Docket: None

Jurisdiction: Federal Question Dkt# in other court: None

Cause: 28:1331 Fed. Question: Securities Violation

HOWARD HERTZBERG Stephen T. Rodd Plaintiff [COR NTC] Abbey Gardy & Squitieri LLP 212 East 39th St New York, NY 10016 (212) 889-3700 Nadeem Faruqi [COR NTC] Faruqi & Faruqi LLP 320 East 39th St 3rd Flr New York, NY 10016 212-983-9330 Reed R. Kathrein [COR LD NTC] Milberg Weiss Bershad Hynes & Lerach LLP 100 Pine Street Ste 2600 San Francisco, CA 94111 415-288-4545 Patrick J. Coughlin [COR LD NTC] Milberg Weiss Bershad Hynes & Lerach LLP 401 B Street Suite 1700 San Diego, CA 92101 619-231-1058

JOHN DEROSA Stephen T. Rodd Plaintiff (See above) [COR NTC] Nadeem Faruqi (See above) [COR NTC] Reed R. Kathrein (See above) [COR LD NTC] Patrick J. Coughlin (See above) [COR LD NTC] JEFFREY FEINMAN, On Behalf of Stephen T. Rodd themselves and all other (See above) similarly situated [COR NTC] Plaintiff Nadeem Faruqi (See above) [COR NTC] Reed R. Kathrein (See above) [COR LD NTC] Patrick J. Coughlin (See above) [COR LD NTC] v. DIGNITY PARTNERS, INC. Gerald W. Palmer defendant [COR LD NTC] Jones Day Reavis & Pogue 555 W 5th St Ste 4600 Los Angeles, CA 90013-1025 (213) 489-3939 Robert C. Micheletto [COR LD NTC] Jones Day Reavis & Pogue 77 West Wacker Drive Suite 3500 Chicago, IL 60601-1692 (312) 782-3939 BRADLEY N. ROTTER Gerald W. Palmer defendant (See above) [COR LD NTC] Robert C. Micheletto (See above) [COR NTC]

ALAN B. PERPER Gerald W. Palmer defendant (See above) [COR LD NTC] Robert C. Micheletto (See above) [COR NTC] JOHN WARD ROTTER Gerald W. Palmer defendant (See above) [COR LD NTC] Robert C. Micheletto (See above) [COR NTC] STEPHEN T. BOW Gerald W. Palmer defendant (See above) [COR LD NTC] Robert C. Micheletto (See above) [COR NTC] PAUL A. VOLBERDING Gerald W. Palmer defendant (See above) [COR LD NTC] Robert C. Micheletto (See above) [COR NTC]

DOCKET PROCEEDINGS

DATE # DOCKET ENTRY

12/19/96 1 COMPLAINT (Summons Issued); Fee status paid entered on 12/19/96 in the amount of $120.00 (Receipt No. 125193); jury demand [3:96-cv-04558] (scu) [Entry date 12/20/96] 12/19/96 2 ORDER RE COURT PROCEDURE and SCHEDULE by Judge Charles A. Legge: Proof of service to be filed by 2/3/97; counsels' case management statement to be filed by 4/15/97; and initial case management conference will be held at 11:00 a.m. on 4/25/97 (cc: all counsel) (scu) [Entry date 12/20/96]

1/24/97 3 STIPULATION and ORDER by Judge Charles A. Legge: that defendants' time to answer or otherwise respond to the complaint shall be extended up to and including 3/14/97 (cc: all counsel) [3:96-cv-04558] (tn) [Entry date 01/29/97] 1/29/97 4 RETURN OF SERVICE executed upon defendant Dignity Partners, Inc. by personally serving John W. Rotter on 12/27/96; defendant Bradley N. Rotter personally served on 12/31/96; defendant Alan B. Perper personally served on 1/2/97; defendant John Ward Rotter personally served on 12/27/96; defendant Stephen T. Bow, and defendant Paul A. Volberding personally served on 1/2/97 [3:96-cv-04558] (tn) [Entry date 01/31/97] 2/14/97 5 NOTICE OF MOTION AND MOTION WITH MEMORANDUM OF POINTS AND AUTHORITIES by Plaintiffs for appointment of lead plaintiffs pursuant to section 27(a)(3)(B) of the Securities Act of 1933 and section 21D(a)(3)(B) of the Securities Exchange Act of 1934, and for appointment of lead plaintiffs' co-lead counsel with Notice set for 9:30 a.m. on 3/21/97 [3:96-cv-04558] (tn) [Entry date 02/21/97] 2/14/97 6 DECLARATION of Jennifer J. Wells on behalf of Plaintiffs in support of their motion for appointment of lead plaintiffs pursuant to section 27(a)(3)(B) of the Securities Act of 1933 and section 21D(a)(3)(B) of the Securities Exchange Act of 1934, and for appointment of lead plaintiffs' co-lead counsel [5-1] [3:96-cv-04558] (tn) [Entry date 02/21/97] 2/21/97 7 MOTION by defendants for attorney David L. Carden & Robert C. Micheletto to appear pro hac vice [3:96-cv-04558] (tn) [Entry date 02/24/97] 2/21/97 8 DECLARATION of David L. Carden on behalf of defendants re motion for attorney David L. Carden & Robert C. Micheletto to appear pro hac vice [7-1] [3:96-cv-04558] (tn) [Entry date 02/24/97] 2/21/97 9 DECLARATION of Robert C. Micheletto on behalf of defendants re motion for attorney David L. Carden & Robert C. Micheletto to appear pro hac vice [7-1] [3:96-cv-04558] (tn) [Entry date 02/24/97] 2/25/97 10 ORDER by Judge Charles A. Legge granting defendants' motion for attorney David L. Carden & Robert C. Micheletto to appear pro hac vice [7-1] (cc: all counsel) [3:96-cv-04558] (tn) [Entry date 02/26/97] 3/5/97 11 NOTICE by Plaintiffs of no opposition to motion for appointment of lead plaintiffs pursuant to section 27(a)(3)(B) of the securities act of 1933 and section 21D(a)(3)(B) of the securities exchange act of 1934 and for

appointment of lead plaintiffs' co-lead counsel [3:96-cv-04558] (tn) [Entry date 03/10/97] 3/12/97 12 STIPULATION and ORDER by Judge Charles A. Legge that defendants' time to answer or otherwise respond to the complaint shall be extended up to and including 3/21/97 (cc: all counsel) [3:96-cv-04558] (tn) [Entry date 03/20/97] 3/19/97 13 ORDER by Judge Charles A. Legge granting motion for appointment of lead plaintiffs pursuant to section 27(a)(3)(B) of the Securities Act of 1933 and section 21D(a)(3)(B) of the Securities Exchange Act of 1934, and appointment of lead plaintiffs' co-lead counsel [5-1]; and that plaintiffs are appointed lead plaintiffs and their selection of the law firms of Milberg, Weiss, Bershad, Hynes & Lerach LLP and Abbey, Gardy & Squitieri, LLP are approved as co-lead counsel (cc: all counsel) [3:96-cv-04558] (tn) [Entry date 03/24/97] [Edit date 03/24/97] 3/24/97 14 STIPULATION and PRETRIAL ORDER NO. 1 by Judge Charles A. Legge to set forth a briefing schedule and modify case management schedule (see document for more info.) (cc: all counsel) [3:96-cv-04558] (tn) [Entry date 03/26/97] 3/24/97 15 PROOF OF SERVICE by Plaintiffs of order [13-1] [3:96-cv-04558] (tn) [Entry date 03/26/97] 4/21/97 16 NOTICE OF MOTION AND MOTION by defendants to dismiss pursuant to rule 9(b) and 12(b)(6) of the federal rules of civil procedure and the 1995 reform act with Notice set for 9:30 a.m. on 6/20/97 [3:96-cv-04558] (tn) [Entry date 04/23/97] 4/21/97 17 MEMORANDUM of points and authorities by defendants in support of their motion to dismiss pursuant to rule 9(b) and 12(b)(6) of the federal rules of civil procedure and the 1995 reform act [16-1] [3:96-cv-04558] (tn) [Entry date 04/23/97] 4/21/97 18 APPENDIX filed by defendants in support of their motion to dismiss pursuant to rule 9(b) and 12(b)(6) of the federal rules of civil procedure and the 1995 reform act [16-1] �[3:96-cv-04558] (tn) [Entry date 04/23/97] 5/19/97 19 OPPOSITION by Plaintiffs to defendants' motion to dismiss pursuant to rule 9(b) and 12(b)(6) of the federal rules of civil procedure and the 1995 reform act [16-1] [3:96-cv-04558] (tn) [Entry date 05/20/97] 5/19/97 20 DECLARATION of Alison M. Tattersall on behalf of Plaintiffs in support of their opposition [19-1] [3:96-cv-04558] (tn) [Entry date 05/20/97]

6/9/97 21 STIPULATION and ORDER by Judge Charles A. Legge: re-setting hearing on defendants' motion to dismiss pursuant to rule 9(b) and 12(b)(6) of the federal rules of civil procedure and 1995 reform act [16-1] at 9:30 a.m. on 7/11/97; and the defendants' reply brief shall be due on 6/20/97 (cc: all counsel) [3:96-cv-04558] (tn) [Entry date 06/12/97] 6/23/97 22 REPLY BRIEF by defendants to opposition and in support of their motion to dismiss pursuant to rule 9(b) and 12(b)(6) of the federal rules of civil procedure and the 1995 reform act [16-1] [3:96-cv-04558] (tn) [Entry date 06/24/97] 6/23/97 23 APPENDIX OF UNPUBLISHED OPINION CITED filed by defendants re motion reply [22-1] �[3:96-cv-04558] (tn) [Entry date 06/24/97] 6/25/97 24 AMENDED PROOF OF SERVICE by defendants of motion reply [22-1], and memorandum [17-1] [3:96-cv-04558] (tn) [Entry date 06/30/97] 7/1/97 25 STATEMENT of recent decisions by Plaintiffs pursuant to Local Rule 7-3 (e) [3:96-cv-04558] (mcl) [Entry date 07/07/97] 7/7/97 26 STIPULATION and ORDER by Judge Charles A. Legge: re- setting hearing on defendants' motion to dismiss pursuant to rule 9(b) and 12(b)(6) of the federal rules of civil procedure and the 1995 reform act [16-1] at 9:30 a.m. on 7/18/97 (cc: all counsel) [3:96-cv-04558] (tn) [Entry date 07/09/97] 7/9/97 27 NOTICE by Plaintiffs of entry of order continuing hearing date [3:96-cv-04558] (tn) [Entry date 07/10/97] 7/16/97 28 SUPPLEMENTAL SUBMISSION OF AUTHORITY by Plaintiff pursuant to Local Rule 7-3(e) [3:96-cv-04558] (tn) [Entry date 07/18/97] 7/18/97 29 MINUTES: (C/R Robert Rogers) granting defendant's motion to dismiss pursuant to rule 9(b) and 12(b)(6) of the federal rules of civil procedure and the 1995 reform act [16-1], with leave to amend; plaintiff may have until 9/8/97 to file his amended complaint [3:96-cv-04558] (tn) [Entry date 07/22/97] 7/28/97 30 STATEMENT of recent decision pursuant to local rule 7-3(e) by Plaintiffs [3:96-cv-04558] (tn) [Entry date 07/30/97] 8/14/97 31 SUPPLEMENTAL SUBMISSION by Plaintiffs of authority pursuant

to Local Rule 7-3(e) [3:96-cv-04558] (tn) [Entry date 08/15/97] 8/20/97 32 REPORTER'S TRANSCRIPT; Date of proceedings: 7/18/97 (C/R: Roberta L. Rogers) [3:96-cv-04558] (tn) [Entry date 08/20/97] 9/8/97 33 AMENDED COMPLAINT [1-1] by Plaintiffs; jury demand [3:96-cv-04558] (tn) [Entry date 09/11/97] 10/9/97 34 NOTICE OF MOTION AND MOTION by defendants to dismiss pursuant to rules 9(b) and 12(b)(6) of the Federal Rules of Civil Procedure and the 1995 Reform Act [3:96-cv-04558] (tn) [Entry date 10/10/97] 10/9/97 35 MEMORANDUM of points and authorities by defendants in support of its motion to dismiss pursuant to rules 9(b) and 12(b)(6) of the Federal Rules of Civil Procedure and the 1995 Reform Act [34-1] [3:96-cv-04558] (tn) [Entry date 10/10/97] 10/9/97 -- RECEIVED [Proposed] Order (defendants) re: motion to dismiss pursuant to rules 9(b) and 12(b)(6) of the Federal Rules of Civil Procedure and the 1995 Reform Act [34-1] [3:96-cv-04558] (tn) [Entry date 10/10/97] 10/10/97 36 APPENDIX filed by defendants to memorandum [35-1] �[3:96-cv-04558] (tn) [Entry date 10/10/97] 10/14/97 37 STIPULATION and ORDER by Judge Charles A. Legge that defendants' response to the first amended complaint shall be served by 10/8/97; that plaintiffs' responsive brief to any motion by defendants challenging the first amended complaint shall be served by 11/7/97; defendants' reply brief shall be served by 11/21/97; and any motion by defendants shall be set for hearing on the first available court day following 12/5/97 (cc: all counsel) [3:96-cv-04558] (tn) [Entry date 10/17/97] 10/16/97 38 CLERK'S NOTICE re-setting hearing on defendants' motion to dismiss pursuant to rules 9(b) and 12(b)(6) of the Federal Rules of Civil Procedure and the 1995 Reform Act [34-1] at 9:30 a.m. on 12/5/97 [3:96-cv-04558] (tn) [Entry date 10/22/97] 11/7/97 39 OPPOSITION by Plaintiffs to defendants' motion to dismiss pursuant to rules 9(b) and 12(b)(6) of the Federal Rules of Civil Procedure and the 1995 Reform Act [34-1] [3:96-cv-04558] (tn) [Entry date 11/13/97] 11/7/97 40 DECLARATION of Alison M. Tattersall on behalf of Plaintiffs

in support of their opposition [39-1] [3:96-cv-04558] (tn) [Entry date 11/13/97] 11/24/97 41 REPLY BRIEF by defendants to opposition and in support of their motion to dismiss pursuant to rules 9(b) and 12(b)(6) of the Federal Rules of Civil Procedure and the 1995 Reform Act [34-1] [3:96-cv-04558] (tn) [Entry date 12/01/97] 12/2/97 42 SUPPLEMENTAL SUBMISSION OF AUTHORITY PURSUANT TO LOCAL RULE 7-3(e) by Plaintiffs [3:96-cv-04558] (tn) [Entry date 12/08/97] 12/5/97 43 MINUTES: (C/R Leo Mankiewicz) granting in part and denying in part defendants' motion to dismiss pursuant to rules 9(b) and 12(b)(6) of the Federal Rules of Civil Procedure and the 1995 Reform Act [34-1], and case continued for Further Case Management Conference set for 11:00 a.m. on 1/16/98; the court granted the motion as to defendants Paul Volberding and Stephen Bow, denied the motion on the loss & causation claims, granted the motion on the section II cause of action, and granted the motion as to scienter; the court also directed plaintiff to re-plead the information and belief claims and connect these to facts; plaintiff to amend by 1/15/98 [3:96-cv-04558] (tn) [Entry date 12/09/97] 12/5/97 44 OBJECTIONS by defendants to plaintiff's supplemental submission of authority pursuant to local rule 7-3(e) [3:96-cv-04558] (tn) [Entry date 12/09/97] 12/12/97 45 REPORTER'S TRANSCRIPT; Date of proceedings: 12/5/97 (C/R: Leo T. Mankiewicz) [3:96-cv-04558] (tn) [Entry date 12/16/97] 12/19/97 46 NOTICE OF MOTION AND MOTION WITH MEMORANDUM OF POINTS AND AUTHORITIES before Judge Charles A. Legge by Plaintiffs to continue the time for filing an amended complaint pending the outcome of plaintiffs' Section 1292(b) request with Notice set for 9:30 a.m. on 1/23/98 [3:96-cv-04558] (tn) [Entry date 12/29/97] 12/19/97 -- RECEIVED [Proposed] Order granting plaintiffs' motion to continue the time for filing an amended complaint pending the of plaintiffs' Section 1292(b) request [46-1] [3:96-cv-04558] (tn) [Entry date 12/29/97] 12/19/97 47 NOTICE OF MOTION AND MOTION WITH MEMORANDUM OF POINTS AND AUTHORITIES before Judge Charles A. Legge by Plaintiffs for an order certifying for interlocutory appeal pursuant to 28 USC Section 1292(b) with Notice set for 9:30 a.m. on 1/23/98 [3:96-cv-04558] (tn) [Entry date 12/29/97]

12/19/97 48 DECLARATION of Amber L. Eck on behalf of Plaintiffs in support of their motion for an order certifying for interlocutory appeal pursuant to 28 USC Section 1292(b) [47-1] [3:96-cv-04558] (tn) [Entry date 12/29/97] 12/19/97 -- RECEIVED [Proposed] Order granting Plaintiffs' motion for an order certifying for interlocutory appeal pursuant to 28 USC Section 1292(b) [47-1] [3:96-cv-04558] (tn) [Entry date 12/29/97] 12/24/97 49 EX-PARTE MOTION before Judge Charles A. Legge by Plaintiffs for order continuing time to file amended complaint [3:96-cv-04558] (tn) [Entry date 01/06/98] 12/24/97 50 DECLARATION of Amber L. eck on behalf of Plaintiffs in support of their ex-parte motion for order continuing time to file amended complaint [49-1] [3:96-cv-04558] (tn) [Entry date 01/06/98] 12/24/97 51 NOTICE OF MOTION AND MOTION WITH MEMORANDUM OF POINTS AND AUTHORITIES by plaintiff-in-intervention before Judge Charles A. Legge to intervene with Notice set for 9:30 a.m. on 1/30/98 [3:96-cv-04558] (tn) [Entry date 01/06/98] 12/24/97 52 DECLARATION of Amber L. Eck on behalf of plaintiff-in intervention in support of motion to intervene [51-1] [3:96-cv-04558] (tn) [Entry date 01/06/98] 12/29/97 53 OPPOSITION by defendants to plaintiffs' motion for order continuing time to file amended complaint [49-1] [3:96-cv-04558] (tn) [Entry date 01/06/98] 1/5/98 54 OPPOSITION by defendants to plaintiffs' motion for an order certifying for interlocutory appeal pursuant to 28 USC Section 1292(b) [47-1] [3:96-cv-04558] (tn) [Entry date 01/06/98] 1/5/98 55 ORDER by Judge Charles A. Legge granting plaintiff's ex-parte motion for order continuing time to file amended complaint [49-1]; the deadline to file plaintiff's amended complaint is continued pending the outcome of plaintiffs' request and plaintiff-in-intervention's motion to intervene, therefore, plaintiff's amended complaint is due 30 days from the date both motions have been resolved, and in the alternative, the deadline to file plaintiffs' amended complaint shall be determined at the 1/16/98 status conference (cc: all counsel) [3:96-cv-04558] (tn) [Entry date 01/08/98] 1/9/98 56 REPLY MEMORANDUM of points and authorities by Plaintiffs to opposition and in support of theri motion for an order certifying for interlocutory appeal pursuant to 28 USC Section 1292(b) [47-1] [3:96-cv-04558] (tn)

[Entry date 01/13/98] 1/12/98 57 OPPOSITION by defendants to Charles Steinberg's motion to intervene [51-1] [3:96-cv-04558] (tn) [Entry date 01/13/98] 1/12/98 58 DECLARATION of Gerald W. Palmer on behalf of defendants in support of their opposition [57-1] [3:96-cv-04558] (tn) [Entry date 01/13/98] 1/15/98 59 NOTICE OF ERRATA by defendants re opposition to plaintiffs' motion for an order certifying for interlocutory appeal pursuant to 28 U.S.C. Section 1292(b) [3:96-cv-04558] (tn) [Entry date 01/15/98] 1/15/98 60 NOTICE OF ERRATA by defendants re: opposition to motion of Charles Steinberg to intervene pursuant tp Fed.R.Civ.P 24(b)(2) [57-1] [3:96-cv-04558] (tn) [Entry date 01/15/98] 1/16/98 61 REPLY by Charles Steinberg to opposition and in support of his motion to intervene [51-1] [3:96-cv-04558] (tn) [Entry date 01/20/98] 1/16/98 62 MINUTES: (C/R Not Reported) Further case management conference - held, case continued for motions hearing on 2/20/98 at 9:30 a.m.; at the request of the parties, the court ordered all motions presently scheduled be consolidated for hearing on 2/20/98 [3:96-cv-04558] (tn) [Entry date 01/22/98] 2/18/98 63 SUPPLEMENTAL SUBMISSION by Plaintiff of authority pursuant to local rule 7-3(e) [3:96-cv-04558] (tn) [Entry date 02/20/98] 2/20/98 64 MINUTES: (C/R Rosita Flores) (Hearing Date: 2/20/98) granting plaintiff-in-intervention's motion to intervene [51-1], denying plaintiff's motion for an order certifying for interlocutory appeal pursuant to 28 Section 1292(b) [47-1], granting plaintiff's motion to continue the time for filing an amended complaint pending the outcome of plaintiffs' Section 1292(b) request [46-1], and case continued for motions hearing on 4/17/98 at 9:30 a.m., Motions due 3/16/98, Opposition brief due 3/30/98, and Repley brief due 4/6/98; plaintiff to file amended complaint by 3/2/98 [3:96-cv-04558] (tn) [Entry date 02/26/98] 3/2/98 65 SECOND AMENDED COMPLAINT [33-1], [1-1] by Plaintiffs; jury trial demand [3:96-cv-04558] (tn) [Entry date 03/03/98] 3/17/98 66 NOTICE OF MOTION AND MOTION before Judge Charles A. Legge by defendants to dismiss plaintiff's second amended

complaint pursuant to rules 9(b) and 12(b)(6) of the Federal Rules of Civil Procedure and The 1995 Reform Act with Notice set for 9:30 a.m. on 4/30/98 [3:96-cv-04558] (tn) [Entry date 03/20/98] 3/17/98 67 MEMORANDUM of points and authorities by defendants in support of their motion to dismiss plaintiff's second amended complaint pursuant to rules 9(b) and 12(b)(6) of the Federal Rules of Civil Procedure and 1995 Reform Act [66-1] [3:96-cv-04558] (tn) [Entry date 03/20/98] 3/17/98 68 APPENDIX by defendants to their memorandum of points and authorities in support of their motion to dismiss plaintiff's second amended complaint pursuant to rules 9(b) and of the Federal Rules of Civil Procedure and The 1995 Reform Act [67-1] �[3:96-cv-04558] (tn) [Entry date 03/20/98] 3/18/98 69 RE-NOTICE of hearing by defendants setting motion to dismiss plaintiff's second amended complaint pursuant to rules 9(b) and 12(b)(6) of the Federal Rules of Civil Procedure and 1995 Reform Act [66-1] on 4/17/98 at 9:30 a.m. [3:96-cv-04558] (tn) [Entry date 03/20/98] 3/26/98 -- RECEIVED Stipulation and [Proposed] Order for continuance of hearing date (Plaintiffs) [3:96-cv-04558] (tn) [Entry date 03/27/98] 3/30/98 70 OPPOSITION by Plaintiffs to defendants' motion to dismiss plaintiff's second amended complaint pursuant to rules 9(b) and of the Federal Rules of Civil Procedure and The 1995 Reform Act [66-1] [3:96-cv-04558] (tn) [Entry date 04/01/98] 3/30/98 71 DECLARATION of Alison M. Tattersall on behalf of Plaintiffs in support of their opposition [70-1] [3:96-cv-04558] (tn) [Entry date 04/01/98] 3/30/98 72 STIPULATION and ORDER by Judge Charles A. Legge: re- setting hearing on defendants' motion to dismiss plaintiff's second amended complaint pursuant to rules 9(b) and 12(b)(6) of the Rules of Civil Procedure and The 1995 Reform Act [66-1] on 4/24/98 at 9:30 a.m. (cc: all counsel) [3:96-cv-04558] (tn) [Entry date 04/09/98] 4/7/98 73 REPLY MEMORANDUM by defendants to opposition and in support of their motion to dismiss plaintiff's second amended complaint pursuant to rules 9(b) and 12(b)(6) of the Federal Rules of Civil Procedure and 1995 Reform Act [66-1] [3:96-cv-04558] (tn) [Entry date 04/09/98] 4/9/98 74 SUBMISSION OF RECENT DECISIONS pursuant to Local Rule 7-3(e) by Plaintiffs [3:96-cv-04558] (tn)

[Entry date 04/09/98] 4/17/98 75 NOTICE by Plaintiffs of entry of order [3:96-cv-04558] (tn) [Entry date 04/21/98] 4/24/98 76 MINUTES: (C/R Judith Thomsen) (Hearing Date: 4/24/98) denying defendants' motion to dismiss plaintiff's second amended complaint pursuant to rules 9(b) and 12(b)(6) of the Rules of Civil Procedure and The 1995 Reform Act [66-1], and matter continued for status conference on 9/11/98 at 11:00 a.m. [3:96-cv-04558] (tn) [Entry date 05/04/98] 4/28/98 77 REPORTER'S TRANSCRIPT; Date of proceedings: 4/24/98 (C/R: Judith N. Thomsen) [3:96-cv-04558] (tn) [Entry date 05/04/98] 5/18/98 78 NOTICE OF MOTION AND MOTION by pltfs Howard Hertzberg, John DeRosa, Jeffrey Feinman for entry of final judgment, or to certify interlocutory appeal; Motions to be heard 6/26/98 at 9:30 before the Honorable Charles Legge [3:96-cv-04558] (awb) [Entry date 05/18/98] 5/18/98 79 DECLARATION by Amber L Eck on behalf of Pltfs Howard Hertzberg, John DeRosa, Jeffrey Feinman in support of motions for entry of final judgment [78-1], to certify interlocutory appeal [78-2] [3:96-cv-04558] (awb) [Entry date 05/18/98] 5/18/98 -- RECEIVED Proposed Order by pltfs Howard Hertzberg, John DeRosa, Jeffrey Feinman re: motions for entry of final judgment [78-1], to certify interlocutory appeal [78-2] [3:96-cv-04558] (awb) [Entry date 05/18/98] 5/20/98 80 RE-NOTICE of hearing by Plaintiffs re-setting motion for entry of final judgment [78-1], or to certify interlocutory appeal [78-2] on 7/10/98 at 9:30 a.m. [3:96-cv-04558] (tn) [Entry date 05/20/98] 5/27/98 81 ANSWER by defendants to plaintiffs' second amended complaint [65-1]; jury trial demand [3:96-cv-04558] (tn) [Entry date 05/28/98] 6/23/98 82 REPORTER'S TRANSCRIPT; Date of proceedings: 2/20/98 (C/R: Rosita Flores) minutes [64-2] [3:96-cv-04558] (lcc) [Entry date 06/24/98] 6/25/98 83 NOTICE OF MOTION AND MOTION WITH MEMORANDUM OF POINTS AND AUTHORITIES before Judge Charles A. Legge by Plaintiffs for class certification with Notice set for 9:30 a.m. on 11/6/98 [3:96-cv-04558] (tn) [Entry date 06/26/98]

6/25/98 84 DECLARATION of Blair A. Nicholas on behalf of Plaintiff in support of their motion for class certification [83-1] [3:96-cv-04558] (tn) [Entry date 06/26/98] 6/25/98 -- RECEIVED [Proposed] Order granting Plaintiffs' motion for class certification [83-1] [3:96-cv-04558] (tn) [Entry date 06/26/98] 6/26/98 85 STATEMENT by Plaintiffs of recent decision pursuant to Local Rule 7-3(e) [3:96-cv-04558] (tn) [Entry date 06/29/98] 6/29/98 86 CERTIFICATE of Non-party Gibson, Dunn & Crutcher LLP to enlarge time within which to respond to the subpoena pursuant to Local Rule 7-8(b) [3:96-cv-04558] (tn) [Entry date 07/01/98] 6/29/98 -- RECEIVED Stipulation and [Proposed] Order for entry of judgment pursuant to rule 54(b) (defendants) [3:96-cv-04558] (tn) [Entry date 07/01/98] 6/29/98 87 STIPULATION and ORDER by Judge Charles A. Legge that based on its review of the record, this court expressly determines that there is no just reason for delay and expressly directs the entry of a judgment dismissing claims for relief I and II of the second amended complaint herein pursuant to Rule 54(b) (cc: all counsel) [3:96-cv-04558] (tn) [Entry date 07/02/98] 7/1/98 -- RECEIVED Stipulation and [Proposed] Order regarding briefing schedule and hearing date for plaintiffs' motion for class certification [3:96-cv-04558] (tn) [Entry date 07/01/98] 7/2/98 88 STIPULATION and ORDER by Judge Charles A. Legge regarding briefing schedule and hearing date for plaintiffs' motion for class certification: defendants to file any opposition on or before 9/25/98; plaintiffs to file any reply brief on or before 10/23/98 and the hearing on plaintiffs' motion is scheduled for 11/6/98 at 9:30 a.m. (cc: all counsel) [3:96-cv-04558] (tn) [Entry date 07/07/98] 7/9/98 89 NOTICE by Plaintiffs of entry of order regarding briefing schedule and hearing date for class certification [3:96-cv-04558] (tn) [Entry date 07/10/98] 7/27/98 90 NOTICE OF APPEAL by Plaintiffs from Dist. Court decision stipulation and order for entry of judgment pursuant to rule 54(b) [87-1]; Fee status paid (receipt #:132100 [3:96-cv-04558] (tn) [Entry date 07/28/98]

7/27/98 -- RECEIVED Civil Appeals Docketing Statement submitted by Plaintiffs re: appeal [90-1] [document forwarded to USCA for the Ninth Circuit] [3:96-cv-04558] (tn) [Entry date 07/28/98] 7/28/98 -- Docket fee notification form and case information sheet to USCA [90-1] [3:96-cv-04558] (tn) [Entry date 07/28/98] 7/28/98 -- Copy of notice of appeal and docket sheet to all counsel [3:96-cv-04558] (tn) [Entry date 07/28/98] 8/3/98 -- NOTIFICATION by Circuit Court of Appellate Docket Number 98-16394 [3:96-cv-04558] (tn) [Entry date 08/03/98] 8/21/98 91 TRANSCRIPT DESIGNATION and Ordering Form filed by Plaintiff for dates 7/18/97 - C/R: Roberta Rogers; 12/5/97 - C/R: Leo T. Mankiewicz; 2/20/98 - C/R: Rosita Flores; 4/24/98 - C/R: Judith N. Thomsen re appeal [90-1] [3:96-cv-04558] (tn) [Entry date 08/24/98] 9/4/98 -- RECEIVED Stipulation and [Proposed] Order continuing the status conference [3:96-cv-04558] (scu) [Entry date 09/04/98] 9/4/98 92 STIPULATION and ORDER by Judge Charles A. Legge: Status conference set for 11:00 a.m. on 10/2/98 (cc: all counsel) [3:96-cv-04558] (tn) [Entry date 09/09/98] 9/22/98 93 JOINT CASE MANAGEMENT STATEMENT and PROPOSED ORDER filed [3:96-cv-04558] (tn) [Entry date 09/22/98] 9/28/98 94 MEMORANDUM by defendants in opposition to plaintiffs' motion for class certification [83-1] [3:96-cv-04558] (tn) [Entry date 09/29/98] 10/2/98 95 MINUTES: (C/R Not Reported) (Hearing Date: 10/2/98) Status conference -- held; matter continued for plaintiffs' motion motion for class certification [83-1] at 9:30 a.m. on 11/6/98; expert designations due 3/31/99; discovery cutoff set for 5/28/99; Dispositive motions will be heard on 9/2/99; Pretrial conference set for 3:00 p.m. on 9/16/99, and a jury trial will be held at 8:00 a.m. on 10/18/99 [3:96-cv-04558] (tn) [Entry date 10/07/98] 10/22/98 -- RECEIVED Stipulation and [Proposed] Order regarding confidentiality of documents [3:96-cv-04558] (tn) [Entry date 10/23/98]

10/23/98 96 STIPULATION and ORDER by Judge Charles A. Legge for protective order [see document for additional] (cc: all counsel) [3:96-cv-04558] (tn) [Entry date 10/26/98] 11/6/98 97 MINUTES: (C/R Leo Mankiewicz) (Hearing Date: 11/6/98) that the plaintiffs' motion for class certification [83-1] is submitted; the court to issue order [3:96-cv-04558] (tn) [Entry date 11/09/98] 11/13/98 99 ORDER by Judge Charles A. Legge granting plaintiffs' motion for class certification [83-1] [see order for additional info.] (cc: all counsel) [3:96-cv-04558] (tn) [Entry date 11/18/98] 11/16/98 98 COPY of USCA Order: granting appellants' motion for an extension of time to file the opening brief; the opening brief is due 12/10/98; the answering brief is due 1/11/99, and the optional reply brief is due 14 days from service of the answering brief [3:96-cv-04558] (tn) [Entry date 11/16/98] 11/19/98 -- RECEIVED Corrected Stipulation and [Proposed] Order regarding confidentiality of documents (Plaintiff) [3:96-cv-04558] (tn) [Entry date 11/20/98] 11/20/98 100 NOTICE by Plaintiffs of entry of order certifying a plaintiff class [99-1] [3:96-cv-04558] (tn) [Entry date 11/20/98] 11/20/98 101 CORRECTED STIPULATION and ORDER by Judge Charles A. Legge regarding confidentiality of documents [see order for additional info.] (cc: all counsel) [3:96-cv-04558] (tn) [Entry date 11/23/98] 11/30/98 102 NOTICE by Plaintiffs of entry of order regarding confidentiality of documents [101-1] [3:96-cv-04558] (tn) [Entry date 12/01/98] 12/17/98 103 REPORTER'S TRANSCRIPT; Date of proceedings: 11/06/98 ( C/R: Leo T. Mankiewicz) [3:96-cv-04558] (rs) [Entry date 12/18/98] 1/7/99 -- CERTIFICATE of Record mailed to USCA, counsel notified. [3:96-cv-04558] (tn) [Entry date 01/08/99] [Edit date 01/08/99] 1/8/99 104 COPY of USCA Order: granting appelle's motion for an extension of time in which to file the answering brief; the answering brief is due 2/8/99, and the optional reply brief is due 14 days from service of the answering brief [3:96-cv-04558] (tn) [Entry date 01/08/99]

1/13/99 105 NOTICE OF MOTION AND MOTION WITH MEMORANDUM OF POINTS AND AUTHORITIES before Judge Charles A. Legge by Plaintiffs to quash subpoenas, and for protective order with Notice set for 9:30 a.m. on 2/19/99 [3:96-cv-04558] (tn) [Entry date 01/14/99] 1/13/99 106 DECLARATION of Alison M. Tattersall on behalf of Plaintiffs in support of their motion to quash subpoenas [105-1], and for protective order [105-2] [3:96-cv-04558] (tn) [Entry date 01/14/99] 1/13/99 -- RECEIVED [Proposed] Order (Plaintiffs) re: motion to quash subpoenas [105-1], and for protective order [105-2] [3:96-cv-04558] (tn) [Entry date 01/14/99] 1/21/99 107 MEMORANDUM of points and authorities by Plaintiffs in support of their expedited motion to compel production of documents by defendant Dignity Partners, Inc. pursuant to Local Rule 7-10 [3:96-cv-04558] (tn) [Entry date 01/26/99] 1/21/99 108 DECLARATION of Alison M. Tattersall on behalf of Plaintiffs in support of their expedited motion to compel production of documents by defendant Dignity Partners, Inc. pursuant to Local Rule 7-10 [3:96-cv-04558] (tn) [Entry date 01/26/99] 1/21/99 -- RECEIVED [Proposed] Order granting Plaintiffs' expedited motion to compel production of documents by defendant Dignity Partners, Inc. pursuant to Local Rule 7-10 [3:96-cv-04558] (tn) [Entry date 01/26/99] 1/21/99 -- RECEIVED Stipulation and [Proposed] Order re extending page limit pursuant to Local Rule 7-10 (Plaintiffs) [3:96-cv-04558] (tn) [Entry date 01/26/99] 1/27/99 109 RESPONSE by defendant Dignity Partners, Inc. to plaintiffs' expedited motion to compel production of documents [3:96-cv-04558] (tn) [Entry date 01/27/99] 1/27/99 110 DECLARATION of James L. Poth on behalf of defendant Dignity Partners, Inc. in support of its reply to plaintiffs' expedited motion to compel production of documents [3:96-cv-04558] (tn) [Entry date 01/27/99] 1/29/99 111 MEMORANDUM by defendants in opposition to plaintiffs' motion to quash subpoenas [105-1], and for protective order [105-2] [3:96-cv-04558] (tn) [Entry date 01/29/99] 1/29/99 112 ORDER by Judge Charles A. Legge; Plaintiffs are directed to

file a reply by 2/4/99. The reply should include a revised proposed form of order, if plaintiffs agree with some or all of the responses made by defendants. ( Date Entered: 2/2/99) (cc: all counsel) [3:96-cv-04558] (cs) [Entry date 02/02/99] 2/2/99 113 REPLY by Plaintiff in support of plaintiff's expedited motion to compel production of documents [3:96-cv-04558] (mmr) [Entry date 02/02/99] 2/5/99 114 REPLY MEMORANDUM of points and authorities by Plaintiffs to opposition and in support of their motion to quash subpoenas [105-1], and for protective order [105-2] [3:96-cv-04558] (tn) [Entry date 02/08/99] 2/5/99 115 REPLY DECLARATION of Alison M. Tattersall on behalf of Plaintiffs re motion reply [114-1] [3:96-cv-04558] (tn) [Entry date 02/08/99] 2/5/99 116 ORDER by Judge Charles A. Legge that plaintiffs' motion to compel production of documents by defendant Dignity Partners, Inc. pursuant to Local Rule 7-10 is GRANTED. The documents shall be produced and their confidentiality maintained pursuant to the stipulated protective order entered in this case. And defendants shall make the documents available to plaintiffs by 2/22/99 (cc: all counsel) [3:96-cv-04558] (tn) [Entry date 02/12/99] 2/18/99 117 NOTICE OF MOTION AND MOTION WITH MEMORANDUM OF POINTS AND AUTHORITIES before Judge Charles A. Legge by Plaintiffs to compel production of documents witheld under dignity partners, Inc.'s assertion of attorney-client privilege with Notice set for 9:30 a.m. on 4/2/99 [3:96-cv-04558] (tn) [Entry date 02/22/99] 2/18/99 118 DECLARATION of Alison M. Tattersall on behalf of Plaintiffs in support of their motion to compel production of documents witheld under dignity partners, Inc.'s assertion of attorney-client privilege [117-1] [3:96-cv-04558] (tn) [Entry date 02/22/99] 2/18/99 -- RECEIVED [Proposed] Order (Plaintiffs) re: motion to compel production of documents witheld under dignity partners, Inc.'s assertion of attorney-client privilege [117-1] [3:96-cv-04558] (tn) [Entry date 02/22/99] 2/19/99 119 MINUTES: (C/R Rhonda Aquilina) (Hearing Date: 2/19/99) Denying plaintiffs' motion to quash subpoenas [105-1], and for protective order [105-2] for the reasons stated on the record [3:96-cv-04558] (tn) [Entry date 02/22/99] 2/24/99 120 EXPEDITED MOTION WITH MEMORANDUM OF POINTS AND AUTHORITIES

before Judge Charles A. Legge by defendants to compel return of inadvertently produced privileged documents pursuant to Local Rule 7-10, with DECLARATION of Susan L. Winders [3:96-cv-04558] (tn) [Entry date 02/24/99] 2/24/99 121 EXHIBIT B OF WINDERS DECLARATION on behalf of defendant in support of its expedited motion to compel return of inadvertently produced privileged documents pursuant to Local Rule 7-10 [120-1] [FILED UNDER SEAL] [3:96-cv-04558] (tn) [Entry date 02/24/99] 3/1/99 122 OPPOSITION by Plaintiffs to defendants' motion to compel return of inadvertently produced privileged documents pursuant to Local Rule 7-10 [120-1] [3:96-cv-04558] (tn) [Entry date 03/02/99] 3/1/99 123 DECLARATION of Alison M. Tattersall on behalf of Plaintiffs in support of their opposition [122-1] [3:96-cv-04558] (tn) [Entry date 03/02/99] 3/3/99 124 ORDER by Judge Charles A. Legge granting defendadant's expedited motion to compel return of inadvertently produced privileged documents pursuant to Local Rule 7-10 [120-1]; plaintiffs shall return to defendant's counsel all copies of the documents Bates labeled J 04959-60, J 08130-38, J 08190-91 and J 08212-48 within 7 days of this order without further reviewing the documents, shall destroy all notes, computer files, and other work product reflecting the documents' contents, ans shall be precluded from using these documents for any purpose (cc: all counsel) [3:96-cv-04558] (tn) [Entry date 03/03/99] 3/10/99 125 NOTICE by defendants of motion to file brief in excess of twenty-five pages [3:96-cv-04558] (tn) [Entry date 03/10/99] 3/10/99 126 MOTION before Judge Charles A. Legge by defendants for leave to file memorandum of points and authorities in support of their motion for summary judgment in excess of twenty-five pages [3:96-cv-04558] (tn) [Entry date 03/10/99] 3/10/99 -- RECEIVED Stipulation and [Proposed] Order continuing date for designation of experts and exchange of expert reports [3:96-cv-04558] (tn) [Entry date 03/10/99] 3/11/99 127 ORDER by Judge Charles A. Legge GRANTING defendants' motion for leave to file memorandum of points and authorities in support of their motion for summary judgment in excess of twenty-five pages [126-1], it is therefore ordered that defendants may file a brief not to exceed fourty-five pages (cc: all counsel) [3:96-cv-04558] (tn) [Entry date 03/12/99]

3/11/99 128 STIPULATION and ORDER by Judge Charles A. Legge continuing date for designation of experts and exchange of experts reports to 4/30/99 without prejudice to any party's ability to seek additional time from the court if necessary (cc: all counsel) [3:96-cv-04558] (tn) [Entry date 03/12/99] 3/15/99 129 NOTICE OF MOTION AND MOTION before Judge Charles A. Legge by defendants for summary judgment with Notice set for 9:30 a.m. on 4/16/99 [3:96-cv-04558] (tn) [Entry date 03/16/99] 3/15/99 130 MEMORANDUM of points and authorities by defendants in support of their motion for summary judgment [129-1] [3:96-cv-04558] (tn) [Entry date 03/16/99] 3/15/99 131 DECLARATION (Volume I, Exhibits A-L) of Gerald W. Palmer on behalf of defendants in support of their motion for summary judgment [129-1] [3:96-cv-04558] (tn) [Entry date 03/16/99] [Edit date 03/16/99] 3/15/99 132 DECLARATION (Volume II, Exhibits M, Tabs 1-100) of Gerald W. Palmer on behalf of defendants in support of their motion for summary judgment [129-1] [3:96-cv-04558] (tn) [Entry date 03/16/99] 3/15/99 133 DECLARATION (Volume 111, Exhibit M, Tabs 101-180) of Gerald W. Palmer on behalf of defendants in support of their motion for summary judgment [129-1] [3:96-cv-04558] (tn) [Entry date 03/16/99] 3/15/99 134 DECLARATION (Volume IV, Exhibits N-O) of Gerald W. Palmer on behalf of defendants in support of their motion for summary judgment [129-1] [3:96-cv-04558] (tn) [Entry date 03/16/99] 3/15/99 135 OPPOSITION by defendants to plaintiffs' motion to compel return of inadvertently produced privileged documents pursuant to Local Rule 7-10 [120-1] [3:96-cv-04558] (tn) [Entry date 03/16/99] 3/17/99 136 NOTICE by defendants of ruling [127-1] [3:96-cv-04558] (tn) [Entry date 03/19/99] 3/19/99 137 REPLY by Plaintiffs to opposition and in support of their motion to compel production of documents witheld under dignity partners, Inc.'s assertion of attorney-client privilege [117-1] [3:96-cv-04558] (tn) [Entry date 03/19/99] 3/19/99 138 PROOF OF SERVICE by Plaintiffs of stipulation and order

[128-1] [3:96-cv-04558] (tn) [Entry date 03/24/99] 3/22/99 -- RECEIVED Stipulation and [Proposed] Order setting briefing schedule on defendants' motion for summary judgment and continuing the discovery cut-off date [3:96-cv-04558] (tn) [Entry date 03/23/99] 3/22/99 -- RECEIVED Stipulation and [Proposed] Order re production of third party documents by Transamerica Lender Finance and Tranamerica Business Credit Corp. [3:96-cv-04558] (tn) [Entry date 03/23/99] 3/22/99 139 STIPULATION and ORDER by Judge Charles A. Legge that the schedule for defendant's motion for summary judgment [129-1] shall be as follows: plaintiffs' response (up to 45 pages) is due 4/16/99; defendants' reply (up to 25 pages) is due 4/30/99; the hearing shall be continued to 5/14/99 at 9:30 a.m.; the date for the parties to designate experts and exchange reports shall be continued to 6/10/99, and the discovery cut-off shall be extended to 6/30/99 (cc: all counsel) [3:96-cv-04558] (tn) [Entry date 03/24/99] 3/23/99 140 STIPULATION and ORDER by Judge Charles A. Legge regarding production of third-party documents by Transamerica Lender Finance and Transamerica Business Credit Corp. [see order for additional info.] (cc: all counsel) [3:96-cv-04558] (tn) [Entry date 03/24/99] 3/26/99 141 NOTICE by Plaintiffs of stipulation and order [140-1] [3:96-cv-04558] (tn) [Entry date 03/29/99] 3/26/99 142 NOTICE by Plaintiffs of stipulation and order [139-1] [3:96-cv-04558] (tn) [Entry date 03/29/99] 3/31/99 -- RECORD on Appeal to USCA, cnsl notified. re appeal [90-1] [3:96-cv-04558] (tn) [Entry date 04/01/99] 4/2/99 143 MINUTES: (C/R Kathy Wyatt) (Hearing Date: 4/2/99) that the plaintiff's motion to compel production of documents witheld under dignity partners, Inc.'s assertion of attorney-client privilege [117-1] is submitted; the court inquired into which log should be reviewing-- counsel responded the revised log should be used; production of documents to the court by 4/9/99; the court will be issuing an order [3:96-cv-04558] (tn) [Entry date 04/06/99] 4/16/99 144 NOTICE OF APPLICATION AND APPLICATION before Judge Charles A. Legge by Plaintiffs for continuance of Dignity's summary judgment motion pursuant to Rule 56(f) [3:96-cv-04558] (tn) [Entry date 04/23/99]

4/16/99 145 DECLARATION of Amber L. Eck on behalf of Plaintiffs in support of their application for continuance of Dignity's summary judgment motion pursuant to Rule 56(f) [144-1] [3:96-cv-04558] (tn) [Entry date 04/23/99] 4/16/99 146 OPPOSITION by Plaintiffs to defendants' motion for summary judgment [129-1] [3:96-cv-04558] (tn) [Entry date 04/23/99] 4/16/99 147 DECLARATION of Alison M. Tattersall on behalf of Plaintiffs in support of their opposition [146-1] [3:96-cv-04558] (tn) [Entry date 04/23/99] 4/16/99 148 DECLARATION of Amber L. Eck on behalf of Plaintiffs in support of their opposition [146-1] [3:96-cv-04558] (tn) [Entry date 04/23/99] 4/16/99 149 DECLARATION of Amber L. Eck on behalf of Plaintiffs in support of their opposition [146-1] [Volume 2 of 2] [FILED UNDER SEAL] [3:96-cv-04558] (tn) [Entry date 04/23/99] 4/16/99 150 DECLARATION of Blaine F. Nye, Ph.D. [3:96-cv-04558] (tn) [Entry date 04/23/99] 4/26/99 151 RECEIPT from USCA of clerk's record on appeal [3:96-cv-04558] (tn) [Entry date 04/26/99] 4/26/99 152 MEMORANDUM of points and authorities by defendants in opposition to plaintiffs' application for continuance of Dignity's summary judgment motion pursuant Rule 56(f) [144-1] [3:96-cv-04558] (tn) [Entry date 04/26/99] 4/28/99 153 ORDER by Judge Charles A. Legge that the court has done an in-camera review of the submitted documents; the court has either sustained or overruled the assertion of the attorney-client privilege, by so marking on the attached list; as also noted on the list, three sets of documents were not submitted to the court for its review, therefore, defendant is directed to forward to plaintiffs those documents as to which the assertion of the attorney-client privilege was overruled (cc: all counsel) [3:96-cv-04558] (tn) [Entry date 05/03/99] 4/29/99 154 ORDER by Judge Charles A. Legge denying plaintiff's motion for continuance of Dignity's summary judgment motion pursuant Rule 56(f) [144-1]; the hearing on the motion for summary judgment [129-1] is postponed to 6/4/99 at 9:30 a.m.; defendants may file a reply brief in support of the motion by 5/7/99 (cc: all counsel) [3:96-cv-04558] (tn) [Entry date 05/03/99] 5/7/99 155 MEMORANDUM of law by Plaintiff in support of their motion

to compel production of computerized data [3:96-cv-04558] (tn) [Entry date 05/11/99] 5/7/99 156 DECLARATION of Amber L. Eck on behalf of Plaintiffs in support of their motion to compel production of computerized data [3:96-cv-04558] (tn) [Entry date 05/11/99] 5/10/99 161 REPLY MEMORANDUM of points and authorities by defendants to opposition and in support of their motion for summary judgment [129-1] [3:96-cv-04558] (tn) [Entry date 05/19/99] 5/12/99 157 STIPULATION and ORDER by Judge Charles A. Legge: that the date for the parties to designate experts and exchange reports shall be continued to 7/8/99, and the discovery cutoff shall be extended to 8/4/99 (cc: all counsel) [3:96-cv-04558] (tn) [Entry date 05/12/99] 5/14/99 158 NOTICE by Plaintiff of entry of stipulation and order [157-2] [3:96-cv-04558] (tn) [Entry date 05/17/99] 5/14/99 159 EXPEDITED NOTICE OF MOTION before Judge Charles A. Legge by Plaintiffs for leave to file motion for reconsideration of order denying plaintiffs' 56((f) motion, with MEMORANDUM of points and authorities in support thereof [3:96-cv-04558] (tn) [Entry date 05/17/99] 5/14/99 160 DECLARATION of Alison M. Tattersall on behalf of Plaintiffs in support of their motion for leave to file motion for reconsideration of order denying plaintiffs' 56((f) motion [159-1] [3:96-cv-04558] (tn) [Entry date 05/17/99] 5/14/99 -- RECEIVED [Proposed] Order granting Plaintiffs' expedited motion for leave to file motion for reconsideration of order denying 56((f) motion [159-1] [3:96-cv-04558] (tn) [Entry date 05/17/99] 5/17/99 162 ORDER by Judge Charles A. Legge DENYING plaintiffs' expedited motion for leave to file motion for reconsideration of order denying plaintiffs' 56((f) motion [159-1]; whether there is a necessity for further postponement of defendants' motion will be considered at the 6/4/99 hearing (cc: all counsel) [3:96-cv-04558] (tn) [Entry date 05/19/99] 5/19/99 163 OPPOSITION by defendants to plaintiffs' expedited motion for leave to file motion for reconsideration of order denying plaintiffs' 56((f) motion [159-1] [3:96-cv-04558] (tn) [Entry date 05/19/99] 5/24/99 164 OPPOSITION by defendants to plaintiffs' motion to compel

production of computerized data [3:96-cv-04558] (tn) [Entry date 05/26/99] 5/28/99 165 REPLY MEMORANDUM OF LAW by Plaintiffs to opposition and in support of their motion to compel production of documents witheld under dignity partners, Inc.'s assertion of attorney-client privilege [117-1] [3:96-cv-04558] (tn) [Entry date 06/02/99] 6/9/99 166 LETTER from Robert C. Micheletto dated 6/3/99 to Alison M. Tattersall, Esq. regarding rescheduling of plaintiff's motion to compel to 7/2/99 at 9:30 a.m. [3:96-cv-04558] (tn) [Entry date 06/10/99] 6/9/99 -- Docket Modification (Administrative) re-setting hearing on motion to compel production of documents witheld under dignity partners, Inc.'s assertion of attorney-client privilege [117-1] on 7/2/99 at 9:30 a.m. [3:96-cv-04558] (tn) [Entry date 06/10/99] 6/15/99 -- RECEIVED Stipulation and [Proposed] Order further continuing the discovery cut-off date and trial (Plaintiffs) [3:96-cv-04558] (tn) [Entry date 06/16/99] 6/16/99 167 STIPULATION and ORDER by Judge Charles A. Legge further continuing the discovery cut-off date and trial: Expert designations due 8/5/99; Discovery cutoff set for 9/3/99 ; Pretrial meeting of counsel due 9/28/99; Filing of pretrial conference statement due 10/18/99; Pretrial conference re- set for 3:00 p.m. on 10/28/99, and a trial will be held on 11/29/00 at 11:00 a.m. (cc: all counsel) [3:96-cv-04558] (tn) [Entry date 06/18/99] 6/23/99 168 DECLARATION OF SERVICE by Plaintiff of stipulation and order [167-2] [3:96-cv-04558] (tn) [Entry date 06/23/99] 6/23/99 169 NOTICE OF EXPEDITED MOTION before Judge Charles A. Legge by Plaintiffs to file a surreply to defendants' motion for summary judgment, with memorandum in support thereof with Notice set for 9:30 a.m. on 7/2/99 [3:96-cv-04558] (tn) [Entry date 06/23/99] 6/23/99 170 DECLARATION of Amber L. Eck on behalf of Plaintiffs in support of expedited motion to file a surreply to defendants' motion for summary judgment [169-1] [3:96-cv-04558] (tn) [Entry date 06/23/99] 6/23/99 171 EXHIBIT A to Amber L. Eck's declaration [170-1] [FILED UNDER SEAL] [3:96-cv-04558] (tn) [Entry date 06/23/99] 6/23/99 172 EXHIBIT B to Amber L. Eck's declaration [170-1] [FILED

UNDER SEAL] [3:96-cv-04558] (tn) [Entry date 06/23/99] 6/23/99 173 EXHIBIT C to Amber L. Eck's declaration [170-1] [FILED UNDER SEAL] [3:96-cv-04558] (tn) [Entry date 06/23/99] 6/23/99 174 EXHIBIT D to Amber L. Eck's declaration [170-1] [FILED UNDER SEAL] [3:96-cv-04558] (tn) [Entry date 06/23/99] 6/23/99 -- RECEIVED [Proposed] Surreply to defendants' motion for summary judgment submitted by Plaintiffs [3:96-cv-04558] (tn) [Entry date 06/23/99] 6/25/99 175 OPPOSITION by defendants to plaintiffs' expedited motion to file a surreply to defendants' motion for summary judgment [169-1] [3:96-cv-04558] (tn) [Entry date 06/28/99] 6/25/99 -- RECEIVED [Proposed] Order denying plaintiffs' expedited motion to file a surreply to defendants' motion for summary judgment [169-1] (defendant) [3:96-cv-04558] (tn) [Entry date 06/28/99] 6/30/99 176 SUPPLEMENTAL SUBMISSION OF AUTHORITY by defendants pursuant to Local Rule 7-3(e) [3:96-cv-04558] (tn) [Entry date 07/01/99] 7/2/99 177 MINUTES: (C/R Lydia Radovich) (Hearing Date: 7/2/99) denying defendants' motion for summary judgment [129-1] for the reasons stated on the record; plaintiff's motion to compel production of computerized data -- continued; production of computerized data letters due 7/7/99 [3:96-cv-04558] (tn) [Entry date 07/06/99] 7/8/99 178 REPORTER'S TRANSCRIPT; Date of proceedings: 7/2/99 (C/R: Lydia R. Radovich) [3:96-cv-04558] (tn) [Entry date 07/14/99] 7/27/99 -- RECEIVED Notice of Withdrawal as Named Plaintiff and Class Representative submitted by Plaintiffs [3:96-cv-04558] (tn) [Entry date 07/27/99] 8/2/99 179 STIPULATION and ORDER by Judge Charles A. Legge further continuing the discovery cut-off date and trial: expert designations due 9/13/99; discovery cutoff set for 10/18/99; summary judgment motions due 10/1/99, opposition brief due 35 days thereafter, and reply brief due 14 days thereafter; last day for hearing on any motions for summary judgment will be on 12/3/99; pretrial meeting of counsel due 11/15/99; filing of pretrial conference statement due 12/10/99; pretrial conference set for 3:00 p.m. on 12/20/99, and a trial will be held on 1/25/00 at 8:00 a.m. (cc: all counsel) [3:96-cv-04558] (tn)

[Entry date 08/04/99] 8/2/99 180 NOTICE AND ORDER by Judge Charles A. Legge that plaintiff Howard Hertzberg withdraws as a named plaintiff and class representative in this action without prejudice to, and is not a waiver of, his rights as a member of the class (cc: all counsel) [3:96-cv-04558] (tn) [Entry date 08/19/99] 8/18/99 181 PROOF OF SERVICE by Plaintiff of stipulation and order [179-2] [3:96-cv-04558] (tn) [Entry date 08/19/99] 8/30/99 182 ORDER by Judge Charles A. Legger regarding tentative settlement (cc: all counsel) [3:96-cv-04558] (tn) [Entry date 09/07/99] 9/7/99 183 DECLARATION OF SERVICE by Plaintiff of order [182-1] [3:96-cv-04558] (tn) [Entry date 09/09/99] 10/12/99 184 NOTICE by Plaintiffs of change of address [3:96-cv-04558] (tn) [Entry date 10/14/99] 11/10/99 185 CERTIFIED COPY of USCA Order: reversing and remanding the Decision of the District Court [Appeal [90-1] [3:96-cv-04558] (tn) [Entry date 11/12/99] 11/12/99 186 CLERK's letter spreading the mandate to counsel. re appeal [90-1] [3:96-cv-04558] (tn) [Entry date 11/12/99] 12/13/99 187 LETTER from Keith F. Park, Esq., dated 12/10/99, to Court Clerk regarding settlement of the case and submission of proposed order preliminarily approving settlement and providing for notice to the class [3:96-cv-04558] (tn) [Entry date 12/15/99] 12/13/99 188 ORDER by Judge Charles A. Leggeo preliminarily approving settlement set forth therein, subject to further consideration at the settlement hearing set for 2/25/2000 at 9:30 a.m.; no later than 12/30/99 plaintiffs' settlement counsel shall cause a copy of the notice and the proof of claim substantially in the form annexed hereto as exhibits A-1 and A-2 to be mailed by first class mail to all class members; and no later than 1/6/2000 plaintiffs' settlement counsel shall cause the summary judgment notice to be published once in Investor's Business Daily (cc: all counsel) [3:96-cv-04558] (tn) [Entry date 12/15/99] 12/14/99 189 STIPULATION by parties re settlement [3:96-cv-04558] (tn) [Entry date 12/15/99] 2/22/00 190 NOTICE OF MOTION AND MOTION WITH MEMORANDUM OF POINTS AND

AUTHORITIES before Judge Charles A. Legge by Plaintiffs of motion for approval of plan of allocation with Notice set for 9:30 a.m. on 2/25/00 [3:96-cv-04558] (tn) [Entry date 02/24/00] 2/22/00 191 NOTICE OF MOTION AND MOTION WITH MEMORANDUM OF POINTS AND AUTHORITIES before Judge Charles A. Legge by Plaintiffs for final approval of settlement with Notice set for 9:30 a.m. on 2/25/00 [3:96-cv-04558] (tn) [Entry date 02/24/00] 2/22/00 192 NOTICE OF MOTION AND MOTION WITH MEMORANDUM OF POINTS AND AUTHORITIES before Judge Charles A. Legge by Plaintiffs for attorneys' fees and reimbursement of expenses with Notice set for 9:30 a.m. on 2/25/00 [3:96-cv-04558] (tn) [Entry date 02/24/00] 2/22/00 193 DECLARATION of Keith F. Park on behalf of Plaintiff in support of their motion for attorneys' fees and reimbursement of expenses [192-1], motion for final approval of settlement [191-1], and motion of motion for approval of plan of allocation [190-1] [3:96-cv-04558] (tn) [Entry date 02/24/00] 2/22/00 194 DECLARATION of Stephen T. Rodd on behalf of Plaintiffs in support of their motion for attorneys' fees and reimbursement of expenses [192-1], motion for final approval of settlement [191-1], and motion of motion for approval of plan of allocation [190-1] [3:96-cv-04558] (tn) [Entry date 02/24/00] 2/22/00 195 DECLARATION of Cheryl Washington on behalf of Plaintiff re: mailing of a) notice of pendency and proposed settlement of class action and proof of claim and release form, and b) publication of summary notice [3:96-cv-04558] (tn) [Entry date 02/24/00] 2/22/00 -- RECEIVED [Proposed] Order (Plaintiffs) re: motion for approval of plan of allocation [190-1] [3:96-cv-04558] (tn) [Entry date 02/24/00] 2/22/00 -- RECEIVED [Proposed] Order (Plaintiffs) re: motion for attorneys' fees and reimbursement of expenses [192-1] [3:96-cv-04558] (tn) [Entry date 02/24/00] 2/22/00 -- RECEIVED [Proposed] Final Judgment and Order of dismissal with prejudice (Plaintiffs) [3:96-cv-04558] (tn) [Entry date 02/24/00] 2/22/00 196 NOTICE by Plaintiffs' counsel of change of address [3:96-cv-04558] (tn) [Entry date 02/24/00]

2/25/00 197 ORDER by Judge Charles A. Legge granting motion for approval of plan of allocation [190-1] (cc: all counsel) [3:96-cv-04558] (tn) [Entry date 02/29/00] 2/25/00 198 ORDER by Judge Charles A. Legge granting motion for attorneys' fees and reimbursement of expenses [192-1] (cc: all counsel) [3:96-cv-04558] (tn) [Entry date 02/29/00] 2/25/00 199 FINAL JUDGMENT AND ORDER OF DISMISSAL WITH PREJUDIC by Judge Charles A. Legge dismissing case with prejudice; appeal filing ddl 3/30/00 (Date Entered: 2/29/00) (cc: all counsel) [3:96-cv-04558] (tn) [Entry date 02/29/00] 2/25/00 200 MINUTES: (C/R Jim Yeomans) (Hearing Date: 2/25/00) granting plaintiffs' motion for approval of plan of allocation for the reasons stated on the record; motion for final approval of settlement is granted for the reasons stated on the record; and motion for counsels' fees and expenses is granted for the reasons stated on the record; final judgment and dismissal order, order approving plan of allocation & order awarding fees & expenses was signed off by the court in open court [3:96-cv-04558] (tn) [Entry date 03/03/00] 3/7/00 201 NOTICE by Plaintiffs of entry of orders [197-1] [3:96-cv-04558] (tn) [Entry date 03/08/00] 5/9/00 202 RECORD ON APPEAL RETURNED FROM USCA [90-1] [received five main files and eight expandos] [3:96-cv-04558] (tn) [Entry date 05/12/00] 7/29/02 203 ORDER by Judge Susan Illston directing response: Class counsel Stephen T. Rodd and or Abbey Gardy, LLP(successor to Abbey, Gardy & Squiteri) are directed to file a written response, by 8/9/02, to the letter of 7/11/02 from Counsel for Melvin E. Gavron regarding payment of $139,679.87 in expert accounting fees etc. The chambers copy of this filing should be directed to Judge Illston's chambers ( Date Entered: 7/31/02) (cc: all counsel) [3:96-cv-04558] (db) [Entry date 07/31/02] [Edit date 07/31/02] 7/29/02 204 LETTER from Thomas McKenna dated 7/11/02 non-payment of expert/consultant fees [3:96-cv-04558] (rcs) [Entry date 08/12/02] 8/9/02 205 NOTICE of Filing pursuant to the Court's Order directing response dated 7/29/02, Abbey Gardy, LLP submits the attached Letter in Response to the July 11, 2002 letter to the Court from counsel for Melvin E. Gavron by Plaintiff [3:96-cv-04558] (db) [Entry date 08/14/02] 8/29/02 206 ORDER by Judge Susan Illston to produce documents by

9/12/02. The chambers copies of these documents should be directed to Judge Illston's chamber. ( Date Entered: 9/5/02) (cc: all counsel) [3:96-cv-04558] (db) [Entry date 09/05/02] 9/11/02 207 RESPONSE to order to produce documents by Plaintiff re order [206-1] [3:96-cv-04558] (db) [Entry date 09/12/02] 9/13/02 208 LETTER to the Court, dated 9/10/02 from Stephen T. Rodd regarding response to the order to produce documents. [3:96-cv-04558] (db) [Entry date 09/16/02] 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 http://pacer.psc.uscourts.gov/pacerdesc.html