U.S. District Court Southern District of New York (Foley...

US District Court Civil Docket as of August 28, 2017 Retrieved from the court on August 28, 2017

U.S. District Court Southern District of New York (Foley Square)

CIVIL DOCKET FOR CASE #: 1:10-cv-07497-VM-DCF

Dodona I, LLC v. Goldman, Sachs & Co. et al Assigned to: Judge Victor Marrero Referred to: Magistrate Judge Debra C. Freeman Cause: 15:78m(a) Securities Exchange Act

Date Filed: 09/30/2010 Date Terminated: 07/01/2016 Jury Demand: Plaintiff Nature of Suit: 850 Securities/Commodities Jurisdiction: Federal Question

Plaintiff Dodona I, LLC on Behalf of Itself and all Others Similarly Situated

represented by David Scott Frydman Frydman LLC 501 Fifth Avenue 15th Floor New York, NY 10017 212 355 9100 Fax: 212 355 8988 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED Arthur M Stock Berger & Montague, P.C. 1622 Locust Street Philadelphia, PA 19103 (215) 875-5704 Fax: (215) 875-4604 Email: [email protected] PRO HAC VICE ATTORNEY TO BE NOTICED Glen Bernard Lenihan Gusrae, Kaplan, Nusbaum, PLLC 120 Wall Street New York, NY 10005 (212)-269-1400 Fax: (212)-809-5449 Email: [email protected] ATTORNEY TO BE NOTICED Jon Jason Lambiras Berger & Montague, P.C. 1622 Locust Street

Philadelphia, PA 19103 (215)-875-3036 Fax: (215)-875-4604 Email: [email protected] PRO HAC VICE ATTORNEY TO BE NOTICED Josh Michael Rubens Berger & Montague, PC 1622 Locust Street Philadelphia, PA 19103 215-875-4638 Fax: 215-875-4604 Email: [email protected] ATTORNEY TO BE NOTICED Lane Lanier Vines Berger & Montague, P.C. 1622 Locust Street Philadelphia, PA 19103 (215)-875-4658 Fax: (215)-875-4604 Email: [email protected] PRO HAC VICE ATTORNEY TO BE NOTICED Lawrence Jay Lederer Berger & Montague, P.C. 1622 Locust Street Philadelphia, PA 19103 (215)-875-4625 Fax: (215)-875-4606 Email: [email protected] ATTORNEY TO BE NOTICED Merrill G Davidoff Berger & Montague, P.C 1622 Locust Street Philadelphia, PA 19103 (215)-875-3084 Fax: (215)-875-4671 Email: [email protected] ATTORNEY TO BE NOTICED Robin B. Switzenbaum Berger & Montague, P.C. 1622 Locust Street Philadelphia, PA 19103 (215)-875-4604 Fax: (215)-875-3000

Email: [email protected] ATTORNEY TO BE NOTICED Steven Lawrence Bloch Bailey & Glasser, LLP One Tower Bridge 100 Front Street, Suite 1235 West Conshohocken, PA 19428 (610)-834-7506 Fax: (610)-834-7509 Email: [email protected] ATTORNEY TO BE NOTICED

V.

Defendant Goldman, Sachs & Co. TERMINATED: 09/08/2015

represented by Richard Howard Klapper Sullivan and Cromwell, LLP(NYC) 125 Broad Street New York, NY 10004 212-558-3555 Fax: 212-558-3588 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED Andrew James DeFilippis United States Attorney's Office, SDNY One Saint Andrew's Plaza New York, NY 10007 (212) 637-2200 Fax: (212) 637-2527 Email: [email protected] ATTORNEY TO BE NOTICED Brett D. Jaffe Alston & Bird, LLP(NYC) 90 Park Avenue New York, NY 10016 212-210-9400 Fax: 212-210-9444 Email: [email protected] TERMINATED: 06/18/2014 Christopher James Dunne Sullivan & Cromwell, LLP(NYC) 125 Broad Street Suite 2516 New York, NY 10004 (212)-558-4115

Fax: (212)-558-3494 Email: [email protected] ATTORNEY TO BE NOTICED David Maxwell Rein Sullivan & Cromwell LLP 125 Broad St. New York, NY 10004 212-558-4629 Fax: (212)-558-3588 Email: [email protected] ATTORNEY TO BE NOTICED Harsh Nayan Trivedi Sullivan and Cromwell, LLP(NYC) 125 Broad Street New York, NY 10004 (212)-558-4000 Fax: (212)-558-3588 Email: [email protected] ATTORNEY TO BE NOTICED Jacob Eden Cohen Sullivan & Cromwell, LLP(NYC) 125 Broad Street New York, NY 10004 (212)-558-4000 Fax: (212)-291-9330 Email: [email protected] ATTORNEY TO BE NOTICED Jacob Michael Croke Sullivan & Cromwell, LLP(NYC) 125 Broad Street New York, NY 10004 (212)-558-4000 Fax: (212)-558-3588 Email: [email protected] ATTORNEY TO BE NOTICED Jessica Patricia Stokes Sullivan & Cromwell, LLP(NYC) 125 Broad Street Suite 2516 New York, NY 10004 (212)-558-4242 Fax: (212)-291-9503 Email: [email protected] ATTORNEY TO BE NOTICED

Joanna Ka Wai Chan Cohen & Gresser, LLP 800 Third Avenue 21st, Floor New York, NY 10022 (212) 707-7272 Fax: (212)-957-4514 Email: [email protected] ATTORNEY TO BE NOTICED Lawrence Thomas Gresser Cohen & Gresser, LLP 800 Third Avenue 21st, Floor New York, NY 10022 (212)-957-7602 Fax: (212)-957-4514 Email: [email protected] ATTORNEY TO BE NOTICED Maya Krugman Sullivan & Cromwell, LLP(NYC) 125 Broad Street Suite 2516 New York, NY 10004 (212)-558-4839 Fax: (212)-558-3588 Email: [email protected] ATTORNEY TO BE NOTICED Michael Thomas Tomaino , Jr Sullivan and Cromwell, LLP(NYC) 125 Broad Street New York, NY 10004 (212) 558-4715 Fax: (212) 558-3588 Email: [email protected] ATTORNEY TO BE NOTICED Nathaniel P. T. Read Cohen & Gresser, LLP 800 Third Avenue 21st, Floor New York, NY 10022 (212) 95707069 Fax: (212) 957-4514 Email: [email protected] ATTORNEY TO BE NOTICED Scott Douglas Thomson Cohen & Gresser, LLP 800 Third Avenue 21st, Floor New York, NY 10022

212 957 7600 Fax: 212 957 4514 Email: [email protected] ATTORNEY TO BE NOTICED Theodore Edelman Sullivan and Cromwell, LLP(NYC) 125 Broad Street New York, NY 10004 (212) 558-4000 Fax: (212) 558-3588 Email: [email protected] ATTORNEY TO BE NOTICED William Rudolph Arthur Kleysteuber , IV Sullivan & Cromwell, LLP(NYC) 125 Broad Street New York, NY 10004 (212) 558-4000 Fax: (212) 291-9261 Email: [email protected] ATTORNEY TO BE NOTICED

Defendant The Goldman Sachs Group, Inc. TERMINATED: 09/08/2015

represented by Richard Howard Klapper (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED Andrew James DeFilippis (See above for address) ATTORNEY TO BE NOTICED Brett D. Jaffe (See above for address) TERMINATED: 06/18/2014 Christopher James Dunne (See above for address) ATTORNEY TO BE NOTICED David Maxwell Rein (See above for address) ATTORNEY TO BE NOTICED Harsh Nayan Trivedi (See above for address) ATTORNEY TO BE NOTICED

Jacob Eden Cohen (See above for address) ATTORNEY TO BE NOTICED Jacob Michael Croke (See above for address) ATTORNEY TO BE NOTICED Jessica Patricia Stokes (See above for address) ATTORNEY TO BE NOTICED Joanna Ka Wai Chan (See above for address) ATTORNEY TO BE NOTICED Lawrence Thomas Gresser (See above for address) ATTORNEY TO BE NOTICED Maya Krugman (See above for address) ATTORNEY TO BE NOTICED Michael Thomas Tomaino , Jr (See above for address) ATTORNEY TO BE NOTICED Nathaniel P. T. Read (See above for address) ATTORNEY TO BE NOTICED Scott Douglas Thomson (See above for address) ATTORNEY TO BE NOTICED Theodore Edelman (See above for address) ATTORNEY TO BE NOTICED William Rudolph Arthur Kleysteuber , IV (See above for address) ATTORNEY TO BE NOTICED

Defendant Hudson Mezzanine Funding 2006-1, Ltd.

Defendant

Hudson Mezzanine Funding 2006-1, Corp. TERMINATED: 12/14/2012

represented by Christopher May Mason Nixon Peabody LLP (NYC) 437 Madison Avenue New York, NY 10022 212-940-3000 Fax: 866-947-2229 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED

Defendant Hudson Mezzanine Funding 2006-2, Ltd. TERMINATED: 12/14/2012

represented by Christopher May Mason (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED Danielle M. McLaughlin Nixon Peabody LLP (MA) 100 Summer Street Boston, MA 02110 PRO HAC VICE ATTORNEY TO BE NOTICED Ripley Hastings Nixon Peabody LLP (MA) 100 Summer Street Boston, MA 02110 PRO HAC VICE ATTORNEY TO BE NOTICED Timothy W. Mungovan Nixon Peabody LLP (MA) 100 Summer Street Boston, MA 02110 PRO HAC VICE ATTORNEY TO BE NOTICED

Defendant Hudson Mezzanine Funding 2006-2, Corp. TERMINATED: 12/14/2012

represented by Christopher May Mason (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED Danielle M. McLaughlin (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Ripley Hastings (See above for address)

PRO HAC VICE ATTORNEY TO BE NOTICED Timothy W. Mungovan (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED

Defendant Peter L. Ostrem TERMINATED: 09/08/2015

represented by Barry A. Bohrer Morvillo, Abramowitz, Grand, Iason, Anello & Bohrer, P.C 565 Fifth Avenue New York, NY 10017 (212) 880-9350 Fax: (212) 856-9494 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED Richard Howard Klapper (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED Stephen Michael Juris Morvillo, Abramowitz, Grand, Iason, & Anello P.C. 565 5th Avenue New York, NY 10017 212)-880-9475 Fax: 212)-856-9494 Email: [email protected] TERMINATED: 02/11/2015 LEAD ATTORNEY Andrew James DeFilippis (See above for address) ATTORNEY TO BE NOTICED Ariana Judith Torchin Morvillo, Abramowitz, Grand, Iason, Anello & Bohrer P.C. 565 Fifth Avenue New York, NY 10017 (212)-880-9527 Fax: (212)-856-9494 Email: [email protected] TERMINATED: 09/13/2013

Christopher James Dunne (See above for address) ATTORNEY TO BE NOTICED David Maxwell Rein (See above for address) ATTORNEY TO BE NOTICED Harsh Nayan Trivedi (See above for address) ATTORNEY TO BE NOTICED Jacob Eden Cohen (See above for address) ATTORNEY TO BE NOTICED Jacob Michael Croke (See above for address) ATTORNEY TO BE NOTICED Jessica Patricia Stokes (See above for address) ATTORNEY TO BE NOTICED Joanna Ka Wai Chan (See above for address) ATTORNEY TO BE NOTICED Lawrence Thomas Gresser (See above for address) ATTORNEY TO BE NOTICED Maya Krugman (See above for address) ATTORNEY TO BE NOTICED Michael Thomas Tomaino , Jr (See above for address) ATTORNEY TO BE NOTICED Nathaniel P. T. Read (See above for address) ATTORNEY TO BE NOTICED Scott Douglas Thomson (See above for address) ATTORNEY TO BE NOTICED Theodore Edelman (See above for address)

ATTORNEY TO BE NOTICED William Rudolph Arthur Kleysteuber , IV (See above for address) ATTORNEY TO BE NOTICED

Defendant Darryl K. Herrick TERMINATED: 09/08/2015

represented by Richard Howard Klapper (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED Andrew James DeFilippis (See above for address) ATTORNEY TO BE NOTICED Christopher James Dunne (See above for address) ATTORNEY TO BE NOTICED David Maxwell Rein (See above for address) ATTORNEY TO BE NOTICED Harsh Nayan Trivedi (See above for address) ATTORNEY TO BE NOTICED Jacob Eden Cohen (See above for address) ATTORNEY TO BE NOTICED Jacob Michael Croke (See above for address) ATTORNEY TO BE NOTICED Jessica Patricia Stokes (See above for address) ATTORNEY TO BE NOTICED Joanna Ka Wai Chan (See above for address) ATTORNEY TO BE NOTICED Lawrence Thomas Gresser (See above for address) ATTORNEY TO BE NOTICED Maya Krugman

(See above for address) ATTORNEY TO BE NOTICED Michael Thomas Tomaino , Jr (See above for address) ATTORNEY TO BE NOTICED Nathaniel P. T. Read (See above for address) ATTORNEY TO BE NOTICED Paul Terry Weinstein Emmet, Marvin & Martin, LLP 120 Broadway - 32nd Floor New York, NY 10271 (212)-238-3090 Fax: (212)-238-1730 Email: [email protected] ATTORNEY TO BE NOTICED Scott Douglas Thomson (See above for address) ATTORNEY TO BE NOTICED Theodore Edelman (See above for address) ATTORNEY TO BE NOTICED William Rudolph Arthur Kleysteuber , IV (See above for address) ATTORNEY TO BE NOTICED

Counter Claimant Goldman, Sachs & Co. represented by Richard Howard Klapper

(See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED Andrew James DeFilippis (See above for address) ATTORNEY TO BE NOTICED Brett D. Jaffe (See above for address) TERMINATED: 06/18/2014 Christopher James Dunne (See above for address) ATTORNEY TO BE NOTICED

David Maxwell Rein (See above for address) ATTORNEY TO BE NOTICED Harsh Nayan Trivedi (See above for address) ATTORNEY TO BE NOTICED Jacob Eden Cohen (See above for address) ATTORNEY TO BE NOTICED Jacob Michael Croke (See above for address) ATTORNEY TO BE NOTICED Jessica Patricia Stokes (See above for address) ATTORNEY TO BE NOTICED Lawrence Thomas Gresser (See above for address) ATTORNEY TO BE NOTICED Maya Krugman (See above for address) ATTORNEY TO BE NOTICED Michael Thomas Tomaino , Jr (See above for address) ATTORNEY TO BE NOTICED Nathaniel P. T. Read (See above for address) ATTORNEY TO BE NOTICED Theodore Edelman (See above for address) ATTORNEY TO BE NOTICED William Rudolph Arthur Kleysteuber , IV (See above for address) ATTORNEY TO BE NOTICED

Counter Claimant The Goldman Sachs Group, Inc. represented by Richard Howard Klapper

(See above for address) LEAD ATTORNEY

ATTORNEY TO BE NOTICED Andrew James DeFilippis (See above for address) ATTORNEY TO BE NOTICED Brett D. Jaffe (See above for address) TERMINATED: 06/18/2014 Christopher James Dunne (See above for address) ATTORNEY TO BE NOTICED David Maxwell Rein (See above for address) ATTORNEY TO BE NOTICED Harsh Nayan Trivedi (See above for address) ATTORNEY TO BE NOTICED Jacob Eden Cohen (See above for address) ATTORNEY TO BE NOTICED Jacob Michael Croke (See above for address) ATTORNEY TO BE NOTICED Jessica Patricia Stokes (See above for address) ATTORNEY TO BE NOTICED Lawrence Thomas Gresser (See above for address) ATTORNEY TO BE NOTICED Maya Krugman (See above for address) ATTORNEY TO BE NOTICED Michael Thomas Tomaino , Jr (See above for address) ATTORNEY TO BE NOTICED Nathaniel P. T. Read (See above for address) ATTORNEY TO BE NOTICED

Theodore Edelman (See above for address) ATTORNEY TO BE NOTICED William Rudolph Arthur Kleysteuber , IV (See above for address) ATTORNEY TO BE NOTICED

V.

Counter Defendant Dodona I, LLC on Behalf of Itself and all Others Similarly Situated

represented by David Scott Frydman (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED Arthur M Stock (See above for address) ATTORNEY TO BE NOTICED Josh Michael Rubens (See above for address) ATTORNEY TO BE NOTICED Lawrence Jay Lederer (See above for address) ATTORNEY TO BE NOTICED Robin B. Switzenbaum (See above for address) ATTORNEY TO BE NOTICED Steven Lawrence Bloch (See above for address) ATTORNEY TO BE NOTICED

Date Filed # Docket Text

09/30/2010 1 COMPLAINT against Goldman, Sachs & Co., Darryl K. Herrick, Hudson Mezzanine Funding 2006-1, Corp., Hudson Mezzanine Funding 2006-1, Ltd., Hudson Mezzanine Funding 2006-2, Corp., Hudson Mezzanine Funding 2006-2, Ltd., Peter L. Ostrem, The Goldman Sachs Group, Inc. (Filing Fee $ 350.00, Receipt Number 916484)Document filed by Dodona I, LLC.(ama) (rdz). (Entered: 10/01/2010)

09/30/2010 SUMMONS ISSUED as to Goldman, Sachs & Co., Darryl K. Herrick, Hudson Mezzanine Funding 2006-1, Corp., Hudson Mezzanine Funding 2006-1, Ltd.,

Hudson Mezzanine Funding 2006-2, Corp., Hudson Mezzanine Funding 2006-2, Ltd., Peter L. Ostrem, The Goldman Sachs Group, Inc. (ama) (Entered: 10/01/2010)

09/30/2010 CASE REFERRED TO Judge Barbara S. Jones as possibly related to 1:10-cv-3229. (ama) (Entered: 10/01/2010)

09/30/2010 Case Designated ECF. (ama) (Entered: 10/01/2010)

09/30/2010 2 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. No Corporate Parent. Document filed by Dodona I, LLC.(ama) (Entered: 10/01/2010)

10/01/2010 ***NOTE TO ATTORNEY TO RE-FILE DOCUMENT - PDF ERROR. Note to Attorney David Scott Frydman to RE-FILE Document 1 Complaint,. (Re-File Complaint exceeds limit over 2.6MG) (ama) (Entered: 10/01/2010)

10/08/2010 CASE DECLINED AS NOT RELATED. Case referred as related to 1:10-cv-3229 and declined by Judge Barbara S. Jones and returned to wheel for assignment. (ldi) (Entered: 10/08/2010)

10/08/2010 3 NOTICE OF CASE ASSIGNMENT to Judge Victor Marrero. Judge Unassigned is no longer assigned to the case. (ldi) (Entered: 10/08/2010)

10/08/2010 Magistrate Judge Debra C. Freeman is so designated. (ldi) (Entered: 10/08/2010)

10/20/2010 4 NOTICE OF APPEARANCE by Richard Howard Klapper on behalf of Goldman, Sachs & Co., Darryl K. Herrick, Peter L. Ostrem, The Goldman Sachs Group, Inc. (Klapper, Richard) (Entered: 10/20/2010)

10/20/2010 5 NOTICE OF APPEARANCE by Theodore Edelman on behalf of Goldman, Sachs & Co., Darryl K. Herrick, Peter L. Ostrem, The Goldman Sachs Group, Inc. (Edelman, Theodore) (Entered: 10/20/2010)

10/20/2010 6 NOTICE OF APPEARANCE by Harsh Nayan Trivedi on behalf of Goldman, Sachs & Co., Darryl K. Herrick, Peter L. Ostrem, The Goldman Sachs Group, Inc. (Trivedi, Harsh) (Entered: 10/20/2010)

10/20/2010 7 NOTICE OF APPEARANCE by Christopher James Dunne on behalf of Goldman, Sachs & Co., Darryl K. Herrick, Peter L. Ostrem, The Goldman Sachs Group, Inc. (Dunne, Christopher) (Entered: 10/20/2010)

10/20/2010 8 NOTICE OF APPEARANCE by Jessica Patricia Stokes on behalf of Goldman, Sachs & Co., Darryl K. Herrick, Peter L. Ostrem, The Goldman Sachs Group, Inc. (Stokes, Jessica) (Entered: 10/20/2010)

10/20/2010 9 NOTICE OF APPEARANCE by Maya Krugman on behalf of Goldman, Sachs & Co., Darryl K. Herrick, Peter L. Ostrem, The Goldman Sachs Group, Inc. (Krugman, Maya) (Entered: 10/20/2010)

10/20/2010 10 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying GS Group as Corporate Parent. Document filed by Goldman, Sachs & Co., The Goldman Sachs Group, Inc..(Edelman, Theodore) (Entered: 10/20/2010)

10/21/2010 11 STIPULATION AND ORDER: It is hereby stipulated and agreed by and between the parties that the time for any properly served defendant to answer, move against or otherwise respond to the complaint is extended until sixty (60) days following

either notice from the duly appointed lead plaintiff that it stands on the current complaint or service of an amended complaint in the action or any action into which the action is consolidated. (Signed by Judge Victor Marrero on 10/20/2010) (jpo) (Entered: 10/21/2010)

10/21/2010 12 NOTICE OF APPEARANCE by Richard Howard Klapper on behalf of Darryl K. Herrick, Peter L. Ostrem (Klapper, Richard) (Entered: 10/21/2010)

10/21/2010 13 NOTICE OF APPEARANCE by Theodore Edelman on behalf of Darryl K. Herrick, Peter L. Ostrem (Edelman, Theodore) (Entered: 10/21/2010)

10/21/2010 14 NOTICE OF APPEARANCE by Harsh Nayan Trivedi on behalf of Darryl K. Herrick, Peter L. Ostrem (Trivedi, Harsh) (Entered: 10/21/2010)

10/21/2010 15 NOTICE OF APPEARANCE by Christopher James Dunne on behalf of Darryl K. Herrick, Peter L. Ostrem (Dunne, Christopher) (Entered: 10/21/2010)

10/21/2010 16 NOTICE OF APPEARANCE by Jessica Patricia Stokes on behalf of Darryl K. Herrick, Peter L. Ostrem (Stokes, Jessica) (Entered: 10/21/2010)

10/21/2010 17 NOTICE OF APPEARANCE by Maya Krugman on behalf of Darryl K. Herrick, Peter L. Ostrem (Krugman, Maya) (Entered: 10/21/2010)

10/26/2010 18 MOTION for Lawrence J. Lederer to Appear Pro Hac Vice. Document filed by Dodona I, LLC.(mbe) (Entered: 10/28/2010)

10/26/2010 19 MOTION for Robin Switzenbaum to Appear Pro Hac Vice. Document filed by Dodona I, LLC.(mbe) (Entered: 10/28/2010)

10/26/2010 20 MOTION for Arthur Stock to Appear Pro Hac Vice. Document filed by Dodona I, LLC.(mbe) (Entered: 10/28/2010)

10/29/2010 21 AFFIDAVIT OF SERVICE. Service was accepted by Donna Christie, Authorized Agent. Document filed by Dodona I, LLC. (Frydman, David) (Entered: 10/29/2010)

10/29/2010 22 AFFIDAVIT OF SERVICE. Service was accepted by Scott LaScala, Manager. Document filed by Dodona I, LLC. (Frydman, David) (Entered: 10/29/2010)

10/29/2010 23 AFFIDAVIT OF SERVICE. Service was accepted by Donald Puglisi. Document filed by Dodona I, LLC. (Frydman, David) (Entered: 10/29/2010)

10/29/2010 24 AFFIDAVIT OF SERVICE. Service was accepted by Gregg Lavelle. Document filed by Dodona I, LLC. (Frydman, David) (Entered: 10/29/2010)

10/29/2010 25 AFFIDAVIT OF SERVICE. Service was accepted by Peter L. Ostrem. Document filed by Dodona I, LLC. (Frydman, David) (Entered: 10/29/2010)

10/29/2010 26 AFFIDAVIT OF SERVICE. Service was accepted by Andy Santana, Doorman. Document filed by Dodona I, LLC. (Frydman, David) (Entered: 10/29/2010)

10/29/2010 27 ORDER FOR ADMISSION PRO HAC VICE ON WRITTEN MOTION, granting 19 Motion for Robin Switzenbaum to Appear Pro Hac Vice as counsel for Plaintiff. (Signed by Judge Victor Marrero on 10/29/2010) (lnl) (Entered: 10/29/2010)

10/29/2010 28 ORDER FOR ADMISSION PRO HAC VICE ON WRITTEN MOTION, granting 20 Motion for Arthur Stock to Appear Pro Hac Vice as counsel for Plaintiff. (Signed by Judge Victor Marrero on 10/29/2010) (lnl) (Entered: 10/29/2010)

10/29/2010 29 ORDER FOR ADMISSION PRO HAC VICE ON WRITTEN MOTION, granting 18 Motion for Lawrence J. Lederer to Appear Pro Hac Vice as counsel for Plaintiff. (Signed by Judge Victor Marrero on 10/29/2010) (lnl) (Entered: 10/29/2010)

11/01/2010 30 AFFIDAVIT OF SERVICE. Service was accepted by Jayne Baxter, Legal Secretary. Document filed by Dodona I, LLC. (Frydman, David) (Entered: 11/01/2010)

11/01/2010 31 AFFIDAVIT OF SERVICE. Service was accepted by Jayne Baxter, Legal Secretary. Document filed by Dodona I, LLC. (Frydman, David) (Entered: 11/01/2010)

11/05/2010 CASHIERS OFFICE REMARK on 19 Motion to Appear Pro Hac Vice, 20 Motion to Appear Pro Hac Vice, 18 Motion to Appear Pro Hac Vice in the amount of $75.00, paid on 10/26/2010, Receipt Number 918976. (jd) (Entered: 11/05/2010)

12/03/2010 32 FIRST MOTION to Appoint Dodona I, LLC to serve as lead plaintiff(s) , consolidate any other cases and approve lead counsel. Document filed by Dodona I, LLC.(Frydman, David) (Entered: 12/03/2010)

12/03/2010 33 FIRST MEMORANDUM OF LAW in Support re: 32 FIRST MOTION to Appoint Dodona I, LLC to serve as lead plaintiff(s) , consolidate any other cases and approve lead counsel.. Document filed by Dodona I, LLC. (Frydman, David) (Entered: 12/03/2010)

12/03/2010 34 AFFIDAVIT of Proposed Order in Support re: 32 FIRST MOTION to Appoint Dodona I, LLC to serve as lead plaintiff(s) , consolidate any other cases and approve lead counsel.. Document filed by Dodona I, LLC. (Frydman, David) (Entered: 12/03/2010)

12/03/2010 35 DECLARATION of Dodona I, LLC in Support re: 32 FIRST MOTION to Appoint Dodona I, LLC to serve as lead plaintiff(s) , consolidate any other cases and approve lead counsel.. Document filed by Dodona I, LLC. (Attachments: # 1 Exhibit Exhibit A to Decl., # 2 Exhibit Exhibit B to Decl., # 3 Exhibit Exhibit C to Decl.)(Frydman, David) (Entered: 12/03/2010)

12/07/2010 36 ORDER CONSOLIDATING ANY SUBSEQUENTLY FILED RELATED CASES, APPOINTING LEAD PLAINTIFF AND APPROVING LEAD PLAINTIFF'S CHOICE OF COUNSEL: If any such related cases are subsequently filed in or transferred to this Court, this Order shall apply to any and all such subsequently-filed cases which will be consolidated for all purposes into one action, pursuant to Rule 42(a) of the Federal Rules of Civil Procedure and 15 U.S.C. § 78u-4(a)(3){B){ii), and the consolidated actions shall then be referred to as the "Consolidated Actions." This Court requests the assistance of counsel in calling to the attention of the Clerk of this Court the filing or transfer of any case which might properly be consolidated as part of the Consolidated Actions. The Court hereby appoints Dodona to be the Lead Plaintiff and to represent the interests of the proposed classes in this action. ENDORSEMENT: So Ordered. The Clerk of Court is directed to terminate the motion (Docket No. 32) of plaintiffs herein. (Signed by Judge Victor Marrero on 12/7/2010) (jpo) Modified on 12/7/2010 (jpo). (Entered: 12/07/2010)

12/16/2010 37 MOTION for Josh M. Rubens to Appear Pro Hac Vice. Document filed by Dodona I, LLC.(mro) (Entered: 12/20/2010)

12/21/2010 38 ORDER FOR ADMISSION PRO HAC VICE ON WRITTEN MOTION. ORDER granting 37 Motion for Josh M. Rubens to Appear Pro Hac Vice for plaintiff. (Signed by Judge Victor Marrero on 12/21/10) (db) (Entered: 12/21/2010)

12/22/2010 39 ORDER FOR ADMISSION PRO HAC VICE ON WRITTEN MOTION. IT IS HEREBY ORDERED that Josh M. Rubens is admitted to practice pro hac vice as counsel for Plaintiff Dodona I, LLC in the above-captioned case in the United States District Court for the Southern District of New York. (Signed by Judge Victor Marrero on 12/22/10) (rjm) (Entered: 12/22/2010)

12/28/2010 CASHIERS OFFICE REMARK on 37 Motion to Appear Pro Hac Vice in the amount of $25.00, paid on 12/16/2010, Receipt Number 923698. (jd) (Entered: 12/28/2010)

02/04/2011 40 AMENDED COMPLAINT amending 1 Complaint, against Goldman, Sachs & Co., Darryl K. Herrick, Hudson Mezzanine Funding 2006-1, Corp., Hudson Mezzanine Funding 2006-1, Ltd., Hudson Mezzanine Funding 2006-2, Corp., Hudson Mezzanine Funding 2006-2, Ltd., Peter L. Ostrem, The Goldman Sachs Group, Inc. Document filed by Dodona I, LLC. Related document: 1 Complaint, filed by Dodona I, LLC. (Received in the night deposit box on 2/4/11 at 5:58pm)(mro) (ama). (Entered: 02/07/2011)

02/07/2011 ***NOTE TO ATTORNEY TO E-MAIL PDF. Note to Attorney Lawrence Jay Lederer for noncompliance with Section (14.3) of the S.D.N.Y. Electronic Case Filing Rules & Instructions. E-MAIL the PDF for Document 40 Amended Complaint, to: [email protected]. (mro) (Entered: 02/07/2011)

02/11/2011 41 NOTICE OF APPEARANCE by William Rudolph Arthur Kleysteuber, IV on behalf of Goldman, Sachs & Co., Darryl K. Herrick, Peter L. Ostrem, The Goldman Sachs Group, Inc. (Kleysteuber, William) (Entered: 02/11/2011)

02/11/2011 42 NOTICE OF APPEARANCE by Jacob Eden Cohen on behalf of Goldman, Sachs & Co., Darryl K. Herrick, Peter L. Ostrem, The Goldman Sachs Group, Inc. (Cohen, Jacob) (Entered: 02/11/2011)

02/25/2011 43 AFFIDAVIT OF SERVICE of Amended Complaint served on Hudon Mezz. Funding 2006-1 Corp. on 02/09/2011. Service was accepted by Donald Puglisi, Personal Service. Document filed by Dodona I, LLC. (Frydman, David) (Entered: 02/25/2011)

02/25/2011 44 AFFIDAVIT OF SERVICE of Amended Complaint served on Hudson Mezz. Funding 2006-2 Corp. on 02/09/2011. Service was accepted by Donald Puglise, Personal Service. Document filed by Dodona I, LLC. (Frydman, David) (Entered: 02/25/2011)

03/17/2011 45 NOTICE OF APPEARANCE by Christopher May Mason on behalf of Hudson Mezzanine Funding 2006-2, Corp., Hudson Mezzanine Funding 2006-2, Ltd. (Mason, Christopher) (Entered: 03/17/2011)

03/22/2011 46 ORDER. 1. The Goldman Sachs Defendants shall file a consolidated memorandumof law, which shall not exceed 30 pages, in support of their Dismissal

Motion. The Hudson 2 Defendants shall file a consolidated memorandum oflaw, which shall not exceed 10 pages, in support of their Dismissal Motion. The Hudson 2 Defendants' memorandum of law may incorporate by reference arguments asserted in the Goldman Sachs Defendants' memorandum of law. 2. Plaintiff shall file and serve its oppositions to the Dismissal Motions on or before June 6, 2011. Plaintiff's opposition to the Goldman Sachs Defendants' Dismiss Motion shall not exceed 30 pages. Plaintiff's opposition to the Hudson 2 Defendants' Dismissal Motion shall not exceed 10 pages. Plaintiff's memorandum of law inopposition to the Hudson 2 Defendants' Dismissal Motion may incorporate by reference arguments asserted in Plaintiff's opposition to the Goldman Sachs Defendants' Dismissal Motion. 3. Defendants shall serve and file their reply submissions in support of the Dismissal Motions on or before July 8, 201l. The Goldman Sachs Defendants' reply submissions may include a reply memorandum, which shall not exceed 15 pages. The Hudson 2 Defendants' reply submissions may include a reply memorandum, which shall not exceed 5 pages. (Responses due by 6/6/2011, Replies due by 7/8/2011.) (Signed by Judge Victor Marrero on 3/21/11) (djc) (Entered: 03/22/2011)

03/24/2011 47 NOTICE of Withdrawal of Maya Krugman and Harsh N. Trivedi as Counsel. Document filed by Goldman, Sachs & Co., Darryl K. Herrick, Peter L. Ostrem, The Goldman Sachs Group, Inc.. (Dunne, Christopher) (Entered: 03/24/2011)

04/05/2011 48 MOTION to Dismiss the Amended Complaint. Document filed by Goldman, Sachs & Co., Darryl K. Herrick, Peter L. Ostrem, The Goldman Sachs Group, Inc..(Klapper, Richard) (Entered: 04/05/2011)

04/05/2011 49 MEMORANDUM OF LAW in Support re: 48 MOTION to Dismiss the Amended Complaint.. Document filed by Goldman, Sachs & Co., Darryl K. Herrick, Peter L. Ostrem, The Goldman Sachs Group, Inc.. (Klapper, Richard) (Entered: 04/05/2011)

04/05/2011 50 DECLARATION of Christopher J. Dunne in Support re: 48 MOTION to Dismiss the Amended Complaint.. Document filed by Goldman, Sachs & Co., Darryl K. Herrick, Peter L. Ostrem, The Goldman Sachs Group, Inc.. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D, # 5 Exhibit E, # 6 Exhibit F, # 7 Exhibit G, # 8 Exhibit H, # 9 Exhibit I)(Klapper, Richard) (Entered: 04/05/2011)

04/05/2011 51 FILING ERROR - DEFICIENT DOCKET ENTRY (SEE DOCUMENT #53) - MOTION to Dismiss Plaintiff's Amended Class Action Complaint. Document filed by Hudson Mezzanine Funding 2006-2, Corp., Hudson Mezzanine Funding 2006-2, Ltd.(Mason, Christopher) Modified on 4/6/2011 (ldi). Modified on 4/6/2011 (ldi). (Entered: 04/05/2011)

04/05/2011 52 FILING ERROR - DEFICIENT DOCKET ENTRY (SEE DOCUMENT #54) - MEMORANDUM OF LAW in Support re: 51 MOTION to Dismiss Plaintiff's Amended Class Action Complaint. Document filed by Hudson Mezzanine Funding 2006-2, Corp., Hudson Mezzanine Funding 2006-2, Ltd. (Mason, Christopher) Modified on 4/6/2011 (ldi). Modified on 4/6/2011 (ldi). (Entered: 04/05/2011)

04/06/2011 53 MOTION to Dismiss Plaintiff's Amended Class Action Complaint. Document filed by Hudson Mezzanine Funding 2006-2, Corp., Hudson Mezzanine Funding 2006-2, Ltd..(Mason, Christopher) (Entered: 04/06/2011)

04/06/2011 54 MEMORANDUM OF LAW in Support re: 53 MOTION to Dismiss Plaintiff's Amended Class Action Complaint.. Document filed by Hudson Mezzanine Funding

2006-2, Corp., Hudson Mezzanine Funding 2006-2, Ltd.. (Mason, Christopher) (Entered: 04/06/2011)

05/19/2011 56 MOTION for Ripley Hastings to Appear Pro Hac Vice. Document filed by Hudson Mezzanine Funding 2006-2, Corp., Hudson Mezzanine Funding 2006-2, Ltd.(sjo) (Entered: 05/24/2011)

05/19/2011 57 MOTION for Danielle M. McLaughlin to Appear Pro Hac Vice. Document filed by Hudson Mezzanine Funding 2006-2, Corp., Hudson Mezzanine Funding 2006-2, Ltd.(sjo) (Entered: 05/24/2011)

05/19/2011 58 MOTION for Timothy W. Mungovan to Appear Pro Hac Vice. Document filed by Hudson Mezzanine Funding 2006-2, Corp., Hudson Mezzanine Funding 2006-2, Ltd.(sjo) (Entered: 05/24/2011)

05/23/2011 55 NOTICE of Notice of Withdrawal of Counsel. Document filed by Dodona I, LLC. (Lederer, Lawrence) (Entered: 05/23/2011)

05/24/2011 CASHIERS OFFICE REMARK on 57 Motion to Appear Pro Hac Vice, 56 Motion to Appear Pro Hac Vice, 58 Motion to Appear Pro Hac Vice in the amount of $75.00, paid on 05/19/2011, Receipt Number 7199. (jd) (Entered: 05/24/2011)

05/25/2011 59 ORDER FOR ADMISSION PRO HAC VICE: granting 56 Motion for Ripley Hastings to Appear Pro Hac Vice. (Signed by Judge Victor Marrero on 5/24/2011) (js) (Entered: 05/25/2011)

05/25/2011 60 ORDER FOR ADMISSION PRO HAC VICE: granting 58 Motion for Timothy W. Mungovan to Appear Pro Hac Vice. (Signed by Judge Victor Marrero on 5/24/2011) (js) (Entered: 05/25/2011)

05/25/2011 61 ORDER FOR ADMISSION PRO HAC VICE: granting 57 Motion for Danielle M. McLaughlin to Appear Pro Hac Vice. (Signed by Judge Victor Marrero on 5/25/2011) (js) (Entered: 05/25/2011)

06/06/2011 62 MEMORANDUM OF LAW in Opposition re: 48 MOTION to Dismiss the Amended Complaint.. Document filed by Dodona I, LLC. (Attachments: # 1 Exhibit)(Lederer, Lawrence) (Entered: 06/06/2011)

06/06/2011 63 MEMORANDUM OF LAW in Opposition re: 53 MOTION to Dismiss Plaintiff's Amended Class Action Complaint.. Document filed by Dodona I, LLC. (Lederer, Lawrence) (Entered: 06/06/2011)

06/30/2011 64 NOTICE OF APPEARANCE by Christopher May Mason on behalf of Hudson Mezzanine Funding 2006-1, Corp. (Mason, Christopher) (Entered: 06/30/2011)

07/07/2011 65 NOTICE OF APPEARANCE by David Maxwell Rein on behalf of Goldman, Sachs & Co., Darryl K. Herrick, Peter L. Ostrem, The Goldman Sachs Group, Inc. (Rein, David) (Entered: 07/07/2011)

07/07/2011 66 NOTICE OF APPEARANCE by Michael Thomas Tomaino, Jr on behalf of Goldman, Sachs & Co., Darryl K. Herrick, Peter L. Ostrem, The Goldman Sachs Group, Inc. (Tomaino, Michael) (Entered: 07/07/2011)

07/08/2011 67 REPLY MEMORANDUM OF LAW in Support re: 48 MOTION to Dismiss the Amended Complaint.. Document filed by Goldman, Sachs & Co., Darryl K. Herrick,

Peter L. Ostrem, The Goldman Sachs Group, Inc.. (Klapper, Richard) (Entered: 07/08/2011)

07/08/2011 68 DECLARATION of Jacob E. Cohen in Support re: 48 MOTION to Dismiss the Amended Complaint.. Document filed by Goldman, Sachs & Co., Darryl K. Herrick, Peter L. Ostrem, The Goldman Sachs Group, Inc.. (Attachments: # 1 Exhibit A)(Klapper, Richard) (Entered: 07/08/2011)

07/08/2011 69 REPLY MEMORANDUM OF LAW in Support re: 53 MOTION to Dismiss Plaintiff's Amended Class Action Complaint.. Document filed by Hudson Mezzanine Funding 2006-2, Corp., Hudson Mezzanine Funding 2006-2, Ltd.. (Mason, Christopher) (Entered: 07/08/2011)

07/29/2011 70 STIPULATION AND ORDER: Hudson 1 Corp. joins in and incorporates by reference the motions to dismiss and memoranda in support of the Goldman Sachs Defendants [DE Nos. 48 and 49] and the Hudson 2 Defendants [DE Nos. 53 and 54], and their respective reply memoranda [DE Nos. 67 and 69]. Plaintiff incorporates by reference Plaintiff's oppositions to the motions to dismiss of the Goldman Sachs Defendants [DE No. 62] and the Hudson 2 Defendants [DE No. 63] with respect to Hudson 1 Corp. This stipulation is not intended to, and shall not, change the import of Delaware law as to the existence or status of Hudson I Corp., which filed a Certificate of Dissolution on October 27, 2009. (Signed by Judge Victor Marrero on 7/28/2011) (ab) (Entered: 07/29/2011)

12/12/2011 71 ENDORSED LETTER addressed to Judge Victor Marrero from Lawrence J. Lederer dated 12/9/2011 re: On behalf of lead plaintiff Dodona I, LLC ("Plaintiff'), this responds to defendants Goldman, Sachs & Co., The Goldman Sachs Group, Inc. ("Goldman"), Darryl K. Herrick and Peter L. Ostrem's (collectively, the "Goldman Defendants") Dec. 8, 2011 letter to Your Honor. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by lead plaintiff. (Signed by Judge Victor Marrero on 12/12/2011) (djc) (Entered: 12/12/2011)

12/14/2011 72 ENDORSED LETTER addressed to Judge Victor Marrero from Theodore Edelman dated 12/13/2011 re: On behalf of defendants Goldman, Sachs & Co. ("Goldman Sachs"), The Goldman Sachs Group, Inc., Darryl K. Herrick and Peter L. Ostrem in the above referenced action (collectively, "the Goldman Sachs Defendants"), we reluctantly write in response to the December 9, 2011 letter submitted to the Court by counsel for plaintiff Dodona I, LLC ("Dodona"). In bringing to the Court's attention the Second Circuit's affirmance in Terra Securities ASA Konkursbo v. Citigroup, Inc., No. 10-4712-cv, 2011 WL 6067260 (2d Cir. Dec. 7, 2011), we attempted to avoid substantive debate by resisting the temptation to discuss the decision, which speaks for itself. Given Dodona' ssubstantive response, including its discussion of Judge Sand's distinguishable decision in Dandong v. Pinnacle Performance Ltd., No. 10-CV-8086(LBS), 2011 WL 5170293 (S.D.N.Y. Oct. 31, 2011 ), we respectfully offer this short response. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by the Goldman Sachs defendants. The Court deems the correspondence exchange so far in this issue as sufficient and will not consider any further submissions. (Signed by Judge Victor Marrero on 12/14/2011) (rdz) (Entered: 12/14/2011)

03/21/2012 73 DECISION AND ORDER granting in part and denying in part 48 Motion to Dismiss; granting in part and denying in part 53 Motion to Dismiss. Accordingly, for the reasons stated above, it is hereby ORDERED that the Motion (Docket No. 48) of defendants Goldman, Sachs & Co., The Goldman Sachs Group, Inc., Peter L. Ostrem, and Darryl K. Herrik to Dismiss the Amended Complaint is GRANTED in part and DENIED in part, in accordance with this Decision and Order; and it is further ORDERED that the Motion (Docket No. 53) of defendants Hudson Mezzanine Funding 2006-2, Corp. and Hudson Mezzanine Funding 2006-2, Ltd. to Dismiss the Amended Class Action Complaint is GRANTED in part and DENIED in part, in accordance with this Decision and Order. (Signed by Judge Victor Marrero on 3/21/2012) (mro) (Entered: 03/21/2012)

03/23/2012 74 NOTICE OF INITIAL CONFERENCE: Initial Case Management Conference set for 4/13/2012 at 10:15 AM in Courtroom 20B, 500 Pearl Street, New York, NY 10007 before Judge Victor Marrero. (Signed by Judge Victor Marrero on 3/23/2012) (djc) (Entered: 03/23/2012)

03/27/2012 75 NOTICE OF APPEARANCE by Andrew James DeFilippis on behalf of Goldman, Sachs & Co., Darryl K. Herrick, Peter L. Ostrem, The Goldman Sachs Group, Inc. (DeFilippis, Andrew) (Entered: 03/27/2012)

03/29/2012 76 NOTICE OF APPEARANCE by Jacob Michael Croke on behalf of Goldman, Sachs & Co., Darryl K. Herrick, Peter L. Ostrem, The Goldman Sachs Group, Inc. (Croke, Jacob) (Entered: 03/29/2012)

03/30/2012 77 RESPONSE re: 73 Order on Motion to Dismiss,,,,,,, of Dodona I, LLC to the Court's Directive in Footnote One of the Court's Decision and Order filed March 21, 2012. Document filed by Dodona I, LLC. (Lederer, Lawrence) (Entered: 03/30/2012)

03/30/2012 78 STIPULATION AND ORDER: Defendants shall file and serve their answers to the Amended Class Action Complaint, including any counterclaims, on or before May 21, 2012. Plaintiff may file a motion to strike concerning Defendants' answers at any time, and its responses to Defendants' counterclaims, if any, on or before July 23, 2012, to the extent that such counterclaims require a responsive pleading or other response. Neither Plaintiff nor Defendants waive their rights to seek from each other or the Court additional adjournments or extensions, and the entry into and submission of this Stipulation shall not waive, and the parties expressly preserve, all rights, claims and defenses. Nor do the Defendants waive their right to seek from the Court reconsideration or rehearing with respect to the Court's Decision and Order dated March 21, 2012. Goldman, Sachs & Co. answer due 5/21/2012; Darryl K. Herrick answer due 5/21/2012; Hudson Mezzanine Funding 2006-1, Corp. answer due 5/21/2012; Hudson Mezzanine Funding 2006-2, Corp. answer due 5/21/2012; Hudson Mezzanine Funding 2006-2, Ltd. answer due 5/21/2012; Peter L. Ostrem answer due 5/21/2012; The Goldman Sachs Group, Inc. answer due 5/21/2012.( Motions due by 7/23/2012.) (Signed by Judge Victor Marrero on 3/30/2012) (ft) (Entered: 03/30/2012)

04/13/2012 79 ORDER REFERRING CASE TO MAGISTRATE JUDGE. Order that case be referred to the Clerk of Court for assignment to a Magistrate Judge for General Pretrial (includes scheduling, discovery, non-dispositive pretrial motions, and settlement). Referred to Magistrate Judge Debra C. Freeman. (Signed by Judge Victor Marrero on 4/13/2012) (pl) (Entered: 04/13/2012)

04/13/2012 Minute Entry for proceedings held before Judge Victor Marrero: Status Conference held on 4/13/2012. Parties to confer and submit a revised case management plan. Next conference set for 3/15/2013 at 10:00 AM before Judge Victor Marrero. (rjm) (Entered: 04/30/2012)

05/21/2012 80 NOTICE OF APPEARANCE by Paul Terry Weinstein on behalf of Darryl K. Herrick (Weinstein, Paul) (Entered: 05/21/2012)

05/21/2012 81 ANSWER to 40 Amended Complaint,., COUNTERCLAIM against Dodona I, LLC. Document filed by Goldman, Sachs & Co., The Goldman Sachs Group, Inc..(Klapper, Richard) (Entered: 05/21/2012)

05/21/2012 82 NOTICE OF APPEARANCE by Barry A. Bohrer on behalf of Peter L. Ostrem (Bohrer, Barry) (Entered: 05/21/2012)

05/21/2012 83 NOTICE OF APPEARANCE by Stephen Michael Juris on behalf of Peter L. Ostrem (Juris, Stephen) (Entered: 05/21/2012)

05/21/2012 84 NOTICE OF APPEARANCE by Ariana Judith Torchin on behalf of Peter L. Ostrem (Torchin, Ariana) (Entered: 05/21/2012)

05/21/2012 85 ANSWER to 40 Amended Complaint, 1 Complaint,., ANSWER to 40 Amended Complaint, 1 Complaint,. Document filed by Peter L. Ostrem.(Bohrer, Barry) (Entered: 05/21/2012)

05/21/2012 86 ANSWER to 40 Amended Complaint,. Document filed by Darryl K. Herrick.(Weinstein, Paul) (Entered: 05/21/2012)

05/21/2012 87 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. No Corporate Parent. Document filed by Hudson Mezzanine Funding 2006-1, Corp., Hudson Mezzanine Funding 2006-2, Corp., Hudson Mezzanine Funding 2006-2, Ltd..(Mason, Christopher) (Entered: 05/21/2012)

05/21/2012 88 ANSWER to 40 Amended Complaint,. Document filed by Hudson Mezzanine Funding 2006-1, Corp., Hudson Mezzanine Funding 2006-2, Corp., Hudson Mezzanine Funding 2006-2, Ltd..(Mason, Christopher) (Entered: 05/21/2012)

06/04/2012 89 CASE MANAGEMENT PLAN: This Scheduling Order and Case Management Plan is adopted in accordance with Fed. R. Civ. P. 16-26(f). This case is to be tried to a jury. SO ORDERED. Motions for Class Certification due by 10/19/2012. Fact Discovery due by 3/14/2012. Case Management Conference set for 3/15/2013 at 10:00 AM before Judge Victor Marrero. (Signed by Magistrate Judge Debra C. Freeman on 6/04/2012) (ama) (Entered: 06/04/2012)

07/18/2012 90 STIPULATED PROTECTIVE ORDER...regarding procedures to be followed that shall govern the handling of confidential material... (Signed by Magistrate Judge Debra C. Freeman on 7/18/2012) (cd) (Entered: 07/18/2012)

07/23/2012 91 ANSWER to 81 Counterclaim. Document filed by Dodona I, LLC.(Lederer, Lawrence) (Entered: 07/23/2012)

09/28/2012 92 Letter addressed to Magistrate Judge Debra C. Freeman from Jonathan R. Goldblatt dated 9/25/2012 re: Counsel writes to request that the Court deny plaintiffs counsel's

requests unless and until it is clear that there is a real dispute about material relevant information. Document filed by Goldman, Sachs & Co.(ft) (Entered: 09/28/2012)

09/28/2012 93 Letter addressed to Magistrate Judge Debra C. Freeman from Richard H. Klapper dated 9/24/2012 re: Counsel for the defendant requests that Plaintiffs request for a 60-day extension of time to file its opening papers on its class certification motion be denied. Document filed by Goldman, Sachs & Co. (ft) (Entered: 09/28/2012)

09/28/2012 94 ENDORSED LETTER addressed to Magistrate Judge Debra C. Freeman from Lawrence J. Lederer dated 9/19/2012 re: We represent lead plaintiff Dodona I, LLC ("Plaintiff") in the above litigation. We write to respectfully request a 60 day extension for Plaintiff to move for class certification. ENDORSEMENT: The within request for an extension of the deadline for Plaintiff to move for class certification is granted. No further extensions. Parties to negotiate a briefing schedule. (Signed by Magistrate Judge Debra C. Freeman on 9/28/2012) (djc) (Entered: 10/01/2012)

09/28/2012 95 ENDORSED LETTER addressed to Magistrate Judge Debra C. Freeman from Lawrence J. Lederer dated 9/24/2012 re: We represent lead plaintiff Dodona I, LLC ("Plaintiff") in the above litigation. We write to request a conference with the Court to address Bank of New York Mellon's ("BONY") failure to comply with three subpoenas duces tecum. ENDORSEMENT: It appears, from the letter the Court has received from counsel for the Bank of New York Mellon, that no conference is necessary at this time. If, after further good faith conference between counsel, issues remain, counsel may call my Chambers and request a date for a telephone conference. (Signed by Magistrate Judge Debra C. Freeman on 9/28/2012) (djc) Modified on 10/1/2012 (djc). Modified on 10/2/2012 (djc). (Entered: 10/01/2012)

10/11/2012 96 MOTION for Lane L. Vines to Appear Pro Hac Vice. Filing fee $ 200.00, receipt number 0208-7894772. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Dodona I, LLC. (Attachments: # 1 Exhibit, # 2 Text of Proposed Order)(Vines, Lane) (Entered: 10/11/2012)

10/11/2012 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. 96 MOTION for Lane L. Vines to Appear Pro Hac Vice. Filing fee $ 200.00, receipt number 0208-7894772. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (pgu) (Entered: 10/11/2012)

10/12/2012 97 MOTION for Jon J. Lambiras to Appear Pro Hac Vice. Filing fee $ 200.00, receipt number 0208-7899464. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Dodona I, LLC. (Attachments: # 1 Exhibit, # 2 Text of Proposed Order)(Lambiras, Jon) (Entered: 10/12/2012)

10/12/2012 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. 97 MOTION for Jon J. Lambiras to Appear Pro Hac Vice. Filing fee $ 200.00, receipt number 0208-7899464. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (pgu) (Entered: 10/12/2012)

11/21/2012 98 NOTICE OF APPEARANCE by Lawrence Thomas Gresser on behalf of Goldman, Sachs & Co., The Goldman Sachs Group, Inc. (Gresser, Lawrence) (Entered: 11/21/2012)

11/21/2012 99 NOTICE OF APPEARANCE by Brett D. Jaffe on behalf of Goldman, Sachs & Co., The Goldman Sachs Group, Inc. (Jaffe, Brett) (Entered: 11/21/2012)

11/21/2012 100 NOTICE OF APPEARANCE by Nathaniel P. T. Read on behalf of Goldman, Sachs & Co., The Goldman Sachs Group, Inc. (Read, Nathaniel) (Entered: 11/21/2012)

11/30/2012 101 ORDER FOR ADMISSION PRO HAC VICE granting 96 Motion for Lane L. Vines to Appear Pro Hac Vice. (Signed by Magistrate Judge Debra C. Freeman on 11/30/2012) (rjm) (Entered: 12/03/2012)

11/30/2012 102 ORDER FOR ADMISSION PRO HAC VICE granting 97 Motion for Jon J. Lambiras to Appear Pro Hac Vice. (Signed by Magistrate Judge Debra C. Freeman on 11/30/2012) (rjm) (Entered: 12/03/2012)

12/13/2012 103 DOCUMENT REFERRED TO JUDGE FOR APPROVAL - NOTICE OF VOLUNTARY DISMISSAL Pursuant to Rule 41(a)(1)(A)(i) of the Federal Rules of Civil Procedure, the plaintiff(s) and or their counsel(s), hereby give notice that the above-captioned action is voluntarily dismissed, WITHOUT prejudice against the defendant(s) Hudson Mezzanine Funding 2006-1, Corp., Hudson Mezzanine Funding 2006-1, Ltd., Hudson Mezzanine Funding 2006-2, Corp., Hudson Mezzanine Funding 2006-2, Ltd.. Document filed by Dodona I, LLC. (Lambiras, Jon) Modified on 12/14/2012 (dt). (Entered: 12/13/2012)

12/14/2012 ***NOTE TO ATTORNEY - DOCUMENT REFERRED TO JUDGE FOR APPROVAL. Note to Attorney Jon Lambiras Document 103 Notice of Voluntary Dismissal, was referred to Judge Victor Marrero for approval. (dt) (Entered: 12/14/2012)

12/14/2012 ***DELETED DOCUMENT. Deleted document number 104 Notice of Voluntary Dismissal. The document was incorrectly filed in this case. (js) (Entered: 12/14/2012)

12/14/2012 104 NOTICE OF VOLUNTARY DISMISSAL WITHOUT PREJUDICE: Pursuant to Rule 41(a)(1)(A)(i) of the Federal Rules of Civil Procedure, the plaintiff(s) and or their counsel(s), hereby give notice that the above-captioned action is voluntarily dismissed without prejudice against the defendant(s) Hudson Mezzanine Funding 2006-1, Corp., Hudson Mezzanine Funding 2006-2, Corp., Hudson Mezzanine Funding 2006-2, Ltd. (Signed by Judge Victor Marrero on 12/14/2012) (js) (Entered: 12/14/2012)

12/17/2012 105 SEALED DOCUMENT placed in vault.(mps) (Entered: 12/17/2012)

12/17/2012 106 FILING ERROR - DEFICIENT DOCKET ENTRY (SEE DOCUMENT #107) - NOTICE of Notice of Motion for Class Certification and Appointment of Class Representative and Class Counsel. Document filed by Dodona I, LLC. (Lederer, Lawrence) Modified on 12/28/2012 (ldi). (Entered: 12/17/2012)

12/17/2012 107 MOTION to Certify Class and Appointment of Class Representative and Class Counsel. Document filed by Dodona I, LLC.(Lederer, Lawrence) (Entered: 12/17/2012)

12/17/2012 108 MEMORANDUM OF LAW in Support re: 107 MOTION to Certify Class and Appointment of Class Representative and Class Counsel.. Document filed by

Dodona I, LLC. (Attachments: # 1 Exhibit Certificate of Service)(Lederer, Lawrence) (Entered: 12/17/2012)

12/17/2012 109 DECLARATION of Lawrence J. Lederer in Support re: 107 MOTION to Certify Class and Appointment of Class Representative and Class Counsel.. Document filed by Dodona I, LLC. (Attachments: # 1 Exhibit Exhibit 1, # 2 Exhibit Exhibit 2, # 3 Exhibit Exhibit 3, # 4 Exhibit Exhibit 4, # 5 Exhibit Exhibit 5, # 6 Exhibit Exhibit 6, # 7 Exhibit Exhibit 7, # 8 Exhibit Exhibit 8, # 9 Exhibit Exhibit 9, # 10 Exhibit Exhibit 10, # 11 Exhibit Exhibit 11, # 12 Exhibit Exhibit 12, # 13 Exhibit Exhibit 13, # 14 Exhibit Exhibit 14, # 15 Exhibit Exhibit 15, # 16 Exhibit Exhibit 16, # 17 Exhibit Exhibit 17, # 18 Exhibit Exhibit 18, # 19 Exhibit Exhibit 19, # 20 Exhibit Exhibit 20, # 21 Exhibit Exhibit 21, # 22 Exhibit Exhibit 22, # 23 Exhibit Exhibit 23, # 24 Exhibit Exhibit 24, # 25 Exhibit Exhibit 25, # 26 Exhibit Exhibit 26, # 27 Exhibit Exhibit 27, # 28 Exhibit Exhibit 28, # 29 Exhibit Exhibit 29, # 30 Exhibit Exhibit 30, # 31 Exhibit Exhibit 31, # 32 Exhibit Exhibit 32, # 33 Exhibit Exhibit 33)(Lederer, Lawrence) (Entered: 12/17/2012)

03/14/2013 110 NOTICE OF CHANGE OF ADDRESS by David Scott Frydman on behalf of Dodona I, LLC. New Address: Frydman LLC, 501 Fifth Avenue, 15th Floor, New York, New York, USA 10017, 212-355-9100. (Frydman, David) (Entered: 03/14/2013)

03/14/2013 111 NOTICE OF APPEARANCE by Glen Bernard Lenihan on behalf of Dodona I, LLC (Lenihan, Glen) (Entered: 03/14/2013)

03/14/2013 112 ENDORSED LETTER addressed to Judge Victor Marrero from Lawrence J. Lederer dated 3/07/2013 re: We represent lead plaintiff Dodona I, LLC ("Plaintiff"). We write on behalf of Plaintiff and all defendants, including Goldman, Sachs & Co., The Goldman Sachs Group, Inc., Peter L. Ostrem, and Daryl K. Herrick (the "Goldman Sachs Defendants") (together, the "Parties"), to jointly request that the Court adjourn the Case Management Conference scheduled originally for March 15,2013. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by the parties. SO ORDERED. (Signed by Judge Victor Marrero on 3/14/2013) (ama) (Entered: 03/14/2013)

03/14/2013 Minute Entry for proceedings held before Judge Victor Marrero: Telephone Conference held with the parties on 3/14/2013. (mro) (Entered: 03/18/2013)

03/18/2013 113 STIPULATION AND ORDER: The Goldman Sachs Defendants shall have until May 15, 2013 to file their opposition or other response to Plaintiff's Motion for Class Certification. Plaintiff shall have until July 31, 2013 to file a reply in further support of its Motion for Class Certification. In connection with the Motion for Class Certification, Plaintiff shall produce for deposition any expert that it relies on prior to April 10, 2013, and the Goldman Sachs Defendants shall produce for deposition any expert that they rely on prior to June 25, 2013. The fact discovery deadline shall be extended to July 29, 2013. Additional relief as set forth in this Order. (Signed by Magistrate Judge Debra C. Freeman on 3/18/2013) (pl) (pl). (Entered: 03/19/2013)

03/18/2013 Set/Reset Deadlines: Deposition due by 6/25/2013. Fact Discovery due by 7/29/2013. Responses due by 5/15/2013 Replies due by 7/31/2013. (pl) (Entered: 03/19/2013)

03/18/2013 114 REVISED CIVIL CASE MANAGEMENT PLAN AND SCHEDULING ORDER: This case is to be tried to a jury. All fact discovery is to be completed by July 29, 2013. Fact depositions to be completed by July 29, 2013. Plaintiff's motion for class certification was filed on December 17, 2012 (Dkt. 107). Defendants shall have until May 15, 2013 to file their opposition or other response to Plaintiff's motion for class certification. Plaintiff shall have until July 31, 2013 to file a reply in further support of its motion for class certification. Do all parties consent to trial by a Magistrate Judge under 28 U.S.C. § 636(c)? (No). Additional relief as set forth in this Order. (Signed by Magistrate Judge Debra C. Freeman on 3/18/2013) (pl) (pl). (pl). Modified on 3/19/2013 (pl). (Entered: 03/19/2013)

03/18/2013 Set/Reset Deadlines: Request for Production of Documents due by 6/15/2013. (pl) (Entered: 03/19/2013)

04/18/2013 Minute Entry for proceedings held before Magistrate Judge Debra C. Freeman: Case Management Conference held on 4/18/2013. (js) (Entered: 04/19/2013)

05/09/2013 115 ENDORSED LETTER: addressed to Judge Victor Marrero from Richard H. Klapper dated 4/29/2013 re: Counsel for defendants to request that the Court grant leave for Defendants to file a Memorandum of Law (the "Memorandum") of up to 35 pages in opposition to Plaintiff's Motion for Class Certification and Appointment of C1as~ Representative and Class Counsel (the "Motion"). Although we are mindful that Your Honor's individual practices permit page-limit extensions "only in rare cases," we respectfully submit that the facts and issues to be addressed in Defendants' Memorandum are particularly complex and justify the proposed extensions. ENDORSEMENT: Request granted. the page limitations provision of the Court's Individual Practices is modified to authorize defendants to file a brief not to exceed 30 pages in connection with the motion for class certification herein. So Ordered. (Signed by Judge Victor Marrero on 5/9/2013) (js) (Entered: 05/09/2013)

05/09/2013 116 ENDORSED LETTER: addressed to Judge Victor Marrero from Lawrence J. Lederer dated 4/30/2013 re: While Plaintiff takes no position on Defendants' request to expand, from 25 to up to 35, the pages for their memorandum in opposition to Plaintiffs Motion for Class Certification (dkt. 107) that is due May 15, 2013, Plaintiff respectfully disagrees with the arguments Defendants advance in support of their request. First, Plaintiff advised Defendants that it took no position on Defendants' request as a courtesy only, in view of the Court's Individual Practice paragraph 11.B., which states that the Court "will entertain written requests for exceptions to these page limitations only in rare cases where the facts and issues are particularly complex." But this does not mean that Plaintiff agrees that the issues on class certification are complex, let alone particularly so. ENDORSEMENT: The Clerk of Court is directed to enter into the Public Record of this action the letter above submitted to the Court by Plaintiffs. So Ordered. (Signed by Judge Victor Marrero on 5/9/2013) (js) (Entered: 05/09/2013)

05/09/2013 117 ENDORSED LETTER: addressed to Judge Victor Marrero from Richard H. Klapper dated 4/30/2013 re: Counsel for defendants in response to Plaintiff's April 30, 2013 letter presenting three pages of substantive argument in response to defendants' simple request for a modest pages limit extension, which Plaintiff does not oppose. ENDORSEMENT: the Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by defendants. So Ordered. (Signed by Judge Victor Marrero on 5/9/2013) (js) (Entered: 05/09/2013)

05/14/2013 118 ORDER: Plaintiffs application to compel the deposition of Lloyd Blankfein ("Blankfein"), the Chairman and Chief Executive Officer of defendant The Goldman Sacks Group, Inc. ("GS Group"), is denied, without prejudice to renew that application after Plaintiff has first made reasonable efforts to obtain the information it seeks through other discovery methods. Plaintiffs application to compel Defendants to produce Blankfein's emails is also denied, without prejudice. Plaintiffs application to compel the production of Fredman's emails is granted, but to a limited extent. As, in its supplemental submission to the Court of May 7, 2013, Plaintiff has made no further mention of its previously asserted objection to Defendants' seeking discovery from absent class members, this Court will refrain from ruling on that objection at this time. SO ORDERED. (Signed by Magistrate Judge Debra C. Freeman on 5/14/2013) (rsh) (Entered: 05/14/2013)

05/15/2013 119 MEMORANDUM OF LAW in Opposition re: 107 MOTION to Certify Class and Appointment of Class Representative and Class Counsel. (Redacted). Document filed by Goldman, Sachs & Co., Darryl K. Herrick, Peter L. Ostrem, The Goldman Sachs Group, Inc.. (Klapper, Richard) (Entered: 05/15/2013)

05/15/2013 120 DECLARATION of Richard H. Klapper (Redacted) in Opposition re: 107 MOTION to Certify Class and Appointment of Class Representative and Class Counsel.. Document filed by Goldman, Sachs & Co., Darryl K. Herrick, Peter L. Ostrem, The Goldman Sachs Group, Inc.. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D, # 5 Exhibit E, # 6 Exhibit F, # 7 Exhibit G, # 8 Exhibit H, # 9 Exhibit I, # 10 Exhibit J, # 11 Exhibit K, # 12 Exhibit L, # 13 Exhibit M, # 14 Exhibit N, # 15 Exhibit O, # 16 Exhibit P, # 17 Exhibit Q, # 18 Exhibit R, # 19 Exhibit S, # 20 Exhibit T, # 21 Exhibit U, # 22 Exhibit V, # 23 Exhibit W, # 24 Exhibit X, # 25 Exhibit Y, # 26 Exhibit Z, # 27 Exhibit AA, # 28 Exhibit AB, # 29 Exhibit AC)(Klapper, Richard) (Entered: 05/15/2013)


06/28/2013 122 NOTICE of of Withdrawal of Andrew J. DeFilippis as Counsel for Goldman, Sachs & Co., The Goldman Sachs Group, Inc., Peter L. Ostrem and Darryl K. Herrick. Document filed by Goldman, Sachs & Co., Darryl K. Herrick, Peter L. Ostrem, The Goldman Sachs Group, Inc.. (Croke, Jacob) (Entered: 06/28/2013)

07/11/2013 123 LETTER addressed to Judge Victor Marrero and Magistrate Judge Debra C. Freeman from Lawrence J. Lederer dated 7/3/2013 re: Counsel for Plaintiff Dodona write on behalf of Plaintiff and all defendants, including Goldman, Sachs & Co.The Goldman Sachs Group, Inc., Peter L. Ostrem, and Darryl K. Herrick (collectively, "Defendants" and together with Plaintiff, the "Parties"), to jointly request that the Court enter the attached Stipulation and Proposed Order (Exhibit 1) and Second Revised Case Management Plan and Scheduling Order (Exhibit 2). Document filed by Dodona I, LLC.(js) Modified on 7/17/2013 (js). (Entered: 07/11/2013)

07/11/2013 124 STIPULATION AND ORDER: Now therefore, it is hereby ordered that: 1. Plaintiff shall have until September 16, 2013 to file a reply in further support of it's motion for Class Certification. 2. The fact discovery deadline shall be extended to September September 16, 2013. This extension is made without prejudice and with the understanding that the Parties will cooperate and act in good faith in the scheduling and production of discovery in order to meet this deadline. 3. The parties reserve their right to seek additional scheduling extensions for good cause shown. So

Ordered (Signed by Magistrate Judge Debra C. Freeman on 7/11/2013) (js) (Entered: 07/11/2013)

07/11/2013 125 SECOND REVISED CIVIL CASE MANAGEMENT PLAN AND SCHEDULING ORDER: This case is to be tried to a jury. Joinder of additional parties, if any, is to be accomplished within ninety (90) days following the filing of defendants' answers to plaintiffs Amended Class Action Complaint. Amended pleadings may be filed without leave of the Court within the time limits provided for amendment without leave by the Federal Rules of Civil Procedure. Plaintiff shall be limited to a total of thirty (30) depositions, exclusive of any expert depositions. Defendants shall be limited to a total of thirty (30) depositions collectively to be agreed upon among Defendants, exclusive of any expert depositions. All other fact discovery shall proceed within the above time period allowed for fact discovery. The parties shall cooperate to ensure that discovery regarding class certification issues is completed in sufficient time to allow for full briefing on a class certification motion. Expert depositions completed by: Thirty (30) days after defendant's expert reports due.Any party may file a motion for summary judgment or partial summary judgment during the period starting thirty (30) days following the close of expert discovery and ending sixty (60) days following the close of expert discovery. The parties will then meet and confer regarding a briefing schedule. Following all discovery, all counsel must meet for at least one hour to discuss settlement, such conference to be held by not later than fourteen (14) days following the deadline for the completion of expert discovery. All parties do not consent to trial by a Magistrate Judge under 28 U.S.C. § 636(c). So Ordered Replies due by 9/16/2013. Deposition due by 9/16/2013. Fact Discovery due by 9/16/2013. (Signed by Magistrate Judge Debra C. Freeman on 7/11/2013) (js) (Entered: 07/11/2013)

07/11/2013 126 SECOND REVISED CIVIL CASE MANAGEMENT PLAN AND SCHEDULING ORDER: This case is to be tried to a jury. Contemplated motions: Plaintiff's motion for class certification was filed on December 17, 2012 (Dkt. 107). Defendants filed their opposition to Plaintiff's motion for class certification on May 15, 2013. Plaintiff shall have until September 16, 2013 to file a reply in further support of its motion for class certification. Replies due by 9/16/2013. Deposition due by 9/16/2013. Fact Discovery due by 9/16/2013. SO ORDERED. (Signed by Magistrate Judge Debra C. Freeman on 7/11/2013) (rsh) (Entered: 07/11/2013)

08/02/2013 Minute Entry for proceedings held before Magistrate Judge Debra C. Freeman: Case Management Conference held on 8/2/2013. Submitted by Aisha Bams, Deputy Clerk (sc) (Entered: 08/05/2013)

09/13/2013 127 NOTICE OF WITHDRAWAL OF APPEARANCE AND ORDER: PLEASE TAKE NOTICE that, upon the accompanying declaration of Ariana Torchin, dated September 10, 2013, and pursuant to Local Civil Rule 1.4 and Rule 2.5 of the Electronic Case Filing Rules and Instructions, Ariana Torchin hereby withdraws her individual appearance on behalf of Defendant Peter L. Ostrem in the above-captioned matter. Stephen M. Juris, from the law firm of Morvillo Abramowitz Grand Iason & Anello P.C., will remain as counsel to Mr. Ostrem. (Signed by Judge Victor Marrero on 9/13/2013) (js) (Entered: 09/13/2013)

09/16/2013 128 REPLY MEMORANDUM OF LAW in Support re: 107 MOTION to Certify Class and Appointment of Class Representative and Class Counsel.. Document filed by Dodona I, LLC. (Attachments: # 1 Exhibit Expert Rebuttal Report of Dr. Joseph R.

Mason - Part 1, # 2 Exhibit Expert Rebuttal Report of Dr. Joseph R. Mason - Part 2, # 3 Exhibit Mason Rebuttal Rpt. - Ex. 1, # 4 Exhibit Mason Rebuttal Rpt. - Ex. 2, # 5 Exhibit Mason Rebuttal Rpt. - Ex. 3, # 6 Exhibit Mason Rebuttal Rpt. - Ex. 4, # 7 Exhibit Mason Rebuttal Rpt. - Ex. 5, # 8 Exhibit Mason Rebuttal Rpt. - Ex. 6, # 9 Exhibit Mason Rebuttal Rpt. - Ex. 7, # 10 Exhibit Mason Rebuttal Rpt. - Ex. 8, # 11 Exhibit Mason Rebuttal Rpt. - Ex. 9, # 12 Exhibit Mason Rebuttal Rpt. - Ex. 10, # 13 Exhibit Mason Rebuttal Rpt. - Ex. 11, # 14 Exhibit Mason Rebuttal Rpt. - Ex. 12, # 15 Exhibit Mason Rebuttal Rpt. - Ex. 13, # 16 Exhibit Mason Rebuttal Rpt. - Ex. 14, # 17 Exhibit Mason Rebuttal Rpt. - Ex. 15, # 18 Exhibit Mason Rebuttal Rpt. - Ex. 16, # 19 Exhibit Mason Rebuttal Rpt. - Ex. 17, # 20 Exhibit Mason Rebuttal Rpt. - Ex. 18, # 21 Exhibit Mason Rebuttal Rpt. - Ex. 19)(Lederer, Lawrence) (Entered: 09/16/2013)


09/26/2013 130 ENDORSED LETTER: addressed to Judge Victor Marrero from Richard H. Klapper dated 9/25/2013 re: Counsel for defendants write for the foregoing reasons, Defendants request that the Court schedule a pre-motion conference regarding Defendants' request for leave to file a motion asking the Court to exercise its inherent authority to exclude the portions of the Rebuttal Report that (i) constitute improper advocacy rather than admissible expert tetimony and serve only to evade this Court's page limitations; and (ii) introduce new arguments far beyond the scope of the Initial report s filed by defendants experts. In the alternative, Defendants request leave to file a sur-reply brief of no more than ten pages and supporting declarations. Defendants also respectfully request for oral argument in connection with Plaintiff's Motion. ENDORSEMENT: Plaintiffs are directed to respond by 9-30-2013 by letter not to exceed three (3) pages, to the matter set forth above by defendants Goldman Sachs. So Ordered. (Signed by Judge Victor Marrero on 9/26/2013) (js) (Entered: 09/26/2013)

10/02/2013 131 ORDER: By letter dated September 25, 2013 defendants ("Goldman Sachs") requested the Court to schedule a pre-motion conference to consider a contemplated defense motion to strike portions of plaintiff Dodona, I, LLC's ("Dodona") expert rebuttal report. Defendants assert that the material they seek to strike raises legal arguments or new issues. Dodona, by letter dated September 27, 2013, opposes the request. The Court denies the application. Motion practice on the matter at this time is not warranted, nor would it be a productive use of the parties' or the Court's resources. Insofar as the expert rebuttal report may contain legal argument, the Court is able to spot those portions on its own review of the material and disregard them as appropriate. The Court is also not persuaded that what Goldman Sachs characterizes as new matter is in fact new or prejudicial. Nor does the Court view the matter at issue as bearing materially on the question now before it: compliance with the class certification standards under Rule 23. In the Court's reading of the record, the rebuttal report does not raise new matter or call for additional argument at this stage of the proceedings (Signed by Judge Victor Marrero on 10/1/2013) (js) (Entered: 10/02/2013)

10/03/2013 132 ENDORSED LETTER: addressed to Judge Victor Marrero from Lawrence J. Lederer dated 9/27/2013 re: Counsel for Plaintiff write to reply to Defendants' September 25, 2013 letter (Dkt. 130) to Your Honor. For the reasons that follow, the Court should deny Defendants leave to file a motion to strike any portion of the

September 10, 2013 Expert Rebuttal Report of Dr. Joseph R. Mason, However, Plaintiff has no objection to Defendants' request, in the alternative, to file a sur-reply brief. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by plaintiffs. So Ordered. (Signed by Judge Victor Marrero on 9/27/2013) (js) (Entered: 10/03/2013)

11/08/2013 133 NOTICE OF APPEARANCE by Merrill G Davidoff on behalf of Dodona I, LLC. (Davidoff, Merrill) (Entered: 11/08/2013)

11/12/2013 134 LETTER addressed to Judge Victor Marrero from Lawrence J. Lederer dated 11/8/2013 re: Counsel for lead plaintiff Dodona I, LLC submits this letter in response to Defendants' Nov. 7, 2013 letter to Your Honor. Document filed by Dodona I, LLC. (tn) (Entered: 11/12/2013)

11/13/2013 135 ENDORSED LETTER: addressed to Judge Victor Marrero from Richard H. Klapper dated 11/12/2013 re: Counsel writes on behalf of defendants Goldman, Sachs & Co., The Goldman Sachs Group, Inc., Peter L. Ostrem and Darryl K. Herrick (collectively, "Defendants") in brief response to Dodona's November 8, 2013 letter to the Court (the "Dodona Letter"). Defendants refrained from engaging in extensive discussion of the three decisions enclosed with our November 7, 2013 letter in order to avoid a substantive debate with Dodona. Defendants must, however, make several observations regarding the substantive arguments made in Dodona's letter. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by defendants. (Signed by Judge Victor Marrero on 11/13/2013) (js) Modified on 11/13/2013 (js). (Entered: 11/13/2013)

12/05/2013 136 ENDORSED LETTER addressed to Judge Victor Marrero from Lawrence J. Lederer dated 12/2/2013 re: Counsel writes to notify the Court ofthe recent ruling, Ge Dandong v. Pinnacle Performance Ltd., No. 10 Civ. 8086(JMF), 2013 WL 5658790 (S.D.N.Y. Oct. 17, 20l3), leave to appeal filed under Fed. R. Civ. P. 23(f) (2d Cir. Oct. 30, 20l3). Dandong further supports granting class certification of Plaintiffs New York state common law claims here. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by Plaintiff. (Signed by Judge Victor Marrero on 12/5/2013) (js) (js). (Entered: 12/05/2013)

12/05/2013 137 ENDORSED LETTER: addressed to Judge Victor Marrero from Richard H. Klapper dated 12/4/2013 re: Counsel for defendants Goldman, Sachs & Co., The Goldman Sachs Group, Inc., Peter L. Ostrem and Darryl K. Herrick (collectively, "Defendants") in response to Dodona's December 2, 2013 letter to the Court (the "Dodona Letter"). Contrary to Dodona's assertions, the decision in Ge Dandong v. Pinnacle Performance Ltd., No. 10 Civ. 8086 (JMF), 2013 WL 5658790 (S.D.N.Y. Oct. 17, 2013), leave to appeal filed under Fed. R. Civ. P. 23(J), No. 13-4150 (2d. Cir. Oct. 30, 2013) ("Dandong"), does not support Dodona's argument that the Court should certify a class with respect to its common law fraud claims, even assuming it was correctly decided ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by defendant. So Ordered. (Signed by Judge Victor Marrero on 12/5/2013) (js) (Entered: 12/05/2013)

01/23/2014 138 DECISION AND ORDER granting 107 Motion to Certify Class. For the reasons discussed above, it is hereby ORDERED that the Motion (Dkt. No. 107) of plaintiff Dodona I, LLC for Class Certification and Appointment of Class Representative and Class Counsel is GRANTED, in accordance with this Decision and Order. (Signed by Judge Victor Marrero on 1/22/2014) (lmb) (Entered: 01/23/2014)

02/19/2014 139 ENDORSED LETTER addressed to Judge Victor Marrero from Richard H. Klapper dated 2/18/2014 re: Counsel for defendants Goldman, Sachs & Co., The Goldman Sachs Group, Inc., Peter L. Ostrem and Darryl K. Herrick, requests that the Court extend the March 3, 2014 deadline for filing summary judgment motions. ENDORSEMENT: The parties are directed to address the matter set forth above to Magistrate Judge Debra Freeman, to whom this dispute has been referred for resolution, as well as for supervision of remaining pretrial proceedings, establishing case management schedules as necessary, and settlement. (Signed by Judge Victor Marrero on 2/19/2014) (tn) (Entered: 02/19/2014)

02/20/2014 140 LETTER addressed to Magistrate Judge Debra C. Freeman from Lawrence J. Lederer dated February 20, 2014 re: Plaintiff's Response to Docket No. 139. Document filed by Dodona I, LLC.(Lederer, Lawrence) (Entered: 02/20/2014)

02/20/2014 141 ENDORSED LETTER addressed to Magistrate Judge Debra C. Freeman from Richard H. Klapper dated 2/20/2014 re: Adjournment of the 3/3/2014 deadline for the parties to file summary judgment motions. ENDORSEMENT: Lead plaintiff is directed to respond to defendants' request no later than close of business on 2/21/14. (Signed by Magistrate Judge Debra C. Freeman on 2/20/2014) (cd) (Entered: 02/20/2014)

02/21/2014 142 LETTER addressed to Magistrate Judge Debra C. Freeman from Richard H. Klapper dated February 21, 2014 re: Defendants' Reply to Docket No. 140. Document filed by Goldman, Sachs & Co., Darryl K. Herrick, Peter L. Ostrem, The Goldman Sachs Group, Inc..(Klapper, Richard) (Entered: 02/21/2014)

02/24/2014 143 LETTER addressed to Magistrate Judge Debra C. Freeman from Lawrence J. Lederer dated February 24, 2014 re: Plaintiff's response to Dkt. 142. Document filed by Dodona I, LLC.(Lederer, Lawrence) (Entered: 02/24/2014)

02/25/2014 144 LETTER addressed to Magistrate Judge Debra C. Freeman from Lawrence J. Lederer dated February 25, 2014 re: Requesting Order Prohibiting Certain Communications by Defendants with Class Members. Document filed by Dodona I, LLC.(Lederer, Lawrence) (Entered: 02/25/2014)

02/27/2014 146 ENDORSED LETTER addressed to Magistrate Judge Debra C. Freeman from Theodore Edelman dated 2/27/2014 re: Confirming that the Court has extended until 3/10/2014 for filing summary judgment motions. ENDORSEMENT: So Ordered. ( Motions due by 3/10/2014.) (Signed by Magistrate Judge Debra C. Freeman on 2/27/2014) (cd) (Entered: 03/03/2014)

02/28/2014 145 LETTER addressed to Magistrate Judge Debra C. Freeman from Richard H. Klapper dated February 28, 2014 re: response to Dkt. No. 144. Document filed by Goldman, Sachs & Co., Darryl K. Herrick, Peter L. Ostrem, The Goldman Sachs Group, Inc..(Klapper, Richard) (Entered: 02/28/2014)

03/03/2014 147 LETTER addressed to Magistrate Judge Debra C. Freeman from Lawrence J. Lederer dated March 3, 2014 re: Response to Dkt. 145. Document filed by Dodona I, LLC.(Lederer, Lawrence) (Entered: 03/03/2014)

03/04/2014 148 LETTER addressed to Magistrate Judge Debra C. Freeman from Richard H. Klapper dated March 4, 2014 re: Response to Plaintiff's March 3, 2014 Letter. Document filed by Goldman, Sachs & Co., Darryl K. Herrick, Peter L. Ostrem, The Goldman Sachs Group, Inc..(Klapper, Richard) (Entered: 03/04/2014)

03/05/2014 149 THIRD REVISED CIVIL CASE MANAGEMENT PLAN AND SCHEDULING ORDER re Any party may file a motion for summary judgment or partial summary judgment during the period starting thirty (30) days following the close of expert discovery and ending twenty-one (21) days following the deadline for class members to opt out of the action or appear separately. The parties will then meet and confer regarding a briefing schedule. ENDORSEMENT: The undersigned having conferred with Judge Marrero, the proposed modification as to the summary judgment briefing schedule, as set forth herein, is adopted. (Signed by Magistrate Judge Debra C. Freeman on 3/5/2014) (cd) (Entered: 03/07/2014)

03/20/2014 150 LETTER addressed to Magistrate Judge Debra C. Freeman from Lawrence J. Lederer dated March 20, 2014 re: In further support of Dkt. 144, 147. Document filed by Dodona I, LLC.(Lederer, Lawrence) (Entered: 03/20/2014)

03/21/2014 151 LETTER addressed to Magistrate Judge Debra C. Freeman from Brett D. Jaffe dated March 21, 2014 re: REDACTED LETTER TO HONORABLE DEBRA FREEMAN FROM BRETT D. JAFFE RESPONDING TO PLAINTIFF'S LETTER DATED MARCH 20, 2014. Document filed by Goldman, Sachs & Co., The Goldman Sachs Group, Inc..(Jaffe, Brett) (Entered: 03/21/2014)

04/23/2014 152 ORDER: it is hereby ORDERED that the proposal of Lead Plaintiff is adopted, such that Plaintiff may serve up to 150 RFAs on Goldman and up to 20 additional RFAs, each, on Ostrem and Herrick. (Signed by Magistrate Judge Debra C. Freeman on 4/23/2014) Copies Sent By Chambers. (cd) (Entered: 04/23/2014)

05/01/2014 153 LETTER addressed to Magistrate Judge Debra C. Freeman from Richard H. Klapper dated 05/01/2014 re: Court's April 23, 2014 Order. Document filed by Goldman, Sachs & Co., Darryl K. Herrick, Peter L. Ostrem, The Goldman Sachs Group, Inc..(Klapper, Richard) (Entered: 05/01/2014)

05/02/2014 154 MEMO ENDORSEMENT on 153 Letter, filed by Darryl K. Herrick, Goldman, Sachs & Co., The Goldman Sachs Group, Inc., Peter L. Ostrem re request to serve requests for admission. ENDORSEMENT: So Ordered. (Signed by Magistrate Judge Debra C. Freeman on 5/2/2014) (cd) (Entered: 05/02/2014)

05/08/2014 155 MOTION for an Order Approving Notice to Class Members and Notice Procedures. Document filed by Dodona I, LLC.(Lederer, Lawrence) (Entered: 05/08/2014)

05/08/2014 156 MEMORANDUM OF LAW in Support re: 155 MOTION for an Order Approving Notice to Class Members and Notice Procedures. . Document filed by Dodona I, LLC. (Attachments: # 1 Exhibit, # 2 Exhibit, # 3 Exhibit, # 4 Text of Proposed Order)(Lederer, Lawrence) (Entered: 05/08/2014)

05/13/2014 157 FIRST OPPOSITION BRIEF re: 155 MOTION for an Order Approving Notice to Class Members and Notice Procedures. Memorandum of Law in Opposition to Lead Plaintiff's Motion for an Order Approving Notice to Class Members and Notice Procedures. Document filed by Goldman, Sachs & Co., Darryl K. Herrick, Peter L. Ostrem, The Goldman Sachs Group, Inc.. (Attachments: # 1 Text of Proposed Order, # 2 Affidavit, # 3 Exhibit, # 4 Exhibit, # 5 Exhibit, # 6 Exhibit, # 7 Exhibit, # 8 Exhibit, # 9 Exhibit)(Klapper, Richard) (Entered: 05/13/2014)

05/19/2014 158 REPLY MEMORANDUM OF LAW in Support re: 155 MOTION for an Order Approving Notice to Class Members and Notice Procedures. . Document filed by Dodona I, LLC. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D, # 5 Exhibit E, # 6 Exhibit F, # 7 Text of Proposed Order)(Lederer, Lawrence) (Entered: 05/19/2014)

06/02/2014 159 ORDER re: 144 Letter filed by Dodona I, LLC. For the reasons above, it is hereby ORDERED that Plaintiffs' request for an order prohibiting Defendants from communicating with class members concerning any aspect of this litigation during the pendency of this litigation (Dkt. 144) is denied, except that Defendants' counsel is directed to restrict their communications with class members to attorneys serving those class members in a representative capacity. (Signed by Magistrate Judge Debra C. Freeman on 6/2/2014) (tro) (Entered: 06/03/2014)

06/17/2014 160 MOTION for Brett D. Jaffe to Withdraw as Attorney (for Defendants Goldman, Sachs & Co. and The Goldman Sachs Group, Inc.). Document filed by Goldman, Sachs & Co., The Goldman Sachs Group, Inc..(Gresser, Lawrence) (Entered: 06/17/2014)

06/18/2014 161 MEMO ENDORSEMENT granting 160 Motion to Withdraw as Attorney. ENDORSEMENT: MOTION GRANTED. Attorney Brett D. Jaffe terminated. (Signed by Judge Victor Marrero on 6/18/2014) (tn) (Entered: 06/18/2014)

06/27/2014 162 MANDATE of USCA (Certified Copy). USCA Case Number 14-419.Petitioners move, pursuant to Federal Rule of Civil Procedure 23(f), for leave to appeal the district court's order granting Respondents' motion for class certification, for leave to file a reply brief in support of their petition, and for leave to file the reply under seal.Upon due consideration, it is hereby ORDERED that the motions to file a sealed reply brief are GRANTED, but that the Rule 23(f) the petition is DENIED because an immediate appeal is unwarranted. See Sumitomo Copper Litig. v. Credit Lyonnais Rouse, Ltd., 262 F.3d 134, 139-40 (2d Cir. 2001). Catherine O'Hagan Wolfe, Clerk USCA for the Second Circuit. Issued As Order: 06/27/2014. (nd) (Entered: 06/27/2014)

06/30/2014 163 LETTER addressed to Magistrate Judge Debra C. Freeman from Lawrence J. Lederer dated June 30, 2014 re: In further support of Dkt. 155. Document filed by Dodona I, LLC. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2)(Lederer, Lawrence) (Entered: 06/30/2014)

07/01/2014 164 LETTER addressed to Magistrate Judge Debra C. Freeman from Richard H. Klapper dated July 1, 2014 re: Response to Lead Plaintiff's June 30, 2014 Letter. Document filed by Goldman, Sachs & Co., The Goldman Sachs Group, Inc..(Klapper, Richard) (Entered: 07/01/2014)

07/02/2014 165 LETTER addressed to Magistrate Judge Debra C. Freeman from Lawrence J. Lederer dated July 2, 2014 re: in further support of Dkt. 163. Document filed by Dodona I, LLC.(Lederer, Lawrence) (Entered: 07/02/2014)

07/02/2014 166 NOTICE OF APPEARANCE by Scott Douglas Thomson on behalf of Goldman, Sachs & Co.. (Thomson, Scott) (Entered: 07/02/2014)

08/05/2014 167 LETTER MOTION for Conference addressed to Magistrate Judge Debra C. Freeman from Richard H. Klapper dated 08/05/2014. Document filed by Goldman, Sachs & Co., Darryl K. Herrick, Peter L. Ostrem, The Goldman Sachs Group, Inc..(Klapper, Richard) (Entered: 08/05/2014)

08/07/2014 168 LETTER addressed to Magistrate Judge Debra C. Freeman from Lawrence J. Lederer dated 08/07/14 re: in response to the August 5, 2014 letter (Dkt. 167). Document filed by Dodona I, LLC.(Lederer, Lawrence) (Entered: 08/07/2014)

08/08/2014 169 LETTER REPLY to Response to Motion addressed to Magistrate Judge Debra C. Freeman from Richard H. Klapper dated August 8, 2014 re: 167 LETTER MOTION for Conference addressed to Magistrate Judge Debra C. Freeman from Richard H. Klapper dated 08/05/2014. . Document filed by Goldman, Sachs & Co., Darryl K. Herrick, Peter L. Ostrem, The Goldman Sachs Group, Inc.. (Klapper, Richard) (Entered: 08/08/2014)

09/03/2014 170 NOTICE OF APPEARANCE by Joanna Ka Wai Chan on behalf of Goldman, Sachs & Co., The Goldman Sachs Group, Inc.. (Chan, Joanna) (Entered: 09/03/2014)

09/22/2014 171 ORDER finding as moot 167 Letter Motion for Conference; the Court held a conference with counsel on 9/22/14 and addressed the issues raised in counsel's letter. (HEREBY ORDERED by Magistrate Judge Debra Freeman)(Text Only Order) (Freeman, Debra) (Entered: 09/22/2014)

09/22/2014 172 ORDER granting 155 Motion for an Order Approving Notice to Class Members, with certain modifications. In a telephone conference held on 9/22/14, this Court addressed the parties' disputes regarding the content of Plaintiffs' proposed Notice and resolved those disputes, with an instruction to counsel to resubmit a modified proposed Order and Notice for entry by the Court. (HEREBY ORDERED by Magistrate Judge Debra Freeman)(Text Only Order) (Freeman, Debra) (Entered: 09/22/2014)

09/22/2014 Minute Entry for proceedings held before Magistrate Judge Debra C. Freeman: Case Management Conference held va telephone on 9/22/2014. (aba) (Entered: 09/24/2014)

10/17/2014 173 LETTER addressed to Magistrate Judge Debra C. Freeman from Lawrence J. Lederer dated October 17, 2014 re: per Dkt. 172, resubmitting a modified proposed Order and Notice for entry by the Court. Document filed by Dodona I, LLC. (Attachments: # 1 Text of Proposed Order)(Lederer, Lawrence) (Entered: 10/17/2014)

10/20/2014 174 TRANSCRIPT of Proceedings re: Case Management Conference held on 4/18/2014 before Magistrate Judge Debra C. Freeman. Court Reporter/Transcriber: Carole Ludwig, (212) 420-0771. 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 11/13/2014. Redacted Transcript Deadline set for 11/24/2014. Release of Transcript Restriction set for 1/21/2015.(soh) (Entered: 10/20/2014)

10/20/2014 175 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a Case Management Conference proceeding held on 04/18/2013 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...(soh) (Entered: 10/20/2014)

10/21/2014 176 THIRD REVISED ORDER GRANTING LEAD PLAINTIFF'S MOTION FOR AN ORDER APPROVING NOTICE TO CLASS MEMBERS AND NOTICE PROCEDURES: Plaintiff's Motion to Approve Class Notice as further revised is granted as set forth within. (Signed by Magistrate Judge Debra C. Freeman on 10/21/2014) (ajs) (Entered: 10/21/2014)

12/18/2014 177 LETTER addressed to Magistrate Judge Debra C. Freeman from Richard H. Klapper dated 12/18/14 re: summary judgment briefing schedule. Document filed by Goldman, Sachs & Co., Darryl K. Herrick, Peter L. Ostrem, The Goldman Sachs Group, Inc.. (Attachments: # 1 Exhibit A, # 2 Exhibit B)(Klapper, Richard) (Entered: 12/18/2014)

12/19/2014 178 MEMO ENDORSEMENT on re: 177 Letter filed by Darryl K. Herrick, Goldman, Sachs & Co., The Goldman Sachs Group, Inc., Peter L. Ostrem. ENDORSEMENT: Request GRANTED. The time for defendants to file summary judgment motions herein is extended to 1-30-15. The parties are directed to propose an agreed upon schedule for responses and replies, and page limitations above. SO ORDERED. ( Motions due by 1/30/2015.) (Signed by Judge Victor Marrero on 12/19/2014) (ama) (Entered: 12/22/2014)

01/07/2015 179 ENDORSED LETTER addressed to Judge Victor Marrero from Lawrence J. Lederer dated 1/7/2015 re: Plaintiff respectfully requests that the Court deny Defendants' request for leave to file a motion to decertify the class, without prejudice to Defendants' right to seek leave to file such a motion after the Court rules on summary judgment. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by plaintiff. (Signed by Judge Victor Marrero on 1/7/2015) (lmb) (Entered: 01/07/2015)

01/07/2015 180 ENDORSED LETTER addressed to Judge Victor Marrero from Richard H. Klapper dated 1/5/2015 re: I write on behalf of Defendants in the above-referenced action to request leave, simultaneously with the existing summary judgment schedule, to file a companion motion to decertify the class. ENDORSEMENT: Request denied. The Court is not persuaded that judicial economy would be served by a class decertification motion before the Court's ruling on summary judgment. (Signed by Judge Victor Marrero on 1/7/2015) (lmb) (Entered: 01/08/2015)

01/26/2015 181 NOTICE of Lead Plaintiff's Report on Dissemination of Notice to the Class and Receipt of Two Requests for Exclusion. Document filed by Dodona I, LLC. (Attachments: # 1 Exhibit 1)(Davidoff, Merrill) (Entered: 01/26/2015)

01/30/2015 182 NOTICE OF APPEARANCE by Lawrence Thomas Gresser on behalf of Goldman, Sachs & Co., Darryl K. Herrick, Peter L. Ostrem, The Goldman Sachs Group, Inc.. (Gresser, Lawrence) (Entered: 01/30/2015)

01/30/2015 183 NOTICE OF APPEARANCE by Nathaniel P. T. Read on behalf of Goldman, Sachs & Co., Darryl K. Herrick, Peter L. Ostrem, The Goldman Sachs Group, Inc.. (Read, Nathaniel) (Entered: 01/30/2015)

01/30/2015 184 NOTICE OF APPEARANCE by Joanna Ka Wai Chan on behalf of Goldman, Sachs & Co., Darryl K. Herrick, Peter L. Ostrem, The Goldman Sachs Group, Inc.. (Chan, Joanna) (Entered: 01/30/2015)

01/30/2015 185 NOTICE OF APPEARANCE by Scott Douglas Thomson on behalf of Goldman, Sachs & Co., Darryl K. Herrick, Peter L. Ostrem, The Goldman Sachs Group, Inc.. (Thomson, Scott) (Entered: 01/30/2015)

01/30/2015 186 STIPULATION AND ORDER: IT IS HEREBY STIPULATED AND AGREED by and between the undersigned, the attorneys of record for all the parties to the above captioned action, subject to the approval or the Court, as follows: 1. On or before January 30, 2015, Defendants may file briefs of up to 40 pages total in support of their summary judgment motions (a 25-page brief addressing issues common to all defendants and the class and a 15-page brief addressing issues concerning individual class members), and the Individual Defendants may file a separate single brief of up to 10 pages total in support of their supplemental motion for summary judgment. 2. On or before April 20, 2015, Lead Plaintiff Dodona I, LLC may file briefs of up to 50 pages total in opposition to Defendants' motions for summary judgment. 3. On or before June 1, 2015. Defendants may file briefs of up to 20 pages total in further support of their summary judgment motions. 4. The parties reserve their right to seek additional scheduling extensions for good cause shown. (Signed by Judge Victor Marrero on 1/30/2015) (lmb) (Entered: 01/30/2015)

01/30/2015 187 FILING ERROR - DEFICIENT DOCKET ENTRY - MOTION for Summary Judgment by Defendants. Document filed by Goldman, Sachs & Co., Darryl K. Herrick, Peter L. Ostrem, The Goldman Sachs Group, Inc.. Responses due by 4/20/2015 (Attachments: # 1 Memorandum of Law in Support of Defendants' Motion for Summary Judgment, # 2 Defendants' Local Rule 56.1 Statement of Material Facts as Which There is No Genuine Issue to be Tried, # 3 Declaration of Jacob M. Croke, # 4 Exhibit 1, # 5 Exhibit 2, # 6 Exhibit 3, # 7 Exhibit 4, # 8 Exhibit 5, # 9 Exhibit 6, # 10 Exhibit 7, # 11 Exhibit 8, # 12 Exhibit 9, # 13 Exhibit 10, # 14 Exhibit 11, # 15 Exhibit 12, # 16 Exhibit 13, # 17 Exhibit 14 (part 1), # 18 Exhibit 14 (part 2), # 19 Exhibit 15, # 20 Exhibit 16, # 21 Exhibit 17 (part 1), # 22 Exhibit 17 (part 2), # 23 Exhibit 17 (part 3), # 24 Exhibit 17 (part 4), # 25 Exhibit 18, # 26 Exhibit 19 (part 1), # 27 Exhibit 19 (part 2), # 28 Exhibit 19 (part 3), # 29 Exhibit 20 (part 1), # 30 Exhibit 20 (part 2), # 31 Exhibit 20 (part 3), # 32 Exhibit 20 (part 4), # 33 Exhibit 21 (part 1), # 34 Exhibit 21 (part 2), # 35 Exhibit 21 (part 3), # 36 Exhibit 22, # 37 Exhibit 23, # 38 Exhibit 24, # 39 Exhibit 25, # 40 Exhibit 26, # 41 Exhibit 27, # 42 Exhibit 28, # 43 Exhibit 29, # 44 Exhibit 30, # 45 Exhibit 31, # 46 Exhibit 32, # 47 Exhibit 33, # 48 Exhibit 34, # 49 Exhibit 35, # 50 Exhibit 36, # 51 Exhibit 37, # 52 Exhibit 38, # 53 Exhibit 39, # 54 Exhibit 40, # 55 Exhibit 41, # 56 Exhibit 42, # 57 Exhibit 43)(Klapper, Richard) Modified on 2/2/2015 (db). (Entered: 01/30/2015)

01/30/2015 188 FILING ERROR - DEFICIENT DOCKET ENTRY - MOTION for Summary Judgment by Peter L. Ostrem and Darryl K. Herrick. Document filed by Darryl K. Herrick, Peter L. Ostrem. Responses due by 4/20/2015 (Attachments: # 1 Memorandum of Law in Support of Defendants Peter L. Ostrem and Darryl K. Herrick's Supplemental Motion for Summary Judgment, # 2 Defendants Peter L. Ostrem and Darryl K. Herrick's Local Rule 56.1 Statement of Material Facts as to Which There is No Genuine Issue to be Tried)(Klapper, Richard) Modified on 2/2/2015 (db). (Entered: 01/30/2015)

01/30/2015 189 MOTION for Summary Judgment (Defendants' Notice of Motion for Summary Judgment as to the Claims of Certain Class Members). Document filed by Goldman, Sachs & Co., Darryl K. Herrick, Peter L. Ostrem, The Goldman Sachs Group, Inc..(Read, Nathaniel) (Entered: 01/30/2015)

01/30/2015 190 MEMORANDUM OF LAW in Support re: 189 MOTION for Summary Judgment (Defendants' Notice of Motion for Summary Judgment as to the Claims of Certain Class Members). . Document filed by Goldman, Sachs & Co., Darryl K. Herrick, Peter L. Ostrem, The Goldman Sachs Group, Inc.. (Attachments: # 1 Exhibit A - To Defendants' Memorandum of Law in Support of Their Motion for Summary Judgment as to the Claims of Certain Class Members)(Read, Nathaniel) (Entered: 01/30/2015)

01/30/2015 191 RULE 56.1 STATEMENT. Document filed by Goldman, Sachs & Co., Darryl K. Herrick, Peter L. Ostrem, The Goldman Sachs Group, Inc.. (Read, Nathaniel) (Entered: 01/30/2015)

01/30/2015 192 DECLARATION of Nathaniel P. T. Read in Support re: 189 MOTION for Summary Judgment (Defendants' Notice of Motion for Summary Judgment as to the Claims of Certain Class Members).. Document filed by Goldman, Sachs & Co., Darryl K. Herrick, Peter L. Ostrem, The Goldman Sachs Group, Inc.. (Attachments: # 1 Exhibit 1 - To Declaration of Nathaniel P. T. Read in Support of Defendants' Motion for Summary Judgment as to the Claims of Certain Class Members, # 2 Exhibit 2 - To Declaration of Nathaniel P. T. Read in Support of Defendants' Motion for Summary Judgment as to the Claims of Certain Class Members, # 3 Exhibit 3 - To Declaration of Nathaniel P. T. Read in Support of Defendants' Motion for Summary Judgment as to the Claims of Certain Class Members, # 4 Exhibit 4 - To Declaration of Nathaniel P. T. Read in Support of Defendants' Motion for Summary Judgment as to the Claims of Certain Class Members, # 5 Exhibit 5 - To Declaration of Nathaniel P. T. Read in Support of Defendants' Motion for Summary Judgment as to the Claims of Certain Class Members, # 6 Exhibit 6 - To Declaration of Nathaniel P. T. Read in Support of Defendants' Motion for Summary Judgment as to the Claims of Certain Class Members, # 7 Exhibit 7 - To Declaration of Nathaniel P. T. Read in Support of Defendants' Motion for Summary Judgment as to the Claims of Certain Class Members, # 8 Exhibit 8 - To Declaration of Nathaniel P. T. Read in Support of Defendants' Motion for Summary Judgment as to the Claims of Certain Class Members, # 9 Exhibit 9 - To Declaration of Nathaniel P. T. Read in Support of Defendants' Motion for Summary Judgment as to the Claims of Certain Class Members, # 10 Exhibit 10 - To Declaration of Nathaniel P. T. Read in Support of Defendants' Motion for Summary Judgment as to the Claims of Certain Class Members, # 11 Exhibit 11 - To Declaration of Nathaniel P. T. Read in Support of Defendants' Motion for Summary Judgment as to the Claims of Certain Class

Members, # 12 Exhibit 12 - To Declaration of Nathaniel P. T. Read in Support of Defendants' Motion for Summary Judgment as to the Claims of Certain Class Members, # 13 Exhibit 13 - To Declaration of Nathaniel P. T. Read in Support of Defendants' Motion for Summary Judgment as to the Claims of Certain Class Members, # 14 Exhibit 14 - To Declaration of Nathaniel P. T. Read in Support of Defendants' Motion for Summary Judgment as to the Claims of Certain Class Members, # 15 Exhibit 15 - To Declaration of Nathaniel P. T. Read in Support of Defendants' Motion for Summary Judgment as to the Claims of Certain Class Members, # 16 Exhibit 16 - To Declaration of Nathaniel P. T. Read in Support of Defendants' Motion for Summary Judgment as to the Claims of Certain Class Members, # 17 Exhibit 17 - To Declaration of Nathaniel P. T. Read in Support of Defendants' Motion for Summary Judgment as to the Claims of Certain Class Members, # 18 Exhibit 18 - To Declaration of Nathaniel P. T. Read in Support of Defendants' Motion for Summary Judgment as to the Claims of Certain Class Members, # 19 Exhibit 19 - To Declaration of Nathaniel P. T. Read in Support of Defendants' Motion for Summary Judgment as to the Claims of Certain Class Members, # 20 Exhibit 20 - To Declaration of Nathaniel P. T. Read in Support of Defendants' Motion for Summary Judgment as to the Claims of Certain Class Members, # 21 Exhibit 21 - To Declaration of Nathaniel P. T. Read in Support of Defendants' Motion for Summary Judgment as to the Claims of Certain Class Members, # 22 Exhibit 22 - To Declaration of Nathaniel P. T. Read in Support of Defendants' Motion for Summary Judgment as to the Claims of Certain Class Members, # 23 Exhibit 23 - To Declaration of Nathaniel P. T. Read in Support of Defendants' Motion for Summary Judgment as to the Claims of Certain Class Members, # 24 Exhibit 24 - To Declaration of Nathaniel P. T. Read in Support of Defendants' Motion for Summary Judgment as to the Claims of Certain Class Members, # 25 Exhibit 25 - To Declaration of Nathaniel P. T. Read in Support of Defendants' Motion for Summary Judgment as to the Claims of Certain Class Members, # 26 Exhibit 26 - To Declaration of Nathaniel P. T. Read in Support of Defendants' Motion for Summary Judgment as to the Claims of Certain Class Members)(Read, Nathaniel) (Entered: 01/30/2015)

01/30/2015 200 SEALED DOCUMENT placed in vault.(rz) (Entered: 02/02/2015)

02/02/2015 ***NOTE TO ATTORNEY TO RE-FILE DOCUMENT - DEFICIENT DOCKET ENTRY ERROR. Note to Attorney Richard Howard Klapper to RE-FILE Document 188 MOTION for Summary Judgment by Peter L. Ostrem and Darryl K. Herrick. 187 MOTION for Summary Judgment by Defendants. ERROR(S): Supporting Documents are filed separately, each receiving their own document #. (db) (Entered: 02/02/2015)

02/02/2015 193 MOTION for Summary Judgment . Document filed by Goldman, Sachs & Co., Darryl K. Herrick, Peter L. Ostrem, The Goldman Sachs Group, Inc..(Klapper, Richard) (Entered: 02/02/2015)

02/02/2015 194 MEMORANDUM OF LAW in Support re: 193 MOTION for Summary Judgment . . Document filed by Goldman, Sachs & Co., Darryl K. Herrick, Peter L. Ostrem, The Goldman Sachs Group, Inc.. (Klapper, Richard) (Entered: 02/02/2015)

02/02/2015 195 RULE 56.1 STATEMENT. Document filed by Goldman, Sachs & Co., Darryl K. Herrick, Peter L. Ostrem, The Goldman Sachs Group, Inc.. (Klapper, Richard) (Entered: 02/02/2015)

02/02/2015 196 DECLARATION of Jacob M. Croke in Support re: 193 MOTION for Summary Judgment .. Document filed by Goldman, Sachs & Co., Darryl K. Herrick, Peter L. Ostrem, The Goldman Sachs Group, Inc.. (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 14-1, # 15 Exhibit 14-2, # 16 Exhibit 15, # 17 Exhibit 16, # 18 Exhibit 17-1, # 19 Exhibit 17-2, # 20 Exhibit 17-3, # 21 Exhibit 17-4, # 22 Exhibit 18, # 23 Exhibit 19-1, # 24 Exhibit 19-2, # 25 Exhibit 19-3, # 26 Exhibit 20-1, # 27 Exhibit 20-2, # 28 Exhibit 20-3, # 29 Exhibit 20-4, # 30 Exhibit 21-1, # 31 Exhibit 21-2, # 32 Exhibit 21-3, # 33 Exhibit 22, # 34 Exhibit 23, # 35 Exhibit 24, # 36 Exhibit 25, # 37 Exhibit 26, # 38 Exhibit 27, # 39 Exhibit 28, # 40 Exhibit 29, # 41 Exhibit 30, # 42 Exhibit 31, # 43 Exhibit 32, # 44 Exhibit 33, # 45 Exhibit 34, # 46 Exhibit 35, # 47 Exhibit 36, # 48 Exhibit 37, # 49 Exhibit 38, # 50 Exhibit 39, # 51 Exhibit 40, # 52 Exhibit 41, # 53 Exhibit 42, # 54 Exhibit 43)(Klapper, Richard) (Entered: 02/02/2015)

02/02/2015 197 SUPPLEMENTAL MOTION for Summary Judgment . Document filed by Darryl K. Herrick, Peter L. Ostrem.(Klapper, Richard) (Entered: 02/02/2015)

02/02/2015 198 RULE 56.1 STATEMENT. Document filed by Darryl K. Herrick, Peter L. Ostrem. (Klapper, Richard) (Entered: 02/02/2015)

02/02/2015 199 SUPPLEMENTAL MEMORANDUM OF LAW in Support re: 197 SUPPLEMENTAL MOTION for Summary Judgment . . Document filed by Darryl K. Herrick, Peter L. Ostrem. (Klapper, Richard) (Entered: 02/02/2015)

02/03/2015 201 SEALED DOCUMENT placed in vault.(nm) (Entered: 02/03/2015)

02/10/2015 202 MOTION for Stephen M. Juris to Withdraw as Attorney . Document filed by Peter L. Ostrem. (Attachments: # 1 Text of Proposed Order)(Juris, Stephen) (Entered: 02/10/2015)

02/10/2015 203 DECLARATION of Stephen M. Juris in Support re: 202 MOTION for Stephen M. Juris to Withdraw as Attorney .. Document filed by Peter L. Ostrem. (Juris, Stephen) (Entered: 02/10/2015)

02/11/2015 204 ORDER GRANTING MOTION FOR WITHDRAWAL OF APPEARANCE granting 202 Motion to Withdraw as Attorney. The motion of Stephen M. Juris to withdraw as counsel of record for Defendant Peter Ostrem is granted, and Mr. Juris' appearance is withdrawn as of the date of this Order. Attorney Stephen Michael Juris terminated. (Signed by Judge Victor Marrero on 2/10/2015) (kko) (Entered: 02/11/2015)

03/04/2015 205 NOTICE OF CHANGE OF ADDRESS by Steven Lawrence Bloch on behalf of All Plaintiffs. New Address: Bailey & Glasser LLP, One Tower Bridge, 100 Front Street, Suite 1235, West Conshohocken, Pennsylvania, United States 19428, (610) 834-7506. (Bloch, Steven) (Entered: 03/04/2015)

04/20/2015 206 RESPONSE in Opposition to Motion re: 193 MOTION for Summary Judgment . . Document filed by Dodona I, LLC. (Lederer, Lawrence) (Entered: 04/20/2015)

04/20/2015 207 COUNTER STATEMENT TO 195 Rule 56.1 Statement. Document filed by Dodona I, LLC. (Lederer, Lawrence) (Entered: 04/20/2015)

04/20/2015 208 RESPONSE in Opposition to Motion re: 189 MOTION for Summary Judgment (Defendants' Notice of Motion for Summary Judgment as to the Claims of Certain Class Members). . Document filed by Dodona I, LLC. (Lederer, Lawrence) (Entered: 04/20/2015)


04/20/2015 210 RESPONSE in Opposition to Motion re: 197 SUPPLEMENTAL MOTION for Summary Judgment . . Document filed by Dodona I, LLC. (Lederer, Lawrence) (Entered: 04/20/2015)


04/20/2015 212 DECLARATION of Lawrence J. Lederer in Opposition re: 193 MOTION for Summary Judgment .. Document filed by Dodona I, LLC. (Attachments: # 1 Exhibit Ex. 1, # 2 Exhibit Ex. 2, # 3 Exhibit Ex. 3 - Part 1, # 4 Exhibit Ex. 3 - Part 2, # 5 Exhibit Ex. 4, # 6 Exhibit Ex. 5, # 7 Exhibit Ex. 6, # 8 Exhibit Ex. 7, # 9 Exhibit Ex. 8, # 10 Exhibit Ex. 9, # 11 Exhibit Ex. 10, # 12 Exhibit Ex. 11, # 13 Exhibit Ex. 12, # 14 Exhibit Ex. 13, # 15 Exhibit Ex. 14, # 16 Exhibit Ex. 15, # 17 Exhibit Ex. 16, # 18 Exhibit Ex. 17, # 19 Exhibit Ex. 18, # 20 Exhibit Ex. 19, # 21 Exhibit Ex. 20, # 22 Exhibit Ex. 21, # 23 Exhibit Ex. 22, # 24 Exhibit Ex. 23, # 25 Exhibit Ex. 24, # 26 Exhibit Ex. 25, # 27 Exhibit Ex. 26, # 28 Exhibit Ex. 27, # 29 Exhibit Ex. 28, # 30 Exhibit Ex. 29, # 31 Exhibit Ex. 30, # 32 Exhibit Ex. 31, # 33 Exhibit Ex. 32, # 34 Exhibit Ex. 33, # 35 Exhibit Ex. 34, # 36 Exhibit Ex. 35, # 37 Exhibit Ex. 36, # 38 Exhibit Ex. 37, # 39 Exhibit Ex. 38, # 40 Exhibit Ex. 39, # 41 Exhibit Ex. 40, # 42 Exhibit Ex. 41, # 43 Exhibit Ex. 42, # 44 Exhibit Ex. 43, # 45 Exhibit Ex. 44, # 46 Exhibit Ex. 45, # 47 Exhibit Ex. 46, # 48 Exhibit Ex. 47, # 49 Exhibit Ex. 48, # 50 Exhibit Ex. 49, # 51 Exhibit Ex. 50, # 52 Exhibit Ex. 51, # 53 Exhibit Ex. 52, # 54 Exhibit Ex. 53, # 55 Exhibit Ex. 54, # 56 Exhibit Ex. 55, # 57 Exhibit Ex. 56, # 58 Exhibit Ex. 57, # 59 Exhibit Ex. 58, # 60 Exhibit Ex. 59, # 61 Exhibit Ex. 60, # 62 Exhibit Ex. 61, # 63 Exhibit Ex. 62, # 64 Exhibit Ex. 63, # 65 Exhibit Ex. 64, # 66 Exhibit Ex. 65, # 67 Exhibit Ex. 66, # 68 Exhibit Ex. 67, # 69 Exhibit Ex. 68, # 70 Exhibit Ex. 69, # 71 Exhibit Ex. 70, # 72 Exhibit Ex. 71, # 73 Exhibit Ex. 72, # 74 Exhibit Ex. 73, # 75 Exhibit Ex. 74, # 76 Exhibit Ex. 75, # 77 Exhibit Ex. 76, # 78 Exhibit Ex. 77, # 79 Exhibit Ex. 78, # 80 Exhibit Ex. 79, # 81 Exhibit Ex. 80, # 82 Exhibit Ex. 81, # 83 Exhibit Ex. 82, # 84 Exhibit Ex. 83, # 85 Exhibit Ex. 84, # 86 Exhibit Ex. 85, # 87 Exhibit Ex. 86, # 88 Exhibit Ex. 87, # 89 Exhibit Ex. 88, # 90 Exhibit Ex. 89, # 91 Exhibit Ex. 90, # 92 Exhibit Ex. 91, # 93 Exhibit Ex. 92, # 94 Exhibit Ex. 93, # 95 Exhibit Ex. 94, # 96 Exhibit Ex. 95, # 97 Exhibit Ex. 96, # 98 Exhibit Ex. 97, # 99 Exhibit Ex. 98, # 100 Exhibit Ex. 99, # 101 Exhibit Ex. 100, # 102 Exhibit Ex. 101, # 103 Exhibit Ex. 102, # 104 Exhibit Ex. 103, # 105 Exhibit Ex. 104, # 106 Exhibit Ex. 105, # 107 Exhibit Ex. 106, # 108 Exhibit Ex. 107, # 109 Exhibit Ex. 108, # 110 Exhibit Ex. 109, # 111 Exhibit Ex. 110, # 112 Exhibit Ex. 111, # 113 Exhibit Ex. 112, # 114 Exhibit Ex. 113, # 115 Exhibit Ex. 114, # 116 Exhibit Ex. 115, # 117 Exhibit Ex. 116, # 118 Exhibit Ex. 117, # 119 Exhibit Ex. 118, # 120 Exhibit Ex. 119, # 121 Exhibit Ex. 120, # 122 Exhibit Ex. 121, # 123 Exhibit Ex. 122, # 124 Exhibit Ex. 123, # 125 Exhibit Ex. 124, # 126 Exhibit Ex. 125, # 127 Exhibit Ex. 126, # 128 Exhibit Ex. 127, # 129 Exhibit Ex. 128, # 130 Exhibit Ex. 129, # 131 Exhibit Ex. 130, # 132 Exhibit Ex. 131, # 133 Exhibit Ex.

132, # 134 Exhibit Ex. 133, # 135 Exhibit Ex. 134, # 136 Exhibit Ex. 135, # 137 Exhibit Ex. 136, # 138 Exhibit Ex. 137, # 139 Exhibit Ex. 138, # 140 Exhibit Ex. 139, # 141 Exhibit Ex. 140, # 142 Exhibit Ex. 141, # 143 Exhibit Ex. 142, # 144 Exhibit Ex. 143, # 145 Exhibit Ex. 144, # 146 Exhibit Ex. 145, # 147 Exhibit Ex. 146, # 148 Exhibit Ex. 147, # 149 Exhibit Ex. 148, # 150 Exhibit Ex. 149)(Lederer, Lawrence) (Entered: 04/20/2015)


05/12/2015 214 ENDORSED LETTER addressed to Judge Victor Marrero from Lawrence J. Lederer dated 5/8/2015 re: We write to bring to the Court's attention a ruling issued yesterday by the New York Court of Appeals, ACA Financial Guaranty Corp. v. Goldman Sachs & Co., No. 49, ---N.E.3d---, 2015 WL 2092531 (N.Y. May 7, 2015). ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by plaintiff. (Signed by Judge Victor Marrero on 5/11/2015) (kko) (Entered: 05/12/2015)

05/13/2015 215 ENDORSED LETTER addressed to Judge Victor Marrero from Richard H. Klapper dated 5/12/2015 re: I write on behalf of defendants Goldman, Sachs & Co., The Goldman Sachs Group, Inc., Peter L. Ostrem and Darryl K. Herrick (collectively, "Defendants") in response to Dodona's May 8, 2015 letter to the Court regarding ACA Fin. Guar. Corp. v. Goldman, Sachs & Co., 2015 WL 2092531 (N.Y. May 7, 2015). ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by defendants. (Signed by Judge Victor Marrero on 5/12/2015) (lmb) (Entered: 05/13/2015)

05/13/2015 216 ENDORSED LETTER addressed to Judge Victor Marrero from Lawrence J. Lederer dated 5/11/2015 re: We write to bring to the Court's attention the Award dated May 7, 2015 issued in the FINRA arbitration proceedings National Australia Bank Limited TSL (USA) Inc. v. Goldman, Sachs & Co., Case No. 12-04099 (New York, NY May 7, 2015). ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by plaintiffs. (Signed by Judge Victor Marrero on 5/12/2015) (lmb) (Entered: 05/13/2015)

05/15/2015 217 ENDORSED LETTER addressed to Judge Victor Marrero from Richard H. Klapper dated 5/13/2015 re: I write on behalf of defendants Goldman, Sachs & Co. ("Goldman Sachs"), The Goldman Sachs Group, Inc., Peter L. Ostrem and Darryl K. Herrick (collectively, "Defendants") to respond to Dodona's May 11, 2015 letter to the Court regarding the award in the National Australia Bank v. Goldman, Sachs & Co. FINRA arbitration ("NAB"). ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by the Goldman Sachs defendants. (Signed by Judge Victor Marrero on 5/15/2015) (lmb) (Entered: 05/15/2015)

05/18/2015 218 ENDORSED LETTER addressed to Judge Victor Marrero from Bruce R. Grace dated 5/14/2015 re: BYAFM requests a conference to discuss its proposed limited intervention and modification of the Protective Order and, if necessary, leave to file a motion to intervene and for modification of that order. ENDORSEMENT: Defendants are directed to respond by 5-20-15, by letter not to exceed three (3) pages, to the matter set forth above by BYAFAM, showing cause why the relief

requested should not be granted. (Signed by Judge Victor Marrero on 5/18/2015) (lmb) (Entered: 05/18/2015)

05/21/2015 219 ENDORSED LETTER addressed to Judge Victor Marrero from Richard H. Klapper dated 5/20/2015 re: I write on behalf of defendants Goldman, Sachs & Co. ("Goldman Sachs"), The Goldman Sachs Group, Inc., Peter L. Ostrem and Darryl K. Herrick (collectively, "Defendants") to respond to the May 14, 2015 letter to the Court from nonparty Basis Yield Alpha Fund (Master) ("Basis") regarding its request to modify the Stipulated Protective Order in this action. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by defendants. (Signed by Judge Victor Marrero on 5/21/2015) (lmb) (Entered: 05/21/2015)

05/29/2015 220 ENDORSED LETTER addressed to Judge Victor Marrero from Bruce R. Grace dated 5/21/2015 re: We write in reply to Defendants' May 20, 2015 letter opposing non-party BYAFM's request to intervene and move for modification of the Stipulated Protective Order in this action. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by proposed intervenor BYAFM. (Signed by Judge Victor Marrero on 5/29/2015) (lmb) (Entered: 05/29/2015)

06/01/2015 221 SEALED DOCUMENT placed in vault.(nm) (Entered: 06/01/2015)


06/01/2015 223 REPLY MEMORANDUM OF LAW in Support re: 189 MOTION for Summary Judgment (Defendants' Notice of Motion for Summary Judgment as to the Claims of Certain Class Members)., 193 MOTION for Summary Judgment . . Document filed by Goldman, Sachs & Co., Darryl K. Herrick, Peter L. Ostrem, The Goldman Sachs Group, Inc.. (Klapper, Richard) (Entered: 06/01/2015)

06/01/2015 224 DECLARATION of Jacob E. Cohen in Support re: 193 MOTION for Summary Judgment .. Document filed by Goldman, Sachs & Co., Darryl K. Herrick, Peter L. Ostrem, The Goldman Sachs Group, Inc.. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D, # 5 Exhibit E, # 6 Exhibit F)(Klapper, Richard) (Entered: 06/01/2015)

06/01/2015 225 REPLY re: 195 Rule 56.1 Statement . Document filed by Goldman, Sachs & Co., Darryl K. Herrick, Peter L. Ostrem, The Goldman Sachs Group, Inc.. (Klapper, Richard) (Entered: 06/01/2015)

06/01/2015 226 REPLY MEMORANDUM OF LAW in Support re: 189 MOTION for Summary Judgment (Defendants' Notice of Motion for Summary Judgment as to the Claims of Certain Class Members). (Defendants' Reply Memorandum of Law in Further Support of their Motion for Summary Judgment as to the Claims of Certain Class Members). Document filed by Goldman, Sachs & Co., Darryl K. Herrick, Peter L. Ostrem, The Goldman Sachs Group, Inc.. (Gresser, Lawrence) (Entered: 06/01/2015)

06/01/2015 227 REPLY re: 191 Rule 56.1 Statement (Defendants' Reply and Objections to Plaintiff's Response to Defendants' Local Rule 56.1 Statement of Material Facts as to the Claims of Certain Class Members). Document filed by Goldman, Sachs & Co.,

Darryl K. Herrick, Peter L. Ostrem, The Goldman Sachs Group, Inc.. (Gresser, Lawrence) (Entered: 06/01/2015)

06/03/2015 228 DECISION AND ORDER: The parties in the instant case are directed to show cause, within seven (7) days from the date of this Order, as to why those portions of the summary judgment motion record in this case that do not contain confidential trade secrets or other proprietary business information (Dkt. Nos. 190-192, 194-196, and 206-212, as well as similar portions of reply briefs yet to be filed and any additional submissions relating to the foregoing motions) should not be unsealed. (Signed by Judge Victor Marrero on 6/3/2015) (spo) (Entered: 06/03/2015)

06/04/2015 Minute Entry for proceedings held before Judge Victor Marrero: Telephone Conference held with the parties and proposed intervenor on 6/4/2015 regarding the Decision and Order dated 6/3/2015 (Dkt. No. 228). Submissions by the parties, pursuant to the 6/3/2015 Decision and Order, are due within seven (7) days of the Order, and third party responses are due within fourteen (14) days. (AM) (Entered: 06/04/2015)

06/10/2015 229 RESPONSE TO ORDER TO SHOW CAUSE re: 228 Order to Show Cause,,. Document filed by Dodona I, LLC. (Lederer, Lawrence) (Entered: 06/10/2015)

06/15/2015 230 ENDORSED LETTER addressed to Judge Victor Marrero from Lawrence J. Lederer dated 6/10/2015 re: Enclosed please find a courtesy copy of Lead Plaintiff Dodona I, LLC's Response to the Court's June 3, 2015 Decision and Order to Show Cause Regarding the Unsealing of Discovery Materials Submitted in Summary Judgment. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by plaintiff. (Signed by Judge Victor Marrero on 6/15/2015) (lmb) (Entered: 06/15/2015)

06/15/2015 231 ENDORSED LETTER addressed to Judge Victor Marrero from Perry M. Amsellem dated 6/10/2015 re: We respectfully request that CTA be granted a three week extension, until July 8, 2015, to submit its response to the June 3, 2015 Order to Show Cause. ENDORSEMENT: Request GRANTED. The time for non-party Church Tavern Advisors to respond to the Court's Order to Show Cause dated 6-3-15 and subsequent minute entry related thereto is extended to 7-8-15. (Signed by Judge Victor Marrero on 6/15/2015) (lmb) (Entered: 06/15/2015)

06/15/2015 232 ENDORSED LETTER addressed to Judge Victor Marrero from Richard H. Klapper dated 6/10/2015 re: I write on behalf of defendants Goldman, Sachs & Co., The Goldman Sachs Group, Inc., Peter L. Ostrem ("Ostrem") and Darryl K. Herrick ("Herrick") (collectively, "Defendants"), in response to the Court's June 3, 2015 order to show cause. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by defendants. (Signed by Judge Victor Marrero on 6/15/2015) (lmb) (Entered: 06/15/2015)

06/17/2015 233 RESPONSE TO ORDER TO SHOW CAUSE re: 228 Order to Show Cause,,. Document filed by Dodona I, LLC. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3)(Lederer, Lawrence) (Entered: 06/17/2015)

06/18/2015 234 ENDORSED LETTER addressed to Judge Victor Marrero from Susanna M. Buergel dated 6/17/2015 re: We write in response to this Court's June 4, 2015 minute entry, which ordered third parties to respond to this Court's June 3, 2015 Decision and Order (the "June 3 Order"). ENDORSEMENT: The Clerk of Court is directed to

enter into the public record of this action the letter above submitted to the Court by non -parties CAI and CGMI described above. (Signed by Judge Victor Marrero on 6/18/2015) (lmb) (Entered: 06/18/2015)

06/18/2015 235 ENDORSED LETTER addressed to Judge Victor Marrero from Lawrence J. Lederer dated 6/17/2015 re: Enclosed please find a courtesy copy of Lead Plaintiff Dodona I, LLC's Supplemental Response to the Court's June 3, 2015 Decision and Order to Show Cause Regarding the Unsealing of Discovery Materials Submitted in Summary Judgment. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by plaintiff. (Signed by Judge Victor Marrero on 6/18/2015) (lmb) (Entered: 06/18/2015)

06/18/2015 236 ENDORSED LETTER addressed to Nathaniel P.T. Read from Joshua Glick dated 6/18/2015 re: On behalf of third party JPMorgan Chase & Co., in response to the Court's June 4, 2015 Minute Order. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by non-party JPMorgan Chase. (Signed by Judge Victor Marrero on 6/18/2015) (kko) Modified on 6/22/2015 (kko). (Entered: 06/18/2015)

06/19/2015 237 ENDORSED LETTER addressed to Judge Victor Marrero from Lawrence T. Gresser dated 6/19/2015 re: I write on behalf of defendants Goldman, Sachs & Co., The Goldman Sachs Group, Inc., Peter L. Ostrem, and Darryl K. Herrick (collectively, "Defendants") to inform the Court as to the positions of non-parties subpoenaed by Defendants regarding the matters addressed in the Court's June 3, 2015 Decision and Order (the "June 3 Order") (Dkt. No. 228), the Court's direction on the June 4, 2015 telephone conference, and the Court's minute entry following that conference (the "Minute Entry"). ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by defendants. (Signed by Judge Victor Marrero on 6/19/2015) (lmb) (Entered: 06/19/2015)

07/08/2015 238 ENDORSED LETTER addressed to Judge Victor Marrero from Perry M. Amsellem dated 7/2/2015 re: We respectfully request that the Court direct that CTA's counsel be permitted, on attorneys' eyes only basis, to review complete, unredacted copies of all submissions on the summary judgment record that reference CTA, or rely in any way upon the highly confidential documents produced by CTA pursuant to the Subpoenas. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by non-party Church Tavern Advisors LLC. (Signed by Judge Victor Marrero on 7/7/2015) (lmb) (Entered: 07/08/2015)

07/08/2015 239 ENDORSED LETTER addressed to Judge Victor Marrero from Perry M. Amsellem dated 7/7/2015 re: We respectfully request that the Court grant an adjournment of CTA's current deadline to review the materials and respond to the Court's Order to Show Cause, to on or before July 29, 2015. ENDORSEMENT: Request GRANTED. The time for non-party Church Tavern Advisors to respond to the Court's Order to Show Cause herein is extended to 7-29-15., ( Show Cause Response due by 7/29/2015.) (Signed by Judge Victor Marrero on 7/7/2015) (lmb) (Entered: 07/08/2015)

07/16/2015 240 ENDORSED LETTER addressed to Judge Victor Marrero from Richard H. Klapper dated 7/13/2015 re: On behalf of defendants Goldman, Sachs & Co., The Goldman

Sachs Group, Inc., Peter L. Ostrem ("Ostrem") and Darryl K. Herrick ("Herrick"), in further response to the Court's June 3, 2015 order to show cause "as to why those portions of the summary judgment motion record in this case that do not contain confidential trade secrets or other proprietary business information...should not be unsealed." ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by defendants. (Signed by Judge Victor Marrero on 7/14/2015) (kko) (Entered: 07/16/2015)

07/30/2015 241 DECISION AND ORDER: For the reasons discussed above, it is hereby ORDERED that lead plaintiff Dodona I, LLC on behalf of itself and the class, and defendants Goldman, Sachs & Co., The Goldman Sachs Group, Inc., Peter L. Ostrem, and Darryl K. Herrick (collectively, "Defendants"), re-file their summary judgment submissions to conform with the proposed Category One and Category Two redactions submitted by Defendants and the relevant third-parties; and it is further ORDERED that the motion of nonparty Basis Yield Alpha Fund (Master) ("BYAFM") for leave to intervene (Dkt. No. 218) for the limited purpose of modifying the Protective Order is DENIED. (Signed by Judge Victor Marrero on 7/30/2015) (lmb) (Entered: 07/30/2015)

08/06/2015 242 NOTICE of Lead Plaintiff's Notice of Re-Filed Summary Judgment Papers Pursuant to the Court's July 30, 2015 Order. Document filed by Dodona I, LLC. (Lederer, Lawrence) (Entered: 08/06/2015)

08/06/2015 243 MEMORANDUM OF LAW in Opposition re: 193 MOTION for Summary Judgment . . Document filed by Dodona I, LLC. (Lederer, Lawrence) (Entered: 08/06/2015)


08/06/2015 245 RESPONSE in Opposition to Motion re: 189 MOTION for Summary Judgment (Defendants' Notice of Motion for Summary Judgment as to the Claims of Certain Class Members). . Document filed by Dodona I, LLC. (Lederer, Lawrence) (Entered: 08/06/2015)


08/06/2015 247 RESPONSE in Opposition to Motion re: 197 SUPPLEMENTAL MOTION for Summary Judgment . . Document filed by Dodona I, LLC. (Lederer, Lawrence) (Entered: 08/06/2015)


08/06/2015 249 DECLARATION of Lawrence J. Lederer in Opposition re: 193 MOTION for Summary Judgment ., 189 MOTION for Summary Judgment (Defendants' Notice of Motion for Summary Judgment as to the Claims of Certain Class Members)., 197 SUPPLEMENTAL MOTION for Summary Judgment .. Document filed by Dodona I, LLC. (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 11-14, # 12 Exhibit 15-17, # 13 Exhibit 18-19, # 14 Exhibit 20-24, # 15 Exhibit 25-26, # 16 Exhibit 27-28, # 17 Exhibit 29-1, # 18 Exhibit 29-2, # 19

Exhibit 29-3, # 20 Exhibit 29-4, # 21 Exhibit 30, # 22 Exhibit 31, # 23 Exhibit 32, # 24 Exhibit 33, # 25 Exhibit 34-35, # 26 Exhibit 36-39, # 27 Exhibit 40, # 28 Exhibit 41-43, # 29 Exhibit 44-52, # 30 Exhibit 53-62, # 31 Exhibit 63-71, # 32 Exhibit 72-74, # 33 Exhibit 75-76, # 34 Exhibit 77-78, # 35 Exhibit 79-80, # 36 Exhibit 81, # 37 Exhibit 82-1, # 38 Exhibit 82-2, # 39 Exhibit 82-3, # 40 Exhibit 82-4, # 41 Exhibit 83, # 42 Exhibit 84, # 43 Exhibit 85-87, # 44 Exhibit 88-91, # 45 Exhibit 92-93, # 46 Exhibit 94-1, # 47 Exhibit 94-2, # 48 Exhibit 94-3, # 49 Exhibit 94-4, # 50 Exhibit 94-5, # 51 Exhibit 95-1, # 52 Exhibit 95-2, # 53 Exhibit 96, # 54 Exhibit 97-1, # 55 Exhibit 97-2, # 56 Exhibit 97-3, # 57 Exhibit 98-99, # 58 Exhibit 100, # 59 Exhibit 101, # 60 Exhibit 102-1, # 61 Exhibit 102-2, # 62 Exhibit 102-3, # 63 Exhibit 102-4, # 64 Exhibit 102-5, # 65 Exhibit 103-105, # 66 Exhibit 106-107, # 67 Exhibit 108-110, # 68 Exhibit 111-1, # 69 Exhibit 111-2, # 70 Exhibit 111-3, # 71 Exhibit 111-4, # 72 Exhibit 111-5, # 73 Exhibit 112-1, # 74 Exhibit 112-2, # 75 Exhibit 112-3, # 76 Exhibit 112-4, # 77 Exhibit 112-5, # 78 Exhibit 113-1, # 79 Exhibit 113-2, # 80 Exhibit 113-3, # 81 Exhibit 113-4, # 82 Exhibit 113-5, # 83 Exhibit 113-6, # 84 Exhibit 114, # 85 Exhibit 115, # 86 Exhibit 116-1, # 87 Exhibit 116-2, # 88 Exhibit 116-3, # 89 Exhibit 117-120, # 90 Exhibit 121-122, # 91 Exhibit 123, # 92 Exhibit 124-128, # 93 Exhibit 129-133, # 94 Exhibit 134-135, # 95 Exhibit 136-1, # 96 Exhibit 136-2, # 97 Exhibit 137-139, # 98 Exhibit 140, # 99 Exhibit 141-1, # 100 Exhibit 141-2, # 101 Exhibit 142, # 102 Exhibit 143, # 103 Exhibit 144, # 104 Exhibit 145-1, # 105 Exhibit 145-2, # 106 Exhibit 146-1, # 107 Exhibit 146-2, # 108 Exhibit 146-3, # 109 Exhibit 147-1, # 110 Exhibit 147-2, # 111 Exhibit 147-3, # 112 Exhibit 148-1, # 113 Exhibit 148-2, # 114 Exhibit 148-3, # 115 Exhibit 149)(Lederer, Lawrence) (Entered: 08/06/2015)

08/06/2015 250 NOTICE of Certificate of Service. Document filed by Dodona I, LLC. (Lederer, Lawrence) (Entered: 08/06/2015)

08/10/2015 251 MEMORANDUM OF LAW in Support re: 193 MOTION for Summary Judgment . . Document filed by Goldman, Sachs & Co., Darryl K. Herrick, Peter L. Ostrem, The Goldman Sachs Group, Inc.. (Klapper, Richard) (Entered: 08/10/2015)

08/10/2015 252 RULE 56.1 STATEMENT. Document filed by Goldman, Sachs & Co., Darryl K. Herrick, Peter L. Ostrem, The Goldman Sachs Group, Inc.. (Klapper, Richard) (Entered: 08/10/2015)

08/10/2015 253 DECLARATION of Jacob M. Croke in Support re: 193 MOTION for Summary Judgment .. Document filed by Goldman, Sachs & Co., Darryl K. Herrick, Peter L. Ostrem, The Goldman Sachs Group, Inc.. (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, # 16 Exhibit 16, # 17 Exhibit 17 part 1, # 18 Exhibit 17 part 2, # 19 Exhibit 17 part 3, # 20 Exhibit 17 part 4, # 21 Exhibit 17 part 5, # 22 Exhibit 18 part 1, # 23 Exhibit 18 part 2, # 24 Exhibit 19, # 25 Exhibit 20, # 26 Exhibit 21, # 27 Exhibit 22, # 28 Exhibit 23, # 29 Exhibit 24, # 30 Exhibit 25, # 31 Exhibit 26, # 32 Exhibit 27, # 33 Exhibit 28, # 34 Exhibit 29, # 35 Exhibit 30, # 36 Exhibit 31, # 37 Exhibit 32, # 38 Exhibit 33, # 39 Exhibit 34, # 40 Exhibit 35, # 41 Exhibit 36, # 42 Exhibit 37, # 43 Exhibit 38, # 44 Exhibit 39, # 45 Exhibit 40, # 46 Exhibit 41 part 1, # 47 Exhibit 41 part 2, # 48 Exhibit 42, # 49 Exhibit 43)(Klapper, Richard) (Entered: 08/10/2015)

08/10/2015 254 DECLARATION of Jacob E. Cohen in Support re: 193 MOTION for Summary Judgment .. Document filed by Goldman, Sachs & Co., Darryl K. Herrick, Peter L. Ostrem, The Goldman Sachs Group, Inc.. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D, # 5 Exhibit E, # 6 Exhibit F)(Klapper, Richard) (Entered: 08/10/2015)

08/10/2015 255 REPLY re: 195 Rule 56.1 Statement . Document filed by Goldman, Sachs & Co., Darryl K. Herrick, Peter L. Ostrem, The Goldman Sachs Group, Inc.. (Klapper, Richard) (Entered: 08/10/2015)

08/10/2015 256 SUPPLEMENTAL MEMORANDUM OF LAW in Support re: 197 SUPPLEMENTAL MOTION for Summary Judgment . . Document filed by Darryl K. Herrick, Peter L. Ostrem. (Klapper, Richard) (Entered: 08/10/2015)

08/10/2015 257 RULE 56.1 STATEMENT. Document filed by Darryl K. Herrick, Peter L. Ostrem. (Klapper, Richard) (Entered: 08/10/2015)

08/10/2015 258 REPLY MEMORANDUM OF LAW in Support re: 197 SUPPLEMENTAL MOTION for Summary Judgment ., 193 MOTION for Summary Judgment . . Document filed by Goldman, Sachs & Co., Darryl K. Herrick, Peter L. Ostrem, The Goldman Sachs Group, Inc.. (Klapper, Richard) (Entered: 08/10/2015)

08/10/2015 259 MEMORANDUM OF LAW in Support re: 189 MOTION for Summary Judgment (Defendants' Notice of Motion for Summary Judgment as to the Claims of Certain Class Members). . Document filed by Goldman, Sachs & Co., Darryl K. Herrick, Peter L. Ostrem, The Goldman Sachs Group, Inc.. (Attachments: # 1 Exhibit A - To Defendants' Memorandum of Law in Support of Their Motion for Summary Judgment as to the Claims of Certain Class Members)(Read, Nathaniel) (Entered: 08/10/2015)

08/10/2015 260 RULE 56.1 STATEMENT. Document filed by Goldman, Sachs & Co., Darryl K. Herrick, Peter L. Ostrem, The Goldman Sachs Group, Inc.. (Read, Nathaniel) (Entered: 08/10/2015)

08/10/2015 261 DECLARATION of Nathaniel P. T. Read in Support re: 189 MOTION for Summary Judgment (Defendants' Notice of Motion for Summary Judgment as to the Claims of Certain Class Members).. Document filed by Goldman, Sachs & Co., Darryl K. Herrick, Peter L. Ostrem, The Goldman Sachs Group, Inc.. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3, # 4 Exhibit 4, # 5 Exhibit 5 - Part 1, # 6 Exhibit 5 - Part 2, # 7 Exhibit 6, # 8 Exhibit 7, # 9 Exhibit 8, # 10 Exhibit 9, # 11 Exhibit 10, # 12 Exhibit 11, # 13 Exhibit 12, # 14 Exhibit 13, # 15 Exhibit 14, # 16 Exhibit 15, # 17 Exhibit 16, # 18 Exhibit 17 - Part 1, # 19 Exhibit 17 - Part 2, # 20 Exhibit 18, # 21 Exhibit 19 - Part 1, # 22 Exhibit 19 - Part 2, # 23 Exhibit 19 - Part 3, # 24 Exhibit 19 - Part 4, # 25 Exhibit 19 - Part 5, # 26 Exhibit 20, # 27 Exhibit 21, # 28 Exhibit 22, # 29 Exhibit 23, # 30 Exhibit 24, # 31 Exhibit 25, # 32 Exhibit 26)(Read, Nathaniel) (Entered: 08/10/2015)

08/10/2015 262 REPLY MEMORANDUM OF LAW in Support re: 189 MOTION for Summary Judgment (Defendants' Notice of Motion for Summary Judgment as to the Claims of Certain Class Members). (Defendants' Reply Memorandum of Law in Further Support of their Motion for Summary Judgment as to the Claims of Certain Class Members). Document filed by Goldman, Sachs & Co., Darryl K. Herrick, Peter L. Ostrem, The Goldman Sachs Group, Inc.. (Read, Nathaniel) (Entered: 08/10/2015)

08/10/2015 263 REPLY re: 191 Rule 56.1 Statement (Defendants' Reply and Objections to Plaintiff's Response to Defendants' Local Rule 56.1 Statement of Material Facts as to the Claims of Certain Class Members). Document filed by Goldman, Sachs & Co., Darryl K. Herrick, Peter L. Ostrem, The Goldman Sachs Group, Inc.. (Read, Nathaniel) (Entered: 08/10/2015)

09/08/2015 264 DECISION AND ORDER denying 189 Motion for Summary Judgment; granting 193 Motion for Summary Judgment; denying 197 Motion for Summary Judgment. For the reasons set forth above, it is hereby ORDERED that the motion (Dkt. No. 193) of defendants Goldman, Sachs & Co., The Goldman Sachs Group, Inc. (together, with Goldman, Sachs & Co., the "Goldman Sachs Defendants"), and former Goldman Sachs employees Peter L. Ostrem ("Ostrem") and Derryl K. Herrick ("Herrick") (together with the Goldman Sachs Defendants, "Defendants"), for summary judgment, pursuant to Federal Rule of Civil Procedure 56 is GRANTED; and it is further ORDERED that the supplemental motion (Dkt. No. 197) of Ostrem and Herrick for summary judgment, pursuant to Federal Rule of Civil Procedure 56 is DENIED without prejudice; and it is further ORDERED that Defendants' motion (Dkt. No. 189) for summary judgment as to the claims of certain class members is DENIED without prejudice; and it is further ORDERED that the parties are directed to inform the Court, within twenty (20) days of the date of this Order, regarding their contemplation in connection with the disposition or further proceedings as to Defendants' counterclaims. The Clerk of Court is directed to terminate the motions for summary judgment (Dkt. Nos. 189, 193, 197). (As further set forth in this Order) *** Party Peter L. Ostrem, The Goldman Sachs Group, Inc., Goldman, Sachs & Co. and Darryl K. Herrick terminated (Signed by Judge Victor Marrero on 9/8/2015) (lmb) Modified on 9/9/2015 (lmb). Modified on 9/9/2015 (lmb). (Entered: 09/08/2015)

09/18/2015 265 ENDORSED LETTER addressed to Judge Victor Marrero from Merrill G. Davidoff and Lawrence J. Lederer dated 9/16/2015 re: We write to inform the Court that certain limited confidential information has been filed on the public docket. We seek the Court's consent for the sealing of the confidential information and the re-filing of corrected redacted documents; and request that the transcripts be permanently sealed. ENDORSEMENT: Request GRANTED. Plaintiff is hereby authorized to file the attached corrected redacted transcripts on the public docket of this action. (Signed by Judge Victor Marrero on 9/17/2015) (kko) (Main Document 265 replaced on 9/18/2015) (kko). Modified on 9/23/2015 (kko). (Entered: 09/18/2015)

09/18/2015 266 REDACTION to 249 Declaration in Opposition to Motion,,,,,,,,,,, Re-Redacted Exhibit 111 originally filed at Dkt. 249 by Dodona I, LLC(Lederer, Lawrence) (Entered: 09/18/2015)



09/28/2015 269 ENDORSED LETTER addressed to Judge Victor Marrero from Richard H. Klapper dated 9/28/2015 re: The parties respectfully request an additional 14-days to inform

the Court about the status of Defendants' counterclaims. ENDORSEMENT: Request GRANTED. The time for the parties to inform the Court as to the status of the counter-claims herein is extended to 10-13-15. (Signed by Judge Victor Marrero on 9/28/2015) (lmb) (Entered: 09/28/2015)

10/14/2015 270 ENDORSED LETTER addressed to Judge Victor Marrero from Richard H. Klapper dated 10/13/2015 re: the parties request an additional 14 days to inform the Court about the status of Defendants' counterclaims. ENDORSEMENT: Request GRANTED. The time for the parties to inform the Court about the status of the counterclaims herein is extended by two weeks. (Signed by Judge Victor Marrero on 10/14/2015) (tn) (Entered: 10/14/2015)

10/27/2015 271 ENDORSED LETTER addressed to Judge Victor Marrero from Richard H. Klapper dated 10/27/2015 re: The parties respectfully request an additional 14 days to inform the Court about the status of Goldman Sach's counterclaims. ENDORSEMENT: Request GRANTED. The time for the parties to inform the Court about the status of the counterclaims herein is extended to 11-12-15. (Signed by Judge Victor Marrero on 10/27/2015) (lmb) (Entered: 10/28/2015)

11/03/2015 272 ENDORSED LETTER addressed to Judge Victor Marrero from Merrill G. Davidoff and Lawrence J. Lederer dated 11/3/2015 re: Settlement reached. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by plaintiff. Further proceedings herein are stayed pending the submission of the parties' settlement agreement referred to above. (Signed by Judge Victor Marrero on 11/3/2015) (kgo) (Entered: 11/03/2015)

02/11/2016 273 MOTION for Settlement Lead Plaintiff's Unopposed Motion for Preliminary Approval of the Proposed Class Action Settlement and to Provide Notice to the Settlement Class. Document filed by Dodona I, LLC. (Attachments: # 1 Exhibit 1)(Lederer, Lawrence) (Entered: 02/11/2016)

02/11/2016 274 MEMORANDUM OF LAW in Support re: 273 MOTION for Settlement Lead Plaintiff's Unopposed Motion for Preliminary Approval of the Proposed Class Action Settlement and to Provide Notice to the Settlement Class. . Document filed by Dodona I, LLC. (Lederer, Lawrence) (Entered: 02/11/2016)

02/11/2016 275 CERTIFICATE OF SERVICE. Document filed by Dodona I, LLC. (Lederer, Lawrence) (Entered: 02/11/2016)

02/16/2016 276 ORDER PRELIMINARILY APPROVING SETTLEMENT AND PROVIDING NOTICE granting 273 Motion for Settlement: The Court hereby amends the definition of the certified Class to be the Settlement Class for purposes of the Settlement only, and preliminarily approves the Settlement set forth in the Stipulation subject to further consideration at the Final Approval Hearing. The Final Approval Hearing shall be held before this Court on 6/17/2016 at 9:30 a.m., at the United States District Court for the Southern District of New York, Daniel Patrick Moynihan United States Courthouse, 500 Pearl Street, Courtroom 11B, New York, NY 10007-1312, to determine whether the proposed Settlement of the Action on the terms and conditions provided for in the Stipulation is fair, reasonable and adequate to the Settlement Class and should be approved by the Court, and as further set forth in this order. The Court approves, as to form and content, the Notice of Proposed Settlement of Class Action, Certification of Settlement Class, Final Approval

Hearing, and Motion for Attorneys' Fees and Reimbursement of Litigation Costs (the "Notice"), the Proof of Claim and Release Form (the "Proof of Claim"), and the Summary Notice attached as Exhibits B, C and D, respectively, to the Settling Parties' Stipulation and finds that the mailing and distribution of the Notice and publishing of the Summary Notice substantially in the manner and form set forth in paragraphs 5-6 of this Order meet the requirements of Fed. R. Civ. P. 23 and due process, and is the best notice practicable under the circumstances and shall constitute due and sufficient notice to all Persons entitled thereto. The firm of Heffier Claims Group LLC ("Claims Administrator") is hereby appointed to supervise and administer the notice procedure as well as the processing of claims as set forth below and in the Stipulation, and as further set forth in this order. (Signed by Judge Victor Marrero on 2/16/2016) (tn) (Entered: 02/16/2016)

02/16/2016 Set/Reset Hearings: Fairness Hearing set for 6/17/2016 at 09:30 AM in Courtroom 11B, 500 Pearl Street, New York, NY 10007 before Judge Victor Marrero. (tn) (Entered: 02/16/2016)

03/24/2016 277 ORDER: Counsel for all parties are advised that the settlement conference before Judge Marrero scheduled for June 17, 2016 at 9:30 a.m. shall be rescheduled to Friday, July 1, 2016 at 9:30 a.m. in Courtroom 11B at the United States Courthouse, 500 Pearl Street, New York, New York. Principal trial counsel must appear at this conference. Requests for adjournment of the conference will be considered only if made in writing and otherwise in accordance with Judge Marrero's Individual Practices., ( Settlement Conference set for 7/1/2016 at 09:30 AM in Courtroom 11B, 500 Pearl Street, New York, NY 10007 before Judge Victor Marrero.) (Signed by Judge Victor Marrero on 3/24/2016) (lmb) (Entered: 03/24/2016)

05/13/2016 278 MOTION for Settlement re: Final Settlement Approval. Document filed by Dodona I, LLC. (Attachments: # 1 Text of Proposed Order re: Order and Final Judgment, # 2 Text of Proposed Order re: Order Approving Plan of Allocation)(Lederer, Lawrence) (Entered: 05/13/2016)

05/13/2016 279 MEMORANDUM OF LAW in Support re: 278 MOTION for Settlement re: Final Settlement Approval. . Document filed by Dodona I, LLC. (Lederer, Lawrence) (Entered: 05/13/2016)

05/13/2016 280 MOTION for Attorney Fees re: Final Settlement Approval. Document filed by Dodona I, LLC. (Attachments: # 1 Text of Proposed Order re: Order Granting Motion for Attorneys' Fees)(Lederer, Lawrence) (Entered: 05/13/2016)

05/13/2016 281 MEMORANDUM OF LAW in Support re: 280 MOTION for Attorney Fees re: Final Settlement Approval. . Document filed by Dodona I, LLC. (Lederer, Lawrence) (Entered: 05/13/2016)

05/13/2016 282 DECLARATION of Lawrence Lederer in Support re: 280 MOTION for Attorney Fees re: Final Settlement Approval., 278 MOTION for Settlement re: Final Settlement Approval.. Document filed by Dodona I, LLC. (Attachments: # 1 Exhibit Decl. of Alan Brody, # 2 Exhibit Decl. of Edward Sincavage, # 3 Exhibit Decl. of Joseph Mason, # 4 Exhibit Schedule of Lodestar and Expenses, # 5 Exhibit Firm Resume - Berger & Montague, # 6 Exhibit Decl. of Martin Kaplan, # 7 Exhibit Firm Resume - Gusrae Kaplan, # 8 Exhibit Decl. of David Frydman, # 9 Exhibit Firm Resume - Frydman LLC)(Lederer, Lawrence) (Entered: 05/13/2016)

05/13/2016 283 CERTIFICATE OF SERVICE. Document filed by Dodona I, LLC. (Lederer, Lawrence) (Entered: 05/13/2016)

06/24/2016 284 SUPPLEMENTAL MEMORANDUM OF LAW in Support re: 278 MOTION for Settlement re: Final Settlement Approval., 280 MOTION for Attorney Fees re: Final Settlement Approval. . Document filed by Dodona I, LLC. (Attachments: # 1 Exhibit 1)(Lederer, Lawrence) (Entered: 06/24/2016)

07/01/2016 Minute Entry for proceedings held before Judge Victor Marrero: Fairness Hearing held on 7/1/2016. Merrill Davidoff, Lawrence Lederer, David Frydman, and Alan Brody present for Plaintiff. Richard Klapper, Jacob Croke, Barry Bohrer, and Paul Weinstein present for Defendants. Court found that each of the Grinnell factors weighed decidedly in favor of granting final approval of the Settlement. Court also granted application for attorneys fees and expenses and the service award to Plaintiff. (mms) (Entered: 07/01/2016)

07/01/2016 285 ORDER APPROVING THE PLAN OF ALLOCATION granting 278 Motion for Settlement. IT IS HEREBY ORDERED, ADJUDGED, AND DECREED that: 1. The Plan of Allocation submitted by Lead Counsel is approved as fair and reasonable. The allocation formula has a reasonable, rational basis, was recommended by experienced and competent class counsel, and does not provide impermissibly favorable treatment to any segment of the Settlement Class. 2. The Court retains jurisdiction to hear any disputes arising from the claims administration process, including any determinations of the Claims Administrator or other matters. (Signed by Judge Victor Marrero on 7/1/2016) (lmb) (Entered: 07/01/2016)

07/01/2016 286 ORDER GRANTING LEAD COUNSEL'S MOTION FOR AN AWARD OF ATTORNEYS' FEES AND EXPENSES AND REIMBURSEMENT OF COSTS TO PLAINTIFF'S PRINCIPAL granting 280 Motion for Attorney Fees. 1. This Order incorporates by reference the definitions in the Stipulation, and all capitalized terms used but not defined herein shall have the same meanings as in the Stipulation as further set forth in this order. 7. Class Counsel are hereby awarded attorneys' fees in the amount of $6,875,000, or 25% of the total $27.5 million settlement fund (the "Settlement Fund"), and $1,273,377.29 in reimbursement of costs and expenses they actually incurred and disbursed in prosecuting this Action for the Settlement Class as further set forth in this order. 10. Plaintiff's Principal, Alan Brody, is hereby awarded $50,000.00 payable from the Settlement Fund for the reasonable costs and expenses he incurred and disbursed on behalf of Plaintiff directly relating to the representation of the Settlement Class in accordance with 15 U.S.C. § 78u-4(a)(4). 11. There is no just reason for delay in the entry of this Order, and immediate entry of this Order by the Clerk of Court is expressly directed pursuant to Rule 54(b) of the Federal Rules of Civil Procedure. (Signed by Judge Victor Marrero on 7/1/2016) (lmb) (Entered: 07/01/2016)

07/01/2016 287 ORDER AND FINAL JUDGMENT. IT IS HEREBY ORDERED, ADJUDGED AND DECREED that: 1. This Order and Final Judgment (the "Judgment") incorporates by reference the definitions in the Stipulation, and all capitalized terms used herein shall have the same meanings as set forth in the Stipulation, unless otherwise set forth in this Judgment. 2. This Court has jurisdiction over the subject matter of the Action and over all parties to the Action, including all Members of the Settlement Class. 3. Pursuant to Fed. R. Civ. P. 23(c)(1)(C), the Court amends the definition of the Class to be the Settlement Class for purposes of the Settlement. 4.

Pursuant to Fed. R. Civ. P. 23, the Court hereby approves the Settlement set forth in the Stipulation and finds that: (a) the Settlement contained therein is, in all respects, fair, reasonable and adequate and in the best interest of the Settlement Class as further set forth in this order. 5. Accordingly, the Court authorizes and directs implementation and performance of all the terms and provisions of the Stipulation, as well as the terms and provisions hereof. The Court hereby dismisses the Action and the claims and Counterclaims asserted in the Action with prejudice. The Settling Parties are to bear their own costs, except as and to the extent provided in the Stipulation and in this Judgment as further set forth in this order. 18. There is no just reason for delay in the entry of this Order and Final Judgment and immediate entry by the Clerk of the Court is expressly directed. (Signed by Judge Victor Marrero on 7/1/2016) (lmb) (Entered: 07/01/2016)

07/01/2016 Terminate Transcript Deadlines (lmb) (Entered: 07/01/2016)

08/25/2017 288 MOTION for Disbursement of Funds Motion to Distribute Class Action Settlement Funds. Document filed by Dodona I, LLC.(Lambiras, Jon) (Entered: 08/25/2017)

08/25/2017 289 MEMORANDUM OF LAW in Support re: 288 MOTION for Disbursement of Funds Motion to Distribute Class Action Settlement Funds. . Document filed by Dodona I, LLC. (Attachments: # 1 Exhibit Declaration of Claims Administrator, # 2 Text of Proposed Order)(Lambiras, Jon) (Entered: 08/25/2017)

08/25/2017 290 CERTIFICATE OF SERVICE. Document filed by Dodona I, LLC. (Lambiras, Jon) (Entered: 08/25/2017)

08/28/2017 291 ORDER DIRECTING DISTRIBUTION OF THE NET SETTLEMENT FUND: granting 288 Motion for Disbursement of Funds. It is now hereby ORDERED that: The administrative determinations of the Claims Administrator in accepting and rejecting claims filed in this matter are hereby approved. Claims accepted by the Claims Administrator are approved to be calculated and paid pro rat a based on the amounts of the recognized loss determined by the Claims Administrator. The Court accepts the recommendation of the Claims Administrator that the claims summarized in Exhibit A to the Declaration of Edward J. Sincavage in Support of Motion for Distribution of Net Settlement Fund ("Heffler Declaration") be deemed valid payable claims. The Court accepts the recommendation of the Claims Administrator that the claims summarized in Exhibit B to the Heffler Declaration be deemed non-payable claims. The Court approves payment to the Claims Administrator of $34,418.93 from the Net Settlement Fund for unpaid past and estimated future Notice and Administration Costs, and as further set forth in this order. (Signed by Judge Victor Marrero on 8/28/2017) (ap) (Entered: 08/28/2017)

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

U.S. District Court Southern District of New York (Foley...

Documents

Transcript of U.S. District Court Southern District of New York (Foley...