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

US District Court Civil Docket as of June 10, 2013 Retrieved from the court on June 20, 2013

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

CIVIL DOCKET FOR CASE #: 1:11-cv-09175-LAK

Louisiana Municipal Police Employees' Retirement System v. The Bank of New York Mellon Corporation et al Assigned to: Judge Lewis A. Kaplan Lead case: 1:12-md-02335-LAK Member case: (View Member Case) Related Cases: 1:11-cv-06969-LAK

1:12-md-02335-LAK Cause: 15:77 Securities Fraud

Date Filed: 12/14/2011 Jury Demand: Plaintiff Nature of Suit: 850 Securities/Commodities Jurisdiction: Federal Question

Date Filed # Docket Text

12/14/2011 1 COMPLAINT against BNY Mellon Capital Markets, LLC, Barclays Capital Inc., Ruth E. Bruch, Citigroup Global Markets Inc., Nicholas M. Donofrio, Steven G. Elliott, Thomas P. Gibbons, Goldman, Sachs & Co., Gerald L. Hassell, Michael K. Hughey, Edmund F. Kelly, Robert P. Kelly, Richard J. Kogan, Michael J. Kowalski, John A. Luke, Jr, Robert Mehrabian, Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley & Co. Incorporated, Mark A. Nordenberg, John A. Park, Catherine A. Rein, William C. Richardson, Samuel C. Scott, III, John P. Surma, The Bank of New York Mellon Corporation, UBS Securities LLC, Bruce W. Van Saun, Wesley W. Von Schack. (Filing Fee $ 350.00, Receipt Number 24541)Document filed by Louisiana Municipal Police Employees' Retirement System.(ama) (Entered: 12/19/2011)

12/14/2011 SUMMONS ISSUED as to BNY Mellon Capital Markets, LLC, Barclays Capital Inc., Ruth E. Bruch, Citigroup Global Markets Inc., Nicholas M. Donofrio, Steven G. Elliott, Thomas P. Gibbons, Goldman, Sachs & Co., Gerald L. Hassell, Michael K. Hughey, Edmund F. Kelly, Robert P. Kelly, Richard J. Kogan, Michael J. Kowalski, John A. Luke, Jr, Robert Mehrabian, Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley & Co. Incorporated, Mark A. Nordenberg, John A. Park, Catherine A. Rein, William C. Richardson, Samuel C. Scott, III, John P. Surma, The Bank of New York Mellon Corporation, UBS Securities LLC, Bruce W. Van Saun, Wesley W. Von Schack. (ama) (Entered: 12/19/2011)

12/14/2011 CASE REFERRED TO Judge Lewis A. Kaplan as possibly related to 1:11-cv-6969. (ama) (Entered: 12/19/2011)

12/14/2011

12/14/2011 2

Case Designated ECF. (ama) (Entered: 12/19/2011)

STANDING ORDER IN RE PILOT PROJECT REGARDING CASE MANAGEMENT TECHNIQUES FOR COMPLEX CIVIL CASES IN THE SOUTHERN DISTRICT OF NEW YORK (See M-10-468 Order filed November 1, 2011). This case is hereby designated for inclusion in the Pilot Project Regarding Case Management Techniques for Complex Civil Cases in the Southern District of New

12/21/2011

12/21/2011

12/21/2011

02/13/2012

York (the Pilot Project), unless the judge to whom this case is assigned determines otherwise. This case is designated for inclusion in the Pilot Project because it is a class action, an MDL action, or is in one of the following Nature of Suit categories: 160, 245, 315, 355, 365, 385, 410, 830, 840, 850, 893, or 950. The presiding judge in a case that does not otherwise qualify for inclusion in the Pilot Project may nevertheless designate the case for inclusion in the Pilot Project by issuing an order directing that the case be included in the Pilot Project. The description of the Pilot Project, including procedures to be followed, is attached to this Order. (Signed by Judge Loretta A. Preska on 10/31/2011) (ama) (Entered: 12/19/2011)

CASE ACCEPTED AS RELATED. Create association to 1:11-cv-06969-LAK. Notice of Assignment to follow. (pgu) (Entered: 12/21/2011)

. 3 NOTICE OF CASE ASSIGNMENT to Judge Lewis A. Kaplan. Judge Unassigned is no longer assigned to the case. (pgu) (Entered: 12/21/2011)

Magistrate Judge James L. Cott is so designated. (pgu) (Entered: 12/21/2011)

4 MOTION to Appoint Miami Firefighters' Relief and Pension Fund to serve as lead plaintiff(s). Document filed by Miami Firefighters' Relief and Pension Fund.(Rosner, Marian) (Entered: 02/13/2012)

02/13/2012 5 MEMORANDUM OF LAW in Support re: 4 MOTION to Appoint Miami I Firefighters' Relief and Pension Fund to serve as lead plaintiff(s).. Document filed by

Miami Firefighters' Relief and Pension Fund. (Rosner, Marian) (Entered: 02/13/2012)

02/13/2012 6 DECLARATION of Marian P. Rosner in Support re: 4 MOTION to Appoint Miami Firefighters' Relief and Pension Fund to serve as lead plaintiff(s).. Document filed by Miami Firefighters' Relief and Pension Fund. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C)(Rosner, Marian) (Entered: 02/13/2012)

02/13/2012 7 CERTIFICATE OF SERVICE. Document filed by Miami Firefighters' Relief and Pension Fund. (Rosner, Marian) (Entered: 02/13/2012)

02/13/2012 8 MOTION to Appoint Ironworkers Locals 40, 361 & 417 - Union Security Funds to serve as lead plaintiff(s)., MOTION to Appoint Counsel Pomerantz Haudek Grossman & Gross LLP. Document filed by Ironworkers Locals 40, 361 & 417 - Union Security Funds. (Attachments: # 1 Text of Proposed Order)(Lieberman, Jeremy) (Entered:

I 02/13/2012)

02/13/2012 9 MEMORANDUM OF LAW in Support re: 8 MOTION to Appoint Ironworkers Locals 40, 361 & 417 - Union Security Funds to serve as lead plaintiff(s). MOTION to Appoint Counsel Pomerantz Haudek Grossman & Gross LLP . MOTION to Appoint Ironworkers Locals 40, 361 & 417 - Union Security Funds to serve as lead plaintiff(s).. Document filed by Ironworkers Locals 40, 361 & 417 - Union Security Funds. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D)(Lieberman, Jeremy) (Entered: 02/13/2012)

02/13/2012 10 MOTION to Appoint DeKalb County Pension Fund to serve as lead plaintiff(s) and Approve Its Selection of Lead Counsel . Document filed by DeKalb County Pension Fund. (Attachments: # 1 Text of Proposed Order)(Wilson, James) (Entered: 02/13/2012)

02/13/2012 11 MEMORANDUM OF LAW in Support re: 10 MOTION to Appoint DeKalb County

Pension Fund to serve as lead plaintiff(s) and Approve Its Selection of Lead Counsel .. Document filed by DeKalb County Pension Fund. (Wilson, James) (Entered: 02/13/2012)

02/13/2012 12 DECLARATION of James M. Wilson, Jr. in Support re: 10 MOTION to Appoint DeKalb County Pension Fund to serve as lead plaintiff(s) and Approve Its Selection of Lead Counsel .. Document filed by DeKalb County Pension Fund. (Wilson, James) (Entered: 02/13/2012)

02/13/2012 13 CERTIFICATE OF SERVICE. Document filed by DeKalb County Pension Fund. (Wilson, James) (Entered: 02/13/2012)

02/13/2012 14 MOTION to Appoint Union Asset Management Holding AG and Pension Trust Fund for Operating Engineers to serve as lead plaintiff(s)., MOTION to Appoint Counsel. Document filed by Union Asset Management Holding AG, Pension Trust Fund For Operating Engineers. (Attachments: # 1 Text of Proposed Order)(Rudman, Samuel) (Entered: 02/13/2012)

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15 MEMORANDUM OF LAW in Support re: 14 MOTION to Appoint Union Asset Management Holding AG and Pension Trust Fund for Operating Engineers to serve as lead plaintiff(s). MOTION to Appoint Counsel. MOTION to Appoint Union Asset Management Holding AG and Pension Trust Fund for Operating Engineers to serve as lead plaintiff(s).. Document filed by Pension Trust Fund For Operating Engineers,

- Union Asset Management Holding AG. (Rudman, Samuel) (Entered: 02/13/2012)

16 DECLARATION of Samuel H. Rudman in Support re: 14 MOTION to Appoint Union Asset Management Holding AG and Pension Trust Fund for Operating Engineers to serve as lead plaintiff(s). MOTION to Appoint Counsel. MOTION to Appoint Union Asset Management Holding AG and Pension Trust Fund for Operating Engineers to serve as lead plaintiff(s).. Document filed by Pension Trust Fund For Operating Engineers, Union Asset Management Holding AG. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D, # 5 Exhibit E, # 6 Exhibit F, # 7 Exhibit G)(Rudman, Samuel) (Entered: 02/13/2012)

17 MOTION to Appoint State of Oregon By and Through the Oregon State Treasurer on Behalf of the Common School Fund and, Together with the Oregon Public Employee Retirement Board, on Behalf of the Oregon Public Employee Retirement Fund, and Danske Invest Management A/S to serve as lead plaintiff(s). Document filed by State of Oregon By and Through the Oregon State Treasurer on Behalf of the Common School Fund and, Together with the Oregon Public Employee Retirement Board, on Behalf of the Oregon Public Employee Retirement Fund, Danske Invest Management A/S.(Silk, Gerald) (Entered: 02/13/2012)

18 MEMORANDUM OF LAW in Support re: 17 MOTION to Appoint State of Oregon By and Through the Oregon State Treasurer on Behalf of the Common School Fund and, Together with the Oregon Public Employee Retirement Board, on Behalf of the Oregon Public Employee Retirement Fund, and Danske Invest. Document filed by Danske Invest Management A/S, State of Oregon By and Through the Oregon State Treasurer on Behalf of the Common School Fund and, Together with the Oregon Public Employee Retirement Board, on Behalf of the Oregon Public Employee Re. (Silk, Gerald) (Entered: 02/13/2012)

02/13/2012 19 DECLARATION of Gerald H. Silk in Support re: 17 MOTION to Appoint State of

Oregon By and Through the Oregon State Treasurer on Behalf of the Common School Fund and, Together with the Oregon Public Employee Retirement Board, on Behalf of the Oregon Public Employee Retirement Fund, and Danske Invest. Document filed by Danske Invest Management A/S, State of Oregon By and Through the Oregon State Treasurer on Behalf of the Common School Fund and, Together with the Oregon Public Employee Retirement Board, on Behalf of the Oregon Public Employee Re. (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)(Silk, Gerald) (Entered: 02/13/2012)

02/14/2012 20 ORDER: In accordance with Section 1 of the Standing Order in In re Pilot Project Regarding Case Management Techniques for Complex Civil Cases in the Southern District of New York, the undersigned hereby determines that this case shall NOT be designated for inclusion in the project. (Signed by Judge Lewis A. Kaplan on 2/14/2012) (tro) (Entered: 02/14/2012)

02/21/2012 21 NOTICE OF APPEARANCE by David Avi Rosenfeld on behalf of Pension Trust Fund For Operating Engineers, Union Asset Management Holding AG (Rosenfeld, David) (Entered: 02/21/2012)

02/29/2012 22, RESPONSE to Motion re: 4 MOTION to Appoint Miami Firefighters' Relief and Pension Fund to serve as lead plaintiff(s). Withdrawing Motion . Document filed by Miami Firefighters' Relief and Pension Fund. (Rosner, Marian) (Entered: 02/29/2012)

03/01/2012 23 RESPONSE to Motion re: 8 MOTION to Appoint Ironworkers Locals 40, 361 & 417 - Union Security Funds to serve as lead plaintiff(s). MOTION to Appoint Counsel Pomerantz Haudek Grossman & Gross LLP . MOTION to Appoint Ironworkers Locals 40, 361 & 417 - Union Security Funds to serve as lead plaintiff(s).. Document filed by Ironworkers Locals 40, 361 & 417 - Union Security Funds. (Lieberman, Jeremy) (Entered: 03/01/2012)

03/01/2012 24 RESPONSE to Motion re: 10 MOTION to Appoint DeKalb County Pension Fund to serve as lead plaintiff(s) and Approve Its Selection of Lead Counsel ., 4 MOTION to Appoint Miami Firefighters' Relief and Pension Fund to serve as lead plaintiff(s)., 8 MOTION to Appoint Ironworkers Locals 40, 361 & 417 - Union Security Funds to serve as lead plaintiff(s). MOTION to Appoint Counsel Pomerantz Haudek Grossman & Gross LLP . MOTION to Appoint Ironworkers Locals 40, 361 & 417 - Union Security Funds to serve as lead plaintiff(s)., 17 MOTION to Appoint State of Oregon By and Through the Oregon State Treasurer on Behalf of the Common School Fund and, Together with the Oregon Public Employee Retirement Board, on Behalf of the Oregon Public Employee Retirement Fund, and Danske Invest. Document filed by Pension Trust Fund For Operating Engineers, Union Asset Management Holding AG. (Rudman, Samuel) (Entered: 03/01/2012)

03/01/2012 25 RESPONSE to Motion re: 4 MOTION to Appoint Miami Firefighters' Relief and Pension Fund to serve as lead plaintiff(s)., 8 MOTION to Appoint Ironworkers Locals 40, 361 & 417 - Union Security Funds to serve as lead plaintiff(s). MOTION to Appoint Counsel Pomerantz Haudek Grossman & Gross LLP . MOTION to Appoint Ironworkers Locals 40, 361 & 417 - Union Security Funds to serve as lead plaintiff(s)., 17 MOTION to Appoint State of Oregon By and Through the Oregon State Treasurer on Behalf of the Common School Fund and, Together with the Oregon Public Employee Retirement Board, on Behalf of the Oregon Public Employee Retirement

Fund, and Danske Invest, 14 MOTION to Appoint Union Asset Management Holding AG and Pension Trust Fund for Operating Engineers to serve as lead plaintiff(s). MOTION to Appoint Counsel. MOTION to Appoint Union Asset Management Holding AG and Pension Trust Fund for Operating Engineers to serve as lead plaintiff(s).. Document filed by DeKalb County Pension Fund. (Wilson, James) (Entered: 03/01/2012)

03/01/2012 26 DECLARATION of James M. Wilson, Jr. in Support re: 10 MOTION to Appoint DeKalb County Pension Fund to serve as lead plaintiff(s) and Approve Its Selection of Lead Counsel .. Document filed by DeKalb County Pension Fund. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D, # 5 Exhibit E, # 6 Exhibit F, # 7 Exhibit G)(Wilson, James) (Entered: 03/01/2012)

03/01/2012 27 CERTIFICATE OF SERVICE of Memorandum in Further Support of the Motion of the DeKalb County Pension Fund for Appointment as Lead Plaintiff and Lead Counsel and in Opposition to the Competing Motions and Declaration of James M. Wilson, Jr. in Further Support of the DeKalb County Pension Fund's Motion For Appointment and in Opposition to the Competing Motions. Document filed by DeKalb County Pension Fund. (Wilson, James) (Entered: 03/01/2012)

03/01/2012 28 MEMORANDUM OF LAW in Support re: 17 MOTION to Appoint State of Oregon By and Through the Oregon State Treasurer on Behalf of the Common School Fund and, Together with the Oregon Public Employee Retirement Board, on Behalf of the Oregon Public Employee Retirement Fund, and Danske Invest. Document filed by Danske Invest Management A/S, State of Oregon By and Through the Oregon State Treasurer on Behalf of the Common School Fund and, Together with the Oregon Public Employee Retirement Board, on Behalf of the Oregon Public Employee Re. (Silk, Gerald) (Entered: 03/01/2012)

03/08/2012 29 MEMO ENDORSEMENT on re: 22 NOTICE of Miami Firefighters' Relief and Persion Fund Withdrawing Motion for Appointment as Lead Plaintiff. ENDORSEMENT: Motion withdrawn. (Signed by Judge Lewis A. Kaplan on 3/7/2012) (mro) (Entered: 03/08/2012)

03/12/2012 30 REPLY to Response to Motion re: 10 MOTION to Appoint DeKalb County Pension Fund to serve as lead plaintiff(s) and Approve Its Selection of Lead Counsel . and in Further Opposition to the Competing Motion . Document filed by DeKalb County Pension Fund. (Wilson, James) (Entered: 03/12/2012)

03/12/2012 31 DECLARATION of James M. Wilson, Jr. in Support re: 10 MOTION to Appoint I DeKalb County Pension Fund to serve as lead plaintiff(s) and Approve Its Selection of

Lead Counsel .. Document filed by DeKalb County Pension Fund. (Wilson, James) (Entered: 03/12/2012)

03/12/2012 32 CERTIFICATE OF SERVICE of Reply Memorandum in Further Support of the Motion of the DeKalb County Pension Fund for Appointment as Lead Plaintiff and Lead Counsel and in Further Opposition to the Competing Motion and Declaration of James M. Wilson, Jr. in Further Support of the Motion of the DeKalb County Pension Fund for Appointment as Lead Plaintiff and Lead Counsel and in Further Opposition to the Competing Motion. Document filed by DeKalb County Pension Fund. (Wilson, James) (Entered: 03/12/2012)

03/12/2012 33 REPLY MEMORANDUM OF LAW in Support re: 17 MOTION to Appoint State of

Oregon By and Through the Oregon State Treasurer on Behalf of the Common School Fund and, Together with the Oregon Public Employee Retirement Board, on Behalf of the Oregon Public Employee Retirement Fund, and Danske Invest. Document filed by Danske Invest Management A/S, State of Oregon By and Through the Oregon State Treasurer on Behalf of the Common School Fund and, Together with the Oregon Public Employee Retirement Board, on Behalf of the Oregon Public Employee Re. (Silk, Gerald) (Entered: 03/12/2012)

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34 DECLARATION of Gerald H. Silk in Support re: 17 MOTION to Appoint State of Oregon By and Through the Oregon State Treasurer on Behalf of the Common School Fund and, Together with the Oregon Public Employee Retirement Board, on Behalf of the Oregon Public Employee Retirement Fund, and Danske Invest. Document filed by Danske Invest Management A/S, State of Oregon By and Through the Oregon State Treasurer on Behalf of the Common School Fund and, Together with the Oregon Public Employee Retirement Board, on Behalf of the Oregon Public Employee Re. (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)(Silk, Gerald) (Entered: 03/12/2012)

35 ORDER. The Court will hear oral argument of the pending motions for appointment as lead plaintiff and approval of selection of lead counsel on March 29, 2012 at 10:00 a.m. in Courtroom 21B. (Oral Argument set for 3/29/2012 at 10:00 AM in Courtroom 21B, U.S. Courthouse, 500 Pearl Street, New York, NY 10007 before Judge Lewis A. Kaplan.) (Signed by Judge Lewis A. Kaplan on 3/19/2012) (rjm) (Entered: 03/19/2012)

36 NOTICE OF APPEARANCE by Vincent Ian Parrett on behalf of Pension Trust Fund For Operating Engineers, Union Asset Management Holding AG (Parrett, Vincent) (Entered: 03/22/2012)

37 MOTION for Robert W. Killorin to Appear Pro Hac Vice. Document filed by DeKalb County Pension Fund.(pgu) (Entered: 03/26/2012)

CASHIERS OFFICE REMARK on 37 Motion to Appear Pro Hac Vice in the amount of $200.00, paid on 03/23/2012, Receipt Number 1033453. (jd) (Entered: 03/28/2012)

38 MEMO ENDORSEMENT granting 37 Motion for Robert W. Killorin to Appear Pro Hac Vice. ENDORSEMENT: Granted. (Signed by Judge Lewis A. Kaplan on 3/26/2012) (mro) (Entered: 03/28/2012)

39 ORDER granting in part and denying in part 17 Motion to Appoint ; denying 8 Motion to Appoint ; denying 10 Motion to Appoint ; denying 14 Motion to Appoint ; denying 14 Motion to Appoint Counsel. 1. The motion of plaintiff State of Oregon by and through the Oregon State Treasurer, etc., and others for appointment as lead plaintiff and approval of their selection of lead counsel [DI 17] is granted to the extent that (a) the State of Oregon, by and through the Oregon State Treasurer on behalf of the Common School Fund, and the Oregon Public Employee Retirement Board, on behalf of the Oregon Public Employee Retirement Fund, are appointed co-lead plaintiffs, and (b) their selection of Bernstein Litowitz Berger & Grossman LLP (the "Bernstein Firm") as Lead Counsel for the alleged Class is approved, and denied in all other respects. 2. The motions to appoint (a) Ironworkers Locals 40, 361 and 417, (b) DeKalb County Pension Fund, and (c) Union Asset Management Holding AG and

others as lead plaintiffs and to approve their respective selections of proposed lead counsel [DI 8, 10 and 14] all are denied. (Signed by Judge Lewis A. Kaplan on 3/29/2012) (lmb) (Entered: 03/29/2012)

03/29/2012 Minute Entry for proceedings held before Judge Lewis A. Kaplan: Motion Hearing held on 3/29/2012 re: 10 MOTION to Appoint DeKalb County Pension Fund to serve as lead plaintiff(s) and Approve Its Selection of Lead Counsel . filed by DeKalb County Pension Fund, 8 MOTION to Appoint Ironworkers Locals 40, 361 & 417 - Union Security Funds to serve as lead plaintiff(s). MOTION to Appoint Counsel Pomerantz Haudek Grossman & Gross LLP . MOTION to Appoint Ironworkers Locals 40, 361 & 417 - Union Security Funds to serve as lead plaintiff(s). filed by Ironworkers Locals 40, 361 & 417 - Union Security Funds, 14 MOTION to Appoint Union Asset Management Holding AG and Pension Trust Fund for Operating Engineers to serve as lead plaintiff(s). MOTION to Appoint Counsel. MOTION to Appoint Union Asset Management Holding AG and Pension Trust Fund for Operating Engineers to serve as lead plaintiff(s). filed by Union Asset Management Holding AG, Pension Trust Fund For Operating Engineers. Remark: Regarding motions 8, 10, and 14. (jfe) (Entered: 04/02/2012)

03/30/2012 40 NOTICE OF APPEARANCE by William Curtis Fredericks on behalf of State of Oregon By and Through the Oregon State Treasurer on Behalf of the Common School Fund and, Together with the Oregon Public Employee Retirement Board, on Behalf of the Oregon Public Employee Re (Fredericks, William) (Entered: 03/30/2012)

03/30/2012 41 NOTICE OF APPEARANCE by Laura Helen Gundersheim on behalf of State of Oregon By and Through the Oregon State Treasurer on Behalf of the Common School Fund and, Together with the Oregon Public Employee Retirement Board, on Behalf of the Oregon Public Employee Re (Gundersheim, Laura) (Entered: 03/30/2012)

03/30/2012 42 NOTICE OF APPEARANCE by Sean K. O'Dowd on behalf of State of Oregon By and Through the Oregon State Treasurer on Behalf of the Common School Fund and, Together with the Oregon Public Employee Retirement Board, on Behalf of the Oregon Public Employee Re (O'Dowd, Sean) (Entered: 03/30/2012)

04/12/2012 43 WAIVER OF SERVICE RETURNED EXECUTED. Document filed by State of Oregon By and Through the Oregon State Treasurer on Behalf of the Common School Fund and, Together with the Oregon Public Employee Retirement Board, on Behalf of the Oregon Public Employee Re. (Gundersheim, Laura) (Entered: 04/12/2012)

04/12/2012 44 WAIVER OF SERVICE RETURNED EXECUTED. Document filed by State of I Oregon By and Through the Oregon State Treasurer on Behalf of the Common School

Fund and, Together with the Oregon Public Employee Retirement Board, on Behalf of the Oregon Public Employee Re. (Gundersheim, Laura) (Entered: 04/12/2012)




04/12/2012 48 WAIVER OF SERVICE RETURNED EXECUTED. Document filed by State of I Oregon By and Through the Oregon State Treasurer on Behalf of the Common School

Fund and, Together with the Oregon Public Employee Retirement Board, on Behalf of the Oregon Public Employee Re. (Gundersheim, Laura) (Entered: 04/12/2012)









04/12/2012 57 WAIVER OF SERVICE RETURNED EXECUTED. Document filed by State of Oregon By and Through the Oregon State Treasurer on Behalf of the Common School Fund and, Together with the Oregon Public Employee Retirement Board, on Behalf of

the Oregon Public Employee Re. (Gundersheim, Laura) (Entered: 04/12/2012)








04/12/2012 65 AFFIDAVIT OF SERVICE of Summons & Complaint served on Barclays Capital Inc. on 4/9/12. Service was accepted by Person. Document filed by State of Oregon By and Through the Oregon State Treasurer on Behalf of the Common School Fund and, Together with the Oregon Public Employee Retirement Board, on Behalf of the Oregon Public Employee Re. (Gundersheim, Laura) (Entered: 04/12/2012)

04/12/2012 66 AFFIDAVIT OF SERVICE of Summons & Complaint served on Citigroup Global Markets Inc. on 4/9/12. Service was accepted by Person. Document filed by State of Oregon By and Through the Oregon State Treasurer on Behalf of the Common School Fund and, Together with the Oregon Public Employee Retirement Board, on Behalf of the Oregon Public Employee Re. (Gundersheim, Laura) (Entered: 04/12/2012)

04/12/2012 67 AFFIDAVIT OF SERVICE of Summons & Complaint served on Goldman Sachs & Co. on 4/9/12. Service was accepted by Person. Document filed by State of Oregon By and Through the Oregon State Treasurer on Behalf of the Common School Fund and, Together with the Oregon Public Employee Retirement Board, on Behalf of the

Oregon Public Employee Re. (Gundersheim, Laura) (Entered: 04/12/2012)

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68 AFFIDAVIT OF SERVICE of Summons & Complaint served on Merrill Lynch, Pierce, Fenner & Smith on 4/9/12. Service was accepted by Person. Document filed by State of Oregon By and Through the Oregon State Treasurer on Behalf of the Common School Fund and, Together with the Oregon Public Employee Retirement Board, on Behalf of the Oregon Public Employee Re. (Gundersheim, Laura) (Entered: 04/12/2012)

69 AFFIDAVIT OF SERVICE of Summons & Complaint served on Morgan Stanley & Co. Inc. on 4/9/12. Service was accepted by Person. Document filed by State of Oregon By and Through the Oregon State Treasurer on Behalf of the Common School Fund and, Together with the Oregon Public Employee Retirement Board, on Behalf of the Oregon Public Employee Re. (Gundersheim, Laura) (Entered: 04/12/2012)

70 AFFIDAVIT OF SERVICE of Summons & Complaint served on UBS Securities LLC on 4/9/12. Service was accepted by Person. Document filed by State of Oregon By and Through the Oregon State Treasurer on Behalf of the Common School Fund and, Together with the Oregon Public Employee Retirement Board, on Behalf of the Oregon Public Employee Re. (Gundersheim, Laura) (Entered: 04/12/2012)

04/12/2012 71 AFFIDAVIT OF SERVICE of Summons & Complaint served on UBS on 4/10/12. Service was accepted by Person. Document filed by State of Oregon By and Through the Oregon State Treasurer on Behalf of the Common School Fund and, Together with the Oregon Public Employee Retirement Board, on Behalf of the Oregon Public Employee Re. (Gundersheim, Laura) (Entered: 04/12/2012)

04/17/2012 CASE ACCEPTED AS RELATED. Create association to 1:12-md-02335-LAK. (sjo) (Entered: 04/17/2012)

04/17/2012 CONSOLIDATED MDL CASE: Create association to 1:12-md-02335-LAK. (sjo) (Entered: 04/17/2012)

04/19/2012

04/19/2012

72 TRANSCRIPT of Proceedings re: Argument held on 3/29/2012 before Judge Lewis A. Kaplan. Court Reporter/Transcriber: Karen Gorlaski, (212) 805-0300. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 5/14/2012. Redacted Transcript Deadline set for 5/24/2012. Release of Transcript Restriction set for 7/23/2012.(McGuirk, Kelly) (Entered: 04/19/2012)

73 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a Argument proceeding held on 3/29/12 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...(McGuirk, Kelly) (Entered: 04/19/2012)

04/27/2012 74 PRETRIAL ORDER NO.1 (Initial Case Management Order): It appearing that the I cases listed on Attachment A, which have been filed in or transferred to this Court

pursuant to 28 U.S.C. § 1407, merit special attention as complex litigation and as further set forth in this document. (Signed by Judge Lewis A. Kaplan on 4/27/2012)

Filed In Associated Cases: 1:12-md-02335-LAK et al.(cd) (Entered: 04/27/2012)

05/03/2012 75 TRANSCRIPT of Proceedings re: ARGUMENT held on 3/29/2012 before Judge Lewis A. Kaplan. Court Reporter/Transcriber: Karen Gorlaski, (212) 805-0300. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 5/29/2012. Redacted Transcript Deadline set for 6/7/2012. Release of Transcript Restriction set for 8/6/2012.(McGuirk, Kelly) (Entered: 05/03/2012)

05/03/2012 76 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a ARGUMENT proceeding held on 3/29/12 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...(McGuirk, Kelly) (Entered: 05/03/2012)

05/04/2012 77 NOTICE OF APPEARANCE by Reid Mason Figel on behalf of Mellon Bank N.A., The Bank of New York Mellon, The Bank of New York Mellon Corporation, The Bank of New York Mellon Corporation, BNY Mellon Capital Markets, LLC, Ruth E. Bruch, Nicholas M. Donofrio, Steven G. Elliott, Thomas P. Gibbons, Gerald L. Hassell, Michael K. Hughey, Edmund F. Kelly, Robert P. Kelly, Richard J. Kogan, Michael J. Kowalski, John A. Luke, Jr, Robert Mehrabian, Mark A. Nordenberg, John A. Park, Catherine A. Rein, William C. Richardson, Samuel C. Scott, III, John P. Surma, The Bank of New York Mellon Corporation, Bruce W. Van Saun, Wesley W. Von Schack, The Bank of New York Mellon Corporation, Scott Freidenrich, THOMAS GIBBONS, LEO P. GROHOWSKI, GERALD HASSELL, J. ROBERT HITCHINGS, Richard Hoey, ROBERT JAEGER, CARL KRASIK, MARK KUZMA, JEFF LANDAU, Jack Lane, MARK MUSI, JESSE PASCO, ROBERT PEREGO, LISA B. PETERS, BRIAN ROGAN, JANE C. SHERBURNE, ROBERT SKENA, THE APPOINTING AND MONITORING COMMITTEE, THE BENEFITS INVESTMENT COMMITTEE, JAMES VALLONE, SHEENA WILSON, KURT WOETZEL, the Benefits Administration Committee, Mellon Bank, N.A., The Bank of New York Filed In Associated Cases: 1:12-md-02335-LAK et al.(Figel, Reid) (Entered: 05/04/2012)

05/04/2012 78 NOTICE OF APPEARANCE by Christopher Michael Joralemon on behalf of BNY Mellon Capital Markets, LLC, Barclays Capital Inc., Citigroup Global Markets Inc., Goldman, Sachs & Co., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley & Co. Incorporated, UBS Securities LLC (Joralemon, Christopher) (Entered: 05/04/2012)

05/04/2012 79 NOTICE OF APPEARANCE by Mark Adam Kirsch on behalf of BNY Mellon Capital Markets, LLC, Barclays Capital Inc., Citigroup Global Markets Inc., Goldman, Sachs & Co., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley & Co. Incorporated, UBS Securities LLC (Kirsch, Mark) (Entered: 05/04/2012)

05/05/2012 80 FILING ERROR - CORPORATE PARENT/OTHER AFFILIATE NOT ADDED I - RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate

Parent Barclays PLC for Barclays Capital Inc. Document filed by Barclays Capital Inc.Filed In Associated Cases: 1:12-md-02335-LAK, 1:11-cv-09175-LAK(Joralemon,

Christopher) Modified on 5/7/2012 (gp). (Entered: 05/05/2012)

05/05/2012

05/05/2012

05/05/2012

05/05/2012

05/05/2012

81 FILING ERROR - CORPORATE PARENT/OTHER AFFILIATE NOT ADDED - RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent The Bank of New York Mellon Corporation for BNY Mellon Capital Markets, LLC. Document filed by BNY Mellon Capital Markets, LLC.Filed In Associated Cases: 1:12-md-02335-LAK, 1:11-cv-09175-LAK(Joralemon, Christopher) Modified on 5/7/2012 (gp). (Entered: 05/05/2012)

82 FILING ERROR - CORPORATE PARENT/OTHER AFFILIATE NOT ADDED - RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent Citigroup, Inc. for CitiGroup Global Market, Inc.. Document filed by CitiGroup Global Market, Inc..Filed In Associated Cases: 1:12-md-02335-LAK, 1:11-cv-09175- LAK(Joralemon, Christopher) Modified on 5/7/2012 (gp). (Entered: 05/05/2012)

83 FILING ERROR - CORPORATE PARENT/OTHER AFFILIATE NOT ADDED - RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent The Goldman Sachs Group, Inc. for Goldman, Sachs & Co. Document filed by Goldman, Sachs & Co.Filed In Associated Cases: 1:12-md-02335-LAK, 1:11-cv-09175-LAK(Joralemon, Christopher) Modified on 5/7/2012 (gp). (Entered: 05/05/2012)

84 FILING ERROR - CORPORATE PARENT/OTHER AFFILIATE NOT ADDED - RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent Bank Of America Corporation for Merrill Lynch Pierce Fenner & Smith Incorporated. Document filed by Merrill Lynch Pierce Fenner & Smith Incorporated.Filed In Associated Cases: 1:12-md-02335-LAK, 1:11-cv-09175- LAK(Joralemon, Christopher) Modified on 5/7/2012 (gp). (Entered: 05/05/2012)

85 FILING ERROR - CORPORATE PARENT/OTHER AFFILIATE NOT ADDED - RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent Morgan Stanley Domestic Holdings, Inc., Corporate Parent Morgan Stanley Capital Management LLC, Corporate Parent Morgan Stanley for Morgan Stanley & CO. Incorporated. Document filed by Morgan Stanley & CO. Incorporated.Filed In Associated Cases: 1:12-md-02335-LAK, 1:11-cv-09175-LAK(Joralemon, Christopher) Modified on 5/7/2012 (gp). (Entered: 05/05/2012)

05/05/2012 86 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent UBS AG for UBS Securities LLC. Document filed by UBS Securities LLC.Filed In Associated Cases: 1:12-md-02335-LAK, 1:11-cv-09175- LAK(Joralemon, Christopher) (Entered: 05/05/2012)

05/07/2012 ***NOTE TO ATTORNEY TO RE-FILE DOCUMENT - DEFICIENT DOCKET ENTRY ERROR. Note to Attorney Christopher Joralemon to RE-FILE Document 83 Rule 7.1 Corporate Disclosure Statement, 82 Rule 7.1 Corporate Disclosure Statement, 84 Rule 7.1 Corporate Disclosure Statement, 81 Rule 7.1 Corporate Disclosure Statement, 80 Rule 7.1 Corporate Disclosure Statement, 85 Rule 7.1 Corporate Disclosure Statement,. ERROR(S): Corporate Parents were only added to (1:12-MD-2335). Please re-file this document and when prompted: Are there any corporate parents or other affiliates?, select the YES radio button and enter the Corporate Parent(s) or Affiliate(s). NOTE: YOU MUST SELECT THE FILER FOR EACH INDIVIDUAL CASE. (gp) (Entered:

05/07/2012)

05/07/2012 87 STATUS REPORT. Joint Status Report Document filed by Diane Borgna, Steven G. Elliott, Fiduciary Counselors, Inc., Scott Freidenrich, THOMAS GIBBONS, LEO P. GROHOWSKI, GERALD HASSELL, J. ROBERT HITCHINGS, Richard Hoey, ROBERT JAEGER, CARL KRASIK, MARK KUZMA, JEFF LANDAU, Jack Lane, MARK MUSI, JESSE PASCO, ROBERT PEREGO, LISA B. PETERS, John A. Park, BRIAN ROGAN, JANE C. SHERBURNE, ROBERT SKENA, THE APPOINTING AND MONITORING COMMITTEE, THE BENEFITS INVESTMENT COMMITTEE, Joanne Terrazas, The Bank of New York Mellon Corporation, JAMES VALLONE, SHEENA WILSON, KURT WOETZEL, the Benefits Administration Committee, ISABEL F. SANSANO, BNY Mellon Capital Markets, LLC, Barclays Capital Inc., Ruth E. Bruch, Citigroup Global Markets Inc., Danske Invest Management A/S, DeKalb County Pension Fund, Nicholas M. Donofrio, Thomas P. Gibbons, Goldman, Sachs & Co., Gerald L. Hassell, Michael K. Hughey, Ironworkers Locals 40, 361 & 417 - Union Security Funds, Edmund F. Kelly, Robert P. Kelly, Richard J. Kogan, Michael J. Kowalski, Louisiana Municipal Police Employees' Retirement System, John A. Luke, Jr, Robert Mehrabian, Merrill Lynch, Pierce, Fenner & Smith Incorporated, Miami Firefighters' Relief and Pension Fund, Morgan Stanley & Co. Incorporated, Mark A. Nordenberg, Pension Trust Fund For Operating Engineers, Catherine A. Rein, William C. Richardson, Samuel C. Scott, III, State of Oregon By and Through the Oregon State Treasurer on Behalf of the Common School Fund and, Together with the Oregon Public Employee Retirement Board, on Behalf of the Oregon Public Employee Re, John P. Surma, The Bank of New York Mellon Corporation, UBS Securities LLC, Union Asset Management Holding AG, Bruce W. Van Saun, Wesley W. Von Schack, Arthur Certosimo, Marilyn Clark, Iron Workets Mid-South Pension Fund, Micahel J. Kowalski, Richard Mahoney, James P. Palermo, The Bank of New York Mellon Corporation, Weslty W. Von Schack.Filed In Associated Cases: 1:12-md-02335-LAK, 1:11-cv-08471-LAK, 1:11-cv-09175-LAK, 1:12-cv-03068-LAK, 1:12-cv-03069-LAK(Figel, Reid) (Entered: 05/07/2012)

05/10/2012 88 NOTICE OF APPEARANCE by Joseph Solomon Hall on behalf of Mellon Bank N.A., The Bank of New York Mellon, The Bank of New York Mellon Corporation, The Bank of New York Mellon Corporation, The Bank of New York, The Bank of New York Company, Inc., The Bank of New York Mellon Trust Company National Association, BNY Mellon Capital Markets, LLC, Ruth E. Bruch, Nicholas M. Donofrio, Steven G. Elliott, Thomas P. Gibbons, Gerald L. Hassell, Michael K. Hughey, Edmund F. Kelly, Robert P. Kelly, Richard J. Kogan, Michael J. Kowalski, John A. Luke, Jr, Robert Mehrabian, Mark A. Nordenberg, John A. Park, Catherine A. Rein, William C. Richardson, Samuel C. Scott, III, John P. Surma, The Bank of New York Mellon Corporation, Bruce W. Van Saun, Wesley W. Von Schack, The Bank of New York Mellon Corporation, Scott Freidenrich, THOMAS GIBBONS, LEO P. GROHOWSKI, GERALD HASSELL, J. ROBERT HITCHINGS, Richard Hoey, ROBERT JAEGER, CARL KRASIK, MARK KUZMA, JEFF LANDAU, Jack Lane, MARK MUSI, JESSE PASCO, ROBERT PEREGO, LISA B. PETERS, BRIAN ROGAN, JANE C. SHERBURNE, ROBERT SKENA, THE APPOINTING AND MONITORING COMMITTEE, THE BENEFITS INVESTMENT COMMITTEE, JAMES VALLONE, SHEENA WILSON, KURT WOETZEL, the Benefits Administration Committee, Mellon Bank, N.A., Bank of New York Mellon Trust Company, N.A. Filed In Associated Cases: 1:12-md-02335-LAK et al.(Hall, Joseph) (Entered: 05/10/2012)

05/10/2012 89 NOTICE OF APPEARANCE by Derek Tam Ho on behalf of Mellon Bank N.A., The Bank of New York Mellon, The Bank of New York Mellon Corporation, The Bank of New York Mellon Corporation, The Bank of New York, The Bank of New York Company, Inc., The Bank of New York Mellon Trust Company National Association, BNY Mellon Capital Markets, LLC, Ruth E. Bruch, Nicholas M. Donofrio, Steven G. Elliott, Thomas P. Gibbons, Gerald L. Hassell, Michael K. Hughey, Edmund F. Kelly, Robert P. Kelly, Richard J. Kogan, Michael J. Kowalski, John A. Luke, Jr, Robert Mehrabian, Mark A. Nordenberg, John A. Park, Catherine A. Rein, William C. Richardson, Samuel C. Scott, III, John P. Surma, The Bank of New York Mellon Corporation, Bruce W. Van Saun, Wesley W. Von Schack, The Bank of New York Mellon Corporation, Scott Freidenrich, THOMAS GIBBONS, LEO P. GROHOWSKI, GERALD HASSELL, J. ROBERT HITCHINGS, Richard Hoey, ROBERT JAEGER, CARL KRASIK, MARK KUZMA, JEFF LANDAU, Jack Lane, MARK MUSI, JESSE PASCO, ROBERT PEREGO, LISA B. PETERS, BRIAN ROGAN, JANE C. SHERBURNE, ROBERT SKENA, THE APPOINTING AND MONITORING COMMITTEE, THE BENEFITS INVESTMENT COMMITTEE, JAMES VALLONE, SHEENA WILSON, KURT WOETZEL, the Benefits Administration Committee, Mellon Bank, N.A. Filed In Associated Cases: 1:12-md-02335-LAK et al.(Ho, Derek) (Entered: 05/10/2012)

05/10/2012 90 NOTICE OF APPEARANCE by Andrew Edward Goldsmith on behalf of Mellon Bank N.A., The Bank of New York Mellon, The Bank of New York Mellon Corporation, The Bank of New York Mellon Corporation, The Bank of New York, The Bank of New York Company, Inc., The Bank of New York Mellon Trust Company National Association, BNY Mellon Capital Markets, LLC, Ruth E. Bruch, Nicholas M. Donofrio, Steven G. Elliott, Thomas P. Gibbons, Gerald L. Hassell, Michael K. Hughey, Edmund F. Kelly, Robert P. Kelly, Richard J. Kogan, Michael J. Kowalski, John A. Luke, Jr, Robert Mehrabian, Mark A. Nordenberg, John A. Park, Catherine A. Rein, William C. Richardson, Samuel C. Scott, III, John P. Surma, The Bank of New York Mellon Corporation, Bruce W. Van Saun, Wesley W. Von Schack, The Bank of New York Mellon Corporation, Scott Freidenrich, THOMAS GIBBONS, LEO P. GROHOWSKI, GERALD HASSELL, J. ROBERT HITCHINGS, Richard Hoey, ROBERT JAEGER, CARL KRASIK, MARK KUZMA, JEFF LANDAU, Jack Lane, MARK MUSI, JESSE PASCO, ROBERT PEREGO, LISA B. PETERS, BRIAN ROGAN, JANE C. SHERBURNE, ROBERT SKENA, THE APPOINTING AND MONITORING COMMITTEE, THE BENEFITS INVESTMENT COMMITTEE, JAMES VALLONE, SHEENA WILSON, KURT WOETZEL, the Benefits Administration Committee, Mellon Bank, N.A., Bank of New York Mellon Trust Company, N.A. Filed In Associated Cases: 1:12-md-02335-LAK et al.(Goldsmith, Andrew) (Entered: 05/10/2012)

05/10/2012 91 NOTICE OF APPEARANCE by Geoffrey Stuart Brounell on behalf of Mellon Bank N.A., The Bank of New York Mellon, The Bank of New York Mellon Corporation, The Bank of New York Mellon Corporation, The Bank of New York, The Bank of New York Company, Inc., The Bank of New York Mellon Trust Company National Association, BNY Mellon Capital Markets, LLC, Ruth E. Bruch, Nicholas M. Donofrio, Steven G. Elliott, Thomas P. Gibbons, Gerald L. Hassell, Michael K. Hughey, Edmund F. Kelly, Robert P. Kelly, Richard J. Kogan, Michael J. Kowalski, John A. Luke, Jr, Robert Mehrabian, Mark A. Nordenberg, John A. Park, Catherine A. Rein, William C. Richardson, Samuel C. Scott, III, John P. Surma, The Bank of New York Mellon Corporation, Bruce W. Van Saun, Wesley W. Von Schack, The Bank of

New York Mellon Corporation, Scott Freidenrich, THOMAS GIBBONS, LEO P. GROHOWSKI, GERALD HASSELL, J. ROBERT HITCHINGS, Richard Hoey, ROBERT JAEGER, CARL KRASIK, MARK KUZMA, JEFF LANDAU, Jack Lane, MARK MUSI, JESSE PASCO, ROBERT PEREGO, LISA B. PETERS, BRIAN ROGAN, JANE C. SHERBURNE, ROBERT SKENA, THE APPOINTING AND MONITORING COMMITTEE, THE BENEFITS INVESTMENT COMMITTEE, JAMES VALLONE, SHEENA WILSON, KURT WOETZEL, the Benefits Administration Committee, Mellon Bank, N.A., Bank of New York Mellon Trust Company, N.A. Filed In Associated Cases: 1:12-md-02335-LAK et al.(Brounell, Geoffrey) (Entered: 05/10/2012)

05/11/2012 93 CONSOLIDATED CLASS ACTION COMPLAINT Document filed by State of Oregon By and Through the Oregon State Treasurer on Behalf of the Common School Fund and, Together with the Oregon Public Employee Retirement Board, on Behalf of the Oregon Public Employee Re. (Attachments: # 1 Exhibit, # 2 Exhibit, # 3 Exhibit)(cd) (Additional attachment(s) added on 5/16/2012: # 1 Ex. A, # 2 Ex. B, # 3 Ex. C, # 4 Certificate of Service) (ama). (Entered: 05/15/2012)

05/11/2012 96 CERTIFICATE OF SERVICE of Summons and Complaint,. BNY Mellon Capital Markets, LLC served on 5/11/2012, answer due 6/1/2012. Document filed by State of Oregon By and Through the Oregon State Treasurer on Behalf of the Common School Fund and, Together with the Oregon Public Employee Retirement Board, on Behalf of the Oregon Public Employee Re. (lmb) (Entered: 05/16/2012)

05/15/2012 92 WAIVER OF SERVICE RETURNED EXECUTED. Document filed by State of Oregon By and Through the Oregon State Treasurer on Behalf of the Common School Fund and, Together with the Oregon Public Employee Retirement Board, on Behalf of the Oregon Public Employee Re. Filed In Associated Cases: 1:12-md-02335-LAK, 1:11-cv-08471-LAK, 1:11-cv-09175-LAK, 1:12-cv-03068-LAK, 1:12-cv-03069- LAK(Gundersheim, Laura) (Entered: 05/15/2012)

05/15/2012 94 MEMO ENDORSEMENT RE: granting (53) Motion for David L. Schwarz to Appear Pro Hac Vice in case 1:12-md-02335-LAK; granting [] Motion for David L. Schwarz to Appear Pro Hac Vice in case 1:11-cv-08471-LAK; granting [] Motion for David L. Schwarz to Appear Pro Hac Vice in case 1:11-cv-08810-LAK; granting [] Motion for David L. Schwarz to Appear Pro Hac Vice in case 1:11-cv-09175-LAK; granting [] Motion for David L. Schwarz to Appear Pro Hac Vice in case 1:12-cv-03066-LAK; granting [] Motion for David L. Schwarz to Appear Pro Hac Vice in case 1:12-cv-03068-LAK; granting [] Motion for David L. Schwarz to Appear Pro Hac Vice in case 1:12-cv-03069-LAK; granting [] Motion for David L. Schwarz to Appear Pro Hac Vice in case 1:12-cv-03470-LAK. ENDORSEMENT Granted.. (Signed by Judge Lewis A. Kaplan on 5/15/2012) Filed In Associated Cases: 1:12-md-02335-LAK et al.(laq) (Attorney Added only in 12md2335 case) Modified on 5/21/2012 (laq). (Entered: 05/15/2012)

05/15/2012 95 MEMO ENDORSEMENT on re: in case 1:11-cv-08471-LAK; granting (50) Motion for Rebecca A. Beynon to Appear Pro Hac Vice in case 1:12-md-02335-LAK; granting [] Motion for Rebecca A. Beynon to Appear Pro Hac Vice in case 1:11-cv-08471-LAK; granting [] Motion for Rebecca A. Beynon to Appear Pro Hac Vice in case 1:11-cv-08810-LAK; granting [] Motion for Rebecca A. Beynon to Appear Pro Hac Vice in case 1:11-cv-09175-LAK; granting [] Motion for Rebecca A. Beynon to Appear Pro Hac Vice in case 1:12-cv-03066-LAK; granting [] Motion for Rebecca A.

Beynon to Appear Pro Hac Vice in case 1:12-cv-03068-LAK; granting [] Motion for Rebecca A. Beynon to Appear Pro Hac Vice in case 1:12-cv-03069-LAK; granting [] Motion for Rebecca A. Beynon to Appear Pro Hac Vice in case 1:12-cv-03470-LAK. ENDORSEMENT: Granted. (Signed by Judge Lewis A. Kaplan on 5/15/2012) Filed In Associated Cases: 1:12-md-02335-LAK et al.(jfe) (Entered: 05/15/2012)

05/22/2012 97 NOTICE OF APPEARANCE by Steven B. Singer on behalf of State of Oregon By and Through the Oregon State Treasurer on Behalf of the Common School Fund and, Together with the Oregon Public Employee Retirement Board, on Behalf of the Oregon Public Employee Re Filed In Associated Cases: 1:12-md-02335-LAK, 1:11- cv-08471-LAK, 1:11-cv-09175-LAK, 1:12-cv-03068-LAK, 1:12-cv-03069- LAK(Singer, Steven) (Entered: 05/22/2012)

05/23/2012 Minute Entry for proceedings held before Judge Lewis A. Kaplan: Scheduling Conference held on 5/23/2012. Associated Cases: 1:12-md-02335-LAK et al.(js) (Entered: 06/18/2012)

05/25/2012 98 TRANSCRIPT of Proceedings re: conference held on 5/23/2012 before Judge Lewis A. Kaplan. Court Reporter/Transcriber: Denise Richards, (212) 805-0300. 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 6/18/2012. Redacted Transcript Deadline set for 6/28/2012. Release of Transcript Restriction set for 8/27/2012.Filed In Associated Cases: 1:12-md-02335-LAK et al.(McGuirk, Kelly) (Entered: 05/25/2012)

05/25/2012 99 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a CONFERENCE proceeding held on 5/23/12 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days...Filed In Associated Cases: 1:12-md-02335-LAK et al.(McGuirk, Kelly) (Entered: 05/25/2012)

05/25/2012 100 NOTICE OF APPEARANCE by Abraham Alexander on behalf of State of Oregon By and Through the Oregon State Treasurer on Behalf of the Common School Fund and, Together with the Oregon Public Employee Retirement Board, on Behalf of the Oregon Public Employee Re Filed In Associated Cases: 1:12-md-02335-LAK, 1:11- cv-09175-LAK, 1:12-cv-03068-LAK, 1:12-cv-03069-LAK(Alexander, Abraham) (Entered: 05/25/2012)

06/06/2012 101 STIPULATION AND ORDER REGARDING THE TIME FOR DEFENDANTS TO ANSWER, MOVE TO DISMISS OR OTHERWISE RESPOND TO THE CONSOLIDATED COMPLAINT: Defendants in the securities class action captioned 11-CV-09175 shall move to dismiss or otherwise respond to the Consolidated Complaint Action Complaint no later than June 22, 2012. Lead Plaintiffs shall file their opposition to Defendants' motion(s) to dismiss any, no later than July 30, 2012. Defendants shall file any reply briefs in further support of their motion(s) to dismiss no later than August 17, 2012. All Defendants.( Motions due by 6/22/2012., Responses due by 7/30/2012, Replies due by 8/17/2012.) (Signed by Judge Alison J. Nathan, Part 1 on 6/5/2012) (pl) Modified on 6/6/2012 (pl). Modified on 6/6/2012 (pl). (Entered: 06/06/2012)

06/08/2012 102 Objection TO [PROPOSED] PRETRIAL ORDER NO. 2 SUBMITTED BY PUTATIVE CUSTOMER CLASS . Document filed by Los angeles department of water and power retirement plan. Filed In Associated Cases: 1:12-md-02335-LAK et al.(Williams, Steven) (Entered: 06/08/2012)

06/20/2012 103 PRETRIAL ORDER NO. 2: Having requested that counsel for Plaintiffs in the actions consolidated as specified in PTO 1 present to the Court a plan for the organization of Plaintiffs' counsel to facilitate the efficient prosecution of these actions, and having considered Plaintiffs' submission, the Court orders: 1. There shall be a Plaintiffs' Executive Committee consisting of: Elizabeth J. Cabraser LIEFF, CABRASER, HEIMANN & BERNSTEIN, LLP 250 Hudson Street, 8th Floor New York, NY 10013 Tel.: (212) 355-9500 Fax: (212) 355-9592 Email: [email protected]; Joseph H. Meltzer KESSLER TOPAZ MELTZER & CHECK LLP 280 King of Prussia Road Radnor, PA 19087 Tel.: (610) 667-7706 Fax: (610) 667-7056 Email: [email protected]; Steven B. Singer BERNSTEIN LITOWITZ BERGER & GROSSMANN LLP 1285 Avenue of the Americas New York, NY 10019 Tel: (212) 554-1413 Fax: (212) 554-1444 [email protected] . 2. Plaintiffs' Executive Committee shall be responsible for coordinating the activities of Plaintiffs during pretrial proceedings and shall: a. determine (after such consultation with other members of Plaintiffs' Steering Committee and other co-counsel as may be appropriate) and present (in briefs, oral argument, or such other fashion as may be appropriate, personally or by a designee) to the Court and opposing parties the position of Plaintiffs arising during pretrial proceedings and as further set forth in this order. (Signed by Judge Lewis A. Kaplan on 6/20/2012) Filed In Associated Cases: 1:12-md-02335-LAK et al.(lmb) (Entered: 06/20/2012)

06/20/2012 104 CONFIDENTIALITY PRETRIAL ORDER NO.3...regarding procedures to be followed that shall govern the handling of confidential material...Notwithstanding anything to the contrary herein: 1. Any papers filed under seal in this action shall be made part of the public record on or after 6/20/17 unless the Court otherwise orders. 2. Any person may apply to the Court for access to any papers filed under seal pursuant to this order. Should such an application be made, the person or persons who designated the sealed material as Confidential shall have the burden of establishing good cause for the continuation of the sealing order unless the Court previously made an individual determination of the existence of good cause for sealing. (Signed by Judge Lewis A. Kaplan on 6/20/2012) Filed In Associated Cases: 1:12-md-02335- LAK et al.(lmb) (Entered: 06/20/2012)

06/22/2012 105 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate I Parent Barclays PLC for Barclays Capital Inc.. Document filed by Barclays Capital

Inc..(Joralemon, Christopher) (Entered: 06/22/2012) -

06/22/2012 106 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent Bank of New York Mellon Corporation for BNY Mellon Capital Markets, LLC. Document filed by BNY Mellon Capital Markets, LLC.(Joralemon, Christopher) (Entered: 06/22/2012)

06/22/2012 107 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent Citigroup, Inc. for Citigroup Global Markets Inc.. Document filed by Citigroup Global Markets Inc..(Joralemon, Christopher) (Entered: 06/22/2012)

06/22/2012 108 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate

Parent Goldman Sachs Group, Inc. for Goldman, Sachs & Co.. Document filed by Goldman, Sachs & Co..(Joralemon, Christopher) (Entered: 06/22/2012)

06/22/2012 109 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent Bank of America Corporation for Merrill Lynch, Pierce, Fenner & Smith Incorporated. Document filed by Merrill Lynch, Pierce, Fenner & Smith Incorporated.(Joralemon, Christopher) (Entered: 06/22/2012)

06/22/2012 110 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent Morgan Stanley Domestic Holdings, Inc., Corporate Parent Morgan Stanley Capital Management LLC, Corporate Parent Morgan Stanley for Morgan Stanley & Co. Incorporated. Document filed by Morgan Stanley & Co. Incorporated.(Joralemon, Christopher) (Entered: 06/22/2012)

06/22/2012 111 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent UBS A.G. for UBS Securities LLC. Document filed by UBS Securities LLC.(Joralemon, Christopher) (Entered: 06/22/2012)

06/22/2012 112 NOTICE OF APPEARANCE by Daniel Martin Sullivan on behalf of BNY Mellon Capital Markets, LLC, Barclays Capital Inc, CitiGroup Global Market, Inc., Goldman, Sachs & Co, Merrill Lynch Pierce Fenner & Smith Incorporated, Morgan Stanley & CO. Incorporated, UBS Securities LLC, Barclays Capital Inc., Citigroup Global Markets Inc., Goldman, Sachs & Co., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley & Co. Incorporated, UBS Securities LLC Filed In Associated Cases: 1:12-md-02335-LAK, 1:11-cv-09175-LAK(Sullivan, Daniel) (Entered: 06/22/2012)

06/22/2012

06/22/2012

113 MOTION to Dismiss. Document filed by BNY Mellon Capital Markets, LLC, Barclays Capital Inc, CitiGroup Global Market, Inc., Goldman, Sachs & Co, Merrill Lynch Pierce Fenner & Smith Incorporated, Morgan Stanley & CO. Incorporated, UBS Securities LLC, Barclays Capital Inc., Citigroup Global Markets Inc., Goldman, Sachs & Co., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley & Co. Incorporated, UBS Securities LLC. Responses due by 7/30/2012Filed In Associated Cases: 1:12-md-02335-LAK, 1:11-cv-09175-LAK(Kirsch, Mark) (Entered: 06/22/2012)

114 MEMORANDUM OF LAW in Support re: (113 in 1:11-cv-09175-LAK, 108 in 1:12- md-02335-LAK) MOTION to Dismiss.. Document filed by BNY Mellon Capital Markets, LLC, Barclays Capital Inc, CitiGroup Global Market, Inc., Goldman, Sachs & Co, Merrill Lynch Pierce Fenner & Smith Incorporated, Morgan Stanley & CO. Incorporated, UBS Securities LLC, Barclays Capital Inc., Citigroup Global Markets Inc., Goldman, Sachs & Co., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley & Co. Incorporated, UBS Securities LLC. Filed In Associated Cases: 1:12-md-02335-LAK, 1:11-cv-09175-LAK(Kirsch, Mark) (Entered: 06/22/2012)

06/22/2012 115 FIRST MOTION to Dismiss. Document filed by Jorge Rodriquez. Responses due by I 7/30/2012Filed In Associated Cases: 1:12-md-02335-LAK, 1:11-cv-09175-

LAK(Petrillo, Guy) (Entered: 06/22/2012)

06/22/2012 116 DECLARATION of Mark A. Kirsch in Support re: (113 in 1:11-cv-09175-LAK, 108 in 1:12-md-02335-LAK) MOTION to Dismiss.. Document filed by BNY Mellon Capital Markets, LLC, Barclays Capital Inc, CitiGroup Global Market, Inc., Goldman, Sachs & Co, Merrill Lynch Pierce Fenner & Smith Incorporated, Morgan Stanley &

CO. Incorporated, UBS Securities LLC, Barclays Capital Inc., Citigroup Global Markets Inc., Goldman, Sachs & Co., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley & Co. Incorporated, UBS Securities LLC. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3, # 4 Exhibit 4)Filed In Associated Cases: 1:12-md-02335-LAK, 1:11-cv-09175-LAK(Kirsch, Mark) (Entered: 06/22/2012)

06/22/2012 117 FIRST MEMORANDUM OF LAW in Support re: (115 in 1:11-cv-09175-LAK, 110 in 1:12-md-02335-LAK) FIRST MOTION to Dismiss.. Document filed by Jorge Rodriquez. Filed In Associated Cases: 1:12-md-02335-LAK, 1:11-cv-09175- LAK(Petrillo, Guy) (Entered: 06/22/2012)

06/22/2012 118 MOTION to Dismiss the Consolidated Class Action Complaint . Document filed by I The Bank of New York Mellon Corporation.Filed In Associated Cases: 1:12-md-

02335-LAK, 1:11-cv-09175-LAK(Figel, Reid) (Entered: 06/22/2012)

06/22/2012 119 MEMORANDUM OF LAW in Support re: (118 in 1:11-cv-09175-LAK, 113 in 1:12- md-02335-LAK) MOTION to Dismiss the Consolidated Class Action Complaint .. Document filed by The Bank of New York Mellon Corporation. Filed In Associated Cases: 1:12-md-02335-LAK, 1:11-cv-09175-LAK(Figel, Reid) (Entered: 06/22/2012)

06/22/2012 120 MOTION to Dismiss the Consolidated Class Action Complaint . Document filed by Ruth E. Bruch, Nicholas M. Donofrio, Steven G. Elliott, Thomas P. Gibbons, Gerald L. Hassell, Michael K. Hughey, Edmund F. Kelly, Robert P. Kelly, Richard J. Kogan, Michael J. Kowalski, John A. Luke, Jr, Robert Mehrabian, Mark A. Nordenberg, John A. Park, Catherine A. Rein, William C. Richardson, Samuel C. Scott, III, John P. Surma, Bruce W. Van Saun, Wesley W. Von Schack.Filed In Associated Cases: 1:12- md-02335-LAK, 1:11-cv-09175-LAK(Figel, Reid) (Entered: 06/22/2012)

06/22/2012 121 MEMORANDUM OF LAW in Support re: (115 in 1:12-md-02335-LAK, 120 in 1:11- cv-09175-LAK) MOTION to Dismiss the Consolidated Class Action Complaint .. Document filed by Ruth E. Bruch, Nicholas M. Donofrio, Steven G. Elliott, Thomas P. Gibbons, Gerald L. Hassell, Michael K. Hughey, Edmund F. Kelly, Robert P. Kelly, Richard J. Kogan, Michael J. Kowalski, John A. Luke, Jr, Robert Mehrabian, Mark A. Nordenberg, John A. Park, Catherine A. Rein, William C. Richardson, Samuel C. Scott, III, John P. Surma, Bruce W. Van Saun, Wesley W. Von Schack. Filed In Associated Cases: 1:12-md-02335-LAK, 1:11-cv-09175-LAK(Figel, Reid) (Entered: 06/22/2012)

06/22/2012 122 DECLARATION of Joshua D. Branson in Support re: (118 in 1:11-cv-09175-LAK, 113 in 1:12-md-02335-LAK) MOTION to Dismiss the Consolidated Class Action Complaint ., (115 in 1:12-md-02335-LAK, 120 in 1:11-cv-09175-LAK) MOTION to Dismiss the Consolidated Class Action Complaint .. Document filed by Ruth E. Bruch, Nicholas M. Donofrio, Steven G. Elliott, Thomas P. Gibbons, Gerald L. Hassell, Michael K. Hughey, Edmund F. Kelly, Robert P. Kelly, Richard J. Kogan, Michael J. Kowalski, John A. Luke, Jr, Robert Mehrabian, Mark A. Nordenberg, John A. Park, Catherine A. Rein, William C. Richardson, Samuel C. Scott, III, John P. Surma, The Bank of New York Mellon Corporation, Bruce W. Van Saun, Wesley W. Von Schack. (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, # 18 Exhibit 18, # 19 Exhibit 19, # 20 Exhibit 20, # 21 Exhibit 21, #

07/30/2012 129

22 Exhibit 22, # 23 Exhibit 23, # 24 Exhibit 24, # 25 Exhibit 25, # 26 Exhibit 26, # 27 Exhibit 27, # 28 Exhibit 28, # 29 Exhibit 29, # 30 Exhibit 30, # 31 Exhibit 31, # 32 Exhibit 32, # 33 Exhibit 33, # 34 Exhibit 34, # 35 Exhibit 35, # 36 Exhibit 36, # 37 Exhibit 37, # 38 Exhibit 38, # 39 Exhibit 39)Filed In Associated Cases: 1:12-md-02335-LAK, 1:11-cv-09175-LAK(Figel, Reid) (Entered: 06/22/2012)

07/06/2012 123 MOTION for Scott A Shorr to Appear Pro Hac Vice. Document filed by State of Oregon By and Through the Oregon State Treasurer on Behalf of the Common School Fund and, Together with the Oregon Public Employee Retirement Board, on Behalf of the Oregon Public Employee Re.(pgu) (Entered: 07/06/2012)

07/06/2012 124 MOTION for Keith A. Ketterling to Appear Pro Hac Vice. Document filed by State of Oregon By and Through the Oregon State Treasurer on Behalf of the Common School Fund and, Together with the Oregon Public Employee Retirement Board, on Behalf of the Oregon Public Employee Re.Filed In Associated Cases: 1:12-md-02335-LAK, 1:11-cv-09175-LAK(pgu) (Entered: 07/06/2012)

07/09/2012 125 MEMO ENDORSEMENT granting 124 Motion for Keith A. Ketterling to Appear Pro Hac Vice: Granted. (Signed by Judge Lewis A. Kaplan on 7/9/2012) (lmb) (Entered: 07/09/2012)

07/09/2012 126 MEMO ENDORSEMENT granting 123 Motion for Scott A. Shorr to Appear Pro Hac Vice: Granted. (Signed by Judge Lewis A. Kaplan on 7/9/2012) (lmb) (Entered: 07/09/2012)

07/27/2012 127 STIPULATION AND ORDER REGARDING LEAD PLAINTIFF'S OMNIBUS BRIEF IN OPPOSITION TO DEFENDANTS' MOTIONS TO DISMISS: NOW, THEREFORE, it is hereby stipulated and agreed, and it is ORDERED by the Court that Lead Plaintiff shall have up to 70 pages to respond in one omnibus opposition brief to Defendants' four respective motions to dismiss. (Signed by Judge Lewis A. Kaplan on 7/27/2012) Filed In Associated Cases: 1:12-md-02335-LAK, 1:11-cv-09175-LAK(jfe) (Entered: 07/27/2012)

07/30/2012 128 MEMORANDUM OF LAW in Opposition re: (118 in 1:11-cv-09175-LAK) MOTION to Dismiss the Consolidated Class Action Complaint ., (113 in 1:11-cv-09175-LAK) MOTION to Dismiss., (120 in 1:11-cv-09175-LAK) MOTION to Dismiss the Consolidated Class Action Complaint ., (115 in 1:11-cv-09175-LAK) FIRST MOTION to Dismiss.. Document filed by State of Oregon By and Through the Oregon State Treasurer on Behalf of the Common School Fund and, Together with the Oregon Public Employee Retirement Board, on Behalf of the Oregon Public Employee Re. Filed In Associated Cases: 1:12-md-02335-LAK, 1:11-cv-09175-LAK(Singer, Steven) (Entered: 07/30/2012)

DECLARATION of Steven B. Singer in Opposition re: (118 in 1:11-cv-09175-LAK) MOTION to Dismiss the Consolidated Class Action Complaint ., (113 in 1:11-cv-09175-LAK) MOTION to Dismiss., (120 in 1:11-cv-09175-LAK) MOTION to Dismiss the Consolidated Class Action Complaint ., (115 in 1:11-cv-09175-LAK) FIRST MOTION to Dismiss.. Document filed by State of Oregon By and Through the Oregon State Treasurer on Behalf of the Common School Fund and, Together with the Oregon Public Employee Retirement Board, on Behalf of the Oregon Public Employee Re. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3, # 4 Exhibit 4)Filed In Associated Cases: 1:12-md-02335-LAK, 1:11-cv-09175-LAK(Singer, Steven)

(Entered: 07/30/2012)

07/30/2012 130 CERTIFICATE OF SERVICE. Document filed by State of Oregon By and Through the Oregon State Treasurer on Behalf of the Common School Fund and, Together with the Oregon Public Employee Retirement Board, on Behalf of the Oregon Public Employee Re. Filed In Associated Cases: 1:12-md-02335-LAK, 1:11-cv-09175- LAK(Singer, Steven) (Entered: 07/30/2012)

08/17/2012 131 REPLY MEMORANDUM OF LAW in Support re: (118 in 1:11-cv-09175-LAK, 113 in 1:12-md-02335-LAK) MOTION to Dismiss the Consolidated Class Action Complaint .. Document filed by The Bank of New York Mellon Corporation. Filed In Associated Cases: 1:12-md-02335-LAK, 1:11-cv-09175-LAK(Figel, Reid) (Entered: 08/17/2012)

08/17/2012 132 REPLY MEMORANDUM OF LAW in Support re: (115 in 1:11-cv-09175-LAK, 110 in 1:12-md-02335-LAK) FIRST MOTION to Dismiss. the Consolidated Class Action Complaint . Document filed by Jorge Rodriquez. Filed In Associated Cases: 1:12-md-02335-LAK, 1:11-cv-09175-LAK(Petrillo, Guy) (Entered: 08/17/2012)

08/17/2012 133 REPLY MEMORANDUM OF LAW in Support re: (115 in 1:12-md-02335-LAK, 120 in 1:11-cv-09175-LAK) MOTION to Dismiss the Consolidated Class Action Complaint .. Document filed by Ruth E. Bruch, Nicholas M. Donofrio, Steven G. Elliott, Thomas P. Gibbons, Gerald L. Hassell, Michael K. Hughey, Edmund F. Kelly, Robert P. Kelly, Richard J. Kogan, Michael J. Kowalski, John A. Luke, Jr, Robert Mehrabian, Mark A. Nordenberg, John A. Park, Catherine A. Rein, William C. Richardson, Samuel C. Scott, III, John P. Surma, Bruce W. Van Saun, Wesley W. Von Schack. Filed In Associated Cases: 1:12-md-02335-LAK, 1:11-cv-09175-LAK(Figel, Reid) (Entered: 08/17/2012)

08/17/2012 134 REPLY MEMORANDUM OF LAW in Support re: (113 in 1:11-cv-09175-LAK) MOTION to Dismiss. REPLY MEMORANDUM OF LAW IN SUPPORT OF UNDERWRITER DEFENDANTS' MOTION TO DISMISS . Document filed by BNY Mellon Capital Markets, LLC, Barclays Capital Inc, CitiGroup Global Market, Inc., Goldman, Sachs & Co, Merrill Lynch Pierce Fenner & Smith Incorporated, Morgan Stanley & CO. Incorporated, UBS Securities LLC, Barclays Capital Inc., Citigroup Global Markets Inc., Goldman, Sachs & Co., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley & Co. Incorporated, UBS Securities LLC. Filed In Associated Cases: 1:12-md-02335-LAK, 1:11-cv-09175-LAK(Kirsch, Mark) (Entered: 08/17/2012)

02/22/2013 135 MEMO ENDORSEMENT on NOTICE OF WITHDRAWAL OF APPEARANCE. Sean K.O'Dowd is no longer associated with Bernstein Litowitz Berger & Grossmann, LLP, and is hereby withdrawn as Lead Counsel for Lead Plaintiff and the Class, in this action. SO ORDERED. (Signed by Judge Lewis A. Kaplan on 2/21/2013) Filed In Associated Cases: 1:12-md-02335-LAK, 1:11-cv-09175-LAK(tro) (Entered: 02/22/2013)

03/08/2013 136 FILING ERROR - DEFICIENT DOCKET ENTRY - MOTION for Michael J. Fischer to Withdraw as Attorney. Document filed by Mellon Bank N.A., The Bank of New York Mellon, The Bank of New York Mellon Corporation, The Bank of New York Mellon Corporation, The Bank of New York, The Bank of New York Company, Inc., The Bank of New York Mellon Trust Company National Association, BNY

03/08/2013

Mellon Capital Markets, LLC, Ruth E. Bruch, Nicholas M. Donofrio, Steven G. Elliott, Thomas P. Gibbons, Gerald L. Hassell, Michael K. Hughey, Edmund F. Kelly, Robert P. Kelly, Richard J. Kogan, Michael J. Kowalski, John A. Luke, Jr, Robert Mehrabian, Mark A. Nordenberg, John A. Park, Catherine A. Rein, William C. Richardson, Samuel C. Scott, III, John P. Surma, The Bank of New York Mellon Corporation, Bruce W. Van Saun, Wesley W. Von Schack, The Bank of New York Mellon Corporation, Mellon Bank, N.A., Bank of New York Mellon Trust Company, N.A.. (Attachments: # 1 Affidavit Declaration of Michael Fischer)Filed In Associated Cases: 1:12-md-02335-LAK et al.(Fischer, Michael) Modified on 3/11/2013 (ldi). (Entered: 03/08/2013)

***NOTE TO ATTORNEY TO RE-FILE DOCUMENT - DEFICIENT DOCKET ENTRY ERROR. Note to Attorney Michael J. Fischer to RE-FILE Document (52 in 1:11-cv-08471-LAK, 111 in 1:12-cv-03064-LAK, 26 in 1:11-cv-08810-LAK, 34 in 1:12-cv-03470-LAK, 222 in 1:12-md-02335-LAK, 144 in 1:12- cv-03067-LAK, 136 in 1:11-cv-09175-LAK, 100 in 1:12-cv-03066-LAK) MOTION for Michael J. Fischer to Withdraw as Attorney. ERROR(S): Supporting documents must be filed separately, each receiving their own document number. Declaration in Support of Motion is found under the event list Replies, Opposition and Supporting Documents. Filed In Associated Cases: 1:12-md-02335-LAK et al.(ldi) (Entered: 03/11/2013)

03/11/2013 137 MOTION for Michael J. Fischer to Withdraw as Attorney. Document filed by Mellon Bank N.A., The Bank of New York Mellon, The Bank of New York Mellon Corporation, The Bank of New York, The Bank of New York Company, Inc., The Bank of New York Mellon Trust Company National Association, BNY Mellon Capital Markets, LLC, Ruth E. Bruch, Nicholas M. Donofrio, Steven G. Elliott, Thomas P. Gibbons, Gerald L. Hassell, Michael K. Hughey, Edmund F. Kelly, Robert P. Kelly, Richard J. Kogan, Michael J. Kowalski, John A. Luke, Jr, Robert Mehrabian, Mark A. Nordenberg, John A. Park, Catherine A. Rein, William C. Richardson, Samuel C. Scott, III, John P. Surma, The Bank of New York Mellon Corporation, Bruce W. Van Saun, Wesley W. Von Schack, The Bank of New York Mellon Corporation, Mellon Bank, N.A., Bank of New York Mellon Trust Company, N.A..Filed In Associated Cases: 1:12-md-02335-LAK et al.(Fischer, Michael) (Entered: 03/11/2013) -

03/11/2013 138 DECLARATION of Michael J. Fischer in Support re: (35 in 1:12-cv-03470-LAK) MOTION for Michael J. Fischer to Withdraw as Attorney.. Document filed by Mellon Bank N.A., The Bank of New York Mellon, The Bank of New York Mellon Corporation, Mellon Bank, N.A., The Bank of New York, The Bank of New York Mellon Corporation, Bank of New York Mellon Trust Company, N.A., The Bank of New York Company, Inc., The Bank of New York Mellon Trust Company National Association, BNY Mellon Capital Markets, LLC, Ruth E. Bruch, Nicholas M. Donofrio, Steven G. Elliott, Thomas P. Gibbons, Gerald L. Hassell, Michael K. Hughey, Edmund F. Kelly, Robert P. Kelly, Richard J. Kogan, Michael J. Kowalski, John A. Luke, Jr, Robert Mehrabian, Mark A. Nordenberg, John A. Park, Catherine A. Rein, William C. Richardson, Samuel C. Scott, III, John P. Surma, The Bank of New York Mellon Corporation, Bruce W. Van Saun, Wesley W. Von Schack, The Bank of New York Mellon Corporation. Filed In Associated Cases: 1:12-md-02335-LAK et al.(Fischer, Michael) (Entered: 03/11/2013)

04/24/2013 139 ORDER: The parties shall file status reports with the Court by Monday, May 7, 2013,

via electronic filing. The Court has scheduled a status conference with all parties to this Multidistrict Litigation, and its related civil action, for Friday, May 17, 2013, at 9:30a.m., in Courtroom 21B of the Daniel Patrick Moynihan Courthouse, 500 Pearl Street, Manhattan, New York. SO ORDERED.( Status Conference set for 5/17/2013 at 09:30 AM in Courtroom 21B, 500 Pearl Street, New York, NY 10007 before Judge Lewis A. Kaplan.) (Signed by Judge Lewis A. Kaplan on 4/24/2013) Filed In Associated Cases: 1:12-md-02335-LAK et al.(ama) (Entered: 04/24/2013)

05/07/2013 140 STATUS REPORT. JOINT Document filed by MDL Plaintiffs Executive Committee.Filed In Associated Cases: 1:12-md-02335-LAK et al.(Chiplock, Daniel) (Entered: 05/07/2013)

05/08/2013 141 MEMO ENDORSEMENT on Notice of Withdrawal of Appearance. PLEASE TAKE NOTICE THAT William C. Fredericks is no longer associated with Bernstein Litowitz Berger & Grossmann, LLP, and is hereby withdrawn as Lead Counsel for Lead Plaintiff and the Class, in the above-captioned action. Bernstein Litowitz Berger & Grossman, LP, through the undersigned counsel of record, continues to serve as Lead Counsel for Lead Plaintiff and the Class in this action and all future correspondence and papers in this action should continue to be directed to them. ENDORSEMENT: So ordered. (Signed by Judge Lewis A. Kaplan on 5/8/2013) Filed In Associated Cases: 1:12-md-02335-LAK, 1:11-cv-09175-LAK(mro) (Entered: 05/08/2013)

05/17/2013 142 PRETRIAL ORDER NO. 6 (Amendments to Complaints): As indicated at today's pretrial conference, any amended complaints or motions to amend complaints shall be filed on or before July 1, 2013. ( Amended Pleadings due by 7/1/2013., Motions due by 7/1/2013.) (Signed by Judge Lewis A. Kaplan on 5/17/2013) Filed In Associated Cases: 1:12-md-02335-LAK et al.(mro) (Entered: 05/17/2013)

05/17/2013 143 ORDER: The Court has scheduled a status conference with all parties to this Multidistrict Litigation, and its related civil action, for Tuesday, July 23, 2013, at 10:00 a.m., in Courtroom 21B of Daniel Patrick Moynihan Courthouse, 500 Pearl Street, Manhattan, New York. ( Status Conference set for 7/23/2013 at 10:00 AM in Courtroom 21B, 500 Pearl Street, New York, NY 10007 before Judge Lewis A. Kaplan.) (Signed by Judge Lewis A. Kaplan on 5/17/2013) Filed In Associated Cases: 1:12-md-02335-LAK et al.(mro) (Entered: 05/17/2013)

05/28/2013 144 OPPOSITION BRIEF re: (234 in 1:12-md-02335-LAK, 140 in 1:11-cv-09175-LAK) Status Report Motion to Lift PSLRA Discovery Stay . Document filed by Ruth E. Bruch, Nicholas M. Donofrio, Steven G. Elliott, Thomas P. Gibbons, Gerald L. Hassell, Michael K. Hughey, Edmund F. Kelly, Robert P. Kelly, Richard J. Kogan, Michael J. Kowalski, John A. Luke, Jr, Robert Mehrabian, Mark A. Nordenberg, John A. Park, Catherine A. Rein, William C. Richardson, Samuel C. Scott, III, John P. Surma, The Bank of New York Mellon Corporation, Bruce W. Van Saun, Wesley W. Von Schack.Filed In Associated Cases: 1:12-md-02335-LAK, 1:11-cv-09175- LAK(Figel, Reid) (Entered: 05/28/2013)

05/28/2013 145 MEMORANDUM OF LAW in Support - UNDERWRITER DEFENDANTS' SUBMISSION IN SUPPORT OF MAINTAINING THE PSLRA STAY . Document filed by BNY Mellon Capital Markets, LLC, Barclays Capital Inc, CitiGroup Global Market, Inc., Goldman, Sachs & Co, Merrill Lynch Pierce Fenner & Smith Incorporated, Morgan Stanley & CO. Incorporated, UBS Securities LLC, Barclays Capital Inc., Citigroup Global Markets Inc., Goldman, Sachs & Co., Merrill Lynch,

Pierce, Fenner & Smith Incorporated, Morgan Stanley & Co. Incorporated, UBS Securities LLC. Filed In Associated Cases: 1:12-md-02335-LAK, 1:11-cv-09175- LAK(Kirsch, Mark) (Entered: 05/28/2013)

05/31/2013 146 TRANSCRIPT of Proceedings re: CONFERENCE held on 5/17/2013 before Judge Lewis A. Kaplan. Court Reporter/Transcriber: Linda Fisher, (212) 805-0300. 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 6/24/2013. Redacted Transcript Deadline set for 7/8/2013. Release of Transcript Restriction set for 9/3/2013.Filed In Associated Cases: 1:12-md-02335-LAK et al.(Rodriguez, Somari) (Entered: 05/31/2013)

05/31/2013 147 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a CONFERENCE proceeding held on 5/17/13 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days...Filed In Associated Cases: 1:12-md-02335-LAK et al.(Rodriguez, Somari) (Entered: 05/31/2013)

06/06/2013

06/06/2013

06/07/2013

148 FILING ERROR - WRONG EVENT TYPE SELECTED FROM MENU - REPLY MEMORANDUM OF LAW re: (144 in 1:11-cv-09175-LAK, 244 in 1:12- md-02335-LAK) Opposition Brief,, (245 in 1:12-md-02335-LAK, 145 in 1:11-cv-09175-LAK) Memorandum of Law in Support,,. Document filed by State of Oregon By and Through the Oregon State Treasurer on Behalf of the Common School Fund and, Together with the Oregon Public Employee Retirement Board, on Behalf of the Oregon Public Employee Re. Filed In Associated Cases: 1:12-md-02335-LAK, 1:11- cv-09175-LAK(Singer, Steven) Modified on 6/7/2013 (db). (Entered: 06/06/2013) -

149 DECLARATION of Steven B. Singer re: (144 in 1:11-cv-09175-LAK, 244 in 1:12- md-02335-LAK) Opposition Brief,, (245 in 1:12-md-02335-LAK, 145 in 1:11-cv-09175-LAK) Memorandum of Law in Support,,. Document filed by State of Oregon By and Through the Oregon State Treasurer on Behalf of the Common School Fund and, Together with the Oregon Public Employee Retirement Board, on Behalf of the Oregon Public Employee Re. (Attachments: # 1 Exhibit A, # 2 Exhibit B)Filed In Associated Cases: 1:12-md-02335-LAK, 1:11-cv-09175-LAK(Singer, Steven) (Entered: 06/06/2013)

***NOTE TO ATTORNEY TO RE-FILE DOCUMENT - EVENT TYPE ERROR. Note to Attorney Steven B. Singer to RE-FILE Document (249 in 1:12- md-02335-LAK, 148 in 1:11-cv-09175-LAK) Reply Memorandum of Law. Use the event type Reply Memorandum in Support of Motion found under the event list Replies, Opposition and Supporting Documents. Filed In Associated Cases: 1:12-md-02335-LAK, 1:11-cv-09175-LAK(db) (Entered: 06/07/2013)

06/07/2013

150 REPLY re: (234 in 1:12-md-02335-LAK, 140 in 1:11-cv-09175-LAK) Status Report. Document filed by State of Oregon By and Through the Oregon State Treasurer on Behalf of the Common School Fund and, Together with the Oregon Public Employee Retirement Board, on Behalf of the Oregon Public Employee Re. Filed In Associated Cases: 1:12-md-02335-LAK, 1:11-cv-09175-LAK(Singer, Steven) (Entered:

06/07/2013)

06/10/2013 151 ORDER denying (113) Motion to Dismiss; denying (118) Motion to Dismiss; denying (120) Motion to Dismiss in case 1:11-cv-09175-LAK; denying (108) Motion to Dismiss; denying (113) Motion to Dismiss; denying (115) Motion to Dismiss in case 1:12-md-02335-LAK. The motions to dismiss the consolidated class action complaint by The Bank of New York Mellon Corporation [12 MD 2335 (Master Docket) DI 113], the officer and director defendants [Master Docket DI 115], and the underwriter defendants [Master Docket DI 108] are denied. To the extent the arguments made in these motions are not foreclosed by the Court's rulings in the SEPTA action and the action brought by the United States, the denial is without prejudice to renewal on motions for summary judgment. The discovery stay under the Private Securities Litigation Reform Act is dissolved, in the alternative, substantially for the reasons set forth in Lead Plaintiff's Reply Memorandum in Further Support of its Motion to Lift the PSLRA Discovery Stay. (Signed by Judge Lewis A. Kaplan on 6/10/2013) Filed In Associated Cases: 1:12-md-02335-LAK, 1:11-cv-09175-LAK(mro) (Entered: 06/11/2013)

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