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

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US District Court Civil Docket as of August 30, 2019 Retrieved from the court on August 30, 2019 U.S. District Court Southern District of New York (Foley Square) CIVIL DOCKET FOR CASE #: 1:14-cv-03251-JPO Menaldi v. Och-Ziff Capital Management Group LLC et al Assigned to: Judge J. Paul Oetken Related Case: 1:14-cv-06332-JPO Cause: 15:78m(a) Securities Exchange Act Date Filed: 05/05/2014 Date Terminated: 01/16/2019 Jury Demand: Plaintiff Nature of Suit: 850 Securities/Commodities Jurisdiction: Federal Question Lead Plaintiff Ralph Langstadt represented by Jeremy Alan Lieberman Pomerantz LLP 600 Third Avenue, 20th Floor New York, NY 10016 (212)-661-1100 Fax: (212)-661-8665 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED Phillip C. Kim The Rosen Law Firm P.A. 350 5th Avenue, Suite 5508 New York, NY 10118 (212) 686-1060 Fax: (212) 202-3827 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED Emma Gilmore Pomerantz LLP 600 Third Ave, 20th Floor New York, NY 10016 (212) 661-1100 Fax: (212) 661-8665 Email: [email protected] ATTORNEY TO BE NOTICED Laurence Matthew Rosen The Rosen Law Firm, P.A. (NYC) 275 Madison Avenue, 34th Floor

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

Page 1: U.S. District Court Southern District of New York (Foley ...securities.stanford.edu/filings-documents/1052/OZCMG00_01/20171113_r01k_14CV03251.pdfTERMINATED: 04/23/2015 Michele S. Carino

US District Court Civil Docket as of August 30, 2019 Retrieved from the court on August 30, 2019

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

CIVIL DOCKET FOR CASE #: 1:14-cv-03251-JPO

Menaldi v. Och-Ziff Capital Management Group LLC et al Assigned to: Judge J. Paul Oetken Related Case: 1:14-cv-06332-JPO

Cause: 15:78m(a) Securities Exchange Act

Date Filed: 05/05/2014 Date Terminated: 01/16/2019 Jury Demand: Plaintiff Nature of Suit: 850 Securities/Commodities Jurisdiction: Federal Question

Lead Plaintiff

Ralph Langstadt represented by Jeremy Alan Lieberman Pomerantz LLP 600 Third Avenue, 20th Floor New York, NY 10016 (212)-661-1100 Fax: (212)-661-8665 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED Phillip C. Kim The Rosen Law Firm P.A. 350 5th Avenue, Suite 5508 New York, NY 10118 (212) 686-1060 Fax: (212) 202-3827 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED Emma Gilmore Pomerantz LLP 600 Third Ave, 20th Floor New York, NY 10016 (212) 661-1100 Fax: (212) 661-8665 Email: [email protected] ATTORNEY TO BE NOTICED Laurence Matthew Rosen The Rosen Law Firm, P.A. (NYC) 275 Madison Avenue, 34th Floor

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New York,, NY 10016 (212)-686-1060 Fax: (212)-202-3827 Email: [email protected] ATTORNEY TO BE NOTICED Michele S. Carino Pomerantz LLP 600 Third Ave, 20th Floor New York, NY 10016 (212) 661-1100 Fax: (212) 661-8665 Email: [email protected] ATTORNEY TO BE NOTICED Patrick Vincent Dahlstrom Pomerantz LLP 10 South LaSalle Street Suite 3505 Chicago, IL 60603 (212)661-1100 Fax: (212)661-8665 Email: [email protected] ATTORNEY TO BE NOTICED Sara Esther Fuks The Rosen Law Firm, P.A. 275 Madison Avenue 34th Floor New York, NY 10016 212-686-1060 Fax: 212-202-3827 Email: [email protected] ATTORNEY TO BE NOTICED

Lead Plaintiff

Julie Lemond represented by Jeremy Alan Lieberman (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED Phillip C. Kim (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED Emma Gilmore (See above for address) ATTORNEY TO BE NOTICED

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Laurence Matthew Rosen (See above for address) ATTORNEY TO BE NOTICED Michele S. Carino (See above for address) ATTORNEY TO BE NOTICED Patrick Vincent Dahlstrom (See above for address) ATTORNEY TO BE NOTICED Sara Esther Fuks (See above for address) ATTORNEY TO BE NOTICED

Plaintiff

Arthur Menaldi Individually and on Behalf of All Others Similarly Situated

represented by Jeremy Alan Lieberman (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED Francis Paul McConville Labaton & Sucharow LLP (NYC) 140 Broadway, 34th Floor New York, NY 10005 212-907-0650 Fax: 212-818-0477 Email: [email protected] TERMINATED: 04/23/2015 Michele S. Carino (See above for address) ATTORNEY TO BE NOTICED Patrick Vincent Dahlstrom (See above for address) ATTORNEY TO BE NOTICED Tamar Aliza Weinrib Pomerantz LLP 600 Third Avenue, 20th Floor New York, NY 10016 (212) 661-1100 x248 Fax: (212) 661-8665 Email: [email protected] ATTORNEY TO BE NOTICED

V.

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Defendant

Och-Ziff Capital Management Group LLC

represented by Robert F. Serio Gibson, Dunn & Crutcher, LLP (NY) 200 Park Avenue, 48th Floor New York, NY 10166 212-351-3917 Fax: 212-351-5246 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED Aric Hugo Wu Gibson, Dunn & Crutcher, LLP (NY) 200 Park Avenue, 48th Floor New York, NY 10166 (212) 351-3820 Fax: (212) 351-5344 Email: [email protected] ATTORNEY TO BE NOTICED Casey Kyung-Se Lee Gibson, Dunn & Crutcher, LLP (NY) 200 Park Avenue, 48th Floor New York, NY 10166 212-351-4000 Fax: 212-351-4035 Email: [email protected] TERMINATED: 01/17/2017 Gabriel Herrmann Gibson, Dunn & Crutcher, LLP 200 Park Avenue, 48th Floor New York, NY 10166 (212)-351-4000 Fax: (212)-351-5281 Email: [email protected] ATTORNEY TO BE NOTICED

Defendant

Daniel S. Och represented by Alan Mark Vinegrad Covington & Burling LLP(NYC) 620 Eighth Avenue New York, NY 10018-1405 (212) 841-1000 Fax: (212) 841-1010 Email: [email protected] ATTORNEY TO BE NOTICED Aric Hugo Wu (See above for address)

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TERMINATED: 01/12/2017 Casey Kyung-Se Lee (See above for address) TERMINATED: 01/12/2017 Douglas Sleater Curran Pierce Bainbridge Beck Price & Hecht LLP 277 Park Avenue, 45th Floor New York, NY 10172 212-484-9866 Email: [email protected] TERMINATED: 06/20/2018 Gabriel Herrmann (See above for address) TERMINATED: 01/12/2017 Robert F. Serio (See above for address) TERMINATED: 01/12/2017 Stephen James Dee Covington & Burling LLP(NYC) 620 Eighth Avenue New York, NY 10018-1405 (212)-841-1187 Email: [email protected] ATTORNEY TO BE NOTICED

Defendant

Joel M. Frank represented by Richard John Morvillo Orrick, Herrington & Sutcliffe, LLP (DC) 1152 15th Street, N.W. Washington, DC 20005 (202) 339-8484 Fax: (202) 339-8500 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED Aric Hugo Wu (See above for address) TERMINATED: 01/12/2017 Casey Kyung-Se Lee (See above for address) TERMINATED: 01/12/2017

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Elizabeth Anne Marshall Morvillo LLP 1101 17th Street Nw, Suite 705 Washington, DC 20001 (202)-803-5855 Email: [email protected] PRO HAC VICE ATTORNEY TO BE NOTICED Ellen Marie Murphy Orrick, Herrington & Sutcliffe LLP (NYC) 51 West 52nd Street New York, NY 10019 (212) 506-3659 Fax: (212) 506-5151 Email: [email protected] ATTORNEY TO BE NOTICED Gabriel Herrmann (See above for address) TERMINATED: 01/12/2017 Robert F. Serio (See above for address) TERMINATED: 01/12/2017

Defendant

Michael Cohen TERMINATED: 02/17/2016

represented by Jamie A. Levitt Morrison & Foerster LLP (NYC) 250 West 55th Street New York, NY 10019 212-468-8000 Fax: 212-468-7900 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED Kiersten Ann Fletcher Morrison & Foerster LLP (NYC) 250 West 55th Street New York, NY 10019 (212) 468-7900 Fax: (212) 468-7900 Email: [email protected] TERMINATED: 12/21/2015 Ronald G. White Morrison & Foerster LLP (NYC) 250 West 55th Street

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New York, NY 10019 (212) 468-8000 Fax: 212-468-7900 Email: [email protected] ATTORNEY TO BE NOTICED

Date Filed # Docket Text

05/05/2014 1 CIVIL COVER SHEET filed. (js) (Entered: 05/08/2014)

05/05/2014 2 COMPLAINT against Joel M. Frank, Daniel S. Och, Och-Ziff Capital Management Group LLC. (Filing Fee $ 350.00, Receipt Number 46540109)Document filed by Arthur Menaldi.(js) (Entered: 05/08/2014)

05/05/2014 SUMMONS ISSUED as to Joel M. Frank, Daniel S. Och, Och-Ziff Capital Management Group LLC. (js) (Entered: 05/08/2014)

05/05/2014 Magistrate Judge Andrew J. Peck is so designated. (js) (Entered: 05/08/2014)

05/05/2014 Case Designated ECF. (js) (Entered: 05/08/2014)

05/05/2014 3 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 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) (js) (Entered: 05/08/2014)

05/19/2014 4 NOTICE OF APPEARANCE by Aric Hugo Wu on behalf of Joel M. Frank, Daniel S. Och, Och-Ziff Capital Management Group LLC. (Wu, Aric) (Entered: 05/19/2014)

05/19/2014 5 NOTICE OF APPEARANCE by Robert F. Serio on behalf of Joel M. Frank, Daniel S. Och, Och-Ziff Capital Management Group LLC. (Serio, Robert) (Entered: 05/19/2014)

05/19/2014 6 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. No Corporate Parent. Document filed by Och-Ziff Capital Management Group LLC.(Serio, Robert) (Entered: 05/19/2014)

05/22/2014 7 STIPULATION AND ORDER: IT IS HEREBY STIPULATED AND AGREED, by and between the undersigned counsel for the parties in this action, that: 1. Plaintiff need not serve Defendants with the Summons or Complaint. 2. Defendants need not

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respond to Plaintiff's Complaint. 3. Within sixty (60) days after a court ruling on any motions for lead plaintiff, the court-appointed Lead Plaintiff shall file an Amended Complaint that supersedes the Complaint filed in this action. 4. Within ninety (90) days after the filing of the Lead Plaintiff's Amended Complaint, Defendants shall answer, move against, or otherwise respond to the Amended Complaint. (Signed by Judge J. Paul Oetken on 5/21/2014) (kgo) (Entered: 05/22/2014)

06/18/2014 8 NOTICE OF APPEARANCE by Francis Paul McConville on behalf of Arthur Menaldi. (McConville, Francis) (Entered: 06/18/2014)

07/07/2014 9 MOTION to Appoint Ralph Langstadt and Julie Lemond to serve as lead plaintiff(s) ., MOTION to Appoint Counsel Pomerantz LLP and The Rosen Law Firm, P.A.. Document filed by Ralph Langstadt, Julie Lemond. (Attachments: # 1 Text of Proposed Order)(Lieberman, Jeremy) (Entered: 07/07/2014)

07/07/2014 10 MEMORANDUM OF LAW in Support re: 9 MOTION to Appoint Ralph Langstadt and Julie Lemond to serve as lead plaintiff(s) . MOTION to Appoint Counsel Pomerantz LLP and The Rosen Law Firm, P.A.. . Document filed by Ralph Langstadt, Julie Lemond. (Lieberman, Jeremy) (Entered: 07/07/2014)

07/07/2014 11 DECLARATION of Jeremy A. Lieberman in Support re: 9 MOTION to Appoint Ralph Langstadt and Julie Lemond to serve as lead plaintiff(s) . MOTION to Appoint Counsel Pomerantz LLP and The Rosen Law Firm, P.A... Document filed by Ralph Langstadt, Julie Lemond. (Attachments: # 1 Exhibit A, Press Release, # 2 Exhibit B, Certifications, # 3 Exhibit C, Loss Chart, # 4 Exhibit D, Pomerantz LLP Resume, # 5 Exhibit E, The Rosen Law Firm, P.A. Resume)(Lieberman, Jeremy) (Entered: 07/07/2014)

07/24/2014 12 NOTICE OF APPEARANCE by Tamar Aliza Weinrib on behalf of Arthur Menaldi. (Weinrib, Tamar) (Entered: 07/24/2014)

07/25/2014 13 RESPONSE in Support of Motion re: 9 MOTION to Appoint Ralph Langstadt and Julie Lemond to serve as lead plaintiff(s) . MOTION to Appoint Counsel Pomerantz LLP and The Rosen Law Firm, P.A.. MEMORANDUM OF LAW IN FURTHER SUPPORT OF THE MOTION BY RALPH LANGSTADT AND JULIE LEMOND FOR APPOINTMENT AS LEAD PLAINTIFF AND APPROVAL OF COUNSEL AND NOTICE OF NON-OPPOSITION. Document filed by Ralph Langstadt, Julie Lemond. (McConville, Francis) (Entered: 07/25/2014)

07/26/2014 14 NOTICE OF APPEARANCE by Phillip C. Kim on behalf of Ralph Langstadt, Julie Lemond. (Kim, Phillip) (Entered: 07/26/2014)

08/21/2014 15 NOTICE OF APPEARANCE by Sara Esther Fuks on behalf of Ralph Langstadt, Julie Lemond. (Fuks, Sara) (Entered: 08/21/2014)

09/24/2014 16 ORDER APPOINTING LEAD PLAINTIFF AND APPROVING SELECTION OF COUNSEL granting 9 Motion to Appoint Ralph Langstadt, Julie Lemond as Lead Plaintiff(s); granting 9 Motion to Appoint Counsel. IT IS HEREBY ORDERED THAT: Having reviewed all pending Motions and accompanying Memoranda of Law, the Court hereby appoints Ralph Langstadt ("Langstadt") and Julie Lemond ("Lemond") as Lead Plaintiff. Langstadt and Lemond satisfy the requirements for Lead Plaintiff pursuant to Section 21D(a)(3)(B)(iii) of the Private Securities Litigation Reform Act of 1995 ("PSLRA"). 2. Lead Plaintiff, pursuant to Section

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21D(a)(3)(B)(v), has selected and retained Pomerantz LLP and The Rosen Law Firm, P.A. as Co-Lead Counsel for the Class in this action. 3. Plaintiff's Co-Lead Counsel shall have the following responsibilities and duties as set forth within. (See Order.) (Signed by Judge J. Paul Oetken on 9/24/2014) (ajs) (Entered: 09/24/2014)

11/24/2014 17 AMENDED COMPLAINT amending 2 Complaint against Joel M. Frank, Daniel S. Och, Och-Ziff Capital Management Group LLC, Michael Cohen with JURY DEMAND.Document filed by Julie Lemond, Ralph Langstadt. Related document: 2 Complaint filed by Arthur Menaldi.(Lieberman, Jeremy) (Entered: 11/24/2014)

11/25/2014 18 NOTICE OF APPEARANCE by Emma Gilmore on behalf of Ralph Langstadt, Julie Lemond. (Gilmore, Emma) (Entered: 11/25/2014)

12/18/2014 19 NOTICE OF APPEARANCE by Jamie A. Levitt on behalf of Michael Cohen. (Levitt, Jamie) (Entered: 12/18/2014)

12/22/2014 20 STIPULATION AND ORDER REGARDING MOTIONS TO DISMISS THE AMENDED COMPLAINT: IT IS HEREBY STIPULATED AND AGREED, by and between the undersigned counsel for the parties in this action, as follows: Defendants will answer, move against, or otherwise respond to the Amended Complaint on or before March 16, 2015; In the event that Defendants move to dismiss the Amended Complaint, Plaintiffs will serve their opposition to Defendants' Motions to Dismiss on or before May 15, 2015; and Defendants will serve their reply papers in support of any Motions to Dismiss on or before June 15, 2015. SO ORDERED. Michael Cohen answer due 3/16/2015; Joel M. Frank answer due 3/16/2015; Daniel S. Och answer due 3/16/2015; Och-Ziff Capital Management Group LLC answer due 3/16/2015.( Motions due by 3/16/2015., Responses due by 5/15/2015, Replies due by 6/15/2015.) (Signed by Judge J. Paul Oetken on 12/22/2014) (ama) (Entered: 12/22/2014)

03/16/2015 21 NOTICE OF APPEARANCE by Ronald G. White on behalf of Michael Cohen. (White, Ronald) (Entered: 03/16/2015)

03/16/2015 22 NOTICE OF APPEARANCE by Kiersten Ann Fletcher on behalf of Michael Cohen. (Fletcher, Kiersten) (Entered: 03/16/2015)

03/16/2015 23 MOTION to Dismiss / Motion to Dismiss Plaintiffs' Consolidated Amended Class Action Complaint. Document filed by Joel M. Frank, Daniel S. Och, Och-Ziff Capital Management Group LLC. Responses due by 5/15/2015(Serio, Robert) (Entered: 03/16/2015)

03/16/2015 24 MEMORANDUM OF LAW in Support re: 23 MOTION to Dismiss / Motion to Dismiss Plaintiffs' Consolidated Amended Class Action Complaint. . Document filed by Joel M. Frank, Daniel S. Och, Och-Ziff Capital Management Group LLC. (Serio, Robert) (Entered: 03/16/2015)

03/16/2015 25 DECLARATION of ROBERT F. SERIO in Support re: 23 MOTION to Dismiss / Motion to Dismiss Plaintiffs' Consolidated Amended Class Action Complaint.. Document filed by Joel M. Frank, Daniel S. Och, Och-Ziff Capital Management Group LLC. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D, # 5 Exhibit E, # 6 Exhibit F)(Serio, Robert) (Entered: 03/16/2015)

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03/16/2015 26 MOTION to Dismiss the Amended Class Action Complaint. Document filed by Michael Cohen.(Levitt, Jamie) (Entered: 03/16/2015)

03/16/2015 27 MEMORANDUM OF LAW in Support re: 26 MOTION to Dismiss the Amended Class Action Complaint. . Document filed by Michael Cohen. (Levitt, Jamie) (Entered: 03/16/2015)

04/22/2015 28 NOTICE of WITHDRAWAL OF COUNSEL. Document filed by Ralph Langstadt, Julie Lemond. (McConville, Francis) (Entered: 04/22/2015)

04/23/2015 29 MEMO ENDORSEMENT on re: 28 NOTICE OF WITHDRAWAL OF COUNSEL filed by Julie Lemond, Ralph Langstadt. ENDORSEMENT: So ordered. Attorney Francis Paul McConville terminated. (Signed by Judge J. Paul Oetken on 4/23/2015) (kko) (Entered: 04/23/2015)

05/08/2015 30 NOTICE OF APPEARANCE by Michele S. Carino on behalf of Arthur Menaldi. (Carino, Michele) (Entered: 05/08/2015)

05/11/2015 31 STIPULATION AND ORDER REGARDING MOTIONS TO DISMISS: IT IS HEREBY STIPULATED AND AGREED, by and among the undersigned counsel for the parties to this action, as follows: Plaintiffs will file one, consolidated opposition brief in response to Defendants' motions, respectively, not to exceed forty (40) pages, on or before May 29, 2015, and The Och-Ziff Defendants will file a reply brief in further support of their Motion to Dismiss, not to exceed twenty (20) pages, or or before July 2, 2015, and Defendant Cohen will file a reply brief in further support of their Motion to Dismiss, not to exceed ten (10) pages, or or before July 2, 2015. Set Deadlines/Hearing as to 23 MOTION to Dismiss / Motion to Dismiss Plaintiffs' Consolidated Amended Class Action Complaint, 26 MOTION to Dismiss the Amended Class Action Complaint: (Responses due by 5/29/2015, Replies due by 7/2/2015.) (Signed by Judge J. Paul Oetken on 5/11/2015) (kko) (Entered: 05/11/2015)

05/29/2015 32 MEMORANDUM OF LAW in Opposition re: 23 MOTION to Dismiss / Motion to Dismiss Plaintiffs' Consolidated Amended Class Action Complaint., 26 MOTION to Dismiss the Amended Class Action Complaint. . Document filed by Ralph Langstadt, Julie Lemond. (Lieberman, Jeremy) (Entered: 05/29/2015)

07/02/2015 33 REPLY MEMORANDUM OF LAW in Support re: 23 MOTION to Dismiss / Motion to Dismiss Plaintiffs' Consolidated Amended Class Action Complaint. . Document filed by Joel M. Frank, Daniel S. Och, Och-Ziff Capital Management Group LLC. (Serio, Robert) (Entered: 07/02/2015)

07/02/2015 34 DECLARATION of ROBERT F. SERIO in Support re: 23 MOTION to Dismiss / Motion to Dismiss Plaintiffs' Consolidated Amended Class Action Complaint.. Document filed by Joel M. Frank, Daniel S. Och, Och-Ziff Capital Management Group LLC. (Attachments: # 1 Exhibit G, # 2 Exhibit H, # 3 Exhibit I, # 4 Exhibit J, # 5 Exhibit K, # 6 Exhibit L, # 7 Exhibit M, # 8 Exhibit N, # 9 Exhibit O, # 10 Exhibit P)(Serio, Robert) (Entered: 07/02/2015)

07/02/2015 35 REPLY MEMORANDUM OF LAW in Support re: 26 MOTION to Dismiss the Amended Class Action Complaint. . Document filed by Michael Cohen. (Levitt, Jamie) (Entered: 07/02/2015)

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12/18/2015 36 MOTION for Kiersten A. Fletcher to Withdraw as Attorney . Document filed by Michael Cohen. (Attachments: # 1 Text of Proposed Order)(Fletcher, Kiersten) (Entered: 12/18/2015)

12/18/2015 37 AFFIRMATION of Kiersten A. Fletcher in Support re: 36 MOTION for Kiersten A. Fletcher to Withdraw as Attorney .. Document filed by Michael Cohen. (Fletcher, Kiersten) (Entered: 12/18/2015)

12/21/2015 38 ORDER granting 36 Motion for Kiersten A. Fletcher to Withdraw as Attorney. Upon consideration of the request to withdraw by Kiersten A. Fletcher, Esq., this Court orders that Kiersten A. Fletcher, Esq. be withdrawn from this case, and further orders that Ms. Fletcher be removed from the Court's electronic service list. The Clerk of Court is directed to close the motion at Docket Number 36. Attorney Kiersten Ann Fletcher terminated. (Signed by Judge J. Paul Oetken on 12/21/2015) (kko) (Entered: 12/21/2015)

02/17/2016 39 MEMORANDUM AND OPINION re: 23 MOTION to Dismiss / Motion to Dismiss Plaintiffs' Consolidated Amended Class Action Complaint. filed by Daniel S. Och, Joel M. Frank, Och-Ziff Capital Management Group LLC, 26 MOTION to Dismiss the Amended Class Action Complaint. filed by Michael Cohen. For the foregoing reasons, Defendant Michael Cohen's motion to dismiss is GRANTED, and the remaining Defendants' motion to dismiss is GRANTED in part and DENIED in part. Plaintiffs' Rule 10b-5(b) claim against Defendant Cohen is dismissed in its entirety. Plaintiffs' Rule 10b-5(b) claim against Defendants Och-Ziff, Och, and Frank is dismissed insofar as it relies on a duty to disclose uncharged wrongdoing, but the motion to dismiss is denied insofar as Plaintiffs allege Rule 10b-5(b) violations with respect to statements about pending regulatory proceedings. Plaintiffs' scheme liability claim is dismissed as to all Defendants. Plaintiffs' control person liability claim is dismissed as to Defendant Cohen, but the motion to dismiss is denied as to alleged § 20(a) violations by Defendants Och and Frank. Defendants are instructed to file responses to the claims that remain on or before March 9, 2016. The Clerk of Court is directed to close the motions at docket numbers 23 and 26. (As further set forth in this Order.) (Signed by Judge J. Paul Oetken on 2/17/2016) (kgo) (Entered: 02/17/2016)

03/02/2016 40 MOTION for Reconsideration re; 39 Memorandum & Opinion,,,,, NOTICE OF MOTION BY DEFENDANTS OCH-ZIFF CAPITAL MANAGEMENT GROUP LLC, DANIEL S. OCH, AND JOEL M. FRANK FOR PARTIAL RECONSIDERATION OF THE COURT'S FEBRUARY 17, 2016 OPINION AND ORDER. Document filed by Joel M. Frank, Daniel S. Och, Och-Ziff Capital Management Group LLC.(Serio, Robert) (Entered: 03/02/2016)

03/02/2016 41 MEMORANDUM OF LAW in Support re: 40 MOTION for Reconsideration re; 39 Memorandum & Opinion,,,,, NOTICE OF MOTION BY DEFENDANTS OCH-ZIFF CAPITAL MANAGEMENT GROUP LLC, DANIEL S. OCH, AND JOEL M. FRANK FOR PARTIAL RECONSIDERATION OF THE COURT'S FEBRUARY 17, 2016 OPINION AN . Document filed by Joel M. Frank, Daniel S. Och, Och-Ziff Capital Management Group LLC. (Serio, Robert) (Entered: 03/02/2016)

03/04/2016 42 LETTER addressed to Judge J. Paul Oetken from Aric Wu dated March 4, 2016 re: scheduling stipulation and order. Document filed by Joel M. Frank, Daniel S. Och,

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Och-Ziff Capital Management Group LLC. (Attachments: # 1 Text of Proposed Order)(Wu, Aric) (Entered: 03/04/2016)

03/04/2016 43 LETTER MOTION for Extension of Time addressed to Judge J. Paul Oetken from Aric Wu dated March 4, 2016. Document filed by Joel M. Frank, Daniel S. Och, Och-Ziff Capital Management Group LLC. (Attachments: # 1 Text of Proposed Order)(Wu, Aric) (Entered: 03/04/2016)

03/07/2016 44 ORDER granting 43 Letter Motion for Extension of Time. Granted. The proposed briefing schedule for Defendants' Motion for Reconsideration is hereby adopted. (See Dkt. No. 43.) Defendants shall file an answer to the remaining claims on or before March 23, 2016. (HEREBY ORDERED by Judge J. Paul Oetken)(Text Only Order) (Oetken, J.) (Entered: 03/07/2016)

03/23/2016 45 ANSWER to 17 Amended Complaint,. Document filed by Joel M. Frank, Daniel S. Och, Och-Ziff Capital Management Group LLC.(Serio, Robert) (Entered: 03/23/2016)

03/24/2016 46 LETTER MOTION for Extension of Time addressed to Judge J. Paul Oetken from Sara Fuks dated March 24, 2016. Document filed by Ralph Langstadt, Julie Lemond. (Attachments: # 1 Text of Proposed Order)(Fuks, Sara) (Entered: 03/24/2016)

03/25/2016 47 ORDER granting 46 Letter Motion for Extension of Time. Granted. The proposed briefing schedule for Defendants' Motion for Reconsideration is hereby adopted. (See Dkt. No. 46.) (HEREBY ORDERED by Judge J. Paul Oetken)(Text Only Order) (Oetken, J.) (Entered: 03/25/2016)

03/25/2016 48 ORDER: Counsel for all parties are directed to appear for a pretrial conference with the Court, at the time and place listed below. Counsel who appear at the pretrial conference must be authorized to negotiate terms of settlement. Date and place of conference: April 13, 2016, at 11:30 a.m., in Courtroom 706 of the Thurgood Marshall United States Court House, 40 Foley Square, New York, New York. SO ORDERED. Initial Conference set for 4/13/2016 at 11:30 AM in Courtroom 706, 40 Centre Street, New York, NY 10007 before Judge J. Paul Oetken. (Signed by Judge J. Paul Oetken on 3/25/2016) (ama) (Entered: 03/25/2016)

03/31/2016 49 NOTICE OF APPEARANCE by Laurence Matthew Rosen on behalf of Ralph Langstadt, Julie Lemond. (Rosen, Laurence) (Entered: 03/31/2016)

04/05/2016 50 LETTER MOTION to Adjourn Conference addressed to Judge J. Paul Oetken dated April 5, 2016. Document filed by Joel M. Frank, Daniel S. Och, Och-Ziff Capital Management Group LLC. (Attachments: # 1 Text of Proposed Order)(Wu, Aric) (Entered: 04/05/2016)

04/06/2016 51 ORDER granting 50 Letter Motion to Adjourn Conference. Granted. The conference scheduled for April 13, 2016, is hereby adjourned to May 6, 2016, at 11:00 am. (HEREBY ORDERED by Judge J. Paul Oetken)(Text Only Order) (Oetken, J.) (Entered: 04/06/2016)

04/08/2016 52 MEMORANDUM OF LAW in Opposition re: 40 MOTION for Reconsideration re; 39 Memorandum & Opinion,,,,, NOTICE OF MOTION BY DEFENDANTS OCH-ZIFF CAPITAL MANAGEMENT GROUP LLC, DANIEL S. OCH, AND JOEL M.

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FRANK FOR PARTIAL RECONSIDERATION OF THE COURT'S FEBRUARY 17, 2016 OPINION AN . Document filed by Ralph Langstadt, Julie Lemond. (Fuks, Sara) (Entered: 04/08/2016)

04/22/2016 53 REPLY MEMORANDUM OF LAW in Support re: 40 MOTION for Reconsideration re; 39 Memorandum & Opinion,,,,, NOTICE OF MOTION BY DEFENDANTS OCH-ZIFF CAPITAL MANAGEMENT GROUP LLC, DANIEL S. OCH, AND JOEL M. FRANK FOR PARTIAL RECONSIDERATION OF THE COURT'S FEBRUARY 17, 2016 OPINION AN . Document filed by Joel M. Frank, Daniel S. Och, Och-Ziff Capital Management Group LLC. (Serio, Robert) (Entered: 04/22/2016)

04/25/2016 54 LETTER MOTION to Adjourn Conference addressed to Judge J. Paul Oetken from Michele S. Carino dated April 25, 2016. Document filed by Ralph Langstadt, Julie Lemond. (Attachments: # 1 Text of Proposed Order)(Carino, Michele) (Entered: 04/25/2016)

04/26/2016 55 ORDER granting 54 Letter Motion to Adjourn Conference. Granted. The conference scheduled for May 6, 2016 is hereby adjourned to May 11, 2016, at 11:30 am. So ordered. (HEREBY ORDERED by Judge J. Paul Oetken)(Text Only Order) (Oetken, J.) (Entered: 04/26/2016)

05/06/2016 56 OPINION AND ORDER re: 40 MOTION for Reconsideration re; 39 Memorandum & Opinion, NOTICE OF MOTION BY DEFENDANTS OCH-ZIFF CAPITAL MANAGEMENT GROUP LLC, DANIEL S. OCH, AND JOEL M. FRANK FOR PARTIAL RECONSIDERATION OF THE COURT'S FEBRUARY 17, 2016 OPINION AN filed by Daniel S. Och, Joel M. Frank, Och-Ziff Capital Management Group LLC. Having reviewed the record and the parties memoranda of law, and having considered all the arguments contained therein, the Court concludes that there is no basis for reconsideration of this Court's February 17 Order. Accordingly, Defendants motion is DENIED. The Clerk of the Court is directed to close the motion at docket number 40. SO ORDERED. (Signed by Judge J. Paul Oetken on 5/06/2016) (ama) (Entered: 05/06/2016)

05/11/2016 Minute Entry for proceedings held before Judge J. Paul Oetken: Initial Pretrial Conference held on 5/11/2016. Next PTC set for Jan. 20th, 2017. (See transcript). (Court Reporter Sam Mauro) (Skolnik, Brandon) (Entered: 05/11/2016)

05/11/2016 57 CIVIL CASE MANAGEMENT PLAN AND SCHEDULING ORDER: This Civil Case Management Plan (the "Plan") is submitted by Lead Plaintiffs and Remaining Defendants Och-Ziff Capital Management Group LLC, Daniel S. Och, and Joel M. Frank in accordance with Fed. R. Civ. P. 26(f)(3). All parties do not consent to conducting all further proceedings before a United States Magistrate Judge, including motions and trial. 28 U.S.C. § 636(c). The parties shall be ready for trial within two weeks following the Court's approval of the Final Pretrial Order. Lead Plaintiffs have demanded that this case be tried to a jury. Counsel for the parties have conferred and their present best estimate of the length of trial is two weeks. The next Case Management Conference is scheduled for January 20, 2017 at 10:00 a.m. SO ORDERED. Case Management Conference set for 1/20/2017 at 10:00 AM before Judge J. Paul Oetken. (Signed by Judge J. Paul Oetken on 5/11/2016) (ama) (Entered: 05/11/2016)

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06/02/2016 58 TRANSCRIPT of Proceedings re: CONFERENCE held on 5/11/2016 before Judge J. Paul Oetken. Court Reporter/Transcriber: Samuel Mauro, (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 6/27/2016. Redacted Transcript Deadline set for 7/8/2016. Release of Transcript Restriction set for 9/5/2016.(McGuirk, Kelly) (Entered: 06/02/2016)

06/02/2016 59 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a CONFERENCE proceeding held on 5/11/16 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: 06/02/2016)

08/09/2016 60 MOTION to Certify Class . Document filed by Ralph Langstadt, Julie Lemond. (Attachments: # 1 Text of Proposed Order)(Lieberman, Jeremy) Modified on 10/16/2017 (ap). (Entered: 08/09/2016)

08/09/2016 61 MEMORANDUM OF LAW in Support re: 60 MOTION to Certify Class . . Document filed by Ralph Langstadt, Julie Lemond. (Lieberman, Jeremy) (Entered: 08/09/2016)

08/09/2016 62 DECLARATION of Michele S. Carino in Support re: 60 MOTION to Certify Class .. Document filed by Ralph Langstadt, Julie Lemond. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D, # 5 Exhibit E)(Lieberman, Jeremy) (Entered: 08/09/2016)

08/09/2016 63 NOTICE OF APPEARANCE by Gabriel Herrmann on behalf of Joel M. Frank, Daniel S. Och, Och-Ziff Capital Management Group LLC. (Herrmann, Gabriel) (Entered: 08/09/2016)

08/09/2016 64 NOTICE OF APPEARANCE by Casey Kyung-Se Lee on behalf of Joel M. Frank, Daniel S. Och, Och-Ziff Capital Management Group LLC. (Lee, Casey) (Entered: 08/09/2016)

09/14/2016 65 Vacated as per Judge's Order dated 9/14/2016, Doc. # 67 OPINION AND ORDER: re: 60 MOTION to Certify Class filed by Julie Lemond, Ralph Langstadt. Based on these considerations, and the absence of opposition from Defendants, IT IS HEREBY ORDERED THAT: The action is certified as a class action as to all claims and defenses at issue in the Consolidated Amended Class Action Complaint pursuant to Rule 23(b)(3) of the Federal Rules of Civil Procedure; The "Class" of Plaintiffs is defined as follows: All persons who purchased Och-Ziff securities between February 9, 2012 and August 22, 2014, both dates inclusive (the "Class Period"); Excluded from the Class are Defendants, current and former officers and directors of Och-Ziff, members of their immediate families and their legal representatives, heirs, successors or assigns, and any entity in which Defendants have or had a controlling interest; Lead Plaintiffs Ralph Langstadt and Julie Lemond (collectively "Plaintiffs") are appointed as the representatives of the Class; Pomerantz LLP and The Rosen Law Firm, P.A. are appointed as co-lead counsel for the Class for all purposes in this action. The Clerk of Court is directed to close the

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motion at Docket Number 60. SO ORDERED. (Signed by Judge J. Paul Oetken on 9/14/2016) (ama) Modified on 9/14/2016 (ama). (Entered: 09/14/2016)

09/14/2016 Terminate Transcript Deadlines (ama) (Entered: 09/14/2016)

09/14/2016 66 LETTER addressed to Judge J. Paul Oetken from Robert F. Serio dated September 14, 2016 re: order granting class certification. Document filed by Joel M. Frank, Daniel S. Och, Och-Ziff Capital Management Group LLC. (Attachments: # 1 Attachment - Civil Case Management Plan and Scheduling Order - Dkt. No. 57)(Serio, Robert) (Entered: 09/14/2016)

09/14/2016 67 ORDER re: 65 Memorandum & Opinion. On September 14, 2016, this Court issued an Order granting Plaintiffs' motion for class certification based on the "absence of opposition from Defendants." (Dkt. No. 65.) Because Defendants time to respond to the motion for class certification had not yet elapsed, the Court's Order was premature and is hereby VACATED. Defendants may file their opposition to the motion for class certification on or before October 11, 2016.SO ORDERED. ( Responses due by 10/11/2016) (Signed by Judge J. Paul Oetken on 9/14/2016) (ama) (Entered: 09/14/2016)

09/27/2016 68 LETTER MOTION for Local Rule 37.2 Conference addressed to Judge J. Paul Oetken from Sara Fuks dated September 27, 2016. Document filed by Ralph Langstadt, Julie Lemond. (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)(Fuks, Sara) (Entered: 09/27/2016)

09/30/2016 69 LETTER RESPONSE to Motion addressed to Judge J. Paul Oetken from Robert F. Serio dated September 30, 2016 re: 68 LETTER MOTION for Local Rule 37.2 Conference addressed to Judge J. Paul Oetken from Sara Fuks dated September 27, 2016. . Document filed by Joel M. Frank, Daniel S. Och, Och-Ziff Capital Management Group LLC. (Attachments: # 1 Exhibit A, # 2 Exhibit B)(Serio, Robert) (Entered: 09/30/2016)

10/05/2016 70 STIPULATION AND ORDER: IT IS HEREBY STIPULATED AND AGREED, by and between the undersigned counsel for the parties in this action, that: The Remaining Defendants shall file their opposition to Lead Plaintiffs' motion for class certification, including any expert report offered in opposition to Lead Plaintiffs' motion for class certification, on or before October 18, 2016.Plaintiffs shall file their reply in support of class certification on or beforeDecember 1, 2016. SO ORDERED., ( Responses due by 10/18/2016, Replies due by 12/1/2016.) (Signed by Judge J. Paul Oetken on 10/04/2016) (ama) (Entered: 10/05/2016)

10/14/2016 71 STIPULATION AND ORDER: IT IS HEREBY STIPULATED AND AGREED, by and between the undersigned counsel for the parties, and subject to Court approval, that: Without waiving and expressly reserving their right to move against any amended pleading filed in this case, the Remaining Defendants hereby consent to Plaintiffs' filing of a Second Amended Class Action Complaint (the "Second Amended Complaint"). Plaintiffs shall file their Second Amended Complaint by November 17, 2016. The Remaining Defendants shall file the opening papers for their motion to dismiss the Second Amended Complaint (the "Motion to Dismiss")

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by December 21, 2016. Plaintiffs shall file their opposition papers to the Remaining Defendants' Motion to Dismiss by January 20, 2017. The Remaining Defendants shall file the reply papers for their Motion to Dismiss by February 8, 2017. There shall be no further motion practice on Plaintiffs Motion for Class Certification pending resolution of the Motion to Dismiss, and the briefing schedule for Plaintiffs' Motion for Class Certification set forth in the Court's prior orders is hereby vacated. If the Remaining Defendants Motion to Dismiss is denied, the parties shall submit within 14 days after entry of the Court's ruling on the Motion to Dismiss a proposed briefing and discovery schedule for a motion for class certification based on the operative claims in the Second Amended Complaint. If the Remaining Defendants' Motion to Dismiss is granted, the Remaining Defendants shall file their opposition to Plaintiffs' existing Motion for Class Certification within 30 days after entry of the Court's ruling on the Motion to Dismiss, and Plaintiffs' reply shall be filed within 40 days after the Remaining Defendants file their opposition. If the Remaining Defendants' Motion to Dismiss is denied, the parties shall submit within 14 days after entry of the Court's ruling on the Motion to Dismiss a proposed briefing and discovery schedule for a motion for class certification based on the operative claims in the Second Amended Complaint. There shall be no depositions of fact witnesses during the pendency of the Motion to Dismiss, and the fact discovery deadlines set forth in paragraphs 7(a), 7(e), and 7(f) of the Scheduling Order (ECF No. 57) are hereby vacated. Within 14 days after entry of the Court's ruling on the Motion to Dismiss the Second Amended Complaint, the parties will submit a proposed amended schedule for fact discovery. By October 25, 2016, Plaintiffs and the Remaining Defendants shall each submit a letter of no more than five (5) pages regarding their respective views on whether, pending resolution of the Motion to Dismiss the Second Amended Complaint, document discovery in the action is stayed pursuant to 15 U.S.C. § 78u-4(b)(3)(B). The proposed schedule is hereby adopted. The motion for class certification is denied without prejudice to restoring the motion to the Court's docket at a later date pursuant to the schedule set out here. The Clerk of Court is directed to close the motion at Docket Number 60. SO ORDERED., ( Amended Pleadings due by 11/17/2016., Motions due by 12/21/2016., Responses due by 1/20/2017, Replies due by 2/8/2016.), Motions terminated: 60 MOTION to Certify Class filed by Julie Lemond, Ralph Langstadt. (Signed by Judge J. Paul Oetken on 10/14/2016) (ama) Modified on 10/14/2016 (ama). (Entered: 10/14/2016)

10/25/2016 72 LETTER addressed to Judge J. Paul Oetken from Laurence Rosen dated October 25, 2016 re: Document Discovery Pending Resolution of Motion to Dismiss Second Amended Complaint. Document filed by Ralph Langstadt, Julie Lemond. (Attachments: # 1 Exhibit A)(Fuks, Sara) (Entered: 10/25/2016)

10/25/2016 73 LETTER addressed to Judge J. Paul Oetken from Robert F. Serio dated October 25, 2016 re: discovery stay. Document filed by Joel M. Frank, Daniel S. Och, Och-Ziff Capital Management Group LLC. (Attachments: # 1 Exhibit 1)(Serio, Robert) (Entered: 10/25/2016)

11/04/2016 74 ORDER: The Court has reviewed the parties' submissions and finds that a stay of document discovery is appropriate at least until the filing of the second amended complaint on November 17, 2016. The Court defers a final ruling on whether the stay should remain in place during the pendency of the motion to dismiss until it has reviewed the second amended complaint. (Signed by Judge J. Paul Oetken on 11/4/2016) (cla) (Entered: 11/04/2016)

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11/07/2016 75 NOTICE OF APPEARANCE by Patrick Vincent Dahlstrom on behalf of Ralph Langstadt, Julie Lemond, Arthur Menaldi. (Dahlstrom, Patrick) (Entered: 11/07/2016)

11/18/2016 76 SECOND AMENDED COMPLAINT amending 17 Amended Complaint, against Michael Cohen, Joel M. Frank, Daniel S. Och, Och-Ziff Capital Management Group LLC with JURY DEMAND.Document filed by Julie Lemond, Ralph Langstadt. Related document: 17 Amended Complaint, filed by Julie Lemond, Ralph Langstadt. (Attachments: # 1 Exhibit A, # 2 Exhibit B (part 1 of 4), # 3 Exhibit B (part 2 of 4), # 4 Exhibit B (part 3 of 4), # 5 Exhibit B (part 4 of 4))(Fuks, Sara) Modified on 11/21/2016 (dgo). Modified on 11/22/2016 (pc). (Entered: 11/18/2016)

11/21/2016 77 ORDER: Pursuant to Federal Rule of Civil Procedure 5.2(d), Section 6.1 of the SDNY Electronic Case Filing Rules & Instructions (June 8, 2015 Edition), and the Court's Individual Practices, Plaintiffs request permission to file electronically a redacted copy of the Second Amended Complaint and to file an un-redacted version under seal. The unopposed request is GRANTED. Plaintiffs shall file the un-redacted version of the Second Amended Complaint pursuant to the Clerk of Court's Sealed Records Filing Instructions. SO ORDERED. (Signed by Judge J. Paul Oetken on 11/21/2016) (ama) (Entered: 11/21/2016)

11/21/2016 78 EXHIBIT TO PLEADING re: 76 Amended Complaint,,. Document filed by Ralph Langstadt, Julie Lemond.(Fuks, Sara) (Entered: 11/21/2016)

11/22/2016 79 SEALED DOCUMENT placed in vault.(rz) (Entered: 11/22/2016)

11/23/2016 80 LETTER MOTION for Conference re: 76 Amended Complaint,, addressed to Judge J. Paul Oetken from Jamie A. Levitt dated November 23, 2016. Document filed by Michael Cohen.(Levitt, Jamie) (Entered: 11/23/2016)

12/01/2016 81 LETTER RESPONSE in Opposition to Motion addressed to Judge J. Paul Oetken from Patrick V. Dahlstrom dated December 1, 2016 re: 80 LETTER MOTION for Conference re: 76 Amended Complaint,, addressed to Judge J. Paul Oetken from Jamie A. Levitt dated November 23, 2016. . Document filed by Ralph Langstadt, Julie Lemond. (Carino, Michele) (Entered: 12/01/2016)

12/02/2016 82 LETTER REPLY to Response to Motion addressed to Judge J. Paul Oetken from Jamie A. Levitt dated December 2, 2016 re: 80 LETTER MOTION for Conference re: 76 Amended Complaint,, addressed to Judge J. Paul Oetken from Jamie A. Levitt dated November 23, 2016. . Document filed by Michael Cohen. (Levitt, Jamie) (Entered: 12/02/2016)

12/12/2016 83 LETTER MOTION for Extension of Time to File Papers For Remaining Defendants' Motion To Dismiss The Second Amended Complaint addressed to Judge J. Paul Oetken from Aric H. Wu dated December 12, 2016. Document filed by Joel M. Frank, Daniel S. Och, Och-Ziff Capital Management Group LLC. (Attachments: # 1 Text of Proposed Order)(Wu, Aric) (Entered: 12/12/2016)

12/15/2016 84 STIPULATION AND ORDER: ( Motions due by 1/11/2017, Responses due by 3/3/2017, Replies due by 3/24/2017.) Motions terminated: 83 LETTER MOTION for Extension of Time to File Papers For Remaining Defendants' Motion To Dismiss The Second Amended Complaint addressed to Judge J. Paul Oetken from Aric H. Wu dated December 12, 2016 filed by Daniel S. Och, Joel M. Frank, Och-Ziff

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Capital Management Group LLC. (Signed by Judge J. Paul Oetken on 12/15/2016) (anc) (Entered: 12/15/2016)

12/21/2016 85 ORDER granting in part and denying in part 80 Letter Motion for Conference. THE MOTION IS GRANTED IN PART AND DENIED IN PART. PLAINTIFFS ARE DIRECTED TO FILE A MOTION FOR LEAVE TO AMEND WITH RESPECT TO THEIR RENEWED CLAIMS AGAINST MICHAEL COHEN ON OR BEFORE JANUARY 7, 2017. COHEN MAY FILE AN OPPOSITION TO THE MOTION BY JANUARY 21, 2017. THE COURT WILL NOT HOLD A CONFERENCE ON THIS QUESTION. (HEREBY ORDERED by Judge J. Paul Oetken)(Text Only Order) (Oetken, J.) (Entered: 12/21/2016)

01/07/2017 86 MOTION to Amend/Correct PLAINTIFFS NOTICE OF MOTION FOR LEAVE TO AMEND THE COMPLAINT TO RENEW CLAIMS AGAINST DEFENDANT MICHAEL COHEN. Document filed by Ralph Langstadt, Julie Lemond. (Attachments: # 1 [Proposed] Order)(Carino, Michele) (Entered: 01/07/2017)

01/07/2017 87 MEMORANDUM OF LAW in Support re: 86 MOTION to Amend/Correct PLAINTIFFS NOTICE OF MOTION FOR LEAVE TO AMEND THE COMPLAINT TO RENEW CLAIMS AGAINST DEFENDANT MICHAEL COHEN. . Document filed by Ralph Langstadt, Julie Lemond. (Carino, Michele) (Entered: 01/07/2017)

01/07/2017 88 CERTIFICATE OF SERVICE of PLAINTIFFS NOTICE OF MOTION FOR LEAVE TO AMEND THE COMPLAINT TO RENEW CLAIMS AGAINST DEFENDANT MICHAEL COHEN, PLAINTIFFS MEMORANDUM OF LAW IN SUPPORT THEREOF; and [PROPOSED] ORDER GRANTING LEAVE TO AMEND THE COMPLAINT TO RENEW CLAIMS AGAINST DEFENDANT MICHAEL COHEN served on all counsel on January 7, 2017. Service was made by ECF. Document filed by Ralph Langstadt, Julie Lemond. (Carino, Michele) (Entered: 01/07/2017)

01/10/2017 NOTICE. THE CONFERENCE SCHEDULED FOR JANUARY 20, 2017, IS HEREBY ADJOURNED. (Skolnik, Brandon) (Entered: 01/10/2017)

01/10/2017 89 ORDER: Pursuant to Federal Rule of Civil Procedure 5.2(d), Section 6.1 of the SDNY Electronic Case Filing Rules & Instructions (June 8, 2015 Edition), and the Court's Individual Practices, Defendant Och-Ziff Capital Management Group requests permission to file electronically a redacted copy of its motion to dismiss the Second Amended Complaint and to file an un-redacted version under seal. The request is GRANTED. Defendant shall file the un-redacted versions of its papers pursuant to the Clerk of Courts Sealed Records Filing Instructions. (Signed by Judge J. Paul Oetken on 1/10/2017) (kgo) (Entered: 01/10/2017)

01/11/2017 90 NOTICE OF APPEARANCE by Ellen Marie Murphy on behalf of Joel M. Frank. (Murphy, Ellen) (Entered: 01/11/2017)

01/11/2017 91 NOTICE OF APPEARANCE by Richard John Morvillo on behalf of Joel M. Frank. (Morvillo, Richard) (Entered: 01/11/2017)

01/11/2017 92 NOTICE OF APPEARANCE by Alan Mark Vinegrad on behalf of Daniel S. Och. (Vinegrad, Alan) (Entered: 01/11/2017)

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01/11/2017 93 NOTICE OF APPEARANCE by Douglas Sleater Curran on behalf of Daniel S. Och. (Curran, Douglas) (Entered: 01/11/2017)

01/11/2017 94 NOTICE OF APPEARANCE by Stephen James Dee on behalf of Daniel S. Och. (Dee, Stephen) (Entered: 01/11/2017)

01/11/2017 95 FILING ERROR - WRONG EVENT TYPE SELECTED FROM MENU - LETTER MOTION to Substitute Attorney. Old Attorney: Gibson, Dunn & Crutcher LLP, New Attorney: Covington & Burling LLP and Morvillo LLP addressed to Judge J. Paul Oetken from Aric H. Wu. Document filed by Och-Ziff Capital Management Group LLC. (Attachments: # 1 Exhibit 1 - Declaration of Robert F. Serio, # 2 Exhibit 2 - Stipulation and Proposed Order)(Wu, Aric) Modified on 1/25/2017 (db). (Entered: 01/11/2017)

01/11/2017 96 MOTION to Dismiss / Defendant Och-Ziff Capital Management Group LLC's Notice of Motion to Dismiss those Portions of the Second Amended Complaint that Seek to Revive Previously Dismissed Claims or Assert New Claims. Document filed by Och-Ziff Capital Management Group LLC. Responses due by 3/3/2017(Serio, Robert) (Entered: 01/11/2017)

01/11/2017 97 DECLARATION of Robert F. Serio in Support re: 96 MOTION to Dismiss / Defendant Och-Ziff Capital Management Group LLC's Notice of Motion to Dismiss those Portions of the Second Amended Complaint that Seek to Revive Previously Dismissed Claims or Assert New Claims.. Document filed by Och-Ziff Capital Management Group LLC. (Attachments: # 1 Exhibit A - redacted, # 2 Exhibit B - redacted, # 3 Exhibit C - redacted, # 4 Exhibit D - redacted, # 5 Exhibit E - 10-Q excerpts 3/15, # 6 Exhibit F - 10-Q excerpts 5/16, # 7 Exhibit G - Final Prospectus Supplement excerpts, # 8 Exhibit H - 10-Q excerpts 9/16, # 9 Exhibit I - redacted, # 10 Exhibit J - redacted, # 11 Exhibit K - WSJ article, # 12 Exhibit L - 10-K excerpts 12/13, # 13 Exhibit M - 10-K excerpts 12/14, # 14 Exhibit N - 8-K excerpts 12/14, # 15 Exhibit O - 10-Q excerpts 6/16, # 16 Exhibit P - press release, # 17 Exhibit Q - transcript excerpts, # 18 Exhibit R - request for production, # 19 Exhibit S - 10-K excerpts 12/11, # 20 Exhibit T - redacted, # 21 Exhibit U - WSJ article, # 22 Exhibit V - ASC 450 excerpts)(Serio, Robert) (Entered: 01/11/2017)

01/11/2017 98 SEALED DOCUMENT placed in vault.(mps) (Entered: 01/11/2017)

01/11/2017 99 MEMORANDUM OF LAW in Support re: 96 MOTION to Dismiss / Defendant Och-Ziff Capital Management Group LLC's Notice of Motion to Dismiss those Portions of the Second Amended Complaint that Seek to Revive Previously Dismissed Claims or Assert New Claims. . Document filed by Och-Ziff Capital Management Group LLC. (Serio, Robert) (Entered: 01/11/2017)

01/11/2017 100 MOTION to Dismiss Second Amended Complaint. Document filed by Joel M. Frank. Responses due by 3/3/2017(Murphy, Ellen) (Entered: 01/11/2017)

01/11/2017 101 DECLARATION of Ellen M. Murphy in Support re: 100 MOTION to Dismiss Second Amended Complaint.. Document filed by Joel M. Frank. (Attachments: # 1 Exhibit 1 - Transcript of Hearing)(Murphy, Ellen) (Entered: 01/11/2017)

01/11/2017 102 MEMORANDUM OF LAW in Support re: 100 MOTION to Dismiss Second Amended Complaint. . Document filed by Joel M. Frank. (Murphy, Ellen) (Entered: 01/11/2017)

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01/11/2017 103 MOTION to Dismiss Consolidated Second Amended Class Action Complaint. Document filed by Daniel S. Och.(Vinegrad, Alan) (Entered: 01/11/2017)

01/11/2017 104 MEMORANDUM OF LAW in Support re: 103 MOTION to Dismiss Consolidated Second Amended Class Action Complaint. . Document filed by Daniel S. Och. (Vinegrad, Alan) (Entered: 01/11/2017)

01/12/2017 105 STIPULATION AND ORDER: IT IS HEREBY STIPULATED AND AGREED, by and between the undersigned counsel, and subject to Court approval, that: Robert F. Serio, Aric Hugo Wu, Gabriel Herrmann, and Casey Kyung-Se Lee of Gibson, Dunn & Crutcher LLP withdraw as counsel for Defendant Daniel S. Och in this action. Robert F. Serio, Aric Hugo Wu, Gabriel Herrmann, and Casey Kyung-Se Lee of Gibson, Dunn & Crutcher LLP withdraw as counsel for Defendant Joel M. Frank in this action. As reflected in the supporting declaration filed contemporaneously herewith pursuant to Local Civil Rule 1.4, Messrs. Och and Frank consent to the withdrawal of Gibson, Dunn & Crutcher LLP as their counsel of record in this action. SO ORDERED., Attorney Robert F. Serio; Aric Hugo Wu; Gabriel Herrmann and Casey Kyung-Se Lee terminated. (Signed by Judge J. Paul Oetken on 1/11/2017) (ama) (Entered: 01/12/2017)

01/12/2017 106 ORDER: The parties are hereby directed to file letters of no more than five (5) pages, on or before January 20, 2017, addressing the appropriateness of continuing the stay of document discovery during the pendency of the motions to dismiss. And a set forth herein. SO ORDERED. (Signed by Judge J. Paul Oetken on 1/12/2017) (ama) (Entered: 01/12/2017)

01/13/2017 107 MOTION for Casey K. Lee to Withdraw as Attorney . Document filed by Och-Ziff Capital Management Group LLC.(Lee, Casey) (Entered: 01/13/2017)

01/13/2017 108 DECLARATION of Casey K. Lee in Support re: 107 MOTION for Casey K. Lee to Withdraw as Attorney .. Document filed by Och-Ziff Capital Management Group LLC. (Attachments: # 1 Text of Proposed Order)(Lee, Casey) (Entered: 01/13/2017)

01/17/2017 ORDER granting 107 Motion to Withdraw as Attorney.GRANTED. Attorney Casey Kyung-Se Lee terminated (HEREBY ORDERED by Judge J. Paul Oetken)(Text Only Order) (Oetken, J.) (Entered: 01/17/2017)

01/17/2017 109 FILING ERROR - DEFICIENT DOCKET ENTRY - MOTION for Elizabeth Anne Marshall to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-13204370. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Joel M. Frank. (Attachments: # 1 Certificates of Good Standing, # 2 Text of Proposed Order)(Marshall, Elizabeth) Modified on 1/18/2017 (bcu). (Entered: 01/17/2017)

01/18/2017 >>>NOTICE REGARDING DEFICIENT MOTION TO APPEAR PRO HAC VICE. Notice to RE-FILE Document No. 109 MOTION for Elizabeth Anne Marshall to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-13204370. Motion and supporting papers to be reviewed by Clerk's Office staff... The filing is deficient for the following reason(s): missing Certificate of Good Standing from Supreme Court of Virginia; Attorney Affidavit Missing. Please Read Local Rule 1.3;. Re-file the motion as a Corrected Motion to Appear Pro Hac Vice - attach the correct signed PDF - select the correct named

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filer/filers - attach valid Certificates of Good Standing issued within the past 30 days - attach Proposed Order.. (bcu) (Entered: 01/18/2017)

01/20/2017 110 LETTER addressed to Judge J. Paul Oetken from Sara Fuks dated January 20, 2017 re: Stay of Document Discovery. Document filed by Ralph Langstadt, Julie Lemond.(Fuks, Sara) (Entered: 01/20/2017)

01/20/2017 111 LETTER addressed to Judge J. Paul Oetken from Robert F. Serio dated January 20, 2017 re: stay of discovery. Document filed by Och-Ziff Capital Management Group LLC.(Serio, Robert) (Entered: 01/20/2017)

01/21/2017 112 MEMORANDUM OF LAW in Opposition re: 86 MOTION to Amend/Correct PLAINTIFFS NOTICE OF MOTION FOR LEAVE TO AMEND THE COMPLAINT TO RENEW CLAIMS AGAINST DEFENDANT MICHAEL COHEN. . Document filed by Michael Cohen. (Levitt, Jamie) (Entered: 01/21/2017)

01/25/2017 ***NOTICE TO ATTORNEY TO RE-FILE DOCUMENT - EVENT TYPE ERROR. Notice to Attorney Aric Hugo Wu to RE-FILE Document 95 LETTER MOTION to Substitute Attorney. Old Attorney: Gibson, Dunn & Crutcher LLP, New Attorney: Covington & Burling LLP and Morvillo LLP addressed to Judge J. Paul Oetken from Aric H. Wu. Use the event type Letter found under the event list Other Documents. (db) (Entered: 01/25/2017)

01/25/2017 113 LETTER addressed to Judge J. Paul Oetken from Aric H. Wu dated January 11, 2017 re: counsel change. Document filed by Och-Ziff Capital Management Group LLC. (Attachments: # 1 Exhibit 1 - Declaration of Robert F. Serio, # 2 Exhibit 2 - Stipulation and Proposed Order)(Wu, Aric) (Entered: 01/25/2017)

01/25/2017 114 MOTION for Elizabeth Anne Marshall to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Joel M. Frank. (Attachments: # 1 Affidavit, # 2 Certificate of Good Standing (DC), # 3 Certificate of Good Standing (VA), # 4 Text of Proposed Order)(Marshall, Elizabeth) (Entered: 01/25/2017)

01/25/2017 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. 114 MOTION for Elizabeth Anne Marshall to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (ma) (Entered: 01/25/2017)

01/26/2017 115 STIPULATION AND ORDER:IT IS HEREBY STIPULATED AND AGREED, by and between the undersigned counsel, and subject to Court approval, that: Robert F. Serio, Arie Hugo Wu, Gabriel Herrmann, and Casey Kyung-Se Lee of Gibson, Dunn & Crutcher LLP withdraw as counsel for Defendant Daniel S. Och in this action. Robert F. Serio, Arie Hugo Wu, Gabriel Herrmann, and Casey Kyung-Se Lee of Gibson, Dunn & Crutcher LLP withdraw as counsel for Defendant Joel M. Frank in this action. All pleadings, notices of hearing, and other filings in this matter should be served upon the following counsel of record for Messrs. And as set forth herein. SO ORDERED. ***Attorney Aric Hugo Wu; Gabriel Herrmann and Robert F. Serio terminated. (Signed by Judge J. Paul Oetken on 1/26/2017) (ama) Modified on 1/26/2017 (ama). (Entered: 01/26/2017)

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01/27/2017 116 ORDER granting 114 Motion for Elizabeth Anne Marshall to Appear Pro Hac Vice. GRANTED. (HEREBY ORDERED by Judge J. Paul Oetken)(Text Only Order) (Oetken, J.) (Entered: 01/27/2017)

02/01/2017 117 NOTICE of Request for Judicial Notice. Document filed by Ralph Langstadt, Julie Lemond. (Attachments: # 1 Exhibit 1)(Fuks, Sara) (Entered: 02/01/2017)

02/01/2017 118 RESPONSE re: 117 Notice (Other) . Document filed by Michael Cohen. (Levitt, Jamie) (Entered: 02/01/2017)

02/06/2017 119 LETTER addressed to Judge J. Paul Oetken from Sara Fuks dated February 6, 2017 re: Plaintiffs' Request for Judicial Notice of SEC Complaint. Document filed by Ralph Langstadt, Julie Lemond.(Fuks, Sara) (Entered: 02/06/2017)

02/21/2017 120 LETTER MOTION for Extension of Time to file oppositions to Defendants' Motions to Dismiss the SAC addressed to Judge J. Paul Oetken from Sara Fuks dated February 21, 2017. Document filed by Ralph Langstadt, Julie Lemond. (Attachments: # 1 Text of Proposed Order)(Fuks, Sara) (Entered: 02/21/2017)

02/23/2017 121 STIPULATION AND ORDER: IT IS HEREBY STIPULATED AND AGREED, by and between the undersigned counsel for the parties, and subject to Court approval, that: 1. Plaintiffs shall be permitted to submit on omnibus opposition to Defendants motions to dismiss of no more than seventy (70) pages in length. 2. Plaintiffs shall file their opposition papers to Defendants motions to dismiss by March 17, 2017. 3. Defendants shall file the reply papers for their motions to dismiss by April 21, 2017. SO ORDERED., ( Responses due by 3/17/2017, Replies due by 4/21/2017.) (Signed by Judge J. Paul Oetken on 2/22/2017) (ama) (Entered: 02/23/2017)

03/13/2017 122 LETTER MOTION for Extension of Time addressed to Judge J. Paul Oetken from Michele Carino dated March 13, 2017. Document filed by Ralph Langstadt, Julie Lemond. (Attachments: # 1 Text of Proposed Order)(Carino, Michele) (Entered: 03/13/2017)

03/13/2017 123 STIPULATION AND ORDER: NOW, IT IS HEREBY STIPULATED AND AGREED, by and between the undersigned counsel for the parties, and subject to Court approval, that: Plaintiffs shall file their omnibus opposition papers to Defendants' motions to dismiss by March 24, 2017. Defendants shall file the reply papers for their motions to dismiss by April 28, 2017. SO ORDERED., ( Responses due by 3/24/2017, Replies due by 4/28/2017.), Motions terminated: 122 LETTER MOTION for Extension of Time addressed to Judge J. Paul Oetken from Michele Carino dated March 13, 2017 filed by Julie Lemond, Ralph Langstadt. (Signed by Judge J. Paul Oetken on 3/13/2017) (ama) (Entered: 03/13/2017)

03/15/2017 124 STIPULATION AND ORDER: NOW, IT IS HEREBY STIPULATED AND AGREED, by and between the undersigned counsel for the parties, and subject to Court approval, that: Plaintiffs shall file their omnibus opposition papers to Defendants' motions to dismiss by March 24, 2017. Defendants shall file the reply papers for their motions to dismiss by April 28, 2017. SO ORDERED., ( Responses due by 3/24/2017, Replies due by 4/28/2017.) (Signed by Judge J. Paul Oetken on 3/13/2017) (ama) (Entered: 03/15/2017)

03/17/2017 125 ENDORSED LETTER addressed to Judge J. Paul Oetken from Sara E. Fuks dated 3/16/2017 re: Because Plaintiff's opposition papers will refer to the confidential

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documents referenced in the un-redacted versions of the SAC and Och-Ziff's motion to dismiss filed under seal, Plaintiffs respectfully request the Court's permission to file a redacted copy of their opposition papers on the public docket and file an un-redacted copy under seal. The redactions will be limited to those portions of the SAC and motion to dismiss that refer to confidential documents. We will hand-deliver to the Court on or before March 24, 2017. ENDORSEMENT: Granted. SO ORDERED. (Signed by Judge J. Paul Oetken on 3/16/2017) (ama) (Entered: 03/17/2017)

03/24/2017 126 MEMORANDUM OF LAW in Opposition re: 103 MOTION to Dismiss Consolidated Second Amended Class Action Complaint., 96 MOTION to Dismiss / Defendant Och-Ziff Capital Management Group LLC's Notice of Motion to Dismiss those Portions of the Second Amended Complaint that Seek to Revive Previously Dismissed Claims or Assert New Claims., 100 MOTION to Dismiss Second Amended Complaint. . Document filed by Ralph Langstadt, Julie Lemond. (Carino, Michele) (Entered: 03/24/2017)

03/24/2017 127 SEALED DOCUMENT placed in vault.(mps) (Entered: 03/27/2017)

04/03/2017 128 LETTER addressed to Judge J. Paul Oetken from Sara Fuks dated April 3, 2017 re: Supplemental Authority in Support of Plaintiffs' Opposition to Defendants' Motions to Dismiss the SAC. Document filed by Ralph Langstadt, Julie Lemond. (Attachments: # 1 Exhibit)(Fuks, Sara) (Entered: 04/03/2017)

04/18/2017 129 LETTER MOTION for Leave to File Excess Pages addressed to Judge J. Paul Oetken from Aric Wu dated April 18, 2017., LETTER MOTION for Extension of Time to File Response/Reply addressed to Judge J. Paul Oetken from Aric Wu dated April 18, 2017. Document filed by Och-Ziff Capital Management Group LLC. (Attachments: # 1 Stipulation and [Proposed] Order)(Wu, Aric) (Entered: 04/18/2017)

04/19/2017 130 STIPULATION AND ORDER. IT IS HEREBY STIPULATED AND AGREED, by and between the undersigned counsel for the parties, and subject to Court approval, that: 1. Defendant Och-Ziff Capital Management Group LLC shall be permitted to submit a reply memorandum oflaw of up to 15 pages in support of its motion to dismiss. 2. Defendant Daniel S. Och shall be permitted to submit a reply memorandum of law of up to 12 pages in support of his motion to dismiss. 3. Defendant Joel M. Frank shall be permitted to submit a reply memorandum of law of up to 12 pages in support of his motion to dismiss. 4. Defendants shall file the reply papers for their motion to dismiss by May 5, 2017. (Replies due by 5/5/2017.) Motions terminated: 129 LETTER MOTION for Leave to File Excess Pages addressed to Judge J. Paul Oetken from Aric Wu dated April 18, 2017. LETTER MOTION for Extension of Time to File Response/Reply addressed to Judge J. Paul Oetken from Aric Wu dated April 18, 2017 filed by Och-Ziff Capital Management Group LLC. (Signed by Judge J. Paul Oetken on 4/19/2017) (rjm) (Entered: 04/20/2017)

05/03/2017 131 LETTER MOTION to Seal Document addressed to Judge J. Paul Oetken from Gabriel Herrmann dated May 3, 2017. Document filed by Och-Ziff Capital Management Group LLC.(Herrmann, Gabriel) (Entered: 05/03/2017)

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05/04/2017 ORDER granting 131 Motion to Seal Document. GRANTED. (HEREBY ORDERED by Judge J. Paul Oetken)(Text Only Order) (Oetken, J.) (Entered: 05/04/2017)

05/04/2017 132 REPLY MEMORANDUM OF LAW in Support re: 100 MOTION to Dismiss Second Amended Complaint. . Document filed by Joel M. Frank. (Murphy, Ellen) (Entered: 05/04/2017)

05/05/2017 133 REPLY MEMORANDUM OF LAW in Support re: 96 MOTION to Dismiss / Defendant Och-Ziff Capital Management Group LLC's Notice of Motion to Dismiss those Portions of the Second Amended Complaint that Seek to Revive Previously Dismissed Claims or Assert New Claims. REDACTED. Document filed by Och-Ziff Capital Management Group LLC. (Wu, Aric) (Entered: 05/05/2017)

05/05/2017 134 REPLY MEMORANDUM OF LAW in Support re: 103 MOTION to Dismiss Consolidated Second Amended Class Action Complaint. . Document filed by Daniel S. Och. (Vinegrad, Alan) (Entered: 05/05/2017)

05/08/2017 135 SEALED DOCUMENT placed in vault.(rz) (Entered: 05/08/2017)

09/29/2017 136 OPINION AND ORDER: re: 103 MOTION to Dismiss Consolidated Second Amended Class Action Complaint filed by Daniel S. Och, 96 MOTION to Dismiss defendant Och-Ziff Capital Management Group LLC's Notice of Motion to Dismiss those Portions of the Second Amended Complaint that Seek to Revive Previously Dismissed Claims or Assert New Claims filed by Och-Ziff Capital Management Group LLC, 100 MOTION to Dismiss Second Amended Complaint filed by Joel M. Frank, 86 MOTION to Amend/Correct PLAINTIFFS NOTICE OF MOTION FOR LEAVE TO AMEND THE COMPLAINT TO RENEW CLAIMS AGAINST DEFENDANT MICHAEL COHEN filed by Julie Lemond, Ralph Langstadt. For the foregoing reasons, the claims that survived Menaldi I remain; the others are dismissed. Accordingly, Plaintiffs' motion to renew claims against Cohen is DENIED. The motions to dismiss by Och-Ziff, Och, and Frank are GRANTED insofar as they seek to dismiss the new or renewed claims in the New Complaint. The Clerk of Court is directed to dismiss Cohen from this suit and close the motions at Docket Numbers 86, 96, 100, and 103.The parties shall comply with the deadlines set forth in the Stipulation and Order at Docket Number 71. The remaining Defendants shall file answers to the surviving claims of the Consolidated Second Amended Class Action Complaint within 30 days of the date of this Opinion and Order. SO ORDERED. (Signed by Judge J. Paul Oetken on 9/29/2017) (ama) (Entered: 09/29/2017)

10/16/2017 137 STIPULATION AND ORDER: IT IS HEREBY STIPULATED AND AGREED, by and between the undersigned counsel for the parties, and subject to Court approval, that: The Remaining Defendants shall file their respective answers to the New Complaint on or before November 10, 2017; Plaintiffs' motion for class certification and supporting papers (ECF Doc. Nos. 60-62) are hereby restored to the Court's docket in accordance with the so-ordered terms of the October 2016 Stipulation (see ECF Doc. No. 71 at 4); The Remaining Defendants shall file any papers in opposition to Plaintiffs' motion for class certification on or before November 10, 2017; Plaintiffs shall file any reply papers in further support of their motion for class certification on or before December 20, 2017; All fact discovery shall be completed no later than 180 days after the Court enters an order resolving the Motion to

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Compel; Requests to admit shall be served within 120 days after entry of an order resolving the Motion to Compel; Depositions of fact witnesses shall be completed within 160 days after entry of an order resolving the Motion to Compel; The parties shall otherwise comply with the remaining deadlines set forth in the Court's May 11, 2016 scheduling order (Dkt. No. 57), including but not limited to the deadlines for completion of expert discovery set forth in section 9 thereof, the deadline for in-person settlement discussions set forth in section 10 thereof, and the deadlines for pre-trial and trial-related submissions set forth in sections 13 and 14 thereof. Joel M. Frank answer due 11/10/2017; Daniel S. Och answer due 11/10/2017; Och-Ziff Capital Management Group LLC answer due 11/10/2017. (Responses due by 11/10/2017. Replies due by 12/20/2017.) (Signed by Judge J. Paul Oetken on 10/16/2017) (ap) (Entered: 10/16/2017)

11/07/2017 138 LETTER MOTION to Seal Document addressed to Judge J. Paul Oetken from Robert F. Serio dated November 7, 2017. Document filed by Och-Ziff Capital Management Group LLC.(Serio, Robert) (Entered: 11/07/2017)

11/09/2017 ORDER granting 138 Motion to Seal Document. GRANTED. SO ORDERED. (HEREBY ORDERED by Judge J. Paul Oetken)(Text Only Order) (Oetken, J.) (Entered: 11/09/2017)

11/10/2017 139 ANSWER to 76 Amended Complaint,,. Document filed by Daniel S. Och.(Vinegrad, Alan) (Entered: 11/10/2017)

11/10/2017 140 ANSWER to 76 Amended Complaint,,. Document filed by Joel M. Frank.(Murphy, Ellen) (Entered: 11/10/2017)

11/10/2017 141 LETTER addressed to Judge J. Paul Oetken from Alan Vinegrad dated November 10, 2017 re: Joinder of Daniel S. Och in Defendant Och-Ziff Capital Management LLC's Forthcoming Opposition Brief to Plaintiffs' Motion for Class Certification. Document filed by Daniel S. Och.(Vinegrad, Alan) (Entered: 11/10/2017)

11/10/2017 142 LETTER addressed to Judge J. Paul Oetken from Ellen Murphy dated 11/10/2017 re: Joinder of Joel M. Frank in Defendant Och-Ziff Capital Management LLC's Forthcoming Opposition Brief to Plaintiffs' Motion for Class Certification. Document filed by Joel M. Frank.(Murphy, Ellen) (Entered: 11/10/2017)

11/10/2017 143 MEMORANDUM OF LAW in Opposition re: 60 MOTION to Certify Class . . Document filed by Och-Ziff Capital Management Group LLC. (Serio, Robert) (Entered: 11/10/2017)

11/10/2017 144 DECLARATION of Robert F. Serio in Opposition re: 60 MOTION to Certify Class .. Document filed by Och-Ziff Capital Management Group LLC. (Attachments: # 1 Exhibit A - Redacted, # 2 Exhibit B - WSJ article dated June 9, 2011, # 3 Exhibit C - Redacted, # 4 Exhibit D - Redacted, # 5 Exhibit E - Redacted, # 6 Exhibit F - Redacted, # 7 Exhibit G - Redacted, # 8 Exhibit H - Redacted, # 9 Exhibit I - Redacted, # 10 Exhibit J - WSJ article dated February 3, 2014, # 11 Exhibit K - Och-Ziffs Form 10-K, # 12 Exhibit L - Och-Ziffs Form 8-K, # 13 Exhibit M - Redacted, # 14 Exhibit N - Redacted, # 15 Exhibit O - Redacted, # 16 Exhibit P - Redacted, # 17 Exhibit Q - Zachary Nye, Ph.D. Deposition Transcript, # 18 Exhibit R - Allan W. Kleidon, Ph.D. Expert Report, # 19 Exhibit S - List of Form 8-Ks, # 20 Exhibit T - Reuters article dated June 9, 2011, # 21 Exhibit U - Bloomberg article

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dated August 21, 2014, # 22 Exhibit V - Bloomberg article dated August 21, 2014)(Serio, Robert) (Entered: 11/10/2017)

11/10/2017 145 ANSWER to 76 Amended Complaint,,. Document filed by Och-Ziff Capital Management Group LLC.(Serio, Robert) (Entered: 11/10/2017)

11/13/2017 146 SEALED DOCUMENT placed in vault.(rz) (Entered: 11/13/2017)

12/04/2017 147 ORDER: The Court has reviewed the parties' letters regarding the pending discovery disputes at Docket Numbers 68 and 69. Upon due consideration, the Court rules that, subject to applicable privileges, the additional discovery sought by Plaintiffs is relevant to the remaining claims and "proportional to the needs of the case," Fed. R. Civ. P. 26(b)(1), to the extent ordered below. As set forth herein. Plaintiffs' request to compel with respect to Request 19 (Och-Ziff's reserve announced in May 2016) is denied. Plaintiffs' request to compel with respect to document requests within 30(b)(6)notices is denied without prejudice to renewal at a later date. SO ORDERED. (Signed by Judge J. Paul Oetken on 12/04/2017) (ama) (Entered: 12/04/2017)

12/06/2017 148 LETTER MOTION for Leave to File Excess Pages addressed to Judge J. Paul Oetken from Sara Fuks dated December 6, 2017. Document filed by Ralph Langstadt, Julie Lemond. (Attachments: # 1 Text of Proposed Order)(Fuks, Sara) (Entered: 12/06/2017)

12/07/2017 149 ORDER granting 148 Letter Motion for Leave to File Excess Pages. GRANTED. PLAINTIFFS MAY SUBMIT A REPLY BRIEF OF UP TO 15 PAGES. SO ORDERED. (HEREBY ORDERED by Judge J. Paul Oetken)(Text Only Order) (Oetken, J.) (Entered: 12/07/2017)

12/15/2017 150 LETTER MOTION for Discovery addressed to Judge J. Paul Oetken from Laurence M. Rosen dated December 15, 2017. Document filed by Ralph Langstadt, Julie Lemond.(Fuks, Sara) (Entered: 12/15/2017)

12/20/2017 151 LETTER RESPONSE in Opposition to Motion addressed to Judge J. Paul Oetken from Robert F. Serio dated December 20, 2017 re: 150 LETTER MOTION for Discovery addressed to Judge J. Paul Oetken from Laurence M. Rosen dated December 15, 2017. . Document filed by Och-Ziff Capital Management Group LLC. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3)(Serio, Robert) (Entered: 12/20/2017)

12/20/2017 152 REPLY MEMORANDUM OF LAW in Support re: 60 MOTION to Certify Class . . Document filed by Ralph Langstadt, Julie Lemond. (Fuks, Sara) (Entered: 12/20/2017)

12/20/2017 153 REPLY AFFIDAVIT of Sara Fuks in Support re: 60 MOTION to Certify Class .. Document filed by Ralph Langstadt, Julie Lemond. (Attachments: # 1 Exhibit A, # 2 Exhibit B)(Fuks, Sara) (Entered: 12/20/2017)

12/22/2017 154 ORDER denying 150 Letter Motion for Discovery. PLAINTIFFS' LETTER MOTION IS DENIED. HOWEVER, DEFENDANTS ARE DIRECTED TO SUBSTANTIALLY COMPLETE DOCUMENT PRODUCTION BY MARCH 30, 2018. SO ORDERED. (HEREBY ORDERED by Judge J. Paul Oetken)(Text Only Order) (Oetken, J.) (Entered: 12/22/2017)

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01/09/2018 155 NOTICE OF CHANGE OF ADDRESS by Richard John Morvillo on behalf of Joel M. Frank. New Address: Orrick, Herrington & Sutcliffe LLP, 1152 15th Street, N.W. Washington, District of Columbia, United States 20005, (202) 339-8484. (Morvillo, Richard) (Entered: 01/09/2018)

01/16/2018 156 NOTICE OF CHANGE OF ADDRESS by Ellen Marie Murphy on behalf of Joel M. Frank. New Address: Orrick, Herrington & Sutcliffe LLP, 51 West 52nd Street, New York, New York, United States 10019, 212-506-3659. (Murphy, Ellen) (Entered: 01/16/2018)

01/18/2018 157 LETTER MOTION for Leave to File sur-reply in opposition to Plaintiffs' motion for class certification [ECF No. 60] addressed to Judge J. Paul Oetken from Robert F. Serio dated January 18, 2018. Document filed by Och-Ziff Capital Management Group LLC.(Serio, Robert) (Entered: 01/18/2018)

01/19/2018 158 LETTER addressed to Judge J. Paul Oetken from Sara Fuks dated January 19, 2018 re: Request to Strike Defendants' Sur-reply. Document filed by Ralph Langstadt, Julie Lemond.(Fuks, Sara) (Entered: 01/19/2018)

01/19/2018 159 LETTER REPLY to Response to Motion addressed to Judge J. Paul Oetken from Robert F. Serio dated January 19, 2018 re: 157 LETTER MOTION for Leave to File sur-reply in opposition to Plaintiffs' motion for class certification [ECF No. 60] addressed to Judge J. Paul Oetken from Robert F. Serio dated January 18, 2018. - Letter reply in further support of Defendant's letter motion for leave to file sur-reply and in response to Plaintiffs' request to strike. Document filed by Och-Ziff Capital Management Group LLC. (Attachments: # 1 Exhibit A- Dkt. 157)(Serio, Robert) (Entered: 01/19/2018)

02/01/2018 160 NOTICE OF CHANGE OF ADDRESS by Sara Esther Fuks on behalf of Ralph Langstadt, Julie Lemond. New Address: The Rosen Law Firm, P.A., 275 Madison Avenue, 34th Floor, New York, NY, USA 10016, (212) 686-1060. (Fuks, Sara) (Entered: 02/01/2018)

04/04/2018 161 LETTER addressed to Judge J. Paul Oetken from Sara Fuks dated April 4, 2018 re: Stipulated and Proposed Protective Order Governing Disclosure of Confidential Information. Document filed by Ralph Langstadt, Julie Lemond. (Attachments: # 1 Text of Proposed Order Stipulated and Proposed Protective Order)(Fuks, Sara) (Entered: 04/04/2018)

04/05/2018 162 STIPULATED PROTECTIVE ORDER GOVERNING DISCLOSURE OF CONFIDENTIAL INFORMATION:...regarding procedures to be followed that shall govern the handling of confidential material. And as set forth herein. SO ORDERED. (Signed by Judge J. Paul Oetken on 4/04/2018) (ama) (Entered: 04/05/2018)

05/02/2018 163 LETTER MOTION for Local Rule 37.2 Conference addressed to Judge J. Paul Oetken from Sara Fuks dated May 2, 2018. Document filed by Ralph Langstadt, Julie Lemond. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3)(Fuks, Sara) (Entered: 05/02/2018)

05/02/2018 164 LETTER MOTION to Seal Document 163 LETTER MOTION for Local Rule 37.2 Conference addressed to Judge J. Paul Oetken from Sara Fuks dated May 2, 2018.

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addressed to Judge J. Paul Oetken from Sara Fuks dated May 2, 2018. Document filed by Ralph Langstadt, Julie Lemond.(Fuks, Sara) (Entered: 05/02/2018)

05/07/2018 165 LETTER RESPONSE in Opposition to Motion addressed to Judge J. Paul Oetken from Robert F. Serio dated May 7, 2018 re: 163 LETTER MOTION for Local Rule 37.2 Conference addressed to Judge J. Paul Oetken from Sara Fuks dated May 2, 2018. . Document filed by Och-Ziff Capital Management Group LLC. (Attachments: # 1 Exhibit A - Letter, # 2 Exhibit B - Response, # 3 Exhibit C - Email, # 4 Exhibit D - Email, # 5 Exhibit E - Email, # 6 Exhibit F - Letter, # 7 Exhibit G - Letter, # 8 Exhibit H - Redacted, # 9 Exhibit I - Redacted, # 10 Exhibit J - Redacted, # 11 Exhibit K - Redacted, # 12 Exhibit L - Hearing, # 13 Exhibit M - Response, # 14 Exhibit N - Letter Motion, # 15 Exhibit O - Order)(Serio, Robert) (Entered: 05/07/2018)

05/07/2018 166 LETTER MOTION to Seal Document 165 Response in Opposition to Motion,,, addressed to Judge J. Paul Oetken from Robert F. Serio dated May 7, 2018. Document filed by Och-Ziff Capital Management Group LLC.(Serio, Robert) (Entered: 05/07/2018)

05/09/2018 167 LETTER addressed to Judge J. Paul Oetken from Sara Fuks dated May 9, 2018 re: Redactions. Document filed by Ralph Langstadt, Julie Lemond.(Fuks, Sara) (Entered: 05/09/2018)

05/09/2018 168 LETTER RESPONSE in Support of Motion addressed to Judge J. Paul Oetken from Sara Fuks dated May 9, 2018 re: 163 LETTER MOTION for Local Rule 37.2 Conference addressed to Judge J. Paul Oetken from Sara Fuks dated May 2, 2018. . Document filed by Ralph Langstadt, Julie Lemond. (Fuks, Sara) (Entered: 05/09/2018)

05/11/2018 169 LETTER RESPONSE in Opposition to Motion addressed to Judge J. Paul Oetken from Robert F. Serio dated May 11, 2018 re: 163 LETTER MOTION for Local Rule 37.2 Conference addressed to Judge J. Paul Oetken from Sara Fuks dated May 2, 2018. . Document filed by Och-Ziff Capital Management Group LLC. (Serio, Robert) (Entered: 05/11/2018)

05/11/2018 170 LETTER MOTION to Seal Document 169 Response in Opposition to Motion, addressed to Judge J. Paul Oetken from Robert F. Serio dated May 11, 2018. Document filed by Och-Ziff Capital Management Group LLC. (Attachments: # 1 Exhibit A - under seal, # 2 Exhibit B - under seal, # 3 Exhibit C - under seal, # 4 Exhibit D - under seal, # 5 Exhibit E - under seal, # 6 Exhibit F - correspondence, # 7 Exhibit G - correspondence, # 8 Exhibit H - correspondence)(Serio, Robert) (Entered: 05/11/2018)

05/18/2018 171 ORDER: denying 163 Letter Motion for Local Rule 37.2 Conference; granting 164 Motion to Seal Document ; granting 166 Motion to Seal Document ; granting 170 Motion to Seal Document. The letter motion for a conference (Dkt. No. 163) is DENIED. The letter motions to seal documents (Dkt. Nos. 164, 166 & 170) are GRANTED. The discovery disputes raised in the parties letters are hereby resolved as follows: Waiver of Privilege: The Court concludes that Plaintiffs have not established a waiver of attorney-client privilege or work-product production by Defendants. Accordingly, Plaintiffs' request for production of privileged/protected documents is denied. Requests 21-23: On the basis of Defendants' representation

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that they have produced all responsive, non-privileged documents created during the Relevant Period and located in the Relevant Custodians' files, including pre-2011 attachments, Plaintiffs' request for further production is denied. Work-Product Redaction of Two Ernst & Young Documents: The Court will review these documents in camera. Redacted and unredacted copies of these documents shall be emailed to [email protected] by May 25, 2018. Number of Depositions: This request is denied as moot. SO ORDERED. (Signed by Judge J. Paul Oetken on 5/17/2018) (ama) (Entered: 05/18/2018)

05/18/2018 Transmission to Sealed Records Clerk. Transmitted re: 171 Order on Motion for Local Rule 37.2 Conference, Order on Motion to Seal Document,,,,,,,,,,,,,,,,,,,,,,, to the Sealed Records Clerk for the sealing or unsealing of document or case. (ama) (Entered: 05/18/2018)

06/04/2018 172 ORDER: The parties are directed to file simultaneous letter briefs of up to 4 pages by June 8, 2018, at 5:00 p.m., addressing the following question. For the purpose of this issue, the parties should assume that Och-Ziff shares traded on an efficient market and that damages can be proved on a class-wide basis. The briefs may peek at the merits-i.e., they may focus on the role, impact, and likelihood of success of the partial disclosure arguments at the merits stage. And as set forth herein. SO ORDERED., (Signed by Judge J. Paul Oetken on 6/04/2018) (ama) Modified on 8/14/2018 (ama). (Entered: 06/04/2018)

06/08/2018 173 LETTER addressed to Judge J. Paul Oetken from Robert F. Serio dated June 8, 2018 re: the Court's June 4, 2018 Order (Dkt. 172). Document filed by Och-Ziff Capital Management Group LLC. (Attachments: # 1 Exhibit 1- Langstadt Certification, # 2 Exhibit 2- (Redacted), # 3 Exhibit 3- (Redacted), # 4 Exhibit 4- Form 8-K, # 5 Exhibit 5- Form 10-K, # 6 Exhibit 6- Form 10-Q, # 7 Exhibit 7- Form 10-Q, # 8 Exhibit 8- (Redacted), # 9 Exhibit 9- Lemond Certification, # 10 Exhibit 10- Form 8-K, # 11 Exhibit 11- Nye Transcript)(Serio, Robert) (Entered: 06/08/2018)

06/08/2018 174 LETTER addressed to Judge J. Paul Oetken from Laurence Rosen and Patrick Dahlstrom dated June 8, 2018 re: Court's June 4 Order (Dkt 172) re Simultaneous Letter Briefs. Document filed by Ralph Langstadt, Julie Lemond.(Fuks, Sara) (Entered: 06/08/2018)

06/08/2018 175 LETTER MOTION to Seal Document 173 Letter,, addressed to Judge J. Paul Oetken from Robert F. Serio dated June 8, 2018. Document filed by Och-Ziff Capital Management Group LLC.(Serio, Robert) (Entered: 06/08/2018)

06/12/2018 176 ORDER: The Court has performed an in camera review of the contested Ernst & Young documents and concludes as follows: The redacted text in Bates Numbers EY-OZ-WP-000105 and EY-OZ-WP-000106 are protected by the work-product doctrine. Since the factual basis for the work-product claim relating to Bates Number EY-OZ-WP-000095 is not apparent from the document, Defendants are directed to submit an ex parte letter, up to three pages, explaining the factual basis for the work-product claim. The letter shall also briefly describe the positions held by the six listed attendees. The letter shall be emailed to [email protected] by June 20, 2018. SO ORDERED. (Signed by Judge J. Paul Oetken on 6/12/2018) (ama) (Entered: 06/12/2018)

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06/13/2018 177 LETTER addressed to Judge J. Paul Oetken from Robert F. Serio dated June 13, 2018 re: re recent United States Supreme Court decision. Document filed by Och-Ziff Capital Management Group LLC. (Attachments: # 1 Attachment - Decision)(Serio, Robert) (Entered: 06/13/2018)

06/15/2018 178 LETTER addressed to Judge J. Paul Oetken from Laurence Rosen and Patrick Dahlstrom dated June 15, 2018 re: OZM's June 13 Letter re China Agritech. Document filed by Ralph Langstadt, Julie Lemond.(Fuks, Sara) (Entered: 06/15/2018)

06/18/2018 179 LETTER addressed to Judge J. Paul Oetken from Douglas S. Curran dated June 18, 2018 re: Request to Withdraw as Counsel. Document filed by Daniel S. Och.(Curran, Douglas) (Entered: 06/18/2018)

06/20/2018 180 MEMO ENDORSEMENT: on re: 179 Letter filed by Daniel S. Och. ENDORSEMENT: Granted. SO ORDERED., Attorney Douglas Sleater Curran terminated. (Signed by Judge J. Paul Oetken on 6/19/2018) (ama) (Entered: 06/20/2018)

06/21/2018 181 ORDER: Upon review in camera of Defendants' ex parte submission made pursuant to the order at Docket Number 176, the Court concludes that the redacted passage from the Ernst & Young document Bates-numbered EY-OZ-WP-000095 was properly redacted based on the assertion of work-product protection. (Signed by Judge J. Paul Oetken on 6/21/2018) (mro) (Entered: 06/22/2018)

06/27/2018 182 LETTER addressed to Judge J. Paul Oetken from Laurence Rosen and Patrick Dahlstrom dated June 27, 2018 re: Supplemental Authority. Document filed by Ralph Langstadt, Julie Lemond. (Attachments: # 1 Decision)(Fuks, Sara) (Entered: 06/27/2018)

06/29/2018 183 LETTER addressed to Judge J. Paul Oetken from Robert F. Serio dated June 29, 2018 re: Plaintiffs' Letter dated June 27, 2018. Document filed by Och-Ziff Capital Management Group LLC.(Serio, Robert) (Entered: 06/29/2018)

07/02/2018 184 LETTER addressed to Judge J. Paul Oetken from Laurence Rosen and Patrick Dahlstrom dated July 2, 2018 re: Defendants' Letter dated June 29, 2018. Document filed by Ralph Langstadt, Julie Lemond.(Fuks, Sara) (Entered: 07/02/2018)

07/19/2018 185 STIPULATION AND ORDER: IT IS HEREBY STIPULATED AND AGREED, by and between the undersigned counsel for the parties in this action, and subject to Court approval, that: 1. Plaintiffs shall make their expert disclosures no later than 30 days after entry of the Court's ruling on Plaintiffs' Motion to Certify a Class; 2. Defendants shall make their expert disclosures no later than 60 days after entry of the Court's ruling on Plaintiffs' Motion to Certify a Class; 3. Expert discovery shall be completed no later than 90 days after entry of theCourt's ruling on Plaintiffs' Motion to Certify a Class. SO ORDERED. (Signed by Judge J. Paul Oetken on 7/18/2018) (ama) (Entered: 07/19/2018)

09/14/2018 186 OPINION AND ORDER: re: 175 LETTER MOTION to Seal Document 173 Letter addressed to Judge J. Paul Oetken from Robert F. Serio dated June 8, 2018 filed by Och-Ziff Capital Management Group LLC, 157 LETTER MOTION for Leave to File sur-reply in opposition to Plaintiffs' motion for class certification [ECF No. 60] addressed to Judge J. Paul Oetken from Robert F. Serio dated January 18, 2018 filed

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by Och-Ziff Capital Management Group LLC, 60 MOTION to Certify Class filed by Julie Lemond, Ralph Langstadt. For the foregoing reasons, the motion for class certification is GRANTED. The motions at Docket Numbers 157 and 175 are also GRANTED. Ralph Langstandt and Julie Lemond are appointed lead plaintiffs, and Pomerantz LLP and The Rosen Law Firm, P.A. are appointed class counsel. The Clerk of Court is directed to close the motions at Docket Numbers 60, 157, and 175. SO ORDERED. (Signed by Judge J. Paul Oetken on 9/14/2018) (ama) (Entered: 09/14/2018)

09/17/2018 187 PROPOSED STIPULATION AND ORDER. Document filed by Och-Ziff Capital Management Group LLC. (Serio, Robert) (Entered: 09/17/2018)

09/17/2018 188 LETTER addressed to Judge J. Paul Oetken from Robert F. Serio dated September 17, 2018 re: status of the action and submission of stipulation and proposed order. Document filed by Och-Ziff Capital Management Group LLC. (Attachments: # 1 Text of Proposed Order)(Serio, Robert) (Entered: 09/17/2018)

09/18/2018 189 STIPULATION AND ORDER: IT IS HEREBY STIPULATED AND AGREED, by and between the undersigned counsel for the parties in the Action, and subject to Court approval, that all proceedings in this Action shall be stayed pending submission of a stipulation of settlement and motion for preliminary approval of the settlement, or further order of the Court. (Signed by Judge J. Paul Oetken on 9/18/2018) (mro) (Entered: 09/18/2018)

09/18/2018 Case Stayed (mro) (Entered: 09/18/2018)

10/02/2018 190 SETTLEMENT AGREEMENT . Document filed by Ralph Langstadt, Julie Lemond. (Attachments: # 1 Exhibit A-1 (Proposed Preliminary Approval Order), # 2 Exhibit A-1 (Proposed Notice), # 3 Exhibit A-2 (Proof of Claim), # 4 Exhibit A-3 (Summary Notice), # 5 Exhibit B Final Order and Judgment))(Fuks, Sara) (Entered: 10/02/2018)

10/02/2018 191 MOTION for Settlement Unopposed Motion for Preliminary Approval. Document filed by Ralph Langstadt, Julie Lemond. (Attachments: # 1 Text of Proposed Order)(Fuks, Sara) (Entered: 10/02/2018)

10/02/2018 192 MEMORANDUM OF LAW in Support re: 191 MOTION for Settlement Unopposed Motion for Preliminary Approval. . Document filed by Ralph Langstadt, Julie Lemond. (Fuks, Sara) (Entered: 10/02/2018)

10/03/2018 193 PRELIMINARY APPROVAL ORDER: granting 191 Motion for Settlement. NOW, THEREFORE, IT IS HEREBY ORDERED: The Court preliminarily finds: (a) that the Settlement resulted from informed, extensive arm's-length negotiations, including mediation under the direction of experienced mediators; and (b) that the Settlement is sufficiently fair, reasonable, and adequate to warrantproviding notice of the Settlement to the Settlement Class. A hearing (the "Final Approval Hearing") is hereby scheduled to be held before the Court on Tuesday, November 27, 2018, at 3:00 p.m. The Court approves the form, substance, and requirements of the Notice of Proposed Settlement of Class Action (the Notice), the Proof of Claim and Release (the "Proof of Claim") and the Summary Notice of Proposed Settlement of Class Actions (the "Summary Notice"), annexed hereto as Exhibits 1, 2 and 3, respectively. The Court approves the appointment of Strategic Claims Services as the Claims Administrator. The Court retains exclusive jurisdiction over this Action

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to consider all further matters arising out of or connected with the Settlement. The Court may approve the Settlement, with such modifications as may be agreed by the Settling Parties, if appropriate, without further notice to the Class. And as set forth herein. SO ORDERED. (Signed by Judge J. Paul Oetken on 10/02/2018) (ama) (Entered: 10/03/2018)

10/03/2018 Set/Reset Hearings: Fairness Hearing set for 11/27/2018 at 03:00 PM before Judge J. Paul Oetken. (ama) (Entered: 10/03/2018)

10/04/2018 194 LETTER MOTION to Adjourn Conference -Request to Reschedule Final Approval Hearing addressed to Judge J. Paul Oetken from Robert F. Serio dated October 4, 2018. Document filed by Och-Ziff Capital Management Group LLC.(Serio, Robert) (Entered: 10/04/2018)

10/05/2018 195 ORDER granting 194 Letter Motion to Adjourn Conference. The parties' joint motion at Docket Number 194 for an adjournment of the final approval hearing for the proposed class action settlement in this action is GRANTED. The final settlement approval hearing previously scheduled for November 26, 2018, is hereby adjourned to January 16, 2019, at 11:00 a.m. The Clerk of Court is directed to close the motion at Docket Number 194. Settlement Conference set for 1/16/2019 at 11:00 AM before Judge J. Paul Oetken. (Signed by Judge J. Paul Oetken on 10/4/2018) (mro) (Entered: 10/05/2018)

12/17/2018 196 MOTION for Settlement Final Approval of Proposed Class Action Settlement. Document filed by Ralph Langstadt, Julie Lemond. (Attachments: # 1 Text of Proposed Order Proposed Order and Final Judgment)(Fuks, Sara) (Entered: 12/17/2018)

12/17/2018 197 MEMORANDUM OF LAW in Support re: 196 MOTION for Settlement Final Approval of Proposed Class Action Settlement. . Document filed by Ralph Langstadt, Julie Lemond. (Fuks, Sara) (Entered: 12/17/2018)

12/17/2018 198 MOTION for Attorney Fees Motion for An Award of Attorneys' Fees, Reimbursement of Expenses and Award to Class Representatives. Document filed by Ralph Langstadt, Julie Lemond. (Attachments: # 1 Text of Proposed Order Proposed Final Order and Judgment)(Fuks, Sara) (Entered: 12/17/2018)

12/17/2018 199 MEMORANDUM OF LAW in Support re: 198 MOTION for Attorney Fees Motion for An Award of Attorneys' Fees, Reimbursement of Expenses and Award to Class Representatives. . Document filed by Ralph Langstadt, Julie Lemond. (Fuks, Sara) (Entered: 12/17/2018)

12/17/2018 200 DECLARATION of Laurence M. Rosen and Patrick V. Dahlstrom in Support re: 198 MOTION for Attorney Fees Motion for An Award of Attorneys' Fees, Reimbursement of Expenses and Award to Class Representatives., 196 MOTION for Settlement Final Approval of Proposed Class Action Settlement.. Document filed by Ralph Langstadt, Julie Lemond. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3, # 4 Exhibit 4, # 5 Exhibit 5)(Fuks, Sara) (Entered: 12/17/2018)

12/21/2018 201 LETTER addressed to Judge J. Paul Oetken from A. Menaldi, dated 12/18/18 re: Plaintiff informs the Court that he will extend the settlement until they have agreed on an amount; and that he wants the amount to be disclosed by Robert Willoughby, requiring both his signature and the plaintiff's signature on the document stating that

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it is approved by both parties etc. Document filed by Arthur Menaldi.(sc) (Entered: 12/27/2018)

01/03/2019 202 LETTER addressed to Judge J. Paul Oetken from Patrick V. Dahlstrom dated January 3, 2019 re: response to the December 18, 2018 letter to the Court from Arthur Menaldi. (Dkt. 201). Document filed by Ralph Langstadt, Julie Lemond. (Attachments: # 1 Affidavit Declaration of Robert S. Willoughby, # 2 Exhibit A - Certification)(Dahlstrom, Patrick) (Entered: 01/03/2019)

01/07/2019 203 LETTER addressed to Judge J. Paul Oetken from Arthur Menaldi dated 1/03/2019 re: Extend the case settlement. Document filed by Arthur Menaldi.(ama) (Entered: 01/07/2019)

01/09/2019 204 REPLY MEMORANDUM OF LAW in Support re: 196 MOTION for Settlement Final Approval of Proposed Class Action Settlement., 198 MOTION for Attorney Fees Motion for An Award of Attorneys' Fees, Reimbursement of Expenses and Award to Class Representatives. . Document filed by Ralph Langstadt, Julie Lemond. (Attachments: # 1 Exhibit A)(Dahlstrom, Patrick) (Entered: 01/09/2019)

01/16/2019 Minute Entry for proceedings held before Judge J. Paul Oetken: Fairness Hearing held on 1/16/2019. Settlement approved. Order to follow. (bh) (Entered: 01/16/2019)

01/16/2019 205 FINAL ORDER AND JUDGMENT: NOW THEREFORE, IT IS HEREBY ORDERED, ADJUDGED AND DECREED: This Order incorporates by reference the definitions in the Stipulation, and all capitalized terms used in this Order that are not otherwise identified herein have the meaning assigned to them as set forth in the Stipulation. The Court has jurisdiction over the subject matter of the Action and over all Parties to the Action, including all members of the Settlement Class. The Defendants have caused twenty-eight million seven hundred and fifty thousand dollars ($28,750,000) to be deposited into escrow (the "Settlement Fund") for the benefit of the Settlement Class. The Court finds that the proposed Plan of Allocation is fair, just, reasonable, and adequate, and is finally approved in all respects. The Court finds that there were no objections filed to the Settlement. This Order and Final Judgment shall be binding on all Settlement Class Members, including Class Plaintiffs Ralph Langstadt and Julie Lemond, except for those Settlement Class Members who filed valid exclusions, as listed on Exhibit A-1, attached hereto. Further, the Action and the Released Plaintiffs' Claims are hereby dismissed with prejudice. The parties are to bear their own costs, except as otherwise provided in the Stipulation. The Court hereby awards Class Counsel attorneys' fees of $8,625,000, plus reimbursement of their expenses in the amount of $401,240.26, together with the interest earned thereon for the same time period and at the same rate as that earned on the Settlement Fund until paid. The Court finds that the amount of fees awarded is appropriate and that the amount of fees awarded is fair and reasonable given the contingent nature of the case and the substantial risks of non-recovery, the quality of the work performed, the time and effort involved, and the result obtained for the Settlement Class. The Court hereby awards Class Plaintiff Ralph Langstadt and Class Plaintiff Julie Lemond each a compensatory award of $5,000. Without affecting the finality of this Final Order and Judgment, the Court reserves continuing and exclusive jurisdiction over all matters relating to the administration, implementation, effectuation, and enforcement of the Settlement. And as set forth herein. SO ORDERED. (Signed by Judge J. Paul Oetken on 1/16/2019) (ama) (Entered: 01/16/2019)

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01/24/2019 206 LETTER addressed to Judge J. Paul Oetken from Laurence Rosen and Patrick Dahlstrom dated January 24, 2019 re: Exhibit A-1 to Final Order and Judgment. Document filed by Ralph Langstadt, Julie Lemond.(Fuks, Sara) (Entered: 01/24/2019)

01/24/2019 207 REVISED FINAL ORDER AND JUDGMENT: NOW THEREFORE, IT IS HEREBY ORDERED, ADJUDGED AND DECREED: The Court has determined that the Settlement set forth in the Stipulation is fair, reasonable, and adequate and is hereby finally approved in all respects. The Defendants have caused twenty-eight million seven hundred and fifty thousand dollars ($28,750,000) to be deposited into escrow (the "Settlement Fund") for the benefit of the Settlement Class. Among other things, the recovery of individual Settlement Class Members depends on the number of Class A Shares those Settlement Class Members purchased and sold and the prices at which Settlement Class Members who filed claims purchased and sold those shares. The Court finds that the proposed Plan of Allocation is fair, just, reasonable, and adequate, and is finally approved in all respects. The Court hereby awards Class Counsel attorneys' fees of $8,625,000, plusreimbursement of their expenses in the amount of $401,240.26, together with the interest earned thereon for the same time period and at the same rate as that earned on the Settlement Fund until paid. The Court finds that the amount of fees awarded is appropriate and that the amount of fees awarded is fair and reasonable given the contingent nature of the case and the substantial risks of non-recovery, the quality of the work performed, the time and effort involved, and the result obtained for the Settlement Class. The Court hereby awards Class Plaintiff Ralph Langstadt and Class Plaintiff Julie Lemond each a compensatory award of $5,000. Without affecting the finality of this Final Order and Judgment, the Court reserves continuing and exclusive jurisdiction over all matters relating to the administration, implementation, effectuation, and enforcement of the Settlement. And as set forth herein. SO ORDERED. (Signed by Judge J. Paul Oetken on 1/24/2019) (ama) (Entered: 01/24/2019)

05/29/2019 208 TRANSCRIPT of Proceedings re: CONFERENCE held on 1/16/2019 before Judge J. Paul Oetken. Court Reporter/Transcriber: Andrew Walker, (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 6/19/2019. Redacted Transcript Deadline set for 7/1/2019. Release of Transcript Restriction set for 8/27/2019.(McGuirk, Kelly) (Entered: 05/29/2019)

05/29/2019 209 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a CONFERENCE proceeding held on 1/16/19 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: 05/29/2019)

07/26/2019 210 MOTION for Disbursement of Funds . Document filed by Ralph Langstadt, Julie Lemond. (Attachments: # 1 Affidavit, # 2 Text of Proposed Order)(Fuks, Sara) (Entered: 07/26/2019)

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07/26/2019 211 MEMORANDUM OF LAW in Support re: 210 MOTION for Disbursement of Funds . . Document filed by Ralph Langstadt, Julie Lemond. (Fuks, Sara) (Entered: 07/26/2019)

08/14/2019 212 NOTICE of Non-Opposition to Plaintiffs' Motion for Distribution of Class Action Settlement Funds re: 210 MOTION for Disbursement of Funds ., 211 Memorandum of Law in Support of Motion. Document filed by Ralph Langstadt, Julie Lemond. (Attachments: # 1 Text of Proposed Order)(Fuks, Sara) (Entered: 08/14/2019)

08/30/2019 213 ORDER GRANTING PLAINTIFFS' MOTION FOR DISTRIBUTION OF CLASS ACTION SETTLEMENT FUNDS 210 Motion for Disbursement of Funds: Plaintiffs' Motion for Distribution of Class Action Settlement Funds is GRANTED. The checks for distribution to Authorized Claimants shall bear the notation "CASH PROMPTLY, VOID AND SUBJECT TO RE-DISTRIBUTION 180 DAYS AFTER DISTRIBUTION DATE." Class Counsel and SCS are authorized to locate and/or contact any Authorized Claimant who has not cashed his, her, or its check within said time. This Court retains jurisdiction over any further application or matter which may arise in connection with this action. (As further set forth in this Order.) (Signed by Judge J. Paul Oetken on 8/29/2019) (cf) Transmission to Finance Unit (Cashiers) for processing. (Entered: 08/30/2019)

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