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US District Court Civil Docket as of March 14, 2013 Retrieved from the court on March 15, 2013

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

CIVIL DOCKET FOR CASE #: 1:09-cv-08633-JGK

Date Filed: 10/09/2009 Date Terminated: 03/14/2013 Jury Demand: Both Nature of Suit: 850 Securities/Commodities Jurisdiction: Federal Question

City of Roseville Employees' Retirement System et al v EnergySolutions, Inc. et al Assigned to: Judge John G. Koeltl Member case: (View Member Case Related Case: 1:09-cv-08648-JGK Cause: 15:78m(a) Securities Exchange Act

Lead Plaintiff

City of Roseville Employees' Retirement System on behalf of itself

represented by David Avi Rosenfeld Robbins Geller Rudman & Dowd LLP(LI) 58 South Service Road Suite 200 Melville, NY 11747 631-367-7100 Fax: 631-367-1173 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED

Evan Jay Kaufman Robbins Geller Rudman & Dowd LLP(LI) 58 South Service Road Suite 200 Melville, NY 11747 (631) 367-7100 Fax: (631) 367-1173 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED

Samuel Howard Rudman Robbins Geller Rudman & Dowd LLP(LI) 58 South Service Road Suite 200 Melville, NY 11747 (631) 367-7100 Fax: (631) 367-1173 Email: [email protected] LEAD ATTORNEY

ATTORNEY TO BE NOTICED

Andrea Yoon Lee Robbins Geller Rudman & Dowd LLP 58 South Services Road, Suite 200 Melville, NY 11747 (631) 367-7100 Fax: (631) 367-1173 Email: [email protected] ATTORNEY TO BE NOTICED

Cody R. Lejeune Robbins Geller Rudman & Dowd LLP 655 West Broadway, Suite 1900 San Diego, CA 92101 (619)-231-1058 Fax: (619)-231-7423 Email: [email protected] PRO HAC VICE ATTORNEY TO BE NOTICED

Mark Samuel Reich Robbins Geller Rudman & Dowd LLP(LI) 58 South Service Road Suite 200 Melville, NY 11747 (631)-367-7100 Fax: (631)-367-1173 Email: [email protected] ATTORNEY TO BE NOTICED

William John Geddish Robbins Geller Rudman & Dowd LLP 58 South Services Road, Suite 200 Melville, NY 11747 (631)-367-7100 Fax: (631)-367-1173 Email: [email protected] ATTORNEY TO BE NOTICED

Lead Plaintiff

City of Roseville Employees' represented by David Avi Rosenfeld Retirement System

(See above for address) On behalf of all others similarly situated

LEAD ATTORNEY ATTORNEY TO BE NOTICED

Evan Jay Kaufman (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

Samuel Howard Rudman (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

Lead Plaintiff

New England Carpenters Guaranteed represented by Andrea Yoon Lee Annuity and Pension Funds

(See above for address) ATTORNEY TO BE NOTICED

Cody R. Lejeune (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED

David Avi Rosenfeld (See above for address) ATTORNEY TO BE NOTICED

Evan Jay Kaufman Robbins Geller Rudman & Dowd LLP(LI) 58 South Service Road Suite 200 Melville, NY 11747 (631) 367-7100 Fax: (631) 367-1173 Email: [email protected] ATTORNEY TO BE NOTICED

Samuel Howard Rudman Robbins Geller Rudman & Dowd LLP(LI) 58 South Service Road Suite 200 Melville, NY 11747 (631) 367-7100 Fax: (631) 367-1173 Email: [email protected] ATTORNEY TO BE NOTICED

William John Geddish (See above for address) ATTORNEY TO BE NOTICED

Lead Plaintiff

Building Trades United Pension Trust Fund on behalf of itself

represented by David Avi Rosenfeld (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED



Andrea Yoon Lee (See above for address) ATTORNEY TO BE NOTICED

William John Geddish (See above for address) ATTORNEY TO BE NOTICED

Lead Plaintiff

Building Trades United Pension Trust Fund on behalf of all others similarly situated

represented by David Avi Rosenfeld (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED



Cody R. Lejeune (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED

Movant

Building Trades United Pension Trust Fund

V.

Defendant

represented by David Avi Rosenfeld (See above for address) ATTORNEY TO BE NOTICED

EnergySolutions, Inc. represented by Bruce Domenick Angiolillo Simpson Thacher & Bartlett LLP (NY)

425 Lexington Avenue New York, NY 10017 212-455-2000 Fax: 212-455-2502 Email: [email protected] ATTORNEY TO BE NOTICED

Evan I. Cohen Simpson Thacher & Bartlett LLP 425 Lexington Avenue New York, NY 10017 212 455 3269 Fax: 212 455 2502 Email: [email protected] ATTORNEY TO BE NOTICED

Jonathan K. Youngwood Simpson Thacher & Bartlett LLP (NY) 425 Lexington Avenue New York, NY 10017 (212) 455-2000 Fax: (212) 455-2502 Email: [email protected] ATTORNEY TO BE NOTICED

Paul Jacob Sirkis Simpson Thacher & Bartlett LLP (NY) 425 Lexington Avenue New York, NY 10017 (212) 455-2651 Fax: (212) 455-2502 Email: [email protected] ATTORNEY TO BE NOTICED

Robert S. Clark Parr Brown Gee & Loveless 185 South State Street Suite 800 Salt Lake City, UT 84111 (801)-532-7840 Fax: ((801)-532-7750 PRO HAC VICE ATTORNEY TO BE NOTICED

Defendant

R. Steve Creamer represented by Bruce Domenick Angiolillo (See above for address) ATTORNEY TO BE NOTICED

Evan I. Cohen

(See above for address) ATTORNEY TO BE NOTICED

Jonathan K. Youngwood (See above for address) ATTORNEY TO BE NOTICED

Paul Jacob Sirkis (See above for address) ATTORNEY TO BE NOTICED

Defendant

Philip O. Strawbridge represented by Bruce Domenick Angiolillo (See above for address) ATTORNEY TO BE NOTICED

Evan I. Cohen (See above for address) ATTORNEY TO BE NOTICED



Defendant

Jean I. Everest, II

represented by Bruce Domenick Angiolillo (See above for address) ATTORNEY TO BE NOTICED




Defendant

Mark C. McBride represented by Bruce Domenick Angiolillo (See above for address) ATTORNEY TO BE NOTICED




Defendant

Alan E. Goldberg represented by Bruce Domenick Angiolillo (See above for address) ATTORNEY TO BE NOTICED




Defendant

Jordan W. Clements represented by Bruce Domenick Angiolillo (See above for address) ATTORNEY TO BE NOTICED




Defendant

Lance L. Hirt represented by Bruce Domenick Angiolillo (See above for address) ATTORNEY TO BE NOTICED




Defendant

Robert D. Lindsay represented by Bruce Domenick Angiolillo (See above for address) ATTORNEY TO BE NOTICED




Defendant

E. Gail De Planque represented by Bruce Domenick Angiolillo (See above for address) ATTORNEY TO BE NOTICED




Defendant

Robert J.S. Roriston represented by Bruce Domenick Angiolillo (See above for address)

ATTORNEY TO BE NOTICED




Defendant

Andrew S. Weinberg represented by Bruce Domenick Angiolillo (See above for address) ATTORNEY TO BE NOTICED




Defendant

David B. Winder represented by Bruce Domenick Angiolillo (See above for address) ATTORNEY TO BE NOTICED




Defendant

Credit Suisse Securities (USA) LLC

represented by Adam Selim Hakki

Shearman & Sterling LLP (NY) 599 Lexington Avenue New York, NY 10022 (212)-848-4924 Fax: (646)-848-4924 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED

Richard Franklin Schwed Shearman & Sterling LLP (NY) 599 Lexington Avenue New York, NY 10022 212-848-5445 Fax: 646-848-5445 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED

Daniel Craig Lewis Shearman & Sterling LLP (NY) 599 Lexington Avenue New York, NY 10022 (212) 848-8691 Fax: (646) 848-8691 Email: [email protected] ATTORNEY TO BE NOTICED

Defendant

J.P. Morgan Securities Inc. represented by Adam Selim Hakki (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

Richard Franklin Schwed (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

Daniel Craig Lewis (See above for address) ATTORNEY TO BE NOTICED

Defendant

Morgan Stanley & Co. Incorporated represented by Adam Selim Hakki (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

Richard Franklin Schwed

(See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

Daniel Craig Lewis (See above for address) ATTORNEY TO BE NOTICED

Defendant

ENV Holdings represented by Bruce Domenick Angiolillo (See above for address) ATTORNEY TO BE NOTICED




Date Filed

10/09/2009

# Docket Text

1 COMPLAINT against R. Steve Creamer, Philip O. Strawbridge, Jean I. Everest, II, Mark C. McBride, Alan E. Goldberg, Jordan W. Clements, Lance L. Hirt, Robert D. Lindsay, E. Gail De Planque, Robert J.S. Roriston, Andrew S. Weinberg, David B. Winder, Credit Suisse Securities (USA) LLC, J.P. Morgan Securities Inc., Morgan Stanley & Co. Incorporated, ENV Holdings, LLC, EnergySolutions, Inc. (Filing Fee $ 350.00, Receipt Number 702624)Document filed by City of Roseville Employees' Retirement System(on behalf of itself), City of Roseville Employees' Retirement System(On behalf of all others similarly situated).(mro) (ama). (Entered: 10/13/2009)

10/09/2009 SUMMONS ISSUED as to R. Steve Creamer, Philip O. Strawbridge, Jean I. Everest, II, Mark C. McBride, Alan E. Goldberg, Jordan W. Clements, Lance L. Hirt, Robert D. Lindsay, E. Gail De Planque, Robert J.S. Roriston, Andrew S. Weinberg, David B. Winder, Credit Suisse Securities (USA) LLC, J.P. Morgan Securities Inc., Morgan Stanley & Co. Incorporated, ENV Holdings, LLC, EnergySolutions, Inc. (mro) (Entered: 10/13/2009)

10/09/2009

Magistrate Judge Theodore H. Katz is so designated. (mro) (Entered: 10/13/2009)

10/09/2009

Case Designated ECF. (mro) (Entered: 10/13/2009)

10/09/2009 2 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. No Corporate Parent. Document filed by City of Roseville Employees' Retirement System(on behalf of itself), City of Roseville Employees' Retirement System(On behalf of all others similarly situated).(mro) (mro). (Entered: 10/13/2009)

10/13/2009

***NOTE TO ATTORNEY TO E-MAIL PDF. Note to Attorney David Avi Rosenfeld for noncompliance with Section (14.3) of the S.D.N.Y. Electronic Case Filing Rules & Instructions. E-MAIL the PDF for Document 1 Complaint,, 2 Rule 7.1 Corporate Disclosure Statement, to: [email protected] . (mro) (Entered: 10/13/2009)

10/16/2009

10/20/2009

12/03/2009

12/08/2009

12/08/2009

***NOTE TO ATTORNEY TO E-MAIL PDF. Note to Attorney Evan Jay Kaufman for noncompliance with Section (14.3) of the S.D.N.Y. Electronic Case Filing Rules & Instructions. E-MAIL the PDF for Document 1 Complaint,, 2 Rule 7.1 Corporate Disclosure Statement, to: [email protected] . (mro) (Entered: 10/16/2009)

***NOTE TO ATTORNEY TO E-MAIL PDF. Note to Attorney David Avi Rosenfeld for noncompliance with Section (14.3) of the S.D.N.Y. Electronic Case Filing Rules & Instructions. E-MAIL the PDF for Document 2 Rule 7.1 Corporate Disclosure Statement, to: [email protected] . (mro) (Entered: 10/20/2009)

3 STIPULATION AND ORDER EXTENDING TIME TO RESPOND TO COMPLAINTS: Shearman & Sterling LLP accepts service on behalf of the Under writer Defendants( Credit Suisse Securities (USA), LLC, J.P. Morgan Securities Inc., and Morgan Stanley & Co. Incorporated). Plaintiffs shall have sixty (60) days from the date that the Court enters an order appointing a lead plaintiff and lead counsel under the Private Securities Litigation Reform Act within which to file an amended complaint that shall supersede all previous complaints filed in the above-captioned actions. The Underwriter Defendants shall have sixty (60) days from the date Lead Plaintiff serves its amended complaint to move, answer, or otherwise respond with respect to the amended complaint. The Underwriter Defendants have no obligation at this time to move, answer, or otherwise respond to the initial complaint file in the above-captioned actions. If the Underwriter Defendants move to dismiss the amended complaint, Lead Plaintiff shall have sixty (60) days after service of the motion to dismiss to serve and file its response or opposition. The Underwriter Defendants shall have thirty (30) days from the date Lead Plaintiff serves its opposition to any motion to dismiss to serve and file their reply brief. ENDORSEMENT: No motion to dismiss should be made without a prior conference with the Court. So ordered. (Signed by Judge John G. Koeltl on 11/24/09) (tro) (Entered: 12/05/2009)

4 MOTION to Appoint New England Carpenters Guaranteed Annuity and Pension Funds, Building Trades United Pension Trust Fund and City of Roseville Employees Retirement System to serve as lead plaintiff(s)., MOTION to Appoint Counsel., MOTION to Consolidate Cases 09-8648. Document filed by New England Carpenters Guaranteed Annuity and Pension Funds, Building Trades United Pension Trust Fund, City of Roseville Employees' Retirement System(on behalf of itself). (Attachments: # 1 Exhibit A)(Rosenfeld, David) (Entered: 12/08/2009)

5 MEMORANDUM OF LAW in Support re: 4 MOTION to Appoint New England Carpenters Guaranteed Annuity and Pension Funds, Building Trades United Pension Trust Fund and City of Roseville Employees Retirement System to serve as lead plaintiff(s). MOTION to Appoint Counsel. MOTION to Consolidate Cases 09-8648. MOTION to Appoint New England Carpenters Guaranteed Annuity and Pension Funds, Building Trades United Pension Trust Fund and City of Roseville Employees Retirement System to serve as lead plaintiff(s). MOTION to Appoint New England Carpenters Guaranteed Annuity and Pension Funds, Building Trades United Pension

Trust Fund and City of Roseville Employees Retirement System to serve as lead plaintiff(s).. Document filed by City of Roseville Employees' Retirement System(on behalf of itself), New England Carpenters Guaranteed Annuity and Pension Funds, Building Trades United Pension Trust Fund. (Rosenfeld, David) (Entered: 12/08/2009)

12/08/2009 6 DECLARATION of David A. Rosenfeld in Support re: 4 MOTION to Appoint New England Carpenters Guaranteed Annuity and Pension Funds, Building Trades United Pension Trust Fund and City of Roseville Employees Retirement System to serve as lead plaintiff(s). MOTION to Appoint Counsel. MOTION to Consolidate Cases 09- 8648. MOTION to Appoint New England Carpenters Guaranteed Annuity and Pension Funds, Building Trades United Pension Trust Fund and City of Roseville Employees Retirement System to serve as lead plaintiff(s). MOTION to Appoint New England Carpenters Guaranteed Annuity and Pension Funds, Building Trades United Pension Trust Fund and City of Roseville Employees Retirement System to serve as lead plaintiff(s).. Document filed by City of Roseville Employees' Retirement System(on behalf of itself), New England Carpenters Guaranteed Annuity and Pension Funds, Building Trades United Pension Trust Fund. (Attachments: # 1 Errata A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D)(Rosenfeld, David) (Entered: 12/08/2009)

01/14/2010 7 NOTICE OF APPEARANCE by Jonathan K. Youngwood on behalf of R. Steve Creamer, Philip O. Strawbridge, Jean I. Everest, II, Mark C. McBride, Alan E. Goldberg, Jordan W. Clements, Lance L. Hirt, Robert D. Lindsay, E. Gail De Planque, Robert J.S. Roriston, Andrew S. Weinberg, David B. Winder, ENV Holdings, LLC, EnergySolutions, Inc. (Youngwood, Jonathan) (Entered: 01/14/2010)

01/14/2010 8 NOTICE OF APPEARANCE by Paul Jacob Sirkis on behalf of R. Steve Creamer, Philip O. Strawbridge, Jean I. Everest, II, Mark C. McBride, Alan E. Goldberg, Jordan W. Clements, Lance L. Hirt, Robert D. Lindsay, E. Gail De Planque, Robert J.S. Roriston, Andrew S. Weinberg, David B. Winder, ENV Holdings, LLC, EnergySolutions, Inc. (Sirkis, Paul) (Entered: 01/14/2010)

01/14/2010 9 NOTICE OF APPEARANCE by Bruce Domenick Angiolillo on behalf of R. Steve Creamer, Philip O. Strawbridge, Jean I. Everest, II, Mark C. McBride, Alan E. Goldberg, Jordan W. Clements, Lance L. Hirt, Robert D. Lindsay, E. Gail De Planque, Robert J.S. Roriston, Andrew S. Weinberg, David B. Winder, ENV Holdings, LLC, EnergySolutions, Inc. (Angiolillo, Bruce) (Entered: 01/14/2010)

01/14/2010 10 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. No Corporate Parent. Document filed by ENV Holdings, LLC.(Angiolillo, Bruce) (Entered: 01/14/2010)

01/14/2010 11 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. No Corporate Parent. Document filed by EnergySolutions, Inc..(Angiolillo, Bruce) (Entered: 01/14/2010)

01/19/2010 12 STIPULATION AND ORDER EXTENDING TIME TO RESPOND TO COMPLAINTS: 1. Simpson Thatcher &: Bartlett LLP accepts service on behalf of R. Steve Creamer,Robert J.S. Roriston and David B. Winder. 2. Plaintiffs shall have sixty (60) days from the date that the Court enters an order appointing a lead plaintiff ("Lead Plaintiff") and lead counsel under the Private Securities Litigation Reform Act within which to file an amended complaint that shall supersede all previous complaints filed in the above-captioned actions. 3. The EnergySolutions Defendants shall have sixty (60) days from the date Lead Plaintiff serves its amended complaint to move, answer or otherwise respond with respect to the amended complaint The

EnergySolutions Defendants have no obligation at this time to move, answer or otherwise respond to the initial complaints filed in the above-captioned actions. 4. If the EnergySolutions Defendants move to dismiss the amended complaint, Lead Plaintiff shall have sixty (60) days after service of the motion to dismiss to serve and file its response or opposition. 5. The EnergySolutions Defendants shall have thirty (30) days from the date Lead Plaintiff serves its opposition to any motion to dismiss to serve and file their reply brief. ENDORSEMENT: No motion to dismiss should be filed before a pre-motion conference. So Ordered. (Signed by Judge John G. Koeltl on 1/15/10) (db) Modified on 1/28/2010 (db). (Entered: 01/19/2010)

01/28/2010 13 MOTION for Robert S. Clark to Appear Pro Hac Vice. Document filed by EnergySolutions, Inc.(mro) (Entered: 01/29/2010)

02/03/2010 CASHIERS OFFICE REMARK on 13 Motion to Appear Pro Hac Vice in the amount of $25.00, paid on 01/28/2010, Receipt Number 893259. (jd) (Entered: 02/03/2010)

02/03/2010 14 ORDER FOR ADMISSION OF ROBERT S. CLARK PRO HAC VICE granting 13 Motion for Robert S. Clark to Appear Pro Hac Vice. Robert S. Clark is admitted to practice pro hac vice as counsel for the EnergySolutions Defendants in this action. (Signed by Judge John G. Koeltl on 2/2/2010) (tro) (Entered: 02/08/2010)

02/08/2010 15 NOTICE of ORAL ARGUMENT: Oral Argument on the pending motions set for 2/18/2010 at 02:30 PM in Courtroom 12B, 500 Pearl Street, New York, NY 10007 before Judge John G. Koeltl. (cd) (Entered: 02/09/2010)

02/16/2010 16 NOTICE OF APPEARANCE by Adam Selim Hakki on behalf of Credit Suisse Securities (USA) LLC, J.P. Morgan Securities Inc., Morgan Stanley & Co. Incorporated (Hakki, Adam) (Entered: 02/16/2010)

02/16/2010 17 NOTICE OF APPEARANCE by Daniel Craig Lewis on behalf of Credit Suisse Securities (USA) LLC, J.P. Morgan Securities Inc., Morgan Stanley & Co. Incorporated (Lewis, Daniel) (Entered: 02/16/2010)

02/18/2010 18 NOTICE OF APPEARANCE by Mark Samuel Reich on behalf of City of Roseville Employees' Retirement System(on behalf of itself) (Reich, Mark) (Entered: 02/18/2010)

02/19/2010 19 ORDER GRANTING THE INSTITUTIONAL INVESTOR GROUP'S MOTION FOR CONSOLIDATION OF RELATED ACTIONS, APPOINTMENT AS LEAD PLAINTIFF AND APPROVAL OF LEAD PLAINTIFF'S SELECTION OF LEAD COUNSEL granting (4) Motion to Appoint ; granting in part and denying in part (4) Motion to Appoint Counsel ; granting (4) Motion to Consolidate Cases in case 1:09- cv-08633-JGK. Having considered the Institutional Investor Group's Motion for Consolidation of Related Actions, Appointments as Lead Plaintiff and Approval of Lead Plaintiff's Selection of Lead Counsel, and good cause appearing therefor, and there being no opposition, IT IS HEREBY ORDERED that: 1. The Motion is GRANTED; 2. The Related Actions are consolidated pursuant to F.R>C.P. 42(a); 3. The Court appoints the Institutional Investor Group as Lead Plaintiff; and 4. Lead Plaintiff's selection of counsel is approved. Coughlin Stoia Geller Rudman & Robbins LLP is hereby appointed as Lead Counsel for the class. (Signed by Judge John G. Koeltl on 2/18/2010) Filed In Associated Cases: 1:09-cv-08633-JGK, 1:09-cv-08648- JGK(tro) (Entered: 02/19/2010)

03/12/2010 20 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Credit Suisse Group AG as Corporate Parent. Document filed by Credit Suisse Securities (USA) LLC.(Hakki, Adam) (Entered: 03/12/2010)

03/12/2010 21 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. No Corporate Parent. Document filed by Morgan Stanley & Co. Incorporated.(Hakki, Adam) (Entered: 03/12/2010)

03/12/2010 22 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying JPMorgan Chase & Co. as Corporate Parent. Document filed by J.P. Morgan Securities Inc..(Hakki, Adam) (Entered: 03/12/2010)

03/17/2010 23 SCHEDULING STIPULATION AND ORDER NO. 2: Plaintiffs shall file an amended complaint on or before 4/20/10. Defendants shall move, answer or otherwise respond with respect to the operative complaint on or before 6/18/10. In the event that defendants file a motion to dismiss the amended complaint, plaintiffs shall file a second amended complaint or serve opposition papers to the motion to dismiss on or before 7/20/10. In the even plaintiffs serve opposition papers to the motion to dismiss the amended complaint on or before 7/20/10, defendants shall serve their reply papers on or before 8/3/10. In the even plaintiffs serve a second amended complaint on or before 7/20/10 defendants shall move, answer, or otherwise respond with respect to the second amended complaint on or before 8/19/10. In the event that defendants move to dismiss the second amended complaint, plaintiffs shall serve their opposition papers on or before 9/20/10. Defendants shall serve their reply papers on or before 10/5/10. If the Court dismisses the amended complaint or second amended complaint, such dismissal will be with prejudice. (Signed by Judge John G. Koeltl on 3/16/10) (dle) (Entered: 03/17/2010)

03/22/2010 24 NOTICE of Change of Firm Name. Document filed by Building Trades United Pension Trust Fund(on behalf of itself), City of Roseville Employees' Retirement System(on behalf of itself). (Rudman, Samuel) (Entered: 03/22/2010)

04/20/2010 25 CONSOLIDATED AMENDED COMPLAINT amending 1 Complaint,, against R. Steve Creamer, Philip O. Strawbridge, Jean I. Everest, II, Mark C. McBride, Alan E. Goldberg, Jordan W. Clements, Lance L. Hirt, Robert D. Lindsay, E. Gail De Planque, Robert J.S. Roriston, Andrew S. Weinberg, David B. Winder, Credit Suisse Securities (USA) LLC, J.P. Morgan Securities Inc., Morgan Stanley & Co. Incorporated, ENV Holdings, EnergySolutions, Inc. Document filed by Building Trades United Pension Trust Fund(on behalf of itself), Building Trades United Pension Trust Fund(on behalf of all others similarly situated), City of Roseville Employees' Retirement System(on behalf of itself), New England Carpenters Guaranteed Annuity and Pension Funds, City of Roseville Employees' Retirement System(On behalf of all others similarly situated). Related document: 1 Complaint,, filed by City of Roseville Employees' Retirement System. (Received in the night deposit box on 4/20/10 at 10:51pm)(mro) (Entered: 04/23/2010)

06/15/2010 26 ENDORSED LETTER: addressed to Judge John G. Koeltl from Bruce D. Angiolillo dated 6/14/2010 re: Counsel for defendant requests permission to file a brief of 40 pages in length, which represents a 15 page extension beyond the usual 25 pages permitted by Your Honor's Individual Practices. Counsel believes the additional space is necessary to adequately address in a single brief the multiple claims brought against each of the 17 defendants. ENDORSEMENT: Application Granted, So Ordered.

(Signed by Judge John G. Koeltl on 6/15/2010) (js) (Entered: 06/15/2010)

06/16/2010 27 ENDORSED LETTER addressed to Judge John G. Koeltl from Bruce D. Angiolillo dated 6/15/2010 re: Requesting permission to file a 40-page brief in opposition to defendants' motion to dismiss. ENDORSEMENT: Application granted. So Ordered. (Signed by Judge John G. Koeltl on 6/16/2010) (jpo) (Entered: 06/16/2010)

06/18/2010 28 JOINT MOTION to Dismiss the Consolidated Amended Complaint . Document filed by R. Steve Creamer, Philip O. Strawbridge, Jean I. Everest, II, Mark C. McBride, Alan E. Goldberg, Jordan W. Clements, Lance L. Hirt, Robert D. Lindsay, E. Gail De Planque, Robert J.S. Roriston, Andrew S. Weinberg, David B. Winder, Credit Suisse Securities (USA) LLC, J.P. Morgan Securities Inc., Morgan Stanley & Co. Incorporated, ENV Holdings, EnergySolutions, Inc..(Angiolillo, Bruce) (Entered: 06/18/2010)

06/18/2010

06/18/2010

07/20/2010

29 MEMORANDUM OF LAW in Support re: 28 JOINT MOTION to Dismiss the Consolidated Amended Complaint .. Document filed by R. Steve Creamer, Philip O. Strawbridge, Jean I. Everest, II, Mark C. McBride, Alan E. Goldberg, Jordan W. Clements, Lance L. Hirt, Robert D. Lindsay, E. Gail De Planque, Robert J.S. Roriston, Andrew S. Weinberg, David B. Winder, Credit Suisse Securities (USA) LLC, J.P. Morgan Securities Inc., Morgan Stanley & Co. Incorporated, ENV Holdings, EnergySolutions, Inc.. (Angiolillo, Bruce) (Entered: 06/18/2010)

30 DECLARATION of Jonathan K. Youngwood in Support re: 28 JOINT MOTION to Dismiss the Consolidated Amended Complaint .. Document filed by R. Steve Creamer, Philip O. Strawbridge, Jean I. Everest, II, Mark C. McBride, Alan E. Goldberg, Jordan W. Clements, Lance L. Hirt, Robert D. Lindsay, E. Gail De Planque, Robert J.S. Roriston, Andrew S. Weinberg, David B. Winder, Credit Suisse Securities (USA) LLC, J.P. Morgan Securities Inc., Morgan Stanley & Co. Incorporated, ENV Holdings, EnergySolutions, Inc.. (Attachments: # 1 Exhibit A (Part 1 of 2), # 2 Exhibit A (Part 2 of 2), # 3 Exhibit B (Part 1 of 2), # 4 Exhibit B (Part 2 of 2), # 5 Exhibit C, # 6 Exhibit D, # 7 Exhibit E, # 8 Exhibit F, # 9 Exhibit G, # 10 Exhibit H, # 11 Exhibit I, # 12 Exhibit J, # 13 Exhibit K, # 14 Exhibit L, # 15 Exhibit M (Part 1 of 2), # 16 Exhibit M (Part 2 of 2), # 17 Exhibit N, # 18 Exhibit O, # 19 Exhibit P, # 20 Exhibit Q, # 21 Exhibit R, # 22 Exhibit S, # 23 Exhibit T, # 24 Exhibit U, # 25 Exhibit V, # 26 Exhibit W)(Youngwood, Jonathan) (Entered: 06/18/2010)

31 SCHEDULING STIPULATION AND ORDER NO. 3: Plaintiffs shall file a second amended complaint on or before 8/4/2010. Defendants shall move, answer, or otherwise respond with respect to the second amended complaint on or before 9/17/2010. In the event that Defendants move to dismiss the second amended complaint, Plaintiffs shall serve their opposition papers on or before 10/18/2010 and Defendants shall serve their reply papers on or before 11/2/2010. If the Court dismisses the second amended complaint, such dismissal will be with prejudice. (Signed by Judge John G. Koeltl on 7/20/2010) (tro) (Entered: 07/20/2010)

08/04/2010

32 SECOND CONSOLIDATED AMENDED COMPLAINT amending 25 Amended Complaint against Jordan W. Clements, R. Steve Creamer, Credit Suisse Securities (USA) LLC, E. Gail De Planque, ENV Holdings, EnergySolutions, Inc., Jean I. Everest, II, Alan E. Goldberg, Lance L. Hirt, J.P. Morgan Securities Inc., Robert D. Lindsay, Mark C. McBride, Morgan Stanley & Co. Incorporated, Robert J.S. Roriston, Philip O. Strawbridge, Andrew S. Weinberg, David B. Winder with JURY

DEMAND.Document filed by City of Roseville Employees' Retirement System(on behalf of itself), Building Trades United Pension Trust Fund(on behalf of all others similarly situated), Building Trades United Pension Trust Fund(on behalf of itself), New England Carpenters Guaranteed Annuity and Pension Funds, City of Roseville Employees' Retirement System(On behalf of all others similarly situated). Related document: 25 Amended Complaint filed by Building Trades United Pension Trust Fund, City of Roseville Employees' Retirement System, New England Carpenters Guaranteed Annuity and Pension Funds. (Received in the night deposit box on 8/4/10 at 9:33pm)(mro) (Entered: 08/06/2010)

09/16/2010 33 ENDORSED LETTER addressed to counsel for defendant from Jonathan K. Youngwood dated 9/14/10 re: defendants EnergySolutions Inc., ENV Holdings, LLC, R Steve Creamer, Philip O. Strawbridge, Jean L Everest, II, Mark C. McBride, Alan E. Goldberg, Jordan W. Clements, Lance L. Hirt, Robert D. Lindsay, E. Gail De Planque, Robert J.S. Roriston, Andrew S. Weinberg and David B. Winder write concerning our anticipated motion to dismiss the Second Consolidated Amended Complaint, scheduled to be filed on Friday, September 17, 2010, and which we will file on behalf of all defendants in the action. We respectfully request permission to file a brief of 45 pages in length, which represents a 20-page extension beyond the usual 25 pages permitted by Your Honor's Individual Practices. ENDORSEMENT: Application granted. However, counsel should assure that the 45 page limit is not circumvented by the lack of reasonable margins, excessive footnotes, reduced font size, etc. (Signed by Judge John G. Koeltl on 9/15/10) (pl) Modified on 9/29/2010 (pl). (Entered: 09/16/2010)

09/17/2010 34 JOINT MOTION to Dismiss the Second Consolidated Amended Complaint . Document filed by Jordan W. Clements, R. Steve Creamer, Credit Suisse Securities (USA) LLC, E. Gail De Planque, ENV Holdings, EnergySolutions, Inc., Jean I. Everest, II, Alan E. Goldberg, Lance L. Hirt, J.P. Morgan Securities Inc., Robert D. Lindsay, Mark C. McBride, Morgan Stanley & Co. Incorporated, Robert J.S. Roriston, Philip O. Strawbridge, Andrew S. Weinberg, David B. Winder.(Youngwood, Jonathan) (Entered: 09/17/2010)

09/17/2010 35 JOINT MEMORANDUM OF LAW in Support re: 34 JOINT MOTION to Dismiss the Second Consolidated Amended Complaint .. Document filed by Jordan W. Clements, R. Steve Creamer, Credit Suisse Securities (USA) LLC, E. Gail De Planque, ENV Holdings, EnergySolutions, Inc., Jean I. Everest, II, Alan E. Goldberg, Lance L. Hirt, J.P. Morgan Securities Inc., Robert D. Lindsay, Mark C. McBride, Morgan Stanley & Co. Incorporated, Robert J.S. Roriston, Philip O. Strawbridge, Andrew S. Weinberg, David B. Winder. (Youngwood, Jonathan) (Entered: 09/17/2010)

09/17/2010 36 DECLARATION of Jonathan K. Youngwood in Support re: 34 JOINT MOTION to Dismiss the Second Consolidated Amended Complaint .. Document filed by Jordan W. Clements, R. Steve Creamer, E. Gail De Planque, ENV Holdings, EnergySolutions, Inc., Jean I. Everest, II, Alan E. Goldberg, Lance L. Hirt, Robert D. Lindsay, Mark C. McBride, Robert J.S. Roriston, Philip O. Strawbridge, Andrew S. Weinberg, David B. Winder. (Attachments: # 1 Exhibit A (Part 1 of 2), # 2 Exhibit A (Part 2 of 2), # 3 Exhibit B (Part 1 of 2), # 4 Exhibit B (Part 2 of 2), # 5 Exhibit C, # 6 Exhibit D-N, # 7 Exhibit O (Part 1 of 2), # 8 Exhibit O (Part 2 of 2), # 9 Exhibit P, # 10 Exhibit Q-Z, # 11 Exhibit AA)(Youngwood, Jonathan) (Entered: 09/17/2010)

10/15/2010

10/22/2010

37 SCHEDULING STIPULATION AND ORDER NO.4: 1. Plaintiffs shall serve opposition papers to Defendants' motion to dismiss the Second Amended Complaint on or before November 2, 2010. 2. Defendants shall serve their reply papers on or before December 3, 2010. 3. If the Court dismisses the Second Amended Complaint, such dismissal will be with prejudice. 4. This stipulation may be signed in counterparts. (Signed by Judge John G. Koeltl on 10/14/10) (db) (Entered: 10/15/2010)

38 SCHEDULING STIPULATION AND ORDER NO. 4: Plaintiffs shall serve opposition papers to Defendants' motion to dismiss the Second Amended Complaint by November 2, 2010. Defendants shall serve their reply papers by December 3, 2010. If the Court dismisses the Second Amended Complaint, such a dismissal will be with prejudice. (Signed by Judge John G. Koeltl on 10/21/2010) (jpo) (Entered: 10/22/2010)

11/02/2010 39 MEMORANDUM OF LAW in Opposition re: 34 JOINT MOTION to Dismiss the Second Consolidated Amended Complaint .. Document filed by Building Trades United Pension Trust Fund(on behalf of itself), City of Roseville Employees' Retirement System(On behalf of all others similarly situated), New England Carpenters Guaranteed Annuity and Pension Funds. (Rudman, Samuel) (Entered: 11/02/2010)

12/01/2010

12/03/2010

12/10/2010

40 SCHEDULING STIPULATION AND ORDER NO. 5. IT IS HEREBY STIPULATED AND AGREED, by and between the undersigned counsel on behalf of Plaintiffs and Defendants in the above-captioned actions, subject to the approval of the Court, as follows: 1. Defendants shall serve their reply papers on or before December 10, 2010. 2. Defendants' reply papers shall not exceed 15 pages, representing a 5-page extension beyond the usual 10 pages permitted by the Court's Individual Practices. 3. If the Court dismisses the Second Amended Complaint, such dismissal will be with prejudice. 4. This stipulation may be signed in counterparts. (Signed by Judge John G. Koeltl on 12/1/10); (djc) (Entered: 12/01/2010)

41 SCHEDULING STIPULATION AND ORDER NO.5, by and between the undersigned counsel on behalf of Plaintiffs and Defendants in the above-captioned actions, subject to the approval of the Court, as follows: Defendants shall serve their reply papers on or before December 10, 2010. Defendants' reply papers shall not exceed 15 pages, representing a 5-page extension beyond the usual 10 pages permitted by the Court's Individual Practices. If the Court dismisses the Second Amended Complaint, such dismissal will be with prejudice. This stipulation may be signed in counterparts. SO ORDERED. (Signed by Judge John G. Koeltl on 12/2/2010) (jmi) (Entered: 12/03/2010)

42 JOINT REPLY MEMORANDUM OF LAW in Support re: 34 JOINT MOTION to Dismiss the Second Consolidated Amended Complaint .. Document filed by Jordan W. Clements, R. Steve Creamer, Credit Suisse Securities (USA) LLC, E. Gail De Planque, ENV Holdings, EnergySolutions, Inc., Jean I. Everest, II, Alan E. Goldberg, Lance L. Hirt, J.P. Morgan Securities Inc., Robert D. Lindsay, Mark C. McBride, Morgan Stanley & Co. Incorporated, Robert J.S. Roriston, Philip O. Strawbridge, Andrew S. Weinberg, David B. Winder. (Angiolillo, Bruce) (Entered: 12/10/2010)

02/07/2011

43 ORDER. The joint motion to dismiss the Consolidated Amended Complaint was mooted by the stipulation and order filed on September 20, 2010, allowing the filing of

the Second Consolidated Amended Complaint. Accordingly, the Clerk is directed to close Docket No. 28. terminating 28 Motion to Dismiss. (Signed by Judge John G. Koeltl on 2/5/2011) (rjm) (Entered: 02/07/2011)

06/02/2011

06/16/2011

44 NOTICE OF ORAL ARGUMENT: You are directed to appear for oral argument on the pending motion(s), to be held on Thursday, June 16, 2011 at 10:00am in Courtroom 12B, in front of the Honorable John G. Koeltl. All requests for adjournments must be made in writing to the Court. For any further information, please contact the Court at (212) 805-0107. Oral Argument set for 6/16/2011 at 10:00 AM in Courtroom 12B, 500 Pearl Street, New York, NY 10007 before Judge John G. Koeltl. (lnl) (Entered: 06/02/2011)

Minute Entry for proceedings held before Judge John G. Koeltl: Oral Argument held on 6/16/2011 re: 34 JOINT MOTION to Dismiss the Second Consolidated Amended Complaint . filed by David B. Winder, Philip O. Strawbridge, Robert J.S. Roriston, E. Gail De Planque, Robert D. Lindsay, Lance L. Hirt, Credit Suisse Securities (USA) LLC, Mark C. McBride, ENV Holdings, Jean I. Everest, II, EnergySolutions, Inc., Morgan Stanley & Co. Incorporated, Jordan W. Clements, R. Steve Creamer, Andrew S. Weinberg, Alan E. Goldberg, J.P. Morgan Securities Inc.. (jfe) (Entered: 03/20/2012)

07/06/2011 45

07/06/2011 46

TRANSCRIPT of Proceedings re: argument held on 6/16/2011 before Judge John G. Koeltl. Court Reporter/Transcriber: Linda Fisher, (212) 805-0300. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 8/1/2011. Redacted Transcript Deadline set for 8/11/2011. Release of Transcript Restriction set for 10/7/2011.(McGuirk, Kelly) (Entered: 07/06/2011)

NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a argument proceeding held on 6/16/11 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: 07/06/2011)

08/02/2011 47 ORDER the parties are directed to submit letter briefs of no more than 5 pages addressing the impact of Janus Capital v First Derivative, 131 S. Ct. 2296(2011), on the plaintiffs' section 10(b) claim against ENV Holdings. Letters are due 8/5/11. Reply letters will not be necessary unless directed by the Court. (Signed by Judge John G. Koeltl on 8/2/11) (cd) (Entered: 08/02/2011)

08/09/2011 48 ENDORSED LETTER addressed to Judge John G. Koeltl from Bruce D. Angiolillo dated 8/8/2011 re: Counsel for the Defendant writes to advise the Court that the parties have conferred regarding the status of the case and Defendants do not wish to withdraw their motion to dismiss. ENDORSEMENT: APPLICATION GRANTED. (Signed by Judge John G. Koeltl on 8/9/2011) (ab) (Entered: 08/09/2011)

09/30/2011 49 OPINION AND ORDER:#100861 For the foregoing reasons, the Court: (a) dismisses defendant de Planque from the suit; (b) dismisses the section 10(b) and Rule 10b-5 claim against defendants McBride and Winder; (c) dismisses the section 10(b) and

Rule 10b-5 claim against defendant Roriston to the extent that it alleges misrepresentations in the November 2007 Registration Statement; (d) dismisses all claims to the extent that they allege misrepresentations or omissions related to the state of the Zion Project or failures to disclose general macroeconomic conditions; (e) dismisses the section 11 and 12(a) (2) claim to the extent that it alleges failures to make disclosures required by Item 303; (f) denies the defendants' motion in all other respects. The Clerk is directed to close Docket No. 34. Re: 34 JOINT MOTION to Dismiss the Second Consolidated Amended Complaint filed by David B. Winder, Philip O. Strawbridge, Robert J.S. Roriston, E. Gail De Planque, Robert D. Lindsay, Lance L. Hirt, Credit Suisse Securities (USA) LLC, Mark C. McBride, ENV Holdings, Jean I. Everest, II, EnergySolutions, Inc., Morgan Stanley & Co. Incorporated, Jordan W. Clements, R. Steve Creamer, Andrew S. Weinberg, Alan E. Goldberg, J.P. Morgan Securities Inc. (Signed by Judge John G. Koeltl on 9/30/11) (rjm) Modified on 10/5/2011 (jab). (Entered: 10/03/2011)

10/19/2011 50 STIPULATION AND ORDER: The time for Defendants to respond to the Second Amended Complaint in the action is extended to 11/14/2011. (Signed by Judge John G. Koeltl on 10/18/2011) (ab) (Entered: 10/19/2011)

11/16/2011 51 STIPULATION AND ORDER, Jordan W. Clements answer due 11/21/2011; R. Steve Creamer answer due 11/21/2011; Credit Suisse Securities (USA) LLC answer due 11/21/2011; E. Gail De Planque answer due 11/21/2011; ENV Holdings answer due 11/21/2011; EnergySolutions, Inc. answer due 11/21/2011; Jean I. Everest, II answer due 11/21/2011; Alan E. Goldberg answer due 11/21/2011; Lance L. Hirt answer due 11/21/2011; J.P. Morgan Securities Inc. answer due 11/21/2011; Robert D. Lindsay answer due 11/21/2011; Mark C. McBride answer due 11/21/2011; Morgan Stanley & Co. Incorporated answer due 11/21/2011; Robert J.S. Roriston answer due 11/21/2011; Philip O. Strawbridge answer due 11/21/2011; Andrew S. Weinberg answer due 11/21/2011; David B. Winder answer due 11/21/2011. (Signed by Judge Robert W. Sweet on 11/15/2011) (cd) (Entered: 11/16/2011)

11/17/2011 52 ORDER: On October 28, 2011, the Court's mother died. The Court is a co-executor and one-half beneficiary of the substantial part of the estate which includes stock in JPMorgan Chase (the "Company"). The Court notes that the Court would not receive any of the stock until the assets of the estate were actually distributed, which takes some time. However, the presence of the stock in the estate creates a current conflict and the Court will therefore not take any further action in this case until the conflict is resolved, as further set forth in this order. (Signed by Judge John G. Koeltl on 11/17/2011) (lmb) (Entered: 11/17/2011)

11/21/2011 53 ANSWER to 32 Amended Complaint,,,,. Document filed by Credit Suisse Securities (USA) LLC, J.P. Morgan Securities Inc., Morgan Stanley & Co. Incorporated.(Hakki, Adam) (Entered: 11/21/2011)

11/21/2011 54 ANSWER to 32 Amended Complaint,,,, with JURY DEMAND. Document filed by Jordan W. Clements, R. Steve Creamer, E. Gail De Planque, ENV Holdings, EnergySolutions, Inc., Jean I. Everest, II, Alan E. Goldberg, Lance L. Hirt, Robert D. Lindsay, Mark C. McBride, Robert J.S. Roriston, Philip O. Strawbridge, Andrew S. Weinberg, David B. Winder.(Angiolillo, Bruce) (Entered: 11/21/2011)

12/07/2011 55 ORDER: The estate of the Court's deceased mother has now sold all shares of JPMorgan Chase stock. The Court is therefore no longer disqualified from taking any

action in this case. The Court very much appreciates the patience of the parties during the time that the Court was temporarily recused in this case. The Court also appreciates the equal condolences of all of the lawyers in this case. (Signed by Judge John G. Koeltl on 12/6/2011) (ft) (Entered: 12/07/2011)

01/27/2012 56 RULE 26(f) DISCOVERY PLAN REPORT.Document filed by Building Trades United Pension Trust Fund(on behalf of itself), City of Roseville Employees' Retirement System(on behalf of itself), Jordan W. Clements, R. Steve Creamer, Credit Suisse Securities (USA) LLC, E. Gail De Planque, ENV Holdings, EnergySolutions, Inc., Jean I. Everest, II, Alan E. Goldberg, Lance L. Hirt, J.P. Morgan Securities Inc., Robert D. Lindsay, Mark C. McBride, Morgan Stanley & Co. Incorporated, New England Carpenters Guaranteed Annuity and Pension Funds, Robert J.S. Roriston, Philip O. Strawbridge, Andrew S. Weinberg, David B. Winder. (Attachments: # 1 Exhibit A)(Kaufman, Evan) (Entered: 01/27/2012)

01/30/2012 57 NOTICE OF APPEARANCE by Andrea Yoon Lee on behalf of Building Trades United Pension Trust Fund(on behalf of itself), City of Roseville Employees' Retirement System(on behalf of itself), New England Carpenters Guaranteed Annuity and Pension Funds (Lee, Andrea) (Entered: 01/30/2012)

02/07/2012 58 NOTICE OF APPEARANCE by Evan I. Cohen on behalf of Jordan W. Clements, R. Steve Creamer, E. Gail De Planque, ENV Holdings, EnergySolutions, Inc., Jean I. Everest, II, Alan E. Goldberg, Lance L. Hirt, Robert D. Lindsay, Mark C. McBride, Robert J.S. Roriston, Philip O. Strawbridge, Andrew S. Weinberg, David B. Winder (Cohen, Evan) (Entered: 02/07/2012)

02/07/2012 59 NOTICE OF APPEARANCE by Richard Franklin Schwed on behalf of Credit Suisse Securities (USA) LLC, J.P. Morgan Securities Inc., Morgan Stanley & Co. Incorporated (Schwed, Richard) (Entered: 02/07/2012)

02/10/2012 60 SCHEDULING ORDER: Any motions to amend the pleadings or to join additional parties shall be served and filed no later than November 14, 2012. Plaintiffs shall serve and file their motion for class certification no later than February 11, 2012. Defendants shall serve and file any opposition to Plaintiffs' motion for class certification no later than April 17, 2012. Plaintiffs shall serve and file reply briefs on class certification no later than June 18, 2012. All fact discovery shall be completed by December 14, 2012. Expert depositions shall be completed by June 4, 2013. Dispositive motions, if any, shall be served and filed no later than July 16, 2013. Opposition briefs to any dispositive motions shall be served and filed no later than September 26, 2013. Reply briefs on dispositive motions shall be served and filed no later than October 28, 2013. The parties' joint pretrial order shall be filed no later than 30 days following a ruling on any dispositive motion. (Signed by Judge John G. Koeltl on 2/9/2012) (mro) (Entered: 02/10/2012)

02/10/2012 61 RULE 26 DISCLOSURE.Document filed by Jordan W. Clements, R. Steve Creamer, ENV Holdings, EnergySolutions, Inc., Jean I. Everest, II, Alan E. Goldberg, Lance L. Hirt, Robert D. Lindsay, Mark C. McBride, Robert J.S. Roriston, Philip O. Strawbridge, Andrew S. Weinberg, David B. Winder. (Attachments: # 1 Exhibit A, # 2 Exhibit B)(Angiolillo, Bruce) (Entered: 02/10/2012)

02/17/2012 62 MOTION to Certify Class. Document filed by Building Trades United Pension Trust Fund(on behalf of itself), City of Roseville Employees' Retirement System(On behalf

of all others similarly situated), New England Carpenters Guaranteed Annuity and Pension Funds. (Attachments: # 1 Exhibit A)(Kaufman, Evan) (Entered: 02/17/2012)

02/17/2012 63 MEMORANDUM OF LAW in Support re: 62 MOTION to Certify Class.. Document filed by Building Trades United Pension Trust Fund(on behalf of itself), City of Roseville Employees' Retirement System(On behalf of all others similarly situated), New England Carpenters Guaranteed Annuity and Pension Funds. (Kaufman, Evan) (Entered: 02/17/2012)

02/17/2012 64 DECLARATION of Evan J. Kaufman in Support re: 62 MOTION to Certify Class.. Document filed by Building Trades United Pension Trust Fund(on behalf of all others similarly situated), City of Roseville Employees' Retirement System(On behalf of all others similarly situated), New England Carpenters Guaranteed Annuity and Pension Funds. (Attachments: # 1 Exhibit A, # 2 Exhibit B)(Kaufman, Evan) (Entered: 02/17/2012)

02/17/2012 65 DECLARATION of Steven P. Feinstein, Ph.D., CFA in Support re: 62 MOTION to Certify Class.. Document filed by Building Trades United Pension Trust Fund(on behalf of itself), City of Roseville Employees' Retirement System(On behalf of all others similarly situated), New England Carpenters Guaranteed Annuity and Pension Funds. (Kaufman, Evan) (Entered: 02/17/2012)

04/04/2012 66 STIPULATION AND ORDER OF CONFIDENTIALITY... regarding procedures to be followed that shall govern the handling of confidential material... ENDORSEMENT: This Order is not binding on the Court or Court personnel. The Court reserves the right to amend it at any time. So ordered. (Signed by Judge John G. Koeltl on 4/3/2012) (rjm) (Entered: 04/04/2012)

04/04/2012 67 ENDORSED LETTER addressed to Judge John G. Koeltl from Evan J. Kaufman dated 4/04/2012 re: We represent Lead Plaintiffs in the above-referenced matter and write seeking a modification of the briefing schedule for Lead Plaintiffs' motion for class certification. Pursuant to the Scheduling Order entered by the Court on February 13,2012, Lead Plaintiffs filed their motion for class certification on February 17, 2012. Defendants' opposition papers are due on April 17,2012 and Lead Plaintiffs' reply is due on June 18.2012. On March 8. 2012, Defendants served their first set of document requests and interrogatories and on March 20, 2012 noticed The depositions tor each of the Lead Plaintiffs for April 11th, 12th. and 13th.The parties, however, have continued to pursue a mediated resolution of this case and have scheduled another mediation session for May 7, 2012. Accordingly, Lead Plaintiffs respectfully requestan extension of t11e remaining portion of the class certification briefing schedule so that the Lead Plaintiffs' depositions can be scheduled to take place after the mediation. This will permit the patties to focus their efforts on the mediation. Lead Plaintiffs propose the following revised schedule for class certification; Defendants' Opposition to Class Certification due on June 8, 2012; Lead Plaintiffs' Reply due on August 8, 2012.ENDORSEMENT: Application Granted SO ORDERED., ( Responses due by 6/8/2012, Replies due by 8/8/2012.) (Signed by Judge John G. Koeltl on 4/04/2012) (ama) (Entered: 04/04/2012)

04/25/2012 68 NOTICE of Corrected Schedule A to the Certification Filed by Building Trades United Pension Trust Fund re: 6 Declaration in Support of Motion,,,,. Document filed by Building Trades United Pension Trust Fund(on behalf of itself), City of Roseville Employees' Retirement System(On behalf of all others similarly situated), New

England Carpenters Guaranteed Annuity and Pension Funds. (Kaufman, Evan) (Entered: 04/25/2012)

05/29/2012 69 NOTICE OF APPEARANCE by William John Geddish on behalf of Building Trades United Pension Trust Fund(on behalf of itself), City of Roseville Employees' Retirement System(on behalf of itself), New England Carpenters Guaranteed Annuity and Pension Funds (Geddish, William) (Entered: 05/29/2012)

06/08/2012 70 MEMORANDUM OF LAW in Opposition re: 62 MOTION to Certify Class. Underwriter Defendants' Memorandum Joining the Defendants' Opposition to Plaintiffs' Motion for Class Certification Filed Under Seal . Document filed by Credit Suisse Securities (USA) LLC, J.P. Morgan Securities Inc., Morgan Stanley & Co. Incorporated. (Hakki, Adam) (Entered: 06/08/2012)

06/08/2012 71 SEALED DOCUMENT placed in vault.(nm) (Entered: 06/11/2012)

08/08/2012 72 REPLY MEMORANDUM OF LAW in Support re: 62 MOTION to Certify Class.. Document filed by Building Trades United Pension Trust Fund(on behalf of all others similarly situated), City of Roseville Employees' Retirement System(on behalf of itself), New England Carpenters Guaranteed Annuity and Pension Funds. (Kaufman, Evan) (Entered: 08/08/2012)

08/08/2012 73 DECLARATION of Evan J. Kaufman in Support re: 62 MOTION to Certify Class.. Document filed by Building Trades United Pension Trust Fund(on behalf of itself), City of Roseville Employees' Retirement System(on behalf of itself), New England Carpenters Guaranteed Annuity and Pension Funds. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D, # 5 Exhibit E, # 6 Exhibit F)(Kaufman, Evan) (Entered: 08/08/2012)

08/10/2012

74

SEALED DOCUMENT placed in vault.(mps) (Entered: 08/10/2012)

08/22/2012 75 NOTICE OF ORAL ARGUMENT: You are directed to appear for oral argument on the pending motion(s), to be held on Tuesday, September 18, 2012 at 2:30 pm in Courtroom 12B, in front of the Honorable John G. Koeltl. Oral Argument set for 9/18/2012 at 02:30 PM in Courtroom 12B, 500 Pearl Street, New York, NY 10007 before Judge John G. Koeltl. (js) (Entered: 08/22/2012)

09/05/2012 76 ENDORSED LETTER addressed to Judge John G. Koeltl from Evan J. Kaufman dated 9/04/2012 re: We represent lead plaintiffs ("Plaintiffs") in the above-referenced action. On August 22, 2012, the Court scheduled a hearing for Plaintiffs' Motion tor Class Certification tor Tuesday, September 18, 2012 at 2:30 p.m., which is during Rosh Hashanah. As observers of the Rosh Hashanah holiday, counsel for Plaintiffs respectfully request that the hearing be rescheduled until after the holiday. ENDORSEMENT: Adjourned for Friday September 28, 2012 at 11:00 a.m. SO ORDERED. ( Oral Argument set for 9/28/2012 at 11:00 AM before Judge John G. Koeltl.) (Signed by Judge John G. Koeltl on 9/05/2012) (ama) (Entered: 09/05/2012)

09/17/2012

77 ORDER: The parties are ordered to produce copies of the Monitoring Agreements between Robbins Geller and the lead plaintiffs and explain whether the agreements are like the agreement approved of by Judge Rakoff in City of Pontiac Gen. Emps.' Ret. Sys. v. Lockheed Martin Corp., 844 F. Supp. 2d 498 (S.D.N.Y. 2012). The parties should have these documents submitted to the Court by 9:00 am Wednesday, September 19, 2012. (Signed by Judge John G. Koeltl on 9/15/2012) (ago) (Entered:

09/17/2012)

09/20/2012 78 ORDER: The Court has received the monitoring agreements from the plaintiffs. The monitoring agreements shall be filed under seal. The plaintiffs should provide the monitoring agreements to opposing counsel so that opposing counsel can express their view as to whether the agreements are like the agreement approved of by Judge Rakoff in City of Pontiac Gen. Emps.' Ret. Sys. v. Lockheed Martin Corp., 844 F. Supp. 2d 498 (S.D.N.Y. 2012). There is plainly a need that overcomes any work product protection. (Signed by Judge John G. Koeltl on 9/19/2012) (mro) (Entered: 09/20/2012)

09/24/2012 79 SEALED DOCUMENT placed in vault.(nm) (Entered: 09/24/2012)

09/25/2012 80 ORDER. As stated at today's conference, the hearing on the plaintiff's motion for class certification is adjourned to Friday, October 12, 2012, at 2:30 p.m. (Oral Argument set for 10/12/2012 at 02:30 PM before Judge John G. Koeltl.) (Signed by Judge John G. Koeltl on 9/25/2012) (rjm) (Entered: 09/25/2012)

09/25/2012

10/12/2012

Minute Entry for proceedings held before Judge John G. Koeltl: Telephone Conference held on 9/25/2012. (pl) (Entered: 10/11/2012)

81 ENDORSED LETTER addressed to Judge John G. Koeltl from Evan J. Kaufman dated 10/12/2012 re: We respectfully request that the hearing on Plaintiff's Motion for Class Certification, scheduled for today at 2:30pm, be adjourned. ENDORSEMENT: Argument canceled. Proposed settlement should be submitted no later than October 26, 2012. (Signed by Judge John G. Koeltl on 10/12/2012) (lmb) (Entered: 10/12/2012)

10/19/2012 82 ENDORSED LETTER addressed to Judge John G. Koeltl from Evan J. Kaufman dated 10/19/2012 re: Counsel requests an extension of time to November 19, 2012 for leave to file motion seeking preliminary approval of the settlement. ENDORSEMENT: APPLICATION GRANTED. SO ORDERED. ( Motions due by 11/19/2012.)(Signed by Judge John G. Koeltl on 10/19/2012) (djc) (Entered: 10/19/2012)

11/19/2012

11/19/2012

83 MOTION for Settlement Notice of Motion and Lead Plaintiffs' Unopposed Motion for Preliminary Approval of Settlement . Document filed by Building Trades United Pension Trust Fund(on behalf of all others similarly situated), City of Roseville Employees' Retirement System(on behalf of itself), New England Carpenters Guaranteed Annuity and Pension Funds.(Kaufman, Evan) (Entered: 11/19/2012)

84 FILING ERROR - WRONG EVENT TYPE SELECTED FROM MENU - MOTION for Settlement Lead Plaintiffs' Memorandum of Law in Support of Unopposed Motion for Preliminary Approval of Settlement . Document filed by Building Trades United Pension Trust Fund(on behalf of all others similarly situated), City of Roseville Employees' Retirement System(on behalf of itself), New England Carpenters Guaranteed Annuity and Pension Funds.(Kaufman, Evan) Modified on 11/20/2012 (db). (Entered: 11/19/2012)

11/19/2012 85 SETTLEMENT AGREEMENT. Document filed by Building Trades United Pension Trust Fund(on behalf of all others similarly situated), City of Roseville Employees' Retirement System(on behalf of itself), New England Carpenters Guaranteed Annuity and Pension Funds. (Attachments: # 1 Exhibit, # 2 Exhibit, # 3 Exhibit, # 4 Exhibit, #

5 Exhibit)(Kaufman, Evan) (Entered: 11/19/2012)

11/20/2012

11/20/2012

11/27/2012

11/29/2012

11/30/2012

12/04/2012

12/04/2012

***NOTE TO ATTORNEY TO RE-FILE DOCUMENT - EVENT TYPE ERROR. Note to Attorney Evan Jay Kaufman to RE-FILE Document 84 MOTION for Settlement Lead Plaintiffs' Memorandum of Law in Support of Unopposed Motion for Preliminary Approval of Settlement . Use the event type Memorandum in Support of Motion found under the event list Replies, Opposition and Supporting Documents. (db) (Entered: 11/20/2012)

86 MEMORANDUM OF LAW in Support re: 83 MOTION for Settlement Notice of Motion and Lead Plaintiffs' Unopposed Motion for Preliminary Approval of Settlement .. Document filed by Building Trades United Pension Trust Fund(on behalf of all others similarly situated), City of Roseville Employees' Retirement System(on behalf of itself), New England Carpenters Guaranteed Annuity and Pension Funds. (Kaufman, Evan) (Entered: 11/20/2012)

87 NOTICE OF COURT CONFERENCE: You are directed to appear for a pretrial conference, to be held on Thursday, November 29,2012 in Courtroom l2B, at 3:30pm in front of the Honorable John G. Koeltl. All requests for adjournments must be made in writing to the Court. For any further information, please contact the Court at (212) 805-0107. (Pretrial Conference set for 11/29/2012 at 03:30 PM in Courtroom 12B, 500 Pearl Street, New York, NY 10007 before Judge John G. Koeltl). (pl) (Entered: 11/27/2012)

94 Minute Order Proceedings held before Judge John G. Koeltl: Interim Pretrial Conference held on 11/29/2012. (ft) (Entered: 12/06/2012)

88 SETTLEMENT AGREEMENT Revised Settlement Agreement . Document filed by Building Trades United Pension Trust Fund(on behalf of all others similarly situated), City of Roseville Employees' Retirement System(on behalf of itself), New England Carpenters Guaranteed Annuity and Pension Funds. (Attachments: # 1 Exhibit A, # 2 Exhibit A-1, # 3 Exhibit A-2, # 4 Exhibit A-3, # 5 Exhibit B)(Kaufman, Evan) (Entered: 11/30/2012)

89 NOTICE OF CHANGE OF ADDRESS by Andrea Yoon Lee on behalf of Building Trades United Pension Trust Fund(on behalf of itself), City of Roseville Employees' Retirement System(on behalf of itself), New England Carpenters Guaranteed Annuity and Pension Funds. New Address: Robbins Geller Rudman & Dowd LLP, 58 South Service Road, Suite 200, Melville, New York, USA 11747, 6313677100. (Lee, Andrea) (Entered: 12/04/2012)

90 NOTICE OF CHANGE OF ADDRESS by William John Geddish on behalf of Building Trades United Pension Trust Fund(on behalf of all others similarly situated), City of Roseville Employees' Retirement System(on behalf of itself), New England Carpenters Guaranteed Annuity and Pension Funds. New Address: Robbins Geller Rudman & Dowd LLP, 58 South Service Road, Suite 200, Melville, New York, USA 11747, 6313677100. (Geddish, William) (Entered: 12/04/2012)

12/04/2012 91 ORDER PRELIMINARILY APPROVING SETTLEMENT AND PROVIDING FOR NOTICE: granting 83 Motion for Settlement. IT IS HEREBY ORDERED: 1. The Court does hereby preliminarily approve the Revised Settlement Agreement and the Settlement set forth therein, subject to further consideration at the Settlement Hearing described below. 2. A hearing (the "Settlement Hearing") shall be held before this

Court on March 15, 2013, at 2:30 p.m., at the Daniel Patrick Moynihan United States Courthouse, Courtroom 1213, 500 Pearl Street, New York, New York, to determine whether the proposed Settlement of the Action on the terms and conditions provided for in the Revised Settlement Agreement is fair, reasonable, and adequate to the Class and should be approved by the Court; whether a Judgment as provided in paragraph 1.11 of the Revised Settlement Agreement should be entered; whether the proposed Plan of Distribution should be approved; and to determine any amount of fees and expenses that should be awarded to Lead Counsel and to Lead Plaintiffs for their service to the Class; to hear any objections by Class Members to the Revised Settlement Agreement or Plan of Distribution or any award of fees and expenses to the Lead Counsel and to the Lead Plaintiffs; and to consider such other matters as the Court may deem appropriate as further set forth in this order. 4. For purposes of settlement only, the Court finds that the prerequisites for a classaction under Rules 23(a) and (b)(3) of the Federal Rules of Civil Procedure have been satisfied in that: (a) the members of the Class are so numerous that joinder of all Class Members in the class action is impracticable; (b) there are questions of law and fact common to the Class that predominate over any individual question; (c) the claims of the Lead Plaintiffs are typical of the claims of the Class; (d) Lead Plaintiffs and their counsel have fairly and adequately represented and protected the interests of Class Members; and (e) a class action is superior to other available methods for the fair and efficient adjudication of the controversy as further set forth in this order. 15. All papers in support of the Settlement, Plan of Distribution, and any application by Plaintiffs' Counsel or Lead Plaintiffs for attorneys' fees and expenses shall be filed and served no later than [a date approximately 35 days after the Notice Date] January 18, 2013 and any reply papers shall be filed and served no later than [a date approximately 14 days prior to the Settlement Hearing] March 1, 2013 as further set forth in this order. 20. All proceedings in the Action are stayed until further order of this Court, except as may be necessary to implement the Settlement or comply with the terms of the Stipulation as further set forth in this order. (Signed by Judge John G. Koeltl on 12/3/2012) (lmb) (Entered: 12/04/2012)

12/04/2012 Set/Reset Hearings:( Settlement Hearing set for 3/15/2013 at 02:30 PM in Courtroom 1213, 500 Pearl Street, New York, NY 10007 before Judge John G. Koeltl.), Set/Reset Deadlines: ( Motions due by 1/18/2013., Replies due by 3/1/2013.) (lmb) (Entered: 12/04/2012)

12/05/2012 92 TRANSCRIPT of Proceedings re: SETTLEMENT held on 11/29/2012 before Judge John G. Koeltl. Court Reporter/Transcriber: Pamela Utter, (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 1/2/2013. Redacted Transcript Deadline set for 1/10/2013. Release of Transcript Restriction set for 3/8/2013.Filed In Associated Cases: 1:09-cv-08633-JGK, 1:09-cv-08648- JGK(Rodriguez, Somari) (Entered: 12/05/2012)

12/05/2012 93 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a SETTLEMENT proceeding held on 11/29/2012 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days...Filed In

Associated Cases: 1:09-cv-08633-JGK, 1:09-cv-08648-JGK(Rodriguez, Somari) (Entered: 12/05/2012)

12/17/2012 95 MOTION for Cody R. LeJeune to Appear Pro Hac Vice. Filing fee $ 200.00, receipt number 0208-8071775. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Building Trades United Pension Trust Fund(on behalf of all others similarly situated), City of Roseville Employees' Retirement System(on behalf of itself), New England Carpenters Guaranteed Annuity and Pension Funds. (Attachments: # 1 Certificate of Good Standing, # 2 Text of Proposed Order for

- Admission Pro Hac Vice)(Lejeune, Cody) (Entered: 12/17/2012)

12/18/2012 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. 95 MOTION for Cody R. LeJeune to Appear Pro Hac Vice. Filing fee $ 200.00, receipt number 0208-8071775. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (pgu) (Entered: 12/18/2012)

12/19/2012 96 ORDER FOR ADMISSION PRO HAC VICE granting (95) Motion for Cody R. LeJeune to Appear Pro Hac Vice in case 1:09-cv-08633-JGK; granting Motion for Cody R. LeJeune to Appear Pro Hac Vice in case 1:09-cv-08648-JGK. (Signed by Judge John G. Koeltl on 12/18/2012) Filed In Associated Cases: 1:09-cv-08633-JGK, 1:09-cv-08648-JGK(ja) (Entered: 12/19/2012)

01/18/2013 97 MOTION for Settlement (Final Approval) and Plan of Distribution of Settlement Proceeds., MOTION for Attorney Fees and Expenses and Lead Plaintiffs' Expenses . Document filed by Building Trades United Pension Trust Fund(on behalf of all others similarly situated), City of Roseville Employees' Retirement System(on behalf of itself), New England Carpenters Guaranteed Annuity and Pension Funds.(Kaufman, Evan) (Entered: 01/18/2013)

01/18/2013 98 MEMORANDUM OF LAW in Support re: 97 MOTION for Settlement (Final Approval) and Plan of Distribution of Settlement Proceeds . MOTION for Attorney Fees and Expenses and Lead Plaintiffs' Expenses . MOTION for Settlement (Final Approval) and Plan of Distribution of Settlement Proceeds . [SETTLEMENT BRIEF] . Document filed by Building Trades United Pension Trust Fund(on behalf of all others similarly situated), City of Roseville Employees' Retirement System(on behalf of itself), New England Carpenters Guaranteed Annuity and Pension Funds. (Kaufman, Evan) (Entered: 01/18/2013)

01/18/2013 99 MEMORANDUM OF LAW in Support re: 97 MOTION for Settlement (Final Approval) and Plan of Distribution of Settlement Proceeds . MOTION for Attorney Fees and Expenses and Lead Plaintiffs' Expenses . MOTION for Settlement (Final Approval) and Plan of Distribution of Settlement Proceeds . [FEE BRIEF]. Document filed by Building Trades United Pension Trust Fund(on behalf of all others similarly situated), City of Roseville Employees' Retirement System(on behalf of itself), New England Carpenters Guaranteed Annuity and Pension Funds. (Kaufman, Evan) (Entered: 01/18/2013)

01/18/2013 100 NOTICE of Compendium of Unreported Authorities re: 99 Memorandum of Law in Support of Motion,,. Document filed by Building Trades United Pension Trust Fund(on behalf of all others similarly situated), City of Roseville Employees' Retirement System(on behalf of itself), New England Carpenters Guaranteed Annuity

01/18/2013 101

01/18/2013 102

01/18/2013 103

and Pension Funds. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3, # 4 Exhibit 4, # 5 Exhibit 5, # 6 Exhibit 6, # 7 Exhibit 7, # 8 Exhibit 8, # 9 Exhibit 9)(Kaufman, Evan) (Entered: 01/18/2013)

DECLARATION of Evan J. Kaufman in Support re: 97 MOTION for Settlement (Final Approval) and Plan of Distribution of Settlement Proceeds . MOTION for Attorney Fees and Expenses and Lead Plaintiffs' Expenses . MOTION for Settlement (Final Approval) and Plan of Distribution of Settlement Proceeds .. Document filed by Building Trades United Pension Trust Fund(on behalf of all others similarly situated), City of Roseville Employees' Retirement System(on behalf of itself), New England Carpenters Guaranteed Annuity and Pension Funds. (Kaufman, Evan) (Entered: 01/18/2013)

DECLARATION of Bjorn I. Steinholt, CFA in Support re: 97 MOTION for Settlement (Final Approval) and Plan of Distribution of Settlement Proceeds . MOTION for Attorney Fees and Expenses and Lead Plaintiffs' Expenses . MOTION for Settlement (Final Approval) and Plan of Distribution of Settlement Proceeds .. Document filed by Building Trades United Pension Trust Fund(on behalf of all others similarly situated), City of Roseville Employees' Retirement System(on behalf of itself), New England Carpenters Guaranteed Annuity and Pension Funds. (Attachments: # 1 Exhibit A)(Kaufman, Evan) (Entered: 01/18/2013)

DECLARATION of Marlyn J. Spear in Support re: 97 MOTION for Settlement (Final Approval) and Plan of Distribution of Settlement Proceeds . MOTION for Attorney Fees and Expenses and Lead Plaintiffs' Expenses . MOTION for Settlement (Final Approval) and Plan of Distribution of Settlement Proceeds .. Document filed by Building Trades United Pension Trust Fund(on behalf of all others similarly situated), City of Roseville Employees' Retirement System(on behalf of itself), New England Carpenters Guaranteed Annuity and Pension Funds. (Kaufman, Evan) (Entered: 01/18/2013)

01/18/2013 104 DECLARATION of Michael F. Bronson in Support re: 97 MOTION for Settlement (Final Approval) and Plan of Distribution of Settlement Proceeds . MOTION for Attorney Fees and Expenses and Lead Plaintiffs' Expenses . MOTION for Settlement (Final Approval) and Plan of Distribution of Settlement Proceeds .. Document filed by Building Trades United Pension Trust Fund(on behalf of all others similarly situated), City of Roseville Employees' Retirement System(on behalf of itself), New England Carpenters Guaranteed Annuity and Pension Funds. (Kaufman, Evan) (Entered: 01/18/2013)

01/18/2013 105 DECLARATION of Harry R. Dow in Support re: 97 MOTION for Settlement (Final Approval) and Plan of Distribution of Settlement Proceeds . MOTION for Attorney Fees and Expenses and Lead Plaintiffs' Expenses . MOTION for Settlement (Final Approval) and Plan of Distribution of Settlement Proceeds .. Document filed by Building Trades United Pension Trust Fund(on behalf of all others similarly situated), City of Roseville Employees' Retirement System(on behalf of itself), New England Carpenters Guaranteed Annuity and Pension Funds. (Kaufman, Evan) (Entered: 01/18/2013)

01/18/2013 106 DECLARATION of Carole K. Sylvester in Support re: 97 MOTION for Settlement (Final Approval) and Plan of Distribution of Settlement Proceeds . MOTION for Attorney Fees and Expenses and Lead Plaintiffs' Expenses . MOTION for Settlement

(Final Approval) and Plan of Distribution of Settlement Proceeds .. Document filed by Building Trades United Pension Trust Fund(on behalf of all others similarly situated), City of Roseville Employees' Retirement System(on behalf of itself), New England Carpenters Guaranteed Annuity and Pension Funds. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D, # 5 Exhibit E, # 6 Exhibit F, # 7 Exhibit G)(Kaufman, Evan) (Entered: 01/18/2013)

01/18/2013

107 DECLARATION of Samuel H. Rudman Filed on Behalf of Robbins Geller Rudman & Dowd LLP in Support re: 97 MOTION for Settlement (Final Approval) and Plan of Distribution of Settlement Proceeds . MOTION for Attorney Fees and Expenses and Lead Plaintiffs' Expenses . MOTION for Settlement (Final Approval) and Plan of Distribution of Settlement Proceeds .. Document filed by Building Trades United Pension Trust Fund(on behalf of all others similarly situated), City of Roseville Employees' Retirement System(on behalf of itself), New England Carpenters Guaranteed Annuity and Pension Funds. (Attachments: # 1 Exhibit A)(Kaufman, Evan) (Entered: 01/18/2013)

03/01/2013 108 REPLY MEMORANDUM OF LAW in Support re: 97 MOTION for Settlement (Final Approval) and Plan of Distribution of Settlement Proceeds . MOTION for Attorney Fees and Expenses and Lead Plaintiffs' Expenses . MOTION for Settlement (Final Approval) and Plan of Distribution of Settlement Proceeds .. Document filed by Building Trades United Pension Trust Fund(on behalf of all others similarly situated), City of Roseville Employees' Retirement System(on behalf of itself), New England Carpenters Guaranteed Annuity and Pension Funds. (Kaufman, Evan) (Entered: 03/01/2013)

03/01/2013 109 DECLARATION of Carole K. Sylvester Regarding Additional Mailings of the Notice of Pendency and Proposed Settlement of Class Action and the Proof of Claim and Release Form in Support re: 97 MOTION for Settlement (Final Approval) and Plan of Distribution of Settlement Proceeds . MOTION for Attorney Fees and Expenses and Lead Plaintiffs' Expenses . MOTION for Settlement (Final Approval) and Plan of Distribution of Settlement Proceeds .. Document filed by Building Trades United Pension Trust Fund(on behalf of all others similarly situated), City of Roseville Employees' Retirement System(on behalf of itself), New England Carpenters Guaranteed Annuity and Pension Funds. (Kaufman, Evan) (Entered: 03/01/2013)

03/07/2013 110 NOTICE OF COURT CONFERENCE: You are directed to appear for a conference, to be held on Thursday, March 14, 2013 in Courtroom 12B, at 11:00am in front of the Honorable John G. Koeltl. This matter is with regard to the motion for final approval of settlement in this action. All requests for adjournments must be made in writing to the Court. For any further information, please contact the Court at (212) 805-0107. (Status Conference set for 3/14/2013 at 11:00 AM in Courtroom 12B, 500 Pearl Street, New York, NY 10007 before Judge John G. Koeltl) By: Don Fletcher, Courtroom Case Manager, Dated March 7, 2013. (djc) Modified on 3/8/2013 (djc). (Entered: 03/07/2013)

03/07/2013 Set/Reset Hearings: Status Conference set for 3/14/2013 at 11:00 AM in Courtroom 12B, 500 Pearl Street, New York, NY 10007 before Judge John G. Koeltl. (djc) (Entered: 03/08/2013)

03/14/2013 111 ORDER: dismissing as moot 62 Motion to Certify Class. For the reasons stated on the record at the hearing held today, the plaintiffs' Motion for Class Certification is

dismissed without prejudice as moot. The Clerk is directed to close docket no. 62. (Signed by Judge John G. Koeltl on 3/14/2013) (djc) (Entered: 03/14/2013)

03/14/2013 112 ORDER AWARDING ATTORNEYS' FEES AND EXPENSES: as amended herein. granting (97) Motion for Attorney Fees in case 1:09-cv-08633-JGK; granting Motion for Attorneys' fees and Expenses in case 1:09-cv-08648-JGK The Court finds that, pursuant to 15 U.S.C. §77z-1(a)(4), an award of reasonable expenses to Lead Plaintiffs in connection with their representation of the Class is appropriate. Lead Plaintiffs Building Trades United Pension Trust Fund, New England Carpenters Guaranteed Annuity and Pension Funds, and City of Roseville Employees' Retirement System are hereby awarded, respectively, $2,168.15, $2,525.00 and $1,750.00 for their expenses. (Signed by Judge John G. Koeltl on 3/14/2013) Filed In Associated Cases: 1:09-cv-08633-JGK, 1:09-cv-08648-JGK(djc) Modified on 3/14/2013 (djc). (Entered: 03/14/2013)

03/14/2013 113 ORDER APPROVING PLAN OF DISTRIBUTION OF SETTLEMENT PROCEEDS: granting (97) Motion for Settlement in case 1:09-cv-08633-JGK; granting Motion for Settlement in case 1:09-cv-08648-JGK. 1. For purposes of this Order, the terms used herein shall have the meanings as set forth in the Revised Settlement Agreement dated as of November 19, 2012 (the "Stipulation"), and filed with the Court. 2. Pursuant to and in full compliance with Rule 23 of the Federal Rules of Civil Procedure, this Court hereby finds and concludes that due and adequate notice was directed to all persons who are Class Members who could be identified with reasonable effort, advising them of the Plan of Distribution and of their right to object thereto, and a full and fair opportunity was accorded to all persons and entities who are Class Members to be heard with respect to the Plan of Distribution. 3. The Court finds and concludes that the formula for the calculation of the claims of Authorized Claimants which is set forth in the Notice of Pendency and Proposed Settlement of Class Action (the "Notice") sent to Class Members, provides a fair and reasonable basis upon which to allocate the proceeds of the Net Settlement Fund established by the Stipulation among the Class Members, with due consideration having been given to administrative convenience and necessity. This Court finds and concludes that the Plan of Distribution, as set forth in the Notice, is, in all respects, fair and reasonable and the Court approves the Plan of Distribution. 4. The Court finds and concludes that the minimum distribution threshold of $10.00 as provided for in the Plan of Distribution is fair and reasonable and warranted to minimize expense and administrative costs to the Class. (Signed by Judge John G. Koeltl on 3/14/2013) Filed In Associated Cases: 1:09-cv-08633-JGK, 1:09-cv-08648-JGK(djc) Modified on 3/14/2013 (djc). (Entered: 03/14/2013)

03/14/2013 114 FINAL JUDGMENT AND ORDER OF DISMISSAL WITH PREJUDICE settling action. (Signed by Judge John G. Koeltl on 3/14/13) (Attachments: # 1 Notice of Right to Appeal)Filed In Associated Cases: 1:09-cv-08633-JGK, 1:09-cv-08648-JGK(ml) (Entered: 03/14/2013)

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