Download - U.S. District Court Southern District of New York (Foley Square) …securities.stanford.edu/.../C_01/201387_r01k_07CV09901.pdf · 2013-08-07 · US District Court Civil Docket as

Transcript
Page 1: U.S. District Court Southern District of New York (Foley Square) …securities.stanford.edu/.../C_01/201387_r01k_07CV09901.pdf · 2013-08-07 · US District Court Civil Docket as

US District Court Civil Docket as of August 1, 2013 Retrieved from the court on August 7, 2013

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

CIVIL DOCKET FOR CASE #: 1:07-cv-09901-SHS

In Re: Citigroup Inc. Securities Litigation Assigned to: Judge Sidney H. Stein Lead case: 1:09-md-02070-SHS Member case: (View Member Case) Related Cases: 1:08-cv-00135-SHS

1:08-cv-00136-SHS 1:07-cv-10258-SHS 1:08-cv-09522-SHS 1:08-cv-10353-SHS 1:09-cv-02355-SHS 1:11-cv-04788-SHS 1:09-cv-02402-SHS 1:12-cv-06653-SHS 1:09-cv-08755-SHS 1:10-cv-09325-SHS 1:10-cv-07202-SHS 1:11-cv-00314-SHS 1:11-cv-07138-SHS 1:11-cv-08291-SHS 1:09-md-02070-SHS

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

Lead Plaintiff

ATD Group

Date Filed: 11/08/2007 Date Terminated: 08/01/2013 Jury Demand: Both Nature of Suit: 850 Securities/Commodities Jurisdiction: Federal Question

represented by Lauren Wagner Pederson Kirby McInerney LLP 825 Third Avenue 16th Floor New York, NY 10022 (212) 371-6600 Fax: (212) 751-2540 Email: [email protected] LEAD ATTORNEY

Peter S Linden Kirby McInerney LLP 825 Third Avenue 16th Floor New York, NY 10022 (212) 371-6600 Fax: (212) 751-2540

Page 2: U.S. District Court Southern District of New York (Foley Square) …securities.stanford.edu/.../C_01/201387_r01k_07CV09901.pdf · 2013-08-07 · US District Court Civil Docket as

Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED

Ira M. Press Kirby McInerney LLP 825 Third Avenue 16th Floor New York, NY 10022 (212) 371-6600 Fax: (212) 751-2540 Email: [email protected] ATTORNEY TO BE NOTICED

Plaintiff

Tillie Saltzman represented by Samuel Howard Rudman Individually

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

Plaintiff

Tillie Saltzman represented by Samuel Howard Rudman on behalf of all others similarly situated

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

Plaintiff

Public Employees' Retirement represented by Andrew J Entwistle Association of Colorado

Entwistle & Cappucci LLP (NYC) 280 Park Avenue 26th Floor West New York, NY 10017 212-894-7200 Fax: 212-894-7272 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED

Peter S Linden (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

Plaintiff

Page 3: U.S. District Court Southern District of New York (Foley Square) …securities.stanford.edu/.../C_01/201387_r01k_07CV09901.pdf · 2013-08-07 · US District Court Civil Docket as

Tennessee Consolidated Retirement represented by Andrew J Entwistle System

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

Peter S Linden (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

Plaintiff

Sjunde Ap-Fonden represented by Andrew J Entwistle (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

represented by Andrew J Entwistle (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

represented by Andrew J Entwistle (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

represented by Peter S Linden (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

Plaintiff

Fjarde Ap-Fonden

Plaintiff

Pensionskassernes Administration A/S

Plaintiff

John A. Baden

Ira M. Press (See above for address) ATTORNEY TO BE NOTICED

Plaintiff

Warren Pinchuk represented by Peter S Linden (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

Ira M. Press (See above for address) ATTORNEY TO BE NOTICED

Plaintiff

Page 4: U.S. District Court Southern District of New York (Foley Square) …securities.stanford.edu/.../C_01/201387_r01k_07CV09901.pdf · 2013-08-07 · US District Court Civil Docket as

Anthony Sedutto represented by Peter S Linden (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

Ira M. Press (See above for address) ATTORNEY TO BE NOTICED

Plaintiff

Edward Claus represented by Peter S Linden (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

Ira M. Press (See above for address) ATTORNEY TO BE NOTICED

Plaintiff

Carol Weil represented by Peter S Linden (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

Ira M. Press (See above for address) ATTORNEY TO BE NOTICED

Plaintiff

Mr. Mark C. Weldon represented by Vincent J. Montell Quintairos Prieto Wood & Boyer, P.A 2398 East Camelback Road, Ste. 760 Phoenix, AZ 85016 (602)-954-5605 Fax: (602)-954-5606 Email: [email protected] ATTORNEY TO BE NOTICED

V.

Consolidated Plaintiff

Lennard Hammerschlag represented by Dustin Peter Mansoor Houser & Allison, APC 60 East 42nd Street, Suite 1148 New York, NY 10165 (221)-341-0191 Fax: (212)-788-9776 Email: [email protected]

Page 5: U.S. District Court Southern District of New York (Foley Square) …securities.stanford.edu/.../C_01/201387_r01k_07CV09901.pdf · 2013-08-07 · US District Court Civil Docket as

LEAD ATTORNEY ATTORNEY TO BE NOTICED

James Stuart Notis Gardy & Notis, LLP 501 Fifth Avenue, Suite 1408 New York, NY 10017 (201) 567-7377 Fax: (201) 567-7337 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED

Movant

Edward Altman

Movant

Elaine Altman

Movant

Jonathan Butler

represented by Joseph Harry Weiss Weiss & Lurie 551 Fifth Ave, New York, NY 10176 (212)682-3025 Fax: 212 682 3010 Email: [email protected] ATTORNEY TO BE NOTICED

represented by Ira M. Press (See above for address) ATTORNEY TO BE NOTICED

represented by Ira M. Press (See above for address) ATTORNEY TO BE NOTICED

represented by Peter S Linden (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

V.

Movant

David Garden

Ira M. Press (See above for address) ATTORNEY TO BE NOTICED

Movant

M. David Diamond represented by Peter S Linden (See above for address) LEAD ATTORNEY

Page 6: U.S. District Court Southern District of New York (Foley Square) …securities.stanford.edu/.../C_01/201387_r01k_07CV09901.pdf · 2013-08-07 · US District Court Civil Docket as

ATTORNEY TO BE NOTICED

Ira M. Press (See above for address) ATTORNEY TO BE NOTICED

Movant

David Whitcomb represented by Peter S Linden (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

Ira M. Press (See above for address) ATTORNEY TO BE NOTICED

Movant

Henrietta Whitcomb represented by Peter S Linden (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

Ira M. Press (See above for address) ATTORNEY TO BE NOTICED

Movant

Henrietta Whitcomb represented by Ira M. Press (See above for address) ATTORNEY TO BE NOTICED

Movant

State Teachers Retirement System of represented by Gerald H. Silk Ohio

Bernstein Litowitz Berger & Grossmann LLP 1285 Avenue of the Americas 38th Floor New York, NY 10019 212 554 1282 Fax: 212-554-1444 Email: [email protected] ATTORNEY TO BE NOTICED

Jeffrey Craig Block Berman DeValerio (MA) One Liberty Square, 8th Floor Boston, MA 02109 (617) 542-8300 Fax: 617)-542-1194 Email: [email protected]

Page 7: U.S. District Court Southern District of New York (Foley Square) …securities.stanford.edu/.../C_01/201387_r01k_07CV09901.pdf · 2013-08-07 · US District Court Civil Docket as

ATTORNEY TO BE NOTICED

Movant

Division of Investment of the Treasury represented by Gerald H. Silk of the State of New Jersey

(See above for address) ATTORNEY TO BE NOTICED

Jeffrey Craig Block (See above for address) ATTORNEY TO BE NOTICED

Movant

State Universities Retirement System of represented by Gerald H. Silk Illinois

(See above for address) ATTORNEY TO BE NOTICED

Jeffrey Craig Block (See above for address) ATTORNEY TO BE NOTICED

Movant

U.S. Public Fund Group represented by Anne Faith O'Berry Berman Devalerio Pease Tabacco Burt & Pucillo 222 Lakeview Avenue, Suite 900 West Palm Beach, FL 33401 (561)-835-9400 Fax: (561)-835-0322 Email: [email protected] ATTORNEY TO BE NOTICED

Jeffrey Craig Block (See above for address) ATTORNEY TO BE NOTICED

Michael Jameson Pucillo Berman DeValerio 4280 Professional Center Drive Suite 350 Palm Beach Gardens, Fl 33410 (561) 835-9400 Fax: (561) 835-0302 Email: [email protected] ATTORNEY TO BE NOTICED

V.

Defendant

Citigroup Inc. represented by Richard A. Rosen

Page 8: U.S. District Court Southern District of New York (Foley Square) …securities.stanford.edu/.../C_01/201387_r01k_07CV09901.pdf · 2013-08-07 · US District Court Civil Docket as

Paul, Weiss, Rifkind, Wharton & Garrison LLP (NY) 1285 Avenue of the Americas New York, NY 10019 212-373-3305 Fax: 212-373-2359 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED

Susanna Michele Buergel Paul, Weiss, Rifkind, Wharton & Garrison LLP (NY) 1285 Avenue of the Americas New York, NY 10019 212-373-3553 Fax: 212-492-0553 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED

Jane Baek O'Brien Paul, Weiss, Rifkind, Wharton & Garrison LLP (NY) 1285 Avenue of the Americas New York, NY 10019 (212)-373-3007 Fax: (212)-492-0007 Email: [email protected] ATTORNEY TO BE NOTICED

Defendant

Charles O. Prince represented by Richard A. Rosen (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

Susanna Michele Buergel (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

Jane Baek O'Brien (See above for address) ATTORNEY TO BE NOTICED

Defendant

Robert E. Rubin represented by Richard A. Rosen (See above for address) LEAD ATTORNEY

Page 9: U.S. District Court Southern District of New York (Foley Square) …securities.stanford.edu/.../C_01/201387_r01k_07CV09901.pdf · 2013-08-07 · US District Court Civil Docket as

ATTORNEY TO BE NOTICED

Susanna Michele Buergel (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

Jane Baek O'Brien (See above for address) ATTORNEY TO BE NOTICED

Defendant

Stephen R. Volk represented by Richard A. Rosen (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

Jane Baek O'Brien (See above for address) ATTORNEY TO BE NOTICED

Defendant

Sallie L. Krawcheck represented by Richard A. Rosen (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

Jane Baek O'Brien (See above for address) ATTORNEY TO BE NOTICED

Defendant

Gary L. Crittenden represented by Richard A. Rosen (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

Susanna Michele Buergel (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

Jane Baek O'Brien (See above for address) ATTORNEY TO BE NOTICED

Defendant

Robert Druskin represented by Richard A. Rosen (See above for address) LEAD ATTORNEY

Page 10: U.S. District Court Southern District of New York (Foley Square) …securities.stanford.edu/.../C_01/201387_r01k_07CV09901.pdf · 2013-08-07 · US District Court Civil Docket as

ATTORNEY TO BE NOTICED

Susanna Michele Buergel (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

Jane Baek O'Brien (See above for address) ATTORNEY TO BE NOTICED

Defendant

Todd S. Thomson represented by Richard A. Rosen (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

Jane Baek O'Brien (See above for address) ATTORNEY TO BE NOTICED

Defendant

Thomas G. Maheras represented by Richard A. Rosen (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

Susanna Michele Buergel (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

Jane Baek O'Brien (See above for address) ATTORNEY TO BE NOTICED

Defendant

Michael Stuart Klein represented by Richard A. Rosen (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

Susanna Michele Buergel (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

Jane Baek O'Brien (See above for address) ATTORNEY TO BE NOTICED

Page 11: U.S. District Court Southern District of New York (Foley Square) …securities.stanford.edu/.../C_01/201387_r01k_07CV09901.pdf · 2013-08-07 · US District Court Civil Docket as

Defendant

David C. Bushnell represented by Richard A. Rosen (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

Susanna Michele Buergel (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

Jane Baek O'Brien (See above for address) ATTORNEY TO BE NOTICED

Defendant

John C. Gerspach represented by Richard A. Rosen (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

Jane Baek O'Brien (See above for address) ATTORNEY TO BE NOTICED

Defendant

Vikram Pandit represented by Richard A. Rosen (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

Jane Baek O'Brien (See above for address) ATTORNEY TO BE NOTICED

V.

Consolidated Defendant

C. Michael Armstrong represented by Lawrence B. Pedowitz Wachtell, Lipton, Rosen & Katz 51 West 52nd Street New York, NY 10019 (212) 403-1231 Fax: (212) 403-2000 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED

Consolidated Defendant

Page 12: U.S. District Court Southern District of New York (Foley Square) …securities.stanford.edu/.../C_01/201387_r01k_07CV09901.pdf · 2013-08-07 · US District Court Civil Docket as

Alain J.P. Belda represented by Lawrence B. Pedowitz (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

Consolidated Defendant

George David

Consolidated Defendant

Dudley C. Mecum

represented by Lawrence B. Pedowitz (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

represented by Lawrence B. Pedowitz (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

represented by Lawrence B. Pedowitz (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

represented by Lawrence B. Pedowitz (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

represented by Lawrence B. Pedowitz (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

represented by Lawrence B. Pedowitz (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

represented by Lawrence B. Pedowitz (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

represented by Lawrence B. Pedowitz

Consolidated Defendant

Kenneth T. Derr

Consolidated Defendant

John M. Deutch

Consolidated Defendant

Roberto Hernandez Ramirez

Consolidated Defendant

Ann Dibble Jordan

Consolidated Defendant

Klaus Kleinfeld

Consolidated Defendant

Andrew N. Liveris

Page 13: U.S. District Court Southern District of New York (Foley Square) …securities.stanford.edu/.../C_01/201387_r01k_07CV09901.pdf · 2013-08-07 · US District Court Civil Docket as

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

Consolidated Defendant

Anne M. Mulcahy

Consolidated Defendant

Dr. Judith Rodin

represented by Lawrence B. Pedowitz (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

represented by Lawrence B. Pedowitz (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

represented by Lawrence B. Pedowitz (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

represented by Lawrence B. Pedowitz (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

represented by Lawrence B. Pedowitz (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

represented by Lawrence B. Pedowitz (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

represented by Lawrence B. Pedowitz (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

represented by Lawrence B. Pedowitz (See above for address)

Consolidated Defendant

Richard D. Parsons

Consolidated Defendant

Robert E. Rubin

Consolidated Defendant

Robert L. Ryan

Consolidated Defendant

Franklin A. Thomas

Consolidated Defendant

Winfried Bischoff

Consolidated Defendant

William R. Rhodes

Page 14: U.S. District Court Southern District of New York (Foley Square) …securities.stanford.edu/.../C_01/201387_r01k_07CV09901.pdf · 2013-08-07 · US District Court Civil Docket as

LEAD ATTORNEY ATTORNEY TO BE NOTICED

Consolidated Defendant

Steven J. Freiberg represented by Lawrence B. Pedowitz (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

Richard A. Rosen (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

Jane Baek O'Brien (See above for address) ATTORNEY TO BE NOTICED

Consolidated Defendant

Lewis B. Kaden

represented by Lawrence B. Pedowitz (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

represented by Lawrence B. Pedowitz (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

Consolidated Defendant

Michael S. Helfer

Richard A. Rosen (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

Jane Baek O'Brien (See above for address) ATTORNEY TO BE NOTICED

ADR Provider

David Garden

ADR Provider

ST. STEPHEN, INC. represented by Forrest Scott Turkish Forrest Scott Turkish, Law Office 595 Broadway Bayonne, NJ 07002 (201)-339-8866 Fax: (201)-339-8456 Email: [email protected]

Page 15: U.S. District Court Southern District of New York (Foley Square) …securities.stanford.edu/.../C_01/201387_r01k_07CV09901.pdf · 2013-08-07 · US District Court Civil Docket as

LEAD ATTORNEY ATTORNEY TO BE NOTICED

represented by Forrest Scott Turkish (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

represented by Forrest Scott Turkish (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

represented by Mark C. Rifkin Wolf Haldenstein Adler Freeman & Herz LLP 270 Madison Avenue New York, NY 10016 212-545-4600 Fax: 212 545-4653 Email: [email protected] ATTORNEY TO BE NOTICED

ADR Provider

SMOKESTACK LIGHTENING LTD.

ADR Provider

Marshall Orloff

Objector

Daniel Brecher

Matthew Moylan Guiney Wolf Haldenstein Adler Freeman & Herz LLP 270 Madison Avenue New York, NY 10016 (212)-545-4761 Fax: (212)-545-4758 Email: [email protected] ATTORNEY TO BE NOTICED

Objector

Scott Short represented by Mark C. Rifkin

(See above for address) ATTORNEY TO BE NOTICED

Matthew Moylan Guiney (See above for address) ATTORNEY TO BE NOTICED

Objector

Jennifer Murphy represented by Mark C. Rifkin (See above for address) ATTORNEY TO BE NOTICED

Page 16: U.S. District Court Southern District of New York (Foley Square) …securities.stanford.edu/.../C_01/201387_r01k_07CV09901.pdf · 2013-08-07 · US District Court Civil Docket as

Matthew Moylan Guiney (See above for address) ATTORNEY TO BE NOTICED

Objector

Chad Taylor represented by Mark C. Rifkin (See above for address) ATTORNEY TO BE NOTICED

Matthew Moylan Guiney (See above for address) ATTORNEY TO BE NOTICED

Objector

Mark Oelfke represented by Mark C. Rifkin (See above for address) ATTORNEY TO BE NOTICED

Matthew Moylan Guiney (See above for address) ATTORNEY TO BE NOTICED

Objector

Paul Koch represented by Mark C. Rifkin (See above for address) ATTORNEY TO BE NOTICED

Matthew Moylan Guiney (See above for address) ATTORNEY TO BE NOTICED

represented by Steve A. Miller, P.C. Profit Sharing Plan Steve A. Miller, P.C. 1625 Larimer St. No. 2905 Denver, CO 80202 303-892-9933 Fax: 303-892-8925 Email: [email protected] PRO SE

represented by Theodore H. Frank 11307 Bulova Lane Fairfax, VA 22030 Email: [email protected] PRO SE

Objector

Steve A. Miller, P.C. Profit Sharing Plan

Objector

Theodore H. Frank

Page 17: U.S. District Court Southern District of New York (Foley Square) …securities.stanford.edu/.../C_01/201387_r01k_07CV09901.pdf · 2013-08-07 · US District Court Civil Docket as

Objector

Mr. Eric Behar represented by Leon Isidore Behar Leon I. Behar, P.C. 347 Fifth Avenue Suite 1506 New York, NY 10016 (212) 242-0500 Fax: (212) 242-0518 Email: [email protected] ATTORNEY TO BE NOTICED

Date Filed

# Docket Text

11/08/2007 1 COMPLAINT against Sallie L. Krawcheck, Gary L. Crittenden, Robert Druskin, Citigroup Inc., Charles O. Prince, Robert E. Rubin, Stephen R. Volk. (Filing Fee $ 350.00, Receipt Number 632276)Document filed by Tillie Saltzman(Individually), Tillie Saltzman(on behalf of all others similarly situated).(mbe) (Entered: 11/13/2007)

11/08/2007 SUMMONS ISSUED as to Sallie L. Krawcheck, Gary L. Crittenden, Robert Druskin, Citigroup Inc., Charles O. Prince, Robert E. Rubin, Stephen R. Volk. (mbe) (Entered: 11/13/2007)

11/29/2007

01/07/2008

01/07/2008

Magistrate Judge Frank Maas is so designated. (mbe) (Entered: 11/13/2007)

Case Designated ECF. (mbe) (Entered: 11/13/2007)

2 LETTER addressed to Samuel Howard Rudman from Harold Baer dated 11/20/2007 re: There will be a Pre-Trial Conference on the above case at 3:30 P.M. on Thursday, January 24, 2008 in Room 2230. It is your responsibility to notify your adversary (ies) of the date and time with a copy to us. Document filed by Citigroup Inc.(jmi) (Entered: 11/26/2007)

3 NOTICE OF CASE REASSIGNMENT to Judge Sidney H. Stein. Judge Harold Baer is no longer assigned to the case. (jeh) (Entered: 12/04/2007)

4 MOTION to Consolidate Cases 07-10258. Document filed by David Garden.(Weiss, Joseph) (Entered: 01/07/2008)

5 MOTION to Appoint David Garden to serve as lead plaintiff(s). Document filed by David Garden.(Weiss, Joseph) (Entered: 01/07/2008)

11/08/2007

11/08/2007

11/20/2007

01/07/2008 6 MOTION to Appoint Counsel. Document filed by David Garden.(Weiss, Joseph) (Entered: 01/07/2008)

01/07/2008 7 MEMORANDUM OF LAW in Support re: 6 MOTION to Appoint Counsel., 4 MOTION to Consolidate Cases 07-10258., 5 MOTION to Appoint David Garden to serve as lead plaintiff(s).. Document filed by David Garden. (Weiss, Joseph) (Entered: 01/07/2008)

01/07/2008 8 DECLARATION of Joseph H. Weiss in Support re: 6 MOTION to Appoint Counsel., 4 MOTION to Consolidate Cases 07-10258., 5 MOTION to Appoint David Garden to serve as lead plaintiff(s).. Document filed by David Garden. (Attachments: # 1 Exhibit

Page 18: U.S. District Court Southern District of New York (Foley Square) …securities.stanford.edu/.../C_01/201387_r01k_07CV09901.pdf · 2013-08-07 · US District Court Civil Docket as

A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D)(Weiss, Joseph) (Entered: 01/07/2008)

01/07/2008 9 NOTICE OF APPEARANCE by Andrew J Entwistle on behalf of Public Employees' Retirement Association of Colorado, Tennessee Consolidated Retirement System, Sjunde Ap-Fonden, Fjarde Ap-Fonden, Pensionskassernes Administration A/S (Entwistle, Andrew) (Entered: 01/07/2008)

01/07/2008 10 MOTION to Consolidate Cases 07-10258 07-09901 ., MOTION to Appoint Public Employees' Retirement Association of Colorado, Tennessee Consolidated Retirement System, Sjunde AP-Fonden, Fjarde AP-Fonden, pensionskassernes Administration A/S to serve as lead plaintiff(s)., MOTION to Appoint Counsel Entwistle & Cappucci LLP and Schiffrin Barroway Topaz and Kessler, LLP . Document filed by Public Employees' Retirement Association of Colorado.(Entwistle, Andrew) (Entered: 01/07/2008)

01/07/2008 11 MEMORANDUM OF LAW in Support re: 10 MOTION to Consolidate Cases 07- 10258 07-09901 . MOTION to Appoint Public Employees' Retirement Association of Colorado, Tennessee Consolidated Retirement System, Sjunde AP-Fonden, Fjarde AP-Fonden, pensionskassernes Administration A/S to serve as lead plaintiff(s). MOTION to Appoint Counsel Entwistle & Cappucci LLP and Schiffrin Barroway Topaz and Kessler, LLP . MOTION to Appoint Public Employees' Retirement Association of Colorado, Tennessee Consolidated Retirement System, Sjunde AP-Fonden, Fjarde AP-Fonden, pensionskassernes Administration A/S to serve as lead plaintiff(s).. Document filed by Public Employees' Retirement Association of Colorado. (Entwistle, Andrew) (Entered: 01/07/2008)

01/07/2008 12 DECLARATION of Andrew J. Entwistle in Support re: 10 MOTION to Consolidate Cases 07-10258 07-09901 . MOTION to Appoint Public Employees' Retirement Association of Colorado, Tennessee Consolidated Retirement System, Sjunde AP-Fonden, Fjarde AP-Fonden, pensionskassernes Administration A/S to serve as lead plaintiff(s). MOTION to Appoint Counsel Entwistle & Cappucci LLP and Schiffrin Barroway Topaz and Kessler, LLP . MOTION to Appoint Public Employees' Retirement Association of Colorado, Tennessee Consolidated Retirement System, Sjunde AP-Fonden, Fjarde AP-Fonden, pensionskassernes Administration A/S to serve as lead plaintiff(s).. Document filed by Public Employees' Retirement Association of Colorado. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D, # 5 Exhibit E, # 6 Exhibit F, # 7 Exhibit G)(Entwistle, Andrew) (Entered: 01/07/2008)

01/07/2008 13 MOTION to Appoint ATD Group to serve as lead plaintiff(s)., MOTION to Appoint Counsel., MOTION to Consolidate Cases 1:07-cv-9901, 1:07-cv-10258. Document filed by Edward Altman, Elaine Altman, Jonathan Butler, M. David Diamond, David Whitcomb, Henrietta Whitcomb, ATD Group.(Press, Ira) (Entered: 01/07/2008)

01/07/2008 14 MOTION Preserve Documents and Other Evidence. Document filed by Public Employees' Retirement Association of Colorado, Tennessee Consolidated Retirement System, Sjunde Ap-Fonden, Fjarde Ap-Fonden, Pensionskassernes Administration A/S.(Entwistle, Andrew) (Entered: 01/07/2008)

01/07/2008 15 MEMORANDUM OF LAW in Support re: 14 MOTION Preserve Documents and Other Evidence.. Document filed by Public Employees' Retirement Association of Colorado, Tennessee Consolidated Retirement System, Sjunde Ap-Fonden, Fjarde Ap-

Page 19: U.S. District Court Southern District of New York (Foley Square) …securities.stanford.edu/.../C_01/201387_r01k_07CV09901.pdf · 2013-08-07 · US District Court Civil Docket as

Fonden, Pensionskassernes Administration A/S. (Entwistle, Andrew) (Entered: 01/07/2008)

01/07/2008 16 AFFIDAVIT of Ira M. Press in Support re: 13 MOTION to Appoint ATD Group to serve as lead plaintiff(s). MOTION to Appoint Counsel. MOTION to Consolidate Cases 1:07-cv-9901, 1:07-cv-10258. MOTION to Appoint ATD Group to serve as lead plaintiff(s).. Document filed by Edward Altman, Elaine Altman, Jonathan Butler, M. David Diamond, David Whitcomb, Henrietta Whitcomb, ATD Group. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D, # 5 Exhibit E, # 6 Exhibit F)(Press, Ira) (Entered: 01/07/2008)

01/07/2008 17 MOTION An Order Partially Lifting The Private Securities Litigation Reform Act Discovery Stay. Document filed by Public Employees' Retirement Association of Colorado, Tennessee Consolidated Retirement System, Sjunde Ap-Fonden, Fjarde Ap-Fonden, Pensionskassernes Administration A/S.(Entwistle, Andrew) (Entered: 01/07/2008)

01/07/2008 18 MEMORANDUM OF LAW in Support re: 17 MOTION An Order Partially Lifting The Private Securities Litigation Reform Act Discovery Stay.. Document filed by Public Employees' Retirement Association of Colorado, Tennessee Consolidated Retirement System, Sjunde Ap-Fonden, Fjarde Ap-Fonden, Pensionskassernes Administration A/S. (Entwistle, Andrew) (Entered: 01/07/2008)

01/07/2008 19 DECLARATION of Andrew J. Entwistle in Support re: 17 MOTION An Order Partially Lifting The Private Securities Litigation Reform Act Discovery Stay.. Document filed by Public Employees' Retirement Association of Colorado, Tennessee Consolidated Retirement System, Sjunde Ap-Fonden, Fjarde Ap-Fonden, Pensionskassernes Administration A/S. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D, # 5 Exhibit E)(Entwistle, Andrew) (Entered: 01/07/2008)

01/07/2008 20 MEMORANDUM OF LAW in Support re: 13 MOTION to Appoint ATD Group to serve as lead plaintiff(s). MOTION to Appoint Counsel. MOTION to Consolidate Cases 1:07-cv-9901, 1:07-cv-10258. MOTION to Appoint ATD Group to serve as lead plaintiff(s).. Document filed by Edward Altman, Elaine Altman, Jonathan Butler, M. David Diamond, David Whitcomb, Henrietta Whitcomb, ATD Group. (Press, Ira) (Entered: 01/07/2008)

01/07/2008 21 AFFIDAVIT OF SERVICE. Document filed by Edward Altman, Elaine Altman, Jonathan Butler, M. David Diamond, David Whitcomb, Henrietta Whitcomb, ATD Group. (Press, Ira) (Entered: 01/07/2008)

01/07/2008 22 MOTION to Appoint U.S. PUBLIC FUND GROUP to serve as lead plaintiff(s). Document filed by State Teachers Retirement System of Ohio, Division of Investment of the Treasury of the State of New Jersey, State Universities Retirement System of Illinois.(Silk, Gerald) (Entered: 01/07/2008)

01/07/2008 23 MEMORANDUM OF LAW in Support re: 22 MOTION to Appoint U.S. PUBLIC FUND GROUP to serve as lead plaintiff(s). MOTION to Appoint U.S. PUBLIC FUND GROUP to serve as lead plaintiff(s).. Document filed by State Teachers Retirement System of Ohio, Division of Investment of the Treasury of the State of New Jersey, State Universities Retirement System of Illinois. (Silk, Gerald) (Entered: 01/07/2008)

Page 20: U.S. District Court Southern District of New York (Foley Square) …securities.stanford.edu/.../C_01/201387_r01k_07CV09901.pdf · 2013-08-07 · US District Court Civil Docket as

01/07/2008 24 DECLARATION of Gerald H. Silk in Support re: 22 MOTION to Appoint U.S. PUBLIC FUND GROUP to serve as lead plaintiff(s). MOTION to Appoint U.S. PUBLIC FUND GROUP to serve as lead plaintiff(s).. Document filed by State Teachers Retirement System of Ohio, Division of Investment of the Treasury of the State of New Jersey, State Universities Retirement System of Illinois. (Attachments: # 1 Exhibit a, # 2 Exhibit b, # 3 Exhibit C, # 4 Exhibit D, # 5 Exhibit E, # 6 Exhibit F, # 7 Exhibit G, # 8 Exhibit H, # 9 Exhibit I, # 10 Exhibit J, # 11 Exhibit K)(Silk, Gerald) (Entered: 01/07/2008)

01/07/2008 25 CERTIFICATE OF SERVICE. Document filed by State Teachers Retirement System of Ohio, Division of Investment of the Treasury of the State of New Jersey, State Universities Retirement System of Illinois. (Silk, Gerald) (Entered: 01/07/2008)

01/14/2008

01/18/2008

01/22/2008

26 DECLARATION of Andrew J. Entwistle in Support re: 10 MOTION to Consolidate Cases 07-10258 07-09901 . MOTION to Appoint Public Employees' Retirement Association of Colorado, Tennessee Consolidated Retirement System, Sjunde AP-Fonden, Fjarde AP-Fonden, pensionskassernes Administration A/S to serve as lead plaintiff(s). MOTION to Appoint Counsel Entwistle & Cappucci LLP and Schiffrin Barroway Topaz and Kessler, LLP . MOTION to Appoint Public Employees' Retirement Association of Colorado, Tennessee Consolidated Retirement System, Sjunde AP-Fonden, Fjarde AP-Fonden, pensionskassernes Administration A/S to serve as lead plaintiff(s).. Document filed by Public Employees' Retirement Association of Colorado, Tennessee Consolidated Retirement System, Sjunde Ap-Fonden, Fjarde Ap-Fonden, Pensionskassernes Administration A/S. (Entwistle, Andrew) (Entered: 01/14/2008)

27 NOTICE of Withdrawal of New Jersey Division of Investment from the U.S. Public Fund Group re: 24 Declaration in Support of Motion,, 25 Certificate of Service Other, 23 Memorandum of Law in Support of Motion, 22 MOTION to Appoint U.S. PUBLIC FUND GROUP to serve as lead plaintiff(s). MOTION to Appoint U.S. PUBLIC FUND GROUP to serve as lead plaintiff(s).. Document filed by Division of Investment of the Treasury of the State of New Jersey. (Davidoff, Merrill) (Entered: 01/18/2008)

29 ORDER: Four motions are currently pending to consolidate [the listed] actions (see order), appoint lead plaintiffs, and approve selection of counsel. Any opposition to these motions are due by 1/28/2008. Oral Argument on the motions will be held on 2/8/2008 at 02:00 PM before Judge Sidney H. Stein. The parties shall provide the Court with courtesy copies of all motion papers at the same time they are served on opposing counsel. (Signed by Judge Sidney H. Stein on 1/22/2008) (jar) (jar). (Entered: 01/22/2008)

01/24/2008 28 NOTICE OF APPEARANCE by Jeffrey Craig Block on behalf of State Teachers Retirement System of Ohio, Division of Investment of the Treasury of the State of New Jersey, State Universities Retirement System of Illinois (Block, Jeffrey) (Entered: 01/24/2008)

01/28/2008 30 MEMO ENDORSEMENT re: NOTICE OF MOTION of The Ohio State Teachers Retirement System and the Attorney General of the State of Ohio to Disqualify Counsel. ENDORSEMENT: + ORDER SETTING A RETURN DATE. On 2/5/08 at 2:00 p.m. before Judge Sidney H. Stein in courtroom 23A, 500 Pearl Street, New York, New York 10007. The Ohio State Teachers Retirement System and the Attorney

Page 21: U.S. District Court Southern District of New York (Foley Square) …securities.stanford.edu/.../C_01/201387_r01k_07CV09901.pdf · 2013-08-07 · US District Court Civil Docket as

General of the State of Ohio will move for entry of an Order disqualifying Schiffrin Barroway Topaz & Kessler LLP and Entwistle & Cappucci LLP from representing Global Pension Funds. Answering papers due 1/31/08. Reply papers due 2/5/08. The Dann and Neville affidavits and the memorandum of law will be filed under seal. (Responses due by 1/31/2008. Replies due by 2/5/2008. Oral Argument set for 2/8/2008 at 02:00 PM in Courtroom 23A, 500 Pearl Street, New York, NY 10007 before Judge Sidney H. Stein.) (Signed by Judge Sidney H. Stein on 1/25/08) (db) (Entered: 01/28/2008)

01/28/2008 32 AFFIDAVIT of ROGER W. KIRBY in Opposition re: 10 MOTION to Consolidate Cases 07-10258 07-09901 . MOTION to Appoint Public Employees' Retirement Association of Colorado, Tennessee Consolidated Retirement System, Sjunde AP-Fonden, Fjarde AP-Fonden, pensionskassernes Administration A/S to serve as lead plaintiff(s). MOTION to Appoint Counsel Entwistle & Cappucci LLP and Schiffrin Barroway Topaz and Kessler, LLP . MOTION to Appoint Public Employees' Retirement Association of Colorado, Tennessee Consolidated Retirement System, Sjunde AP-Fonden, Fjarde AP-Fonden, pensionskassernes Administration A/S to serve as lead plaintiff(s)., 22 MOTION to Appoint U.S. PUBLIC FUND GROUP to serve as lead plaintiff(s). MOTION to Appoint U.S. PUBLIC FUND GROUP to serve as lead plaintiff(s)., 5 MOTION to Appoint David Garden to serve as lead plaintiff(s)., 6 MOTION to Appoint Counsel.. Document filed by ATD Group. (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)(Kirby, Roger) (Entered: 01/28/2008)

01/28/2008 33 MEMORANDUM OF LAW in Opposition re: 10 MOTION to Consolidate Cases 07- 10258 07-09901 . MOTION to Appoint Public Employees' Retirement Association of Colorado, Tennessee Consolidated Retirement System, Sjunde AP-Fonden, Fjarde AP-Fonden, pensionskassernes Administration A/S to serve as lead plaintiff(s). MOTION to Appoint Counsel Entwistle & Cappucci LLP and Schiffrin Barroway Topaz and Kessler, LLP . MOTION to Appoint Public Employees' Retirement Association of Colorado, Tennessee Consolidated Retirement System, Sjunde AP-Fonden, Fjarde AP-Fonden, pensionskassernes Administration A/S to serve as lead plaintiff(s)., 22 MOTION to Appoint U.S. PUBLIC FUND GROUP to serve as lead plaintiff(s). MOTION to Appoint U.S. PUBLIC FUND GROUP to serve as lead plaintiff(s)., 6 MOTION to Appoint Counsel., 5 MOTION to Appoint David Garden to serve as lead plaintiff(s).. Document filed by ATD Group. (Kirby, Roger) (Entered: 01/28/2008)

01/28/2008 34 MEMORANDUM OF LAW in Support re: 22 MOTION to Appoint U.S. PUBLIC FUND GROUP to serve as lead plaintiff(s). MOTION to Appoint U.S. PUBLIC FUND GROUP to serve as lead plaintiff(s).. Document filed by State Teachers Retirement System of Ohio, State Universities Retirement System of Illinois. (Silk, Gerald) (Entered: 01/28/2008)

01/28/2008 35 DECLARATION of Andrew J. Entwistle in Opposition re: 22 MOTION to Appoint U.S. PUBLIC FUND GROUP to serve as lead plaintiff(s). MOTION to Appoint U.S. PUBLIC FUND GROUP to serve as lead plaintiff(s)., 5 MOTION to Appoint David Garden to serve as lead plaintiff(s)., 13 MOTION to Appoint ATD Group to serve as lead plaintiff(s). MOTION to Appoint Counsel. MOTION to Consolidate Cases 1:07- cv-9901, 1:07-cv-10258. MOTION to Appoint ATD Group to serve as lead

Page 22: U.S. District Court Southern District of New York (Foley Square) …securities.stanford.edu/.../C_01/201387_r01k_07CV09901.pdf · 2013-08-07 · US District Court Civil Docket as

01/28/2008

01/28/2008

plaintiff(s)., 6 MOTION to Appoint Counsel.. Document filed by Public Employees' Retirement Association of Colorado, Tennessee Consolidated Retirement System, Sjunde Ap-Fonden, Fjarde Ap-Fonden, Pensionskassernes Administration A/S. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3, # 4 Exhibit 4, # 5 Exhibit 5, # 6 Exhibit 6, # 7 Exhibit 7, # 8 Exhibit 8, # 9 Exhibit 9, # 10 Exhibit 10, # 11 Exhibit 11, # 12 Exhibit 12, # 13 Exhibit 13, # 14 Exhibit 14, # 15 Exhibit 15, # 16 Exhibit 16, # 17 Exhibit 17, # 18 Exhibit 18)(Entwistle, Andrew) (Entered: 01/28/2008)

36 MEMORANDUM OF LAW in Opposition re: 22 MOTION to Appoint U.S. PUBLIC FUND GROUP to serve as lead plaintiff(s). MOTION to Appoint U.S. PUBLIC FUND GROUP to serve as lead plaintiff(s)., 13 MOTION to Appoint ATD Group to serve as lead plaintiff(s). MOTION to Appoint Counsel. MOTION to Consolidate Cases 1:07-cv-9901, 1:07-cv-10258. MOTION to Appoint ATD Group to serve as lead plaintiff(s)., 6 MOTION to Appoint Counsel., 5 MOTION to Appoint David Garden to serve as lead plaintiff(s).. Document filed by Public Employees' Retirement Association of Colorado, Tennessee Consolidated Retirement System, Sjunde Ap- Fonden, Fjarde Ap-Fonden, Pensionskassernes Administration A/S. (Entwistle, Andrew) (Entered: 01/28/2008)

37 DECLARATION of Gerald H. Silk in Support re: 22 MOTION to Appoint U.S. PUBLIC FUND GROUP to serve as lead plaintiff(s). MOTION to Appoint U.S. PUBLIC FUND GROUP to serve as lead plaintiff(s).. Document filed by State Teachers Retirement System of Ohio, State Universities Retirement System of Illinois. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D, # 5 Exhibit E, # 6 Exhibit F, # 7 Exhibit G, # 8 Exhibit H, # 9 Exhibit I)(Silk, Gerald) (Entered: 01/28/2008)

01/28/2008 38 CERTIFICATE OF SERVICE. Document filed by State Teachers Retirement System of Ohio, State Universities Retirement System of Illinois. (Silk, Gerald) (Entered: 01/28/2008)

01/29/2008 39 DECLARATION of Professor Bruce A. Green IN SUPPORT OF THE MOTION OF THE OHIO STATE TEACHERS RETIREMENT SYSTEM FOR DISQUALIFICATION OF COUNSEL . Document filed by State Teachers Retirement System of Ohio. (Attachments: # 1 Green Declaration, pt. 2, # 2 Green Declaration, pt. 3, # 3 Green Declaration, pt. 4, # 4 Green Declaration, pt. 5)(Silk, Gerald) (Entered: 01/29/2008)

02/05/2008 40 ENDORSED LETTER addressed to Judge Sidney H. Stein from Ira Press dated 1/29/08 re: Counsel for ATD Group, proposed lead plaintiffs raise a scheduling issue at this time re: the scheduled oral argument on competing lead plaintiffs motions for 2/8/08 at 2:00 pm. Due to religious observances counsel is unable to attend the hearing on the afternoon of 2/8/08 or any hearing that begins after 12:30pm on a Friday afternoon this time of year. ENDORSEMENT: Due to Mr. Press' religious observation, the oral argument of the motions for consolidation of the action and appointment of lead plaintiffs and counsel is adjourned to Feb. 13 at 4:00 pm. The motion by Ohio to disqualify counsel shall be adjourned to Feb. 8 at 2pm. (Oral Argument set for 2/8/2008 at 02:00 PM before Judge Sidney H. Stein. Oral Argument set for 2/13/2008 at 04:00 PM before Judge Sidney H. Stein.) (Signed by Judge Sidney H. Stein on 2/4/08) (tro) (Entered: 02/05/2008)

02/05/2008 41 MOTION to Strike Document No. [37 (Exhibit B)] The Declaration of the Honorable Marc Dann and William J. Neville . Document filed by Public Employees' Retirement

Page 23: U.S. District Court Southern District of New York (Foley Square) …securities.stanford.edu/.../C_01/201387_r01k_07CV09901.pdf · 2013-08-07 · US District Court Civil Docket as

Association of Colorado, Tennessee Consolidated Retirement System, Sjunde Ap-Fonden, Fjarde Ap-Fonden, Pensionskassernes Administration A/S.(Entwistle, Andrew) (Entered: 02/05/2008)

02/07/2008 42 NOTICE of Withdrawal. Document filed by David Garden. (Weiss, Joseph) (Entered: 02/07/2008)

02/07/2008 43 REPLY MEMORANDUM OF LAW in Support re: 13 MOTION to Appoint ATD Group to serve as lead plaintiff(s). MOTION to Appoint Counsel. MOTION to Consolidate Cases 1:07-cv-9901, 1:07-cv-10258. MOTION to Appoint ATD Group to serve as lead plaintiff(s).. Document filed by Jonathan Butler, M. David Diamond, David Whitcomb, Henrietta Whitcomb, ATD Group. (Press, Ira) (Entered: 02/07/2008)

02/07/2008 44 REPLY AFFIDAVIT of Peter S. Linden in Support re: 13 MOTION to Appoint ATD Group to serve as lead plaintiff(s). MOTION to Appoint Counsel. MOTION to Consolidate Cases 1:07-cv-9901, 1:07-cv-10258. MOTION to Appoint ATD Group to serve as lead plaintiff(s).. Document filed by Jonathan Butler, M. David Diamond, David Whitcomb, Henrietta Whitcomb, ATD Group. (Press, Ira) (Entered: 02/07/2008)

02/07/2008 45 REPLY AFFIDAVIT of Peter S. Linden in Support re: 13 MOTION to Appoint ATD Group to serve as lead plaintiff(s). MOTION to Appoint Counsel. MOTION to Consolidate Cases 1:07-cv-9901, 1:07-cv-10258. MOTION to Appoint ATD Group to serve as lead plaintiff(s).. Document filed by Jonathan Butler, M. David Diamond, David Whitcomb, Henrietta Whitcomb, ATD Group. (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)(Press, Ira) (Entered: 02/07/2008)

02/07/2008 46 REPLY MEMORANDUM OF LAW in Support re: 22 MOTION to Appoint U.S. PUBLIC FUND GROUP to serve as lead plaintiff(s). MOTION to Appoint U.S. PUBLIC FUND GROUP to serve as lead plaintiff(s).. Document filed by State Teachers Retirement System of Ohio, State Universities Retirement System of Illinois. (Attachments: # 1 Exhibit A)(Silk, Gerald) (Entered: 02/07/2008)

02/07/2008 47 CERTIFICATE OF SERVICE. Document filed by State Teachers Retirement System of Ohio, State Universities Retirement System of Illinois. (Silk, Gerald) (Entered: 02/07/2008)

02/07/2008 48 FILING ERROR - DEFICIENT DOCKET ENTRY - (SEE DOCUMENT # 53) - REPLY MEMORANDUM OF LAW in Support re: 10 MOTION to Consolidate Cases 07-10258 07-09901 . MOTION to Appoint Public Employees' Retirement Association of Colorado, Tennessee Consolidated Retirement System, Sjunde AP-Fonden, Fjarde AP-Fonden, pensionskassernes Administration A/S to serve as lead plaintiff(s). MOTION to Appoint Counsel Entwistle & Cappucci LLP and Schiffrin Barroway Topaz and Kessler, LLP . MOTION to Appoint Public Employees' Retirement Association of Colorado, Tennessee Consolidated Retirement System, Sjunde AP-Fonden, Fjarde AP-Fonden, pensionskassernes Administration A/S to serve as lead plaintiff(s).. Document filed by Public Employees' Retirement Association of Colorado, Tennessee Consolidated Retirement System, Sjunde Ap-Fonden, Fjarde Ap-Fonden, Pensionskassernes Administration A/S. (Entwistle, Andrew) Modified on 2/14/2008 (gf). (Entered: 02/07/2008)

Page 24: U.S. District Court Southern District of New York (Foley Square) …securities.stanford.edu/.../C_01/201387_r01k_07CV09901.pdf · 2013-08-07 · US District Court Civil Docket as

02/07/2008 49 DECLARATION of Andrew J. Entwistle in Support re: 10 MOTION to Consolidate Cases 07-10258 07-09901 . MOTION to Appoint Public Employees' Retirement Association of Colorado, Tennessee Consolidated Retirement System, Sjunde AP-Fonden, Fjarde AP-Fonden, pensionskassernes Administration A/S to serve as lead plaintiff(s). MOTION to Appoint Counsel Entwistle & Cappucci LLP and Schiffrin Barroway Topaz and Kessler, LLP . MOTION to Appoint Public Employees' Retirement Association of Colorado, Tennessee Consolidated Retirement System, Sjunde AP-Fonden, Fjarde AP-Fonden, pensionskassernes Administration A/S to serve as lead plaintiff(s).. Document filed by Public Employees' Retirement Association of Colorado, Tennessee Consolidated Retirement System, Sjunde Ap-Fonden, Fjarde Ap-Fonden, Pensionskassernes Administration A/S. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3, # 4 Exhibit 4, # 5 Exhibit 5, # 6 Exhibit 6, # 7 Exhibit 7, # 8 Exhibit 8, # 9 Exhibit 9, # 10 Exhibit 10)(Entwistle, Andrew) (Entered: 02/07/2008)

02/07/2008 50 MEMORANDUM OF LAW in Opposition re: 41 MOTION to Strike Document No. [37 (Exhibit B)] The Declaration of the Honorable Marc Dann and William J. Neville. MOTION to Strike Document No. [37 (Exhibit B)] The Declaration of the Honorable Marc Dann and William J. Neville .. Document filed by State Teachers Retirement System of Ohio. (Silk, Gerald) (Entered: 02/07/2008)

02/07/2008 51

02/13/2008 53

CERTIFICATE OF SERVICE. Document filed by State Teachers Retirement System of Ohio. (Silk, Gerald) (Entered: 02/07/2008)

REPLY MEMORANDUM OF LAW in Support re: 10 MOTION to Consolidate Cases 07-10258 07-09901 . MOTION to Appoint Public Employees' Retirement Association of Colorado, Tennessee Consolidated Retirement System, Sjunde AP-Fonden, Fjarde AP-Fonden, pensionskassernes Administration A/S to serve as lead plaintiff(s). MOTION to Appoint Counsel Entwistle & Cappucci LLP and Schiffrin Barroway Topaz and Kessler, LLP . MOTION to Appoint Public Employees' Retirement Association of Colorado, Tennessee Consolidated Retirement System, Sjunde AP-Fonden, Fjarde AP-Fonden, pensionskassernes Administration A/S to serve as lead plaintiff(s). CORRECTED . Document filed by Public Employees' Retirement Association of Colorado, Tennessee Consolidated Retirement System, Sjunde Ap-Fonden, Fjarde Ap-Fonden, Pensionskassernes Administration A/S. (Entwistle, Andrew) (Entered: 02/13/2008)

02/15/2008 54 MOTION for Anne F. O'Berry and Michael J. Pucillo to Appear Pro Hac Vice. Document filed by U.S. Public Fund Group.(jmi) Modified on 2/15/2008 (jmi). (Entered: 02/15/2008)

02/19/2008 55 ORDER ADMITTING COUNSEL PRO HAC VICE granting 54 Motion for Michael J. Pucillo to Appear Pro Hac Vice. Michael J. Pucillo is admitted pro hac vice in the above captioned actions. (Signed by Judge Sidney H. Stein on 2/19/08) (tro) (Entered: 02/19/2008)

02/19/2008 Transmission to Attorney Admissions Clerk. Transmitted re: 55 Order on Motion to Appear Pro Hac Vice, to the Attorney Admissions Clerk for updating of Attorney Information. (tro) (Entered: 02/19/2008)

02/25/2008 56 TRANSCRIPT of proceedings held on 2/8/08 before Judge Sidney H. Stein. (jbe) (Entered: 02/25/2008)

Page 25: U.S. District Court Southern District of New York (Foley Square) …securities.stanford.edu/.../C_01/201387_r01k_07CV09901.pdf · 2013-08-07 · US District Court Civil Docket as

02/26/2008

CASHIERS OFFICE REMARK on 55 Order on Motion to Appear Pro Hac Vice in the amount of $25.00, paid on 02/11/2008, Receipt Number 640969. (jd) (Entered: 02/26/2008)

07/15/2008 57 NOTICE OF WITHDRAWAL withdrawing 5 Motion to Appoint ; withdrawing 6 Motion to Appoint Counsel. David Garden, through his counsel, hereby withdraws his motion for lead plaintiff and appointment of lead counsel. ENDORSEMENT: [Motions 5 & 6 in 07 Civ 9901] [Motions 12 & 13 in 07 Civ. 10258]. SO ORDERED. (Signed by Judge Sidney H. Stein on 7/15/08) (tro) (Entered: 07/15/2008)

08/15/2008

08/19/2008

09/03/2008

58 ORDER: It is hereby ordered that there will be a pretrial conference in these actions on Tuesday, August 19, 2008, at 10:00 a.m. for the Court to render its decision on the pending motions to consolidate, for lead plaintiff, and for lead counsel. Counsel who wish to appear by phone may do so by jointly arranging a conference call to 212-805- 0087 on that date and time. so Ordered. (Signed by Judge Sidney H. Stein on 8/15/08) (js) (Entered: 08/15/2008)

59 ORDER granting (13) Motion to Appoint ; granting (13) Motion to Appoint Counsel ; granting (13) Motion to Consolidate Cases 1:07-cv-9901 (as Lead Case) with 1:07-cv-10258, 1:08-cv-135, 1:08-cv-136 in case 1:07-cv-09901-SHS. These actions shall be consolidated for all purposes. All future documents shall be filed via ECF in the consolidated action and bear the following caption: In Re: Citigroup Inc. Securities Litigation. The ATD Group is appointed as interim lead plaintiff. The law firm of Kirby McInerney LLP is appointed as interim lead counsel. The following motions are terminated: Case No. 07-cv-9901- 4, 10, 13, 14, 17, 22, 41; 07-cv-10258- 11, 16, 19, 21; 08-cv-135- 3, 6, 8. (Signed by Judge Sidney H. Stein on 8/19/08) Filed In Associated Cases: 1:07-cv-09901-SHS, 1:07-cv-10258-SHS, 1:08-cv-00135-SHS, 1:08-cv-00136-SHS(tro) (Entered: 08/19/2008)

60 MOTION for Reconsideration NOTICE OF THE PUBLIC EMPLOYEES' RETIREMENT ASSOCIATION OF COLORADO AND THE TENNESSEE CONSOLIDATED RETIREMENT SYSTEM'S MOTION FOR RECONSIDERATION OF THE COURT'S ORDER APPOINTING INTERIM LEAD PLAINTIFF . Document filed by Public Employees' Retirement Association of Colorado, Tennessee Consolidated Retirement System.(Entwistle, Andrew) (Entered: 09/03/2008)

09/03/2008

09/04/2008

09/18/2008

61 MEMORANDUM OF LAW in Support re: 60 MOTION for Reconsideration NOTICE OF THE PUBLIC EMPLOYEES' RETIREMENT ASSOCIATION OF COLORADO AND THE TENNESSEE CONSOLIDATED RETIREMENT SYSTEM'S MOTION FOR RECONSIDERATION OF THE COURT'S ORDER APPOINTING INTERIM LEAD PLAINTIFF .. Document filed by Public Employees' Retirement Association of Colorado, Tennessee Consolidated Retirement System. (Entwistle, Andrew) (Entered: 09/03/2008)

62 TRANSCRIPT of proceedings held on 8/19/08 before Judge Sidney H. Stein. (ama) (Entered: 09/04/2008)

63 ENDORSED LETTER addressed to Judge Sidney H. Stein from Ira Press dated 9/17/08 re: Request that ATD Group's opposition to the motion is due 9/22/08. ENDORSEMENT: So ordered. ( Response due by 9/22/2008) (Signed by Judge Sidney H. Stein on 9/18/08) (cd) Modified on 9/24/2008 (cd). (Entered: 09/18/2008)

09/22/2008 64 REPLY MEMORANDUM OF LAW in Opposition re: 60 MOTION for

Page 26: U.S. District Court Southern District of New York (Foley Square) …securities.stanford.edu/.../C_01/201387_r01k_07CV09901.pdf · 2013-08-07 · US District Court Civil Docket as

Reconsideration NOTICE OF THE PUBLIC EMPLOYEES' RETIREMENT ASSOCIATION OF COLORADO AND THE TENNESSEE CONSOLIDATED RETIREMENT SYSTEM'S MOTION FOR RECONSIDERATION OF THE COURT'S ORDER APPOINTING INTERIM LEAD PLAINTIFF .. Document filed by ATD Group. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3)(Press, Ira) (Entered: 09/22/2008)

09/24/2008

10/02/2008

10/20/2008

65 CASE MANAGEMENT ORDER NO. 1: The consolidated case shall be referred to collectively as In re Citigroup Inc. Securities Litigation, Master File No. 07-Civ-9901. The Clerk of the Court shall maintain a master docket and master file in the Consolidated Action, including subsequently consolidated actions, under Civil Action No. 07-cv-9901 (SHS). The Consolidated Complaint shall be filed within forty five (45) days of the date of the filing of this Order and shall be the operative complaint and shall supersede all complaints filed in any of the actions consolidated herein. Defendants shall answer, move or otherwise respond to the Consolidated Complaint, within forty five (45) days of its service. Plaintiffs shall file and serve their opposition papers to any motion(s) to dismiss by defendants within forty five (45) days of the service of the defendants motion(s). Defendants shall file and serve their reply brief(s) to plaintiffs' opposition papers within twenty (20) days of their service. (Signed by Judge Sidney H. Stein on 9/23/2008) (tve) (Entered: 09/24/2008)

66 REPLY MEMORANDUM OF LAW in Support re: 60 MOTION for Reconsideration NOTICE OF THE PUBLIC EMPLOYEES' RETIREMENT ASSOCIATION OF COLORADO AND THE TENNESSEE CONSOLIDATED RETIREMENT SYSTEM'S MOTION FOR RECONSIDERATION OF THE COURT'S ORDER APPOINTING INTERIM LEAD PLAINTIFF .. Document filed by Public Employees' Retirement Association of Colorado, Tennessee Consolidated Retirement System. (Entwistle, Andrew) (Entered: 10/02/2008)

67 ENDORSED LETTER addressed to Judge Sidney H. Stein from Lewis R. Clayton dated 10/10/2008 re: On On behalf of defendants in the above-captioned actions, we write to, request that the Court set a common deadline of December 26, 2008, for defendants to file their motions to dismiss in each of these action. ENDORSEMENT: Request denied. So ordered. (Signed by Judge Sidney H. Stein on 10/18/2008) (jmi) (Entered: 10/21/2008)

Set/Reset Deadlines: Motions due by 12/26/2008. (jmi) (Entered: 10/28/2008)

68 STIPULATION EXTENDING TIME FOR PLAINTIFFS TO FILE

10/20/2008

11/05/2008 CONSOLIDATED CLASS ACTION COMPLAINT AND FOR DEFENDANTS TO RESPOND: That Plaintiffs' time to file their Complaint shall be extended to and including December 1, 2008. Defendants' time to answer, move against, or otherwise respond to the Complaint shall be extended to and including 1/16/08; plaintiffs time to respond to any motion is extended until 3/2/09; reply is due 3/23/09. (Motions due by 1/16/2009. Replies due by 3/23/2009. Responses due by 3/2/2009) (Signed by Judge Sidney H. Stein on 11/5/08) Filed In Associated Cases: 1:07-cv-09901-SHS, 1:07-cv-10258-SHS, 1:08-cv-00135-SHS, 1:08-cv-00136-SHS(db) (Entered: 11/05/2008)

12/01/2008 69 CONSOLIDATED CLASS ACTION AMENDED COMPLAINT amending 1 Complaint, against Todd S. Thomson, Thomas G. Maheras, Michael Stuart Klein, David C. Bushnell, John C. Gerspach, Sallie L. Krawcheck, Gary L. Crittenden, Robert Druskin, Steven J. Freiberg, Lewis B. Kaden, Citigroup Inc., Charles O.

Page 27: U.S. District Court Southern District of New York (Foley Square) …securities.stanford.edu/.../C_01/201387_r01k_07CV09901.pdf · 2013-08-07 · US District Court Civil Docket as

Prince, Robert E. Rubin, Stephen R. Volk. Document filed by John A. Baden, Warren Pinchuk, Anthony Sedutto, Edward Claus, Carol Weil, ATD Group. Related document: 1 Complaint, filed by Tillie Saltzman.(dle) (jfe). (Entered: 12/04/2008)

12/30/2008 70 NOTICE of Notice of Change of Firm Name and Office Address. Document filed by State Universities Retirement System of Illinois. (Block, Jeffrey) (Entered: 12/30/2008)

01/07/2009 71 STIPULATION EXTENDING TIME FOR DEFENDANTS' RESPONSE TO THE CONSOLIDATED CLASS ACTION COMPLAINT: Defendants' time to answer, move against, or otherwise respond to the Complaint shall be extended to and including February 12, 2009. Plaintiffs' time to oppose any motion shall be extended to April 12, 2009. Any reply shall be extended to and including April 23, 2009. Sallie L. Krawcheck answer due 2/12/2009; Gary L. Crittenden answer due 2/12/2009; Robert Druskin answer due 2/12/2009; C. Michael Armstrong answer due 2/12/2009; Alain J.P. Belda answer due 2/12/2009; George David answer due 2/12/2009; Kenneth T. Derr answer due 2/12/2009; John M. Deutch answer due 2/12/2009; Roberto Hernandez Ramirez answer due 2/12/2009; Ann Dibble Jordan answer due 2/12/2009; Klaus Kleinfeld answer due 2/12/2009; Andrew N. Liveris answer due 2/12/2009; Dudley C. Mecum answer due 2/12/2009; Anne M. Mulcahy answer due 2/12/2009; Richard D. Parsons answer due 2/12/2009; Judith Rodin answer due 2/12/2009; Robert E. Rubin answer due 2/12/2009; Robert L. Ryan answer due 2/12/2009; Franklin A. Thomas answer due 2/12/2009; Winfried Bischoff answer due 2/12/2009; William R. Rhodes answer due 2/12/2009; Steven J. Freiberg answer due 2/12/2009; Michael S. Helfer answer due 2/12/2009; Lewis B. Kaden answer due 2/12/2009; Todd S. Thomson answer due 2/12/2009; Thomas G. Maheras answer due 2/12/2009; Michael Stuart Klein answer due 2/12/2009; David C. Bushnell answer due 2/12/2009; John C. Gerspach answer due 2/12/2009; Citigroup Inc. answer due 2/12/2009; Charles O. Prince answer due 2/12/2009; Stephen R. Volk answer due 2/12/2009; Richard D Parsons answer due 2/12/2009; CitiGroup Inc. answer due 2/12/2009; Charles Prince answer due 2/12/2009; Sallie Krawcheck answer due 2/12/2009; Michael Klein answer due 2/12/2009; CitiGroup, Inc. answer due 2/12/2009; Gary Crittenden answer due 2/12/2009; Robert Druskin answer due 2/12/2009; KPMG LLP answer due 2/12/2009; KPMG, LLP answer due 2/12/2009. (Motions due by 2/12/2009. Replies due by 4/23/2009. Responses due by 4/12/2009) (Signed by Judge Sidney H. Stein on 1/7/09) Filed In Associated Cases: 1:07-cv-09901-SHS, 1:07-cv-10258-SHS, 1:08-cv-00135-SHS, 1:08-cv-00136-SHS(db) (Entered: 01/07/2009)

01/09/2009 72 NOTICE of Errata To Plaintiffs' Consolidated Class Action Complaint. Document filed by ATD Group. Filed In Associated Cases: 1:07-cv-09901-SHS, 1:07-cv-10258- SHS, 1:08-cv-00135-SHS, 1:08-cv-00136-SHS(Press, Ira) (Entered: 01/09/2009)

02/06/2009 73 STIPULATION PERMITTING FILING OF AMENDED CONSOLIDATED CLASS ACTION COMPLAINT AND EXTENDING DEADLINE: IT IS HEREBY STIPULATED AND AGREED as follows by and among the undersigned counsel for the parties: The Securities Plaintiff shall be permitted to file an Amended Consolidated Class Action Complaint in the Citigroup Securities Litigation to account for "recent events": Feb. 20, 2009. Defendant shall have until Mar. 13, 2009 to answer, move against, or otherwise respond to the Amended Securities Complaint; the Securities Plaintiffs shall have until Apr. 24, 2009 to oppose any such motion against the Amended Securities Complaint; and Defendants shall have until May 13, 2009 to

Page 28: U.S. District Court Southern District of New York (Foley Square) …securities.stanford.edu/.../C_01/201387_r01k_07CV09901.pdf · 2013-08-07 · US District Court Civil Docket as

submit a reply on any such motion. The Defendants' time to answer, move against or otherwise respond to the Amended Bond Complaint in the Citigroup Bond Litigation shall be extended from February 16, 2009 to March 13, 2009. The Plaintiffs in the Citigroup Bond Litigation (the "Bond Plaintiffs") shall have until Apr. 24, 2009 to oppose any motion against the Amended Bond Complaint, and Defendants shall have until May 13, 2009 to reply on such motion. IT IS FURTHER STIPULATED AND AGREED that nothing herein shallbe deemed to constitute a waiver of any defenses in these actions. Defendants reserve allarguments and defenses in these actions. (Signed by Judge Sidney H. Stein on 2/6/2009) (jfe) Modified on 2/24/2009 (jfe). (Entered: 02/09/2009)

02/24/2009 74 AMENDED CONSOLIDATED CLASS ACTION AMENDED COMPLAINT amending 69 Amended Complaint,, against Sallie L. Krawcheck, Gary L. Crittenden, Robert Druskin, Robert E. Rubin, Steven J. Freiberg, Lewis B. Kaden, Todd S. Thomson, Thomas G. Maheras, Michael Stuart Klein, David C. Bushnell, John C. Gerspach, Citigroup Inc., Charles O. Prince, Stephen R. Volk.Document filed by John A. Baden, Warren Pinchuk, Anthony Sedutto, Edward Claus, Carol Weil, Jonathan Butler, M. David Diamond, David Whitcomb, Henrietta Whitcomb, ATD Group. Related document: 69 Amended Complaint,, filed by Carol Weil, Edward Claus, ATD Group, Anthony Sedutto, Warren Pinchuk, John A. Baden.(dle) (Entered: 02/24/2009)

03/12/2009 75 ENDORSED LETTER addressed to Judge Sidney H. Stein from Susanna M. Buergel dated 3/10/09 re: Counsel requests leave to file a brief not to exceed 75 pages In re Citigroup Inc. Securities Litigation. Plaintiffs consent to this page extension, subject to defendants consent to a similar page extension for plaintiffs opposition brief to defendants motion to dismiss. Counsel also requests leave of the Court to file a brief not to exceed 70 pages in In re Citigroup Inc Bond Litigation. ENDORSEMENT: So ordered. (Signed by Judge Sidney H. Stein on 3/11/09) (mme) (Entered: 03/12/2009)

03/13/2009 76 MOTION to Dismiss the Amended Consolidated Class Action Complaint . Document filed by Vikram Pandit, Sallie L. Krawcheck, Gary L. Crittenden, Robert Druskin, Steven J. Freiberg, Lewis B. Kaden, Todd S. Thomson, Thomas G. Maheras, Michael Stuart Klein, David C. Bushnell, John C. Gerspach, Citigroup Inc., Charles O. Prince, Robert E. Rubin, Stephen R. Volk.(Rosen, Richard) (Entered: 03/13/2009)

03/13/2009 77 MEMORANDUM OF LAW in Support re: 76 MOTION to Dismiss the Amended Consolidated Class Action Complaint .. Document filed by Sallie L. Krawcheck, Gary L. Crittenden, Robert Druskin, Steven J. Freiberg, Lewis B. Kaden, Todd S. Thomson, Thomas G. Maheras, Michael Stuart Klein, David C. Bushnell, John C. Gerspach, Vikram Pandit, Citigroup Inc., Charles O. Prince, Robert E. Rubin, Stephen R. Volk. (Rosen, Richard) (Entered: 03/13/2009)

03/13/2009 78 DECLARATION of Richard A. Rosen in Support re: 76 MOTION to Dismiss the Amended Consolidated Class Action Complaint .. Document filed by Sallie L. Krawcheck, Gary L. Crittenden, Robert Druskin, Steven J. Freiberg, Lewis B. Kaden, Todd S. Thomson, Thomas G. Maheras, Michael Stuart Klein, David C. Bushnell, John C. Gerspach, Vikram Pandit, Citigroup Inc., Charles O. Prince, Robert E. Rubin, Stephen R. Volk. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3, # 4 Exhibit 4, # 5 Exhibit 5, # 6 Exhibit 6, # 7 Exhibit 7, # 8 Exhibit 8, # 9 Exhibit 9, # 10 Exhibit 10, # 11 Exhibit 11, # 12 Exhibit 12, # 13 Exhibit 13, # 14 Exhibit 14, # 15 Exhibit 15, # 16 Exhibit 16, # 17 Exhibit 17, # 18 Exhibit 18, # 19 Exhibit 19, # 20 Exhibit 20, # 21 Exhibit 21, # 22 Exhibit 22, # 23 Exhibit 23, # 24 Exhibit 24 PT1, # 25 Exhibit 24

Page 29: U.S. District Court Southern District of New York (Foley Square) …securities.stanford.edu/.../C_01/201387_r01k_07CV09901.pdf · 2013-08-07 · US District Court Civil Docket as

PT2, # 26 Exhibit 24 PT3, # 27 Exhibit 24 PT4, # 28 Exhibit 24 PT5, # 29 Exhibit 25, # 30 Exhibit 26, # 31 Exhibit 27, # 32 Exhibit 28, # 33 Exhibit 29, # 34 Exhibit 30, # 35 Exhibit 31, # 36 Exhibit 32)(Rosen, Richard) (Entered: 03/13/2009)

04/24/2009

79 MEMORANDUM OF LAW in Opposition re: 76 MOTION to Dismiss the Amended Consolidated Class Action Complaint .. Document filed by ATD Group. (Press, Ira) (Entered: 04/24/2009)

04/24/2009

05/12/2009

05/13/2009

05/13/2009

08/21/2009

08/21/2009

08/21/2009

80 DECLARATION of Ira M. Press in Opposition re: 76 MOTION to Dismiss the Amended Consolidated Class Action Complaint .. Document filed by ATD Group. (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)(Press, Ira) (Entered: 04/24/2009)

81 STIPULATION AND ORDER: It is hereby Stipulated and agreed that the page limit for the Defendants' Reply Memorandum of Law in Further Support of their motion to dismiss the amended consolidated action complaint should be enlarged to 30 pages. (Signed by Judge Sidney H. Stein on 5/12/2009) Filed In Associated Cases: 1:07-cv-09901-SHS, 1:07-cv-10258-SHS, 1:08-cv-00135-SHS, 1:08-cv-00136-SHS(jfe) (Entered: 05/12/2009)

82 REPLY MEMORANDUM OF LAW in Support re: 76 MOTION to Dismiss the Amended Consolidated Class Action Complaint .. Document filed by Sallie L. Krawcheck, Gary L. Crittenden, Robert Druskin, Steven J. Freiberg, Lewis B. Kaden, Todd S. Thomson, Thomas G. Maheras, Michael Stuart Klein, David C. Bushnell, John C. Gerspach, Vikram Pandit, Citigroup Inc., Charles O. Prince, Robert E. Rubin, Stephen R. Volk. (Rosen, Richard) (Entered: 05/13/2009)

83 DECLARATION of Richard A. Rosen in Support re: 76 MOTION to Dismiss the Amended Consolidated Class Action Complaint .. Document filed by Sallie L. Krawcheck, Gary L. Crittenden, Robert Druskin, Steven J. Freiberg, Lewis B. Kaden, Todd S. Thomson, Thomas G. Maheras, Michael Stuart Klein, David C. Bushnell, John C. Gerspach, Vikram Pandit, Citigroup Inc., Charles O. Prince, Robert E. Rubin, Stephen R. Volk. (Attachments: # 1 Exhibit 33, # 2 Exhibit 34, # 3 Exhibit 35, # 4 Exhibit 36, # 5 Exhibit 37, # 6 Exhibit 38, # 7 Exhibit 39, # 8 Exhibit 40, # 9 Exhibit 41, # 10 Exhibit 42, # 11 Exhibit 43, # 12 Exhibit 44, # 13 Exhibit 45)(Rosen, Richard) (Entered: 05/13/2009)

84 CERTIFIED TRUE COPY OF CONDITIONAL MDL TRANSFER IN ORDER FROM THE MDL PANEL... that pursuant to 28 U.S.C. 1407, the action(s) listed... and pending... be, and the same hereby are, transferred to the Southern District of New York and, with consent of that court, assigned to the Honorable Sidney H. Stein, for coordinated or consolidated pretrial proceedings with the actions pending in that district... (Signed by MDL Panel on 8/7/09) (ldi) (Entered: 08/21/2009)

CASE ACCEPTED AS RELATED. Create association to 1:09-md-02070-SHS. (ldi) (Entered: 08/21/2009)

CONSOLIDATED MDL CASE: Create association to 1:09-md-02070-SHS. (ldi) (Entered: 08/21/2009)

08/31/2009 85 ORDER. The motion for reconsideration is granted solely to the extent that this court

Page 30: U.S. District Court Southern District of New York (Foley Square) …securities.stanford.edu/.../C_01/201387_r01k_07CV09901.pdf · 2013-08-07 · US District Court Civil Docket as

will permit the discovery sought by Colorado PERA and TCRS. However, the discovery is stayed until the determination of the pending motion to dismiss the complaint filed by defendants on March 13, 2009. (Signed by Judge Sidney H. Stein on 8/28/09). Filed In Associated Cases: 1:09-md-02070-SHS, 1:07-cv-09901- SHS(djc) (Entered: 08/31/2009)

12/30/2009 86 NOTICE of Submission of Supplemental Evidence to Honorable Sidney H. Stein. Document filed by ATD Group. (Press, Ira) (Entered: 12/30/2009)

04/23/2010 87 NOTICE of Submission. Document filed by ATD Group. (Attachments: # 1 April 22, 2010 Letter, # 2 Exhibit A, # 3 Exhibit B, # 4 Exhibit C, # 5 Exhibit D)(Press, Ira) (Entered: 04/23/2010)

11/09/2010 88 OPINION AND ORDER: For the reasons set forth above, defendants' motion to dismiss is DENIED with respect to 1) the Section 10(b) claims against Citigroup and the Section 10(b) and 20(a) claims against Prince, Crittenden, Druskin, Maheras, Klein, Bushnell and Rubin for the alleged misstatements and omissions relating to Citigroup's CDO exposure during the period from February 2007 through November 3, 2007; 2) the Section l0(b) claims against Citigroup and the Section lO(b) and 20(a) claims against Crittenden for the alleged CDO-related misstatements and omissions occurring in the period from November 4, 2007 to April 2008. Defendants' motion to dismiss the remainder of plaintiffs' claims is GRANTED. (Signed by Judge Sidney H. Stein on 11/9/2010) (ae) (Entered: 11/09/2010)

11/22/2010 89 STIPULATION AND ORDER EXTENDING DEFENDANTS' TIME TO ANSWER THE AMENDED CONSOLIDATED CLASS ACTION COMPLAINT: It is hereby Stipulated and agreed that the defendants' last day to file an answer to the complaint shall be extended up to and including 1/14/2011. (Signed by Judge Sidney H. Stein on 11/22/2010) (jfe) (Entered: 11/22/2010)

11/22/2010 Set Deadlines/Hearings:CitiGroup, Inc. answer due 1/14/2011; Gary L. Crittenden answer due 1/14/2011; George David answer due 1/14/2011; Robert Druskin answer due 1/14/2011; John C. Gerspach answer due 1/14/2011; KPMG, LLP answer due 1/14/2011; Michael Stuart Klein answer due 1/14/2011; Sallie L. Krawcheck answer due 1/14/2011; Thomas G. Maheras answer due 1/14/2011; Charles O. Prince answer due 1/14/2011; Robert E. Rubin answer due 1/14/2011; Todd S. Thomson answer due 1/14/2011; Stephen R. Volk answer due 1/14/2011; David C. Bushnell answer due 1/14/2011; CitiGroup Inc. answer due 1/14/2011; KPMG LLP answer due 1/14/2011; C. Michael Armstrong answer due 1/14/2011; Alain J.P. Belda answer due 1/14/2011; Winfried Bischoff answer due 1/14/2011; Citigroup Inc. answer due 1/14/2011; Kenneth T. Derr answer due 1/14/2011; John M. Deutch answer due 1/14/2011; Robert Druskin answer due 1/14/2011; Steven J. Freiberg answer due 1/14/2011; Michael S. Helfer answer due 1/14/2011; Ann Dibble Jordan answer due 1/14/2011; Lewis B. Kaden answer due 1/14/2011; Klaus Kleinfeld answer due 1/14/2011; Andrew N. Liveris answer due 1/14/2011; Dudley C. Mecum answer due 1/14/2011; Anne M. Mulcahy answer due 1/14/2011; Richard D. Parsons answer due 1/14/2011; Roberto Hernandez Ramirez answer due 1/14/2011; William R. Rhodes answer due 1/14/2011; Judith Rodin answer due 1/14/2011; Robert L. Ryan answer due 1/14/2011; Franklin A. Thomas answer due 1/14/2011; Gary Crittenden answer due 1/14/2011; Michael Klein answer due 1/14/2011; Sallie Krawcheck answer due 1/14/2011; Richard D Parsons answer due 1/14/2011; Charles Prince answer due 1/14/2011. Associated Cases: 1:07-cv-09901-SHS, 1:07-cv-10258-SHS, 1:08-cv-

Page 31: U.S. District Court Southern District of New York (Foley Square) …securities.stanford.edu/.../C_01/201387_r01k_07CV09901.pdf · 2013-08-07 · US District Court Civil Docket as

00135-SHS, 1:08-cv-00136-SHS(ae) (Entered: 11/23/2010)

11/22/2010 Set/Reset Deadlines: Vikram Pandit answer due 1/14/2011. (jfe) (Entered: 11/23/2010)

12/22/2010 90 STIPULATION AND PROTECTIVE ORDER...regarding procedures to be followed that shall govern the handling of confidential material...This protective Order may be amended for good cause shown. (Signed by Judge Sidney H. Stein on 12/22/2010) Filed In Associated Cases: 1:09-md-02070-SHS, 1:07-cv-09901-SHS, 1:07-cv-10258- SHS, 1:08-cv-00135-SHS, 1:08-cv-00136-SHS(jfe) (Entered: 12/22/2010)

12/23/2010 91 STIPULATION AND SCHEDULING ORDER: Pursuant to Federal Rule of Civil Procedure 26(f), counsel for the parties to this Action met and conferred on December 2, 2010 and December 9, 2010. In accordance with Rule 26(f)(2), the parties have considered the nature and basis of their claims and defenses, and hereby jointly submit this proposed Joint Discovery Plan. Concurrent with the submission of their Joint Discovery Plan, the parties have also submitted a stipulated Proposed Pretrial Schedule, as set forth in this Stipulated Scheduling Order. Amended Pleadings due by 4/13/2012. Joinder of Parties due by 10/13/2011. Motions due by 9/28/2012. Responses due by 10/26/2012 Replies due by 11/9/2012. Deposition due by 8/28/2012. Discovery due by 3/30/2012. Filing of Proposed Pretrial Order by December 2012. (Signed by Judge Sidney H. Stein on 12/22/2010) Filed In Associated Cases: 1:09-md-02070-SHS, 1:07-cv-09901-SHS, 1:07-cv-10258-SHS, 1:08-cv-00135-SHS, 1:08-cv-00136-SHS(ae) (Entered: 12/23/2010)

01/14/2011 92 ANSWER to Amended Complaint with JURY DEMAND. Document filed by David C. Bushnell, Citigroup Inc., Gary L. Crittenden, Robert Druskin, Michael Stuart Klein, Thomas G. Maheras, Charles O. Prince, Robert E. Rubin.(Buergel, Susanna) (Entered: 01/14/2011)

02/04/2011 93 NOTICE of Motion for Withdrawal of Appearance. Document filed by Public Employees' Retirement Association of Colorado, Tennessee Consolidated Retirement System. (Attachments: # 1 Text of Proposed Order)Filed In Associated Cases: 1:07- cv-09901-SHS, 1:08-cv-00135-SHS(Whitman, Johnston) (Entered: 02/04/2011)

02/07/2011 94 MEMO ENDORSEMENT on re: (93 in 1:07-cv-09901-SHS, 36 in 1:08-cv-00135- SHS) Notice of Motion for Withdrawal of Appearance filed by Tennessee Consolidated Retirement System, Public Employees' Retirement Association of Colorado. ENDORSEMENT: So Ordered. (Signed by Judge Sidney H. Stein on 2/7/2011) Filed In Associated Cases: 1:07-cv-09901-SHS, 1:08-cv-00135-SHS(jar) (Entered: 02/07/2011)

03/08/2011 95 NOTICE of Motion for Withdrawal of Appearance. Document filed by Public Employees' Retirement Association of Colorado, Tennessee Consolidated Retirement System. (Attachments: # 1 Text of Proposed Order)Filed In Associated Cases: 1:07- cv-09901-SHS, 1:08-cv-00135-SHS(Gonnello, Richard) (Entered: 03/08/2011)

03/09/2011 96 MEMO ENDORSEMENT on re: 95 Notice (Other), Notice (Other) filed by Tennessee Consolidated Retirement System, Public Employees' Retirement Association of Colorado. ENDORSEMENT: So Ordered. (Signed by Judge Sidney H. Stein on 3/9/2011) (jfe) (Entered: 03/09/2011)

05/13/2011 97 NOTICE of Filing of Undertaking of KPMG Regarding Stipulation and Agreed Protective Order. Document filed by ATD Group. (Linden, Peter) (Entered:

Page 32: U.S. District Court Southern District of New York (Foley Square) …securities.stanford.edu/.../C_01/201387_r01k_07CV09901.pdf · 2013-08-07 · US District Court Civil Docket as

F1 1 05/13/2011)

06/23/2011 98 NOTICE OF APPEARANCE by Jane Baek O'Brien on behalf of David C. Bushnell, Citigroup Inc., Gary L. Crittenden, Robert Druskin, Steven J. Freiberg, John C. Gerspach, Lewis B. Kaden, Michael Stuart Klein, Sallie L. Krawcheck, Thomas G. Maheras, Vikram Pandit, Charles O. Prince, Robert E. Rubin, Todd S. Thomson, Stephen R. Volk (O'Brien, Jane) (Entered: 06/23/2011)

06/27/2011 99 ORDER, the parties jointly proposed an extended briefing schedule for Plaintiffs' motion for class certification as follows: 1. The time for Plaintiffs to submit their Motion shall be extended until Friday, July 15, 2011. 2. The time for Defendants to submit their Opposition shall be extended until Monday, August 29, 2011. 3. The time for Plaintiffs to submit their Reply shall be extended until Monday, September 26,2011. There will be no further extensions. ( Motions due by 7/15/2011., Responses due by 8/29/2011, Replies due by 9/26/2011.) (Signed by Judge Sidney H. Stein on 6/24/11) (pl) (Entered: 06/27/2011)

07/07/2011 100 ENDORSED LETTER addressed to Judge Denise L. Cote from Brad S. Karp dated 7/1/11 re: counsel defendants respectfully request that the Court transfer the AHW Lawsuit to Judge Stein as related to the Odom Lawsuit, the Securities Litigation, and the Bond Litigation. ENDORSEMENT: Any application for reassignment to Judge Stein must be made to Judge Stein. (Signed by Judge Denise L. Cote on 7/7/11) (pl) Modified on 7/11/2011 (pl). (Entered: 07/11/2011)

07/15/2011 101 MOTION to Certify Class. Document filed by ATD Group, John A. Baden, Jonathan Butler, Edward Claus, M. David Diamond, Warren Pinchuk, Public Employees' Retirement Association of Colorado, Anthony Sedutto, Tennessee Consolidated Retirement System, Carol Weil, David Whitcomb, Henrietta Whitcomb. Responses due by 8/29/2011(Linden, Peter) (Entered: 07/15/2011)

07/15/2011 102 DECLARATION of Gregg A. Jarrell in Support re: 101 MOTION to Certify Class.. Document filed by ATD Group, John A. Baden, Jonathan Butler, Edward Claus, M. David Diamond, Warren Pinchuk, Public Employees' Retirement Association of Colorado, Anthony Sedutto, Tennessee Consolidated Retirement System, Carol Weil, David Whitcomb, Henrietta Whitcomb. (Attachments: # 1 Exhibit 1-9, # 2 Appendix A (with Exhibits A-1 - A-4), # 3 Appendix B)(Linden, Peter) (Entered: 07/15/2011)

07/15/2011 103 DECLARATION of Edward M. Varga III in Support re: 101 MOTION to Certify Class.. Document filed by ATD Group, John A. Baden, Jonathan Butler, Edward Claus, M. David Diamond, Warren Pinchuk, Public Employees' Retirement Association of Colorado, Tennessee Consolidated Retirement System, Carol Weil, David Whitcomb, Henrietta Whitcomb. (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)(Linden, Peter) (Entered: 07/15/2011)

07/15/2011 104 MEMORANDUM OF LAW in Support re: 101 MOTION to Certify Class.. Document filed by ATD Group, John A. Baden, Jonathan Butler, Edward Claus, M. David Diamond, Warren Pinchuk, Public Employees' Retirement Association of Colorado, Anthony Sedutto, Tennessee Consolidated Retirement System, Carol Weil, David Whitcomb, Henrietta Whitcomb. (Linden, Peter) (Entered: 07/15/2011)

08/18/2011 105 ENDORSED LETTER addressed to Judge Sidney H. Stein, from Brad S. Karp, dated

Page 33: U.S. District Court Southern District of New York (Foley Square) …securities.stanford.edu/.../C_01/201387_r01k_07CV09901.pdf · 2013-08-07 · US District Court Civil Docket as

08/26/2011

10/07/2011

8/17/2011, re: briefing schedule for plaintiffs' motion for class certification. ENDORSEMENT: Last day for depositions Sept. 23; Last day for opposition brief, Oct 12; Last day for reply Nov. 2. So ordered. ( Deposition due by 9/23/2011. Responses due by 10/12/2011. Replies due by 11/2/2011.) (Signed by Judge Sidney H. Stein on 8/18/2011) (ja) (Entered: 08/18/2011)

106 NOTICE of Filing of Undertaking of Non-Parties Regarding Stipulation and Agreed Protective Order. Document filed by ATD Group. (Press, Ira) (Entered: 08/26/2011)

107 ENDORSED LETTER addressed to Judge Sidney H. Stein from Brad S. Karp dated 10/7/2011 re: Pursuant to Your Honor's Individual Practice Rule 2(c), the parties seek permission for defendants to file an oversized opposition brief, not to exceed 60 pages, and for plaintiffs to file an oversized reply brief, no to exceed 45 pages. ENDORSEMENT: Opp brief of up to 45 pages due 10/19; reply of up to 30 pages due 11/9. ( Responses due by 10/19/2011, Replies due by 11/9/2011.) (Signed by Judge Sidney H. Stein on 10/7/2011) (lmb) (Entered: 10/07/2011)

10/19/2011 108 NOTICE of Filing of Undertaking of Non-Party MBIA Regarding Stipulation and Agreed Protective Order. Document filed by ATD Group. (Press, Ira) (Entered: 10/19/2011)

10/19/2011 109 MEMORANDUM OF LAW in Opposition re: 101 MOTION to Certify Class.. Document filed by David C. Bushnell, Citigroup Inc., Gary L. Crittenden, Robert Druskin, John C. Gerspach, Michael Stuart Klein, Sallie L. Krawcheck, Thomas G. Maheras, Vikram Pandit, Charles O. Prince, Robert E. Rubin, Todd S. Thomson, Stephen R. Volk. (Karp, Brad) (Entered: 10/19/2011)

10/19/2011 110 DECLARATION of Professor Allen Ferrell in Opposition re: 101 MOTION to Certify Class.. Document filed by David C. Bushnell, Citigroup Inc., Gary L. Crittenden, Robert Druskin, John C. Gerspach, Michael Stuart Klein, Sallie L. Krawcheck, Thomas G. Maheras, Vikram Pandit, Charles O. Prince, Robert E. Rubin, Todd S. Thomson, Stephen R. Volk. (Karp, Brad) (Entered: 10/19/2011)

10/19/2011 111 DECLARATION of Susanna M. Buergel in Opposition re: 101 MOTION to Certify Class.. Document filed by David C. Bushnell, Citigroup Inc., Gary L. Crittenden, Robert Druskin, John C. Gerspach, Michael Stuart Klein, Sallie L. Krawcheck, Thomas G. Maheras, Vikram Pandit, Charles O. Prince, Robert E. Rubin, Todd S. Thomson, Stephen R. Volk. (Attachments: # 1 Exhibit, # 2 Exhibit, # 3 Exhibit, # 4 Exhibit, # 5 Exhibit, # 6 Exhibit, # 7 Exhibit, # 8 Exhibit, # 9 Exhibit, # 10 Exhibit, # 11 Exhibit, # 12 Exhibit, # 13 Exhibit, # 14 Exhibit, # 15 Exhibit, # 16 Exhibit, # 17 Exhibit, # 18 Exhibit, # 19 Exhibit, # 20 Exhibit, # 21 Exhibit, # 22 Exhibit, # 23 Exhibit, # 24 Exhibit, # 25 Exhibit, # 26 Exhibit, # 27 Exhibit, # 28 Exhibit, # 29 Exhibit, # 30 Exhibit, # 31 Exhibit, # 32 Exhibit, # 33 Exhibit, # 34 Exhibit, # 35 Exhibit, # 36 Exhibit, # 37 Exhibit, # 38 Exhibit, # 39 Exhibit, # 40 Exhibit, # 41 Exhibit, # 42 Exhibit, # 43 Exhibit, # 44 Exhibit, # 45 Exhibit, # 46 Exhibit, # 47 Exhibit, # 48 Exhibit, # 49 Exhibit, # 50 Exhibit, # 51 Exhibit, # 52 Exhibit, # 53 Exhibit, # 54 Exhibit, # 55 Exhibit, # 56 Exhibit, # 57 Exhibit, # 58 Exhibit, # 59 Exhibit, # 60 Exhibit, # 61 Exhibit, # 62 Exhibit, # 63 Exhibit, # 64 Exhibit, # 65 Exhibit)(Karp, Brad) (Entered: 10/19/2011)

10/19/2011 112 SEALED DOCUMENT placed in vault.(mps) (Entered: 10/20/2011)

10/20/2011 113 MOTION to Compel. Document filed by ATD Group, John A. Baden, Jonathan

Page 34: U.S. District Court Southern District of New York (Foley Square) …securities.stanford.edu/.../C_01/201387_r01k_07CV09901.pdf · 2013-08-07 · US District Court Civil Docket as

Butler, Edward Claus, M. David Diamond, Warren Pinchuk, Public Employees' Retirement Association of Colorado, Anthony Sedutto, Tennessee Consolidated Retirement System, Carol Weil, David Whitcomb, Henrietta Whitcomb.(Linden, Peter) (Entered: 10/20/2011)

10/20/2011 114 MEMORANDUM OF LAW in Support re: 113 MOTION to Compel.. Document filed by ATD Group, John A. Baden, Jonathan Butler, Edward Claus, M. David Diamond, Warren Pinchuk, Public Employees' Retirement Association of Colorado, Anthony Sedutto, Tennessee Consolidated Retirement System, Carol Weil, David Whitcomb, Henrietta Whitcomb. (Linden, Peter) (Entered: 10/20/2011)

10/20/2011 115 FILING ERROR - DEFICIENT DOCKET ENTRY - DECLARATION of Peter S. Linden in Support re: 113 MOTION to Compel. Document filed by ATD Group, John A. Baden, Jonathan Butler, Edward Claus, M. David Diamond, Warren Pinchuk, Public Employees' Retirement Association of Colorado, Anthony Sedutto, Tennessee Consolidated Retirement System, Carol Weil, David Whitcomb, Henrietta Whitcomb. (Attachments: # 1 Exhibit Exhibit A, # 2 Exhibit Exhibit B, # 3 Exhibit Exhibit C, # 4 Exhibit Exhibit D)(Linden, Peter) Modified on 10/21/2011 (db). (Entered: 10/20/2011)

10/20/2011 116 DECLARATION of Peter S. Linden in Support re: 113 MOTION to Compel.. Document filed by ATD Group, John A. Baden, Jonathan Butler, Edward Claus, M. David Diamond, Warren Pinchuk, Public Employees' Retirement Association of Colorado, Anthony Sedutto, Tennessee Consolidated Retirement System, Carol Weil, David Whitcomb, Henrietta Whitcomb. (Attachments: # 1 Exhibit EXHIBIT A, # 2 Exhibit EXHIBIT B, # 3 Exhibit EXHIBIT C, # 4 Exhibit EXHIBIT D, # 5 Exhibit EXHIBIT E, # 6 Exhibit EXHIBIT F, # 7 Exhibit EXHIBIT G, # 8 Exhibit EXHIBIT H, # 9 Exhibit EXHIBIT I, # 10 Exhibit EXHIBIT J, # 11 Exhibit EXHIBIT K, # 12 Exhibit EXHIBIT L, # 13 Exhibit EXHIBIT M, # 14 Exhibit EXHIBIT N, # 15 Exhibit EXHIBIT O, # 16 Exhibit EXHIBIT P, # 17 Exhibit EXHIBIT Q, # 18 Exhibit EXHIBIT R)(Linden, Peter) (Entered: 10/20/2011)

10/20/2011 117 CERTIFICATE OF SERVICE on 10/20/2011. Document filed by ATD Group, John A. Baden, Jonathan Butler, Edward Claus, M. David Diamond, Warren Pinchuk, Public Employees' Retirement Association of Colorado, Anthony Sedutto, Tennessee Consolidated Retirement System, Carol Weil, David Whitcomb, Henrietta Whitcomb. (Linden, Peter) (Entered: 10/20/2011)

10/20/2011 118 SEALED DOCUMENT placed in vault.(mps) Modified on 10/21/2011 (mps). (Entered: 10/21/2011)

10/25/2011 119 ENDORSED LETTER addressed to Judge Sidney H. Stein from Andrew M. McNeela dated 10/20/11 re: Counsel for the lead plaintiffs requests a three week extension from 11/9/11 to 11/30/11 to submit reply papers for plaintiffs' motion for class certification. ENDORSEMENT: Reply papers due Nov. 18th. Set Deadlines/Hearing as to 101 MOTION to Certify Class:( Replies due by 11/18/2011.) (Signed by Judge Sidney H. Stein on 10/25/2011) (mro) (Entered: 10/25/2011)

10/25/2011 120 ENDORSED LETTER addressed to Judge Sidney H. Stein from Brad S. Karp dated 10/24/11 re: Counsel for the defendants writes to request that defendants' response to the motion to compel be extended from 10/27/11 to 11/21/11. ENDORSEMENT: Opposition due 11/21/11; Reply due 12/5/11. So ordered. Set Deadlines/Hearing as to 113 MOTION to Compel:( Responses due by 11/21/2011, Replies due by 12/5/2011.)

Page 35: U.S. District Court Southern District of New York (Foley Square) …securities.stanford.edu/.../C_01/201387_r01k_07CV09901.pdf · 2013-08-07 · US District Court Civil Docket as

(Signed by Judge Sidney H. Stein on 10/25/2011) (mro) (Entered: 10/25/2011)

11/14/2011 121 ENDORSED LETTER addressed to Judge Sidney H. Stein from Andrew J. Entwistle dated 11/10/2011 re: The Funds respectfully request permission to file a reply brief of no more than 4 pages solely to address defendants' arguments against Funds. ENDORSEMENT: Request for separate four page reply brief is denied; a reply brief of up to 30 pages is due by 11/18. Set Deadlines/Hearing as to 101 MOTION to Certify Class. :( Replies due by 11/18/2011.) (Signed by Judge Sidney H. Stein on 11/14/2011) (jfe) (Entered: 11/14/2011)

11/18/2011 122 REPLY MEMORANDUM OF LAW in Support re: 101 MOTION to Certify Class.. Document filed by ATD Group, John A. Baden, Jonathan Butler, Edward Claus, M. David Diamond, Warren Pinchuk, Public Employees' Retirement Association of Colorado, Anthony Sedutto, Tennessee Consolidated Retirement System, Carol Weil, David Whitcomb, Henrietta Whitcomb. (Press, Ira) (Entered: 11/18/2011)

11/18/2011 123 DECLARATION of Ira M. Press in Support re: 101 MOTION to Certify Class.. Document filed by ATD Group, John A. Baden, Jonathan Butler, Edward Claus, M. David Diamond, Warren Pinchuk, Public Employees' Retirement Association of Colorado, Anthony Sedutto, Tennessee Consolidated Retirement System, Carol Weil, David Whitcomb, Henrietta Whitcomb. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3, # 4 Exhibit 4, # 5 Exhibit 5, # 6 Exhibit 6, # 7 Exhibit 7, # 8 Exhibit 8, # 9 Exhibit 9, # 10 Exhibit 10, # 11 Exhibit 11, # 12 Exhibit 12, # 13 Exhibit 13, # 14 Exhibit 14, # 15 Exhibit 15, # 16 Exhibit 16, # 17 Exhibit 17, # 18 Exhibit 18, # 19 Exhibit 19, # 20 Exhibit 20, # 21 Exhibit 21, # 22 Exhibit 22, # 23 Exhibit 23, # 24 Exhibit 24, # 25 Exhibit 25, # 26 Exhibit 26, # 27 Exhibit 27, # 28 Exhibit 28, # 29 Exhibit 29, # 30 Exhibit 30, # 31 Exhibit 31, # 32 Exhibit 32, # 33 Exhibit 33, # 34 Exhibit 34, # 35 Exhibit 35, # 36 Exhibit 36, # 37 Exhibit 37, # 38 Exhibit 38-112, # 39 Exhibit 113, # 40 Exhibit 114, # 41 Exhibit 115, # 42 Exhibit 116, # 43 Exhibit 117, # 44 Exhibit 118, # 45 Exhibit 119, # 46 Exhibit 120, # 47 Exhibit 121, # 48 Exhibit 122, # 49 Exhibit 123, # 50 Exhibit 124, # 51 Exhibit 125, # 52 Exhibit 126, # 53 Exhibit 127, # 54 Exhibit 128, # 55 Exhibit 129, # 56 Exhibit 130, # 57 Exhibit 131-138, # 58 Exhibit 139, # 59 Exhibit 140, # 60 Exhibit 141, # 61 Exhibit 142, # 62 Exhibit 143)(Press, Ira) (Entered: 11/18/2011)

11/18/2011 124 DECLARATION of Andrew J. Entwistle in Support re: 101 MOTION to Certify Class.. Document filed by ATD Group, John A. Baden, Jonathan Butler, Edward Claus, M. David Diamond, Warren Pinchuk, Public Employees' Retirement Association of Colorado, Anthony Sedutto, Tennessee Consolidated Retirement System, Carol Weil, David Whitcomb, Henrietta Whitcomb. (Press, Ira) (Entered: 11/18/2011)

11/18/2011 125 DECLARATION of Joseph R. Mason in Support re: 101 MOTION to Certify Class.. Document filed by ATD Group, John A. Baden, Jonathan Butler, Edward Claus, M. David Diamond, Warren Pinchuk, Public Employees' Retirement Association of Colorado, Anthony Sedutto, Tennessee Consolidated Retirement System, Carol Weil, David Whitcomb, Henrietta Whitcomb. (Press, Ira) (Entered: 11/18/2011)

11/18/2011 126 DECLARATION of Gregg A. Jarrell in Support re: 101 MOTION to Certify Class.. Document filed by ATD Group, John A. Baden, Jonathan Butler, Edward Claus, M. David Diamond, Warren Pinchuk, Public Employees' Retirement Association of Colorado, Anthony Sedutto, Tennessee Consolidated Retirement System, Carol Weil,

Page 36: U.S. District Court Southern District of New York (Foley Square) …securities.stanford.edu/.../C_01/201387_r01k_07CV09901.pdf · 2013-08-07 · US District Court Civil Docket as

David Whitcomb, Henrietta Whitcomb. (Press, Ira) (Entered: 11/18/2011)

11/18/2011 127 SEALED DOCUMENT placed in vault.(nm) (Entered: 11/21/2011)

11/21/2011 128 ENDORSED LETTER addressed to Judge Sidney H. Stein from Brad S. Karp dated 11/21/11 re: Counsel for the defendants request that the Court grant an additional two-week extension until 12/5/11 to permit the parties to complete the meet and confer process and narrow further the parties' discovery disputes. ENDORSEMENT: So ordered. (Signed by Judge Sidney H. Stein on 11/21/2011) (mro) (Entered: 11/21/2011)

12/05/2011 129 ENDORSED LETTER addressed to Judge Sidney H. Stein from Peter S. Linden dated 12/2/2011 re: Counsel for the Plaintiffs writes to request an extension until 12/21/2011 to submit their reply papers on the Motion to Compel. ENDORSEMENT: SO ORDERED. (Replies due by 12/21/2011.) (Signed by Judge Sidney H. Stein on 12/5/2011) (ab) (Entered: 12/05/2011)

12/05/2011 130 MEMORANDUM OF LAW in Opposition re: 113 MOTION to Compel.. Document filed by David C. Bushnell, Citigroup Inc., Gary L. Crittenden, Robert Druskin, John C. Gerspach, Michael Stuart Klein, Sallie L. Krawcheck, Thomas G. Maheras, Vikram Pandit, Charles O. Prince, Robert E. Rubin, Todd S. Thomson, Stephen R. Volk. (Buergel, Susanna) (Entered: 12/05/2011)

12/05/2011 131 DECLARATION of SUSANNA M. BUERGEL, ESQ. in Opposition re: 113 MOTION to Compel.. Document filed by David C. Bushnell, Citigroup Inc., Gary L. Crittenden, Robert Druskin, John C. Gerspach, Michael Stuart Klein, Sallie L. Krawcheck, Thomas G. Maheras, Vikram Pandit, Charles O. Prince, Robert E. Rubin, Todd S. Thomson, Stephen R. Volk. (Attachments: # 1 Exhibit EXHIBITS 1 TO 28)(Buergel, Susanna) (Entered: 12/05/2011)

12/05/2011 132 SEALED DOCUMENT placed in vault.(mps) (Entered: 12/06/2011)

12/08/2011 133 ORDER: Defendants' application to depose Prof. Jarrell and Prof. Mason is granted for a maximum of six hours each on or before 1/17/2011. The defendants may submit a sur reply memorandum of up to 10 pages on or before 1/27/2012. Oral Argument on Plaintiffs' Motion for Class Certification set for 2/9/2012 at 10:00 AM before Judge Sidney H. Stein. (Signed by Judge Sidney H. Stein on 12/8/2011) Filed In Associated Cases: 1:09-md-02070-SHS, 1:07-cv-09901-SHS(ft) (Entered: 12/08/2011)

12/20/2011 134 NOTICE of Filing of Undertaking of Non-Party Brian H. Stoker Regarding Stipulation and Agreed Protective Order. Document filed by ATD Group. (Press, Ira) (Entered: 12/20/2011)

12/20/2011 135 FILING ERROR - DEFICIENT DOCKET ENTRY (SEE DOCUMENT #136) - NOTICE of Filing of Undertaking of Non-Parties GSC (NJ), L.P., Morgan Stanley & Co. Inc. and Vanderbilt Capital Advisors, LLC Regarding Stipulation and Agreed Protective Order. Document filed by ATD Group. (Press, Ira) Modified on 12/21/2011 (ldi). (Entered: 12/20/2011)

12/20/2011 136 NOTICE of Filing of Undertaking of Non-Parties GSC (NJ), L.P., Morgan Stanley & Co. Inc. and Vanderbilt Capital Advisors, LLC Regarding Stipulation and Agreed Protective Order. Document filed by ATD Group. (Press, Ira) (Entered: 12/20/2011)

12/21/2011 137 REPLY MEMORANDUM OF LAW in Support re: 113 MOTION to Compel..

Page 37: U.S. District Court Southern District of New York (Foley Square) …securities.stanford.edu/.../C_01/201387_r01k_07CV09901.pdf · 2013-08-07 · US District Court Civil Docket as

Document filed by ATD Group, John A. Baden, Jonathan Butler, Edward Claus, M. David Diamond, Warren Pinchuk, Public Employees' Retirement Association of Colorado, Anthony Sedutto, Tennessee Consolidated Retirement System, Carol Weil, David Whitcomb, Henrietta Whitcomb. (Linden, Peter) (Entered: 12/21/2011)

12/21/2011 138 DECLARATION of Peter S. Linden in Support re: 113 MOTION to Compel.. Document filed by ATD Group, John A. Baden, Jonathan Butler, Edward Claus, M. David Diamond, Warren Pinchuk, Public Employees' Retirement Association of Colorado, Anthony Sedutto, Tennessee Consolidated Retirement System, Carol Weil, David Whitcomb, Henrietta Whitcomb. (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)(Linden, Peter) (Entered: 12/21/2011)

12/21/2011 139 SEALED DOCUMENT placed in vault.(nm) Modified on 12/22/2011 (nm). (Entered: 12/22/2011)

01/04/2012 140 NOTICE of Filing of Undertaking of Non-Party Rosen Consulting Group LLC Regarding Stipulation and Agreed Protective Order. Document filed by ATD Group. (Linden, Peter) (Entered: 01/04/2012)

01/18/2012 141 ENDORSED LETTER addressed to Judge Sidney H. Stein from Peter S. Linden dated 1/13/2012 re: Enclosed are notices of errata to Plaintiffs' Reply Memorandum in Further Support of Their Motion for Class Certification and the Declaration of Ira M. Press in Further Support of Plaintiffs' Motion for Class Certification, along with a revised Exhibit 62. We respectfully request permission to file these notices, as well as corrected copies of the brief and the declaration and its exhibits. ENDORSEMENT: Application granted. SO ORDERED. (Signed by Judge Sidney H. Stein on 1/17/2012) (djc) Modified on 1/18/2012 (djc). (Entered: 01/18/2012)

01/20/2012 142 SEALED DOCUMENT placed in vault.(nm) (Entered: 01/20/2012)

01/20/2012 143 NOTICE of Errata to Plaintiffs' Reply Memorandum in Further Support of their Motion for Class Certification re: 122 Reply Memorandum of Law in Support of Motion,. Document filed by ATD Group, John A. Baden, Jonathan Butler, Edward Claus, M. David Diamond, Warren Pinchuk, Public Employees' Retirement Association of Colorado, Anthony Sedutto, Tennessee Consolidated Retirement System, Carol Weil, David Whitcomb, Henrietta Whitcomb. (Press, Ira) (Entered: 01/20/2012)

01/20/2012 144 AMENDED REPLY MEMORANDUM OF LAW in Support re: 101 MOTION to Certify Class.. Document filed by ATD Group, John A. Baden, Jonathan Butler, Edward Claus, M. David Diamond, Warren Pinchuk, Public Employees' Retirement Association of Colorado, Anthony Sedutto, Tennessee Consolidated Retirement System, Carol Weil, David Whitcomb, Henrietta Whitcomb. (Press, Ira) (Entered: 01/20/2012)

01/20/2012 145 NOTICE of Errata to Declaration of Ira M. Press in Further Support of Plaintiffs' Motion for Class Certification re: 123 Declaration in Support of Motion,,,,,,. Document filed by ATD Group, John A. Baden, Jonathan Butler, Edward Claus, M. David Diamond, Warren Pinchuk, Public Employees' Retirement Association of Colorado, Anthony Sedutto, Tennessee Consolidated Retirement System, Carol Weil, David Whitcomb, Henrietta Whitcomb. (Press, Ira) (Entered: 01/20/2012)

Page 38: U.S. District Court Southern District of New York (Foley Square) …securities.stanford.edu/.../C_01/201387_r01k_07CV09901.pdf · 2013-08-07 · US District Court Civil Docket as

01/20/2012 146 DECLARATION of Ira M. Press (Corrected) in Support re: 101 MOTION to Certify Class.. Document filed by ATD Group, John A. Baden, Jonathan Butler, Edward Claus, M. David Diamond, Warren Pinchuk, Public Employees' Retirement Association of Colorado, Anthony Sedutto, Tennessee Consolidated Retirement System, Carol Weil, David Whitcomb, Henrietta Whitcomb. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3, # 4 Exhibit 4, # 5 Exhibit 5, # 6 Exhibit 6, # 7 Exhibit 7, # 8 Exhibit 8, # 9 Exhibit 9, # 10 Exhibit 10, # 11 Exhibit 11, # 12 Exhibit 12, # 13 Exhibit 13, # 14 Exhibit 14, # 15 Exhibit 15, # 16 Exhibit 16, # 17 Exhibit 17, # 18 Exhibit 18, # 19 Exhibit 19, # 20 Exhibit 20, # 21 Exhibit 21, # 22 Exhibit 22, # 23 Exhibit 23, # 24 Exhibit 24, # 25 Exhibit 25, # 26 Exhibit 26, # 27 Exhibit 27, # 28 Exhibit 28, # 29 Exhibit 29, # 30 Exhibit 30, # 31 Exhibit 31, # 32 Exhibit 32, # 33 Exhibit 33, # 34 Exhibit 34, # 35 Exhibit 35, # 36 Exhibit 36, # 37 Exhibit 37, # 38 Exhibit 38-112, # 39 Exhibit 113, # 40 Exhibit 114, # 41 Exhibit 115, # 42 Exhibit 116, # 43 Exhibit 117, # 44 Exhibit 118, # 45 Exhibit 119, # 46 Exhibit 120, # 47 Exhibit 121, # 48 Exhibit 122, # 49 Exhibit 123, # 50 Exhibit 124, # 51 Exhibit 125, # 52 Exhibit 126, # 53 Exhibit 127, # 54 Exhibit 128, # 55 Exhibit 129, # 56 Exhibit 130, # 57 Exhibit 131-138, # 58 Exhibit 139, # 59 Exhibit 140, # 60 Exhibit 141, # 61 Exhibit 142, # 62 Exhibit 143)(Press, Ira) (Entered: 01/20/2012)

01/27/2012 147 REPLY MEMORANDUM OF LAW in Opposition re: 101 MOTION to Certify Class. Defendants' Sur-Reply Memorandum of Law in Further Opposition to Plaintiffs' Motion for Class Certification . Document filed by David C. Bushnell, Citigroup Inc., Gary L. Crittenden, Robert Druskin, John C. Gerspach, Michael Stuart Klein, Sallie L. Krawcheck, Thomas G. Maheras, Vikram Pandit, Charles O. Prince, Robert E. Rubin, Todd S. Thomson, Stephen R. Volk. (Rosen, Richard) (Entered: 01/27/2012)

01/27/2012 148 DECLARATION of Jane B. O'Brien in Opposition re: 101 MOTION to Certify Class.. Document filed by David C. Bushnell, Citigroup Inc., Gary L. Crittenden, Robert Druskin, John C. Gerspach, Michael Stuart Klein, Sallie L. Krawcheck, Thomas G. Maheras, Vikram Pandit, Charles O. Prince, Robert E. Rubin, Todd S. Thomson, Stephen R. Volk. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3, # 4 Exhibit 4, # 5 Exhibit 5, # 6 Exhibit 6, # 7 Exhibit 7, # 8 Exhibit 8, # 9 Exhibit 9, # 10 Exhibit 10, # 11 Exhibit 11, # 12 Exhibit 12, # 13 Exhibit 13, # 14 Exhibit 14, # 15 Exhibit 15, # 16 Exhibit 16, # 17 Exhibit 17, # 18 Exhibit 18, # 19 Exhibit 19, # 20 Exhibit 20, # 21 Exhibit 21, # 22 Exhibit 22, # 23 Exhibit 23, # 24 Exhibit 24, # 25 Exhibit 25)(O'Brien, Jane) (Entered: 01/27/2012)

01/27/2012 149 SEALED DOCUMENT placed in vault.(nm) (Entered: 01/30/2012)

02/03/2012 150 STIPULATION AND REVISED SCHEDULING ORDER: re revised schedule as set forth in this document. (Amended Pleadings due by 8/3/2012. Deposition due by 11/16/2012. Fact Discovery due by 7/13/2012. Dispositive Motions due by 12/14/2012. Responses due by 1/25/2013, Replies due by 2/8/2013. Proposed Pretrial Order 3/2013) (Signed by Judge Sidney H. Stein on 2/2/2012) (cd) (Entered: 02/03/2012)

04/12/2012 151 NOTICE OF APPEARANCE by Lauren Wagner Pederson on behalf of ATD Group (Pederson, Lauren) (Entered: 04/12/2012)

04/18/2012 152 NOTICE OF CHANGE OF ADDRESS by Lauren Wagner Pederson on behalf of ATD Group. New Address: Kirby McInerney LLP, 825 Third Avenue, 16th Floor, New York, NY, USA 10022, 212 371 6600. (Pederson, Lauren) (Entered: 04/18/2012)

Page 39: U.S. District Court Southern District of New York (Foley Square) …securities.stanford.edu/.../C_01/201387_r01k_07CV09901.pdf · 2013-08-07 · US District Court Civil Docket as

08/29/2012 153 MOTION for Settlement Plaintiffs' Notice of Unopposed Motion for (I) Preliminary Approval of Settlement, (II) Certification of the Settlement Class for Purposes of the Settlement and (III) Approval of Notice to the Settlement Class . Document filed by ATD Group, John A. Baden, Jonathan Butler, Edward Claus, M. David Diamond, Warren Pinchuk, Public Employees' Retirement Association of Colorado, Anthony Sedutto, Tennessee Consolidated Retirement System, Carol Weil, David Whitcomb, Henrietta Whitcomb. (Attachments: # 1 Text of Proposed Order Preliminarily Approving Proposed Settlement And Providing for Notice)(Press, Ira) (Entered: 08/29/2012)

08/29/2012 154 MEMORANDUM OF LAW in Support re: 153 MOTION for Settlement Plaintiffs' Notice of Unopposed Motion for (I) Preliminary Approval of Settlement, (II) Certification of the Settlement Class for Purposes of the Settlement and (III) Approval of Notice to the Settlement Class . MOTION for Settlement Plaintiffs' Notice of Unopposed Motion for (I) Preliminary Approval of Settlement, (II) Certification of the Settlement Class for Purposes of the Settlement and (III) Approval of Notice to the Settlement Class . MOTION for Settlement Plaintiffs' Notice of Unopposed Motion for (I) Preliminary Approval of Settlement, (II) Certification of the Settlement Class for Purposes of the Settlement and (III) Approval of Notice to the Settlement Class .. Document filed by ATD Group, John A. Baden, Jonathan Butler, Edward Claus, M. David Diamond, Warren Pinchuk, Public Employees' Retirement Association of Colorado, Anthony Sedutto, Tennessee Consolidated Retirement System, Carol Weil, David Whitcomb, Henrietta Whitcomb. (Press, Ira) (Entered: 08/29/2012)

08/29/2012 155 DECLARATION of Ira M. Press in Support re: 153 MOTION for Settlement Plaintiffs' Notice of Unopposed Motion for (I) Preliminary Approval of Settlement, (II) Certification of the Settlement Class for Purposes of the Settlement and (III) Approval of Notice to the Settlement Class . MOTION for Settlement Plaintiffs' Notice of Unopposed Motion for (I) Preliminary Approval of Settlement, (II) Certification of the Settlement Class for Purposes of the Settlement and (III) Approval of Notice to the Settlement Class . MOTION for Settlement Plaintiffs' Notice of Unopposed Motion for (I) Preliminary Approval of Settlement, (II) Certification of the Settlement Class for Purposes of the Settlement and (III) Approval of Notice to the Settlement Class .. Document filed by ATD Group, John A. Baden, Jonathan Butler, Edward Claus, M. David Diamond, Warren Pinchuk, Public Employees' Retirement Association of Colorado, Anthony Sedutto, Tennessee Consolidated Retirement System, Carol Weil, David Whitcomb, Henrietta Whitcomb. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3)(Press, Ira) (Entered: 08/29/2012)

08/29/2012 156 ORDER PRELIMINARILY APPROVING PROPOSED SETTLEMENT AND PROVIDING FOR NOTICE. Pursuant to Rules 23(a) and 23(b)(3) of the Federal Rules of Civil Procedure, and for purposes of settlement only, the Action is hereby certified as a class action on behalf of the Settlement Class as further set forth in said order. Lead Class Counsel shall file and serve papers in support of the proposed Settlement, the Plan of Allocation and Lead Class Counsel's motion for an award of attorneys' fees and reimbursement of Litigation Expenses no later than thirty-five (35) calendar days prior to the Settlement Hearing; and reply papers, if any, shall be filed and served no later than January 4, 2013. The Court will hold a settlement hearing (the "Settlement Hearing") on January 15, 2013 at 10:00 a.m. at the Daniel Patrick Moynihan United States Courthouse, 500 Pearl Street, Courtroom 23A, New York, NY 10007-1312, and as further set forth. (Signed by Judge Sidney H. Stein on

Page 40: U.S. District Court Southern District of New York (Foley Square) …securities.stanford.edu/.../C_01/201387_r01k_07CV09901.pdf · 2013-08-07 · US District Court Civil Docket as

8/29/2012) (rjm) (Entered: 08/29/2012)

08/29/2012 Set/Reset Deadlines: (Replies due by 1/4/2013.), Set/Reset Hearings: (Settlement Conference set for 1/15/2013 at 10:00 AM in Courtroom 23A, U.S. Courthouse, 500 Pearl Street, New York, NY 10007 before Judge Sidney H. Stein.) (rjm) (Entered: 08/29/2012)

08/30/2012 157 ORDER: In light of the Order Preliminarily Approving Proposed Settlement and Providing for Notice signed by this Court on August 29, 2012, It IS HEREBY ORDERED that the pending motions in this action are dismissed as moot [document nos. 101 and 113] finding as moot 101 Motion to Certify Class; finding as moot 113 Motion to Compel. (Signed by Judge Sidney H. Stein on 8/30/2012) (ago) (Entered: 08/30/2012)

09/07/2012 158 ORDER AMENDING THE ORDER PRELIMINARILY APPROVING PROPOSED SETTLEMENT AND PROVIDING FOR NOTICE: NOW THEREFORE, IT IS HEREBY ORDERED: All provisions set forth in the August 29, 2012 Order remain in full force and effect except for certain dates, which are amended as set forth below. SO ORDERED.( Motions due by 12/7/2012., Replies due by 1/4/2013.) (Signed by Judge Sidney H. Stein on 9/06/2012) (ama) (Entered: 09/07/2012)

09/28/2012 159 ORDER FURTHER AMENDING THE ORDER PRELIMINARILY APPROVING SETTLEMENT AND PROVIDING FOR NOTICE: All provisions set forth in the August 29, 2012 Order, as previously modified by the September 6, 2012 Order, remain in full force and effect, except as specifically set forth within this Order. The Class Notice and Proof of Claim and Release that shall be provided to the Settlement Class pursuant to the August 29, 2012 Order shall be substantially in the forms of Exhibits A and B hereto. (Signed by Judge Sidney H. Stein on 9/28/2012) (jfe) (Entered: 09/28/2012)

09/28/2012 160 Letter addressed to Judge Sidney H. Stein from Richard A. Rosen and Peter S. Linden dated 9/27/2012 re: The parties jointly write to advise the Court of certain changes to the settlement papers that the parties seek to effect, with the Court's approval, in order to clarify certain aspects of the claim submission process. (jfe) (Entered: 09/28/2012)

11/07/2012 161 NOTICE OF APPEARANCE by Mark C. Rifkin on behalf of Daniel Brecher, Scott Short, Jennifer Murphy, Chad Taylor, Mark Oelfke, Paul Koch (Rifkin, Mark) (Entered: 11/07/2012)

11/07/2012 162 NOTICE OF APPEARANCE by Matthew Moylan Guiney on behalf of Daniel Brecher, Paul Koch, Jennifer Murphy, Mark Oelfke, Scott Short, Chad Taylor (Guiney, Matthew) (Entered: 11/07/2012)

11/21/2012 163 Letter addressed to Judge Sidney S. Stein from Charles & Gladys Andersen III dated 10/31/2012 re: Objection to Settlement. (ama) (Entered: 11/21/2012)

12/07/2012 164 MOTION to Approve Class Action Settlement and Plan of Allocation. Document filed by ATD Group, John A. Baden, Jonathan Butler, Edward Claus, M. David Diamond, Warren Pinchuk, Public Employees' Retirement Association of Colorado, Anthony Sedutto, Tennessee Consolidated Retirement System, Carol Weil, David Whitcomb, Henrietta Whitcomb. (Attachments: # 1 [Corrected and Proposed] Final Judgment and Order of Dismissal with Prejudice)(Linden, Peter) (Entered: 12/07/2012)

Page 41: U.S. District Court Southern District of New York (Foley Square) …securities.stanford.edu/.../C_01/201387_r01k_07CV09901.pdf · 2013-08-07 · US District Court Civil Docket as

12/07/2012 165 MOTION for Attorney Fees and Reimbursement of Litigation Expenses . Document filed by ATD Group, John A. Baden, Jonathan Butler, Edward Claus, M. David Diamond, Warren Pinchuk, Public Employees' Retirement Association of Colorado, Anthony Sedutto, Tennessee Consolidated Retirement System, Carol Weil, David Whitcomb, Henrietta Whitcomb. (Attachments: # 1 [Corrected and Proposed] Final Judgment and Order of Dismissal with Prejudice)(Linden, Peter) (Entered: 12/07/2012)

12/07/2012 166 DECLARATION of Geoffrey P. Miller in Support re: 165 MOTION for Attorney Fees and Reimbursement of Litigation Expenses ., 164 MOTION to Approve Class Action Settlement and Plan of Allocation.. Document filed by ATD Group, John A. Baden, Jonathan Butler, Edward Claus, M. David Diamond, Warren Pinchuk, Public Employees' Retirement Association of Colorado, Anthony Sedutto, Tennessee Consolidated Retirement System, Carol Weil, David Whitcomb, Henrietta Whitcomb. (Linden, Peter) (Entered: 12/07/2012)

12/07/2012 167 DECLARATION of John C. Coffee, Jr. in Support re: 165 MOTION for Attorney Fees and Reimbursement of Litigation Expenses ., 164 MOTION to Approve Class Action Settlement and Plan of Allocation.. Document filed by ATD Group, John A. Baden, Jonathan Butler, Edward Claus, M. David Diamond, Warren Pinchuk, Public Employees' Retirement Association of Colorado, Anthony Sedutto, Tennessee Consolidated Retirement System, Carol Weil, David Whitcomb, Henrietta Whitcomb. (Linden, Peter) (Entered: 12/07/2012)

12/07/2012 168 DECLARATION of Layn R. Phillips in Support re: 164 MOTION to Approve Class Action Settlement and Plan of Allocation.. Document filed by ATD Group, John A. Baden, Jonathan Butler, Edward Claus, M. David Diamond, Warren Pinchuk, Public Employees' Retirement Association of Colorado, Anthony Sedutto, Tennessee Consolidated Retirement System, Carol Weil, David Whitcomb, Henrietta Whitcomb. (Linden, Peter) (Entered: 12/07/2012)

12/07/2012 169 MEMORANDUM OF LAW in Support re: 164 MOTION to Approve Class Action Settlement and Plan of Allocation.. Document filed by ATD Group, John A. Baden, Jonathan Butler, Edward Claus, M. David Diamond, Warren Pinchuk, Public Employees' Retirement Association of Colorado, Anthony Sedutto, Tennessee Consolidated Retirement System, Carol Weil, David Whitcomb, Henrietta Whitcomb. (Linden, Peter) (Entered: 12/07/2012)

12/07/2012 170 MEMORANDUM OF LAW in Support re: 165 MOTION for Attorney Fees and Reimbursement of Litigation Expenses .. Document filed by ATD Group, John A. Baden, Jonathan Butler, Edward Claus, M. David Diamond, Warren Pinchuk, Public Employees' Retirement Association of Colorado, Anthony Sedutto, Tennessee Consolidated Retirement System, Carol Weil, David Whitcomb, Henrietta Whitcomb. (Linden, Peter) (Entered: 12/07/2012)

12/07/2012 171 DECLARATION of Ira M. Press and Peter S. Linden in Support re: 165 MOTION for Attorney Fees and Reimbursement of Litigation Expenses ., 164 MOTION to Approve Class Action Settlement and Plan of Allocation.. Document filed by ATD Group, John A. Baden, Jonathan Butler, Edward Claus, M. David Diamond, Warren Pinchuk, Public Employees' Retirement Association of Colorado, Anthony Sedutto, Tennessee Consolidated Retirement System, Carol Weil, David Whitcomb, Henrietta Whitcomb. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D, # 5 Exhibit

Page 42: U.S. District Court Southern District of New York (Foley Square) …securities.stanford.edu/.../C_01/201387_r01k_07CV09901.pdf · 2013-08-07 · US District Court Civil Docket as

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)(Linden, Peter) (Entered: 12/07/2012)

12/07/2012 172 CERTIFICATE OF SERVICE on 12/07/12. Document filed by ATD Group, John A. Baden, Jonathan Butler, Edward Claus, M. David Diamond, Warren Pinchuk, Public Employees' Retirement Association of Colorado, Anthony Sedutto, Tennessee Consolidated Retirement System, Carol Weil, David Whitcomb, Henrietta Whitcomb. (Linden, Peter) (Entered: 12/07/2012)

12/13/2012 173 Letter addressed to Judge Sidney H. Stein from Seb Houle dated 12/6/2012 re: Mr. Houle writes " I object to everything regarding the proposed settlement of in re Citi group Inc. Securities Litigation, No. 07-cv-9901 (SDNY)" Specific, but not limited objections are: Any and all fees awarded any lawyers for the settlement class. The notices received prominently displaying a response date of February 7, 2013, rather than the appropriate date of December 6, 2012 (for exclusion)...... (js) (Entered: 12/13/2012)

12/20/2012 174 Objection re: 156 Order,,,,. Document filed by Steve A. Miller, P.C. Profit Sharing Plan. (Miller, Steve) (Entered: 12/20/2012)

12/21/2012 175 MEMORANDUM OF LAW in Opposition re: 164 MOTION to Approve Class Action Settlement and Plan of Allocation.. Document filed by Daniel Brecher, Paul Koch, Jennifer Murphy, Mark Oelfke, Scott Short, Chad Taylor. (Guiney, Matthew) (Entered: 12/21/2012)

12/21/2012 176 DECLARATION of Matthew M. Guiney in Opposition re: 164 MOTION to Approve Class Action Settlement and Plan of Allocation.. Document filed by Daniel Brecher, Paul Koch, Jennifer Murphy, Mark Oelfke, Scott Short, Chad Taylor. (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)(Guiney, Matthew) (Entered: 12/21/2012)

12/21/2012 177 CERTIFICATE OF SERVICE of MEMORANDUM OF POINTS AND AUTHORITIES IN SUPPORT OF FA CAP LEAD PLAINTIFFS' OBJECTIONTO THE PROPOSED SETTLEMENT AND PLAN OF ALLOCATION AND DECLARATION OF MATTHEW M. GUINEY IN SUPPORT OF FA CAP LEAD PLAINTIFFS' OBJECTION TO THE PROPOSED SETTLEMENT AND PLAN OF ALLOCATION served on Defendant on 12/21/2012. Document filed by Daniel Brecher, Paul Koch, Jennifer Murphy, Mark Oelfke, Scott Short, Chad Taylor. (Guiney, Matthew) (Entered: 12/21/2012)

12/21/2012 178 MEMORANDUM OF LAW in Opposition re: 164 MOTION to Approve Class Action Settlement and Plan of Allocation. CORRECTED VERSION TO INCLUDE PREVIOUSLY MISSING PAGE 22 . Document filed by Daniel Brecher, Paul Koch, Jennifer Murphy, Mark Oelfke, Scott Short, Chad Taylor. (Guiney, Matthew) (Entered: 12/21/2012)

12/27/2012 179 ENDORSED LETTER addressed to Judge Sidney H. Stein from Ira M. Press dated 12/24/2012 re: We write respectfully to request an enlargement of the page limitations for Plaintiffs' Combined Reply Brief in Support of their Motions to (i) Approve the Class Action Settlement and Plan of Allocation,and (ii) their Request for Fees and Expenses, to 35 pages. ENDORSEMENT: SO ORDERED. (Signed by Judge Sidney H. Stein on 12/26/2012) (ama) (Entered: 12/27/2012)

Page 43: U.S. District Court Southern District of New York (Foley Square) …securities.stanford.edu/.../C_01/201387_r01k_07CV09901.pdf · 2013-08-07 · US District Court Civil Docket as

12/27/2012 180 NOTICE OF APPEARANCE by Theodore H. Frank. (sac) (Entered: 12/28/2012)

12/27/2012 181 Objection. Document filed by Theodore H. Frank. (sac) (Entered: 12/28/2012)

12/27/2012 182 1 DECLARATION of Theodore H. Frank in Support re: 181 Objection (non-motion). Document filed by Theodore H. Frank. (sac) (Entered: 12/28/2012)

01/02/2013 183 ORDER. It is hereby ordered that the settlement fairness hearing, originally scheduled for January 15, 2013, is adjourned to April 8, 2013 at 10:00 a.m. in Courtroom 23A, U.S. Courthouse, 500 Pearl Street, New York, New York 10007, and as further set forth herein. (Settlement Fairness Hearing set for 4/8/2013 at 10:00 AM in Courtroom 23A, U.S. Courthouse, 500 Pearl Street, New York, NY 10007 before Judge Sidney H. Stein.) (Signed by Judge Sidney H. Stein on 1/2/2013) (rjm) Modified on 1/3/2013 (rjm). (Entered: 01/03/2013)

01/02/2013 Set/Reset Hearings: Fairness Hearing set for 4/8/2013 at 10:00 AM in Courtroom 23A, U.S. Courthouse, 500 Pearl Street, New York, NY 10007 before Judge Sidney H. Stein. (rjm) (Entered: 01/03/2013)

01/03/2013 184 ORDER. For the reasons set forth in the Order dated January 2, 2013 (Dkt. No. 183), the hearing on whether the proposed class action settlement "is fair, reasonable, and adequate" pursuant to Federal Rule of Civil Procedure 23(e)(2) and whether the attorney's fees and nontaxable costs that plaintiffs' counsel seeks are reasonable pursuant to Rule 23(h), originally scheduled for January 15, 2013, is adjourned to April 8, 2013 at 10:00 a.m. in Courtroom 23A of the Daniel Patrick Moynihan United States Courthouse, 500 Pearl Street, New York, NY 10007. (Signed by Judge Sidney H. Stein on 1/3/2013) Filed In Associated Cases: 1:09-md-02070-SHS, 1:07-cv-09901-SHS(rjm) (Entered: 01/03/2013)

01/07/2013 185 AMICUS CURIAE OBJECTION OF ROBERT SHATTUCK TO SETTLEMENT AND ATTORNEYSFEES, as further set forth in this document. (cd) (Entered: 01/07/2013)

01/07/2013 186 Objection To The Settlement, filed by David E. Breskin. (cd) (Entered: 01/07/2013)

01/07/2013 187 Objection To the Attorney Fees in the amount of 16.5%, filed by Anne Cochran and Gina Martin. (original filed under seal) (cd) (Entered: 01/07/2013)

01/07/2013 188 Letter addressed to Judge Sidney H. Stein from William J. Warren re: Citibank CEO's paid for a really bad job. (original filed under seal)(cd) (Entered: 01/07/2013)

01/07/2013 189 SEALED DOCUMENT placed in vault.(mps) (Entered: 01/07/2013)

01/07/2013 190 SEALED DOCUMENT placed in vault.(mps) (Entered: 01/07/2013)

01/07/2013 191 NOTICE of of Filing of Amendment to Stipulation and Agreement of Settlement. Document filed by ATD Group, John A. Baden, David C. Bushnell, Jonathan Butler, Citigroup Inc., Edward Claus, Gary L. Crittenden, M. David Diamond, Robert Druskin, John C. Gerspach, Michael Stuart Klein, Sallie L. Krawcheck, Thomas G. Maheras, Vikram Pandit, Warren Pinchuk, Charles O. Prince, Public Employees' Retirement Association of Colorado, Robert E. Rubin, Tennessee Consolidated Retirement System, Todd S. Thomson, Stephen R. Volk, Carol Weil, David Whitcomb, Henrietta Whitcomb. (Attachments: # 1 Exhibit A)(Linden, Peter) (Entered: 01/07/2013)

Page 44: U.S. District Court Southern District of New York (Foley Square) …securities.stanford.edu/.../C_01/201387_r01k_07CV09901.pdf · 2013-08-07 · US District Court Civil Docket as

01/09/2013 192 MOTION FOR PERMISSION TO FILE ELECTRONIC CASE FILING. Document filed by Theodore H. Frank.(sc) (Entered: 01/11/2013)

01/14/2013 193 MEMO ENDORSEMENT on 192 Motion for Permission for Electronic Case Filing. So Ordered. (Signed by Judge Sidney H. Stein on 1/14/2013) (ft) (Entered: 01/14/2013)

01/16/2013 194 Letter addressed to Judge Sidney H. Stein from Dennis DeConcini dated 12/28/2012 re: It is very difficult for a small individual, even I myself find it hard to be able to resurrect the exact dates I bought, sold and owned stock in Citi Corp. The court can easily order the defendant to provide that information to the class action notice. I respectfully, ask that the court do so for it is costly and may take considerable time to go through my records to determine whether I even had stock during that period of time. I respectfully send this to you your Honor having worked with the court system for 18 years on the Senate Judiciary Committee in handling bankruptcies and other matters for the judiciary and the legislative branch; I would appreciate consideration of this request. (lmb) (Entered: 01/16/2013)

01/18/2013 195 REPLY MEMORANDUM OF LAW in Support re: 165 MOTION for Attorney Fees and Reimbursement of Litigation Expenses ., 164 MOTION to Approve Class Action Settlement and Plan of Allocation. Plaintiffs' Reply Memorandum of Law in Further Support of the Proposed Settlement and Request for Attorneys' Fees, and in Response to All Objections to the Proposed Settlement and the Fee Request . Document filed by ATD Group, John A. Baden, Jonathan Butler, Edward Claus, M. David Diamond, Warren Pinchuk, Public Employees' Retirement Association of Colorado, Anthony Sedutto, Tennessee Consolidated Retirement System, Carol Weil, David Whitcomb, Henrietta Whitcomb. (Linden, Peter) (Entered: 01/18/2013)

01/18/2013 196 DECLARATION of Ira M. Press and Peter S. Linden in Support re: 165 MOTION for Attorney Fees and Reimbursement of Litigation Expenses ., 164 MOTION to Approve Class Action Settlement and Plan of Allocation.. Document filed by ATD Group, John A. Baden, Jonathan Butler, Edward Claus, M. David Diamond, Warren Pinchuk, Public Employees' Retirement Association of Colorado, Anthony Sedutto, Tennessee Consolidated Retirement System, Carol Weil, David Whitcomb, Henrietta Whitcomb. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3, # 4 Exhibit 4, # 5 Exhibit 5, # 6 Exhibit 6, # 7 Exhibit 7, # 8 Exhibit 8, # 9 Exhibit 9, # 10 Exhibit 10, # 11 Exhibit 11, # 12 Exhibit 12, # 13 Exhibit 13, # 14 Exhibit 14, # 15 Exhibit 15, # 16 Exhibit 16, # 17 Exhibit 17, # 18 Exhibit 18, # 19 Exhibit 19, # 20 Exhibit 20, # 21 Exhibit 21, # 22 Exhibit 22, # 23 Exhibit 23, # 24 Exhibit 24, # 25 Exhibit 25, # 26 Exhibit 26, # 27 Exhibit 27, # 28 Exhibit 28, # 29 Exhibit 29, # 30 Exhibit 30, # 31 Exhibit 31, # 32 Exhibit 32, # 33 Exhibit 33, # 34 Exhibit 34, # 35 Exhibit 35)(Linden, Peter) (Entered: 01/18/2013)

01/18/2013 197 CERTIFICATE OF SERVICE. Document filed by ATD Group, John A. Baden, Jonathan Butler, Edward Claus, M. David Diamond, Warren Pinchuk, Public Employees' Retirement Association of Colorado, Anthony Sedutto, Tennessee Consolidated Retirement System, Carol Weil, David Whitcomb, Henrietta Whitcomb. (Linden, Peter) (Entered: 01/18/2013)

01/18/2013 198 RESPONSE of the Citigroup Defendants to Objections to the Proposed Settlement . Document filed by David C. Bushnell, Citigroup Inc., Gary L. Crittenden, Robert Druskin, Michael Stuart Klein, Thomas G. Maheras, Charles O. Prince, Robert E.

Page 45: U.S. District Court Southern District of New York (Foley Square) …securities.stanford.edu/.../C_01/201387_r01k_07CV09901.pdf · 2013-08-07 · US District Court Civil Docket as

Rubin. (Attachments: # 1 Affidavit of Service)(Rosen, Richard) (Entered: 01/18/2013)

01/18/2013 199 DECLARATION of Richard A. Rosen in Support re: 198 Response,. Document filed by David C. Bushnell, Citigroup Inc., Gary L. Crittenden, Robert Druskin, Michael Stuart Klein, Thomas G. Maheras, Charles O. Prince, Robert E. Rubin. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3, # 4 Exhibit 4, # 5 Exhibit 5, # 6 Exhibit 6, # 7 Exhibit 7, # 8 Exhibit 8, # 9 Exhibit 9, # 10 Exhibit 10, # 11 Exhibit 11, # 12 Exhibit 12, # 13 Exhibit 13, # 14 Affidavit of Service)(Rosen, Richard) (Entered: 01/18/2013)

01/28/2013 201 Letter to Court addressed to Honorable Sidney H. Stein from Charles F. Hayden dated 01/28/13 re: Motion to Include all persons that own Citi stock, not just those purchased or otherwise acquired common stock issued by Citigroup, periods 02/26/07 and 04/18/08 etc.. (sc) Modified on 2/1/2013 (sc). (Entered: 02/01/2013)

02/25/2013 203 Letter addressed to Judge Sidney H. Stein from Sante Scardillo dated 2/18/13 re: Counsel states that they were informed of the postponement of the Settlement Hearing, to submit a secondary concern. Counsel has no objection to the terms presented for approval and disclosure of personal details, but it is precisely the latter that are the cause of concern. (mro) (Entered: 02/25/2013)

02/25/2013 204 Letter addressed to Judge Sidney H. Stein from Phillip A. Jordan, Jr. dated 2/7/13 re: Counsel requests that the court add to the list of persons who have already been granted an extension, my name as well as the names of all persons similarly situated; and that such other, different and further relief, as the court may deem proper, be granted from Citigroup's arbitrary and capricious actions. (mro) (Entered: 02/25/2013)

02/26/2013 205 ORDER: The Court will hold a conference in this action at 10:00 a.m. onThursday, February 28, 2013, in Courtroom 23A of the Daniel Patrick Moynihan United States Courthouse, 500 Pearl Street, New York, NY 10007, regarding objector Theodore Frank's request for discovery connected to his objection to Lead Class Counsel's fee request. SO ORDERED.( Status Conference set for 2/28/2013 at 10:00 AM in Courtroom 23A, 500 Pearl Street, New York, NY 10007 before Judge Sidney H. Stein.) (Signed by Judge Sidney H. Stein on 2/26/2013) Filed In Associated Cases: 1:09-md-02070-SHS, 1:07-cv-09901-SHS(ama) (Entered: 02/26/2013)

02/28/2013 Minute Entry for proceedings held before Judge Sidney H. Stein: Conference held on 2/28/2013 regarding objector Theodore Frank's request for discovery. (lab) (Entered: 02/28/2013)

02/28/2013 206 Letter addressed to Clerks Office from Daryl Olson dated 2/23/13 re: Opt Out of Class Action Settlement. (mro) (Entered: 02/28/2013)

03/01/2013 207 ORDER: IT IS HEREBY ORDERED THAT: Frank's request for discovery is GRANTED in part and DENIED in part, as set forth on the record of yesterday's conference. Lead Class Counsel shall complete the production of those additional materials by March 8, 2013. For those potential class members whose deadline for the receipt of written objections and notices of intent to appear at the fairness hearing was adjourned to March 8, 2013 pursuant to the Court's order dated January 2, 2013 (Dkt. No. 183), the Court further adjourns the deadline for the objections and exclusions to March 15, 2013. The deadline for Lead Class Counsel and defendants to file papers in response to objections from class members is adjourned from March 18, 2013 to March 25, 2013. The deadline for the class members to exclude themselves from the class and to file a proof of claim is not affected by this order. Those exclusions and

Page 46: U.S. District Court Southern District of New York (Foley Square) …securities.stanford.edu/.../C_01/201387_r01k_07CV09901.pdf · 2013-08-07 · US District Court Civil Docket as

proofs of claim must be received no later than March 8, 2013, as set forth in the January 2, 2013 order. (Signed by Judge Sidney H. Stein on 3/1/2013) Filed In Associated Cases: 1:09-md-02070-SHS, 1:07-cv-09901-SHS(mro) (Entered: 03/01/2013)

03/04/2013 208 AMENDED ORDER: IT IS HEREBY ORDERED THAT the Order dated March 1, 2013 (Dkt. No. 207) is amended as follows: In numbered paragraph "3," in the fifth line down, delete the word, "exclusions," and insert in its place the words, "notices of intent to appear." That paragraph now reads as follows: "For those potential class members whose deadline for the receipt of written objections and notices of intent to appear at the fairness hearing was adjourned to March 8, 2013 pursuant to the Court's order dated January 2, 2013 (Dkt. No. 183), the Court further adjourns the deadline for the objections and notices of intent to appear to March 15, 2013." (Signed by Judge Sidney H. Stein on 3/4/2013) Filed In Associated Cases: 1:09-md-02070-SHS, 1:07- cv-09901-SHS(mro) Modified on 3/5/2013 (mro). (Entered: 03/04/2013)

03/05/2013 209 ENDORSED LETTER addressed to Judge Sidney H. Stein from Andrew M. McNeela dated 3/1/13 re: Counsel writes in response to the 2/28/13 letter of the Association of Corporate Counsel. The ACC asks that it be given special permission to submit a letter concerning the current state of the market for legal services, which is relevant to the fee determination and that will likely support certain points that Ted Frank makes in his final filed objections. The ACC wants to file this letter on 3/19/13, despite the fact that all objections are due by 3/15/13. Counsel for the plaintiffs opposes ACC's request. ENDORSEMENT: Association of Corporate Counsel may file an amicus submission on or before March 15, 2013. So ordered. (Signed by Judge Sidney H. Stein on 3/5/2013) (mro) Modified on 3/6/2013 (mro). (Entered: 03/05/2013)

03/05/2013 210 Letter addressed to Judge Sidney H. Stein from Amar D. Sarwal and Evan P. Schulz dated 2/28/13 re: Counsel writes on behalf of Association of Corporate Counsel to give notice that they plan to file a letter with ACC's views about In re: Citigroup Litigation. (mro) (Entered: 03/05/2013)

03/08/2013 211 RESPONSE re: 207 Order,,,, Plaintiffs' Response to the Court's March 1, 2013 Order . Document filed by ATD Group, John A. Baden, Jonathan Butler, Edward Claus, M. David Diamond, Warren Pinchuk, Public Employees' Retirement Association of Colorado, Anthony Sedutto, Tennessee Consolidated Retirement System, Carol Weil, David Whitcomb, Henrietta Whitcomb. (Attachments: # 1 Exhibit B, # 2 Exhibit D, # 3 Exhibit E, # 4 Exhibit F, # 5 Exhibit G, # 6 Exhibit K, # 7 Exhibit L, # 8 Exhibit M)(Linden, Peter) (Entered: 03/08/2013)

03/08/2013 212 CERTIFICATE OF SERVICE. Document filed by ATD Group, John A. Baden, Jonathan Butler, Edward Claus, M. David Diamond, Warren Pinchuk, Public Employees' Retirement Association of Colorado, Anthony Sedutto, Tennessee Consolidated Retirement System, Carol Weil, David Whitcomb, Henrietta Whitcomb. (Linden, Peter) (Entered: 03/08/2013)

03/12/2013 213 Letter addressed to Clerk from Mildred Terry Warren by her son, Richard Paul Warren, POA dated 2/23/13 re: I filed an objection to the Court dated 12/21/12. I have reviewed the materials that were recently sent to me and do hereby withdraw my objections. (mro) (Entered: 03/12/2013)

03/14/2013 214 NOTICE of Notice of Motion For Request For Exclusion. Document filed by Mark C.

Page 47: U.S. District Court Southern District of New York (Foley Square) …securities.stanford.edu/.../C_01/201387_r01k_07CV09901.pdf · 2013-08-07 · US District Court Civil Docket as

Weldon, Mark C. Weldon. (Montell, Vincent) (Entered: 03/14/2013)

03/14/2013 215 MOTION for Extension of Time To Opt Out of Class and Request for Exclusion From Class. Document filed by Mark C. Weldon.(Montell, Vincent) (Entered: 03/14/2013)

03/15/2013 216 NOTICE OF APPEARANCE by Leon Isidore Behar on behalf of Eric Behar (Attachments: # 1 Affidavit Certificate of Service)(Behar, Leon) (Entered: 03/15/2013)

03/15/2013 217 DECLARATION of William Ruane in Opposition re: 165 MOTION for Attorney Fees and Reimbursement of Litigation Expenses .. Document filed by Theodore H. Frank. (Frank, Theodore) (Entered: 03/15/2013)

03/15/2013 218 DECLARATION of Theodore H. Frank in Opposition re: 165 MOTION for Attorney Fees and Reimbursement of Litigation Expenses .. Document filed by Theodore H. Frank. (Attachments: # 1 Exhibit 20. Fitzpatrick empirical study, # 2 Exhibit 21. Coffee AIG Declaration, # 3 Exhibit 22. Coffee Wachovia Declaration, # 4 Exhibit 23. SSRN version of Coffee law review article, # 5 Exhibit 24. Class counsel March 6 letter to court, # 6 Exhibit 25. Frank Rule 37.2 letter, # 7 Exhibit 26. Class counsel January 28 letter to court, # 8 Exhibit 27. Order, In re Beacon Assoc.)(Frank, Theodore) (Entered: 03/15/2013)

03/15/2013 219 TRANSCRIPT of Proceedings re: CONFERENCE held on 2/28/2013 before Judge Sidney H. Stein. Court Reporter/Transcriber: Eve Giniger, (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 4/8/2013. Redacted Transcript Deadline set for 4/18/2013. Release of Transcript Restriction set for 6/17/2013.Filed In Associated Cases: 1:07-cv-09901-SHS, 1:07-cv-10258-SHS, 1:08-cv-00135-SHS, 1:08-cv-00136-SHS(Rodriguez, Somari) (Entered: 03/15/2013)

03/15/2013 220 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a CONFERENCE proceeding held on 2/28/13 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days...Filed In Associated Cases: 1:07-cv-09901-SHS, 1:07-cv-10258-SHS, 1:08-cv-00135-SHS, 1:08-cv-00136-SHS(Rodriguez, Somari) (Entered: 03/15/2013)

03/15/2013 221 MEMORANDUM OF LAW in Opposition re: 165 MOTION for Attorney Fees and Reimbursement of Litigation Expenses ., 164 MOTION to Approve Class Action Settlement and Plan of Allocation.. Document filed by Eric Behar. (Attachments: # 1 Exhibit Exhibit A, # 2 Affidavit Aff. Service of Objection)(Behar, Leon) (Entered: 03/15/2013)

03/15/2013 222 RESPONSE in Opposition re: 165 MOTION for Attorney Fees and Reimbursement of Litigation Expenses . Supplementing earlier Objection 180 . Document filed by Theodore H. Frank. (Frank, Theodore) (Entered: 03/15/2013)

03/15/2013 223 REPLY MEMORANDUM OF LAW in Opposition re: 164 MOTION to Approve Class Action Settlement and Plan of Allocation. FA CAP Memorandum in Support of Objection . Document filed by Daniel Brecher, Paul Koch, Jennifer Murphy, Mark

Page 48: U.S. District Court Southern District of New York (Foley Square) …securities.stanford.edu/.../C_01/201387_r01k_07CV09901.pdf · 2013-08-07 · US District Court Civil Docket as

Oelfke, Scott Short, Chad Taylor. (Guiney, Matthew) (Entered: 03/15/2013)

03/15/2013 224 DECLARATION of John W. Toothman in Opposition re: 165 MOTION for Attorney Fees and Reimbursement of Litigation Expenses .. Document filed by Theodore H. Frank. (Attachments: # 1 Exhibit 1. Resume, # 2 Exhibit 2. Kirby contract attorneys by date, # 3 Exhibit 3. Kirby contract attorneys by timekeeper, # 4 Exhibit 4. "Depo" time entries for timekeepers, # 5 Exhibit 5. Longest Kirby contract attorney timekeepers, # 6 Exhibit 6. Summary of Kirby contract timekeepers)(Frank, Theodore) (Entered: 03/15/2013)

03/15/2013 225 NOTICE of Motion to Strike Expert Reports of Miller 166 and Coffee 167 re: 166 Declaration in Support of Motion, 167 Declaration in Support of Motion,. Document filed by Theodore H. Frank. (Attachments: # 1 Memorandum of Points and Authorities in Support of Motion to Strike)(Frank, Theodore) (Entered: 03/15/2013)

03/15/2013

03/18/2013

226 Objection re: 168 Declaration in Support of Motion, 169 Memorandum of Law in Support of Motion, 165 MOTION for Attorney Fees and Reimbursement of Litigation Expenses ., 171 Declaration in Support of Motion,,, 170 Memorandum of Law in Support of Motion, 164 MOTION to Approve Class Action Settlement and Plan of Allocation., 167 Declaration in Support of Motion,. Document filed by ST. STEPHEN, INC., SMOKESTACK LIGHTENING LTD., Marshall Orloff. (Turkish, Forrest) (Entered: 03/15/2013)

228 Letter addressed to Clerk of the Court from Paul Chergi, ID# 433373 in Phillips State Prison, Buford,Georgia, dated 02/25/13 re: Shareholder of Citigroup, Inc. requests that the Court issue an order for the shareholder to question Citigroup with interrogatories etc. (sc) Modified on 3/19/2013 (sc). Modified on 3/20/2013 (sac). (Entered: 03/19/2013)

03/19/2013 227 ENDORSED LETTER addressed to Judge Sidney H. Stein from Peter S. Linden dated 3/18/13 re: Counsel writes to request an enlargement of the page limitations for Plaintiffs' combined reply brief responding to the recent round of objections filed on 3/15/13 to 50 pages. ENDORSEMENT: So ordered. (Signed by Judge Sidney H. Stein on 3/18/2013) (mro) (Entered: 03/19/2013)

03/25/2013

03/25/2013

229 RESPONSE re: 221 Memorandum of Law in Opposition to Motion, 223 Reply Memorandum of Law in Oppisition to Motion, 226 Objection (non-motion), Objection (non-motion) / Responses of the Citigroup Defendants to Objections in Response to Supplemental Notice . Document filed by David C. Bushnell, Citigroup Inc., Gary L. Crittenden, Robert Druskin, Michael Stuart Klein, Thomas G. Maheras, Charles O. Prince, Robert E. Rubin. (Attachments: # 1 Affidavit of Service)(Rosen, Richard) (Entered: 03/25/2013)

230 DECLARATION of Andrew J. Entwistle in Support re: 165 MOTION for Attorney Fees and Reimbursement of Litigation Expenses .. Document filed by ATD Group, John A. Baden, Jonathan Butler, Edward Claus, M. David Diamond, Warren Pinchuk, Public Employees' Retirement Association of Colorado, Anthony Sedutto, Tennessee Consolidated Retirement System, Carol Weil, David Whitcomb, Henrietta Whitcomb. (Press, Ira) (Entered: 03/25/2013)

03/25/2013 231 DECLARATION of Kenneth M. Moscaret, Esq. in Support re: 165 MOTION for Attorney Fees and Reimbursement of Litigation Expenses .. Document filed by ATD Group, John A. Baden, Jonathan Butler, Edward Claus, M. David Diamond, Warren

Page 49: U.S. District Court Southern District of New York (Foley Square) …securities.stanford.edu/.../C_01/201387_r01k_07CV09901.pdf · 2013-08-07 · US District Court Civil Docket as

Pinchuk, Public Employees' Retirement Association of Colorado, Anthony Sedutto, Tennessee Consolidated Retirement System, Carol Weil, David Whitcomb, Henrietta Whitcomb. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D, # 5 Exhibit E, # 6 Exhibit F)(Press, Ira) (Entered: 03/25/2013)

03/25/2013 232 REPLY MEMORANDUM OF LAW in Support re: 165 MOTION for Attorney Fees and Reimbursement of Litigation Expenses ., 164 MOTION to Approve Class Action Settlement and Plan of Allocation. Plaintiffs' Reply Memorandum of Law in Response to Post-December 21, 2012 Objections to Plaintiffs' Motion for Final Approval of Class Action Settlement and Plaintiffs' Counsel's Motion for Award of Attorneys' Fees and Reimbursement of Litigation Expenses . Document filed by ATD Group, John A. Baden, Jonathan Butler, Edward Claus, M. David Diamond, Warren Pinchuk, Public Employees' Retirement Association of Colorado, Anthony Sedutto, Tennessee Consolidated Retirement System, Carol Weil, David Whitcomb, Henrietta Whitcomb. (Press, Ira) (Entered: 03/25/2013)

03/25/2013 233 DECLARATION of Ira M. Press and Peter S. Linden in Support re: 165 MOTION for Attorney Fees and Reimbursement of Litigation Expenses ., 164 MOTION to Approve Class Action Settlement and Plan of Allocation.. Document filed by ATD Group, John A. Baden, Jonathan Butler, Edward Claus, M. David Diamond, Warren Pinchuk, Public Employees' Retirement Association of Colorado, Anthony Sedutto, Tennessee Consolidated Retirement System, Carol Weil, David Whitcomb, Henrietta Whitcomb. (Attachments: # 1 Exhibit 36, # 2 Exhibit 37, # 3 Exhibit 38, # 4 Exhibit 39, # 5 Exhibit 40, # 6 Exhibit 41, # 7 Exhibit 42, # 8 Exhibit 43, # 9 Exhibit 44, # 10 Exhibit 45, # 11 Exhibit 46)(Press, Ira) (Entered: 03/25/2013)

03/25/2013 234 CERTIFICATE OF SERVICE. Document filed by ATD Group, John A. Baden, Jonathan Butler, M. David Diamond, Warren Pinchuk, Public Employees' Retirement Association of Colorado, Anthony Sedutto, Tennessee Consolidated Retirement System, Carol Weil, David Whitcomb, Henrietta Whitcomb. (Press, Ira) (Entered: 03/25/2013)

03/28/2013 235 MEMORANDUM OF LAW in Opposition re: 215 MOTION for Extension of Time To Opt Out of Class and Request for Exclusion From Class .. Document filed by David C. Bushnell, Citigroup Inc., Gary L. Crittenden, Robert Druskin, Michael Stuart Klein, Thomas G. Maheras, Charles O. Prince, Robert E. Rubin. (Rosen, Richard) (Entered: 03/28/2013)

03/28/2013 236 DECLARATION of BEVERLY TSE MIRZA re: 235 Memorandum of Law in Opposition to Motion,. Document filed by David C. Bushnell, Citigroup Inc., Gary L. Crittenden, Robert Druskin, Michael Stuart Klein, Thomas G. Maheras, Charles O. Prince, Robert E. Rubin. (Rosen, Richard) (Entered: 03/28/2013)

04/01/2013 237 Letter addressed to Judge Sidney H. Stein from Robert Shatluck dated 3/11/1 re: The enclosure within is denominated an amicus objection. (mro) (Entered: 04/01/2013)

04/01/2013 238 Letter addressed to Judge Sidney H. Stein from Robert Shatluck dated 3/25/13 re: Robert Shatluck states that he sent the email herein to Mr. Phillips regarding his Declaration to the Court, dated 11/19/12, and Mr. Phillips sent a reply email that said he should serve his email on the parties to give them an opportunity to respond before Mr. Phillips comments. (mro) (Entered: 04/01/2013)

04/01/2013 239 ORDER: In connection with the April 8, 2013 hearing on the fairness of the proposed

Page 50: U.S. District Court Southern District of New York (Foley Square) …securities.stanford.edu/.../C_01/201387_r01k_07CV09901.pdf · 2013-08-07 · US District Court Civil Docket as

class action settlement and the reasonableness of Lead Class Counsel's motion for attorneys' fees and reimbursement of litigation expenses, the parties are requested to include the areas listed herein in their presentations. To aid its review of the pending motions, the Court would appreciate hearing from Mr. Moscaret and the damages expert who determined the estimated share-price inflation that underlies the Plan of Allocation, if they are available. On or before April 8, plaintiffs' counsel are requested to provide the information listed herein. (Signed by Judge Sidney H. Stein on 4/1/2013) Filed In Associated Cases: 1:09-md-02070-SHS, 1:07-cv-09901-SHS(mro) (Entered: 04/01/2013)

04/01/2013 240 MEMORANDUM OF LAW in Opposition re: 225 Notice (Other), Notice (Other). Document filed by ATD Group, John A. Baden, Jonathan Butler, M. David Diamond, Warren Pinchuk, Public Employees' Retirement Association of Colorado, Anthony Sedutto, Tennessee Consolidated Retirement System, Carol Weil, David Whitcomb, Henrietta Whitcomb. (Linden, Peter) (Entered: 04/01/2013)

04/01/2013 241 DECLARATION of Edward Varga in Opposition re: 225 Notice (Other), Notice (Other). Document filed by ATD Group, John A. Baden, Jonathan Butler, M. David Diamond, Warren Pinchuk, Public Employees' Retirement Association of Colorado, Anthony Sedutto, Tennessee Consolidated Retirement System, Carol Weil, David Whitcomb, Henrietta Whitcomb. (Attachments: # 1 Exhibit A)(Linden, Peter) (Entered: 04/01/2013)

04/05/2013 242 NOTICE OF APPEARANCE by Forrest Scott Turkish on behalf of Marshall Orloff, SMOKESTACK LIGHTENING LTD., ST. STEPHEN, INC. (Turkish, Forrest) (Entered: 04/05/2013)

04/07/2013 243 NOTICE of Additional Information Regarding Billing Rates. Document filed by ATD Group, John A. Baden, Jonathan Butler, Edward Claus, M. David Diamond, Warren Pinchuk, Public Employees' Retirement Association of Colorado, Anthony Sedutto, Tennessee Consolidated Retirement System, Carol Weil, David Whitcomb, Henrietta Whitcomb. (Attachments: # 1 Exhibit A, # 2 Exhibit B)(Linden, Peter) (Entered: 04/07/2013)

04/07/2013 244 CERTIFICATE OF SERVICE. Document filed by ATD Group, John A. Baden, Jonathan Butler, Edward Claus, M. David Diamond, Warren Pinchuk, Public Employees' Retirement Association of Colorado, Anthony Sedutto, Tennessee Consolidated Retirement System, Carol Weil, David Whitcomb, Henrietta Whitcomb. (Linden, Peter) (Entered: 04/07/2013)

04/07/2013 245 CERTIFICATE OF SERVICE. Document filed by ATD Group, John A. Baden, Jonathan Butler, Edward Claus, M. David Diamond, Warren Pinchuk, Public Employees' Retirement Association of Colorado, Anthony Sedutto, Tennessee Consolidated Retirement System, Carol Weil, David Whitcomb, Henrietta Whitcomb. (Linden, Peter) (Entered: 04/07/2013)

04/07/2013 246 NOTICE of discrepancy in class counsel's April 7 letter to the court re: 239 Order,,,. Document filed by Theodore H. Frank. (Attachments: # 1 Exhibit 1. Class counsel letter to court of April 7, 2013, # 2 Exhibit 2. partial summary of "document review" and "review documents" time entries, # 3 Certificate of service)(Frank, Theodore) (Entered: 04/07/2013)

04/08/2013 247 Letter addressed to Judge Sidney H. Stein from Peter S. Linden dated 4/7/13 re:

Page 51: U.S. District Court Southern District of New York (Foley Square) …securities.stanford.edu/.../C_01/201387_r01k_07CV09901.pdf · 2013-08-07 · US District Court Civil Docket as

04/08/2013

04/11/2013

Counsel for the plaintiffs writes to furnish the information the Court requested in its Order dated 4/1/13. (mro) (Entered: 04/08/2013)

Minute Entry for proceedings held before Judge Sidney H. Stein: Fairness Hearing held on 4/8/2013. (lab) (Entered: 04/09/2013)

248 Letter addressed to Judge Sidney H. Stein from K.P. Desai dated 4/6/13 re: Request that Your Honor reject the settlement for the reasons herein. (mro) (Entered: 04/11/2013)

04/19/2013 249 TRANSCRIPT of Proceedings re: CONFERENCE held on 12/28/2012 before Judge Sidney H. Stein. Court Reporter/Transcriber: Carol Ganley, (212) 805-0300. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 5/13/2013. Redacted Transcript Deadline set for 5/23/2013. Release of Transcript Restriction set for 7/22/2013.Filed In Associated Cases: 1:07-cv-09901-SHS, 1:07-cv-10258-SHS, 1:08-cv-00135-SHS, 1:08-cv-00136-SHS(Rodriguez, Somari) (Entered: 04/19/2013)

04/19/2013

04/23/2013

05/14/2013

250 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a CONFERENCE proceeding held on 12/28/12 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days...Filed In Associated Cases: 1:07-cv-09901-SHS, 1:07-cv-10258-SHS, 1:08-cv-00135-SHS, 1:08-cv-00136-SHS(Rodriguez, Somari) (Entered: 04/19/2013)

251 Letter addressed to United States District Court from Robert Shattuck dated 4/8/2013 re: Amicus Curiae objector submits the response of former United States District Judge Layn R. Phillips to his email served on the parties per his instruction. Document filed by Eric Behar.(tro) (Entered: 04/23/2013)

252 Letter addressed to Judge Sidney H. Stein from Amar D. Sarwal dated 3/15/2013 re: On behalf of the Association of Corporate Counsel, we are writing to offer the views of the in-house counsel bar on the fee request submitted by plaintiffs counsel in In re Citigroup Securities Litigation. The plaintiffs lawyers here seek fees for contract attorneys that today's legal market won't support. Even without the fee-multiplier, the plaintiffs lawyers request hundreds of dollars per hour for many individual contract lawyers. But almost no law firms today charge such high rates for contract lawyers. (ama) (Entered: 05/14/2013)

05/23/2013 253 Letter addressed to Judge Sidney H. Stein from Robert Shattuck dated 5/15/13 re: Suggestion of Judicial Notice of Baby Products Antitrust Litigation. (mro) (Entered: 05/23/2013)

05/23/2013 254 FILING ERROR - ELECTRONIC FILING OF NON-ECF DOCUMENT - NOTICE of Response re: 253 Letter. Document filed by Theodore H. Frank. (Attachments: # 1 Exhibit 1. Thakor paper)(Frank, Theodore) Modified on 5/24/2013 (ka). (Entered: 05/23/2013)

05/24/2013 ***NOTE TO ATTORNEY THAT THE ATTEMPTED FILING OF Document No. 254 HAS BEEN REJECTED. Note to Attorney Theodore H. Frank : THE

Page 52: U.S. District Court Southern District of New York (Foley Square) …securities.stanford.edu/.../C_01/201387_r01k_07CV09901.pdf · 2013-08-07 · US District Court Civil Docket as

CLERK'S OFFICE DOES NOT ACCEPT LETTERS FOR FILING, either through ECF or otherwise, except where the judge has ordered that a particular letter be docketed. Letters may be sent directly to a judge. (ka) (Entered: 05/24/2013)

06/19/2013 255 ORDER: IT IS HEREBY ORDERED that counsel for the settling parties and for the FA CAP objectors are directed to appear in Courtroom 23A on Thursday, June 20, 2013, at 4:00 p.m., for a conference concerning the scope of the proposed release, the plan of allocation, and the application of the class definition to the FA CAP participants. ( Status Conference set for 6/20/2013 at 04:00 PM in Courtroom 23A, 500 Pearl Street, New York, NY 10007 before Judge Sidney H. Stein.) (Signed by Judge Sidney H. Stein on 6/19/2013) Filed In Associated Cases: 1:09-md-02070-SHS, 1:07-cv-09901-SHS(mro) (Entered: 06/19/2013)

06/20/2013 Minute Entry for proceedings held before Judge Sidney H. Stein: Status Conference held on 6/20/2013. (lab) (Entered: 06/21/2013)

06/24/2013 256 TRANSCRIPT of Proceedings re: CONFERENCE held on 6/20/2013 before Judge Sidney H. Stein. Court Reporter/Transcriber: Bryan Nilsen, (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 7/18/2013. Redacted Transcript Deadline set for 7/29/2013. Release of Transcript Restriction set for 9/26/2013.Filed In Associated Cases: 1:07-cv-09901-SHS, 1:07-cv-10258-SHS, 1:08-cv-00135-SHS, 1:08-cv-00136-SHS(Rodriguez, Somari) (Entered: 06/24/2013)

06/24/2013 257 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a CONFERENCE proceeding held on 6/20/13 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days...Filed In Associated Cases: 1:07-cv-09901-SHS, 1:07-cv-10258-SHS, 1:08-cv-00135-SHS, 1:08-cv-00136-SHS(Rodriguez, Somari) (Entered: 06/24/2013)

06/26/2013 258 MEMORANDUM OF LAW REGARDING THE SCOPE OF THE SETTLEMENT RELEASE . Document filed by David C. Bushnell, Citigroup Inc., Gary L. Crittenden, Robert Druskin, Michael Stuart Klein, Thomas G. Maheras, Charles O. Prince, Robert E. Rubin. (Rosen, Richard) (Entered: 06/26/2013)

07/01/2013 259 RESPONSE in Opposition re: 164 MOTION to Approve Class Action Settlement and Plan of Allocation. Memo of Law In Response To Defendants' Memo Regarding Scope Of Settlement Release . Document filed by Daniel Brecher, Jennifer Murphy, Mark Oelfke, Scott Short, Chad Taylor. (Guiney, Matthew) (Entered: 07/01/2013)

07/03/2013 260 REPLY MEMORANDUM OF LAW Regarding the Scope of the Settlement Release . Document filed by David C. Bushnell, Citigroup Inc., Gary L. Crittenden, Robert Druskin, Michael Stuart Klein, Thomas G. Maheras, Charles O. Prince, Robert E. Rubin. (Rosen, Richard) (Entered: 07/03/2013)

07/12/2013 261 ORDER. The Court has reviewed the post-June 20, 2013 submissions from theparties and the FA CAP objectors regarding the scope of the proposedrelease. Having considered the parties' arguments, the Court adheres to its view that the proposed

Page 53: U.S. District Court Southern District of New York (Foley Square) …securities.stanford.edu/.../C_01/201387_r01k_07CV09901.pdf · 2013-08-07 · US District Court Civil Docket as

release is too broad. The Court does not, as defendants suggest, rule that class representatives cannot agree to release a claim they lacked standing to pursue. The Court does conclude that, in light of the particular facts, history, and circumstances of this action and the related actions, the release here should not include the FA CAP participants' Securities Act claims that are asserted in the action entitled Brecher v. Citigroup Inc., No. 09 Civ. 7359 (SHS). As set forth on the record at the June 20, 2013 conference, the parties should notify the Court in writing by July 18 whether they have agreed to modify the release and, if so, they should submit that modified release. (Signed by Judge Sidney H. Stein on 7/12/2013) Filed In Associated Cases: 1:09-md-02070-SHS, 1:07-cv-09901-SHS (rjm) (Entered: 07/15/2013)

07/19/2013 262 TRANSCRIPT of Proceedings re: CONFERENCE held on 4/8/2013 before Judge Sidney H. Stein. Court Reporter/Transcriber: Paula Speer, (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 8/12/2013. Redacted Transcript Deadline set for 8/22/2013. Release of Transcript Restriction set for 10/21/2013.Filed In Associated Cases: 1:07-cv-09901-SHS, 1:07-cv-10258-SHS, 1:08-cv-00135-SHS, 1:08-cv-00136-SHS(Rodriguez, Somari) (Entered: 07/19/2013)

07/19/2013 263 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a CONFERENCE proceeding held on 4/8/13 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days...Filed In Associated Cases: 1:07-cv-09901-SHS, 1:07-cv-10258-SHS, 1:08-cv-00135-SHS, 1:08-cv-00136-SHS(Rodriguez, Somari) (Entered: 07/19/2013)

07/23/2013 Minute Entry for proceedings held before Judge Sidney H. Stein: conference held on 7/23/2013, in connection with the release. (lab) (Entered: 07/24/2013)

07/24/2013 264 LETTER addressed to Judge Sidney H. Stein from Peter S. Linden dated 4/7/2013 re: We are Plaintiffs' Lead Counsel in the above-referenced action. We write to furnish the information the Court requested in its Order dated April 1, 2013. (rjm) Modified on 7/24/2013 (rjm). (Entered: 07/24/2013)

07/24/2013 265 NOTICE of FILING OF SECOND AMENDMENT TO STIPULATION AND AGREEMENT OF SETTLEMENT. Document filed by ATD Group, John A. Baden, David C. Bushnell, Jonathan Butler, Citigroup Inc., Edward Claus, Gary L. Crittenden, M. David Diamond, Robert Druskin, John C. Gerspach, Michael Stuart Klein, Sallie L. Krawcheck, Thomas G. Maheras, Vikram Pandit, Charles O. Prince, Public Employees' Retirement Association of Colorado, Todd S. Thomson, Stephen R. Volk, Carol Weil, David Whitcomb, Henrietta Whitcomb. (Linden, Peter) (Entered: 07/24/2013)

07/26/2013 266 ENDORSED LETTER addressed to Judge Sidney H. Stein from Mark C. Rifkin dated 7/25/2013 re: We intend to submit a fee application for our services. We respectfully request, therefore, that the Court briefly withhold its decision on the Securities Action Plaintiffs' pending fee application. ENDORSEMENT: The basis for the fee application should be submitted on or before Wednesday, July 31. Detailed time records need not be submitted by that deadline. So ordered. (Signed by Judge Sidney H. Stein on

Page 54: U.S. District Court Southern District of New York (Foley Square) …securities.stanford.edu/.../C_01/201387_r01k_07CV09901.pdf · 2013-08-07 · US District Court Civil Docket as

07/26/2013 267

7/26/2013) (rjm) (Entered: 07/26/2013)

ORDER. Individual class member Mark C. Weldon has moved for exclusion from the settlement class or, in the alternative, for an extension of the time to opt out. (Dkt. No. 215.) The Court finds that Weldon's request for exclusion was not received by the date specified in the notice and that he has not provided a reasonable justification for his failure to adhere to the deadline. As such, the Court finds no excusable neglect. See Pioneer Inv. Servs. Co. v. Brunswick Associates Ltd. P'ship, 507 U.S. 380, 395 (1993). The motion is hereby denied. Denying (215) Motion for Extension of Time in case 1:07-cv-09901-SHS. (Signed by Judge Sidney H. Stein on 7/26/2013) Filed In Associated Cases: 1:09-md-02070-SHS, 1:07-cv-09901-SHS. (rjm) (Entered: 07/26/2013)

07/31/2013 268 MOTION for Attorney Fees. Document filed by Daniel Brecher, Paul Koch, Jennifer Murphy, Mark Oelfke, Scott Short, Chad Taylor.(Guiney, Matthew) (Entered: 07/31/2013)

07/31/2013 269 MEMORANDUM OF LAW in Support re: 268 MOTION for Attorney Fees.. Document filed by Daniel Brecher, Jennifer Murphy, Mark Oelfke, Scott Short, Chad Taylor. (Guiney, Matthew) (Entered: 07/31/2013)

07/31/2013 270 DECLARATION of Matthew Guiney in Support re: 268 MOTION for Attorney Fees.. Document filed by Daniel Brecher. (Guiney, Matthew) (Entered: 07/31/2013)

07/31/2013 271 DECLARATION of Victor Stewart in Support re: 268 MOTION for Attorney Fees.. Document filed by Daniel Brecher. (Guiney, Matthew) (Entered: 07/31/2013)

07/31/2013

07/31/2013

07/31/2013

08/01/2013

272 DECLARATION of Jake Zamansky in Support re: 268 MOTION for Attorney Fees.. Document filed by Daniel Brecher. (Guiney, Matthew) (Entered: 07/31/2013)

273 DECLARATION of James F Clapp in Support re: 268 MOTION for Attorney Fees.. Document filed by Daniel Brecher. (Guiney, Matthew) (Entered: 07/31/2013)

274 DECLARATION of Edward J Wynne in Support re: 268 MOTION for Attorney Fees.. Document filed by Daniel Brecher. (Guiney, Matthew) (Entered: 07/31/2013)

275 OPINION re: (165 in 1:07-cv-09901-SHS) MOTION for Attorney Fees and Reimbursement of Litigation Expenses filed by M. David Diamond, Carol Weil, David Whitcomb, ATD Group, Public Employees' Retirement Association of Colorado, Anthony Sedutto, Henrietta Whitcomb, Tennessee Consolidated Retirement System, Edward Claus, Jonathan Butler, Warren Pinchuk, John A. Baden, (164 in 1:07-cv-09901-SHS) MOTION to Approve Class Action Settlement and Plan of Allocation filed by M. David Diamond, Carol Weil, David Whitcomb, ATD Group, Public Employees' Retirement Association of Colorado, Anthony Sedutto, Henrietta Whitcomb, Tennessee Consolidated Retirement System, Edward Claus, Jonathan Butler, Warren Pinchuk, John A. Baden. The Court finds that proposed $590 million settlement and the proposed plan of allocation are fair, reasonable, and adequate. The Court further finds that the class was provided with adequate notice of class certification and the settlement. The Court thus grants plaintiffs' motion for final approval of the settlement and plan of allocation. The Court also grants Lead Counsel's motion for an aware of attorneys' fees- albeit a lower fee than requested. The Court awards Lead Counsel $70.8 million in attorneys' fees. Finally, the Court grants Lead Counsel's motion for reimbursement of $2,842,841.59 in litigation expenses. (Signed

Page 55: U.S. District Court Southern District of New York (Foley Square) …securities.stanford.edu/.../C_01/201387_r01k_07CV09901.pdf · 2013-08-07 · US District Court Civil Docket as

by Judge Sidney H. Stein on 8/1/2013) Filed In Associated Cases: 1:09-md-02070- SHS, 1:07-cv-09901-SHS(tro) Modified on 8/1/2013 (tro). (Entered: 08/01/2013)

08/01/2013 276 FINAL JUDGMENT AND ORDER OF DISMISSAL WITH PREJUDICE: Pursuant to the Federal Rules or Civil Procedure 34, the Court hereby approves the Settlement as fair, reasonable and adequate, and in the best interest of the Settlement Class Members, for the reasons stated forth in the Opinion dated August 1, 2013, the parties to the Settlement are directed to consummate the Settlement in accordance with the terms and provisions of the Stipulation. The claims of the Settlement Class Members are dismissed on the merits, without costs, and with prejudice, and the Released Claims are released against each of the Released Parties. The Action is dismissed with prejudice against the Citigroup Defendants and bars, as against the Citigroup Defendants and other Released Parties, the Released Claims by the Lead Plaintiff, Named Plaintiffs. Additional Proposed Named Plaintiffs and all Settlement Class Members. (Signed by Judge Sidney H. Stein on 8/1/2013) (Attachments: # 1 Notice of Right to Appeal)Filed In Associated Cases: 1:09-md-02070-SHS, 1:07-cv-09901- SHS(dt) Modified on 8/2/2013 (dt). Modified on 8/2/2013 (dt). (Entered: 08/01/2013)

08/01/2013 Terminate Transcript Deadlines (dt) (Entered: 08/05/2013)

Note: Links in this docket are stored in the PACER system ( Public Access to Court Electronic Records). PACER is a service of United States Judiciary. To view and retrieve the linked documents from PACER, you must be a registered user. To register, fill out one of the registration forms available on the PACER site. The United States Congress has given the Judicial Conference of the United States, the judicial governing body of the U.S. Federal Courts, authority to impose user fees for electronic access to case information. For more information visit the PACER site at http://pacer.psc.uscourts.gov/pacerdesc.html