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Page 1: U.S. District Court Southern District of New York (Foley Square) …securities.stanford.edu/.../2013827_r01k_13CV06057.pdf · 2017. 11. 2. · US District Court Civil Docket as of

US District Court Civil Docket as of November 4, 2016 Retrieved from the court on November 4, 2016

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

CIVIL DOCKET FOR CASE #: 1:13-cv-06057-PAC

Vanleeuwen et al v. Keyuan Petrochemicals Inc et al Assigned to: Judge Paul A. Crotty Related Cases: 1:14-cv-00918-PAC

1:14-cv-08591-PAC

Case in other court: California Central, 2:11-cv-09495Cause: 28:1331 Fed. Question

Date Filed: 08/28/2013 Date Terminated: 03/31/2015 Jury Demand: Both Nature of Suit: 890 Other Statutory Actions Jurisdiction: Federal Question

Plaintiff Neil Vanleeuwen individually and on behalf of all others similarly situtated

represented by Phillip C. Kim The Rosen Law Firm P.A. 350 5th Avenue, Suite 5508 New York, NY 10118 (212) 686-1060 Fax: (212) 202-3827 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED Erica Lauren Stone The Rosen Law Firm, P.A. 275 Madison Avenue 34th Floor New York, NY 10016 (212)-686-1060 Fax: (212)-202-3827 Email: [email protected] ATTORNEY TO BE NOTICED Laurence Matthew Rosen The Rosen Law Firm, P.A. (NYC) 275 Madison Avenue, 34th Floor New York,, NY 10016 (212)-686-1060 Fax: (212)-202-3827 Email: [email protected] ATTORNEY TO BE NOTICED

Plaintiff

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Rodney Omanoff individually and on behalf of all others similarly situated

represented by Phillip C. Kim (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED Erica Lauren Stone (See above for address) ATTORNEY TO BE NOTICED Laurence Matthew Rosen (See above for address) ATTORNEY TO BE NOTICED

V.

Defendant Keyuan Petrochemicals Inc represented by Robert David Weber

DLA Piper US LLP North Tower 2000 Avenue of the Stars Suite 400 Los Angeles, CA 90067-4704 310-595-3000 Fax: 310-595-3309 Email: [email protected] LEAD ATTORNEY PRO HAC VICE ATTORNEY TO BE NOTICED Robert D. Weber DLA Piper US LLP 2000 Avenue of Stars Los Angeles, CA 90067 (212) 595-3000 Fax: (212) 595-4501 Email: [email protected] PRO HAC VICE ATTORNEY TO BE NOTICED

Defendant Chunfeng Tao represented by Ho-El Park

Ho-El Park Law Offices 333 City Boulevard West Suite 1700 Orange, CA 92868 714-523-2466 Fax: 714-503-0788 ATTORNEY TO BE NOTICED Jenny D Johnson-Sardella Leser Hunter Taubman & Taubman, PLLC

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255 University Drive Coral Gables, FL 33134 (305)629-8806x347623-1684 Fax: (305) 629-8877 Email: [email protected] ATTORNEY TO BE NOTICED Mark David Hunter Leser Hunter Taubman & Taubman, PLLC 225 University Drive Coral Gables, FL 33134 (305) 629-8816 Fax: (305) 629-8877 Email: [email protected] ATTORNEY TO BE NOTICED

Defendant Aichun Li represented by D. Scott Carlton

Paul Hastings LLP (CA) 515 S. Flower Street 25th Floor Los Angeles, CA 90071 (213)-683-6113 Fax: (213)-627-0705 Email: [email protected] LEAD ATTORNEY PRO HAC VICE ATTORNEY TO BE NOTICED Howard M. Privette Paul Hastings Janofsky & Walker 515 S. Flower St. 25th Floor Los Angeles, CA 90071-3132 (213)683 - 6229 Fax: (213)-627-0705 Email: [email protected] LEAD ATTORNEY PRO HAC VICE ATTORNEY TO BE NOTICED Jodi Aileen Kleinick Paul Hastings LLP (NY) 75 East 55th Street New York, NY 10022 (212) 318-6751 Fax: (212) 230-7691 Email: [email protected] LEAD ATTORNEY

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ATTORNEY TO BE NOTICED Howard M Privette Paul Hastings LLP 515 S Flower Street 25th Fl Los Angeles, CA 90071-2228 213-683-6000 Fax: 213-627-0705 Email: [email protected] PRO HAC VICE ATTORNEY TO BE NOTICED

Defendant Weifeng Xue

Defendant Delight Reward Limited

Date Filed # Docket Text

11/15/2011 1 COMPLAINT CLASS ACTION against Defendants Delight Reward Limited, Keyuan Petrochemicals Inc, Aichun Li, Chunfeng Tao, Weifeng Xue. Case assigned to Judge Philip S. Gutierrez for all further proceedings. Discovery referred to Magistrate Judge Jay C. Gandhi.(Filing fee $ 350:PAID) Jury Demanded., filed by plaintiff Peter Cheung.(ghap) (Additional attachment(s) added on 12/12/2011: # 1 Ntc of Asgmt, # 2 Summons, # 3 Civil Cover Sheet) (mg). [Transferred from California Central on 8/28/2013.] (Entered: 11/16/2011)

11/15/2011 21 DAY Summons Issued re Complaint - (Discovery) 1 as to Defendants Delight Reward Limited, Keyuan Petrochemicals Inc, Aichun Li, Chunfeng Tao, Weifeng Xue. (ghap) [Transferred from California Central on 8/28/2013.] (Entered: 11/16/2011)

11/15/2011 2 CERTIFICATION AND NOTICE of Interested Parties filed by Plaintiff Peter Cheung. (ghap) (mg). [Transferred from California Central on 8/28/2013.] (Entered: 11/16/2011)

11/16/2011 3 STANDING ORDER regarding Newly Assigned Cases (See document for further details) by Judge Philip S. Gutierrez. (ir) [Transferred from California Central on 8/28/2013.] (Entered: 11/17/2011)

11/28/2011 4 PROOF OF SERVICE Executed by Plaintiff Keyuan Petrochemicals Inc, upon Defendant Keyuan Petrochemicals Inc served on 11/21/2011, answer due 12/12/2011. Service of the Summons and Complaint were executed upon Charlene Cadot, Registered Agent in compliance with Federal Rules of Civil Procedure by service on a domestic corporation, unincorporated association, or public entity. Original Summons returned. and service of standing order (Rosen, Laurence) [Transferred from California Central on 8/28/2013.] (Entered: 11/28/2011)

01/17/2012 5 NOTICE OF MOTION AND MOTION for Appointment of Counsel and appointment of Vanleeuwen Lead Plaintiff filed by Plaintiff Peter Cheung. Motion

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set for hearing on 2/27/2012 at 01:30 PM before Judge Philip S. Gutierrez. (Attachments: # 1 Proposed Order)(Rosen, Laurence) [Transferred from California Central on 8/28/2013.] (Entered: 01/17/2012)

01/17/2012 6 MEMORANDUM in Support of MOTION for Appointment of Counsel and appointment of Vanleeuwen Lead Plaintiff 5 filed by Plaintiff Peter Cheung. (Rosen, Laurence) [Transferred from California Central on 8/28/2013.] (Entered: 01/17/2012)

01/17/2012 7 DECLARATION of Laurence Rosen in support of MOTION for Appointment of Counsel and appointment of Vanleeuwen Lead Plaintiff 5 filed by Plaintiff Peter Cheung. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3, # 4 Exhibit 4)(Rosen, Laurence) [Transferred from California Central on 8/28/2013.] (Entered: 01/17/2012)

01/18/2012 8 First REQUEST for Clerk to Enter Default against Defendant Keyuan Petrochemicals Inc filed by Plaintiff Peter Cheung. (Rosen, Laurence) ** *** DOCUMENT IS STRICKEN PURSUANT TO COURT ORDER DATED 1-26-2012, DOC #21*** Modified on 1/27/2012 (lw). [Transferred from California Central on 8/28/2013.] (Entered: 01/18/2012)

01/18/2012 9 DECLARATION of Laurence Rosen In support of First REQUEST for Clerk to Enter Default against Defendant Keyuan Petrochemicals Inc 8 filed by Plaintiff Peter Cheung. (Attachments: # 1 Exhibit Exhibit A)(Rosen, Laurence)*** DOCUMENT IS STRICKEN PURSUANT TO COURT ORDER DATED 1-26-2012, DOC #21*** Modified on 1/27/2012 (lw). [Transferred from California Central on 8/28/2013.] (Entered: 01/18/2012)

01/18/2012 10 NOTICE TO FILER OF DEFICIENCIES in Electronically Filed Documents RE: MOTION for Appointment 5 , Memorandum 6 , Declaration 7 . The following error(s) was found: Hearing information is missing, incorrect, or not timely.Other error(s) with document(s) are specified below. Other error(s) with document(s): Hearing is noticed for a date and time that is closed on the court's calendar. In response to this notice the court may order (1) an amended or correct document to be filed (2) the document stricken or (3) take other action as the court deems appropriate. You need not take any action in response to this notice unless and until the court directs you to do so. (bm) [Transferred from California Central on 8/28/2013.] (Entered: 01/18/2012)

01/19/2012 11 NOTICE OF MOTION AND MOTION for Appointment of Counsel AMENDED NOTICE OF MOTION AND MOTION OF NEIL VANLEEUWEN FOR APPOINTMENT AS LEAD PLAINTIFF AND APPROVAL OF CHOICE OF COUNSEL; RE-NOTICING HEARING DATE filed by Plaintiff Peter Cheung. Motion set for hearing on 3/26/2012 at 01:30 PM before Judge Philip S. Gutierrez. (Rosen, Laurence) **STRICKEN PURSUANT TO ORDER filed 1/20/12**Modified on 1/23/2012 (ir). [Transferred from California Central on 8/28/2013.] (Entered: 01/19/2012)

01/19/2012 12 ORDER TO STRIKE ELECTRONICALLY FILED DOCUMENTS by Judge Philip S. Gutierrez: the following document(s) be STRICKEN for failure to comply with the Local Rules, General Order and/or the Courts Case Management Order: MOTION for Appointment of Lead Plaintiff 5 , Memorandum in support of Motion

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6 , and Declaration of Laurence Rosen in support of Motion for Appointment of Counsel 7 , for the following reasons: Hearing information is incorrect. Hearing date closed. see Court's web site. (jp)[Transferred from California Central on 8/28/2013.] (Entered: 01/19/2012)

01/20/2012 13 NOTICE TO FILER OF DEFICIENCIES in Electronically Filed Documents RE: REQUEST to Enter Default 8 , Declaration 9 . The following error(s) was found: Document submitted in the wrong case. In response to this notice the court may order (1) an amended or correct document to be filed (2) the document stricken or (3) take other action as the court deems appropriate. You need not take any action in response to this notice unless and until the court directs you to do so. (bm) [Transferred from California Central on 8/28/2013.] (Entered: 01/20/2012)

01/20/2012 14 NOTICE OF MOTION AND MOTION for Appointment of Counsel and lead plaintiff filed by plaintiff Peter Cheung. Motion set for hearing on 4/2/2012 at 01:30 PM before Judge Philip S. Gutierrez. (Attachments: # 1 Proposed Order)(Rosen, Laurence) [Transferred from California Central on 8/28/2013.] (Entered: 01/20/2012)

01/20/2012 15 MEMORANDUM in Support of MOTION for Appointment of Counsel and lead plaintiff 14 filed by Plaintiff Peter Cheung. (Rosen, Laurence) [Transferred from California Central on 8/28/2013.] (Entered: 01/20/2012)

01/20/2012 16 DECLARATION of Laurence Rosen in support of MOTION for Appointment of Counsel and lead plaintiff 14 filed by Plaintiff Peter Cheung. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3, # 4 Exhibit 4)(Rosen, Laurence) [Transferred from California Central on 8/28/2013.] (Entered: 01/20/2012)

01/20/2012 17 First REQUEST for Clerk to Enter Default against Defendant Keyuan Petrochemicals Inc filed by Plaintiff Peter Cheung. (Rosen, Laurence) [Transferred from California Central on 8/28/2013.] (Entered: 01/20/2012)

01/20/2012 18 DECLARATION of Laurence M. Rosen In support of First REQUEST for Clerk to Enter Default against Defendant Keyuan Petrochemicals Inc 17 filed by Plaintiff Peter Cheung. (Attachments: # 1 Exhibit A)(Rosen, Laurence) [Transferred from California Central on 8/28/2013.] (Entered: 01/20/2012)

01/20/2012 19 ORDER by Judge Philip S. Gutierrez: the following document be STRICKEN for failure to comply with the Local Rules, General Order and/or the Courts Case Management Order: AMENDED MOTION FOR APPOINTMENT AS LEAD PLAINTIFF 11 , for the following reasons: Hearing information is incorrect. Document 11 is actually an Amended Notice re-noticing a Motion stricken on 1/19/12. (ir) [Transferred from California Central on 8/28/2013.] (Entered: 01/23/2012)

01/23/2012 20 NOTICE OF DEFICIENCY Re: First REQUEST for Clerk to Enter Default against Defendant Keyuan Petrochemicals Inc 17 . The Clerk cannot enter the requested relief as Proof of Service is lacking required information: does not indicate manner of service (state or federal statute). Requesting party shall file a new Request/Application with noted deficiencies corrected in order to have default reconsidered. (bm) [Transferred from California Central on 8/28/2013.] (Entered: 01/23/2012)

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01/26/2012 21 ORDER TO STRIKE ELECTRONICALLY FILED DOCUMENTS by Judge Philip S. Gutierrez: the following document(s) be STRICKEN for failure to comply with the Local Rules, General Order and/or the Courts Case Management Order: First REQUEST for Clerk to Enter Default against Defendant Keyuan Petrochemicals Inc 8 , Declaration (Motion related) 9 , for the following reasons: Document submitted in the wrong case. Incorrect document is attached to the docket entry. Documents belong to Judge Gee. (lw) [Transferred from California Central on 8/28/2013.] (Entered: 01/27/2012)

01/27/2012 22 First NOTICE of Appearance filed by attorney Ho-El Park on behalf of Defendant Keyuan Petrochemicals Inc (Park, Ho-El) [Transferred from California Central on 8/28/2013.] (Entered: 01/27/2012)

01/30/2012 23 First STIPULATION for Extension of Time to File Response filed by Defendant Keyuan Petrochemicals Inc. (Attachments: # 1 Proposed Order)(Park, Ho-El) [Transferred from California Central on 8/28/2013.] (Entered: 01/30/2012)

02/01/2012 24 ORDER EXTENDING TIME TO RESPOND TO THE COMPLAINT re Stipulation for Extension of Time to File Response/Reply 23 , by Judge Philip S. Gutierrez: This Court, having reviewed and considered the Stipulation Extending Time to Respond to the Complaint, filed by Plaintiff PETER CHEUNG ("Plaintiff") and Defendant KEYUAN PETROCHEMICALS, INC. (Keyuan), hereby ORDERS as follows: 1. Keyuan is not required to respond to the complaint in this action or any complaint in an action consolidated into this action, until after the appointment of a Lead Plaintiff and the hiring of Lead Plaintiffs counsel. 2. If the appointed Lead Plaintiff elects to file an Amended Complaint, such Amended Complaint shall be filed no later than 60 days following entry of the order by the Court appointing Lead Plaintiff. 3. Keyuan shall respond to the Amended Complaint, or the current Complaint if Lead Plaintiff elects not to file an Amended Complaint, no later than 120 days following entry of the order by the Court appointing Lead Plaintiff. 4. In the event Keyuan responds to the Complaint or Amended Complaint by motion, Lead Plaintiff's opposition(s) shall be filed on or before 45 days following the date such motions are filed. 5. Keyuan shall file any reply papers on or before 30 days following the date Lead Plaintiff files any opposition papers. (bm) [Transferred from California Central on 8/28/2013.] (Entered: 02/02/2012)

03/06/2012 25 NOTICE of Change of Attorney Information for attorney Ho-El Park counsel for Defendant Keyuan Petrochemicals Inc. Changing FIRM NAME to LAW OFFICE OF HO-EL PARK, P.C.. Filed by Defendant Keyuan Petrochemicals, Inc. (Park, Ho-El) [Transferred from California Central on 8/28/2013.] (Entered: 03/06/2012)

03/19/2012 26 NOTICE OF NON-OPPOSITION to MOTION for Appointment of Counsel and lead plaintiff 14 filed by Plaintiff Peter Cheung. (Rosen, Laurence) [Transferred from California Central on 8/28/2013.] (Entered: 03/19/2012)

03/26/2012 27 First APPLICATION for attorney Jonathan Horne to Appear Pro Hac Vice(PHV Fee of $325 receipt number 0973-10125991 paid.) filed by Plaintiff Peter Cheung. (Rosen, Laurence) [Transferred from California Central on 8/28/2013.] (Entered: 03/26/2012)

03/28/2012 28 ORDER by Judge Philip S. Gutierrez: granting 27 Application to Appear Pro Hac Vice by Attorney Jonathan Horne on behalf of Plaintiff, designating Laurence Rosen

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as local counsel. (lt) [Transferred from California Central on 8/28/2013.] (Entered: 03/29/2012)

03/28/2012 29 ORDER by Judge Philip S. Gutierrez: Motion for Appointment of Counsel 14 . Pursuant to Section 21D(a)(3)(B) of the Exchange Act, 15 U.S.C. §78u-4(a)(3)(B), Neil Vanleeuwen is appointed Lead Plaintiff of the class, as hehas the largest financial interest in this litigation and otherwise satisfies the requirements of Fed. R. Civ. P. 23. 2. Movants choice of counsel is approved, and accordingly, the Rosen Law Firm, P.A. is appointed Lead Counsel.3. Lead Counsel, after being appointed by the Court, shall manage theprosecution of this litigation. Lead Counsel are to avoid duplicative or unproductive activities and are hereby vested by the Court with theresponsibilities that include, without limitation, the following: (1) to prepare all pleadings; (2) to direct and coordinate the briefing and arguing of motions in accordance with the schedules set by the orders and rules of this Court; (3) to initiate and direct discovery; (4) prepare the case for trial; and (5) to engage in settlement negotiations on behalf of Lead Plaintiff and Class. (ir) [Transferred from California Central on 8/28/2013.] (Entered: 03/29/2012)

04/24/2012 30 REQUEST to Substitute attorney Robert D. Weber in place of attorney Ho-El Park filed by Defendant Keyuan Petrochemicals Inc. (Attachments: # 1 Order on Request for Approval of Substitution of Attorney)(Weber, Robert) [Transferred from California Central on 8/28/2013.] (Entered: 04/24/2012)

04/26/2012 31 ORDER ON REQUEST FOR APPROVAL OF SUBSTITUTION OF ATTORNEY by Judge Philip S. Gutierrez: as to defendant Keyuan Petrochemicals Inc.granting 30 Request to Substitute Attorney Ho-El Park of Ho-El Park, P.C. as attorney in place of Attorney Robert David Weber of DLA Piper LLP (lw) [Transferred from California Central on 8/28/2013.] (Entered: 04/26/2012)

05/29/2012 32 FIRST AMENDED COMPLAINT against defendants Delight Reward Limited, Keyuan Petrochemicals Inc, Aichun Li, Chunfeng Tao, Weifeng Xue; Party Peter Cheung terminated amending Complaint 1 , filed by plaintiffs Neil Vanleeuwen, Rodney Omanoff. (bm) (Additional attachment(s) added on 5/30/2012: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3) (bm). [Transferred from California Central on 8/28/2013.] (Entered: 05/30/2012)

07/27/2012 33 NOTICE OF MOTION AND MOTION to Dismiss Plaintiffs' First Amended Complaint filed by Defendant Keyuan Petrochemicals Inc. Motion set for hearing on 10/29/2012 at 01:30 PM before Judge Philip S. Gutierrez. (Attachments: # 1 Judicial Notice, # 2 Memorandum of Points and Authorities, # 3 Declaration of Robert D. Weber)(Weber, Robert) [Transferred from California Central on 8/28/2013.] (Entered: 07/27/2012)

07/30/2012 34 NOTICE TO FILER OF DEFICIENCIES in Electronically Filed Documents RE: Attachment #1: Judicial Notice 33 . The following error(s) was found: Other error(s) with document(s) are specified below. Other error(s) with document(s): Attachment #1 should be e-filed as a separate document using the event Requests-For Judicial Notice. In response to this notice the court may order (1) an amended or correct document to be filed (2) the document stricken or (3) take other action as the court deems appropriate. You need not take any action in response to this notice unless and until the court directs you to do so. (bm) [Transferred from California Central on 8/28/2013.] (Entered: 07/30/2012)

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09/10/2012 35 MEMORANDUM in Opposition to MOTION to Dismiss Plaintiffs' First Amended Complaint 33 filed by Plaintiffs Rodney Omanoff, Neil Vanleeuwen. (Rosen, Laurence) [Transferred from California Central on 8/28/2013.] (Entered: 09/10/2012)

09/10/2012 36 OBJECTIONS to MOTION to Dismiss Plaintiffs' First Amended Complaint 33 To Request for Judicial Notice filed by Plaintiffs Rodney Omanoff, Neil Vanleeuwen. (Rosen, Laurence) [Transferred from California Central on 8/28/2013.] (Entered: 09/10/2012)

09/10/2012 37 REQUEST FOR JUDICIAL NOTICE filed by Plaintiffs Rodney Omanoff, Neil Vanleeuwen. (Attachments: # 1 Declaration of Laurence Rosen, # 2 Exhibit 1, # 3 Exhibit 2, # 4 Exhibit 3, # 5 Exhibit 4, # 6 Proposed Order)(Rosen, Laurence) [Transferred from California Central on 8/28/2013.] (Entered: 09/10/2012)

09/11/2012 38 NOTICE TO FILER OF DEFICIENCIES in Electronically Filed Documents RE: Attachment 6: Proposed Order 37 . The following error(s) was found: Other error(s) with document(s) are specified below. Other error(s) with document(s): There should be at least 2 lines of text to allow for the judge's signature pursuant to this court's local rules. In response to this notice the court may order (1) an amended or correct document to be filed (2) the document stricken or (3) take other action as the court deems appropriate. You need not take any action in response to this notice unless and until the court directs you to do so. (bm) [Transferred from California Central on 8/28/2013.] (Entered: 09/11/2012)

09/18/2012 39 REQUEST FOR JUDICIAL NOTICE re MOTION to Dismiss Plaintiffs' First Amended Complaint 33 Second Request filed by Plaintiffs Rodney Omanoff, Neil Vanleeuwen. (Attachments: # 1 Declaration of Laurence Rosen and Ex. 5 thereto, # 2 Proposed Order)(Rosen, Laurence) [Transferred from California Central on 8/28/2013.] (Entered: 09/18/2012)

10/10/2012 40 REPLY in support of motion MOTION to Dismiss Plaintiffs' First Amended Complaint 33 filed by Defendant Keyuan Petrochemicals Inc. (Weber, Robert) [Transferred from California Central on 8/28/2013.] (Entered: 10/10/2012)

10/10/2012 41 OBJECTION re: MOTION to Dismiss Plaintiffs' First Amended Complaint 33 Objection to Plaintiffs' Request for Judicial Notice filed by Defendant Keyuan Petrochemicals Inc. (Weber, Robert) [Transferred from California Central on 8/28/2013.] (Entered: 10/10/2012)

10/11/2012 42 NOTICE OF MOTION AND MOTION for Leave to (1) TO EFFECT SERVICE ON DEFENDANT CHUNFENG TAO BY SERVING KEYUAN PETROCHEMICALS, INC.'S REGISTERED AGENT OR COUNSEL; and (2) TO PARTIALLY LIFT THE PSLRA DISCOVERY STAY SO THAT PLAINTIFFS MAY OBTAIN CURRENT INFORMATION AS TO AICHUN LI AND WEIFENG XU TO SERVE THEM WITH THE SUMMONS AND COMPLAINT filed by Plaintiffs Rodney Omanoff, Neil Vanleeuwen. Motion set for hearing on 12/3/2012 at 01:30 PM before Judge Philip S. Gutierrez. (Attachments: # 1 Proposed Order)(Rosen, Laurence) [Transferred from California Central on 8/28/2013.] (Entered: 10/11/2012)

10/11/2012 43 DECLARATION of Jonathan Horne In Support Of MOTION for Leave to (1) TO EFFECT SERVICE ON DEFENDANT CHUNFENG TAO BY SERVING

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KEYUAN PETROCHEMICALS, INC.'S REGISTERED AGENT OR COUNSEL; and (2) TO PARTIALLY LIFT THE PSLRA DISCOVERY STAY SO THAT PLAINTIFFS MAY OBTAIN CURRENT INFORMATION AS TO A MOTION for Leave to (1) TO EFFECT SERVICE ON DEFENDANT CHUNFENG TAO BY SERVING KEYUAN PETROCHEMICALS, INC.'S REGISTERED AGENT OR COUNSEL; and (2) TO PARTIALLY LIFT THE PSLRA DISCOVERY STAY SO THAT PLAINTIFFS MAY OBTAIN CURRENT INFORMATION AS TO A MOTION for Leave to (1) TO EFFECT SERVICE ON DEFENDANT CHUNFENG TAO BY SERVING KEYUAN PETROCHEMICALS, INC.'S REGISTERED AGENT OR COUNSEL; and (2) TO PARTIALLY LIFT THE PSLRA DISCOVERY STAY SO THAT PLAINTIFFS MAY OBTAIN CURRENT INFORMATION AS TO A 42 filed by Plaintiffs Rodney Omanoff, Neil Vanleeuwen. (Rosen, Laurence) [Transferred from California Central on 8/28/2013.] (Entered: 10/11/2012)

10/17/2012 44 REPLY filed by Plaintiffs Rodney Omanoff, Neil Vanleeuwen to Objection/Opposition (Motion related) 41 (Rosen, Laurence) [Transferred from California Central on 8/28/2013.] (Entered: 10/17/2012)

10/29/2012 45 MINUTES OF DEFENDANT'S KEYUAN PETROCHEMICALS, INC.'S MOTION TO DISMISS PLAINTIFF'S FIRST AMENDED COMPLAINT FILED 07-27-12 (DOC.33) PLAINTIFF'S SECOND REQUEST FOR JUDICIAL NOTICE IN OPPOSITION TO MOTION TO DISMISS FILED 09-18-12 (DOC.39) held before Judge Philip S. Gutierrez: Having considered all papers submitted in support of an in opposition to Motion referenced above, and the oral argument presented today, the Court takes the motion Under Submission. A ruling will be issued after full consideration of the submitted pleadings.Court Reporter: Miriam Baird. (bp) [Transferred from California Central on 8/28/2013.] (Entered: 10/29/2012)

11/01/2012 46 MINUTES (IN CHAMBERS) ORDER GRANTING in part and DENYING in part Defendants motion to dismiss by Judge Philip S. Gutierrez granting in part and denying in part 33 Motion to Dismiss: For the foregoing reasons, the Court GRANTS in part and DENIES in part Defendant's motion to dismiss, with leave to amend. Plaintiffs may submit a Second Amended Complaint no later than November 22, 2012. (see document for further details) (bm) [Transferred from California Central on 8/28/2013.] (Entered: 11/01/2012)

11/09/2012 47 Opposition in opposition to re: MOTION for Leave to (1) TO EFFECT SERVICE ON DEFENDANT CHUNFENG TAO BY SERVING KEYUAN PETROCHEMICALS, INC.'S REGISTERED AGENT OR COUNSEL; and (2) TO PARTIALLY LIFT THE PSLRA DISCOVERY STAY SO THAT PLAINTIFFS MAY OBTAIN CURRENT INFORMATION AS TO A MOTION for Leave to (1) TO EFFECT SERVICE ON DEFENDANT CHUNFENG TAO BY SERVING KEYUAN PETROCHEMICALS, INC.'S REGISTERED AGENT OR COUNSEL; and (2) TO PARTIALLY LIFT THE PSLRA DISCOVERY STAY SO THAT PLAINTIFFS MAY OBTAIN CURRENT INFORMATION AS TO A MOTION for Leave to (1) TO EFFECT SERVICE ON DEFENDANT CHUNFENG TAO BY SERVING KEYUAN PETROCHEMICALS, INC.'S REGISTERED AGENT OR COUNSEL; and (2) TO PARTIALLY LIFT THE PSLRA DISCOVERY STAY SO THAT PLAINTIFFS MAY OBTAIN CURRENT INFORMATION AS TO A 42

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filed by Defendant Keyuan Petrochemicals Inc. (Weber, Robert) [Transferred from California Central on 8/28/2013.] (Entered: 11/09/2012)

11/26/2012 48 SECOND AMENDED COMPLAINT against Defendants Delight Reward Limited, Keyuan Petrochemicals Inc, Aichun Li, Chunfeng Tao, Weifeng Xue amending Amended Complaint, 32 ,filed by Plaintiff Rodney Omanoff, Neil Vanleeuwen (bp) (Additional attachment(s) added on 11/28/2012: # 1 Exhibits Part 1, # 2 Exhibits Part 2) (bm). [Transferred from California Central on 8/28/2013.] (Entered: 11/27/2012)

11/28/2012 49 TEXT ONLY ENTRY IN CHAMBERS by Judge Philip S. Gutierrez: PLAINTIFFS AND CLASS MOTION 1) TO EFFECT SERVICE ON DEFENDANT CHUNFENG TAO BY SERVING KEYUAN PETROCHEMICALS, INC.'S REGISTERED AGENT OR COUNSEL; AND 2) TO PARTIALLY LIFT THE PSLRA DISCOVERY STAY SO THAT PLAINTIFFS MAY OBTAIN CURRENT INFORMATION AS TO AICHUN LI AND WEIFENG XU TO SERVE THEM WITH THE SUMMONS AND COMPLAINT 42 set for hearing on 12/03/12 is taken under submission and off calendar. Accordingly, no appearance by counsel is necessary. The Court will issue a ruling after full consideration of the submitted pleadings. THERE IS NO PDF DOCUMENT ASSOCIATED WITH THIS ENTRY.(wm) TEXT ONLY ENTRY [Transferred from California Central on 8/28/2013.] (Entered: 11/28/2012)

11/30/2012 50 MINUTES (IN CHAMBERS): ORDER GRANTING Plaintiffs' motion to effect service on Defendant Chungfeng Tao by serving Defendant Keyuan Petrochemicals, Inc.'s U.S. registered agent or counsel by Judge Philip S. Gutierrez: Before the Court are two motions by Plaintiffs Neil Vanleeuwen and Rodney Omanoff ("Plaintiffs"): (1) a motion for an order permitting Plaintiffs to execute service on Defendant Chungfeng Tao ("Tao") by serving the U.S. registered agent or counsel for Defendant Keyuan Petrochemicals, Inc. ("Keyuan") and (2) a motion to lift a discovery stay that was in place at the time of filing. See Dkt. # 42 . Because the discovery stay is no longer in place, Plaintiffs' motion to lift the stay is rendered moot. As such, the Court only considers the motion to permit service on Keyuan's registered agent....the Court GRANTS Plaintiffs' motion to effect service on Taovia Keyuans registered agent or counsel in the United States. (PLEASE REVIEW DOCUMENT FOR FULL AND COMPLETE DETAILS) (lw) [Transferred from California Central on 8/28/2013.] (Entered: 11/30/2012)

12/06/2012 51 PROOF OF SERVICE Executed by Plaintiff Rodney Omanoff, Neil Vanleeuwen, upon Defendant Chunfeng Tao served on 12/3/2012, answer due 12/24/2012. Service of the Summons and Complaint were executed upon Keyaun Petrochemicals' Registered Agent (per leave of court) in compliance with Federal Rules of Civil Procedure by personal service. Original Summons returned. (Rosen, Laurence) [Transferred from California Central on 8/28/2013.] (Entered: 12/06/2012)

12/13/2012 52 PROOF OF SERVICE Executed by Plaintiff Delight Reward Limited, upon Defendant Delight Reward Limited served on 10/30/2012, answer due 11/20/2012. Service of the Summons and Complaint were executed upon Offshore Incorporations Ltd., Registered Agent in compliance with Federal Rules of Civil Procedure by method of service not specified. Original Summons returned. Service

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by Registered Mail, Return Receipt (Rosen, Laurence) [Transferred from California Central on 8/28/2013.] (Entered: 12/13/2012)

12/20/2012 53 APPLICATION for Clerk to Enter Default against defendant Keyuan Petrochemicals Inc filed by plaintiffs Rodney Omanoff, Neil Vanleeuwen. (Rosen, Laurence) [Transferred from California Central on 8/28/2013.] (Entered: 12/20/2012)

12/20/2012 54 DECLARATION re APPLICATION for Clerk to Enter Default against defendant Keyuan Petrochemicals Inc 53 filed by Plaintiffs Rodney Omanoff, Neil Vanleeuwen. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3)(Rosen, Laurence) [Transferred from California Central on 8/28/2013.] (Entered: 12/20/2012)

12/21/2012 55 NOTICE OF DEFICIENCY Re: APPLICATION for Clerk to Enter Default against defendant Keyuan Petrochemicals Inc 53 . The Clerk cannot enter the requested relief as Proof of Service is lacking required information: manner of service is not indicated (by federal or state statute). Request/Application with noted deficiencies corrected in order to have default judgment reconsidered. (bm) [Transferred from California Central on 8/28/2013.] (Entered: 12/21/2012)

12/21/2012 56 ANSWER to Amended Complaint, 48 [Second Amended Complaint] filed by Defendant Keyuan Petrochemicals Inc.(Weber, Robert) DOCUMENT IS STRICKEN PURSUANT TO COURT ORDER DATED 1/3/13, DOCUMENT 61 . Modified on 1/3/2013 (bm). [Transferred from California Central on 8/28/2013.] (Entered: 12/21/2012)

12/21/2012 57 NOTICE of Appearance filed by attorney Ho-El Park on behalf of Defendant Chunfeng Tao (Park, Ho-El) [Transferred from California Central on 8/28/2013.] (Entered: 12/21/2012)

12/21/2012 58 NOTICE OF MOTION AND MOTION for Extension of Time to File Response to the Second Amended Complaint filed by Defendant Chunfeng Tao. (Park, Ho-El) [Transferred from California Central on 8/28/2013.] (Entered: 12/21/2012)

12/26/2012 59 NOTICE TO FILER OF DEFICIENCIES in Electronically Filed Documents RE: Answer to Amended Complaint 56 , Motion to Extend 58 . The following error(s) was found: Local Rule 7.1-1 No Certification of Interested Parties and or no copies. Other error(s) with document(s) are specified below. Other error(s) with document(s): Proposed order was not submitted as a separate, additional attachment to the Motion 58 . In response to this notice the court may order (1) an amended or correct document to be filed (2) the document stricken or (3) take other action as the court deems appropriate. You need not take any action in response to this notice unless and until the court directs you to do so. (bm) [Transferred from California Central on 8/28/2013.] (Entered: 12/26/2012)

12/27/2012 60 ORDER EXTENDING TIME TO RESPOND TO THE SECOND AMENDED COMPLAINT by Judge Philip S. Gutierrez granting 58 Motion for Extension of Time to File: This Court, having reviewed and considered the Unopposed Motion to Extend the Time To Respond to Plaintiffs' Second Amended Complaint, filed by Defendant CHUNFENG ("Mr. Tao"), hereby ORDERS as follows: Mr. Tao shall respond to the Second Amended Complaint on or before January 23, 2013. (bm) [Transferred from California Central on 8/28/2013.] (Entered: 12/28/2012)

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01/03/2013 61 ORDER TO STRIKE ELECTRONICALLY FILED DOCUMENT(S) by Judge Philip S. Gutierrez: the following document(s) be STRICKEN for failure to comply with the Local Rules, General Order and/or the Courts Case Management Order: Answer 56 , for the following reasons: Local Rule 7.1-1 No Certification of Interested Parties and/or no copies. (bm) [Transferred from California Central on 8/28/2013.] (Entered: 01/03/2013)

01/04/2013 62 ORDER SETTING SCHEDULING CONFERENCE by Judge Philip S. Gutierrez: Scheduling Conference set for 6/17/2013 02:00 PM. (wm) [Transferred from California Central on 8/28/2013.] (Entered: 01/04/2013)

01/23/2013 63 APPLICATION for attorney Mark David Hunter to Appear Pro Hac Vice(PHV Fee of $325 receipt number 0973-11557315 paid.) filed by Defendant Chunfeng Tao. (Attachments: # 1 Proposed Order)(Park, Ho-El) [Transferred from California Central on 8/28/2013.] (Entered: 01/23/2013)

01/23/2013 64 NOTICE OF MOTION AND MOTION to Dismiss Case Plaintiff's Second Amended Complaint filed by Defendant Chunfeng Tao. Motion set for hearing on 3/25/2013 at 01:30 PM before Judge Philip S. Gutierrez. (Attachments: # 1 Memorandum, # 2 Proposed Order)(Park, Ho-El) [Transferred from California Central on 8/28/2013.] (Entered: 01/23/2013)

01/24/2013 65 ORDER by Judge Philip S. Gutierrez: granting 63 Application to Appear Pro Hac Vice by Attorney Mark David Hunter on behalf of Defendant Chunfeng Tao, designating Ho-El Park as local counsel. (lt) [Transferred from California Central on 8/28/2013.] (Entered: 01/25/2013)

01/28/2013 66 PROOF OF SERVICE Executed by Plaintiff Rodney Omanoff, Neil Vanleeuwen, upon Defendant Aichun Li served on 1/14/2013, answer due 2/4/2013. Service of the Summons and Complaint were executed upon Aichun Li in compliance with Federal Rules of Civil Procedure by personal service. Original Summons returned. (Rosen, Laurence) [Transferred from California Central on 8/28/2013.] (Entered: 01/28/2013)

02/06/2013 67 CERTIFICATION AND NOTICE of Interested Parties filed by Defendant Aichun Li, (Privette, Howard) [Transferred from California Central on 8/28/2013.] (Entered: 02/06/2013)

02/06/2013 68 STIPULATION Extending Time to Answer the complaint as to Aichun Li answer now due 3/11/2013, re Amended Complaint, 48 filed by Defendant Aichun Li.(Privette, Howard) [Transferred from California Central on 8/28/2013.] (Entered: 02/06/2013)

02/27/2013 69 NOTICE OF MOTION AND MOTION to Dismiss Case filed by Defendant Aichun Li. Motion set for hearing on 4/22/2013 at 01:30 PM before Judge Philip S. Gutierrez. (Attachments: # 1 Proposed Order Granting Defendant Aichun Li's Motion to Dismiss Plaintiffs' Second Amended Complaint)(Privette, Howard) [Transferred from California Central on 8/28/2013.] (Entered: 02/27/2013)

02/27/2013 70 MEMORANDUM in Support of MOTION to Dismiss Case 69 filed by Defendant Aichun Li. (Privette, Howard) [Transferred from California Central on 8/28/2013.] (Entered: 02/27/2013)

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02/27/2013 71 DECLARATION of Howard M. Privette in support of MOTION to Dismiss Case 69 filed by Defendant Aichun Li. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2)(Privette, Howard) [Transferred from California Central on 8/28/2013.] (Entered: 02/27/2013)

02/27/2013 72 REQUEST FOR JUDICIAL NOTICE re MOTION to Dismiss Case 69 filed by Defendant Aichun Li. (Privette, Howard) [Transferred from California Central on 8/28/2013.] (Entered: 02/27/2013)

03/04/2013 73 MEMORANDUM in Opposition to MOTION to Dismiss Case Plaintiff's Second Amended Complaint 64 filed by Plaintiffs Rodney Omanoff, Neil Vanleeuwen. (Rosen, Laurence) [Transferred from California Central on 8/28/2013.] (Entered: 03/04/2013)

03/04/2013 74 REQUEST FOR JUDICIAL NOTICE re MOTION to Dismiss Case Plaintiff's Second Amended Complaint 64 filed by Plaintiffs Rodney Omanoff, Neil Vanleeuwen. (Attachments: # 1 Proposed Order)(Rosen, Laurence) [Transferred from California Central on 8/28/2013.] (Entered: 03/04/2013)

03/04/2013 75 DECLARATION of Laurence Rosen in opposition to MOTION to Dismiss Case Plaintiff's Second Amended Complaint 64 filed by Plaintiffs Rodney Omanoff, Neil Vanleeuwen. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3, # 4 Exhibit 4, # 5 Exhibit 5, # 6 Exhibit 6, # 7 Exhibit 7)(Rosen, Laurence) [Transferred from California Central on 8/28/2013.] (Entered: 03/04/2013)

03/11/2013 76 MEMORANDUM in Opposition to Plaintiffs' Request for Judicial Notice in Opposition to Motion to Dismiss filed by Defendant Chunfeng Tao. (Hunter, Mark) [Transferred from California Central on 8/28/2013.] (Entered: 03/11/2013)

03/11/2013 77 REPLY In Support MOTION to Dismiss Case Plaintiff's Second Amended Complaint 64 filed by Defendant Chunfeng Tao. (Hunter, Mark) [Transferred from California Central on 8/28/2013.] (Entered: 03/11/2013)

03/19/2013 78 NOTICE OF ERRATA filed by Plaintiffs Rodney Omanoff, Neil Vanleeuwen. correcting MEMORANDUM in Opposition to Motion 73 (Attachments: # 1 Exhibit 1, Redline Showing Corrections, # 2 Exhibit 2, Clean Copy with Corrections Applied)(Rosen, Laurence) [Transferred from California Central on 8/28/2013.] (Entered: 03/19/2013)

03/19/2013 79 REPLY filed by Plaintiffs Rodney Omanoff, Neil Vanleeuwen to MEMORANDUM in Opposition to Motion 76 (Attachments: # 1 Exhibit 1)(Rosen, Laurence) [Transferred from California Central on 8/28/2013.] (Entered: 03/19/2013)

03/25/2013 80 TEXT ONLY ENTRY IN CHAMBERS by Judge Philip S. Gutierrez: On the Court's own motion, DEFENDANT CHUNFENG TAO'S MOTION TO DISMISS PLAINTIFFS' SECOND AMENDED COMPLAINT 64 presently set for 03/25/13 is hereby continued to 04/22/2013 at 1:30 PM. THERE IS NO PDF DOCUMENT ASSOCIATED WITH THIS ENTRY.(wm) TEXT ONLY ENTRY [Transferred from California Central on 8/28/2013.] (Entered: 03/25/2013)

04/01/2013 81 MEMORANDUM in Opposition to MOTION to Dismiss Case 69 filed by Plaintiffs Rodney Omanoff, Neil Vanleeuwen. (Rosen, Laurence) [Transferred from California Central on 8/28/2013.] (Entered: 04/01/2013)

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04/01/2013 82 DECLARATION of Phillip Kim in opposition MOTION to Dismiss Case 69 filed by Plaintiffs Rodney Omanoff, Neil Vanleeuwen. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3, # 4 Exhibit 4)(Rosen, Laurence) [Transferred from California Central on 8/28/2013.] (Entered: 04/01/2013)

04/01/2013 83 REQUEST FOR JUDICIAL NOTICE re MOTION to Dismiss Case 69 Further Judicial Notice filed by Plaintiffs Rodney Omanoff, Neil Vanleeuwen. (Attachments: # 1 Proposed Order)(Rosen, Laurence) [Transferred from California Central on 8/28/2013.] (Entered: 04/01/2013)

04/01/2013 84 DECLARATION of Laurence Rosen in opposition MOTION to Dismiss Case 69 filed by Plaintiffs Rodney Omanoff, Neil Vanleeuwen. (Attachments: # 1 Exhibit 1)(Rosen, Laurence) [Transferred from California Central on 8/28/2013.] (Entered: 04/01/2013)

04/08/2013 85 Joint STIPULATION to Exceed Page Limitation as to Allow Aichun Li to File a 15-Page Reply Brief in Support of Motion to Dismiss filed by Defendant Aichun Li. (Attachments: # 1 Proposed Order Approving Defendant Aichun Li's 15-Page Reply Brief in Support of the Motion to Dismiss)(Privette, Howard) [Transferred from California Central on 8/28/2013.] (Entered: 04/08/2013)

04/08/2013 86 REPLY in Support of MOTION to Dismiss Case 69 filed by Defendant Aichun Li. (Privette, Howard) [Transferred from California Central on 8/28/2013.] (Entered: 04/08/2013)

04/08/2013 87 DECLARATION of Howard M. Privette in Support of MOTION to Dismiss Case 69 filed by Defendant Aichun Li. (Attachments: # 1 Exhibit A)(Privette, Howard) [Transferred from California Central on 8/28/2013.] (Entered: 04/08/2013)

04/08/2013 88 REQUEST FOR JUDICIAL NOTICE re MOTION to Dismiss Case 69 filed by Defendant Aichun Li. (Privette, Howard) [Transferred from California Central on 8/28/2013.] (Entered: 04/08/2013)

04/11/2013 89 DENIED BY ORDER OF THE COURT by Judge Philip S. Gutierrez, re Stipulation to Exceed Page Limitation, 85 (bp) [Transferred from California Central on 8/28/2013.] (Entered: 04/12/2013)

04/12/2013 90 REPLY in Support of MOTION to Dismiss Case 69 (Shortened) Reply Memorandum filed by Defendant Aichun Li. (Privette, Howard) [Transferred from California Central on 8/28/2013.] (Entered: 04/12/2013)

04/22/2013 91 MINUTES OF MOTION HEARING held before Judge Philip S. Gutierrez: re:DEFENDANT CHUNFENG TAO'S MOTION TO DISMISS PLAINTIFFS' SECOND AMENDED COMPLAINT FILED 01-23-13 DOC. 64 ; DEFENDANT AICHUN LI'S MOTION TO DISMISS PLAINTIFFS' SECOND AMENDED COMPLAINT [FRCP 4m, 9(b), 12(b)(3) AND 12(b)(6)]FILED 02-27-13 (DOC 69) DOC. 69 ; FURTHER REQ FOR JUDICIAL NOTICE DOC. 83 : Having considered all papers submitted in support of and in opposition to the Motions referenced above, and the oral argument presented today, the Court takes the motion Under Submission. A ruling will be issued after full consideration of the submitted pleadings.Court Reporter: Miriam Baird. (lw) [Transferred from California Central on 8/28/2013.] (Entered: 04/22/2013)

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05/09/2013 92 MINUTES (IN CHAMBERS): ORDER GRANTING in part and DENYING in part Defendant Chunfeng Tao's motion to dismiss and GRANTING Defendant Aichun Li's motion to dismiss by Judge Philip S. Gutierrez: Before the Court are Defendants Chunfeng Tao and Aichun Li's separately filed motions to dismiss Plaintiffs Neil Vanleeuwen and Rodney Omanoffs Second Amended Complaint. See Dkts. #64 (Tao's motion) & 69 (Li's motion). The Court heard oral arguments on the matter on April 22, 2013. After considering the arguments in the moving and opposing papers and at oral argument, the Court GRANTS in part and DENIES in part Tao's motion to dismiss andGRANTS Li's motion to dismiss......For the foregoing reasons, the Court GRANTS in part and DENIES in part Tao's motion to dismiss. The Court GRANTS with leave to amend Tao's motion to dismiss Plaintiffs' § 10(b) claim as to the Private Placement Class. The Court DENIES Tao's motion to dismiss Plaintiffs' § 10(b) claim as to the Public Class. The Court DENIES Tao's motion to dismiss Plaintiffs' § 20(a) claim. Additionally, the Court GRANTS Li's motion to dismiss. Finally, should Plaintiffs submit a pleading in which they amend the claims of the Private Placement Class, Plaintiffs are directed to comply with the notice procedures of 15 U.S.C. § 78u-4(a)(3)(A)(I) as to that class. RE: granting in part and denying in part 64 Defendant Chunfeng Tao's Motion to Dismiss Case ; granting 69 Defendant Aichun Li's Motion to Dismiss Case (PLEASE REVIEW DOCUMENT FOR FULL AND COMPLETE DETAILS) (lw) [Transferred from California Central on 8/28/2013.] (Entered: 05/09/2013)

05/10/2013 93 AMENDED DOCUMENT filed by Plaintiffs Rodney Omanoff, Neil Vanleeuwen. Amendment to Service of Summons and Complaint Returned Executed (21 days), 52 Amended Proof of Service, to note that Service was Made Pursuant to Fed. R. Civ. P 4(f)(1) by completing service through international registered mail pursuant to the Hague Convention on the Sevice Abroad of Judicial and Extrajudicial Documents (Rosen, Laurence) [Transferred from California Central on 8/28/2013.] (Entered: 05/10/2013)

05/10/2013 94 APPLICATION for Clerk to Enter Default against defendant Delight Reward Limited filed by plaintiffs Rodney Omanoff, Neil Vanleeuwen. (Attachments: # 1 Declaration of Laurence Rosen)(Rosen, Laurence) [Transferred from California Central on 8/28/2013.] (Entered: 05/10/2013)

05/13/2013 95 NOTICE OF DEFICIENCY Re: APPLICATION for Clerk to Enter Default against defendant Delight Reward Limited 94 . The Clerk cannot enter the requested relief as The Clerk is not authorized to process Requests for Default against foreign entities. Request for Entry of Default has been forwarded to assigned Judge. (bm) [Transferred from California Central on 8/28/2013.] (Entered: 05/13/2013)

05/17/2013 96 MINUTES (IN CHAMBERS): ORDER Entering Default Against DefendantDelight Reward Limited by Judge Philip S. Gutierrez: On May 10, 2013, Plaintiffs Neil Vanleeuwen and Rodney Omanoff (collectively, Plaintiffs) filed a request for entry of default against Defendant Delight Reward Limited. See Dkt. # 94. Because Defendant Delight Reward Limited was served with the Summons and Complaint on October 30, 2012, see Dkt. # 93, but has failed to respond, the Court hereby ENTERS DEFAULT against Defendant Delight Reward Limited. RE: 94 Application for Clerk to Enter Default (lw) [Transferred from California Central on 8/28/2013.] (Entered: 05/17/2013)

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05/20/2013 97 THIRD AMENDED COMPLAINT against defendants Delight Reward Limited, Keyuan Petrochemicals Inc, Aichun Li, Chunfeng Tao, Weifeng Xue amending Second Amended Complaint 48 ,filed by plaintiffs Rodney Omanoff, Neil Vanleeuwen. (bm) (Additional attachment(s) added on 5/21/2013: # 1 Exhibits 1-6 Part 1, # 2 Exhibits 1-6 Part 2, # 3 Exhibits 1-6 Part 3, # 4 Exhibits 1-6 Part 4) (bm). [Transferred from California Central on 8/28/2013.] (Entered: 05/20/2013)

05/31/2013 98 Joint STIPULATION for Extension of Time to File Response as to Amended Complaint, 97 filed by Defendant Aichun Li. (Attachments: # 1 Proposed Order Granting Defendant Aichun Li's Time to Respond to the Third Amended Complaint & Set Briefing Schedule on Motions)(Privette, Howard) [Transferred from California Central on 8/28/2013.] (Entered: 05/31/2013)

06/03/2013 99 JOINT RULE 26(F) REPORT filed by Plaintiffs Peter Cheung, Rodney Omanoff, Neil Vanleeuwen. (Rosen, Laurence) [Transferred from California Central on 8/28/2013.] (Entered: 06/03/2013)

06/03/2013 100 NOTICE OF ERRATA filed by Plaintiffs Peter Cheung, Rodney Omanoff, Neil Vanleeuwen. correcting Report 99 attaching Joint Rule 26(f) Report (Attachments: # 1 Exhibit)(Rosen, Laurence) [Transferred from California Central on 8/28/2013.] (Entered: 06/03/2013)

06/03/2013 101 ANSWER to Amended Complaint, 97 JURY DEMAND. filed by Defendant Chunfeng Tao.(Hunter, Mark) [Transferred from California Central on 8/28/2013.] (Entered: 06/03/2013)

06/03/2013 102 NOTICE OF ERRATA filed by Defendant Aichun Li. correcting Stipulation for Extension of Time to File Response/Reply, 98 (Privette, Howard) [Transferred from California Central on 8/28/2013.] (Entered: 06/03/2013)

06/04/2013 103 NOTICE TO FILER OF DEFICIENCIES in Electronically Filed Documents RE: Joint Rule 26(f) Report 99 . The following error(s) was found: Incorrect event selected. The correct event is: Pretrial and Trial Documents-Joint Report Rule 26(f) Discovery Plan. In response to this notice the court may order (1) an amended or correct document to be filed (2) the document stricken or (3) take other action as the court deems appropriate. You need not take any action in response to this notice unless and until the court directs you to do so. (bm) [Transferred from California Central on 8/28/2013.] (Entered: 06/04/2013)

06/04/2013 104 Notice of Interested Parties filed by Defendant Chunfeng Tao, (Hunter, Mark) [Transferred from California Central on 8/28/2013.] (Entered: 06/04/2013)

06/04/2013 105 TRANSCRIPT ORDER re: Order on Motion to Dismiss Case,, Motion Hearing,,,,,, 91 , as to Defendant Aichun Li Court Reporter. Transcript portion requested: Other: 04/22/2013 Oral Argument Hearing on Motion to Dismiss Second Amended Complaint. Transcript preparation will not begin until payment has been satisfied with the court reporter/recorder. (Privette, Howard) [Transferred from California Central on 8/28/2013.] (Entered: 06/04/2013)

06/05/2013 106 ANSWER to Amended Complaint, 97 Answer to Third Amended Complaint filed by defendant Keyuan Petrochemicals Inc.(Weber, Robert) [Transferred from California Central on 8/28/2013.] (Entered: 06/05/2013)

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06/05/2013 107 ORDER GRANTING DEFENDANT AICHUN LI'S TIME TO RESPOND TO THE THIRD AMENDED COMPLAINT AND SET BRIEFING SCHEDULE ON MOTIONS by Judge Philip S. Gutierrez, re Stipulation for Extension of Time to File Response/Reply, 98 : Based on the joint stipulation before this Court and good cause appearing, the following shall apply: 1. Defendant Aichun Lis motion to dismiss and motion to strike the Third Amended Complaint ("TAC") are due no later than June 14, 2013; 2. Plaintiffs' opposition(s) to the motion to dismiss and motion to strike the TAC are due no later than July 12, 2013; 3. Defendant Aichun Li's reply brief(s) in support of the motion to dismiss and motion to strike the TAC are due no later than July 29, 2013; and, 4. Upon entry of the Courts order approving this stipulation, Defendant Aichun Li will promptly seek to reserve a hearing date on August 12, 2013. If the August 12, 2013, hearing date is no longer available at that time, Defendant Aichun Li will reserve the first hearing date available thereafter. (bm) [Transferred from California Central on 8/28/2013.] (Entered: 06/06/2013)

06/14/2013 110 TEXT ONLY ENTRY IN CHAMBERS by Judge Philip S. Gutierrez: PLEASE BE ADVISED that on the Court's own motion, the Scheduling Conference 62 is continued from 06/17/13 to 08/19/2013 at 2:00pm. THERE IS NO PDF DOCUMENT ASSOCIATED WITH THIS ENTRY.(wm) TEXT ONLY ENTRY [Transferred from California Central on 8/28/2013.] (Entered: 06/14/2013)

06/14/2013 111 NOTICE OF MOTION AND MOTION to Strike Third Amended Complaint Amended Complaint, 97 Memorandum of Points and Authorities in Support Thereof filed by Defendant Aichun Li. Motion set for hearing on 8/12/2013 at 01:30 PM before Judge Philip S. Gutierrez. (Attachments: # 1 Proposed Order Granting Defendant Aichun Li's Motion to Strike Plaintiffs' Third Amended Complaint)(Privette, Howard) [Transferred from California Central on 8/28/2013.] (Entered: 06/14/2013)

06/14/2013 112 NOTICE OF MOTION AND MOTION to Dismiss Case filed by Defendant Aichun Li. Motion set for hearing on 8/12/2013 at 01:30 PM before Judge Philip S. Gutierrez. (Attachments: # 1 Proposed Order Granting Defendant Aichun Li's Motion to Dismiss Plaintiffs' Third Amended Complaint)(Privette, Howard) [Transferred from California Central on 8/28/2013.] (Entered: 06/14/2013)

06/14/2013 113 MEMORANDUM in Support of MOTION to Dismiss Case 112 Plaintiffs' Third Amended Complaint filed by Defendant Aichun Li. (Privette, Howard) [Transferred from California Central on 8/28/2013.] (Entered: 06/14/2013)

06/14/2013 114 DECLARATION of Howard M. Privette in support of MOTION to Strike Third Amended Complaint Amended Complaint, 97 Memorandum of Points and Authorities in Support Thereof 111 or in the Alternative, Motion to Dismiss filed by Defendant Aichun Li. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2)(Privette, Howard) [Transferred from California Central on 8/28/2013.] (Entered: 06/14/2013)

06/14/2013 115 REQUEST FOR JUDICIAL NOTICE re MOTION to Strike Third Amended Complaint Amended Complaint, 97 Memorandum of Points and Authorities in Support Thereof 111 or in the Alternative, to Dismiss Plaintiffs' Third Amended Complaint filed by Defendant Aichun Li. (Privette, Howard) [Transferred from California Central on 8/28/2013.] (Entered: 06/14/2013)

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07/08/2013 116 Joint STIPULATION to Reschedule Hearing filed by Defendant Chunfeng Tao. (Attachments: # 1 Proposed Order)(Hunter, Mark) [Transferred from California Central on 8/28/2013.] (Entered: 07/08/2013)

07/10/2013 117 ORDER CONTINUING HEARING ON DEFENDANT AICHUN LIS MOTION TO STRIKE (D.E. 111), MOTION TO DISMISS (D.E. 112), AND RULE 16(b) SCHEDULING CONFERENCE by Judge Philip S. Gutierrez, re Stipulation to Reschedule 116 : Pursuant to the Stipulation entered into by Plaintiffs and Defendants, through their respective counsel, IT IS HEREBY ORDERED that this Court's hearing on Defendant Aichun Li's Motion to Strike (D.E. 111) and Motion to Dismiss (D.E. 112) is continued from August 12, 2013, to August 19, 2013, at 1:30 p.m.; and the Rule 16(b) Scheduling Conference is continued from August 19, 2013, to August 26, 2013, at 2:00 p.m. (bm) [Transferred from California Central on 8/28/2013.] (Entered: 07/11/2013)

07/12/2013 118 NOTICE of Change of address by Ho-El Park attorney for Defendant Chunfeng Tao. Changing attorneys address to 333 City Boulevard West, Suite 1700, Orange, CA 92868. Filed by Defendant Chunfeng Tao. (Park, Ho-El) [Transferred from California Central on 8/28/2013.] (Entered: 07/12/2013)

07/12/2013 119 OPPOSITION to MOTION to Dismiss Case 112 , MOTION to Strike Third Amended Complaint Amended Complaint, 97 Memorandum of Points and Authorities in Support Thereof 111 filed by Plaintiffs Rodney Omanoff, Neil Vanleeuwen. (Rosen, Laurence) [Transferred from California Central on 8/28/2013.] (Entered: 07/12/2013)

07/12/2013 120 DECLARATION of Phillip Kim in opposition MOTION to Dismiss Case 112 , MOTION to Strike Third Amended Complaint Amended Complaint, 97 Memorandum of Points and Authorities in Support Thereof 111 filed by Plaintiffs Rodney Omanoff, Neil Vanleeuwen. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3)(Rosen, Laurence) [Transferred from California Central on 8/28/2013.] (Entered: 07/12/2013)

07/12/2013 121 REQUEST FOR JUDICIAL NOTICE filed by Plaintiffs Rodney Omanoff, Neil Vanleeuwen. (Attachments: # 1 Proposed Order)(Rosen, Laurence) [Transferred from California Central on 8/28/2013.] (Entered: 07/12/2013)

07/12/2013 122 DECLARATION of Laurence Rosen re Request for Judicial Notice 121 filed by Plaintiffs Rodney Omanoff, Neil Vanleeuwen. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3, # 4 Exhibit 4)(Rosen, Laurence) [Transferred from California Central on 8/28/2013.] (Entered: 07/12/2013)

07/19/2013 123 NOTICE OF MOTION AND MOTION for Leave to file To FIle The Third Amended Complaint ; Memorandum of Points and Authorities In Support Thereof filed by Plaintiffs Rodney Omanoff, Neil Vanleeuwen. Motion set for hearing on 8/19/2013 at 01:30 PM before Judge Philip S. Gutierrez. (Attachments: # 1 Proposed Order)(Rosen, Laurence) [Transferred from California Central on 8/28/2013.] (Entered: 07/19/2013)

07/22/2013 124 NOTICE OF MOTION AND MOTION for Appointment of Counsel and Lead Plaintiff of Private Placement Class filed by Plaintiff Rodney Omanoff. Motion set for hearing on 8/19/2013 at 01:30 PM before Judge Philip S. Gutierrez.

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(Attachments: # 1 Proposed Order)(Rosen, Laurence) [Transferred from California Central on 8/28/2013.] (Entered: 07/22/2013)

07/22/2013 125 MEMORANDUM in Support of MOTION for Appointment of Counsel and Lead Plaintiff of Private Placement Class 124 filed by Plaintiff Rodney Omanoff. (Rosen, Laurence) [Transferred from California Central on 8/28/2013.] (Entered: 07/22/2013)

07/22/2013 126 DECLARATION of Laurence Rosen in support of MOTION for Appointment of Counsel and Lead Plaintiff of Private Placement Class 124 filed by Plaintiff Rodney Omanoff. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3, # 4 Exhibit 4)(Rosen, Laurence) [Transferred from California Central on 8/28/2013.] (Entered: 07/22/2013)

07/29/2013 127 REPLY in support of MOTION to Dismiss Case 112 Reply in Support of Defendant Aichun Li's Motion to Dismiss Plaintiffs' Third Amended Complaint filed by Defendant Aichun Li. (Privette, Howard) [Transferred from California Central on 8/28/2013.] (Entered: 07/29/2013)

07/29/2013 128 REPLY in support of MOTION to Strike Third Amended Complaint Amended Complaint, 97 Memorandum of Points and Authorities in Support Thereof 111 filed by Defendant Aichun Li. (Privette, Howard) [Transferred from California Central on 8/28/2013.] (Entered: 07/29/2013)

07/29/2013 129 DECLARATION of Howard M. Privette in support of MOTION to Strike Third Amended Complaint Amended Complaint, 97 Memorandum of Points and Authorities in Support Thereof 111 Declaration of Howard M. Privette in support of Reply in support of Motions by Defendant Aichun Li to Strike and Dismiss Plaintiffs' Third Amended Complaint; Exhibits 1-3 filed by Defendant Aichun Li. (Attachments: # 1 Exhibit 1 - 3)(Privette, Howard) [Transferred from California Central on 8/28/2013.] (Entered: 07/29/2013)

07/29/2013 130 OPPOSITION in opposition to re: MOTION to Dismiss Case 112 Opposition by Aichun Li to Plaintiffs' Request for Judicial Notice (Docket No. 121) filed by Defendant Aichun Li. (Privette, Howard) [Transferred from California Central on 8/28/2013.] (Entered: 07/29/2013)

07/29/2013 131 OPPOSITION OF DEFENDANT AICHUN LI TO PLAINTIFFS' MOTION FOR LEAVE TO FILE THE THIRD AMENDED COMPLAINT in opposition to re: MOTION for Leave to file To FIle The Third Amended Complaint ; Memorandum of Points and Authorities In Support Thereof 123 filed by Defendant Aichun Li. (Privette, Howard) [Transferred from California Central on 8/28/2013.] (Entered: 07/29/2013)

07/31/2013 132 PROOF OF SERVICE Executed by Plaintiff Rodney Omanoff, Neil Vanleeuwen, upon Defendant Weifeng Xue served on 6/20/2013, answer due 7/11/2013. in compliance with Federal Rules of Civil Procedure by personal service. Original Summons returned. (Rosen, Laurence) [Transferred from California Central on 8/28/2013.] (Entered: 07/31/2013)

08/01/2013 133 NOTICE OF NON-OPPOSITION to MOTION for Appointment of Counsel and Lead Plaintiff of Private Placement Class 124 filed by Plaintiff Rodney Omanoff.

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(Rosen, Laurence) [Transferred from California Central on 8/28/2013.] (Entered: 08/01/2013)

08/05/2013 134 REPLY in further support MOTION for Leave to file To FIle The Third Amended Complaint ; Memorandum of Points and Authorities In Support Thereof 123 filed by Plaintiffs Rodney Omanoff, Neil Vanleeuwen. (Rosen, Laurence) [Transferred from California Central on 8/28/2013.] (Entered: 08/05/2013)

08/13/2013 135 ORDER APPOINTING LEAD PLAINTIFF AND LEAD COUNSEL FOR PRIVATE PLACEMENT CLASS by Judge Philip S. Gutierrez: IT IS ORDERED THAT Pursuant to Section 21D(a)(3)(B) of the Exchange Act, 15 U.S.C. 78u-4(a)(3)(B), Rodeny Omanoff is appointed Lead Plaintiff of the Private Placement Class, as he has the largest financial interest in this litigation and otherwise satisfies the requirement of Fed.R.Civ.P.23. Movant's choice of counsel is approved, and accordingly, the Rosen Law Firm, P.A. is appointed Lead Counsel for the Private Placement Class. (See document for further details) 124 (bp) [Transferred from California Central on 8/28/2013.] (Entered: 08/13/2013)

08/19/2013 136 MINUTES OF DEFENDANT AICHUN LI'S MOTION TO DISMISS PLAINTIFFS' THIRD AMENDED COMPLAINT FILED 06-14-13(DOC.112) DEFENDANT AICHUN'S LI'S MOTION TO STRIKE PLAINTIFFS' THIRD AMENDED COMPLAINT FILED 06-14-13 (DOC.111); REQUEST FOR JUDICIAL NOTICE (DOC.115) PLAINTIFFS' MOTION FOR RELIEF TO FILE THE THIRD AMENDED COMPLAINT FILED 07-19-13 (DOC.123) Motion Hearing held before Judge Philip S. Gutierrez: The Court takes the motions Under Submission. A ruling will be issued consideration of the submitted pleadings.Court Reporter: Miriam Baird. (bp) [Transferred from California Central on 8/28/2013.] (Entered: 08/20/2013)

08/19/2013 137 AMENDED MINUTES held before Judge Philip S. Gutierrez re: Order on Motion to Strike, Order on Motion to Dismiss Case, Order on Motion for Leave to File Document, Motion Hearing, 136 . (bp) [Transferred from California Central on 8/28/2013.] (Entered: 08/21/2013)

08/21/2013 138 JOINT REPORT Rule 26(f) Discovery Plan Updated ; estimated length of trial 10, filed by Plaintiffs Rodney Omanoff, Neil Vanleeuwen.. (Rosen, Laurence) [Transferred from California Central on 8/28/2013.] (Entered: 08/21/2013)

08/22/2013 139 AMENDED DOCUMENT filed by Plaintiffs Rodney Omanoff, Neil Vanleeuwen. Amendment to Service of Summons and Complaint Returned Executed (21 days), 132 Amended to Note Service was Made Pursuant to FRCP 4(f)(1) (Rosen, Laurence) [Transferred from California Central on 8/28/2013.] (Entered: 08/22/2013)

08/22/2013 140 APPLICATION for Clerk to Enter Default against defendant Weifeng Xue filed by Plaintiffs Rodney Omanoff, Neil Vanleeuwen. (Attachments: # 1 Declaration of Laurence Rosen)(Rosen, Laurence) [Transferred from California Central on 8/28/2013.] (Entered: 08/22/2013)

08/26/2013 141 MINUTES OF Scheduling Conference held before Judge Philip S. Gutierrez. The Court, having read and considered the joint report filed on August 21st, and the oral argument presented today with respect to transfer of venue, advises that an order granting leave to amend and transferring the case to New York will be issued this

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week.Court Reporter: Miriam Baird. (bp) [Transferred from California Central on 8/28/2013.] (Entered: 08/27/2013)

08/26/2013 142 ORDER GRANTING Plaintiffs' motion for leave to amend and TRANSFERRING the action to the Southern District of New York by Judge Philip S. Gutierrez transferring case to Southern District of New York. The Court GRANTS Plaintiffs' motion for leave to amend and TRANSFERS the action to the Southern District of New York. Accordingly, the Court RENDERS MOOT Li's motion to dismiss and motion to strike to the extent that they are based on alleged deficiencies in venue in the Central District of California and defers to the transferee court to address the other issues raised in the motions. (MD JS-6. Case Terminated.) (bp) [Transferred from California Central on 8/28/2013.] (Entered: 08/27/2013)

08/27/2013 143 TRANSMITTAL of documents: Electronic Document are accessible through Pacer. (bp) [Transferred from California Central on 8/28/2013.] (Entered: 08/27/2013)

08/28/2013 144 CASE TRANSFERRED IN from the United States District Court - District of California Central; Case Number: 2:11-cv-09495. Original file certified copy of transfer order and docket entries received. (sjo) (Entered: 08/28/2013)

08/28/2013 Magistrate Judge Sarah Netburn is so designated. (sjo) (Entered: 08/28/2013)

08/28/2013 Case Designated ECF. (sjo) (Entered: 08/28/2013)

08/28/2013 NOTE TO OUT OF STATE ATTORNEYS: Please visit the Court's website at http://www.nysd.uscourts.gov for information regarding admission to the S.D.N.Y. Bar and the CM/ECF Rules & Filing Instructions. (sjo) (Entered: 08/28/2013)

08/28/2013 145 NOTICE OF APPEARANCE by Phillip C. Kim on behalf of Rodney Omanoff, Neil Vanleeuwen. (Kim, Phillip) (Entered: 08/28/2013)

09/09/2013 146 NOTICE OF APPEARANCE by Jenny D Johnson-Sardella on behalf of Chunfeng Tao. (Johnson-Sardella, Jenny) (Entered: 09/09/2013)

09/09/2013 147 NOTICE OF APPEARANCE by Mark David Hunter on behalf of Chunfeng Tao. (Hunter, Mark) (Entered: 09/09/2013)

09/12/2013 148 MOTION for Robert D. Weber to Appear Pro Hac Vice. Filing fee $ 200.00, receipt number 0208-8863773. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Keyuan Petrochemicals Inc. (Attachments: # 1 Certificate of Good Standing, # 2 Text of Proposed Order)(Weber, Robert) (Entered: 09/12/2013)

09/12/2013 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. 148 MOTION for Robert D. Weber to Appear Pro Hac Vice. Filing fee $ 200.00, receipt number 0208-8863773. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (bcu) (Entered: 09/12/2013)

09/13/2013 149 ORDER granting 148 Motion for Robert D. Weber to Appear Pro Hac Vice (HEREBY ORDERED by Judge Paul A. Crotty)(Text Only Order) (Crotty, Paul) (Entered: 09/13/2013)

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09/19/2013 150 NOTICE OF APPEARANCE by Jodi Aileen Kleinick on behalf of Aichun Li. (Kleinick, Jodi) (Entered: 09/19/2013)

09/20/2013 151 MOTION for Howard M. Privette to Appear Pro Hac Vice. Filing fee $ 200.00, receipt number 0208-8893384. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Aichun Li. (Attachments: # 1 Certificate of Good Standing, # 2 Text of Proposed Order)(Privette, Howard) (Entered: 09/20/2013)

09/20/2013 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. 151 MOTION for Howard M. Privette to Appear Pro Hac Vice. Filing fee $ 200.00, receipt number 0208-8893384. Motion and supporting papers to be reviewed by Clerk's Office staff. The document has been reviewed and there are no deficiencies. (bwa) (Entered: 09/20/2013)

09/20/2013 152 MOTION for D. Scott Carlton to Appear Pro Hac Vice. Filing fee $ 200.00, receipt number 0208-8893622. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Aichun Li. (Attachments: # 1 Certificate of Good Standing, # 2 Text of Proposed Order)(Carlton, D.) (Entered: 09/20/2013)

09/20/2013 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. 152 MOTION for D. Scott Carlton to Appear Pro Hac Vice. Filing fee $ 200.00, receipt number 0208-8893622. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (bcu) (Entered: 09/20/2013)

09/24/2013 153 ORDER granting 151 Motion for Howard M. Privette to Appear Pro Hac Vice (HEREBY ORDERED by Judge Paul A. Crotty)(Text Only Order) (Crotty, Paul) (Entered: 09/24/2013)

09/24/2013 154 ORDER granting 152 Motion for D. Scott Carlton to Appear Pro Hac Vice (HEREBY ORDERED by Judge Paul A. Crotty)(Text Only Order) (Crotty, Paul) (Entered: 09/24/2013)

09/26/2013 Pro Hac Vice Fee Refunded: for 151 MOTION for Howard M. Privette to Appear Pro Hac Vice. Filing fee $ 200.00, receipt number 0208-8893384. Motion and supporting papers to be reviewed by Clerk's Office staff., 152 MOTION for D. Scott Carlton to Appear Pro Hac Vice. Filing fee $ 200.00, receipt number 0208-8893622. Motion and supporting papers to be reviewed by Clerk's Office staff.. Filing fee refunded for Receipt number 0208-8893052, 0208-8893177, AND 0208-8893484, for the following reason(s): DUPLICATE PAYMENTS. (dig) (Entered: 09/26/2013)

10/10/2013 155 LETTER addressed to Judge Paul A. Crotty from Howard M. Privette dated October 10, 2013 re: Ms. Li's Motion to Dismiss. Document filed by Aichun Li.(Privette, Howard) (Entered: 10/10/2013)

10/28/2013 156 ORDER (Text Only) re: 155 Letter filed by Aichun Li.--- Order: The parties should consult the Court's individual practices and follow them. The Court believes that the parties should start anew, rather upholding previously filed briefs. The page limitations are set forth in the Courts individual practices. The parties should meet and confer and submit an agreed upon schedule for (1) motion (2) response (3)

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reply. So Ordered. (TEXT ONLY ORDER issued on 10/28/2013) (Crotty, Paul) (Entered: 10/28/2013)

11/13/2013 157 LETTER MOTION for Conference Pre-Motion Conference addressed to Judge Paul A. Crotty from Phillip Kim dated 11/13/2013. Document filed by Rodney Omanoff, Neil Vanleeuwen.(Kim, Phillip) (Entered: 11/13/2013)

11/21/2013 158 JOINT STIPULATION REGARDING BRIEFING SCHEDULE ON AICHUN LI'S MOTION TO DISMISS PLAINTIFFS' THIRD AMENDED COMPLAINT: On or before November 26, 2013, Ms. Li shall file her opening brief in support of the motion to dismiss; On or before December 16, 2013, Plaintiff's shall file their opposition to Ms. Li's motion to dismiss; and, On or before January 14, 2014, Ms. Li shall file her reply in support of her motion to dismiss. (Brief due by 11/26/2013., Responses due by 12/16/2013, Replies due by 1/14/2014.) (Signed by Judge Paul A. Crotty on 11/21/2013) (rsh) (Entered: 11/21/2013)

11/22/2013 159 LETTER RESPONSE to Motion addressed to Judge Paul A. Crotty from Howard M. Privette dated 11/22/2013 re: 157 LETTER MOTION for Conference Pre-Motion Conference addressed to Judge Paul A. Crotty from Phillip Kim dated 11/13/2013.. Document filed by Aichun Li. (Privette, Howard) (Entered: 11/22/2013)

11/26/2013 160 MOTION to Dismiss the Third Amended Complaint. Document filed by Aichun Li. Responses due by 12/16/2013(Privette, Howard) (Entered: 11/26/2013)

11/26/2013 161 MEMORANDUM OF LAW in Support re: 160 MOTION to Dismiss the Third Amended Complaint.. Document filed by Aichun Li. (Privette, Howard) (Entered: 11/26/2013)

11/26/2013 162 DECLARATION of Howard M. Privette in Support re: 160 MOTION to Dismiss the Third Amended Complaint.. Document filed by Aichun Li. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2)(Privette, Howard) (Entered: 11/26/2013)

12/16/2013 163 MEMORANDUM OF LAW in Opposition re: 160 MOTION to Dismiss the Third Amended Complaint.. Document filed by Rodney Omanoff, Neil Vanleeuwen. (Kim, Phillip) (Entered: 12/16/2013)

12/16/2013 164 DECLARATION of Phillip Kim in Opposition re: 160 MOTION to Dismiss the Third Amended Complaint.. Document filed by Rodney Omanoff, Neil Vanleeuwen. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3)(Kim, Phillip) (Entered: 12/16/2013)

12/17/2013 165 ORDER denying 157 Letter Motion for Conference. The Court will defer in scheduling a pre-motion conference with respect to plaintiffs' proposed motion for class certification until after the pending motion to dismiss is decided. (HEREBY ORDERED by Judge Paul A. Crotty)(Text Only Order) (Crotty, Paul) (Entered: 12/17/2013)

01/14/2014 166 REPLY MEMORANDUM OF LAW in Support re: 160 MOTION to Dismiss the Third Amended Complaint.. Document filed by Aichun Li. (Privette, Howard) (Entered: 01/14/2014)

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01/14/2014 167 DECLARATION of Howard M. Privette in Support re: 160 MOTION to Dismiss the Third Amended Complaint.. Document filed by Aichun Li. (Attachments: # 1 Exhibit 1)(Privette, Howard) (Entered: 01/14/2014)

01/14/2014 168 OPPOSITION BRIEF re: 163 Memorandum of Law in Opposition to Motion, 164 Declaration in Opposition to Motion. Document filed by Aichun Li.(Privette, Howard) (Entered: 01/14/2014)

08/08/2014 169 ORDER AND OPINION: Li's motion to dismiss the Third Amended Complaint is DENIED. The Court has scheduled a status conference for Thursday, September 4, at 2:15pm, in Courtroom 14C. The parties should submit a joint civil case management plan before the conference. (Signed by Judge Paul A. Crotty on 8/8/2014) (ft) (Entered: 08/08/2014)

08/08/2014 Set/Reset Hearings: Status Conference set for 9/4/2014 at 02:15 PM in Courtroom 14C, 500 Pearl Street, New York, NY 10007 before Judge Paul A. Crotty. (ft) (Entered: 08/08/2014)

08/19/2014 170 NOTICE of Settlement . Document filed by Keyuan Petrochemicals Inc. (Weber, Robert) (Entered: 08/19/2014)

08/21/2014 171 FILING ERROR - ELECTRONIC FILING OF NON-ECF DOCUMENT - FIRST MOTION to Stay /Joint Stipulation Staying Aichun Li's Time to Respond To Plaintiffs' Third Amended Complaint. Document filed by Aichun Li.(Privette, Howard) Modified on 8/22/2014 (db). (Entered: 08/21/2014)

08/22/2014 ***NOTE TO ATTORNEY TO RE-FILE DOCUMENT - NON-ECF DOCUMENT ERROR. Note to Attorney Howard M. Privette to E-MAIL Document No. 171 Stipulation to [email protected]. This document is not filed via ECF. (db) (Entered: 08/22/2014)

08/27/2014 172 JOINT STIPULATION STAYING AICHUN LI'S TIME TO RESPOND TO PLAINTIFFS' THIRD AMENDED COMPLAINT: that Ms. Li's time to respond to the Complaint is stayed pending the completion of the settlement or upon further order of the Court. (Signed by Judge Paul A. Crotty on 8/27/2014) (tn) (Entered: 08/27/2014)

08/29/2014 173 LETTER MOTION to Adjourn Conference addressed to Judge Paul A. Crotty from Phillip Kim dated 08/29/2014. Document filed by Rodney Omanoff, Neil Vanleeuwen.(Kim, Phillip) (Entered: 08/29/2014)

09/02/2014 174 ORDER granting 173 Letter Motion to Adjourn Conference. The 9/4/14 status conference is adjourned sine die. (HEREBY ORDERED by Judge Paul A. Crotty)(Text Only Order) (Crotty, Paul) (Entered: 09/02/2014)

11/10/2014 DOCKET ANNOTATION: The parties are directed to file a status report (letter) by: Friday, November 21, 2014. A PDF IS NOT ATTACHED TO THIS ENTRY (By: Marlon Ovalles, Courtroom Deputy).(mov) (Entered: 11/10/2014)

11/21/2014 175 LETTER addressed to Judge Paul A. Crotty from Phillip Kim dated 11/21/2014 re: Status of Settlement. Document filed by Rodney Omanoff, Neil Vanleeuwen.(Kim, Phillip) (Entered: 11/21/2014)

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03/31/2015 176 ORDER OF DISMISSAL: The Court having been advised that the parties have reached a settlement, it is, ORDERED, that the above-entitled action be and hereby is dismissed, without prejudice and costs to either party, subject to reopening should the settlement not be consummated within thirty (30) days of the date hereof. The Court will sign a Stipulation and Order of Settlement upon receipt from either party. In the event the parties require more than the 30 days to finalize the settlement, either party shall submit a letter to the Court. The Clerk of Court is directed to terminate the pending motions, deadlines, conferences, and this case. SO ORDERED. (Signed by Judge Paul A. Crotty on 3/31/2015) (kl) (Entered: 03/31/2015)

04/30/2015 177 STATUS REPORT. RE: settlement Document filed by Rodney Omanoff, Neil Vanleeuwen.(Kim, Phillip) (Entered: 04/30/2015)

05/12/2015 178 SETTLEMENT AGREEMENT Stipulation and Agreement of Settlement. Document filed by Rodney Omanoff, Neil Vanleeuwen. (Attachments: # 1 Exhibit A, Preliminary Approval Order, # 2 Exhibit A-1, Long Form Notice, # 3 Exhibit A-2, Summary Notice, # 4 Exhibit A-3, Proof of Cliam, # 5 Exhibit B, Proposed Final Judgment)(Kim, Phillip) (Entered: 05/12/2015)

05/12/2015 179 MOTION for Settlement Motion for Entry of Order Preliminarily Approving Settlement and Establishing Notice Procedures. Document filed by Rodney Omanoff, Neil Vanleeuwen.(Kim, Phillip) (Entered: 05/12/2015)

05/12/2015 180 MEMORANDUM OF LAW in Support re: 179 MOTION for Settlement Motion for Entry of Order Preliminarily Approving Settlement and Establishing Notice Procedures. . Document filed by Rodney Omanoff, Neil Vanleeuwen. (Kim, Phillip) (Entered: 05/12/2015)

06/09/2015 181 LETTER addressed to Judge Paul A. Crotty from Phillip Kim dated 06/09/2015 re: Preliminary Approval Motion. Document filed by Rodney Omanoff, Neil Vanleeuwen.(Kim, Phillip) (Entered: 06/09/2015)

06/12/2015 DOCKET ANNOTATION: We have been unable to locate a courtesy copy set of dkt entry 176, 177 & 178. The Rosen Law Firm should mail one (1) set of the papers to Judge Crotty. A PDF IS NOT ATTACHED TO THIS ENTRY (By: Marlon Ovalles, Courtroom Deputy to Judge Crotty). (mov) (Entered: 06/12/2015)

06/16/2015 NOTICE of Conference: A Conference to discuss the motion filed on May 12 is scheduled to take place on: Monday, June 29, 2015 at 11:15 AM in Courtroom 14C, 500 Pearl Street, New York, NY 10007 before Judge Paul A. Crotty, U.S.D.J. If the date is not convenient, either party can e-mail three (3) mutually convenient dates to the Courtroom Deputy at: [email protected] ----- A PDF IS NOT ATTACHED TO THIS ENTRY ----- (By: Marlon Ovalles - Courtroom Deputy).(mov) (Entered: 06/16/2015)

06/29/2015 182 NOTICE OF APPEARANCE by Erica Lauren Stone on behalf of Rodney Omanoff, Neil Vanleeuwen. (Stone, Erica) (Entered: 06/29/2015)

06/29/2015 183 ORDER PRELIMINARILY APPROVING SETTLEMENT AND PROVIDING FOR NOTICE granting 179 Motion for Settlement. 1. Capitalized terms used herein have the meanings defined in the Stipulation. 2. The Court preliminarily approves the Settlement of the Litigation as set forth in the Stipulation, subject to the right of

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any Settlement Class Member to challenge the fairness, reasonableness, and adequacy of the Settlement and to show cause, if any exists, why a final judgment dismissing the Litigation based on the Stipulation should not be entered, and subject to further consideration of such matters by the Court at the hearing on final approval of the Stipulation, as set forth within. A hearing (the "Final Settlement Hearing") pursuant to Federal Rule of Civil Procedure 23(e) shall be held before the Court on Oct. 9, 2015 at 10 a.m. for the purposes set forth within. A Settlement Class Member wishing to make such request shall mail it, in written form, by first class mail, postage prepaid, or otherwise deliver it, so that it is received no later than thirty (30) calendar days prior to the Final Settlement Hearing or Sept. 9, 2015, to the addresses listed in the Notice. (Signed by Judge Paul A. Crotty on 6/29/2015) (ajs) (Entered: 06/29/2015)

06/29/2015 184 Minute Entry for proceedings held before Judge Paul A. Crotty: Interim Pretrial Conference held on 6/29/2015. REMARK: The "Final Settlement Approval Hearing" is scheduled to take place on: Friday, October 9, 2015 at 10:00 AM in Courtroom 14C. See transcript for complete details of this proceeding. The transcript "order form" is attached to this entry. In the alternative, visit------ http://www.nysd.uscourts.gov/courtrm_tech.php -------with respect to ordering a transcript of a recorded proceeding via "Courtflow." (mov) (Entered: 06/29/2015)

09/09/2015 185 MOTION for Settlement Final Approval of Class Action Settlement. Document filed by Rodney Omanoff, Neil Vanleeuwen. (Attachments: # 1 Text of Proposed Order Proposed Final Order and Judgment)(Kim, Phillip) (Entered: 09/09/2015)

09/09/2015 186 MEMORANDUM OF LAW in Support re: 185 MOTION for Settlement Final Approval of Class Action Settlement. . Document filed by Rodney Omanoff, Neil Vanleeuwen. (Kim, Phillip) (Entered: 09/09/2015)

09/09/2015 187 MOTION for Attorney Fees and Expenses. Document filed by Rodney Omanoff, Neil Vanleeuwen. (Attachments: # 1 Text of Proposed Order)(Kim, Phillip) (Entered: 09/09/2015)

09/09/2015 188 MEMORANDUM OF LAW in Support re: 187 MOTION for Attorney Fees and Expenses. . Document filed by Rodney Omanoff, Neil Vanleeuwen. (Kim, Phillip) (Entered: 09/09/2015)

09/09/2015 189 DECLARATION of Phillip Kim in Support re: 185 MOTION for Settlement Final Approval of Class Action Settlement., 187 MOTION for Attorney Fees and Expenses.. Document filed by Rodney Omanoff, Neil Vanleeuwen. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3, # 4 Exhibit 4, # 5 Exhibit 5)(Kim, Phillip) (Entered: 09/09/2015)

10/02/2015 190 NOTICE of Non-Opposition re: 185 MOTION for Settlement Final Approval of Class Action Settlement., 187 MOTION for Attorney Fees and Expenses.. Document filed by Rodney Omanoff, Neil Vanleeuwen. (Attachments: # 1 Supplemental Declaration of Jospehine Bravata, # 2 Revised Final Judgment to Reflect Opt-Out)(Kim, Phillip) (Entered: 10/02/2015)

10/09/2015 191 Minute Entry for proceedings held before Judge Paul A. Crotty: Motion Hearing held on 10/9/2015 re: 185 MOTION for Settlement Final Approval of Class Action Settlement. REMARK: Orders issued. See transcript for complete details of this proceeding. The transcript "order form" is attached to this entry. In the alternative,

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visit------ http://www.nysd.uscourts.gov/courtrm_tech.php -------with respect to ordering a transcript of a recorded proceeding via "Courtflow." (mov) (Entered: 10/09/2015)

10/09/2015 192 ORDER AWARDING LEAD PLAINTIFFS' COUNSEL'S ATTORNEYS' FEES, REIMBURSEMENT OF EXPENSES, AND AWARD TO LEAD PLAINTIFFS granting 187 Motion for Attorney Fees. It is hereby ordered: 1. The Rosen Law Firm P.A. is awarded $605,000 as attorneys' fees in this action, together with a proportionate share of the interest earned on the fund, at the same rate as earned by the balance of the fund, from the date of the establishment of the fund to the date of payment. 2. Lead Plaintiffs' Counsel shall be reimbursed out of the Settlement Fund in the amount of $69,623.13 for its expenses and costs. 3 Lead Plaintiffs Neil Vanleeuwen shall be awarded $1000.00 and Rodney Omanoff shall be awarded $5,000.00 for reimbursement for their lost time in connection with his prosecution of this action. 4. Except as otherwise provided herein, the attorneys' fees, reimbursement of expenses, and award to Lead Plaintiffs shall be paid in the manner and procedure provided for in the Stipulation. (Signed by Judge Paul A. Crotty on 10/9/2015) (lmb) (Entered: 10/09/2015)

10/09/2015 193 ORDER AND FINAL JUDGMENT. IT IS HEREBY ORDERED, ADJUDGED AND DECREED THAT: 1. All capitalized terms used herein have the same meanings as set forth and defined in the Stipulation. 2. The Court has jurisdiction over the subject matter of the Litigation, Lead Plaintiffs, all Settlement Class Members and the Settling Defendants. 3. For purposes of this Settlement, this is a class action on behalf of all persons who purchased (a) Keyuan common stock from August 16, 2010 through October 7, 2011, inclusive, and/or (b) Keyuan securities pursuant to the confidential private offering memorandum dated March 22, 2010 consisting of purchasers in the first tranche that closed on April 22, 2010 and the second tranche that closed on May 18, 2010, and who were allegedly damaged thereby (the "Settlement Class") as further set forth in this order. 5. The Settlement is approved as fair, reasonable and adequate, and in the best interests of the Plaintiffs. Lead Plaintiffs and Settling Defendants are directed to consummate the Settlement in accordance with the terms and provisions of the Stipulation. 6. The Litigation and the operative Third Amended Complaint are hereby dismissed in their entirety, with prejudice, and without costs as further set forth in this order. (Signed by Judge Paul A. Crotty on 10/9/2015) (lmb) (Additional attachment(s) added on 10/9/2015: # 1 right to appeal, # 2 right to appeal) (lmb). (Entered: 10/09/2015)

10/26/2016 194 MOTION for Disbursement of Funds of Class Settlement Funds. Document filed by Rodney Omanoff, Neil Vanleeuwen. (Attachments: # 1 Text of Proposed Order)(Kim, Phillip) (Entered: 10/26/2016)

10/26/2016 195 MEMORANDUM OF LAW in Support re: 194 MOTION for Disbursement of Funds of Class Settlement Funds. . Document filed by Rodney Omanoff, Neil Vanleeuwen. (Kim, Phillip) (Entered: 10/26/2016)

10/26/2016 196 DECLARATION of Phillip Kim in Support re: 194 MOTION for Disbursement of Funds of Class Settlement Funds.. Document filed by Rodney Omanoff, Neil Vanleeuwen. (Attachments: # 1 Exhibit 1)(Kim, Phillip) (Entered: 10/26/2016)

10/26/2016 197 NOTICE of ERRATA re: 194 MOTION for Disbursement of Funds of Class Settlement Funds.. Document filed by Rodney Omanoff, Neil Vanleeuwen.

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(Attachments: # 1 Errata Clean Version of Corrected Proposed Order, # 2 Errata Redlined Version of Corrected Proposed Order)(Kim, Phillip) (Entered: 10/26/2016)

10/31/2016 198 ORDER FOR DISTRIBUTION OF CLASS SETTLEMENT FUNDS granting 194 Motion for Disbursement of Funds. IT IS HEREBY ORDERED THAT: 1. The Net Settlement Fund (less any necessary amounts to be withheld for payment of potential tax liabilities and related fees and expenses) shall be distributed on a pro rata basis to the Authorized Claimants identified in Exhibit B to the Declaration of Josephine Bravata Concerning Administrative Procedures Performed to Process Claims and the Results Thereof, at the direction of Lead Plaintiffs' Counsel, pursuant to the Stipulation and Agreement of Settlement (the "Stipulation") and the Plan of Allocation set forth in the Notice of Pendency and Proposed Settlement of Class Action that was distributed pursuant to this Court's prior Order. 2. Any person asserting any rejected or subsequently filed claims are finally and forever barred from the date of this Order. 3. The Court finds that the administration of the Settlement and proposed distribution of the Net Settlement Fund comply with the terms of the Stipulation and the Plan of Allocation and that all persons involved in the review, verification, calculation, tabulation, or any other aspect of the processing of the claims submitted herein, or otherwise involved in the administration or taxation of the Gross Settlement Fund, Net Settlement Fund or Escrow Accounts are released and discharged from any and all claims arising out of such involvement, and all Class Members are barred from making any further claims against the Gross Settlement Fund or the Net Settlement Fund or the Released Parties beyond the amount allocated to them pursuant to this Order. 4. The checks for distribution to Authorized Claimants shall bear the notation "CASH PROMPTLY, VOID AND SUBJECT TO RE-DISTRIBUTION 180 DAYS AFTER ISSUE DATE." Lead Plaintiffs' Counsel and Claims Administrator Strategic Claims Services ("SCS") are authorized to locate and/or contact any Authorized Claimant who has not cashed his, her or its check within said time. 5. If any funds remain in the Net Settlement Fund by reason of uncashed checks or otherwise, then, after the Claims Administrator has made reasonable and diligent efforts to have Settlement Class Members who are entitled to participate in the distribution of the Net Settlement Fund cash their distribution checks, any balance remaining in the Net Settlement Fund one (1) year after the initial distribution of such funds shall be re-distributed, after payment of any unpaid costs or fees incurred in administering the Net Settlement Fund for such redistribution, to Settlement Class Members who have cashed their checks and who would receive at least $10.00 from such re-distribution. If any funds shall remain in the Net Settlement Fund six months after such re-distribution, then such balance shall be contributed to a nonsectarian non-profit organization or charity selected by Lead Plaintiffs' Counsel and approved by the Court. 6. This Court retains jurisdiction over any further application or matter which may arise in connections with this action. (Signed by Judge Paul A. Crotty on 10/31/2016) (cla) (Entered: 10/31/2016)

11/01/2016 199 LETTER addressed to Judge Paul A. Crotty from Phillip Kim dated 11/01/2016 re: Order for Distribution of Class Settlement Funds (Dkt. No. 198). Document filed by Rodney Omanoff, Neil Vanleeuwen.(Kim, Phillip) (Entered: 11/01/2016)

11/04/2016 200 AMENDED ORDER FOR DISTRIBUTION OF CLASS SETTLEMENT FUNDS: IT IS HEREBY ORDERED THAT: The Net Settlement Fund (less any necessary amounts to be withheld for payment of potential tax liabilities and related fees and

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expenses) shall be distributed on a pro rata basis to the Authorized Claimants identified in Exhibit B to the Declaration of Josephine Bravata Concerning Administrative Procedures Performed to Process Claims and the Results Thereof ("Bravata Declaration"), at the direction of Lead Plaintiffs' Counsel, pursuant to the Stipulation and Agreement of Settlement (the "Stipulation") and the Plan of Allocation set forth in the Notice of Pendency and Proposed Settlement of Class Action that was distributed pursuant to this Court's prior Order. Distribution to Claim #264 identified in the Bravata Declaration should be withheld until the claims administrator, Strategic Claims Services ("SCS"), can verify the claim's documentation and validity. If SCS determines that Claim #264 is valid, then SCS will distribute funds for the claim in accordance with the Stipulation and the Plan of Allocation set forth in the Notice of Pendency and Proposed Settlement of Class Action. If SCS determines that Claim #264 is invalid, the claim will be rejected and the funds allocated for this claim will be included in disbursements to the Authorized Claimants identified in Exhibit B to the Bravata Declaration. (As further set forth in this Order) (Signed by Judge Paul A. Crotty on 11/3/2016) (kl) (Entered: 11/04/2016)

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