U.S. District Court Southern District of New York (Foley Square) CIVIL DOCKET FOR CASE #: 1:14-cv LAK

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1 US District Court Civil Docket as of November 17, 2015 Retrieved from the court on November 17, 2015 U.S. District Court Southern District of New York (Foley Square) CIVIL DOCKET FOR CASE #: 1:14-cv LAK In re Fairway Group Holdings Corp. Securities Litigation Assigned to: Judge Lewis A. Kaplan Related Cases: 1:14-cv LAK 1:14-cv LAK-AJP Cause: 15:78m(a) Securities Exchange Act Lead Plaintiff Jacksonville Police & Fire Pension Fund Date Filed: 02/14/2014 Date Terminated: 09/10/2015 Jury Demand: Plaintiff Nature of Suit: 850 Securities/Commodities Jurisdiction: Federal Question represented by Adam David Hollander Bernstein Litowitz Berger & Grossmann LLP 1285 Avenue of the Americas New York, NY Fax: Gerald H. Silk Bernstein Litowitz Berger & Grossmann LLP 1285 Avenue of the Americas 38th Floor New York, NY Fax: John Christopher Browne Bernstein Litowitz Berger & Grossmann LLP 1285 Avenue of the Americas 38th Floor New York, NY Fax:

2 Lauren Amy Ormsbee Bernstein Litowitz Berger & Grossmann LLP 1285 Avenue of the Americas 38th Floor New York, NY (212) Fax: (212) Plaintiff Renee Blumstein Individually and On Behalf of All Others Similarly Situated represented by Jeremy Alan Lieberman Pomerantz LLP 600 Third Avenue, 20th Floor New York, NY (212) Fax: (212) V. Consolidated Plaintiff Bruce H. Paul represented by Bruce H. Paul PRO SE David Avi Rosenfeld Robbins Geller Rudman & Dowd LLP(LI) 58 South Service Road Suite 200 Melville, NY Fax: TERMINATED: 06/09/2014 Deborah R Gross Law Offices Bernard M Gross, P.C. Suite 450, 100 Penn Square East Philadelphia, PA (215) Fax: (215) DGross@kcr-law.com TERMINATED: 06/09/2014 PRO HAC VICE

3 V. Movant Kevin Lind Movant Joe Felcher Movant Austin Power represented by Kim Elaine Miller Kahn Swick & Foti, LLC 206 Covington Street Madisonville, LA (212) Fax: (504) represented by Phillip C. Kim The Rosen Law Firm P.A th Avenue, Suite 5508 New York, NY (212) Fax: (212) represented by Gregory M. Egleston Gainey McKenna & Egleston 440 Park Avenue, South 5th Floor New York, NY (212) Fax: (212) Thomas James McKenna Gainey McKenna & Egleston 440 Park Avenue, South 5th Floor New York, NY Fax: Movant William Fassbender represented by Gregory Bradley Linkh Glancy Binkow & Goldberg LLP (NYC2) 77 Water Street, 7th Floor New York, NY (646)

4 Movant Inge Fassbender Movant The Firemen's Retirement System of St. Louis represented by Gregory Bradley Linkh represented by The Firemen's Retirement System of St. Louis PRO SE David Avi Rosenfeld TERMINATED: 06/09/2014 Mario Alba, Jr Robbins Geller Rudman & Dowd LLP(LI) 58 South Service Road Suite 200 Melville, NY Fax: TERMINATED: 06/09/2014 Movant Martin Bertisch Movant M.D. David Amar represented by Jeremy Alan Lieberman represented by Jeremy Alan Lieberman V. Defendant Fairway Group Holdings Corp. Weil, Gotshal & Manges LLP (NYC) 767 Fifth Avenue, 25th Fl. New York, NY (212) Fax: (212)

5 Stacy Nettleton Weil, Gotshal & Manges LLP (NYC) 767 Fifth Avenue, 25th Fl. New York, NY (212) Fax: (212) Defendant Herbert Ruetsch Stacy Nettleton Defendant Edward C Arditte Stacy Nettleton Defendant Kevin McDonnell Stacy Nettleton Defendant Sterling Investment Partners L.P. Defendant

6 Sterling Investment Partners II, L.P. Defendant Sterling Investment Partners Side-by - Side, L.P. Defendant Sterling Investment Partners Side-by- Side II, L.P. Defendant Sterling Investment Partners Advisers, LLC V. Linda M. Siluk charles w santoro Howard Glickberg William Selden Michael Barr

7 Stephen Key Farid Suleman Credit Suisse Securities represented by Jeffrey Q. Smith Morgan Lewis & Bockius, LLP (NY) 101 Park Avenue New York, NY Fax: Matthew Minerva Morgan Lewis & Bockius, LLP (NY) 101 Park Avenue New York, NY Fax: Susan F. DiCicco Morgan Lewis & Bockius, LLP (NY) 101 Park Avenue New York, NY (212) Fax: (212) Merrill Lynch, Pierce, Fenner Jefferies L.L.C. represented by Jeffrey Q. Smith Matthew Minerva

8 Susan F. DiCicco William Blair & Company, L.L.C. represented by Jeffrey Q. Smith Matthew Minerva Susan F. DiCicco BB&T Capital Markets represented by Jeffrey Q. Smith Matthew Minerva Susan F. DiCicco Guggenheim Securities, L.L.C. represented by Jeffrey Q. Smith Matthew Minerva Susan F. DiCicco Opeenheimer

9 Morgan Joseph Tri Oppenheimer & Co. Inc represented by Jeffrey Q. Smith Matthew Minerva Susan F. DiCicco Wolfe Trahan Securities Wolfe Research Securities f/k/a Wolfe Trahan Securities represented by Jeffrey Q. Smith Matthew Minerva Susan F. DiCicco Merrill Lynch, Pierce, Fenner & Smith Incorporated represented by Jeffrey Q. Smith Matthew Minerva Susan F. DiCicco Morgan Joseph TriArtisan LLC represented by Jeffrey Q. Smith

10 Matthew Minerva Susan F. DiCicco Date Filed # Docket Text 02/14/ CIVIL COVER SHEET filed. (js) (Entered: 02/20/2014) 02/14/ COMPLAINT against Edward C Arditte, Fairway Group Holdings Corp., Kevin McDonnell, Herbert Ruetsch. (Filing Fee $ , Receipt Number )Document filed by Renee Blumstein.(js) (Entered: 02/21/2014) 02/14/2014 SUMMONS ISSUED as to Edward C Arditte, Fairway Group Holdings Corp., Kevin McDonnell, Herbert Ruetsch. (js) (Entered: 02/21/2014) 02/14/ /14/ /14/2014 Magistrate Judge Andrew J. Peck is so designated. (js) (Entered: 02/21/2014) Case Designated ECF. (js) (Entered: 02/21/2014) 3 STANDING ORDER IN RE PILOT PROJECT REGARDING CASE MANAGEMENT TECHNIQUES FOR COMPLEX CIVIL CASES IN THE SOUTHERN DISTRICT OF NEW YORK (See M Order filed November 1, 2011). This case is hereby designated for inclusion in the Pilot Project Regarding Case Management Techniques for Complex Civil Cases in the Southern District of New York (the Pilot Project), unless the judge to whom this case is assigned determines otherwise. This case is designated for inclusion in the Pilot Project because it is a class action, an MDL action, or is in one of the following Nature of Suit categories: 160, 245, 315, 355, 365, 385, 410, 830, 840, 850, 893, or 950. The presiding judge in a case that does not otherwise qualify for inclusion in the Pilot Project may nevertheless designate the case for inclusion in the Pilot Project by issuing an order directing that the case be included in the Pilot Project. The description of the Pilot Project, including procedures to be followed, is attached to this Order. (Signed by Judge Loretta A. Preska on 10/31/2011) (js) (Entered: 02/21/2014) 03/21/ NOTICE OF APPEARANCE by Joseph S. Allerhand on behalf of Edward C Arditte, Fairway Group Holdings Corp., Kevin McDonnell, Herbert Ruetsch. (Allerhand, Joseph) (Entered: 03/21/2014) 03/21/ NOTICE OF APPEARANCE by Stacy Nettleton on behalf of Edward C Arditte, Fairway Group Holdings Corp., Kevin McDonnell, Herbert Ruetsch. (Nettleton, Stacy) (Entered: 03/21/2014) 03/21/ RULE 7.1 CORPORATE DISCLOSURE STATEMENT. No Corporate Parent. Document filed by Fairway Group Holdings Corp..(Allerhand, Joseph) (Entered: 03/21/2014) 03/26/ STIPULATION AND ORDER: Counsel for Defendants agree to accept service on behalf

11 of Defendant, and Defendants waive any defense to improper service of process of the Summons and Complaint in this action, provided that Defendants do not waive any other defenses, and as further set forth in this document. (Signed by Judge Lewis A. Kaplan on 3/24/2014) (cd) (Entered: 03/27/2014) 04/15/ MOTION to Consolidate Cases 14-cv-01015; 14-CV-1786., MOTION to Appoint Kevin Lind to serve as lead plaintiff(s)., MOTION to Appoint Counsel. Document filed by Kevin Lind.(Miller, Kim) (Entered: 04/15/2014) 04/15/ MEMORANDUM OF LAW in Support re: 8 MOTION to Consolidate Cases 14-cv ; 14-CV MOTION to Appoint Kevin Lind to serve as lead plaintiff(s). MOTION to Appoint Counsel.. Document filed by Kevin Lind. (Miller, Kim) (Entered: 04/15/2014) 04/15/ DECLARATION of Kim E. Miller in Support re: 8 MOTION to Consolidate Cases 14- cv-01015; 14-CV MOTION to Appoint Kevin Lind to serve as lead plaintiff(s). MOTION to Appoint Counsel.. Document filed by Kevin Lind. (Attachments: # 1 Exhibit, # 2 Exhibit, # 3 Exhibit, # 4 Exhibit)(Miller, Kim) (Entered: 04/15/2014) 04/15/ FILING ERROR - DEFICIENT DOCKET ENTRY - MOTION to Appoint Counsel The Rosen Law Firm, P.A.., MOTION to Appoint Lead Plaintiff., MOTION to Consolidate Cases. Document filed by Joe Felcher. (Attachments: # 1 Text of Proposed Order)(Kim, Phillip) Modified on 4/16/2014 (ldi). (Entered: 04/15/2014) 04/15/ FILING ERROR - DEFICIENT DOCKET ENTRY - MEMORANDUM OF LAW in Support re: 11 MOTION to Appoint Counsel The Rosen Law Firm, P.A.. MOTION to Appoint Lead Plaintiff. MOTION to Consolidate Cases.. Document filed by Joe Felcher. (Kim, Phillip) Modified on 4/16/2014 (ldi). (Entered: 04/15/2014) 04/15/ FILING ERROR - DEFICIENT DOCKET ENTRY - DECLARATION of Phillip Kim in Support re: 11 MOTION to Appoint Counsel The Rosen Law Firm, P.A.. MOTION to Appoint Lead Plaintiff. MOTION to Consolidate Cases.. Document filed by Joe Felcher. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3, # 4 Exhibit 4)(Kim, Phillip) Modified on 4/16/2014 (ldi). (Entered: 04/15/2014) 04/15/ MOTION to Appoint Austin Power to serve as lead plaintiff(s). Document filed by Austin Power.(McKenna, Thomas) (Entered: 04/15/2014) 04/15/ MEMORANDUM OF LAW in Support re: 14 MOTION to Appoint Austin Power to serve as lead plaintiff(s).. Document filed by Austin Power. (McKenna, Thomas) (Entered: 04/15/2014) 04/15/ DECLARATION of Thomas J. McKenna in Support re: 14 MOTION to Appoint Austin Power to serve as lead plaintiff(s).. Document filed by Austin Power. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C)(McKenna, Thomas) (Entered: 04/15/2014) 04/15/ MOTION to Appoint Counsel., MOTION to Appoint William Fassbender and Inge Fassbender to serve as lead plaintiff(s)., MOTION to Consolidate Cases Case No. 1:14- cv lak; Case No. 1:14-cv LAK; and Case No. 1:14-cv LAK. Document filed by William Fassbender, Inge Fassbender.(Linkh, Gregory) (Entered: 04/15/2014) 04/15/ MEMORANDUM OF LAW in Support re: 17 MOTION to Appoint Counsel. MOTION to Appoint William Fassbender and Inge Fassbender to serve as lead plaintiff(s). MOTION to Consolidate Cases Case No. 1:14-cv LAK; Case No. 1:14-cv

12 LAK; and Case No. 1:14-cv LAK. MOTION to Appoint William Fassbender and Inge Fassbender to serve as lead plaintiff(s).. Document filed by Inge Fassbender, William Fassbender. (Linkh, Gregory) (Entered: 04/15/2014) 04/15/ DECLARATION of Gregory B. Linkh in Support re: 17 MOTION to Appoint Counsel. MOTION to Appoint William Fassbender and Inge Fassbender to serve as lead plaintiff(s). MOTION to Consolidate Cases Case No. 1:14-cv LAK; Case No. 1:14-cv LAK; and Case No. 1:14-cv LAK. MOTION to Appoint William Fassbender and Inge Fassbender to serve as lead plaintiff(s).. Document filed by Inge Fassbender, William Fassbender. (Attachments: # 1 Exhibit A - Press Release, # 2 Exhibit B - Certifications, # 3 Exhibit C - Loss Chart, # 4 Exhibit D - Firm Resume, # 5 Exhibit E - Blumstein Complaint, # 6 Exhibit F - Paul Complaint, # 7 Exhibit G - Dweck Complaint)(Linkh, Gregory) (Entered: 04/15/2014) 04/15/ MOTION to Consolidate Cases 1:14-cv-00950, 1:14-cv-01015, 1:14-cv , MOTION to Appoint The Firemen's Retirement System of St. Louis., MOTION to Appoint Counsel Robbins Geller Rudman & Dowd LLP. Document filed by The Firemen's Retirement System of St. Louis. (Attachments: # 1 Text of Proposed Order)(Alba, Mario) (Entered: 04/15/2014) 04/15/ MEMORANDUM OF LAW in Support re: 20 MOTION to Consolidate Cases 1:14-cv , 1:14-cv-01015, 1:14-cv MOTION to Appoint The Firemen's Retirement System of St. Louis. MOTION to Appoint Counsel Robbins Geller Rudman & Dowd LLP.. Document filed by The Firemen's Retirement System of St. Louis. (Alba, Mario) (Entered: 04/15/2014) 04/15/ DECLARATION in Support re: 20 MOTION to Consolidate Cases 1:14-cv-00950, 1:14- cv-01015, 1:14-cv MOTION to Appoint The Firemen's Retirement System of St. Louis. MOTION to Appoint Counsel Robbins Geller Rudman & Dowd LLP.. Document filed by The Firemen's Retirement System of St. Louis. (Attachments: # 1 Exhibit A - press release, # 2 Exhibit B - certification, # 3 Exhibit C - loss chart, # 4 Exhibit D - firm resume, # 5 Exhibit E - complaint)(alba, Mario) (Entered: 04/15/2014) 04/15/ MOTION to Consolidate Cases 14-cv-01015; 14-cv , MOTION to Appoint Martin Bertisch and David Amar to serve as lead plaintiff(s)., MOTION to Approve Approval of Counsel. Document filed by Martin Bertisch, David Amar. (Attachments: # 1 Text of Proposed Order)(Lieberman, Jeremy) (Entered: 04/15/2014) 04/15/ MEMORANDUM OF LAW in Support re: 23 MOTION to Consolidate Cases 14-cv ; 14-cv MOTION to Appoint Martin Bertisch and David Amar to serve as lead plaintiff(s). MOTION to Approve Approval of Counsel. MOTION to Appoint Martin Bertisch and David Amar to serve as lead plaintiff(s).. Document filed by David Amar, Martin Bertisch. (Lieberman, Jeremy) (Entered: 04/15/2014) 04/15/ DECLARATION of Jeremy A. Lieberman in Support re: 23 MOTION to Consolidate Cases 14-cv-01015; 14-cv MOTION to Appoint Martin Bertisch and David Amar to serve as lead plaintiff(s). MOTION to Approve Approval of Counsel. MOTION to Appoint Martin Bertisch and David Amar to serve as lead plaintiff(s).. Document filed by David Amar, Martin Bertisch. (Attachments: # 1 Exhibit A - Press Release, # 2 Exhibit B - Certification, # 3 Exhibit C - Assignment of Claims, # 4 Exhibit D - Loss Chart, # 5 Exhibit E - Firm Resume)(Lieberman, Jeremy) (Entered: 04/15/2014) 04/15/ MOTION to Appoint Jacksonville Police & Fire Pension Fund to serve as lead plaintiff(s). I Document filed by Jacksonville Police & Fire Pension Fund.(Silk, Gerald) (Entered:

13 04/15/2014) 04/15/ MEMORANDUM OF LAW in Support re: 26 MOTION to Appoint Jacksonville Police & Fire Pension Fund to serve as lead plaintiff(s).. Document filed by Jacksonville Police & Fire Pension Fund. (Silk, Gerald) (Entered: 04/15/2014) 04/15/ DECLARATION of Gerald H. Silk in Support re: 26 MOTION to Appoint Jacksonville Police & Fire Pension Fund to serve as lead plaintiff(s).. Document filed by Jacksonville Police & Fire Pension Fund. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D)(Silk, Gerald) (Entered: 04/15/2014) 04/15/2014 ***NOTE TO ATTORNEY TO RE-FILE DOCUMENT - DEFICIENT DOCKET ENTRY ERROR. Note to Attorney Phillip C. Kim to RE-FILE Document 11 MOTION to Appoint Counsel The Rosen Law Firm, P.A.. MOTION to Appoint Lead Plaintiff. MOTION to Consolidate Cases. ERROR(S): Incorrect title of document. NOTE: Change the document title to Motion, not Memorandum of Law. (ldi) (Entered: 04/16/2014) 04/15/2014 ***NOTE TO ATTORNEY TO RE-FILE DOCUMENT - DEFICIENT DOCKET ENTRY ERROR. Note to Attorney Phillip C. Kim to RE-FILE Document 12 Memorandum of Law in Support of Motion, 13 Declaration in Support of Motion. ERROR(S): Documents linked to filing error. (ldi) (Entered: 04/16/2014) 04/16/ MOTION to Appoint Lead Plaintiff., MOTION to Appoint Counsel The Rosen Law Firm., MOTION to Consolidate Cases. Document filed by Joe Felcher. (Attachments: # 1 Text of Proposed Order)(Kim, Phillip) (Entered: 04/16/2014) 04/16/ MEMORANDUM OF LAW in Support re: 29 MOTION to Appoint Lead Plaintiff. MOTION to Appoint Counsel The Rosen Law Firm. MOTION to Consolidate Cases.. Document filed by Joe Felcher. (Kim, Phillip) (Entered: 04/16/2014) 04/16/ DECLARATION of Phillip Kim in Support re: 29 MOTION to Appoint Lead Plaintiff. MOTION to Appoint Counsel The Rosen Law Firm. MOTION to Consolidate Cases.. Document filed by Joe Felcher. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3, # 4 Exhibit 4)(Kim, Phillip) (Entered: 04/16/2014) 04/22/ ORDER: In accordance with Section 1 of the Standing Order in In re Pilot Project Regarding Case Management Techniques for Complex Civil Cases in the Southern District of New York, the undersigned hereby determines that these three cases shall NOT be designated for inclusion in the project. (Signed by Judge Lewis A. Kaplan on 4/22/2014) (cd) (Entered: 04/22/2014) 04/28/ MOTION to Withdraw 14 MOTION to Appoint Austin Power to serve as lead plaintiff(s)., 15 Memorandum of Law in Support of Motion, 16 Declaration in Support of Motion. Document filed by Austin Power.(Egleston, Gregory) (Entered: 04/28/2014) 04/29/ NOTICE of Withdrawal of Lead Plaintiff Motion re: 29 MOTION to Appoint Lead Plaintiff. MOTION to Appoint Counsel The Rosen Law Firm. MOTION to Consolidate Cases.. Document filed by Joe Felcher. (Kim, Phillip) (Entered: 04/29/2014) 04/29/ MEMO ENDORSED withdrawing 33 Motion to Withdraw. ENDORSEMENT: Motion withdrawn. (Signed by Judge Lewis A. Kaplan on 4/29/2014) (cd) (Entered: 04/29/2014) 05/02/ MEMORANDUM OF LAW in Support re: 26 MOTION to Appoint Jacksonville Police & Fire Pension Fund to serve as lead plaintiff(s).. Document filed by Jacksonville Police

14 & Fire Pension Fund. (Silk, Gerald) (Entered: 05/02/2014) 05/05/ NOTICE of Withdrawal of Motion to Appoint Kevin Lind to serve as lead plaintiff. Document filed by Kevin Lind. (Miller, Kim) (Entered: 05/05/2014) 05/12/ REPLY MEMORANDUM OF LAW in Support re: 26 MOTION to Appoint Jacksonville Police & Fire Pension Fund to serve as lead plaintiff(s).. Document filed by Jacksonville Police & Fire Pension Fund. (Silk, Gerald) (Entered: 05/12/2014) 06/03/ ORDER REFERRING CASE TO MAGISTRATE JUDGE. Order that case be referred to the Clerk of Court for assignment to a Magistrate Judge for General Pretrial (includes scheduling, discovery, non-dispositive pretrial motions, and settlement) and Dispositive Motion (i.e., motion requiring a Report and Recommendation). Referred to Magistrate Judge Andrew J. Peck. (Signed by Judge Lewis A. Kaplan on 6/3/2014) (cd) (Entered: 06/03/2014) 06/03/ ORDER APPOINTING THE JACKSONVILLE POLICE & FIRE PENSION FUND AS LEAD PLAINTIFF, APPROVING ITS SELECTION OF LEAD COUNSEL, AND CONSOLIDATING ALL RELATED ACTIONS denying 20 Motion to Appoint ; denying 20 Motion to Appoint Counsel ; denying 23 Motion to Consolidate Cases ; denying 23 Motion to Appoint ; denying 23 Motion to Approve ; granting 26 Motion to Appoint ; denying 29 Motion to Appoint ; denying 29 Motion to Appoint Counsel ; denying 29 Motion to Consolidate Cases ; denying 8 Motion to Consolidate Cases ; denying 8 Motion to Appoint ; denying 8 Motion to Appoint Counsel ; denying 14 Motion to Appoint ; denying 17 Motion to Appoint Counsel ; denying 17 Motion to Appoint ; denying 17 Motion to Consolidate Cases ; denying 20 Motion to Consolidate Cases. It is hereby ORDERED that: 1. Jacksonville P&F's Motion [DI 26] is GRANTED. 2. Jacksonville P&F is APPOINTED to serve as Lead Plaintiff in the above-captioned actions and all related actions consolidated pursuant to paragraph 4 of this Order. 3. Jacksonville P&F's selection of Lead Counsel is APPROVED, and Bernstein Litowitz Berger & Grossman LLP is APPOINTED as Lead Counsel for Class. 4. Pursuant to Rule 42(a) of the Fed. R. Civ. P., any pending, subsequently filed, removed, or transferred actions that are related to the claims asserted in the above-captioned actions are CONSOLIDATED for all purposes. 5. The consolidated action shall be captioned "In re Fairway Group Holdings Corp. Securities Litigation" and the file shall be maintained under Master File No. 14-cv LAK. 6. All other motions for secular relief -- DI 8, 14, 17, 20, 23 and are denied. SO ORDERED. (Signed by Judge Lewis A. Kaplan on 6/3/2014) (ajs) Modified on 6/3/2014 (ajs). (Entered: 06/03/2014) 06/05/ ORDER SCHEDULING STATUS CONFERENCE: IT IS HEREBY ORDERED that a status conference is scheduled for June 9, 2014 at 11:00 AM before the undersigned in Courtroom 20D (500 Pearl Street). Counsel shall have a preliminary Rule 26(f) conference before then and be prepared to discuss scheduling issues with the Court. Counsel are advised that my chambers (Room 1370, 500 Pearl Street) are to be provided with a courtesy copy of all papers hereafter filed with the Court. The parties are to follow the "Individual Practices of Magistrate Judge Andrew J. Peck," a copy of which is on the S.D.N.Y. website and also is attached. SO ORDERED. (Status Conference set for 6/9/2014 at 11:00 AM in Courtroom 20D, 500 Pearl Street, New York, NY before Magistrate Judge Andrew J. Peck.) (Signed by Magistrate Judge Andrew J. Peck on 6/5/2014) (kgo) (Entered: 06/05/2014) 06/05/ NOTICE OF APPEARANCE by John Christopher Browne on behalf of Jacksonville Police & Fire Pension Fund. (Browne, John) (Entered: 06/05/2014)

15 06/05/ NOTICE OF APPEARANCE by Lauren Amy Ormsbee on behalf of Jacksonville Police & Fire Pension Fund. (Ormsbee, Lauren) (Entered: 06/05/2014) 06/05/ NOTICE OF APPEARANCE by Adam David Hollander on behalf of Jacksonville Police & Fire Pension Fund. (Hollander, Adam) (Entered: 06/05/2014) 06/06/ MOTION for Deborah R. Gross to Withdraw as Attorney. Document filed by Bruce H. Paul. (Attachments: # 1 Certificate of Service)(Gross, Deborah) (Entered: 06/06/2014) 06/06/ MOTION for David A. Rosenfeld and Mario Alba, Jr. to Withdraw as Attorney. Document filed by Bruce H. Paul, The Firemen's Retirement System of St. Louis. (Attachments: # 1 Text of Proposed Order)Filed In Associated Cases: 1:14-cv LAK-AJP, 1:14-cv LAK(Rosenfeld, David) (Entered: 06/06/2014) 06/09/ ORDER GRANTING MOTION FOR LEAVE TO WITHDRAW granting (46) Motion to Withdraw as Attorney. Attorney Mario Alba, Jr and David Avi Rosenfeld terminated in case 1:14-cv LAK-AJP. ORDERED THAT Mario Alba, Jr., and David A. Rosenfeld of Robbins Geller Rudman & Dowd LLP are hereby withdrawn as counsel of record. The Clerk of the Court is directed to remove the above-named attorneys and law firm from the docket as well as the ECF Service List. IT IS SO ORDERED. (Signed by Magistrate Judge Andrew J. Peck on 6/9/2014) Filed In Associated Cases: 1:14-cv LAK-AJP, 1:14-cv LAK (ajs) (Entered: 06/09/2014) 06/09/ MEMO ENDORSED ORDER granting 45 Motion to Withdraw as Attorney. Attorney Deborah R Gross terminated. ENDORSEMENT: APPROVED. SO ORDERED. (Signed by Magistrate Judge Andrew J. Peck on 6/9/2014) (ajs) (Entered: 06/09/2014) 06/09/2014 Minute Entry for proceedings held before Magistrate Judge Andrew J. Peck: Status Conference held on 6/9/ Consolidated class cplt. due 7/18.2.Motion to dismiss due 9/5, opp due 10/6, reply due 10/27.3.Discovery stayed under PSLRA. (Gray, Diane) (Entered: 06/09/2014) 06/09/ NOTICE OF APPEARANCE by Jeffrey Q. Smith on behalf of BB&T Capital Markets, Credit Suisse Securities, Guggenheim Securities, L.L.C., Jefferies L.L.C., Oppenheimer & Co. Inc, William Blair & Company, L.L.C., Wolfe Research Securities f/k/a Wolfe Trahan Securities, Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Joseph TriArtisan LLC. (Smith, Jeffrey) (Entered: 06/09/2014) 06/09/ NOTICE OF APPEARANCE by Susan F. DiCicco on behalf of BB&T Capital Markets, Credit Suisse Securities, Guggenheim Securities, L.L.C., Jefferies L.L.C., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Joseph TriArtisan LLC, Oppenheimer & Co. Inc, William Blair & Company, L.L.C., Wolfe Research Securities f/k/a Wolfe Trahan Securities. (DiCicco, Susan) (Entered: 06/09/2014) 06/09/ NOTICE OF APPEARANCE by Matthew Minerva on behalf of BB&T Capital Markets, Credit Suisse Securities, Guggenheim Securities, L.L.C., Jefferies L.L.C., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Joseph TriArtisan LLC, Oppenheimer & Co. Inc, William Blair & Company, L.L.C., Wolfe Research Securities f/k/a Wolfe Trahan Securities. (Minerva, Matthew) (Entered: 06/09/2014) 06/09/ JOINT PRELIMINARY RULE 26(f) REPORT & SCHEDULING ORDER: Amended Pleadings due by 7/18/2014. Motions due by 9/5/2014. Responses due by 10/6/2014. Replies due by 10/27/2014. SO ORDERED. (Signed by Magistrate Judge Andrew J. Peck on 6/9/2014) (ajs) (Entered: 06/11/2014)

16 06/16/ NOTICE OF CHANGE OF ADDRESS by Adam David Hollander on behalf of Jacksonville Police & Fire Pension Fund. New Address: Bernstein Litowitz Berger & Grossmann LLP, 1285 Avenue of the Americas, New York City, New York, 10019, , ext (Hollander, Adam) (Entered: 06/16/2014) 06/18/ TRANSCRIPT of Proceedings re: CONFERENCE held on 6/9/2014 before Magistrate Judge Andrew J. Peck. Court Reporter/Transcriber: Steven Greenblum, (212) 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 7/14/2014. Redacted Transcript Deadline set for 7/24/2014. Release of Transcript Restriction set for 9/19/2014.(Rodriguez, Somari) (Entered: 06/18/2014) 06/18/ NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a CONFERENCE proceeding held on 6/9/14 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...(rodriguez, Somari) (Entered: 06/18/2014) 07/18/ FILING ERROR - DEFICIENT PLEADING - FILED AGAINST PARTY ERROR AMENDED COMPLAINT amending 2 Complaint against All Defendants with JURY DEMAND.Document filed by Jacksonville Police & Fire Pension Fund. Related document: 2 Complaint filed by Renee Blumstein.(Browne, John) (Entered: 07/18/2014) 08/29/ LETTER MOTION for Leave to File Excess Pages addressed to Magistrate Judge Andrew J. Peck from Joseph S. Allerhand dated 08/29/2014. Document filed by Edward C Arditte, Michael Barr, Fairway Group Holdings Corp., Howard Glickberg, Stephen Key, Herbert Ruetsch, William Selden, Linda M. Siluk, Farid Suleman, charles w santoro.(allerhand, Joseph) (Entered: 08/29/2014) 08/29/ MEMO ENDORSED ORDER granting 57 Letter Motion for Leave to File Excess Pages. ENDORSEMENT: Approved. SO ORDERED. (Signed by Magistrate Judge Andrew J. Peck on 8/29/2014) (ajs) (Entered: 08/29/2014) 09/04/2014 ***NOTICE TO ATTORNEY REGARDING DEFICIENT AMENDED COMPLAINT. Notice to Attorney John Browne RE: Document No. 56 Amended Complaint,. The filing is deficient for the following reason(s): the wrong party was selected for FILED AGAINST Re-file the document and select the correct party you are filing against. (moh) (Entered: 09/04/2014) 09/04/ AMENDED COMPLAINT amending 2 Complaint against Edward C Arditte, BB&T Capital Markets, Michael Barr, Credit Suisse Securities, Fairway Group Holdings Corp., Howard Glickberg, Guggenheim Securities, L.L.C., Jefferies L.L.C., Stephen Key, Merrill Lynch, Pierce, Fenner, Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Joseph Tri, Morgan Joseph TriArtisan LLC, Opeenheimer, Oppenheimer & Co. Inc, Herbert Ruetsch, William Selden, Linda M. Siluk, Farid Suleman, William Blair & Company, L.L.C., Wolfe Research Securities f/k/a Wolfe Trahan Securities, Wolfe Trahan Securities, charles w santoro with JURY DEMAND.Document filed by Jacksonville Police & Fire Pension Fund. Related document: 2 Complaint filed by Renee Blumstein.(Browne, John). (Entered: 09/04/2014) 09/05/2014 ***NOTICE TO ATTORNEY REGARDING DEFICIENT AMENDED

17 COMPLAINT. Notice to Attorney John Browne RE: Document No. 59 Amended Complaint,,,. The filing is deficient for the following reason(s): Filing Does Not Comply with FRCP Rule 15 (a)(1)(a)(b)(2). File the Exhibit to Pleading event found under the event category Other Documents and attach either opposing party's written consent or Court's leave. (mqu) (Entered: 09/05/2014) 09/05/ RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Other Affiliate Sterling Investment Partners Management, LLC for Sterling Investment Partners L.P., Sterling Investment Partners Side-by-Side, L.P.; Other Affiliate Sterling Investment Partners Management II, LLC for Sterling Investment Partners II, L.P., Sterling Investment Partners Side-by-Side II, L.P.; Corporate Parent No parent company for Sterling Investment Partners Advisers, LLC. Document filed by Sterling Investment Partners L.P., Sterling Investment Partners II, L.P., Sterling Investment Partners Side-by- Side, L.P., Sterling Investment Partners Side-by-Side II, L.P., Sterling Investment Partners Advisers, LLC.(Allerhand, Joseph) (Entered: 09/05/2014) 09/05/ MOTION to Dismiss the Amended Class Action Complaint. Document filed by BB&T Capital Markets, Credit Suisse Securities, Guggenheim Securities, L.L.C., Jefferies L.L.C., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Joseph TriArtisan LLC, Oppenheimer & Co. Inc, William Blair & Company, L.L.C., Wolfe Research Securities f/k/a Wolfe Trahan Securities.(Smith, Jeffrey) (Entered: 09/05/2014) 09/05/ MEMORANDUM OF LAW in Support re: 61 MOTION to Dismiss the Amended Class Action Complaint.. Document filed by BB&T Capital Markets, Credit Suisse Securities, Guggenheim Securities, L.L.C., Jefferies L.L.C., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Joseph TriArtisan LLC, Oppenheimer & Co. Inc, William Blair & Company, L.L.C., Wolfe Research Securities f/k/a Wolfe Trahan Securities. (Smith, Jeffrey) (Entered: 09/05/2014) 09/05/ MOTION to Dismiss the Amended Class Action Complaint. Document filed by Edward C Arditte, Michael Barr, Fairway Group Holdings Corp., Howard Glickberg, Stephen Key, Herbert Ruetsch, William Selden, Linda M. Siluk, Sterling Investment Partners Advisers, LLC, Sterling Investment Partners II, L.P., Sterling Investment Partners L.P., Sterling Investment Partners Side-by-Side II, L.P., Sterling Investment Partners Side-by-Side, L.P., Farid Suleman, charles w santoro.(allerhand, Joseph) (Entered: 09/05/2014) 09/05/ MEMORANDUM OF LAW in Support re: 63 MOTION to Dismiss the Amended Class Action Complaint.. Document filed by Edward C Arditte, Michael Barr, Fairway Group Holdings Corp., Howard Glickberg, Stephen Key, Herbert Ruetsch, William Selden, Linda M. Siluk, Sterling Investment Partners Advisers, LLC, Sterling Investment Partners II, L.P., Sterling Investment Partners L.P., Sterling Investment Partners Side-by-Side II, L.P., Sterling Investment Partners Side-by-Side, L.P., Farid Suleman, charles w santoro. (Allerhand, Joseph) (Entered: 09/05/2014) 09/05/ DECLARATION of Joseph S. Allerhand in Support re: 63 MOTION to Dismiss the Amended Class Action Complaint.. Document filed by Edward C Arditte, Michael Barr, Fairway Group Holdings Corp., Howard Glickberg, Stephen Key, Herbert Ruetsch, William Selden, Linda M. Siluk, Sterling Investment Partners Advisers, LLC, Sterling Investment Partners II, L.P., Sterling Investment Partners L.P., Sterling Investment Partners Side-by-Side II, L.P., Sterling Investment Partners Side-by-Side, L.P., Farid Suleman, charles w santoro. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3, # 4 Exhibit 4, # 5 Exhibit 5, # 6 Exhibit 6, # 7 Exhibit 7 - Part 1, # 8 Exhibit 7 - Part 2, # 9 Exhibit 7 - Part 3, # 10 Exhibit 7 - Part 4, # 11 Exhibit 8, # 12 Exhibit 9, # 13 Exhibit 10,

18 # 14 Exhibit 11, # 15 Exhibit 12, # 16 Exhibit 13, # 17 Exhibit 14, # 18 Exhibit 15, # 19 Exhibit 16, # 20 Exhibit 17, # 21 Exhibit 18, # 22 Exhibit 19, # 23 Exhibit 20, # 24 Exhibit 21, # 25 Exhibit 22, # 26 Exhibit 23, # 27 Exhibit 24, # 28 Exhibit 25, # 29 Exhibit 26, # 30 Exhibit 27, # 31 Exhibit 28, # 32 Exhibit 29, # 33 Exhibit 30, # 34 Exhibit 31)(Allerhand, Joseph) (Entered: 09/05/2014) 10/02/ LETTER MOTION for Extension of Time to File Response/Reply to Defendants' Motions to Dismiss addressed to Magistrate Judge Andrew J. Peck from John C. Browne dated October 2, Document filed by Jacksonville Police & Fire Pension Fund.(Browne, John) (Entered: 10/02/2014) 10/02/ ORDER granting 66 Letter Motion for Extension of Time to File Response/Reply re 63 MOTION to Dismiss the Amended Class Action Complaint, 61 MOTION to Dismiss the Amended Class Action Complaint : Request Approved. Responses due by 10/10/2014, Replies due by 11/4/2014. (Signed by Magistrate Judge Andrew J. Peck on 10/2/2014) (tn) (Entered: 10/03/2014) 10/10/ MEMORANDUM OF LAW in Opposition re: 63 MOTION to Dismiss the Amended Class Action Complaint., 61 MOTION to Dismiss the Amended Class Action Complaint.. Document filed by Jacksonville Police & Fire Pension Fund. (Browne, John) (Entered: 10/10/2014) 10/31/ LETTER MOTION for Leave to File Excess Pages addressed to Magistrate Judge Andrew J. Peck from Joseph S. Allerhand dated 10/31/2014. Document filed by Edward C Arditte, Michael Barr, Fairway Group Holdings Corp., Howard Glickberg, Stephen Key, Herbert Ruetsch, William Selden, Linda M. Siluk, Sterling Investment Partners Advisers, LLC, Sterling Investment Partners II, L.P., Sterling Investment Partners L.P., Sterling Investment Partners Side-by-Side II, L.P., Sterling Investment Partners Side-by-Side, L.P., Farid Suleman, charles w santoro.(allerhand, Joseph) (Entered: 10/31/2014) 10/31/ ORDER granting 69 Letter Motion for Leave to File Excess Pages: APPROVED. (Signed by Magistrate Judge Andrew J. Peck on 10/31/2014) (tn) (Entered: 10/31/2014) 11/04/ REPLY MEMORANDUM OF LAW in Support re: 61 MOTION to Dismiss the Amended Class Action Complaint.. Document filed by BB&T Capital Markets, Credit Suisse Securities, Guggenheim Securities, L.L.C., Jefferies L.L.C., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Joseph TriArtisan LLC, Oppenheimer & Co. Inc, William Blair & Company, L.L.C., Wolfe Research Securities f/k/a Wolfe Trahan Securities. (Smith, Jeffrey) (Entered: 11/04/2014) 11/04/ REPLY MEMORANDUM OF LAW in Support re: 63 MOTION to Dismiss the Amended Class Action Complaint.. Document filed by Edward C Arditte, Michael Barr, Fairway Group Holdings Corp., Howard Glickberg, Stephen Key, Herbert Ruetsch, William Selden, Linda M. Siluk, Sterling Investment Partners Advisers, LLC, Sterling Investment Partners II, L.P., Sterling Investment Partners L.P., Sterling Investment Partners Side-by- Side II, L.P., Sterling Investment Partners Side-by-Side, L.P., Farid Suleman, charles w santoro. (Allerhand, Joseph) (Entered: 11/04/2014) 11/04/ DECLARATION of Joseph S. Allerhand in Support re: 63 MOTION to Dismiss the Amended Class Action Complaint.. Document filed by Edward C Arditte, Michael Barr, Fairway Group Holdings Corp., Howard Glickberg, Stephen Key, Herbert Ruetsch, William Selden, Linda M. Siluk, Sterling Investment Partners Advisers, LLC, Sterling Investment Partners II, L.P., Sterling Investment Partners L.P., Sterling Investment Partners Side-by-Side II, L.P., Sterling Investment Partners Side-by-Side, L.P., Farid

19 Suleman, charles w santoro. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3, # 4 Exhibit 4)(Allerhand, Joseph) (Entered: 11/04/2014) 11/25/ NOTICE OF CHANGE OF ADDRESS by Matthew Minerva on behalf of BB&T Capital Markets, Credit Suisse Securities, Guggenheim Securities, L.L.C., Jefferies L.L.C., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Joseph TriArtisan LLC, Oppenheimer & Co. Inc, William Blair & Company, L.L.C., Wolfe Research Securities f/k/a Wolfe Trahan Securities. New Address: Morgan, Lewis & Bockius LLP, 399 Park Avenue, NY, NY, USA , (Minerva, Matthew) (Entered: 11/25/2014) 11/25/ NOTICE OF CHANGE OF ADDRESS by Susan F. DiCicco on behalf of BB&T Capital Markets, Credit Suisse Securities, Guggenheim Securities, L.L.C., Jefferies L.L.C., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Joseph TriArtisan LLC, Oppenheimer & Co. Inc, William Blair & Company, L.L.C., Wolfe Research Securities f/k/a Wolfe Trahan Securities. New Address: Morgan, Lewis & Bockius LLP, 399 Park Avenue, NY, NY, USA , (DiCicco, Susan) (Entered: 11/25/2014) 11/25/ NOTICE OF CHANGE OF ADDRESS by Jeffrey Q. Smith on behalf of BB&T Capital Markets, Credit Suisse Securities, Guggenheim Securities, L.L.C., Jefferies L.L.C., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Joseph TriArtisan LLC, Oppenheimer & Co. Inc, William Blair & Company, L.L.C., Wolfe Research Securities f/k/a Wolfe Trahan Securities. New Address: Morgan, Lewis & Bockius LLP, 399 Park Avenue, NY, NY, USA , (Smith, Jeffrey) (Entered: 11/25/2014) 01/20/ REPORT AND RECOMMENDATION re: 63 MOTION to Dismiss the Amended Class Action Complaint filed by Farid Suleman, Linda M. Siluk, Sterling Investment Partners L.P., Sterling Investment Partners Side-by-Side II, L.P., Stephen Key, Sterling Investment Partners Advisers, LLC, Fairway Group Holdings Corp., Herbert Ruetsch, Edward C Arditte, Sterling Investment Partners Side-by-Side, L.P., Howard Glickberg, William Selden, Sterling Investment Partners II, L.P., charles w santoro, Michael Barr, 61 MOTION to Dismiss the Amended Class Action Complaint filed by Morgan Joseph TriArtisan LLC, Credit Suisse Securities, Guggenheim Securities, L.L.C., William Blair & Company, L.L.C., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Wolfe Research Securities f/k/a Wolfe Trahan Securities, Jefferies L.L.C., Oppenheimer & Co. Inc, BB&T Capital Markets: For the reasons set forth above, the defendants' motions to dismiss (Dkt. Nos. 61 & 63) should be GRANTED dismissing plaintiff's Exchange Act Section 20(a) claim and Securities Act Section 15 claim as to defendant Sterling Advisors, and dismissing plaintiff's Securities Act Section 12(a)(2) claim, and DENIED in all other respects. Pursuant to 28 U.S.C. 636(b)(1) and Rule 72(b) of the Federal Rules of Civil Procedure, the parties shall have fourteen (14) days from service of this Report to file written objections. See also Fed. R. Civ. P. 6. Such objections (and any responses to objections) shall be filed with the Clerk of the Court, with courtesy copies delivered to the chambers of the Honorable Lewis A. Kaplan, 500 Pearl Street, Room 2240, and to my chambers, 500 Pearl Street, Room Any requests for an extension of time for filing objections must be directed to Judge Kaplan (with a courtesy copy to my chambers). Failure to file objections will result in a waiver of those objections for purposes of appeal. Thomas v. Arn, 474 U.S. 140, 106 S. Ct. 466 (1985); Ingram v. Herrick, 475 F. App'x 793, 793 (2d Cir. 2012); IUE AFL-CIO Pension Fund v. Herrmann, 9 F.3d 1049, 1054 (2d Cir. 1993), cert. denied, 513 U.S. 822, 115 S. Ct. 86 (1994); Frank v. Johnson, 968 F.2d

20 298, 300 (2d Cir.), cert. denied, 506 U.S. 1038, 113 S. Ct. 825 (1992); Small v. Sec'y of Health & Human Servs., 892 F.2d 15, 16 (2d Cir. 1989); Wesolek v. Canadair Ltd., 838 F.2d 55, (2d Cir. 1988); McCarthy v. Manson, 714 F.2d 234, (2d Cir. 1983). Objections to R&R due by 2/6/2015 (Signed by Magistrate Judge Andrew J. Peck on 1/20/2015) (tn) (Entered: 01/20/2015) 01/30/ STIPULATION AND ORDER: 1. In the interest of efficiency, Defendants may collectively file a single omnibus set of written objections that will not exceed thirty-five (35) pages, provided that Plaintiff may in turn file a written response to those objections that will not exceed thirty-five (35) pages. Consistent with Rule 72(b) of the Federal Rules of Civil Procedure, there will be no reply papers. 2. The time within which Defendants may file written objections to the Report is extended from February 6, 2015 to February 20, The time within which Plaintiff may file a written response to Defendants' objections is extended to thirty-one (31) days following the date of service of the objections. IT IS SO ORDERED. (Signed by Judge Lewis A. Kaplan on 1/29/2015) (ajs) (Entered: 01/30/2015) 01/30/2015 Set/Reset Deadlines: Objections to R&R due by 2/20/2015 (ajs) (Entered: 01/30/2015) 02/20/ OBJECTION to 77 Report and Recommendations (Joint Objection) Document filed by Edward C Arditte, Michael Barr, Fairway Group Holdings Corp., Howard Glickberg, Stephen Key, Herbert Ruetsch, William Selden, Linda M. Siluk, Sterling Investment Partners Advisers, LLC, Sterling Investment Partners II, L.P., Sterling Investment Partners L.P., Sterling Investment Partners Side-by-Side II, L.P., Sterling Investment Partners Side-by-Side, L.P., Farid Suleman, charles w santoro. (Allerhand, Joseph) (Entered: 02/20/2015) 02/20/ DECLARATION of Joseph S. Allerhand in Support re: 79 Objection to Report and Recommendations,,. Document filed by Edward C Arditte, Michael Barr, Fairway Group Holdings Corp., Howard Glickberg, Stephen Key, Herbert Ruetsch, William Selden, Linda M. Siluk, Sterling Investment Partners Advisers, LLC, Sterling Investment Partners II, L.P., Sterling Investment Partners L.P., Sterling Investment Partners Side-by-Side II, L.P., Sterling Investment Partners Side-by-Side, L.P., Farid Suleman, charles w santoro. (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)(Allerhand, Joseph) (Entered: 02/20/2015) 03/23/ MEMORANDUM OF LAW in Opposition re: 79 Objection to Report and Recommendations,,. Document filed by Jacksonville Police & Fire Pension Fund. (Browne, John) (Entered: 03/23/2015) 03/25/ ORDER denying 61 Motion to Dismiss; denying 63 Motion to Dismiss. Two motions to dismiss the amended complaint are sub Judice. The Supreme Court's decision in Omnicare, Inc. v. Laborers District Council Construction Industry Pension Fund, No (Mar. 24, 2015), appears to place those motions in a light substantially different than previously. Moreover, plaintiff may wish to amend the complaint in light of Omnicare. Accordingly, 1. Plaintiff, if it wishes, on or before April 21, 2015, may file a second amended complaint, amending the existing complaint solely in light of Omnicare. 2. The pending motions to dismiss the amended complaint [DI 61, DI 63] are denied without prejudice as hereinafter set forth. 3. Regardless of whether plaintiff files a second amended complaint, defendants on or before May 21, 2015, may renew their motions to dismiss the operative complaint on the existing papers but shall file, in addition, a single consolidated memorandum addressing the sufficiency of the operative complaint in light

21 of Omnicare and any new complaint. Plaintiff may respond to that additional memorandum no later than June 18, Defendants may file a single consolidated reply memorandum no later than June 30, Neither defendants' nor plaintiff's initial memorandum shall exceed thirty pages. Any reply memorandum shall be limited to twelve pages. (Signed by Judge Lewis A. Kaplan on 3/25/2015) (mro) (Entered: 03/25/2015) 03/25/2015 Set/Reset Deadlines: Amended Pleadings due by 4/21/2015. Motions due by 5/21/2015. Responses due by 6/18/2015 Replies due by 6/30/2015. (mro) (Entered: 03/25/2015) 04/21/ SECOND AMENDED COMPLAINT amending 59 Amended Complaint,,, against Edward C Arditte, BB&T Capital Markets, Michael Barr, Credit Suisse Securities, Fairway Group Holdings Corp., Howard Glickberg, Guggenheim Securities, L.L.C., Jefferies L.L.C., Stephen Key, Kevin McDonnell, Merrill Lynch, Pierce, Fenner, Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Joseph Tri, Morgan Joseph TriArtisan LLC, Opeenheimer, Oppenheimer & Co. Inc, Herbert Ruetsch, William Selden, Linda M. Siluk, Sterling Investment Partners Advisers, LLC, Sterling Investment Partners II, L.P., Sterling Investment Partners L.P., Sterling Investment Partners Side-by- Side II, L.P., Sterling Investment Partners Side-by-Side, L.P., Farid Suleman, William Blair & Company, L.L.C., Wolfe Research Securities f/k/a Wolfe Trahan Securities, Wolfe Trahan Securities, charles w santoro with JURY DEMAND.Document filed by Jacksonville Police & Fire Pension Fund. Related document: 59 Amended Complaint,,, filed by Jacksonville Police & Fire Pension Fund.(Browne, John) (Entered: 04/21/2015) 04/22/ NOTICE OF CHANGE OF ADDRESS by Matthew Minerva on behalf of BB&T Capital Markets, Credit Suisse Securities, Guggenheim Securities, L.L.C., Jefferies L.L.C., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Joseph TriArtisan LLC, Oppenheimer & Co. Inc, William Blair & Company, L.L.C., Wolfe Research Securities f/k/a Wolfe Trahan Securities. New Address: Morgan Lewis & Bockius LLP, 101 Park Avenue, New York, New York, United States 10178, (Minerva, Matthew) (Entered: 04/22/2015) 04/22/ NOTICE OF CHANGE OF ADDRESS by Susan F. DiCicco on behalf of BB&T Capital Markets, Credit Suisse Securities, Guggenheim Securities, L.L.C., Jefferies L.L.C., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Joseph TriArtisan LLC, Oppenheimer & Co. Inc, William Blair & Company, L.L.C., Wolfe Research Securities f/k/a Wolfe Trahan Securities. New Address: Morgan Lewis & Bockius LLP, 101 Park Avenue, New York, New York, United States 10178, (DiCicco, Susan) (Entered: 04/22/2015) 04/22/ NOTICE OF CHANGE OF ADDRESS by Jeffrey Q. Smith on behalf of BB&T Capital Markets, Credit Suisse Securities, Guggenheim Securities, L.L.C., Jefferies L.L.C., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Joseph TriArtisan LLC, Oppenheimer & Co. Inc, William Blair & Company, L.L.C., Wolfe Research Securities f/k/a Wolfe Trahan Securities. New Address: Morgan Lewis & Bockius LLP, 101 Park Avenue, New York, New York, United States 10178, (Smith, Jeffrey) (Entered: 04/22/2015) 05/21/ MOTION to Dismiss Counts III and IV of the Second Amended Class Action Complaint. Document filed by BB&T Capital Markets, Credit Suisse Securities, Guggenheim Securities, L.L.C., Jefferies L.L.C., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Joseph TriArtisan LLC, Oppenheimer & Co. Inc, William Blair & Company, L.L.C., Wolfe Research Securities f/k/a Wolfe Trahan Securities.(Smith, Jeffrey)

22 (Entered: 05/21/2015) 05/21/ MOTION to Dismiss the Second Amended Class Action Complaint. Document filed by Edward C Arditte, Michael Barr, Fairway Group Holdings Corp., Howard Glickberg, Stephen Key, Herbert Ruetsch, William Selden, Linda M. Siluk, Sterling Investment Partners Advisers, LLC, Sterling Investment Partners II, L.P., Sterling Investment Partners L.P., Sterling Investment Partners Side-by-Side II, L.P., Sterling Investment Partners Side-by-Side, L.P., Farid Suleman, charles w santoro.(allerhand, Joseph) (Entered: 05/21/2015) 05/21/ MEMORANDUM OF LAW in Support re: 88 MOTION to Dismiss the Second Amended Class Action Complaint.. Document filed by Edward C Arditte, Michael Barr, Fairway Group Holdings Corp., Howard Glickberg, Stephen Key, Herbert Ruetsch, William Selden, Linda M. Siluk, Sterling Investment Partners Advisers, LLC, Sterling Investment Partners II, L.P., Sterling Investment Partners L.P., Sterling Investment Partners Side-by- Side II, L.P., Sterling Investment Partners Side-by-Side, L.P., Farid Suleman, charles w santoro. (Allerhand, Joseph) (Entered: 05/21/2015) 05/21/ DECLARATION of Joseph S. Allerhand in Support re: 88 MOTION to Dismiss the Second Amended Class Action Complaint.. Document filed by Edward C Arditte, Michael Barr, Fairway Group Holdings Corp., Howard Glickberg, Stephen Key, Herbert Ruetsch, William Selden, Linda M. Siluk, Sterling Investment Partners Advisers, LLC, Sterling Investment Partners II, L.P., Sterling Investment Partners L.P., Sterling Investment Partners Side-by-Side II, L.P., Sterling Investment Partners Side-by-Side, L.P., Farid Suleman, charles w santoro. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3)(Allerhand, Joseph) (Entered: 05/21/2015) 06/18/ SUPPLEMENTAL MEMORANDUM OF LAW in Opposition re: 87 MOTION to Dismiss Counts III and IV of the Second Amended Class Action Complaint., 88 MOTION to Dismiss the Second Amended Class Action Complaint.. Document filed by Jacksonville Police & Fire Pension Fund. (Browne, John) (Entered: 06/18/2015) 06/18/ DECLARATION of John C. Browne in Opposition re: 87 MOTION to Dismiss Counts III and IV of the Second Amended Class Action Complaint., 88 MOTION to Dismiss the Second Amended Class Action Complaint.. Document filed by Jacksonville Police & Fire Pension Fund. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C)(Browne, John) (Entered: 06/18/2015) 06/30/ JOINT REPLY MEMORANDUM OF LAW in Support re: 87 MOTION to Dismiss Counts III and IV of the Second Amended Class Action Complaint., 88 MOTION to Dismiss the Second Amended Class Action Complaint.. Document filed by Edward C Arditte, Michael Barr, Fairway Group Holdings Corp., Howard Glickberg, Stephen Key, Herbert Ruetsch, William Selden, Linda M. Siluk, Sterling Investment Partners Advisers, LLC, Sterling Investment Partners II, L.P., Sterling Investment Partners L.P., Sterling Investment Partners Side-by-Side II, L.P., Sterling Investment Partners Side-by-Side, L.P., Farid Suleman, charles w santoro. (Allerhand, Joseph) (Entered: 06/30/2015) 08/19/ REPORT AND RECOMMENDATION re: 87 MOTION to Dismiss Counts III and IV of the Second Amended Class Action Complaint, filed by Morgan Joseph TriArtisan LLC, Credit Suisse Securities, Guggenheim Securities, L.L.C., William Blair & Company, L.L.C., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Wolfe Research Securities f/k/a Wolfe Trahan Securities, Jefferies L.L.C., BB&T Capital Markets, Oppenheimer & Co. Inc, 88 MOTION to Dismiss the Second Amended Class Action Complaint, filed by

23 09/09/ /09/ /10/ /10/2015 Farid Suleman, Linda M. Siluk, Sterling Investment Partners L.P., Sterling Investment Partners Side-by-Side II, L.P., Stephen Key, Sterling Investment Partners Advisers, LLC, Fairway Group Holdings Corp., Edward C Arditte, Herbert Ruetsch, Sterling Investment Partners Side-by-Side, L.P., Howard Glickberg, William Selden, Sterling Investment Partners II, L.P., charles w santoro, Michael Barr. For the reasons set forth above, defendants' motions to dismiss (Dkt. Nos. 87 & 88) should be GRANTED. (As is further set forth in this Order.) Objections to R&R due by 9/8/2015. (Signed by Magistrate Judge Andrew J. Peck on 8/19/2015) (spo) (Entered: 08/19/2015) ORDER for 87 Motion to Dismiss, filed by Morgan Joseph TriArtisan LLC, Credit Suisse Securities, Guggenheim Securities, L.L.C., William Blair & Company, L.L.C., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Wolfe Research Securities f/k/a Wolfe Trahan Securities, Jefferies L.L.C., BB&T Capital Markets, Oppenheimer & Co. Inc, 94 Report and Recommendations, 88 Motion to Dismiss, filed by Farid Suleman, Linda M. Siluk, Sterling Investment Partners L.P., Sterling Investment Partners Side-by-Side II, L.P., Stephen Key, Sterling Investment Partners Advisers, LLC, Fairway Group Holdings Corp., Edward C Arditte, Herbert Ruetsch, Sterling Investment Partners Side-by-Side, L.P., Howard Glickberg, William Selden, Sterling Investment Partners II, L.P., charles w santoro, Michael Barr. The motions of (1) the Underwriter Defendants to dismiss counts III and IV of the second amended class action complaint [DI 87], and (2) the Fairway Defendants and the Sterling Defendants to dismiss the second amended complaint [DI 88] are granted as recommended by Magistrate Judge Andrew J. Peck in a report and recommendation dated August 19, 2015 to which no objections have been filed. The Clerk shall enter judgment and close the consolidated case and those cases consolidated therein (14-cv-1015, 14-cv-1786). (Signed by Judge Lewis A. Kaplan on 9/9/2015) (lmb) (Entered: 09/09/2015) Transmission to Judgments and Orders Clerk. Transmitted re: 95 Order Adopting Report and Recommendations, to the Judgments and Orders Clerk. (lmb) (Entered: 09/09/2015) CLERK'S JUDGMENT: That for the reasons stated in the Court's Order dated September 9, 2015, the motions of (1) the Underwriter Defendants to dismiss counts III and IV of the second amended class action complaint [DI 87], and (2) the Fairway Defendants and the Sterling Defendants motion to dismiss the second amended complaint [DI 88] are granted as recommended by Magistrate Judge Andrew J. Peck in a report and recommendation dated August 19, 2015, to which no objections have been filed; accordingly, the consolidated case and those cases consolidated therein (14-cv-1015, 14-cv-1786) are closed. (Signed by Clerk of Court Ruby Krajick on 9/10/2015) (Attachments: # 1 Notice of Right to Appeal, # 2 Notice of Right to Appeal)Filed In Associated Cases: 1:14-cv LAK, 1:14-cv LAK(dt) (Entered: 09/11/2015) Terminate Transcript Deadlines (dt) (Entered: 09/11/2015) 11/17/ NOTICE OF CHANGE OF ADDRESS by John Christopher Browne on behalf of Jacksonville Police & Fire Pension Fund. New Address: Bernstein Litowitz Berger & Grossmann LLP, 1251 Avenue of the Americas, 44th Floor, New York, New York, 10020, (Browne, John) (Entered: 11/17/2015) 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

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