UNITED STATES DISTRICT COURT CENTRAL DISTRICT OF...

US District Court Civil Docket as of December 9, 2019 Retrieved from the court on December 9, 2019

UNITED STATES DISTRICT COURT CENTRAL DISTRICT OF CALIFORNIA (Western Division - Los Angeles)

CIVIL DOCKET FOR CASE #: 2:16-cv-01947-MWF-JEM

Sunil Sudunagunta v. Nantkwest, Inc. et al Assigned to: Judge Michael W. Fitzgerald Referred to: Magistrate Judge John E. McDermott Related Cases: 2:16-cv-06705-MWF-JEM

2:16-cv-06703-MWF-JEM

2:16-cv-06697-MWF-JEM

2:16-cv-06700-MWF-JEM

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

Date Filed: 03/22/2016 Date Terminated: 05/13/2019 Jury Demand: Plaintiff Nature of Suit: 850 Securities/Commodities Jurisdiction: Federal Question

Plaintiff Sunil Sudunagunta Individually and on Behalf of All Others Similarly Situated

represented by Brian J Schall Goldberg Law PC 1999 Avenue of the Stars Suite 1100 Los Angeles, CA 90067 800-977-7401 Fax: 800-536-0065 ATTORNEY TO BE NOTICED J Alexander Hood , II Pomerantz LLP 600 Third Avenue 20th Floor New York, CA 10016 212-661-1100 Fax: 212-661-8665 Email: [email protected] PRO HAC VICE ATTORNEY TO BE NOTICED Jeremy A Lieberman Pomerantz LLP 600 Third Avenue 20th Floor New York, NY 10016 212-661-1100 Fax: 212-661-8665 Email: [email protected] PRO HAC VICE ATTORNEY TO BE NOTICED Joshua B Silverman

Pomerantz LLP 10 South LaSalle Street Suite 3505 Chicago, IL 60603 312-377-1181 Fax: 312-377-1184 Email: [email protected] PRO HAC VICE ATTORNEY TO BE NOTICED Michael M Goldberg Goldberg Law PC 3700 The Strand Manhattan Beach, CA 90266 800-977-7401 Fax: 800-536-0065 Email: [email protected] ATTORNEY TO BE NOTICED Omar Jafri Pomerantz LLP 10 South LaSalle Street Suite 3505 Chicago, IL 60603 312-377-1181 Email: [email protected] PRO HAC VICE ATTORNEY TO BE NOTICED Patrick V Dahlstrom Pomerantz LLP 10 South LaSalle Street Suite 3505 Chicago, IL 60603 312-377-1181 Fax: 312-377-1184 Email: [email protected] PRO HAC VICE ATTORNEY TO BE NOTICED Jennifer Pafiti Pomerantz LLP 1100 Glendon Avenue Suite 1557 Los Angeles, CA 90024 818-532-6499 Fax: 917-463-1044 Email: [email protected] ATTORNEY TO BE NOTICED

Plaintiff Donald Hu Lead Plaintiff

represented by Kevin F Ruf Glancy Prongay and Murray LLP 1925 Century Park East Suite 2100

Los Angeles, CA 90067 310-201-9150 Fax: 310-201-9160 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED Alexa Mullarky Glancy Prongay and Murray 1925 Century Park East Suite 2100 Los Angeles, CA 90067 310-201-9150 Fax: 310-201-9160 Email: [email protected] TERMINATED: 06/19/2018 John Brandon Walker Bragar Eagel and Squire PC 885 Third Avenue Suite 3040 New York, NY 10022 212-308-5858 Fax: 212-214-0506 Email: [email protected] TERMINATED: 04/27/2017 PRO HAC VICE Kara M Wolke Glancy Prongay and Murray LLP 1925 Century Park East Suite 2100 Los Angeles, CA 90067 310-201-9150 Fax: 310-201-9160 Email: [email protected] TERMINATED: 04/27/2017 Melissa A Fortunato Bragar Eagel and Squire PC 885 Third Avenue Suite 3040 New York, NY 10022 212-308-5858 Fax: 212-486-0462 Email: [email protected] ATTORNEY TO BE NOTICED Robert Vincent Prongay Glancy Prongay and Murray LLP 1925 Century Park East Suite 2100 Los Angeles, CA 90067 310-201-9150 Fax: 310-201-9160

Email: [email protected] ATTORNEY TO BE NOTICED Todd H Henderson Bragar Eagel and Squire PC 885 Third Avenue Suite 3040 New York, NY 10022 212-308-5858 Fax: 212-214-0506 PRO HAC VICE ATTORNEY TO BE NOTICED Vahe Mesropyan Glancy Prongay and Murray LLP 1925 Century Park East Suite 2100 Los Angeles, CA 90067 310-201-9150 Fax: 310-201-9160 Email: [email protected] ATTORNEY TO BE NOTICED

Plaintiff Brayton Li Lead Plaintiff

represented by Alexa Mullarky (See above for address) TERMINATED: 06/19/2018 John Brandon Walker (See above for address) TERMINATED: 04/27/2017 PRO HAC VICE Kara M Wolke (See above for address) TERMINATED: 04/27/2017 Kevin F Ruf (See above for address) ATTORNEY TO BE NOTICED Melissa A Fortunato (See above for address) ATTORNEY TO BE NOTICED Robert Vincent Prongay (See above for address) ATTORNEY TO BE NOTICED Vahe Mesropyan (See above for address) ATTORNEY TO BE NOTICED

V.

Movant Justin T. Wagner represented by James I Jaconette

Robbins Geller Rudman & Dowd LLP 655 West Broadway Suite 1900 San Diego, CA 92101 619-231-1058 Fax: 619-231-7423 Email: [email protected] ATTORNEY TO BE NOTICED

Movant Kenneth Frye represented by James I Jaconette

(See above for address) ATTORNEY TO BE NOTICED

Movant Michael Hare represented by James I Jaconette

(See above for address) ATTORNEY TO BE NOTICED Patrice L Bishop Stull Stull and Brody 9430 West Olympic Boulevard Suite 400 Beverly Hills, CA 90212 310-209-2468 Fax: 310-209-2087 Email: [email protected] ATTORNEY TO BE NOTICED

Movant Norman Jacobs represented by James I Jaconette

(See above for address) ATTORNEY TO BE NOTICED Patrice L Bishop (See above for address) ATTORNEY TO BE NOTICED

Movant Craig Wiencek represented by James I Jaconette

(See above for address) ATTORNEY TO BE NOTICED

V.

Defendant

Nantkwest, Inc. represented by Boris Feldman Wilson Sonsini Goodrich and Rosati 650 Page Mill Road Palo Alto, CA 94304-1050 650-493-9300 Fax: 650-565-5100 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED Cynthia Ann Dy Wilson Sonsini Goodrich & Rosati 650 Page Mill Rd Palo Alto, CA 94304-1050 650-493-9300 Fax: 650-565-5100 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED Michael R Petrocelli Wilson Sonsin Goodrich and Rosati 650 Page Mill Road Palo Alto, CA 94304-1050 650-493-9300 Fax: 650-565-5100 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED Cali D Tran Wilson Sonsini Goodrich and Rosati LLP 650 Page Mill Road Palo Alto, CA 94304-1050 650-493-9300 Fax: 650-565-5100 Email: [email protected] ATTORNEY TO BE NOTICED Gideon A Schor Wilson Sonsini Goodrich and Rosati PC 1301 Avenue of the Americas 40th Floor New York, NY 10019 212-999-5800 Fax: 212-999-5899 Email: [email protected] PRO HAC VICE ATTORNEY TO BE NOTICED Olivia M Kim

Wilson Sonsini Goodrich and Rosati PC 633 West Fifth Street Suite 1550 Los Angeles, CA 90071-2027 323-210-2900 Fax: 866-974-7329 Email: [email protected] ATTORNEY TO BE NOTICED Sheryl S Bassin Wilson Sonsini Goodrich and Rosati PC 1301 Avenue of the Americas 40th Floor New York, NY 10019 212-497-7725 Fax: 212-999-5899 Email: [email protected] PRO HAC VICE ATTORNEY TO BE NOTICED

Defendant Patrick Soon-Shiong represented by Boris Feldman

(See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED Cynthia Ann Dy (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED Michael R Petrocelli (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED Cali D Tran (See above for address) ATTORNEY TO BE NOTICED Gideon A Schor (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Olivia M Kim (See above for address) ATTORNEY TO BE NOTICED Sheryl S Bassin (See above for address)

PRO HAC VICE ATTORNEY TO BE NOTICED

Defendant Richard J. Tajak TERMINATED: 08/04/2016

represented by Boris Feldman (See above for address) TERMINATED: 08/04/2016 LEAD ATTORNEY Cynthia Ann Dy (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED Michael R Petrocelli (See above for address) TERMINATED: 08/04/2016 LEAD ATTORNEY Cali D Tran (See above for address) TERMINATED: 08/04/2016

Defendant Angela Wilson TERMINATED: 08/04/2016

represented by Boris Feldman (See above for address) TERMINATED: 08/04/2016 LEAD ATTORNEY Cynthia Ann Dy (See above for address) TERMINATED: 08/04/2016 LEAD ATTORNEY Michael R Petrocelli (See above for address) TERMINATED: 08/04/2016 LEAD ATTORNEY Cali D Tran (See above for address) TERMINATED: 08/04/2016

Defendant Richard Gomberg represented by Boris Feldman

(See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED Cynthia Ann Dy

(See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED Michael R Petrocelli (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED Cali D Tran (See above for address) ATTORNEY TO BE NOTICED Gideon A Schor (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Olivia M Kim (See above for address) ATTORNEY TO BE NOTICED Sheryl S Bassin (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED

Defendant Barry J. Simon represented by Michael R Petrocelli

(See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED Boris Feldman (See above for address) ATTORNEY TO BE NOTICED Cali D Tran (See above for address) ATTORNEY TO BE NOTICED Gideon A Schor (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Olivia M Kim (See above for address) ATTORNEY TO BE NOTICED

Sheryl S Bassin (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED

Defendant Steve Gorlin represented by Michael R Petrocelli

(See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED Boris Feldman (See above for address) ATTORNEY TO BE NOTICED Cali D Tran (See above for address) ATTORNEY TO BE NOTICED Gideon A Schor (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Olivia M Kim (See above for address) ATTORNEY TO BE NOTICED Sheryl S Bassin (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED

Defendant Michael D. Blaszyk represented by Michael R Petrocelli

(See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED Boris Feldman (See above for address) ATTORNEY TO BE NOTICED Cali D Tran (See above for address) ATTORNEY TO BE NOTICED Gideon A Schor (See above for address) PRO HAC VICE

ATTORNEY TO BE NOTICED Olivia M Kim (See above for address) ATTORNEY TO BE NOTICED Sheryl S Bassin (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED

Defendant Henry Ji represented by Michael R Petrocelli


Defendant Richard Kusserow represented by Michael R Petrocelli

(See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED Boris Feldman (See above for address) ATTORNEY TO BE NOTICED Cali D Tran

(See above for address) ATTORNEY TO BE NOTICED Gideon A Schor (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Olivia M Kim (See above for address) ATTORNEY TO BE NOTICED Sheryl S Bassin (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED

Defendant John T. Potts, Jr. represented by Michael R Petrocelli


Defendant Robert Rosen represented by Michael R Petrocelli

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

Boris Feldman (See above for address) ATTORNEY TO BE NOTICED Cali D Tran (See above for address) ATTORNEY TO BE NOTICED Gideon A Schor (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Olivia M Kim (See above for address) ATTORNEY TO BE NOTICED Sheryl S Bassin (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED

Defendant John C. Thomas Jr. represented by Michael R Petrocelli


Defendant Merrill Lynch, Pierce, Fenner and Smith, Inc.

represented by George Michael Garvey Munger Tolles and Olson LLP 350 South Grand Avenue 50th Floor Los Angeles, CA 90071-3426 213-683-9100 Fax: 213-687-3702 Email: [email protected] ATTORNEY TO BE NOTICED James C Rutten Munger Tolles and Olson LLP 355 South Grand Avenue 35th Floor Los Angeles, CA 90071-1560 213-683-9100 Fax: 213-683-3702 Email: [email protected] ATTORNEY TO BE NOTICED Nicholas Stephen Dufau Munger Tolles and Olson LLP 350 South Grand Avenue 50th Floor Los Angeles, CA 90071 213-683-9541 Fax: 213-683-5147 ATTORNEY TO BE NOTICED Sara N Taylor Munger Tolles and Olson LLP 355 South Grand Avenue 35th Floor Los Angeles, CA 90071-1560 213-683-9247 Fax: 213-687-3702 Email: [email protected] TERMINATED: 02/12/2018

Defendant Citigroup Global Markets Inc. represented by George Michael Garvey

(See above for address) ATTORNEY TO BE NOTICED James C Rutten (See above for address) ATTORNEY TO BE NOTICED Nicholas Stephen Dufau (See above for address) ATTORNEY TO BE NOTICED Sara N Taylor

(See above for address) TERMINATED: 02/12/2018

Defendant Jefferies LLC represented by George Michael Garvey

(See above for address) ATTORNEY TO BE NOTICED James C Rutten (See above for address) ATTORNEY TO BE NOTICED Nicholas Stephen Dufau (See above for address) ATTORNEY TO BE NOTICED Sara N Taylor (See above for address) TERMINATED: 02/12/2018

Defendant Piper Jaffray and Co represented by George Michael Garvey

(See above for address) ATTORNEY TO BE NOTICED James C Rutten (See above for address) ATTORNEY TO BE NOTICED Nicholas Stephen Dufau (See above for address) ATTORNEY TO BE NOTICED Sara N Taylor (See above for address) TERMINATED: 02/12/2018

Defendant MLV and Co., LLC represented by George Michael Garvey

(See above for address) ATTORNEY TO BE NOTICED James C Rutten (See above for address) ATTORNEY TO BE NOTICED Nicholas Stephen Dufau (See above for address) ATTORNEY TO BE NOTICED

Sara N Taylor (See above for address) TERMINATED: 02/12/2018

Date Filed # Docket Text

03/22/2016 1 COMPLAINT Receipt No: 0973-17506490 - Fee: $400, filed by Plaintiff Sunil Sudunagunta. (Attachments: # 1 Certification, # 2 Schedule A) (Attorney Jennifer Pafiti added to party Sunil Sudunagunta(pty:pla))(Pafiti, Jennifer) (Entered: 03/22/2016)

03/22/2016 2 Request for Clerk to Issue Summons on Complaint (Attorney Civil Case Opening) 1 filed by Plaintiff Sunil Sudunagunta. (Pafiti, Jennifer) (Entered: 03/22/2016)

03/22/2016 3 CIVIL COVER SHEET filed by Plaintiff Sunil Sudunagunta. (Pafiti, Jennifer) (Entered: 03/22/2016)

03/22/2016 4 NOTICE of Interested Parties filed by Plaintiff Sunil Sudunagunta, identifying NONE. (Pafiti, Jennifer) (Entered: 03/22/2016)

03/22/2016 5 NOTICE OF ASSIGNMENT to District Judge Michael W. Fitzgerald and Magistrate Judge John E. McDermott. (et) (Entered: 03/22/2016)

03/22/2016 6 NOTICE TO PARTIES OF COURT-DIRECTED ADR PROGRAM filed. (et) (Entered: 03/22/2016)

03/22/2016 7 21 DAY Summons Issued re Complaint (Attorney Civil Case Opening) 1 as to Defendants Richard Gomberg, Nantkwest, Inc., Patrick Soon-Shiong, Richard J. Tajak, Angela Wilson. (et) (Entered: 03/22/2016)

03/22/2016 8 NOTICE OF FILING FEE DUE on Pro Hac Vice Application mailed to attorney Jeremy A Lieberman for Plaintiff Sunil Sudunagunta. re Complaint (Attorney Civil Case Opening) 1 . Pro Hac Vice application has not been received by the court. Please return your completed Application of Non-Resident Attorney to Appear in a Specific Case, form G-64, or a copy of the Notice of Electronic Filing of your application and the $325.00 fee and this notice immediately. Out-of-state federal government attorneys who are not employed by the U.S. Department of Justice are required to file a Pro Hac Vice application;no filing fee is required. You have been removed as counsel of record from this case for failure to submit this filing fee. (et) (Entered: 03/22/2016)

03/22/2016 9 NOTICE OF FILING FEE DUE on Pro Hac Vice Application mailed to attorney J Alexander Hood for Plaintiff Sunil Sudunagunta. re Complaint (Attorney Civil Case Opening) 1 . Pro Hac Vice application has not been received by the court. Please return your completed Application of Non-Resident Attorney to Appear in a Specific Case, form G-64, or a copy of the Notice of Electronic Filing of your application and the $325.00 fee and this notice immediately. Out-of-state federal government attorneys who are not employed by the U.S. Department of Justice are required to file a Pro Hac Vice application;no filing fee is required. You have been removed as counsel of record from this case for failure to submit this filing fee. (et) (Entered: 03/22/2016)

03/22/2016 10 NOTICE OF FILING FEE DUE on Pro Hac Vice Application mailed to attorney Marc Gorrie for Plaintiff Sunil Sudunagunta. re Complaint (Attorney Civil Case Opening) 1 . Pro Hac Vice application has not been received by the court. Please return your completed Application of Non-Resident Attorney to Appear in a Specific Case, form G-64, or a copy of the Notice of Electronic Filing of your application and the $325.00 fee and this notice immediately. Out-of-state federal government attorneys who are not employed by the U.S. Department of Justice are required to file a Pro Hac Vice application;no filing fee is required. You have been removed as counsel of record from this case for failure to submit this filing fee. (et) (Entered: 03/22/2016)

03/22/2016 11 NOTICE OF FILING FEE DUE on Pro Hac Vice Application mailed to attorney Patrick V Dahlstrom for Plaintiff Sunil Sudunagunta. re Complaint (Attorney Civil Case Opening) 1 . Pro Hac Vice application has not been received by the court. Please return your completed Application of Non-Resident Attorney to Appear in a Specific Case, form G-64, or a copy of the Notice of Electronic Filing of your application and the $325.00 fee and this notice immediately. Out-of-state federal government attorneys who are not employed by the U.S. Department of Justice are required to file a Pro Hac Vice application;no filing fee is required. You have been removed as counsel of record from this case for failure to submit this filing fee. (et) (Entered: 03/22/2016)

03/23/2016 12 APPLICATION for attorney Jeremy A. Lieberman to Appear Pro Hac Vice (PHV Fee of $325 receipt number 0973-17515314 paid.) filed by Plaintiff Sunil Sudunagunta. (Attachments: # 1 Certificate of Good Standing, # 2 Proposed Order) (Pafiti, Jennifer) (Entered: 03/23/2016)

03/24/2016 13 ORDER ON APPLICATION OF NON-RESIDENT ATTORNEY TO APPEAR IN A SPECIFIC CASE PRO HAC VICE by Judge Michael W. Fitzgerald: granting 12 APPLICATION to Appear Pro Hac Vice by Attorney Jeremy A. Lieberman on behalf of Plaintiff, designating Jennifer Pafiti as local counsel. (lt) (Entered: 03/24/2016)

03/31/2016 14 APPLICATION for attorney J. Alexander Hood to Appear Pro Hac Vice (PHV Fee of $325 receipt number 0973-17562545 paid.) filed by Plaintiff Sunil Sudunagunta. (Attachments: # 1 Certificate of Good Standing, # 2 Proposed Order) (Pafiti, Jennifer) (Entered: 03/31/2016)

03/31/2016 15 APPLICATION for attorney Patrick V. Dahlstrom to Appear Pro Hac Vice (PHV Fee of $325 receipt number 0973-17562711 paid.) filed by Plaintiff Sunil Sudunagunta. (Attachments: # 1 Proposed Order, # 2 Certificate of Good Standing) (Pafiti, Jennifer) (Entered: 03/31/2016)

04/01/2016 16 ORDER ON APPLICATION OF NON-RESIDENT ATTORNEY TO APPEAR IN A SPECIFIC CASE PRO HAC VICE by Judge Michael W. Fitzgerald: granting 14 APPLICATION to Appear Pro Hac Vice by Attorney J. Alexander Hood on behalf of Plaintiff, designating Jennifer Pafiti as local counsel. (lt) (Entered: 04/04/2016)

04/01/2016 17 ORDER ON APPLICATION OF NON-RESIDENT ATTORNEY TO APPEAR IN A SPECIFIC CASE PRO HAC VICE by Judge Michael W. Fitzgerald: granting 15 APPLICATION to Appear Pro Hac Vice by Attorney Patrick V. Dahlstrom on

behalf of Plaintiff, designating Jennifer Pafiti as local counsel. (lt) (Entered: 04/04/2016)

04/28/2016 18 WAIVER OF SERVICE Returned Executed filed by Plaintiff Sunil Sudunagunta. upon Angela Wilson waiver sent by Plaintiff on 3/29/2016, answer due 5/31/2016. Waiver of Service signed by Cynthia Dy. (Pafiti, Jennifer) (Entered: 04/28/2016)

04/28/2016 19 WAIVER OF SERVICE Returned Executed filed by Plaintiff Sunil Sudunagunta. upon Richard J. Tajak waiver sent by Plaintiff on 3/29/2016, answer due 5/31/2016. Waiver of Service signed by Cynthia Dy. (Pafiti, Jennifer) (Entered: 04/28/2016)

04/28/2016 20 WAIVER OF SERVICE Returned Executed filed by Plaintiff Sunil Sudunagunta. upon Patrick Soon-Shiong waiver sent by Plaintiff on 3/29/2016, answer due 5/31/2016. Waiver of Service signed by Cynthia Dy. (Pafiti, Jennifer) (Entered: 04/28/2016)

04/28/2016 21 WAIVER OF SERVICE Returned Executed filed by Plaintiff Sunil Sudunagunta. upon Richard Gomberg waiver sent by Plaintiff on 3/29/2016, answer due 5/31/2016. Waiver of Service signed by Cynthia Dy. (Pafiti, Jennifer) (Entered: 04/28/2016)

04/28/2016 22 WAIVER OF SERVICE Returned Executed filed by Plaintiff Sunil Sudunagunta. upon Nantkwest, Inc. waiver sent by Plaintiff on 3/29/2016, answer due 5/31/2016. Waiver of Service signed by Cynthia Dy. (Pafiti, Jennifer) (Entered: 04/28/2016)

05/23/2016 23 NOTICE OF MOTION AND MOTION for Appointment of Counsel , NOTICE OF MOTION AND MOTION to Consolidate Cases, as to 16-cv-1947-MWF and 16-cv-3438-GHK, filed by Movants Donald Hu, Brayton Li. Motion set for hearing on 6/20/2016 at 10:00 AM before Judge Michael W. Fitzgerald. (Attachments: # 1 Proposed Order) (Attorney Robert Vincent Prongay added to party Donald Hu(pty:mov), Attorney Robert Vincent Prongay added to party Brayton Li(pty:mov)) (Prongay, Robert) (Entered: 05/23/2016)

05/23/2016 24 MEMORANDUM in Support of NOTICE OF MOTION AND MOTION for Appointment of Counsel NOTICE OF MOTION AND MOTION to Consolidate Cases, as to 16-cv-1947-MWF and 16-cv-3438-GHK, 23 filed by Movants Donald Hu, Brayton Li. (Prongay, Robert) (Entered: 05/23/2016)

05/23/2016 25 DECLARATION of Robert V. Prongay In Support of NOTICE OF MOTION AND MOTION for Appointment of Counsel NOTICE OF MOTION AND MOTION to Consolidate Cases, as to 16-cv-1947-MWF and 16-cv-3438-GHK, 23 filed by Movants Donald Hu, Brayton Li. (Attachments: # 1 Exhibit A - Press Release, # 2 Exhibit B - Certifications, # 3 Exhibit C - Loss Chart, # 4 Exhibit D - Firm Resume, # 5 Exhibit E - Firm Resume, # 6 Exhibit F - Firm Resume)(Prongay, Robert) (Entered: 05/23/2016)

05/23/2016 26 NOTICE of Interested Parties filed by Movants Donald Hu, Brayton Li, (Prongay, Robert) (Entered: 05/23/2016)

05/27/2016 27 Notice of Appearance or Withdrawal of Counsel: for attorney Cali D Tran counsel for Defendants Richard Gomberg, Nantkwest, Inc., Patrick Soon-Shiong, Richard J. Tajak, Angela Wilson. Adding BORIS FELDMAN as counsel of record for NantKwest, Inc., Patrick Soon-Shiong, Richard J. Tajak, Angela Wilson and

Richard Gomberg for the reason indicated in the G-123 Notice. Filed by Defendants NantKwest, Inc., Patrick Soon-Shiong, Richard J. Tajak, Angela Wilson, and Richard Gomberg. (Attorney Cali D Tran added to party Richard Gomberg(pty:dft), Attorney Cali D Tran added to party Nantkwest, Inc.(pty:dft), Attorney Cali D Tran added to party Patrick Soon-Shiong(pty:dft), Attorney Cali D Tran added to party Richard J. Tajak(pty:dft), Attorney Cali D Tran added to party Angela Wilson(pty:dft))(Tran, Cali) (Entered: 05/27/2016)

05/27/2016 28 Notice of Appearance or Withdrawal of Counsel: for attorney Cali D Tran counsel for Defendants Richard Gomberg, Nantkwest, Inc., Patrick Soon-Shiong, Richard J. Tajak, Angela Wilson. Adding Cali Tran as counsel of record for NantKwest, Inc., Patrick Soon-Shiong, Richard J. Tajak, Angela Wilson and Richard Gomberg for the reason indicated in the G-123 Notice. Filed by Defendants NantKwest, Inc., Patrick Soon-Shiong, Richard J. Tajak, Angela Wilson, and Richard Gomberg. (Tran, Cali) (Entered: 05/27/2016)

05/27/2016 29 Notice of Appearance or Withdrawal of Counsel: for attorney Cali D Tran counsel for Defendants Richard Gomberg, Nantkwest, Inc., Patrick Soon-Shiong, Richard J. Tajak, Angela Wilson. Adding Cynthia A. Dy as counsel of record for NantKwest, Inc., Patrick Soon-Shiong, Richard J. Tajak, Angela Wilson and Richard Gomberg for the reason indicated in the G-123 Notice. Filed by Defendants NantKwest, Inc., Patrick Soon-Shiong, Richard J. Tajak, Angela Wilson, and Richard Gomberg. (Tran, Cali) (Entered: 05/27/2016)

05/27/2016 30 Notice of Appearance or Withdrawal of Counsel: for attorney Cali D Tran counsel for Defendants Richard Gomberg, Nantkwest, Inc., Patrick Soon-Shiong, Richard J. Tajak, Angela Wilson. Adding Michael R. Petrocelli as counsel of record for NantKwest, Inc., Patrick Soon-Shiong, Richard J. Tajak, Angela Wilson and Richard Gomberg for the reason indicated in the G-123 Notice. Filed by Defendants NantKwest, Inc., Patrick Soon-Shiong, Richard J. Tajak, Angela Wilson, and Richard Gomberg. (Tran, Cali) (Entered: 05/27/2016)

05/27/2016 31 CORPORATE DISCLOSURE STATEMENT and Notice of Interested Parties filed by Defendants Richard Gomberg, Nantkwest, Inc., Patrick Soon-Shiong, Richard J. Tajak, Angela Wilson (Tran, Cali) (Entered: 05/27/2016)

05/27/2016 32 STIPULATION to Consolidate Cases as to 2:16-cv-01947-MWF-JEM; 2:16-cv-03438-GHK-JEM, STIPULATION for Extension of Time to File Response as to Complaint (Attorney Civil Case Opening) 1 filed by Defendants Richard Gomberg, Nantkwest, Inc., Patrick Soon-Shiong, Richard J. Tajak, Angela Wilson. (Attachments: # 1 Proposed Order)(Tran, Cali) (Entered: 05/27/2016)

06/03/2016 33 ORDER RE CONSOLIDATION OF RELATED ACTIONS AND EXTENSION OF TIME TO RESPOND 32 by Judge Michael W. Fitzgerald as follows: The two actions, Sudunagunta v. NantKwest, Inc., et al., Case No.: 2:16-cv-01947-MWF-JEM and Forsythe v. NantKwest, Inc., et al., Case. No. 2:16-cv-03438-GHK-JEM, are consolidated; and Defendants need not respond to the complaint until after (i) a lead plaintiff and lead counsel are appointed by the Court pursuant to the Reform Act, (ii) the lead plaintiff serves an operative complaint; and (iii) lead plaintiff and Defendants have conferred in good faith and agreed to a schedule for Defendants to respond to the operative complaint. (jp) (Entered: 06/03/2016)

06/14/2016 34 ORDER CONSOLIDATING THE RELATED CASES, APPOINTING DONALD HU AND BRAYTON LI AS LEAD PLAINTIFF AND APPROVING THEIR SELECTION OF COUNSEL 23 by Judge Michael W. Fitzgerald. IT IS HEREBY ORDERED THAT: 1. The Motion is GRANTED; 2. Donald Hu and Brayton Li are APPOINTED to serve as Lead Plaintiff pursuant to Section 21D(a)(3)(B) of the Securities Exchange Act of 1934, 15 U.S.C. § 78u-4(a)(3)(B), as amended by the Private Securities Litigation Reform Act of 1995, in the above-captioned actions; 3. Pursuant to 15 U.S.C. §78u-4(a)(3)(B)(v), Donald Hu and Brayton Lis selection of lead counsel is APPROVED, and Pomerantz LLP and Bragar Eagel & Squire, P.C are APPOINTED as Co-Lead Counsel and Glancy Prongay & Murray LLP is APPOINTED as Liaison Counsel for the Class in the above-captioned actions. (lom) (Entered: 06/14/2016)

07/01/2016 35 Joint STIPULATION for Order Regarding Filing of Consolidated Complaint and Motion to Dismiss Briefing Schedule filed by Lead Plaintiffs Donald Hu, Brayton Li. (Attachments: # 1 Proposed Order)(Prongay, Robert) (Entered: 07/01/2016)

07/05/2016 36 ORDER GRANTING STIPULATION REGARDING FILING OF CONSOLIDATED COMPLAINT AND MOTION TO DISMISS BRIEFING SCHEDULE by Judge Michael W. Fitzgerald, re Stipulation for Order 35 Lead Plaintiffs shall file, or designate, an operative consolidated classaction complaint, 30 days from the date of this Order (see attached for further details) (pj) (Entered: 07/06/2016)

07/07/2016 37 APPLICATION of Non-Resident Attorney Omar Jafri to Appear Pro Hac Vice on behalf of Plaintiff Sunil Sudunagunta (Pro Hac Vice Fee - Fee Paid, Receipt No. 0973-18143339) filed by Plaintiff Sunil Sudunagunta. (Attachments: # 1 Certificate o f Good Standing, # 2 Proposed Order) (Pafiti, Jennifer) (Entered: 07/07/2016)

07/08/2016 38 NOTICE TO FILER OF DEFICIENCIES in Electronically Filed Documents RE: APPLICATION of Non-Resident Attorney Omar Jafri to Appear Pro Hac Vice on behalf of Plaintiff Sunil Sudunagunta (Pro Hac Vice Fee - Fee Paid, Receipt No. 0973-18143339) 37 . The following error(s) was found: Other error(s) with document(s) are specified below: Form is out-of-date. Attorney failed to use current form and Proposed Order. Form was updated and amended as of May 1, 2016. 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. (lt) (Entered: 07/08/2016)

07/11/2016 39 RESPONSE BY THE COURT TO NOTICE TO FILER OF DEFICIENCIES IN ELECTRONICALLY FILED DOCUMENTS RE: APPLICATION of Non-Resident Attorney Omar Jafri to Appear Pro Hac Vice on behalf of Plaintiff Sunil Sudunagunta (Pro Hac Vice Fee - Fee Paid, Receipt No. 0973-18143339) 37 by Judge Michael W. Fitzgerald. The application is stricken. Counsel are to re-file using the correct form. (jp) (Entered: 07/11/2016)

07/11/2016 40 Notice of Appearance or Withdrawal of Counsel: for attorney Kara M Wolke counsel for Plaintiffs Donald Hu, Brayton Li. Adding Kara M. Wolke as counsel of record for Lead Plaintiffs Donald Hu and Brayton Li for the reason indicated in the G-123 Notice. Filed by Lead Plaintiffs Donald Hu and Brayton Li. (Attorney Kara

M Wolke added to party Donald Hu(pty:pla), Attorney Kara M Wolke added to party Brayton Li(pty:pla))(Wolke, Kara) (Entered: 07/11/2016)

07/11/2016 41 Notice of Appearance or Withdrawal of Counsel: for attorney Kevin F Ruf counsel for Plaintiffs Donald Hu, Brayton Li. Adding Kevin F. Ruf as counsel of record for Lead Plaintiffs Donald Hu and Brayton Li for the reason indicated in the G-123 Notice. Filed by Lead Plaintiffs Donald Hu and Brayton Li. (Attorney Kevin F Ruf added to party Donald Hu(pty:pla), Attorney Kevin F Ruf added to party Brayton Li(pty:pla))(Ruf, Kevin) (Entered: 07/11/2016)

07/11/2016 42 Notice of Appearance or Withdrawal of Counsel: for attorney Alexa Mullarky counsel for Plaintiffs Donald Hu, Brayton Li. Adding Alexa J. Mullarky as counsel of record for Lead Plaintiffs Donald Hu and Brayton Li for the reason indicated in the G-123 Notice. Filed by Lead Plaintiffs Donald Hu and Brayton Li. (Attorney Alexa Mullarky added to party Donald Hu(pty:pla), Attorney Alexa Mullarky added to party Brayton Li(pty:pla))(Mullarky, Alexa) (Entered: 07/11/2016)

07/12/2016 43 APPLICATION of Non-Resident Attorney John Brandon Walker to Appear Pro Hac Vice on behalf of Plaintiff Donald Hu (Pro Hac Vice Fee - Fee Paid, Receipt No. 0973-18172629) filed by Lead Plaintiff Donald Hu. (Attachments: # 1 Exhibit - Certi ficates of Good Standing, # 2 Proposed Order) (Prongay, Robert) (Entered: 07/12/2016)

07/12/2016 44 APPLICATION of Non-Resident Attorney Todd H. Henderson to Appear Pro Hac Vice on behalf of Plaintiff Donald Hu (Pro Hac Vice Fee - Fee Paid, Receipt No. 0973-18172869) filed by Lead Plaintiff Donald Hu. (Attachments: # 1 Exhibit - Certifi cate of Good Standing, # 2 Proposed Order) (Prongay, Robert) (Entered: 07/12/2016)

07/13/2016 45 Corrected APPLICATION of Non-Resident Attorney Omar Jafri to Appear Pro Hac Vice on behalf of Plaintiff Sunil Sudunagunta (Pro Hac Vice Fee - $325.00 Previously Paid on 7/7/2016, Receipt No. 0973-18143339) filed by Plaintiff Sunil Sudunagunta. (Attachments: # 1 Certificate of Good Standing, # 2 Proposed Order) (Pafiti, Jennifer) (Entered: 07/13/2016)

07/18/2016 46 ORDER ON APPLICATION OF NONRESIDENT ATTORNEY TO APPEAR IN A SPECIFIC CASE PRO HAC VICE by Judge Michael W. Fitzgerald: granting 43 Non-Resident Attorney John B Walker APPLICATION to Appear Pro Hac Vice on behalf of Plaintiff Donald Hu, designating Robert V Prongay as local counsel. (jp) (Entered: 07/18/2016)

07/18/2016 47 ORDER ON APPLICATION OF NONRESIDENT ATTORNEY TO APPEAR IN A SPECIFIC CASE PRO HAC VICE by Judge Michael W. Fitzgerald: granting 44 Non-Resident Attorney Todd H Henderson APPLICATION to Appear Pro Hac Vice on behalf of Plaintiff Donald Hu, designating Robert V Prongay as local counsel. (jp) (Entered: 07/18/2016)

07/18/2016 48 ORDER ON APPLICATION OF NONRESIDENT ATTORNEY TO APPEAR IN A SPECIFIC CASE PRO HAC VICE by Judge Michael W. Fitzgerald: granting 45 Non-Resident Attorney Omar Jafri APPLICATION to Appear Pro Hac Vice on behalf of Plaintiff Sunil Sudunagunta, designating Jennifer Pafiti as local counsel. (jp) (Entered: 07/18/2016)

08/04/2016 49 CONSOLIDATED COMPLAINT [Consolidated Amended Class Action Complaint for Violations of the Federal Securities Laws] related to: 1 Complaint (Attorney Civil Case Opening), filed by Lead Plaintiffs Donald Hu, Brayton Li(Wolke, Kara) (Entered: 08/04/2016)

08/04/2016 50 Request for Clerk to Issue Summons on Consolidated Complaint 49 filed by Lead Plaintiffs Donald Hu, Brayton Li. (Wolke, Kara) (Entered: 08/04/2016)






08/04/2016 56 NOTICE OF DISMISSAL filed by Lead Plaintiffs Donald Hu, Brayton Li pursuant to FRCP 41a(1) as to Richard J. Tajak, Angela Wilson. (Wolke, Kara) (Entered: 08/04/2016)

08/05/2016 57 NOTICE OF DEFICIENCIES in Request to Issue Summons RE: Summons Request 50 , 51 , 52 , Summons Request 53 , 54 , and 55 . The following error(s) was found: The caption of the summons must match the caption of the complaint verbatim. If the caption is too large to fit in the space provided, enter the name of the first party and then write see attached.Next, attach a face page of the complaint or a second page addendum to the Summons. The summons cannot be issued until this defect has been corrected. Please correct the defect and re-file your request. (jp) (Entered: 08/05/2016)


08/08/2016 59 21 DAY Summons Issued re Consolidated Complaint 49 as to defendants Michael D. Blaszyk, Citigroup Global Markets Inc., Richard Gomberg, Steve Gorlin, Ji Henri, Jefferies LLC, Richard Kusserow, MLV & Co., LLC, Merrill Lynch, Pierce, Fenner & Smith, Inc., Nantkwest, Inc., Piper Jaffray & Co., John T. Potts, Jr., Robert Rosen, Barry J. Simon, Patrick Soon-Shiong, John C. Thomas Jr. (jp) (Entered: 08/08/2016)

08/23/2016 60 WAIVER OF SERVICE Returned Executed filed by Lead Plaintiffs Donald Hu, Brayton Li. upon Michael D. Blaszyk waiver sent by Plaintiff on 8/10/2016, answer due 10/11/2016; Steve Gorlin waiver sent by Plaintiff on 8/10/2016, answer due 10/11/2016; Ji Henri waiver sent by Plaintiff on 8/10/2016, answer due 10/11/2016; Richard Kusserow waiver sent by Plaintiff on 8/10/2016, answer due 10/11/2016; John T. Potts, Jr. waiver sent by Plaintiff on 8/10/2016, answer due 10/11/2016; Robert Rosen waiver sent by Plaintiff on 8/10/2016, answer due 10/11/2016; Barry J. Simon waiver sent by Plaintiff on 8/10/2016, answer due 10/11/2016; John C.

Thomas Jr. waiver sent by Plaintiff on 8/10/2016, answer due 10/11/2016. Waiver of Service signed by Cynthia Ann Dy - Counsel for Defendants. (Wolke, Kara) (Entered: 08/23/2016)

08/31/2016 61 WAIVER OF SERVICE Returned Executed filed by Lead Plaintiffs Donald Hu, Brayton Li. upon Citigroup Global Markets Inc. waiver sent by Plaintiff on 8/17/2016, answer due 10/17/2016; Jefferies LLC waiver sent by Plaintiff on 8/17/2016, answer due 10/17/2016; MLV & Co., LLC waiver sent by Plaintiff on 8/17/2016, answer due 10/17/2016; Merrill Lynch, Pierce, Fenner & Smith, Inc. waiver sent by Plaintiff on 8/17/2016, answer due 10/17/2016; Piper Jaffray & Co. waiver sent by Plaintiff on 8/17/2016, answer due 10/17/2016. Waiver of Service signed by George M. Garvey, Counsel for Defendants. (Wolke, Kara) (Entered: 08/31/2016)

09/01/2016 62 Joint STIPULATION Extending Time to Answer the complaint as to Nantkwest, Inc. answer now due 10/6/2016; Michael D. Blaszyk answer now due 10/6/2016; Citigroup Global Markets Inc. answer now due 10/6/2016; Richard Gomberg answer now due 10/6/2016; Steve Gorlin answer now due 10/6/2016; Ji Henri answer now due 10/6/2016; Jefferies LLC answer now due 10/6/2016; Richard Kusserow answer now due 10/6/2016; MLV & Co., LLC answer now due 10/6/2016; Merrill Lynch, Pierce, Fenner & Smith, Inc. answer now due 10/6/2016; Piper Jaffray & Co. answer now due 10/6/2016; John T. Potts, Jr. answer now due 10/6/2016; Robert Rosen answer now due 10/6/2016; Barry J. Simon answer now due 10/6/2016; Patrick Soon-Shiong answer now due 10/6/2016; John C. Thomas Jr. answer now due 10/6/2016, filed by Defendant Nantkwest, Inc.. (Attachments: # 1 Proposed Order)(Petrocelli, Michael) (Entered: 09/01/2016)

09/02/2016 63 ORDER GRANTING STIPULATION TO CONSOLIDATE AND MOVE RESPONSE DEADLINES TOCONSOLIDATED COMPLAINT AND SET CONSOLIDATED BRIEFING SCHEDULE 62 by Judge Michael W. Fitzgerald. All Defendants shall answer, move against, or otherwise respond to the Complaint on or before October 6, 2016. IT IS SO ORDERED. See order for details. (jy) (Entered: 09/02/2016)

10/03/2016 64 EX PARTE APPLICATION for Relief from Briefing Schedule re Order, 63 Plaintiffs Justin T. Wagner, Kenneth Frye, Michael Hare, Norman Jacobs, and Craig Wiencek's Ex Parte Application to Stay Briefing Schedule filed by Movants Justin T. Wagner, Kenneth Frye, Michael Hare, Norman Jacobs, Craig Wiencek. (Attachments: # 1 Declaration of James I. Jaconette, # 2 Proposed Order) (Attorney James I Jaconette added to party Justin T. Wagner(pty:mov), Attorney James I Jaconette added to party Kenneth Frye(pty:mov), Attorney James I Jaconette added to party Michael Hare(pty:mov), Attorney James I Jaconette added to party Norman Jacobs(pty:mov), Attorney James I Jaconette added to party Craig Wiencek(pty:mov)) (Jaconette, James) (Entered: 10/03/2016)

10/04/2016 65 OPPOSITION to EX PARTE APPLICATION for Relief from Briefing Schedule re Order, 63 Plaintiffs Justin T. Wagner, Kenneth Frye, Michael Hare, Norman Jacobs, and Craig Wiencek's Ex Parte Application to Stay Briefing Schedule 64 filed by Plaintiffs Donald Hu, Brayton Li. (Wolke, Kara) (Entered: 10/04/2016)

10/04/2016 66 DECLARATION of Casey E. Sadler re Response in Opposition to Motion, 65 filed by Plaintiffs Donald Hu, Brayton Li. (Attachments: # 1 Exhibit A - Press Release)(Wolke, Kara) (Entered: 10/04/2016)

10/04/2016 67 DECLARATION of Joshua B. Silverman re Response in Opposition to Motion, 65 filed by Plaintiffs Donald Hu, Brayton Li. (Attachments: # 1 Exhibit A - Email, # 2 Exhibit B - Proposed Consolidation Stipulation, # 3 Exhibit C - Minute Order)(Wolke, Kara) (Entered: 10/04/2016)

10/05/2016 68 NOTICE OF MOTION AND MOTION to Consolidate Cases, as to 2:16-cv-06703-MWF-JEM; 2:16-cv-06697-MWF-JEM; 2:16-cv-06705-MWF-JEM; 2:16-cv-06700-MWF-JEM, filed by Defendants Michael D. Blaszyk, Richard Gomberg, Steve Gorlin, Ji Henri, Richard Kusserow, Nantkwest, Inc., John T. Potts, Jr., Robert Rosen, Barry J. Simon, Patrick Soon-Shiong, John C. Thomas Jr.. Motion set for hearing on 11/7/2016 at 10:00 AM before Judge Michael W. Fitzgerald. (Attachments: # 1 Memorandum of Points and Authorities, # 2 Proposed Order) (Attorney Cali D Tran added to party Michael D. Blaszyk(pty:dft), Attorney Cali D Tran added to party Steve Gorlin(pty:dft), Attorney Cali D Tran added to party Ji Henri(pty:dft), Attorney Cali D Tran added to party Richard Kusserow(pty:dft), Attorney Cali D Tran added to party John T. Potts, Jr.(pty:dft), Attorney Cali D Tran added to party Robert Rosen(pty:dft), Attorney Cali D Tran added to party Barry J. Simon(pty:dft), Attorney Cali D Tran added to party John C. Thomas Jr.(pty:dft)) (Tran, Cali) (Entered: 10/05/2016)

10/06/2016 69 NOTICE OF NON-OPPOSITION to NOTICE OF MOTION AND MOTION to Consolidate Cases, as to 2:16-cv-06703-MWF-JEM; 2:16-cv-06697-MWF-JEM; 2:16-cv-06705-MWF-JEM; 2:16-cv-06700-MWF-JEM, 68 filed by Plaintiffs Donald Hu, Brayton Li. (Wolke, Kara) (Entered: 10/06/2016)

10/06/2016 70 NOTICE OF MOTION AND MOTION to Dismiss Case for Violations of the Federal Securities Laws filed by defendants Michael D. Blaszyk, Richard Gomberg, Steve Gorlin, Ji Henri, Richard Kusserow, Nantkwest, Inc., John T. Potts, Jr., Robert Rosen, Barry J. Simon, Patrick Soon-Shiong, John C. Thomas Jr.. Motion set for hearing on 12/5/2016 at 10:00 AM before Judge Michael W. Fitzgerald. (Attachments: # 1 Memorandum in Support of Motion to Dismiss Consolidated Complaint, # 2 Declaration of Michael Petrocelli, # 3 Exhibit A, # 4 Exhibit B, # 5 Exhibit C, # 6 Exhibit D, # 7 Exhibit E, # 8 Exhibit F, # 9 Exhibit G, # 10 Exhibit H, # 11 Exhibit I, # 12 Proposed Order) (Attorney Boris Feldman added to party Michael D. Blaszyk(pty:dft), Attorney Boris Feldman added to party Steve Gorlin(pty:dft), Attorney Boris Feldman added to party Ji Henri(pty:dft), Attorney Boris Feldman added to party Richard Kusserow(pty:dft), Attorney Boris Feldman added to party John T. Potts, Jr.(pty:dft), Attorney Boris Feldman added to party Robert Rosen(pty:dft), Attorney Boris Feldman added to party Barry J. Simon(pty:dft), Attorney Boris Feldman added to party John C. Thomas Jr.(pty:dft)) (Feldman, Boris) (Entered: 10/06/2016)

10/06/2016 71 REQUEST FOR JUDICIAL NOTICE re NOTICE OF MOTION AND MOTION to Dismiss Case for Violations of the Federal Securities Laws 70 filed by Defendants Michael D. Blaszyk, Richard Gomberg, Steve Gorlin, Ji Henri, Richard Kusserow, Nantkwest, Inc., John T. Potts, Jr., Robert Rosen, Barry J. Simon, Patrick Soon-Shiong, John C. Thomas Jr.. (Feldman, Boris) (Entered: 10/06/2016)

10/06/2016 72 JOINDER in NOTICE OF MOTION AND MOTION to Dismiss Case for Violations of the Federal Securities Laws 70 filed by Defendants Citigroup Global Markets Inc., Jefferies LLC, MLV & Co., LLC, Merrill Lynch, Pierce, Fenner & Smith, Inc., Piper Jaffray & Co.. (Attorney Sara N Taylor added to party Citigroup Global Markets Inc.(pty:dft), Attorney Sara N Taylor added to party Jefferies LLC(pty:dft), Attorney Sara N Taylor added to party MLV & Co., LLC(pty:dft), Attorney Sara N Taylor added to party Merrill Lynch, Pierce, Fenner & Smith, Inc.(pty:dft), Attorney Sara N Taylor added to party Piper Jaffray & Co.(pty:dft))(Taylor, Sara) (Entered: 10/06/2016)

10/07/2016 73 MINUTES (IN CHAMBERS): ORDER DENYING Plaintiffs Ex Parte Application to Stay Briefing Schedule 64 by Judge Michael W. Fitzgerald: The Related Plaintiffs lack standing and thus the Application is DENIED. The Related Plaintiffs filed four putative class actions in state court, which were subsequently removed to federal court. (jp) (Entered: 10/07/2016)

10/07/2016 74 NOTICE OF MOTION AND MOTION for Relief from the Court's June 14, 2016 Order Consolidating Cases and Appointing Lead Plaintiff (Motion to Require Republication of Notice to Class Members) re Order on Motion for Appointment of Counsel,,,, Order on Motion to Consolidate Cases,,, 34 filed by Plaintiff Movants Kenneth Frye, Michael Hare, Norman Jacobs, Justin T. Wagner, Craig Wiencek. Motion set for hearing on 11/7/2016 at 10:00 AM before Judge Michael W. Fitzgerald. (Attachments: # 1 Memorandum, # 2 Declaration of James I. Jaconette, # 3 Exhibit A to Declaration of James I. Jaconette, # 4 Proposed Order) (Jaconette, James) (Entered: 10/07/2016)

10/11/2016 75 APPLICATION of Non-Resident Attorney Joshua B. Silverman to Appear Pro Hac Vice on behalf of Plaintiff Sunil Sudunagunta (Pro Hac Vice Fee - Fee Paid, Receipt No. 0973-18692744) filed by Plaintiff Sunil Sudunagunta. (Attachments: # 1 Cert ificate of Good Standing, # 2 Proposed Order) (Pafiti, Jennifer) (Entered: 10/11/2016)

10/11/2016 76 ORDER GRANTING Nantkwest Defendants MOTION to Consolidate Related Cases 68 by Judge Michael W. Fitzgerald that the following cases are consolidated: Sudunagunta v. NantKwest, Inc. et al, Case No. 2:16-cv-01947-MWF-JEM (consolidated action); Wagner v. NantKwest, Inc., et al., Case No. 2:16-cv-06703-MWF-JEM; Hare v. NantKwest, Inc., et al., Case No. 2:16-cv-06697-MWF-JEM; Wiencek v. NantKwest, Inc., et al., Case No. 2:16-cv-06705-MWF-JEM; Frye v. NantKwest, Inc., et al., Case No. 2:16-cv-06700-MWF-JEM. (jp) (Entered: 10/11/2016)

10/12/2016 77 ORDER ON APPLICATION OF NON-RESIDENT ATTORNEY TO APPEAR IN A SPECIFIC CASE PRO HAC VICE by Judge Michael W. Fitzgerald: granting 75 Non-Resident Attorney Joshua B Silverman APPLICATION to Appear Pro Hac Vice on behalf of Plaintiff Sunil Sudunagunta, designating Jennifer Pafiti as local counsel. (jp) (Entered: 10/12/2016)

10/17/2016 78 OPPOSITION to NOTICE OF MOTION AND MOTION for Relief from the Court's June 14, 2016 Order Consolidating Cases and Appointing Lead Plaintiff (Motion to Require Republication of Notice to Class Members) re Order on Motion for Appointment of Counsel,,,, Order o 74 filed by Plaintiffs Donald Hu, Brayton Li. (Wolke, Kara) (Entered: 10/17/2016)

10/17/2016 79 DECLARATION of Kara M. Wolke re Response in Opposition to Motion, 78 filed by Plaintiffs Donald Hu, Brayton Li. (Attachments: # 1 Exhibit A - Press Release)(Wolke, Kara) (Entered: 10/17/2016)

10/18/2016 80 CORPORATE DISCLOSURE STATEMENT AND NOTICE OF INTERESTED PARTIES [FED. R. CIV. P. 7.1; LOCAL CIVIL RULE 7.1-1] filed by Defendants Citigroup Global Markets Inc., Jefferies LLC, MLV & Co., LLC, Merrill Lynch, Pierce, Fenner & Smith, Inc., Piper Jaffray & Co. (Taylor, Sara) (Entered: 10/18/2016)

10/19/2016 81 CORPORATE DISCLOSURE STATEMENT CORRECTED filed by Defendants Citigroup Global Markets Inc., Jefferies LLC, MLV & Co., LLC, Merrill Lynch, Pierce, Fenner & Smith, Inc., Piper Jaffray & Co. (Taylor, Sara) (Entered: 10/19/2016)

10/21/2016 82 Notice of Appearance or Withdrawal of Counsel: for attorney Patrice L Bishop counsel for Movants Michael Hare, Norman Jacobs. Adding Patrice L. Bishop as counsel of record for Michael Hare and Norman Jacobs for the reason indicated in the G-123 Notice. Filed by Plaintiffs Michael Hare and Norman Jacobs. (Attorney Patrice L Bishop added to party Michael Hare(pty:mov), Attorney Patrice L Bishop added to party Norman Jacobs(pty:mov))(Bishop, Patrice) (Entered: 10/21/2016)

10/24/2016 83 SCHEDULING NOTICE by Judge Michael W. Fitzgerald. On the Court's own motion, the Motion for Relief from the Court's June 14, 2016 Order Consolidating Cases and Appointing Lead Plaintiff 74 , is continued to 12/5/2016 at 10:00 AM. IT IS SO ORDERED. THERE IS NO PDF DOCUMENT ASSOCIATED WITH THIS ENTRY.(rs) TEXT ONLY ENTRY (Entered: 10/24/2016)

10/24/2016 84 REPLY in support of NOTICE OF MOTION AND MOTION for Relief from the Court's June 14, 2016 Order Consolidating Cases and Appointing Lead Plaintiff (Motion to Require Republication of Notice to Class Members) re Order on Motion for Appointment of Counsel,,,, Order o 74 filed by Movants Kenneth Frye, Michael Hare, Norman Jacobs, Justin T. Wagner, Craig Wiencek. (Jaconette, James) (Entered: 10/24/2016)

10/24/2016 85 DECLARATION of Norman Jacobs in support of NOTICE OF MOTION AND MOTION for Relief from the Court's June 14, 2016 Order Consolidating Cases and Appointing Lead Plaintiff (Motion to Require Republication of Notice to Class Members) re Order on Motion for Appointment of Counsel,,,, Order o 74 filed by Movants Kenneth Frye, Michael Hare, Norman Jacobs, Justin T. Wagner, Craig Wiencek. (Jaconette, James) (Entered: 10/24/2016)

10/26/2016 86 OPPOSITION to NOTICE OF MOTION AND MOTION to Dismiss Case for Violations of the Federal Securities Laws 70 filed by Plaintiffs Donald Hu, Brayton Li. (Wolke, Kara) (Entered: 10/26/2016)

11/10/2016 87 NOTICE TO PARTIES by District Judge Michael W. Fitzgerald. Effective November 17, 2016, Judge Fitzgerald will be located at the 1st Street Courthouse, COURTROOM 5A on the 5th floor, located at 350 W. 1st Street, Los Angeles, California 90012. All Court appearances shall be made in Courtroom 5A of the 1st Street Courthouse, and all mandatory chambers copies shall be hand delivered to the judge's mail box outside the Clerk's Office on the 4th floor of the 1st Street Courthouse. The location for filing civil documents in paper format exempted from

electronic filing and for viewing case files and other records services remains at the United States Courthouse, 312 North Spring Street, Room G-8, Los Angeles, California 90012. The location for filing criminal documents in paper format exempted from electronic filing remains at Edward R. Roybal Federal Building and U.S. Courthouse, 255 East Temple Street, Room 178, Los Angeles, California 90012. THERE IS NO PDF DOCUMENT ASSOCIATED WITH THIS ENTRY. (rrp) TEXT ONLY ENTRY (Entered: 11/10/2016)

11/10/2016 88 REPLY support NOTICE OF MOTION AND MOTION to Dismiss Case for Violations of the Federal Securities Laws 70 filed by Defendants Michael D. Blaszyk, Richard Gomberg, Steve Gorlin, Ji Henri, Richard Kusserow, Nantkwest, Inc., Robert Rosen, Barry J. Simon, Patrick Soon-Shiong, John C. Thomas Jr.. (Feldman, Boris) (Entered: 11/10/2016)

12/05/2016 89 MINUTES OF Motion to Dismiss Case 70 72 ; Motion for relief from the court's June 14, 2016 Order consolidating Cases and Appointing Lead Plaintiff 74 before Judge Michael W Fitzgerald: The Courtroom Deputy Clerk distributes the Court's tentative ruling prior to the case being called. Case called, and counsel state their appearances. The Court hears oral argument from counsel, and takes the matter under submission. An order will issue. Court Reporter: Nichole Forrest. (jp) (Entered: 12/05/2016)

12/28/2016 90 TRANSCRIPT ORDER as to Plaintiff Sunil Sudunagunta for Court Reporter. Court will contact Megan Scott at [email protected] with any questions regarding this order. Transcript preparation will not begin until payment has been satisfied with the court reporter. (Silverman, Joshua) (Entered: 12/28/2016)

01/05/2017 91 TRANSCRIPT ORDER as to Movants Kenneth Frye, Michael Hare, Norman Jacobs, Justin T. Wagner, Craig Wiencek for Court Reporter. Court will contact Stephanie Chateauneuf at [email protected] with any questions regarding this order. Transcript preparation will not begin until payment has been satisfied with the court reporter. (Jaconette, James) (Entered: 01/05/2017)

01/18/2017 92 TRANSCRIPT ORDER as to Defendants Citigroup Global Markets Inc., Jefferies LLC, MLV & Co., LLC, Merrill Lynch, Pierce, Fenner & Smith, Inc., Piper Jaffray & Co. for Court Reporter. Court will contact Larry Polon at [email protected] with any questions regarding this order. Transcript preparation will not begin until payment has been satisfied with the court reporter. (Rutten, James) (Entered: 01/18/2017)

02/06/2017 93 MINUTES (IN CHAMBERS): ORDER DENYING MOTION FOR REPUBLICATION AND ORDERING TELEPHONIC HEARING ON MOTION TO DISMISS 70 74 by Judge Michael W. Fitzgerald. For the foregoing reasons, the Republication Motion is DENIED. Because the Court did not hear oral argument on the Motion to Dismiss at the initially noticedhearing, oral argument on the Motion to Dismiss is rescheduled for Tuesday, February 28 at 10:00 a.m. The parties may appear in person or telephonically. A tentative decision will be distributed to the parties prior to the hearing. IT IS SO ORDERED. (lom) (Entered: 02/06/2017)

02/27/2017 94 SCHEDULING NOTICE by Judge Michael W. Fitzgerald. On the Court's own motion, the Motion to Dismiss Case 70 is continued to 3/1/2017 at 10:00 AM. IT IS

SO ORDERED. THERE IS NO PDF DOCUMENT ASSOCIATED WITH THIS ENTRY. (rs) TEXT ONLY ENTRY (Entered: 02/27/2017)

02/27/2017 95 NOTICE of Supplemental Authority filed by Defendants Michael D. Blaszyk, Richard Gomberg, Steve Gorlin, Ji Henri, Richard Kusserow, Nantkwest, Inc., John T. Potts, Jr., Robert Rosen, Barry J. Simon, Patrick Soon-Shiong, John C. Thomas Jr.. (Attachments: # 1 Exhibit A, # 2 Exhibit B)(Petrocelli, Michael) (Entered: 02/27/2017)

02/28/2017 96 RESPONSE filed by Plaintiffs Donald Hu, Brayton Lito Notice (Other), 95 (Mullarky, Alexa) (Entered: 02/28/2017)

03/01/2017 97 MINUTES OF MOTION to Dismiss Case 70 72 before Judge Michael W. Fitzgerald: Case called, and counsel state their appearances. The Court hears oral argument from counsel, and takes the matter under submission. An order will issue. Court Reporter: Terri Hourigan. (jp) (Entered: 03/02/2017)

03/02/2017 98 TRANSCRIPT ORDER as to Plaintiff Sunil Sudunagunta for Court Reporter. Court will contact Megan Scott at [email protected] with any questions regarding this order. Transcript preparation will not begin until payment has been satisfied with the court reporter. (Dahlstrom, Patrick) (Entered: 03/02/2017)

03/02/2017 99 TRANSCRIPT ORDER as to Defendants Michael D. Blaszyk, Richard Gomberg, Steve Gorlin, Ji Henri, Richard Kusserow, Nantkwest, Inc., John T. Potts, Jr., Robert Rosen, Barry J. Simon, Patrick Soon-Shiong, John C. Thomas Jr. for Court Reporter. Court will contact Rosemarie Dean at [email protected] with any questions regarding this order. Transcript preparation will not begin until payment has been satisfied with the court reporter. (Feldman, Boris) (Entered: 03/02/2017)

03/03/2017 100 TRANSCRIPT ORDER as to Plaintiffs Donald Hu, Brayton Li for Court Reporter. Court will contact Emily Oswald at [email protected] with any questions regarding this order. Transcript preparation will not begin until payment has been satisfied with the court reporter. (Mullarky, Alexa) (Entered: 03/03/2017)

03/08/2017 101 TRANSCRIPT ORDER as to Defendants Citigroup Global Markets Inc., Jefferies LLC, MLV & Co., LLC, Merrill Lynch, Pierce, Fenner & Smith, Inc., Piper Jaffray & Co. for Court Reporter. Court will contact Larry Polon at [email protected] with any questions regarding this order. Transcript preparation will not begin until payment has been satisfied with the court reporter. (Rutten, James) (Entered: 03/08/2017)

03/08/2017 102 TRANSCRIPT ORDER as to Lead Plaintiffs Donald Hu, Brayton Li for Court Reporter. Court will contact Karen Cook at [email protected] with any questions regarding this order. Transcript preparation will not begin until payment has been satisfied with the court reporter. (Jaconette, James) (Entered: 03/08/2017)

03/09/2017 103 TRANSCRIPT for proceedings held on 03/01/2017 10:00 A.M.. Court Reporter/Electronic Court Recorder: Terri A. Hourigan, phone number [email protected]. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Electronic Court Recorder before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Notice of Intent to Redact due within 7 days of this date. Redaction

Request due 3/30/2017. Redacted Transcript Deadline set for 4/10/2017. Release of Transcript Restriction set for 6/7/2017. (Hourigan, Terri) (Entered: 03/09/2017)

03/09/2017 104 NOTICE OF FILING TRANSCRIPT filed for proceedings 03/01/2017 re Transcript 103 THERE IS NO PDF DOCUMENT ASSOCIATED WITH THIS ENTRY. (Hourigan, Terri) TEXT ONLY ENTRY (Entered: 03/09/2017)

04/03/2017 105 Effective April 10, 2017, Judge McDermott will be located at the Edward R. Roybal Federal Building, COURTROOM 630 on the 6th Floor, located at 255 East Temple Street, Los Angeles, California 90012. All court appearances shall be made in Courtroom 630 of the Roybal Federal Building, and all mandatory chambers copies shall be hand delivered to the judge's mailbox located outside the Clerk's Office on the 1st Floor of the Roybal Federal Building. The location for filing civil documents in paper format exempted from electronic filing and for viewing case files and other records services remains at the United States Courthouse, 312 North Spring Street, Room G-8, Los Angeles, California 90012. The location for filing criminal documents in paper format exempted from electronic filing remains at the Roybal Federal Building, 255 East Temple Street, Room 178, Los Angeles, California 90012. THERE IS NO PDF DOCUMENT ASSOCIATED WITH THIS ENTRY. (rrp) TEXT ONLY ENTRY (Entered: 04/03/2017)

04/27/2017 106 Notice of Appearance or Withdrawal of Counsel: for attorney John Brandon Walker counsel for Plaintiffs Donald Hu, Brayton Li. J. Brandon Walker is no longer counsel of record for the aforementioned party in this case for the reason indicated in the G-123 Notice. Filed by Lead Plaintiffs Donald Hu and Brayton Li. (Attorney John Brandon Walker added to party Brayton Li(pty:pla))(Walker, John) (Entered: 04/27/2017)

05/11/2017 107 NOTICE filed by Defendants Michael D. Blaszyk, Richard Gomberg, Steve Gorlin, Ji Henri, Richard Kusserow, Nantkwest, Inc., John T. Potts, Jr., Robert Rosen, Barry J. Simon, Patrick Soon-Shiong, John C. Thomas Jr.. of Supplemental Authorities (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C)(Petrocelli, Michael) (Entered: 05/11/2017)

05/16/2017 108 MINUTES (In Chambers): ORDER Re Motion to Dismiss 70 by Judge Michael W. Fitzgerald: The Motion is GRANTED in part and DENIED in part. The Motion is GRANTED with leave to amend except for the claim that the terms of the modifications to the Warrant were not disclosed. Plaintiffs shall file their First Amended Complaint, if any, on or before 6/5/2017. (jp) (Entered: 05/16/2017)

06/05/2017 109 CONSOLIDATED COMPLAINT [Consolidated Second Amended Class Action Complaint for Violations of the Federal Securities Laws] related to: 49 Consolidated Complaint, filed by Plaintiffs Donald Hu, Brayton Li(Wolke, Kara) (Entered: 06/05/2017)

06/13/2017 110 STIPULATION for Order Stipulation re Briefing Schedule for Motion to Dismiss filed by defendants Michael D. Blaszyk, Richard Gomberg, Steve Gorlin, Ji Henry, Richard Kusserow, Nantkwest, Inc., John T. Potts, Jr., Robert Rosen, Barry J. Simon, Patrick Soon-Shiong, John C. Thomas Jr.. (Attachments: # 1 Proposed Order)(Petrocelli, Michael) (Entered: 06/13/2017)

06/13/2017 111 ORDER GRANTING Stipulation Re Briefing Schedule for Motion to Dismiss 110 by Judge Michael W. Fitzgerald that: (1) On or before 6/26/2017, NantKwest may

provide Lead Plaintiffs with additional information concerning certain of the allegations of the Consolidated Second Amended Complaint; (2) On or before 7/10/2017, Lead Plaintiffs will file a Consolidated Third Amended Complaint or confirm that they stand upon the Consolidated Second Amended Complaint; (3) On or before 7/31/2017, Defendants shall move to dismiss or otherwise respond to the Consolidated Second Amended Complaint or a Consolidated Third Amended Complaint; (4) Lead Plaintiffs oppositions to the motions to dismiss shall be due on or before 8/14/2017; (5) Defendants' replies in support of the motions to dismiss shall be filed on or before 8/28/2017. (6) The hearing on the Motions will be held on 9/11/2017, at 10:00 AM. (jp) (Entered: 06/13/2017)

07/10/2017 112 CONSOLIDATED COMPLAINT [Consolidated Third Amended Class Action Complaint for Violations of the Federal Securities Laws] related to: 109 Consolidated Complaint, filed by Lead Plaintiffs Donald Hu, Brayton Li(Wolke, Kara) (Entered: 07/10/2017)

07/31/2017 113 NOTICE OF MOTION AND MOTION to Dismiss Case for Violations of the Federal Securities Laws filed by Defendants Michael D. Blaszyk, Richard Gomberg, Steve Gorlin, Ji Henry, Richard Kusserow, Nantkwest, Inc., John T. Potts, Jr., Robert Rosen, Barry J. Simon, Patrick Soon-Shiong, John C. Thomas Jr.. Motion set for hearing on 9/11/2017 at 10:00 AM before Judge Michael W. Fitzgerald. (Attachments: # 1 Memorandum in Support of Motion to Dismiss Consolidated Third Amended Complaint, # 2 Declaration of Cali Tran, # 3 Exhibit A to Declaration of Cali Tran, # 4 Exhibit B to Declaration of Cali Tran, # 5 Exhibit C to Declaration of Cali Tran, # 6 Exhibit D to Declaration of Cali Tran, # 7 Exhibit E to Declaration of Cali Tran, # 8 Exhibit F to Declaration of Cali Tran, # 9 Exhibit G to Declaration of Cali Tran, # 10 Proposed Order) (Feldman, Boris) (Entered: 07/31/2017)

07/31/2017 114 REQUEST FOR JUDICIAL NOTICE re NOTICE OF MOTION AND MOTION to Dismiss Case for Violations of the Federal Securities Laws 113 filed by Defendants Michael D. Blaszyk, Richard Gomberg, Steve Gorlin, Ji Henry, Richard Kusserow, Nantkwest, Inc., John T. Potts, Jr., Robert Rosen, Barry J. Simon, Patrick Soon-Shiong, John C. Thomas Jr.. (Feldman, Boris) (Entered: 07/31/2017)

07/31/2017 115 JOINDER in NOTICE OF MOTION AND MOTION to Dismiss Case for Violations of the Federal Securities Laws 113 and Request for Judicial Notice 114 filed by Defendants Citigroup Global Markets Inc., Jefferies LLC, MLV and Co., LLC, Merrill Lynch, Pierce, Fenner and Smith, Inc., Piper Jaffray and Co. (Attorney James C Rutten added to party Citigroup Global Markets Inc.(pty:dft), Attorney James C Rutten added to party Jefferies LLC(pty:dft), Attorney James C Rutten added to party MLV and Co., LLC(pty:dft), Attorney James C Rutten added to party Merrill Lynch, Pierce, Fenner and Smith, Inc.(pty:dft), Attorney James C Rutten added to party Piper Jaffray and Co(pty:dft))(Rutten, James) (Entered: 07/31/2017)

08/14/2017 116 OPPOSITION to NOTICE OF MOTION AND MOTION to Dismiss Case for Violations of the Federal Securities Laws 113 filed by Plaintiffs Donald Hu, Brayton Li. (Wolke, Kara) (Entered: 08/14/2017)

08/14/2017 117 DECLARATION of Joshua B. Silverman re Response in Opposition to Motion 116 filed by Plaintiffs Donald Hu, Brayton Li. (Attachments: # 1 Exhibit A - Email)(Wolke, Kara) (Entered: 08/14/2017)

08/28/2017 118 REPLY in Support of NOTICE OF MOTION AND MOTION to Dismiss Case for Violations of the Federal Securities Laws 113 filed by Defendants Michael D. Blaszyk, Richard Gomberg, Steve Gorlin, Ji Henry, Richard Kusserow, Nantkwest, Inc., John T. Potts, Jr., Robert Rosen, Barry J. Simon, Patrick Soon-Shiong, John C. Thomas Jr.. (Feldman, Boris) (Entered: 08/28/2017)

09/11/2017 119 MINUTES OF Defendants Motion to Dismiss Case for Violations of the Federal Securities Laws 113 ; Defendants (Citigroup et al.) Joinder 115 before Judge Michael W. Fitzgerald: Case called, and counsel state their appearances. The Court hears oral argument from counsel, and takes the matter under submission. An order will issue. Court Reporter: Amy Diaz. (jp) (Entered: 09/11/2017)

09/12/2017 120 TRANSCRIPT ORDER as to NantKwest Defendants Michael D. Blaszyk, Richard Gomberg, Steve Gorlin, Ji Henry, Richard Kusserow, Nantkwest, Inc., John T. Potts, Jr., Robert Rosen, Barry J. Simon, Patrick Soon-Shiong, John C. Thomas Jr. for Court Reporter. Court will contact Lilli Cardenas at [email protected] with any questions regarding this order. Transcript preparation will not begin until payment has been satisfied with the court reporter. (Feldman, Boris) (Entered: 09/12/2017)

09/20/2017 121 MINUTE ORDER IN CHAMBERS by Judge Michael W. Fitzgerald: For the reasons stated herein, the Motion to Dismiss Consolidated Third Amended Complaint 113 is DENIED, including the Joinder thereto 115 . Answers shall be filed on or before 10/2/2017. IT IS SO ORDERED. (cw) (Entered: 09/20/2017)

09/22/2017 122 TRANSCRIPT for proceedings held on September 11, 2017. Court Reporter/Electronic Court Recorder: Amy Diaz, phone number [email protected]. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Electronic Court Recorder before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Notice of Intent to Redact due within 7 days of this date. Redaction Request due 10/13/2017. Redacted Transcript Deadline set for 10/23/2017. Release of Transcript Restriction set for 12/21/2017. (Diaz, Amy) (Entered: 09/22/2017)

09/28/2017 123 STIPULATION Extending Time to Answer the complaint as to John C. Thomas Jr. answer now due 10/16/2017; Nantkwest, Inc. answer now due 10/16/2017; Michael D. Blaszyk answer now due 10/16/2017; Richard Gomberg answer now due 10/16/2017; Robert Rosen answer now due 10/16/2017; Ji Henry answer now due 10/16/2017; Patrick Soon-Shiong answer now due 10/16/2017; Steve Gorlin answer now due 10/16/2017; Barry J. Simon answer now due 10/16/2017; John T. Potts, Jr. answer now due 10/16/2017; Richard Kusserow answer now due 10/16/2017, re Consolidated Complaint 112 filed by Defendants John C. Thomas Jr.; Nantkwest, Inc.; Michael D. Blaszyk; Richard Gomberg; Robert Rosen; Ji Henry; Patrick Soon-Shiong; Steve Gorlin; Barry J. Simon; John T. Potts, Jr.; Richard Kusserow. (Attachments: # 1 Proposed Order)(Tran, Cali) (Entered: 09/28/2017)

09/28/2017 124 ORDER GRANTING Stipulation to Extend Time to Respond to Consolidated Third Amended Complaint 123 by Judge Michael W. Fitzgerald that Defendants shall file their Answers on or before 10/16/2017. (jp) (Entered: 09/29/2017)

10/16/2017 125 ANSWER to Consolidated Complaint 112 filed by Defendants Michael D. Blaszyk, Richard Gomberg, Steve Gorlin, Ji Henry, Richard Kusserow, Nantkwest, Inc., John

T. Potts, Jr., Robert Rosen, Barry J. Simon, Patrick Soon-Shiong, John C. Thomas Jr..(Feldman, Boris) (Entered: 10/16/2017)

10/16/2017 126 ANSWER to Consolidated Complaint 112 with JURY DEMAND filed by Underwriter Defendants Citigroup Global Markets Inc., Jefferies LLC, MLV and Co., LLC, Merrill Lynch, Pierce, Fenner and Smith, Inc., Piper Jaffray and Co.(Rutten, James) (Entered: 10/16/2017)

10/17/2017 127 ORDER SETTING SCHEDULING CONFERENCE by Judge Michael W. Fitzgerald: A Scheduling Conference is set for 12/11/2017 at 11:00 AM before Judge Michael W. Fitzgerald. The Joint Rule 26(f) Meeting Report is due 11/27/2017. IT IS SO ORDERED. (cw) (Entered: 10/17/2017)

10/30/2017 128 STIPULATION to Reschedule Scheduling Conference filed by Defendants Michael D. Blaszyk, Richard Gomberg, Steve Gorlin, Henry Ji, Richard Kusserow, Nantkwest, Inc., John T. Potts, Jr., Robert Rosen, Barry J. Simon, Patrick Soon-Shiong, John C. Thomas Jr.. (Attachments: # 1 Proposed Order)(Tran, Cali) (Entered: 10/30/2017)

11/01/2017 129 ORDER GRANTING Stipulation Re Change in Date of Scheduling Conference 128 by Judge Michael W. Fitzgerald that the Scheduling Conference previously set for 12/11/2017 is moved to 12/18/2017 at 11:00 AM. The parties shall submit the joint Rule 26(f) statement two weeks prior to the Scheduling Conference. (jp) (Entered: 11/02/2017)

11/21/2017 130 STIPULATION for Protective Order filed by Defendants Michael D. Blaszyk, Richard Gomberg, Steve Gorlin, Henry Ji, Richard Kusserow, Nantkwest, Inc., John T. Potts, Jr., Robert Rosen, Barry J. Simon, Patrick Soon-Shiong, John C. Thomas Jr..(Tran, Cali) (Entered: 11/21/2017)

11/29/2017 131 STIPULATED PROTECTIVE ORDER by Magistrate Judge John E. McDermott re Stipulation for Protective Order, 130 . [See Order for details.] (san) (Entered: 11/29/2017)

12/04/2017 132 JOINT REPORT Rule 26(f) Discovery Plan filed by Plaintiffs Donald Hu, Brayton Li.. (Attachments: # 1 Exhibit A - Schedule of Pretrial and Trial Dates)(Wolke, Kara) (Entered: 12/04/2017)

12/18/2017 133 MINUTES OF SCHEDULING CONFERENCE before Judge Michael W. Fitzgerald: The Scheduling Conference held. The Court sets dates. Please see separate Order Re Jury Trial, also filed today. Court Reporter: Amy Diaz. (jp) (Entered: 12/19/2017)

12/18/2017 134 ORDER RE JURY TRIAL by Judge Michael W. Fitzgerald: Last Day to Add Parties/Amend Pleadings due by 7/30/2018. Non-expert Discovery cut-off 10/26/2018. Last Day to Conduct ADR Proceeding is 5/13/2019. File Memorandum of Contentions of Fact and Law, Exhibit and Witness Lists, Status Report regarding settlement, and all Motions in Limine by 6/24/2019. Proposed Pretrial Order due by 7/1/2019., Final Pretrial Conference and Hearing on Motions in Limine set for 7/15/2019 at 11:00 AM. Trial Date (Est. 10-20 Days) set for 8/6/2019 at 8:30 AM. (SEE THE SECOND PAGE OF THIS ORDER FOR FURTHER THE SPECIFIED DATES). (jp) Modified on 12/21/2017 (jp). Modified on 1/3/2018 (jp). Modified on 1/3/2018 (jp). (Entered: 12/20/2017)

12/18/2017 135 ORDER/REFERRAL to ADR Procedure No 3 by Judge Michael W. Fitzgerald. Case ordered to a private mediator based upon a stipulation of the parties or by the court order. ADR Proceeding to be held no later than 5/13/2019. (jp) (Entered: 12/20/2017)

02/07/2018 136 STIPULATION for Order Regarding Briefing of Class Certification Motion filed by Lead Plaintiffs Donald Hu, Brayton Li. (Attachments: # 1 Proposed Order)(Wolke, Kara) (Entered: 02/07/2018)

02/08/2018 137 ORDER REGARDING BRIEFING OF LEAD PLAINTIFFS' ANTICIPATED MOTION FOR CLASS CERTIFICATION 136 by Judge Michael W. Fitzgerald. The Court, HEREBY ORDERS as follows: Lead Plaintiffs shall move for class certification on or before April 2, 2018. Defendants shall file any opposition(s) to class certification on or before May 30, 2018. Lead Plaintiffs shall file any reply in support of class certification on or before July 2, 2018. The hearing on the Motion for Class Certification shall be noticed for July 30, 2018, at 10:00 a.m. (iv) (Entered: 02/08/2018)

02/09/2018 138 Notice of Appearance or Withdrawal of Counsel: for attorney James C Rutten counsel for Defendants Citigroup Global Markets Inc., Jefferies LLC, MLV and Co., LLC, Merrill Lynch, Pierce, Fenner and Smith, Inc., Piper Jaffray and Co. Sara N. Taylor is no longer counsel of record for the aforementioned party in this case for the reason indicated in the G-123 Notice. Filed by Defendants Merrill Lynch, Pierce, Fenner & Smith Incorporated; Jefferies LLC; Citigroup Global Markets Inc.; MLV & Co., LLC; and Piper Jaffray & Co.. (Rutten, James) (Entered: 02/09/2018)

03/16/2018 139 Notice of Appearance or Withdrawal of Counsel: for attorney Melissa A Fortunato counsel for Plaintiffs Donald Hu, Brayton Li. Adding Melissa A. Fortunato as counsel of record for Donald Hu and Brayton Li for the reason indicated in the G-123 Notice. Filed by Lead Plaintiffs Donald Hu and Brayton Li. (Attorney Melissa A Fortunato added to party Donald Hu(pty:pla), Attorney Melissa A Fortunato added to party Brayton Li(pty:pla))(Fortunato, Melissa) (Entered: 03/16/2018)

04/02/2018 140 NOTICE OF MOTION AND MOTION to Certify Class filed by Plaintiffs Donald Hu, Brayton Li. Motion set for hearing on 7/30/2018 at 10:00 AM before Judge Michael W. Fitzgerald. (Attachments: # 1 Proposed Order) (Wolke, Kara) (Entered: 04/02/2018)

04/02/2018 141 MEMORANDUM in Support of NOTICE OF MOTION AND MOTION to Certify Class 140 filed by Plaintiffs Donald Hu, Brayton Li. (Wolke, Kara) (Entered: 04/02/2018)

04/02/2018 142 DECLARATION of Joshua B. Silverman In Support Of NOTICE OF MOTION AND MOTION to Certify Class 140 filed by Plaintiffs Donald Hu, Brayton Li. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D)(Wolke, Kara) (Entered: 04/02/2018)

04/02/2018 143 NOTICE OF MOTION AND MOTION to Strike Exchange Act claims from the Third Amended Complaint filed by Plaintiffs Donald Hu, Brayton Li. Motion set for hearing on 4/30/2018 at 10:00 AM before Judge Michael W. Fitzgerald. (Attachments: # 1 Proposed Order) (Wolke, Kara) (Entered: 04/02/2018)

04/02/2018 144 MEMORANDUM in Support of NOTICE OF MOTION AND MOTION to Strike Exchange Act claims from the Third Amended Complaint 143 filed by Plaintiffs Donald Hu, Brayton Li. (Wolke, Kara) (Entered: 04/02/2018)

04/05/2018 145 SCHEDULING NOTICE by Judge Michael W. Fitzgerald. On the Court's own motion, the Motion to Strike Exchange Act Claims is continued to 143 July 30, 2018 at 10:00 AM before Judge Michael W. Fitzgerald. IT IS SO ORDERED. THERE IS NO PDF DOCUMENT ASSOCIATED WITH THIS ENTRY. (rs) TEXT ONLY ENTRY (Entered: 04/05/2018)

04/09/2018 146 OPPOSITION to NOTICE OF MOTION AND MOTION to Strike Exchange Act claims from the Third Amended Complaint 143 filed by Defendants Michael D. Blaszyk, Richard Gomberg, Steve Gorlin, Henry Ji, Richard Kusserow, Nantkwest, Inc., John T. Potts, Jr., Robert Rosen, Barry J. Simon, Patrick Soon-Shiong, John C. Thomas Jr.. (Feldman, Boris) (Entered: 04/09/2018)

04/10/2018 147 REPLY In Support of NOTICE OF MOTION AND MOTION to Strike Exchange Act claims from the Third Amended Complaint 143 filed by Plaintiffs Donald Hu, Brayton Li. (Wolke, Kara) (Entered: 04/10/2018)

04/18/2018 148 APPLICATION of Non-Resident Attorney Sheryl S. Bassin to Appear Pro Hac Vice on behalf of Defendants Michael D. Blaszyk, Richard Gomberg, Steve Gorlin, Henry Ji, Richard Kusserow, Nantkwest, Inc., John T. Potts, Jr., Robert Rosen, Barry J. Simon, Patrick Soon-Shiong, John C. Thomas Jr. (Pro Hac Vice Fee - Fee Paid, Receipt No. 0973-21610303) filed by Defendants Michael D. Blaszyk, Richard Gomberg, Steve Gorlin, Henry Ji, Richard Kusserow, Nantkwest, Inc., John T. Potts, Jr., Robert Ros en, Barry J. Simon, Patrick Soon-Shiong, John C. Thomas Jr.. (Attachments: # 1 Proposed Order, # 2 Certificate of Good Standing) (Attorney Olivia M Kim added to party Michael D. Blaszyk(pty:dft), Attorney Olivia M Kim added to party Richard Gomberg(pty:dft), Attorney Olivia M Kim added to party Steve Gorlin(pty:dft), Attorney Olivia M Kim added to party Henry Ji(pty:dft), Attorney Olivia M Kim added to party Richard Kusserow(pty:dft), Attorney Olivia M Kim added to party Nantkwest, Inc.(pty:dft), Attorney Olivia M Kim added to party John T. Potts, Jr.(pty:dft), Attorney Olivia M Kim added to party Robert Rosen(pty:dft), Attorney Olivia M Kim added to party Barry J. Simon(pty:dft), Attorney Olivia M Kim added to party Patrick Soon-Shiong(pty:dft), Attorney Olivia M Kim added to party John C. Thomas Jr.(pty:dft)) (Kim, Olivia) (Entered: 04/18/2018)

04/20/2018 149 ORDER by Judge Michael W. Fitzgerald: Granting Application of Non-Resident Attorney Sheryl S. Bassin to Appear Pro Hac Vice on behalf of Defendant NantKwest, Inc., Patrick Soon-Shiong, Richard Gomberg, Barry J. Simon, Steve Gorlin, Michael D. Blasayk, Henry Ji, Richard Kusserow, John T. Potts, Jr., Robert Rosen and John C. Thomas, Jr., designating Oliva M. Kim as local counsel 148 . (iv) (Entered: 04/20/2018)

05/01/2018 150 APPLICATION of Non-Resident Attorney Gideon A. Schor to Appear Pro Hac Vice on behalf of Defendants Michael D. Blaszyk, Richard Gomberg, Steve Gorlin, Henry Ji, Richard Kusserow, Nantkwest, Inc., John T. Potts, Jr., Robert Rosen, Barry J. Simon, Patrick Soon-Shiong, John C. Thomas Jr. (Pro Hac Vice Fee - Fee Paid, Receipt No. 0973-21681365) filed by Defendants Michael D. Blaszyk, Richard Gomberg, Steve Gorlin, Henry Ji, Richard Kusserow, Nantkwest, Inc., John T. Potts,

Jr., Robert Rose n, Barry J. Simon, Patrick Soon-Shiong, John C. Thomas Jr.. (Attachments: # 1 Proposed Order, # 2 Certificate of Good Standing) (Kim, Olivia) (Entered: 05/01/2018)

05/02/2018 151 ORDER by Judge Michael W. Fitzgerald: Granting Application of Non-Resident Attorney Gideon A. Schor to Appear Pro Hac Vice on behalf of Defendants NantKwest, Inc., Patrick Soon-Shiong, Richard Gomberg, Barry J. Simon, Steve Gorlin, Michael D. Blaszyk, Henry Ji, Richard Kusserow, John T. Potts, Jr., Robert Rosen, and John C. Thomas, Jr., designating Olivia M. Kim as local counsel 150 . (iv) (Entered: 05/03/2018)

05/30/2018 152 Opposition Opposition re: NOTICE OF MOTION AND MOTION to Certify Class 140 filed by Defendants Michael D. Blaszyk, Richard Gomberg, Steve Gorlin, Henry Ji, Richard Kusserow, Nantkwest, Inc., John T. Potts, Jr., Robert Rosen, Barry J. Simon, Patrick Soon-Shiong, John C. Thomas Jr.. (Attachments: # 1 Proposed Order, # 2 Declaration Sheryl Shapiro Bassin, # 3 Declaration David J. Kalson, # 4 Declaration Sonja Nelson)(Feldman, Boris) (Entered: 05/30/2018)

05/30/2018 153 JOINDER in NOTICE OF MOTION AND MOTION to Certify Class 140 Underwriter Defendants' Joinder in Nantkwest Defendants' Opposition to Lead Plaintiff's Motion for Class Certification filed by Defendants Citigroup Global Markets Inc., Jefferies LLC, MLV and Co., LLC, Merrill Lynch, Pierce, Fenner and Smith, Inc., Piper Jaffray and Co. (Rutten, James) (Entered: 05/30/2018)

06/19/2018 154 Notice of Appearance or Withdrawal of Counsel: for attorney Alexa Mullarky counsel for Plaintiffs Donald Hu, Brayton Li. Alexa Mullarky is no longer counsel of record for the aforementioned party in this case for the reason indicated in the G-123 Notice. Filed by Plaintiffs Donald Hu and Brayton Li. (Mullarky, Alexa) (Entered: 06/19/2018)

07/02/2018 155 REPLY in Support of NOTICE OF MOTION AND MOTION to Certify Class 140 filed by Plaintiffs Donald Hu, Brayton Li. (Wolke, Kara) (Entered: 07/02/2018)

07/02/2018 156 DECLARATION of Omar Jafri re Reply (Motion related) 155 filed by Plaintiffs Donald Hu, Brayton Li. (Attachments: # 1 Exhibit A, # 2 Exhibit B)(Wolke, Kara) (Entered: 07/02/2018)

07/17/2018 157 SCHEDULING NOTICE by Judge Michael W. Fitzgerald. On the Court's own motion, the Motion to Certify Class 140 153 and the Motion to Strike Exchange Act claims from the Third Amended Complaint 143 is continued to August 6, 2018 at 03:30 PM before Judge Michael W. Fitzgerald. IT IS SO ORDERED. THERE IS NO PDF DOCUMENT ASSOCIATED WITH THIS ENTRY. (rs) TEXT ONLY ENTRY (Entered: 07/17/2018)

07/23/2018 158 Notice of Appearance or Withdrawal of Counsel: for attorney Vahe Mesropyan counsel for Plaintiffs Donald Hu, Brayton Li. Adding Vahe Mesropyan as counsel of record for Lead Plaintiffs Donald Hu and Brayton Li for the reason indicated in the G-123 Notice. Filed by Lead Plaintiffs Donald Hu and Brayton Li. (Attorney Vahe Mesropyan added to party Donald Hu(pty:pla), Attorney Vahe Mesropyan added to party Brayton Li(pty:pla))(Mesropyan, Vahe) (Entered: 07/23/2018)

08/06/2018 159 MINUTES (IN CHAMBERS) HEARING ON CLASS CERTIFICATION MOTION 140 ; JOINDER 153 ; MOTION TO STRIKE EXCHANGE ACT CLAIMS 143 by

Judge Michael W. Fitzgerald: HEARING ON CLASS CERTIFICATION MOTION 140 ; JOINDER 153 ; MOTION TO STRIKE EXCHANGE ACT CLAIMS 143 (yl) (Entered: 08/07/2018)

08/13/2018 160 MINUTES (IN CHAMBERS) ORDER RE: MOTION TO CERTIFY CLASS 140 ; MOTION TO STRIKE EXCHANGE ACT CLAIMS FROM THIRD AMENDED COMPLAINT 143 by Judge Michael W. Fitzgerald. Lead Plaintiff's Motion is GRANTED. The Court certifies the proposed class, appoints Lead Plaintiffs Brayton Li and Donald Hu as class representatives, and appoints Pomeratnz LLP and Bragar Eagel & Squire, P.C. as Co-Class Counsel and Glancy Prongay & Murray LLP as Liaison Counsel. Plaintiffs shall file a Fourth Amended Complaint deleting the Exchange Act claims and relevant allegations on or before August 24, 2018. Defendants must answer the Fourth Amended Complaint by September 7, 2018. (iv) (Entered: 08/13/2018)

08/13/2018 161 TRANSCRIPT ORDER as to Lead Plaintiffs Donald Hu, Brayton Li for Court Reporter. Court will contact Megan Scott at [email protected] with further instructions regarding this order. Transcript preparation will not begin until payment has been satisfied with the court reporter. (Dahlstrom, Patrick) (Entered: 08/13/2018)

08/24/2018 162 CONSOLIDATED COMPLAINT [Consolidated Fourth Amended Class Action Complaint for Violations of the Federal Securities Laws] related to: 112 Consolidated Complaint, filed by Lead Plaintiffs Donald Hu, Brayton Li(Wolke, Kara) (Entered: 08/24/2018)

09/07/2018 163 ANSWER to Consolidated Complaint 162 with JURY DEMAND filed by Defendants Citigroup Global Markets Inc., Jefferies LLC, MLV and Co., LLC, Merrill Lynch, Pierce, Fenner and Smith, Inc., Piper Jaffray and Co.(Rutten, James) (Entered: 09/07/2018)

09/07/2018 164 CORPORATE DISCLOSURE STATEMENT filed by Defendant MLV and Co., LLC identifying B. Riley Financial, Inc. as Corporate Parent. (Rutten, James) (Entered: 09/07/2018)

09/07/2018 165 CORPORATE DISCLOSURE STATEMENT filed by Defendant Jefferies LLC identifying Jefferies Financial Group Inc. as Corporate Parent. (Rutten, James) (Entered: 09/07/2018)

09/07/2018 166 ANSWER to Consolidated Complaint 162 filed by Defendants Michael D. Blaszyk, Richard Gomberg, Steve Gorlin, Henry Ji, Richard Kusserow, Nantkwest, Inc., John T. Potts, Jr., Robert Rosen, Barry J. Simon, Patrick Soon-Shiong, John C. Thomas Jr..(Feldman, Boris) (Entered: 09/07/2018)

09/11/2018 167 TRANSCRIPT for proceedings held on August 6, 2018. Court Reporter/Electronic Court Recorder: Amy Diaz, phone number [email protected]. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Electronic Court Recorder before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Notice of Intent to Redact due within 7 days of this date. Redaction Request due 10/2/2018. Redacted Transcript Deadline set for 10/12/2018. Release of Transcript Restriction set for 12/10/2018. (Diaz, Amy) (Entered: 09/11/2018)

09/11/2018 168 NOTICE OF FILING TRANSCRIPT filed for proceedings August 6, 2018 re Transcript 167 THERE IS NO PDF DOCUMENT ASSOCIATED WITH THIS ENTRY. (Diaz, Amy) TEXT ONLY ENTRY (Entered: 09/11/2018)

09/24/2018 169 NOTICE of Settlement filed by Lead Plaintiffs Donald Hu, Brayton Li. (Wolke, Kara) (Entered: 09/24/2018)

09/25/2018 170 ORDER TO SHOW CAUSE by Judge Michael W. Fitzgerald: A Show Cause Re Dismissal Hearing is set for 11/26/2018 at 11:30 a.m. If a motion for preliminary approval of settlement is filed prior to this date, the show cause hearing will be taken off calendar and no appearance is needed. All other dates are hereby vacated. SO ORDERED. (cw) (Entered: 09/25/2018)

11/09/2018 171 NOTICE OF MOTION AND MOTION for Settlement Approval of Preliminary Approval of Class Action Settlement and Notice to the Settlement Class filed by Lead Plaintiffs Donald Hu, Brayton Li. Motion set for hearing on 12/10/2018 at 10:00 AM before Judge Michael W. Fitzgerald. (Wolke, Kara) (Entered: 11/09/2018)

11/09/2018 172 MEMORANDUM in Support of NOTICE OF MOTION AND MOTION for Settlement Approval of Preliminary Approval of Class Action Settlement and Notice to the Settlement Class 171 filed by Plaintiffs Donald Hu, Brayton Li. (Wolke, Kara) (Entered: 11/09/2018)

11/09/2018 173 DECLARATION of David J. Stone in support NOTICE OF MOTION AND MOTION for Settlement Approval of Preliminary Approval of Class Action Settlement and Notice to the Settlement Class 171 filed by Plaintiffs Donald Hu, Brayton Li. (Attachments: # 1 Exhibit 1 - Stipulation of Settlement, # 2 Exhibit 2 - Pomerantz Firm Resume, # 3 Exhibit 3 - Bragar Eagel Firm Resume, # 4 Exhibit 4 - GPM Firm Resume)(Wolke, Kara) (Entered: 11/09/2018)

11/14/2018 174 NOTICE TO FILER OF DEFICIENCIES in Electronically Filed Documents RE: Motion for Settlement 171 . The following error(s) was/were found: Proposed order not submitted pursuant to Local Rule 52-4.1. A Word or Wordperfect version of the proposed order should also be emailed to the chambers generic email address. See Local Rule 5-4.4.1- Electronic Lodging of Proposed Orders. In response to this notice, the Court may: (1) order an amended or correct document to be filed; (2) order the document stricken; or (3) take other action as the Court deems appropriate. (iv) (Entered: 11/14/2018)

11/20/2018 175 DECLARATION of James C. Rutten re NOTICE OF MOTION AND MOTION for Settlement Approval of Preliminary Approval of Class Action Settlement and Notice to the Settlement Class 171 filed by Defendants Citigroup Global Markets Inc., Jefferies LLC, MLV and Co., LLC, Merrill Lynch, Pierce, Fenner and Smith, Inc., Piper Jaffray and Co. (Rutten, James) (Entered: 11/20/2018)

12/06/2018 176 MINUTES (IN CHAMBERS) COURT ORDER TAKING HEARING ON MOTION FOR PRELIMINARY APPROVAL OF CLASS ACTION SETTLEMENT 171 OFF CALENDAR AND UNDER SUBMISSION by Judge Michael W. Fitzgerald. Pursuant to Rule 78 of the Federal Rules of Civil Procedure and Local Rule 7-15, the Court finds that this matter is appropriate for submission on the papers without oral argument. Accordingly, the hearing set on this motion for December 10, 2018, is vacated and taken off calendar. (iv) (Entered: 12/06/2018)

01/09/2019 177 MINUTES (IN CHAMBERS) ORDER RE: UNOPPOSED MOTION FOR PRELIMINARY APPROVAL OF CLASS ACTION SETTLEMENT AND NOTICE TO THE SETTLEMENT CLASS 171 by Judge Michael W. Fitzgerald. The Motion is GRANTED insofar as the proposed settlement agreement is preliminarily APPROVED and the notice and plan of dissemination are APPROVED. The Final Approval Hearing is scheduled for April 29, 2019 at 10:00 a.m. (iv) (Entered: 01/09/2019)

01/11/2019 178 Notice of Electronic Filing re Order on Motion for Settlement, 177 e-mailed to Cali D Tran at [email protected] bounced due to 5.1.0 - Unknown address error 550-'#5.1.0 Address rejected. The primary e-mail address associated with the attorney record has been deleted. Pursuant to Local Rules it is the attorneys obligation to maintain all personal contact information including e-mail address in the CM/ECF system. THERE IS NO PDF DOCUMENT ASSOCIATED WITH THIS ENTRY. (ir) TEXT ONLY ENTRY (Entered: 01/11/2019)

02/20/2019 179 ORDER from Ninth Circuit Court of Appeals filed. CCA # 18-80101. Appellate proceedings remain stayed pending the district court's final approval of settlement or until further order of this court. Failure to file a status report may terminate the stay of appellate proceedings. (mat) (Entered: 02/21/2019)

04/08/2019 180 NOTICE OF MOTION AND MOTION for Settlement Approval of Final Approval of Class Action Settlement and Plan of Allocation filed by Plaintiffs Donald Hu, Brayton Li. Motion set for hearing on 4/29/2019 at 10:00 AM before Judge Michael W. Fitzgerald. (Attachments: # 1 Proposed Order) (Wolke, Kara) (Entered: 04/08/2019)

04/08/2019 181 MEMORANDUM in Support of NOTICE OF MOTION AND MOTION for Settlement Approval of Final Approval of Class Action Settlement and Plan of Allocation 180 filed by Plaintiffs Donald Hu, Brayton Li. (Wolke, Kara) (Entered: 04/08/2019)

04/08/2019 182 NOTICE OF MOTION AND MOTION for Attorney Fees , (ii) Reimbursement of Litigation Expenses, and (iii) Plaintiffs' Awards filed by Plaintiffs Donald Hu, Brayton Li. Motion set for hearing on 4/29/2019 at 10:00 AM before Judge Michael W. Fitzgerald. (Attachments: # 1 Proposed Order) (Wolke, Kara) (Entered: 04/08/2019)

04/08/2019 183 MEMORANDUM in Support of NOTICE OF MOTION AND MOTION for Attorney Fees , (ii) Reimbursement of Litigation Expenses, and (iii) Plaintiffs' Awards 182 filed by Plaintiffs Donald Hu, Brayton Li. (Wolke, Kara) (Entered: 04/08/2019)

04/08/2019 184 DECLARATION of Joshua B. Silverman and David J. Stone in support of NOTICE OF MOTION AND MOTION for Attorney Fees , (ii) Reimbursement of Litigation Expenses, and (iii) Plaintiffs' Awards 182 , NOTICE OF MOTION AND MOTION for Settlement Approval of Final Approval of Class Action Settlement and Plan of Allocation 180 filed by Plaintiffs Donald Hu, Brayton Li. (Attachments: # 1 Exhibit 1 (Declaration of Luiggy Segura), # 2 Exhibit 2 (Lodestar Report of Pomerantz LLP), # 3 Exhibit 3 (Lodestar Report of Bragar Eagel & Squire, P.C.), # 4 Exhibit 4 (Lodestar Report of Glancy, Prongay & Murray, LLP), # 5 Exhibit 5 (Litigation Expense Report of Pomerantz LLP), # 6 Exhibit 6 (Litigation Expense Report of

Bragar Eagel & Squire, P.C.), # 7 Exhibit 7 (Litigation Expense Report of Glancy, Prongay & Murray, LLP), # 8 Exhibit 8 (Firm Resume of Pomerantz LLP), # 9 Exhibit 9 (Firm Resume of Bragar Eagel & Squire, P.C.), # 10 Exhibit 10 (Firm Resume of Glancy, Prongay & Murray, LLP), # 11 Exhibit 11 (Declaration of Plaintiff Donald Hu), # 12 Exhibit 12 (Declaration of Plaintiff Brayton Li))(Wolke, Kara) (Entered: 04/08/2019)

04/22/2019 185 REPLY In Support of NOTICE OF MOTION AND MOTION for Attorney Fees , (ii) Reimbursement of Litigation Expenses, and (iii) Plaintiffs' Awards 182 , NOTICE OF MOTION AND MOTION for Settlement Approval of Final Approval of Class Action Settlement and Plan of Allocation 180 filed by Plaintiffs Donald Hu, Brayton Li. (Wolke, Kara) (Entered: 04/22/2019)

04/29/2019 186 MINUTES OF FINAL APPROVAL HEARING 180 ; PLAINTIFFS' MOTION FOR ATTORNEYS FEES 182 before Judge Michael W. Fitzgerald. Case called, and counsel state their appearances. The Court hears oral argument from counsel, and takes the matter under submission. An order will issue. Court Reporter: Amy Diaz. (iv) (Entered: 04/30/2019)

05/13/2019 187 MINUTES (IN CHAMBERS) ORDER RE: MOTION FOR FINAL APPROVAL OF CLASS ACTION SETTLEMENT AND PLAN ALLOCATION 180 ; MOTION FOR AWARD OF ATTORNEY'S FEES, REIMBURSEMENT OF LITIGATION EXPENSES, AND PLAINTIFFS' AWARDS 182 by Judge Michael W. Fitzgerald. Both the Settlement Motion and the Fee Motion are GRANTED. The Court awards counsel $3 million in fees and $177,408.07 in costs, to be paid from the settlement fund. The Court also awards Plaintiffs incentive awards totaling $15,000. (iv) (Entered: 05/14/2019)

05/13/2019 188 JUDGMENT APPROVING CLASS ACTION SETTLEMENT AND ORDER AWARDING ATTORNEYS' FEES AND REIMBURSEMENT OF LITIGATION EXPENSES by Judge Michael W. Fitzgerald. SEE JUDGMENT FOR DETAILS. (MD JS-6, Case Terminated). (iv) (Entered: 05/14/2019)

09/24/2019 189 MINUTES (IN CHAMBERS) ORDER CLOSING CONSOLIDATED CASES by Judge Michael W. Fitzgerald. The Court now ORDERS the Clerk of Court to close CV 16, 3438, CV 16- 6697, CV 16-6700, CV 16-6703, and CV 16-6705. (iv) (Entered: 09/24/2019)

09/27/2019 190 Notice of Electronic Filing re Minutes of In Chambers Order/Directive - no proceeding held 189 e-mailed to Nick Dufau bounced due to No longer with firm. The primary e-mail address associated with the attorney record has been deleted. Pursuant to Local Rules it is the attorneys obligation to maintain all personal contact information including e-mail address in the CM/ECF system. THERE IS NO PDF DOCUMENT ASSOCIATED WITH THIS ENTRY. (lmh) TEXT ONLY ENTRY (Entered: 09/27/2019)

10/11/2019 191 Notice of Electronic Filing re Minutes of In Chambers Order/Directive - no proceeding held 189 e-mailed to Todd H. Henderson bounced due to invalid email address. The primary e-mail address associated with the attorney record has been deleted. Pursuant to Local Rules it is the attorneys obligation to maintain all personal contact information including e-mail address in the CM/ECF system.

THERE IS NO PDF DOCUMENT ASSOCIATED WITH THIS ENTRY. (rrey) TEXT ONLY ENTRY (Entered: 10/11/2019)

11/08/2019 192 NOTICE OF MOTION AND MOTION for Disbursement of Funds regarding Net Settlement Fund filed by Plaintiffs Donald Hu, Brayton Li. Motion set for hearing on 12/9/2019 at 10:00 AM before Judge Michael W. Fitzgerald. (Attachments: # 1 Declaration of Luiggy Segura, # 2 Proposed Order) (Wolke, Kara) (Entered: 11/08/2019)

12/05/2019 193 SCHEDULING NOTICE by Judge Michael W. Fitzgerald. COURT ORDER TAKING MOTION FOR AN ORDER APPROVING DISTRIBUTION OF CLASS SETTLEMENT FUNDS 192 OFF CALENDAR AND UNDER SUBMISSION. Pursuant to Rule 78 of the Federal Rules of Civil Procedure and Local Rule 7-15, the Court finds that this matter is appropriate for submission on the papers without oral argument. Accordingly, the motion hearing set for December 9, 2019 is vacated and taken off calendar. The Court will issue its ruling at a later date. IT IS SO ORDERED. THERE IS NO PDF DOCUMENT ASSOCIATED WITH THIS ENTRY. (rs) TEXT ONLY ENTRY (Entered: 12/05/2019)

12/09/2019 194 MINUTES (IN CHAMBERS) ORDER RE: MOTION FOR DISBURSEMENT OF FUNDS REGARDING NET SETTLEMENT FUND 192 by Judge Michael W. Fitzgerald. The Motion is GRANTED. The disbursement of funds plan articulated in the Motion shall be adopted, with the exception that the checks shall void 120 days after issuance, not 90 days. JND is also entitled to reimbursement from the Settlement Fund for its $166,664.00 in costs. (iv) (Entered: 12/10/2019)

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